Principal Recipient (PR) Start-up

Funding Request

The funding request (formerly called 'the concept note'), with its annexes, is the Global Fund's application instrument that countries use to access their allocated funding. Development of the funding request is a country-owned exercise that is guided by the ongoing country dialogue and should be based on existing national strategic plans for the disease component (s) in question.

The Global Fund has revised its guidance and templates for access to funding for the 2023-2025 allocation period. Further information is available on the Global Fund funding application page.

The start-up process refers to the set of activities implemented by a UNDP Country Office (CO) when designated as Principal Recipient (PR) for Global Fund projects for the first time. The activities that are undertaken during the start-up process are designed to facilitate a timely start of grant implementation and prevent any interruption to critical programme activities and services, including delivery of health commodities. During the start-up process additional resources may be required by the CO to undertake preparatory actions and ensure the effective handover from the outgoing PR. Certain key steps in this process take place simultaneously with, or depend on, the successful completion of grant-making and the signing of the grant.

For detailed information on this lifecycle, please go to this section of the Manual: Principal Recipient (PR) Start-Up

Entry

Funding request approved by the Global Fund; UNDP is PR for the first time
1

Identify CO Senior Manager to lead the development and execution of a start-up work plan

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

For more information, please see the following section(s) of the Manual: Principal Recipient Start-up
2

Assess risk, capacity and solidify action plan

A risk assessment and rolling Transition and grant making and signing rolling work plan should be completed in cooperation with the UNDP Global Fund Partnership Health Systems 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
3

Plan handover from outgoing PR

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 verification of assets procured by the former PR - please refer to Asset Guidelines for Grant Transitions.

For more information, please see the following section(s) of the Manual: Principal Recipient Start-up
4

Prepare UNDP project document

A draft project document is developed and appraised by a designated Local Project Appraisal Committee (LPAC) as part of the Design stage of UNDP programme and 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
5

Prepare UNDP initiation plan (if required)

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 Quantum when funding is required (pre-allocation budget) prior to the project start date. Please refer to the Formulate Programmes and Projects section of the UNDP POPP.

For more information, please see the following section(s) of the Manual: Principal Recipient Start-up
6

Advance Payment Mechanism (if required)

To support PRs in completing grant-making with minimal delay, certain expenditures may be financed prior to the signing of the Grant Confirmation. Advance payments are limited to two types of activities: (1) capacity building and start-up activities, and (2) health product procurement.

Approved advance payment activities are funded either through: (1) PR prefinances approved activities which will be reimbursed from Grant Funds after the Grant Confirmation is signed; or (2) advance of funds by the Global Fund which will be deducted from Grant Funds after the Grant Confirmation is signed.

If the PR and /or planned activities are not eligible for funding through the advance payment mechanism, the GF will issue a “PR Financing Agreement” (GF Term) which confirms the GF’s willingness to reimburse the PR from grant funds, as part of the first annual funding decision, following signature of the grant. The activities to be prefinanced by PR should be included in the final grant detailed budget. To better understand the Global Fund documentation on pre-allocation, please check the following sections of the Global Fund’s Operational Policy Manual: Operational Policy Notes (OPNs) on ‘Make, Approve and Sign Grants’ dated 29 April 2021 (page 49 onwards) and Annex 2 on Advance Payment Mechanism (page 66 onwards).

Establish start-up team

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, procurement and supply management, and monitoring and evaluation expertise.

For more information, please see the following section(s) of the Manual: Principal Recipient Start-up Human Resources
7

Emergency procurement of health products (as required)

Plan emergency procurement, as required, based on the programmatic needs, estimated stock of key products at takeover date, existing orders, and procurement lead times. The emergency procurement of health products requires the development of a Health Products Management Template (HPMT). This can be an interim version of the HPMT which includes only the most essential products and quantities required for emergency procurement. During grant making, this interim version of the HPMT will be developed further into the final version. The HPMT must also be endorsed by the Country Coordinating Mechanism (CCM) and approved by the Global Fund prior to PO confirmation. 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
8

Define Project Management Unit (PMU) structure and terms of reference (TORs)

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 fulfilment of grant objectives in adherence to the Grant Agreement.

For more information, please see the following section(s) of the Manual: Human Resources
9

Plan stakeholder engagement and communications

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
10

Sub-recipient selection and assessment

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

In the context of Global Fund projects, or if UNDP is responsible for the storage of health products supplied; the Country Office should ensure that the facilities are secure and compliant with the storage and distribution requirements in WHO’s Good Storage and Distribution Practices.

At a minimum, it is expected that the UNDP CO will perform a formal assessment of the storage and distribution capacity of entities that will have a contract with the UNDP CO (usually the CMS, but sometimes also some intermediate stores) before finalizing the SR agreement and, thereafter, on an annual basis (this verification is done using a standardized supervision form – see example in Annex 3 in Guidance for UNDP Country Offices on Health Products Quality Assurance in the Supply Chain).

