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OperationalPolicyManualIssue 2.271 October 20201

Note to External UsersThis Operational Policy Manual has been developed to assist Global Fund Secretariat staff inproviding guidance on Global Fund policies and processes relating to grant management. TheOperational Policy Notes (OPNs) contained in the Manual are based on policies approved bythe Global Fund Board and operational procedures developed by the Secretariat.The OPNs are updated, as necessary, to reflect changes in grant management policies andapproaches. The Global Fund reserves the right to interpret the OPNs set out in theOperational Policy Manual.Questions relating to their application to specific Global Fund-supported programs should beaddressed to the relevant Fund Portfolio Managers.Questions of a general nature that are not program-specific should be addressed to:operationalpolicy@theglobalfund.org.2

Issue date1 October 2020RemarksIssue 2.27Revised:- OPN on Make, Approve and Sign Grants (2020-2022Allocation Period)- Operational Procedures on Make, Approve and Sign Grants(2020-2022 Allocation Period)7 July 2020Issue 2.26Revised:- OPN on Design and Review of Funding Requests (20202022 Allocation Cycle)- OPN on Make, Approve and Sign Grants (2020-2022Allocation Period)- Operational Procedures on Make, Approve and Sign Grants(2020-2022 Allocation Period)19 March 2020Issue 2.25Added:- OPN on Make, Approve and Sign Grants (2020-2022Allocation Period)- Operational Procedures on Make, Approve and Sign Grants(2020-2022 Allocation Period)Removed:- OPN on Access to Funding, Grant-Making and Approval(2017-2019 Allocation Period)- OPN on Pre-Financing Grant Making and Start-UpActivities- OPN on Signing and Amending Grant Agreements- OPN on Enhanced Financial Reporting,- OPN on Program and Data Quality16 December 2019Issue 2.24Revised: Portfolio Categorization for the 2020-2022 AllocationCycle9 October 2019Issue 2.23Added: OPN on Country Coordinating Mechanism FundingIssue 2.22Added:- OPN on Design and Review of Funding Requests (2020-2022Allocation Cycle)- Operational Procedures on Design and Review of FundingRequests (2020-2022 Allocation Cycle)Issue 2.21Revised: OPN on Additional Safeguard PolicyIssue 2.20Revised: OPN on Pooled Procurement Mechanism4 September 20191 May 201925 March 20193

8 November 201814 September 201828 June 20187 March 201818 December 20171 November 201725 April 20174 April 20177 March 201727 January 201720 January 2017Issue 2.19Revised: OPN on Pooled Procurement MechanismAdded: Operational Procedures on Pooled ProcurementMechanismIssue 2.18Added:- OPN on IP Reconciliation and Grant Closure- Operational Procedures on IP Reconciliation and GrantClosureIssue 2.17Revised:- OPN on Risk Management across the Grant LifecycleIssue 2.16Revised:OPN on Grant RevisionsIssue 2.15Revised:- OPN on Access To Funding, Grant-making and ApprovalIssue 2.14Updated portfolio categorization (list of COE countries)Issue 2.13Replaced the old OPN on Counterpart Financing with OPN on CofinancingIssue 2.12Annex added to:- OPN on Challenging Operating EnvironmentsIssue 2.11Added:- OPN on Grant RevisionsRemoved:- OPN on Extending Grant Implementation Periods- OPN on Reprogramming during Grant ImplementationIssue 2.10Added:- OPN on Risk Management Across the Grant LifecycleIssue 2.9Added:- OPN on Access To Funding, Grant-making and Approval- OPN on Challenging Operating EnvironmentsRemoved:- OPN on Grant-Making and Approval4

13 July 201624 July 201525 March 201515 December 201419 November 201414 October 2014Issue 2.8Added:- OPN on Program and Data QualityRevised:- Section 2: Grant Implementation- OPN on Annual Funding Decisions and Disbursements- OPN on Reprogramming During Grant ImplementationRemoved:- OPN on Quality of Services Assessment- OPN on Monitoring and Evaluation Systems StrengtheningAnd Data QualityIssue 2.7Revised:- OPN on Additional Safeguard Policy- OPN on Grant-making and ApprovalIssue 2.6Revised:- OPN on Pooled Procurement Mechanism- OPN on Support Costs and Indirect Cost Recovery (ICR) Policyfor Non-Governmental OrganizationsIssue 2.5Added:- OPN on Counterpart Financing- OPN on M&E Systems Strengthening and Data Quality- OPN on Signing and Amending Grant Agreements- OPN on Grant ClosureRemoved:- OPN on Grant Renewals- Non-National Entities as Principal RecipientIssue 2.4Added:- OPN on Grant-Making and ApprovalRemoved:- OPN on Accessing Global Fund Financing- OPN on Transition to Single Streams of Funding- OPN on Implementing MOU with GLC Revised:- OPN on Extending Grant Implementation Periods- OPN on Conditions and Management Actions- OPN on Implementing the Quality Assurance Policies forPharmaceutical, Diagnostics and Other Health Products- OPN on Additional Safeguard PolicyIssue 2.3Removed:- OPN on Continuity of Services5

