A CO Senior Manager should be identified as focal point for the start-up process, in collaboration and support from the UNDP Global Fund/Health Implementation Support Team.

A risk assessment and rolling work plan should be completed in cooperation with the UNDP Global Fund/Health Implementation Support Team to ensure readiness to take on the PR role and assess the resources needed for a timely start-up and grant-making process.

For more information, please see the following section(s) of the Manual: Principal Recipient Start-up Risk Management

As the outgoing PR prepares to hand over the role to UNDP several issues must be considered. They include, but are not limited to, estimated stock and orders of health products expected at handover date; existing challenges to implementation; and transfer of assets.

For more information, please see the following section(s) of the Manual: Principal Recipient Start-up

A draft project document is developed and appraised by a designated Local Project Appraisal Committee (LPAC) as part of the defining a project stage of UNDP project management. Per UNDP Programme and Operations Policies and Procedures (POPP), the draft project document outlines the development challenges and project strategy based on the theory of change, expected outputs in the form of a completed results framework, multi-year work plan, management arrangements, and monitoring and evaluation plan.

For more information, please see the following section(s) of the Manual: Principal Recipient Start-up Legal Framework

An initiation plan is required ONLY when financial resources are needed before the grant is signed. The purpose of the initiation plan is to allow the creation of a project in Atlas when funding is required (pre-allocation budget) prior to the project start date. Please refer to the Project Management section of the UNDP POPP Defining a Project.

For more information, please see the following section(s) of the Manual: Principal Recipient Start-up

A pre-financing budget (also referred to as pre-allocation budget) should include costs related to key activities taking place before grant signing. It must be endorsed by the Country Coordinating Mechanism (CCM) and approved by the Global Fund. Once approved, it allows an advance using PR resources during start-up to be reimbursed by the Global Fund after the grant is signed.

For more information, please see the following section(s) of the Manual: Principal Recipient Start-up

The start-up team supports the preparation of grant documents, determining implementation arrangements, and other activities leading up to grant signing. The team should possess, at a minimum, programme management, finance and procurement and supply management expertise.

For more information, please see the following section(s) of the Manual: Principal Recipient Start-up Human Resources

Plan emergency procurement, as required, based on estimated stock of key products and procurement lead times.

For more information, please see the following section(s) of the Manual: Principal Recipient Start-up

Although the final agreement on the structure and TORs of the PMU will be reached with the Global Fund during grant-making, it is important to define the project's human resources needs as early as possible. The structure and TORs of the PMU should ensure sufficient human resources with the required qualifications are available to ensure timely and quality implementation of grant activities, oversight of Sub-recipients (SRs) and ultimately fulfillment of grant objectives in adherence to the Grant Agreement.

For more information, please see the following section(s) of the Manual: Human Resources

A communications strategy should be developed to ensure that the CCM and in-country partners are updated on the progress of grant-making and continued collaboration after the grant is signed.

For more information, please see the following section(s) of the Manual: Principal Recipient Start-up

While UNDP cannot sign SR agreement(s) before the Grant Agreement is signed with the Global Fund, Country Offices (COs) should begin SR selection and assessment as early as possible.

For more information, please see the following section(s) of the Manual: Sub-recipient Management Sub-recipient Management

The PMU recruitment process occurs after grant signing, as funds have to be secured before staff is recruited.

For more information, please see the following section(s) of the Manual: Principal Recipient Start-up

The start-up team should identify and initiate the rental of office space for the PMU. This can happen in parallel with PMU recruitment.

For more information, please see the following section(s) of the Manual: Principal Recipient Start-up

The start-up team dissolves once key members of the PMU have been recruited.

For more information, please see the following section(s) of the Manual: Principal Recipient Start-up

PRs of Global Fund projects are required to complete an online assessment, of which the scope is tailored to each programme. The UNDP Global Fund/Health Implementation Support Team is available to support in the review of the CAT.

Building on the PF prepared as part of the funding request, PRs are required to further develop the document, which includes an agreed set of indicators and targets consistent with the programmatic gap analysis submitted by the country in the funding request. The PF is component of Annex A to the Grant Agreement.

For more information, please see the following section(s) of the Manual: Legal Framework Monitoring and Evaluation

PRs are required to submit a national M&E plan (specific to a disease or for a combination of the three diseases, depending on the country context), as agreed by in-country partners as part of the approach to monitor the implementation of the national strategy to which the Global Fund-supported programme contributes. In exceptional cases, a grant-specific M&E plan may be developed. A regional M&E plan is required for multi-country grants.

For more information, please see the following section(s) of the Manual: Monitoring and Evaluation

PRs are required to prepare a list of health products, quantities and costs including all related procurement and supply management (PSM) costs, in alignment with the detailed budget. Though they are different documents, the list of health products is the basis for the UNDP Procurement Action Plan (PAP).

For more information, please see the following section(s) of the Manual: Procurement and Supply Management

PRs negotiate with Sub-recipients (SRs) to complete the SR work plan and targets, as well as detailed budget, which are all required components of the SR agreement. The SR detailed budget feeds into the grant detailed budget, and where the SR budget is not finalized before the grant detailed budget is prepared, use historical data for robust assumptions.