For more information, please see the following section(s) of the Manual: Sub-recipient Management - Selecting Sub-recipients Sub-recipient Management - Assessing Sub-recipient Capacity
11

Prepare for the establishment of the PMU

The PMU recruitment process starts once UNDP receives confirmation that the GF will sign a Grant Confirmation with contracts signed once grant funds are secured.

For more information, please see the following section(s) of the Manual: Human Resources
12

Grant-making

The start-team will lead the grant making process. As defined by the Global Fund, the purpose of grant making is to translate the funding request reviewed and assessed by the Technical Review Panel (TRP) and Grant Approval Committee (GAC) into disbursement-ready grants for Board approval and signature.

For more information, please see the following section(s) of the Manual: Principal Recipient Start-up
13

Setup PMU office

The start-up team should identify and initiate the rental of office space for the PMU. In addition to securing office space, there is a need to arrange for: office furniture for the PMU, laptops and printers, internet connectivity and telephones. This can happen in parallel with PMU recruitment.

For more information, please see the following section(s) of the Manual: Principal Recipient Start-up
14

Dissolve start-up team

The start-up team dissolves once key members of the PMU for each of the functional areas (e.g. programme management, procurement and supply management, and monitoring and evaluation, finance) have arrived at the duty station.

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

PMU established

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Grant-Making and Signing

This process is primarily focused on the development of grant documents for submission to the Grant Approvals Committee (GAC) and ultimately the Global Fund Board approval, after which the Grant Agreement (referred to as the Grant Confirmation) can be signed. It is during this process that the approved funding request is developed into an operational programme with a detailed budget and work plan, performance framework, monitoring and evaluation plan/site supervision plan, validated Health Product Management Plan (including a list of health products, quantities and related costs) and Quality Assurance Plan for Health Products. Negotiations occur between the Country Office (CO) and the Global Fund Secretariat, with significant support from the UNDP Global Fund Partnership and Health Systems Team (GFPHST) across all technical areas (Programme, Finance, Quality Assurance, Procurement and Supply Management, Quality Assurance and Monitoring and Evaluation). The GFPHST also reviews and provides advice on the Grant Confirmation with the support of the UNDP Office of Legal Services (OLS) Fundamental responsibilities for the process rest with the relevant manager of the Global Fund Programme Management Unit (PMU) within the UNDP Country Office that signs the Grant Confirmation. In cases where UNDP is taking on the role of Principal Recipient (PR) for the first time, please refer to PR start-up process.

Entry

Concept Note approved by TRP; UNDP designated as PR
1

Complete PR Capacity Assessment Tool (CAT)

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

For more information, please see the following section(s) of the Manual: Monitoring and Evaluation
2

Prepare the Performance Framework (PF)

Building on the PF prepared as part of the funding request and reviewed by the Global Fund's Technical Review Panel, 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 Confirmation.

For more information, please see the following section(s) of the Manual: Legal Framework Monitoring and Evaluation
3
Develop monitoring and evaluation (M&E) plan
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.

At the time a grant is signed, the Global Fund requires the submission of an M&E plan and costed workplan. In general, Principal Recipients should submit a single national M&E plan that is linked to their national disease or health sector strategy. If relevant, the Global Fund recommends that implementers request funding for updating or developing a national M&E plan in their grant proposals.

In countries where both governmental and nongovernmental entities serve as Principal Recipients under the same disease component, a grant-specific M&E plan can be submitted by the nongovernmental entity. However, this plan should be linked to the national plan and contribute to the national M&E system. Ideally, it should demonstrate coordinated governance arrangements, data flow and data sharing and harmonized supervision. There may be certain cases in which submitting a national plan is not feasible, including the following:
- for regional multicountry grants. These require developing a specific regional M&E plan that is aligned as much as possible with the national M&E plans of all the countries concerned.
- when the national M&E plan is not sufficiently detailed for Global Fund requirements or does not cover the full scope of the proposal. In this case, the Principal Recipient should prepare an annex to the national M&E plan to provide the missing information or develop a separate document that is consistent with the national M&E plan.
- when the country does not have a national M&E plan and the process of developing one will take longer than the grant negotiation period. In this case, a provisional document can be drawn up and replaced once the national M&E plan is developed.
For more information, please see the following section(s) of the Manual: Monitoring and Evaluation
4

Prepare Health Product Management Plan (including the list of health products, quantities and costs (Global Fund requirement)

PRs are required to prepare a Health Product Management Plan including the 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 Health Procurement Action Plan (HPAP).