25 September 201425 June 20149 April 2014Issue 2.2Revised:- OPN on Annual Funding Decisions and- DisbursementsIssue 2.1Added:- OPN on Pooled Procurement Mechanism- OPN on Pre-Financing Grant Making and Start- Up Activities- OPN on Supplier MisconductRemoved:- OPN on Voluntary Pooled Procurement- OPN on Pre-allocation of Grant Funds to- Principal RecipientsThis is version 2.0 of the Operational Policy Manual. It is noworganized by the grant lifecycle and streamlined to focus onoperational policies that remain relevant under the new fundingmodel as well as those policies that remain applicable to existinggrants that have not yet transitioned. Information Notes andGuidance Documents have been removed and embedded in therelevant part of the Global Fund website.6

Table of ContentsIntroductionSection 1: Access to Global Fund Financing1.1OPN on Design and Review of Funding Requests (2020-2022 Allocation Cycle)1.2Operational Procedures on Design and Review of Funding Requests (2020-2022Allocation Cycle)1.3OPN on Make, Approve and Sign Grants (2020-2022 Allocation Cycle)1.4Operational Procedures on Make, Approve and Sign Grants (2020-2022 AllocationCycle)1.5OPN on Challenging Operating Environments (COEs)1.6OPN on Support Costs/Indirect Cost Recovery (ICR) Policy for Non-GovernmentalOrganizations1.7OPN on Additional Safeguards Policy1.8OPN on Conditions and Management Actions1.9OPN on Country Coordinating Mechanism Funding1.10 OPN on Private Sector Co-payment Mechanism for ACTs1.11OPN on Co-financingSection 2: Grant Implementation2.1.OPN on Annual Funding Decisions and Disbursements2.2. OPN on Grant Revisions2.3. OPN on Pooled Procurement Mechanism2.4. Operational Procedures on OPN on Pooled Procurement Mechanism2.5. OPN on Implementing the Quality Assurance Policies for Pharmaceutical, Diagnosticsand Other Health Products2.6. OPN on Supplier Misconduct2.7. OPN on Risk Management across the Grant LifecycleSection 3: Implementation Period Reconciliation and Grant Closure3.1OPN on Implementation Period Reconciliation and Grant Closure (for 2014-2016allocation period and thereafter)3.2Operational Procedures on Implementation Period Reconciliation and Grant Closure (for2014-2016 allocation period and thereafter)3.3OPN on Grant Closure (for grants financed prior to the 2014-2016 allocation period)7

IntroductionThe Operational Policy Manual describes how the Global Fund manages all activities at eachstep of the grant cycle from accessing funding through to grant closure. It captures both Boardapproved policies as well as approaches to implementing those policies that have been endorsedat the Secretariat level.For each step of the grant cycle, the Manual provides:i.Relevant information and policies that are applicable; andii.A brief step-by-step process guide that summarizes important activities and thoseresponsible.As the Country Team is the primary mechanism to achieve effective and efficient oversight ofthe Global Fund grant portfolio, the OPM begins with guidance on how Country Teams shouldfunction and defines individual Country Team members’ responsibilities.8

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SECTION 1: ACCESS TO GLOBAL FUND FINANCINGAn applicant submits a concept note to the Secretariat reflective of the indicative fundingallocation (as determined by the Secretariat), its national strategy, and the outputs of anextensive multi-sectorial country dialogue process between the applicant, technical partners,donors (including the Secretariat) and civil-society organizations. Once the concept note isreviewed by the Secretariat and the TRP, the GAC determines an upper budget ceiling and thegrant-making process begins.The CT enters into negotiations with CCMs and their nominated PRs to develop disbursementready grants for submission to the Board approach through the GAC.12

OPERATIONAL POLICY NOTEDesign and Review of Funding Requests(2020-2022 Allocation Period)Issued on:Approved by:Process Owner:7 July 2020Executive Grant Management CommitteeAccess to Funding DepartmentOVERALL OBJECTIVES1. Funding requests that are designed well and are reviewed effectively help the Global Fundachieve maximum impact, in line with Global Fund’s 2017-2022 Strategy: Investing to EndEpidemics (Global Fund Strategy)1 and efforts to strengthen impact in the 2020-2022allocation period.2. The Funding Request Design and Review process is guided by the Global Fund FrameworkDocument, the Global Fund Strategy, the Sustainability, Transition and Co-FinancingPolicy, the Technical Review Panel’s (TRP) terms of reference, and the following coredifferentiation principles approved by the Board’s Strategy balfund.org/media/1176/bm35 emics report en.pdf113