For more information, please see the following section(s) of the Manual: Sub-recipient Management

PRs are required to prepare a detailed budget in adherence to the Global Fund Core Budgeting Guidelines.

For more information, please see the following section(s) of the Manual: Financial Management

While UNDP cannot sign SR agreement(s) before the Grant Agreement is signed with the Global Fund, COs should complete the SR selection and assessment process as early as possible.

For more information, please see the following section(s) of the Manual: Sub-recipient Management Sub-recipient Management

PRs are required, in consultation with national partners, to develop a mapping of all entities receiving grant funds and their roles, beneficiaries of project activities and any other implementation details. This is referred to as the implementation arranagements mapping.

For more information, please see the following section(s) of the Manual: Sub-recipient Management

PRs share grant documents and any proposed conditions precedent (CP) or special conditions (SCs) with the UNDP Legal Office (LO) and UNDP Global Fund/Health Implementation Support Team for review.

For more information, please see the following section(s) of the Manual: Legal Framework

PRs submit the final versions of the grant documents to the Global Fund for GAC review. The GAC then recommends the grant for Global Fund Board approval, or requests further amendments of the documents. In cases where grant documents differ considerably from the funding request, GAC will refer the grant back to the Technical Review Panel (TRP).

For more information, please see the following section(s) of the Manual: Legal Framework

The project document is a UNDP requirement (see POPP) for all Direct Implementation (DIM) projects, including Global Fund projects. It constitutes a commitment to implement the project in accordance with UNDP's mandate, policies, regulations and rules. The project document needs to undergo review by the Local Project Appraisal Committee (LPAC).

For more information, please see the following section(s) of the Manual: Legal Framework

Once grant documents are approved by the Global Fund Board, they must once again be cleared by the Legal Office (LO) and UNDP Global Fund/Health Implementation Support Team for legal an programmatic issues before signing.

For more information, please see the following section(s) of the Manual: Legal Framework

Global Fund project and budget formulation in Atlas should adhere to UNDP's standard procedures as detailed in the UNDP POPP. Projects created in Atlas should conform to the standard structure whereby one Global Fund Grant Agreement corresponds to one Atlas Project with one Atlas Output.

For more information, please see the following section(s) of the Manual: Financial Management

Receive the first disbursement from the Global Fund and apply the deposit to make the funds available for project implementation. For grants which used a pre-allocation, the pre-allocated amount has to be reimbursed internally as soon as funds are received from the Global Fund.

Implement the Procurement Action Plan (PAP). Priority should be given to key health products where there is a risk of stock out based on available information.

For more information, please see the following section(s) of the Manual:

Ongoing collaboration and communication between UNDP and key in-country partners (the Global Fund, Country Coordinating Mechanism (CCM), the Ministry of Health, key technical partners, other donors, SRs) is critical to programme success. Managing partnerships entails, but is not limited to, mapping key partners; developing and implementing a communication plan (to describe which information, when, how and by whom will be transferred to which partner); and holding regular consultations with key partners.

For more information, please see the following section(s) of the Manual:

Finalize with SRs the work plan, budget and SR targets for each SR and annex to the respective SR agreement. Templates for SR agreements between UNDP civil society organizations (CSO), government and UN agencies are available in the legal framework section of the Manual.

For more information, please see the following section(s) of the Manual: Sub-recipient Management Legal Framework

The PR relies on SRs to deliver grant results through daily activities in the field. Management of SRs entails building partnerships, managing performance and risks, and strengthening SR capacity. If SRs have sub-sub-recipient, the PR should oversee how the SR manages Sub-sub-recipients (SSRs).

For more information, please see the following section(s) of the Manual: Sub-recipient Management

It is essential to regularly monitor progress in the implementation of the work plan and performance against set targets. On the operational side, it is necessary to ensure the processes (e.g. human resources, procurement, finance) are implemented in alignment with UNDP Programme and Operations Policies and Procedures (POPP).

For more information, please see the following section(s) of the Manual: Financial Management

While monitoring implementation progress against the work plan, it is essential to monitor for any significant changes to the country and programme context or identified risks that could affect prior assumptions and plan for implementing the project. In response to any new issues and risks, project plans often need to be adapted through adjustments, reallocations or reprogramming requests.

For more information, please see the following section(s) of the Manual: Risk Management Risk Management

In line with the 'single audit' principle, UNDP-managed Global Fund projects are subject to UNDP's established audit and investigations rules and procedures, which apply to all UNDP programmes.

For more information, please see the following section(s) of the Manual: Audit and Investigations

SRs are audited based on the criteria detailed the Office of Audit and Investigations (OAI) Call Letter for Harmonized Approach to Cash Transfers (HACT) Audit Plans, which is issued annually. The SR audit approach for Global Fund projects includes financial audit as well as audit of SR internal control and systems. While SR audits are coordinated centrally by the UNDP Global Fund/Health Implementation Support Team, COs are advised to designate a focal point to ensure a timely and successful process.