For more information, please see the following section(s) of the Manual: Health Product Management
5

Complete SR selection and assessments

UNDP cannot sign SR agreement(s) before the Grant Confirmation is signed with the Global Fund, However, 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
6

Negotiate with Sub-recipients to finalize work plan, budget and targets

After the SR assessment has been completed, 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
7

Prepare detailed budget

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
8

Develop implementation arrangements map

PRs are required, in consultation with national partners, to develop a map 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 arrangements map.

For more information, please see the following section(s) of the Manual: Sub-recipient Management
9

Review the Grant Confirmation

The Global Fund Legal Office shares the draft grant documents with the CO and GFPHST for review. the GFPHST will advise the on any proposed conditions precedent (CP) and/or special conditions (SCs) with a view to mitigating risks for UNDP in consultation with the Office of Legal Services (OLS). The GFPHST will liaise with the UNDP OLS to obtain clearance of the Grant Confirmation so the CO may proceed to sign it.

For more information, please see the following section(s) of the Manual: Legal Framework
10

Submit final grant documents to the Global Fund for review by the Grants Approval Committee (GAC)

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
11

Prepare UNDP project document (including multi-year work plan)

The project document is a UNDP requirement (see POPP)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
12

Finalize Grant Confirmation for clearance

Once grant documents are approved by the Global Fund Board, they must once again be cleared by the UNDP Office of Legal Office Services (OLS) and UNDP GFPHST for legal and programmatic issues before signing.

For more information, please see the following section(s) of the Manual: Legal Framework
13

Activate Quantum Project Management Module

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

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

Approved project document and signed Grant Agreement

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Grant Implementation

The purpose of grant implementation is to achieve results as defined in the Grant Confirmation and the approved UNDP project document, through the implementation and monitoring of outputs produced through a set of activities within the project timeframe. The plan to achieve outputs for a given year is articulated in the work plan which should be reviewed and revised if necessary. Oversight of project implementation is the responsibility of the manager of the Global Fund Programme Management Unit (PMU) that is established within the relevant UNDP Country Office. While the Global Fund project is directly implemented by UNDP (DIM modality), specific activities are implemented by Sub-recipients (SRs). The steps of the implementation process are not entirely sequential, as many activities are implemented in parallel at multiple stages of grant implementation. Some are also recurring. Hence, a periodic review of annual workplan is critical in successful project implementation to minimize the risk of inter-dependencies, delays or redundancies or lapse of critical control points.

Entry

Approved project document and signed Grant Confirmation
1

Secure resources

Receive the first disbursement from the Global Fund and apply the deposit to make the funds available for project implementation. For grants which used the advance payment mechanism, the UNDP resources used to prefinance the advance payment mechanism must be reimbursed internally as soon as funds are received from the Global Fund.

For more information, please see the following section(s) of the Manual: Financial Management
2

Initiate procurement

Implement the Health Procurement Action Plan (HPAP). Translate the approved HPMT into the Health Procurement Action Plan and begin implementing the HPAP. 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: Financial Management - Revenue Management Financial Management – Prepare and Negotiate Pre-allocation Budget
3

Manage partnerships (Country Coordinating Mechanism, technical partners, ministries)

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:
4

Contract Sub-recipients

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 Sub-recipient Management section of the Manual.

For more information, please see the following section(s) of the Manual: Sub-recipient Management
5

Prepare UNDP project document

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-recipients (SSRs), the PR should oversee how the SR manages the SSRs.

For more information, please see the following section(s) of the Manual: Sub-recipient Management
6

Monitor progress and compliance

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
7

Manage issues and risks

While monitoring implementation progress against the work plan, it is essential to monitor 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 Assessment Risk Management - Risk Treatment
8

Manage Principal Recipient audit

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
9

Manage Sub-recipient audit

SRs are audited based on the criteria detailed in 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 Partnership and Health Systems 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: Sub-recipient Management
10

Prepare Progress Update/Disbursement Request (PU/DR)

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
11

Grant closure

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
Exit

Grant closed

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Grant Reporting

Regular financial and programmatic reporting is necessary for periodic stock-taking and for documenting grant performance, issues and changes. UNDP Country Offices (COs) implementing Global Fund projects as Principal Recipients (PRs) are required to adhere to both Global Fund and UNDP financial and programmatic reporting requirements. Programmatic Reports will draw information from verified Sub-recipient (SR) reports, information on UNDP implemented activities and contextual information. Financial reporting will use the financial data from UNDP’s ERP system and the grant budgets and cash disbursements information received from the Global Fund.

