Audit and Investigations
- Ad hoc Site Visits
- Audit of Country Coordinating Mechanism Funding
- Global Fund Office of the Inspector General (OIG) Investigations and Audits
- Office of Audit and Investigations (OAI) Investigations
- Principal Recipient Audit
- Sub-recipient Audit
Capacity development and transition strengthening systems of health
- A Strategic Approach to Capacity Development
- Capacity development and Transition - Lessons Learned
- Capacity development and Transition Planning Process
- Capacity Development and Transition
- Capacity Development Objectives and Transition Milestones
- Capacity Development Results - Evidence From Country Experiences
- Functional Capacities
- Interim Principal Recipient of Global Fund Grants
- Legal and Policy Enabling Environment
- Resilience and Sustainability
- CCM Funding
- Grant Closure
- Budget Reallocation and Revision
- Expenses Management
- Project Management and Update in Atlas
- Revenue Management
Grant-Making and Signing
- Prepare and Finalize a Global Fund Budget during Grant-Making
- Prepare and Negotiate Pre-allocation Budget
- Prepare and Negotiate Work Plan and Budget with the Global Fund
- Prepare Funding Request
- Project and Budget Formulation in Atlas
- Secure Banking Arrangements
- Grant Reporting
- Sub-recipient Management
Steps of Grant Closure Process
- 1. Global Fund Notification Letter 'Guidance on Grant Closure'
- 2. Preparation and Submission of Grant Close-Out Plan and Budget
- 3. Global Fund Approval of Grant Close-Out Plan
- 4. Implementation of Close-Out Plan and Completion of Final Global Fund Requirements (Grant Closure Period)
- 5. Operational Closure of Project
- 6. Financial Closure of Project
- 7. Documentation of Grant Closure with Global Fund Grant Closure Letter
- Terminology and Scenarios for Grant Closure Process
- Human resources
Human rights, key populations and gender
- Access to Medicines
- Integrating Human Rights, Key Populations and Gender in the Grant Lifecycle
- Objective of this Section
- UNDP’s Work on Human Rights, Key Populations and Gender
- Agreements with Sub-recipients
- Agreements with Sub-sub-recipients
- Amending Legal Agreements
- Implementation Letters and Management Letters
- Language of the Grant Agreement and other Legal Instruments
- Legal Framework for Other UNDP Support Roles
- Other Legal and Implementation Considerations
- Project Document
- Signing Legal Agreements and Requests for Disbursement
The Grant Agreement
- Grant Confirmation: Conditions Precedent (CP)
- Grant Confirmation: Conditions
- Grant Confirmation: Face Sheet
- Grant Confirmation: Limited Liability Clause
- Grant Confirmation: Schedule 1, Integrated Grant Description
- Grant Confirmation: Schedule 1, Performance Framework
- Grant Confirmation: Schedule 1, Summary Budget
- Grant Confirmation: Special Conditions (SCs)
- Grant Confirmation
- UNDP-Global Fund Grant Regulations
Monitoring and Evaluation
- Funding Request Development
- Global Fund M&E System Requirements
- M&E Components of Grant Implementation
- M&E Components of Grant-Making
- M&E components of grant reporting
- Principal Recipient Start-Up
Procurement and Supply Management
- Development of List of Health Products and Procurement Action Plan
- Distribution and Inventory Management
- Price and Quality Reporting (PQR) System
- Procurement of Non-health Products and Services
- Procurement of Pharmaceutical and Other Health Products
- Quality Control
- Rational use of Medicines and Pharmacovigilance Systems
- Strengthening of PSM Services and Risk Mitigation
- UNDP Health PSM Roster
- UNDP Quality Assurance Policy and Plan
- Grant Performance Report
- Performance-based Funding and Disbursement Decision
- PR and Coordinating Mechanism (CM) Communication and Governance
Reporting to the Global Fund
- First Disbursement, Execution Period and Reporting Calendar
- Progress Updates/Disbursement Request (PU/DR)
- Quarterly Financial Reporting to the Global Fund
- Tax Status Reporting
- UNDP Corporate Reporting
- Common Risks Identified in Global Fund Programmes
Global Fund Risk Management
- Global Fund Operational Risk Management
- Global Fund Requirements for Risk Management at Implementer Level
- Global Fund Local Risk Management Releated Policies
- Introduction to Risk Management
- Risk Management in High Risk Environments
- Risk Management in UNDP-managed Global Fund Grants
- Risk management in UNDP
- UNDP Risk Management in the Global Fund Portfolio
- Capacity Assessment and Approval Process
- Engaging Sub-recipients
- Managing Sub-recipients
- Selecting Sub-recipients
- Sub-recipient Management in Grant Lifecycle
- Audit and Investigations
Strengthening of PSM Services and Risk Mitigation
To strengthen procurement and supply management (PSM) services and risk mitigation, the UNDP Procurement Services Unit (PSU) and the UNDP Global Fund/Health Implementation Support Team have entered into commercial long-term agreements (LTAs) for insurance and freight. Use of these LTAs does not require further internal approvals (via Contract, Asset and Procurement (CAP) and/or Advisory Committee on Procurement (ACP)).