For more information, please see the following section(s) of the Manual: Audit and Investigations

Regular financial and programmatic reporting is necessary for periodic stock-taking of grant performance, issues and changes. UNDP COs implementing Global Fund projects are required to adhere to both Global Fund and UNDP financial and programmatic reporting requirements. Reports will draw information from verified SR reports, information on UNDP implemented activities and contextual information. The PU/DR is one of the Global Fund reporting requirements.

For more information, please see the following section(s) of the Manual: Reporting

The closure process for grant begins six to nine months prior to the programme end date. To prompt the closure process the PR receives a Notification Letter 'Guidance on Grant Closure' from the Global Fund.

For more information, please see the following section(s) of the Manual: Financial Management Grant Closure

In accordance with the terms defined in the SR agreement, SRs report to UNDP on at least a quarterly basis. Following verification and analysis of quarterly report by each SR it is necessary to collate information from all SR reports. The synthesis of all SR results and information on implementation issues will enable the PR to report to the Global Fund on overall grant performance, challenges and planned changes.

For each grant the PR will regularly provide Progress Updates/Disbursement Requests (PU/DR) to the Global Fund according to agreed timelines. Financial PU/DR are submitted to the Global Fund on an annual basis. The Annual Financial Report (AFR), which is a component of the financial PU is also completed on an annual basis. The frequency of submission of programmatic updates varies on a country-by-country basis.

For more information, please see the following section(s) of the Manual: Financial Management Monitoring and Evaluation

This report is prepared by Country Offices and submitted to the Global Fund by 30 June of the subsequent year.

For more information, please see the following section(s) of the Manual: Financial Management

This report is completed and submitted by the UNDP Office of Financial Resources Management (OFRM) by 30 June of subsequent year. No action is required by COs.

For more information, please see the following section(s) of the Manual:

This report is submitted by COs to the UNDP Global Fund/Health Implementation Support Team who then consolidates and submits it to the Global Fund. It consists of three components: 1) cash balances and commitments as of end of the quarter and submit; 2) cash forecast for next quarter and remainder of the execution period; and 3) cumulative disbursement to SRs and procurement agents.

For more information, please see the following section(s) of the Manual: Financial Management

This report is only required for a select number of countries. Please contact the UNDP Global Fund/Health Implementation Support Team for more information.

For more information, please see the following section(s) of the Manual: Financial Management

The ROAR is a complement to the Country Project Document (CPD) and the Integrated Results and Resources Framework (IRRF) and is entered in the Results Based Management (RBM) platform twice annually, at mid-and year-end. Please refer to the UNDP Programme and Operations Policies and Procedures (POPP) for more information.

For more information, please see the following section(s) of the Manual: Reporting

A reporting exercise is undertaken during the end of the relevant year, through which COs are requested to report results achieved for all relevant IRRF indicators to which their respective programmes are linked, except for those indicators that depend on international or centrally collected data sources.

For more information, please see the following section(s) of the Manual: Reporting

Six to nine months prior to the programme end date, the Global Fund sends to the PR a Notification Letter 'Guidance for Grant Closure', which specifies the timelines and required actions for the grant closure process.

Following the guidance from the Notification Letter the close-out plan should be prepared 6 months before the programme end date. The plan should include all activities and funds required for grant closure per UNDP and Global Fund procedures.

For more information, please see the following section(s) of the Manual: Grant Closure

The close-out plan and budget have to be approved by the CCM and the Global Fund; the latter then issues an Implementation Letter (IL) 'Aproval of the Grant Closure Plan'. This IL allows for use of grant resources during the grant closure period for the activities specified in the close-out plan. The grant's final funding decision is approved at the same time as the close-out plan.

For more information, please see the following section(s) of the Manual: Grant Closure

The implementation of the close-out plan 1) Sub-recipient (SR) reporting and refund: 2) reporting on cost in the Progress Update (PU) and Enhanced Financial Report (EFR) at programme end date); 3) asset verification and transfer of assets, health products and project files in accordance to the close-out plan; 4) settlement of commitments and all payments by grant closure date; and 5) submission of final grant report, final cash statement and Certified Financial Report (CFR) at grant closure date.

For more information, please see the following section(s) of the Manual: Grant Closure

By the grant closure date, the project must be switched to 'operationally closed' in Atlas by following the steps outlined in the Operational Closure Checklist. Please refer to UNDP Programme and Operations Policies and Procedures (POPP) for further guidance on operational closure.

For more information, please see the following section(s) of the Manual: Grant Closure

Ensure that all transactions have been recorded, all commitments have been settled, and that the Combined Delivery Report (CDR) has been signed.

For more information, please see the following section(s) of the Manual: Financial Management

The project balance account sheet is closed once all of its items are cleared.

For more information, please see the following section(s) of the Manual: Financial Management

Per UNDP policies, financial closure must take place within 12 months of operational closure. Before the project can be considered closed, Country Offices must complete the UNDP Project Completion Checklist. For more information please refer to UNDP POPP for further guidance on financial closure.

For more information, please see the following section(s) of the Manual: Financial Management

Once all closure documents are reviewed by the LFA and validated by the Global Fun any unspent grant funds are returned, the Global Fund will document the closure of the grant with the Grant Closure Letter.

For more information, please see the following section(s) of the Manual: Grant Closure