For detailed information on this lifecycle, please go to this section of the Manual: Grant Reporting

Entry

Grant implementation ongoing
1

Collate and synthesize Sub-recipient reports

In accordance with the terms defined in the SR Agreement, SRs report to UNDP on at least a quarterly basis on programme activities along with the respective financial reporting. 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 more information, please see the following section(s) of the Manual: Sub-recipient Management
2

Prepare Progress Update/Disbursement Request

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
3

Prepare and submit the Annual Grant Fiscal Year Tax Status to the Global Fund

This report is prepared by Country Offices and submitted to the Global Fund as a part of PU/DRs effective from the fiscal year 2021 for the grants approved in the implementation cycle for 2021-2023.

For the grants that are approved prior to the current implementation cycle where the grant implementation annual reporting cycle does not conclude by 31 December, the Annual Tax reporting will be required by 30 June of the subsequent year.

For more information, please see the following section(s) of the Manual: Financial Management
4

Produce Certified Financial Report (CFR)

The CFR report is completed and submitted by the UNDP Office of Financial Management (OFM) by 30 June of subsequent year. No action is required by COs.

For more information, please see the following section(s) of the Manual:
5
Prepare UNDP project document
In 3021, the Global Fund introduced the requirement for Quarterly Pulse Checks to be submitted for Core and High Impact countries. It consists of three components:
1. 1. PR self-evaluation: assessing implementation progress for the HIV, TB, malaria and resilient and sustainable systems for health (RSSH) modules and C19RM interventions; coordination with national COVID-19 response bodies; disruptions due to COVID-19.
2. 2. Selected coverage indicators: detailing programmatic results from a sub-set of coverage indicators (based on the latest signed Performance Framework).
3. 3. Financial reporting section has three subsections: 1) Cumulative PR Expenditure and disbursements to SRs from the start of the implementation period up to the end of the reporting quarter; and 2) Closing cash balances at the end of the current reporting quarter 3) Cash forecast for the next quarter
For more information, please see the following section(s) of the Manual: Financial Management
6

Complete Results Oriented Annual Reporting (ROAR)

The Results Oriented Analysis Report (ROAR) is a corporate tool that aims to demonstrate the effectiveness and impact of our work by capturing how UNDP has used resources to achieve results.

The ROAR is completed annually by COs, that will on report on selected outputs for the reporting year.

For more information, please see the following section(s) of the Manual: Reporting
7

Report on Integrated Results and Resources Framework (IRRF) indicators

The Integrated Results and Resources Framework (IRRF) is developed based on UNDP Strategic Plan and summarizes the development and organizational results to be achieved by UNDP with its partners. It incorporates impact, outcome and output statements, and indicators necessary for monitoring progress of the results set out in the UNDP Strategic Plan.

As part of the corporate reporting tools, COs are required to report on annual basis for all relevant IRRF indicators to which their respective programmes are linked.

For more information on the reporting requirements of the IRRF for the period 2022 – 2025, COs should consult this page.

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

Grant Implementation Ongoing

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

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Grant Closure

The purpose of the grant closure process is to ensure the orderly closure of Global Fund programmes managed by UNDP Country Offices (COs). The Global Fund and UNDP have agreed at the corporate level on a tailored approach to closing UNDP-managed Global Fund grants. The process begins six to nine months prior to the end of the implementation period (programme end date) when the Global Fund issues a Notification Letter 'Guidance on Grant Closure'. The grant's final funding decision is approved at the same time as the close-out plan. Following the last disbursement, the grant is placed in financial closure status. Once all closure documentation has been submitted the grant is placed in final administrative closure and is de-activated from all Global Fund systems.

For detailed information on this lifecycle, please go to this section of the Manual: Grant Closure

Entry

Anticipated or un-anticipated grant closure
1

The Global Fund issues a Notification Letter 'Guidance on Grant Closure'

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.

For more information, please see the following section(s) of the Manual: Grant Closure
2

Prepare closeout plan and budget

Following the guidance from the Global Fund’s Notification Letter the close-out plan should be prepared by the CO 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
3

Obtain Country Coordinating Mechanism and Global Fund approval for the Closure Plan

The close-out plan and budget must be approved by the CCM and the Global Fund; the latter then issues an Implementation Letter (IL) 'Approval 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
4

Implement close-out plan

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
5

Operationally close the project

By the grant closure date, the project must be switched to 'operationally closed' in Quantum by following the steps outlined in the Operational Closure Checklist.

For more information, please see the following section(s) of the Manual: Grant Closure
6

Ensure all transactions are recorded in Quantum

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
7

Ensure project balance account sheet is closed

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

For more information, please see the following section(s) of the Manual: Financial Management
8

Refund unspent cash and financially close project

As requried under UNDP policies, financial closure must take place within 12 months after the 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
9

The Global Fund issues Grant Closure Letter

Once all closure documents are reviewed by the Global Fund’s Local Fund Agent and validated by the Global Fund 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
Exit

Grant closed

Functional Areas

Project Lifecycle