Information on the current LTA holders for insurance and freight can be found here.
As a result of joint tender with other UN agencies, UNDP has a global LTA with Willis for cargo and storage insurance for stocks in warehouses since 1 January 2013. The Guidance Note for the application of insurance coverage modalities under the global LTA with Willis outlines the necessary actions that Country Offices must undertake to ensure that all goods for which UNDP is liable are covered.
It is critical that Country Offices complete timely monthly reporting to Willis for maintenance of the insurance coverage on warehouse stocks and cargo. Examples of cases in which Willis insurance has recovered losses include:
- A truck transporting goods to a warehouse came into contact with riots and caught fire, causing damage to all cargo;
- Theft of goods from a warehouse in a crisis country context;
- Situations in which pharmaceutical products going through international transit were not maintained at the level recommended by the manufacturer, thereby making the quality of the products doubtful and in some cases unsuitable for use. In cases where loss is confirmed, the insurance can cover it;
- When a product’s quality has been compromised, the insurance can also cover the cost of the disposal.
Beyond recovering financial loss, insurance mitigates the spillover effects that the loss of uninsured goods can have on programme delivery, such as stock-outs and disruption in service provision.
It is additionally key to note that:
- Assets are not covered by the insurance.
- The insurance does not automatically provide coverage for political violence unless the Country Office requests it. This coverage is under a separate agreement and if activated, involves additional payment.
- The insurance only covers goods procured by UNDP. If a Country Office receives requests to provide additional insurance on behalf of government, or to cover insurance for stocks stored in a warehouse where UNDP is not a PR for the Global Fund programme, it is recommended to contact the Health Implementation Support Team Procurement Unit: firstname.lastname@example.org.
- UNDP should exercise caution when requested to act as a service provider for other PRs, as this can affect the insurance premium rate.
Stock-out and expiration risk management are the responsibility of the Country Office (CO), which must regularly monitor the Global Fund health products stock status. This includes close monitoring of the consumption rates, of stock on hand and on order, and of expiry dates of products in stock so that the CO can make informed decisions and take the necessary actions to avoid emergency orders, stock-outs and expiration of products.
COs are advised to monitor supply chain management indicators and expiry of products at least quarterly, using the provided monitoring tools, and to submit completed tools to the PSM team at least once a year, or as indicated by the PSM team in communications to the COs.
For further information, the UNDP PSU or the UNDP Global Fund/Health Implementation Support Team will need to be informed in order to advise on how to proceed.
Global Fund direct payment method
The Global Fund offers the opportunity for direct payments of grant funds to third parties (rather than to the Principal Recipients (PR)), and this service is primarily used for procurement of health products. However, UNDP cannot use the direct payment mechanism as it is not allowed by the UNDP comptroller.
Global Fund Pooled Procurement Mechanism option
The Global Fund launched the Pooled Procurement Mechanism (PPM), with the aim of obtaining better prices for quality-assured health products by leveraging the Global Fund’s position to influence market dynamics.
Generally, the use of the PPM is voluntary for Global Fund PRs; however, for UNDP COs acting as PR, the PPM is not an option, as it is not allowed under current UNDP Financial Regulations and Rules or procurement procedures.
Overseeing procurement by Sub-recipients
UNDP has determined that direct procurement by Sub-recipients (SRs) constitutes significant organizational and operational risks to UNDP, for a number of reasons, including the process itself, the amount of money involved, the risk of procuring sub-standard products, paying too much and the potential for fraud. As a result, UNDP does not permit SRs to procure health products for their activities. Procurement within the framework of SR agreements should be limited to minor office supplies and other similar items of limited value, as well as services. Capital assets should be procured by the CO. In no instance should the SR be authorized to procure for more than 10 percent of the SR agreement’s amount or US$100,000 (whichever is less) on procurement.