a. Differentiated level of independent review: The TRP will engage in theindependent assessment of all funding requests, but with a high degree ofdifferentiation in scope and depth of the assessment2.b. Country ownership: The process for design and review of funding requests buildson national systems and strategies, domestic co-financing and engagement of incountry stakeholders, including key and vulnerable populations 3, communities andcivil society.c. Tailored process for funding request development and review: The basis,scope and nature of the funding request design and review processes will (i) beevidence-informed, building on the challenges, results and impact of previousimplementation periods; (ii) be tailored to the different contexts in which countriesoperate, including but not limited to evolving epidemiology, challenging operatingenvironments, sustainability and transition considerations, multicountryapproaches and fiduciary and programmatic risk and (iii) take into considerationnational systems and national health strategy plans.d. Simplification and refocusing on implementation: The process for designand review of funding requests should facilitate effective investment and use ofGlobal Fund resources to achieve the highest impact in line with the Global FundStrategy, recognizing the need to balance the time spent developing and reviewingfunding requests versus the time spent implementing grants.e. Focused and timely program revision for greater impact: The process fordesign and review of funding requests, including the TRP review, encourages andfacilitates efforts to achieve greater strategic focus and impact through programrevision throughout the grant lifecycle, as appropriate.f.Streamlining and refocusing on key information for decision making:Documentation requirements are tailored to elicit essential information needed tofacilitate effective review and decision-making with respect to funding requests,including consistency across the portfolio or categories of the portfolio, building onexisting national and portfolio information.OPERATIONAL POLICY3. This Operational Policy Note (OPN) defines the rules and requirements for accessing thecountry allocation4 for the 2020-2022 allocation period onwards. For guidance on othersources of funding, please refer to Annex 1 and other relevant guidance.The TRP will assess funding requests with a differentiated lens instead of a standardized “one-size-fits-all” approach (forexample, for programs in challenging operating environments, countries in transition, etc.)3 As defined in the Global Fund Key Populations Action Plan 2014 – 20174 This includes applicants that will access funding through combined country allocations (e.g. MER, RAI, etc.).214

I. Notify the Applicant on Allocation and Application Approach4. The Global Fund’s Eligibility Policy5 sets forth eligibility criteria to determine whichcountry components may qualify to receive an allocation from the Global Fund. Theeligibility list 6 is published on a yearly basis and is available on the Global Fund website7.5. Eligible applicants receiving an allocation will be notified through the allocation letter withthe following information: i) allocation amount for eligible disease components; ii) type ofapplicant and approach to Country Coordinating Mechanisms’ (CCM) eligibility screening;iii) the application approach; iv) guidance on co-financing requirements andcommitments; and v) other information relevant to the country/component8. The GlobalFund will also share any additional specific guidance to enable the applicant to proceedwith the funding request development and submission. The main elements of theallocation letter are detailed below and in the Procedures on the Design and Review ofFunding Requests:Provide Guidance on Country Allocation6. Country Allocation. This is the initial upper ceiling of funding made available by theGlobal Fund for each eligible country across all eligible disease components for theapplicable allocation cycle, in line with the Allocation Methodology. This funding may behttps://www.theglobalfund.org/media/7443/core eligibility policy en.pdf?u 636996495650000000.Eligibility to receive an allocation does not guarantee allocation or funding.7 The 2020 Eligibility List determines which country components are eligible for an allocation for the 2020-2022 allocationperiod.8 Such as allocation-related decisions or outcomes that have intended implications around use of funds (e.g. funding forcontinuation of essential services, or if countries are expected to be on a continued trajectory for significant reductions i nallocations), and any other relevant information.5615

supplemented by other sources of funds (please see Annex 1), or may be reduced, forexample, due to outstanding recoveries 9 in extraordinary circumstances, or if co-financingcommitments from the previous allocation period have not been met. Unused fundingfrom the previous allocation period (e.g. undisbursed funds, in-country cash balances,cash balances at a procurement agent level), and any recovered funds relating todisbursements made with grant funds arising from the previous allocation period cannotincrease a country allocation. Please see the Global Fund Guidelines for Grant Budgetingfor further details.7. Timeframe to Access Allocation10. For each country, the allocation for eligiblecomponents11 can be accessed, jointly with other components or separately by eachcomponent, once per allocation period. The associated grant must be approved by theBoard prior to the end of the allocation period (e.g., by 31 December 2022 for the 20202022 allocation period)12. The implementation of grants should, generally, be aligned withcountry planning cycles, as appropriate. Applicants must consider the end date of theirexisting Allocation Utilization Period (AUP) and adequately plan for the submission of thefunding request, registration for a TRP window, and subsequent grant-making timelinesin order to complete the full process well ahead of the end of the AUP.8. Timeframe to Use Allocation. The AUP is the period13 (usually three years) duringwhich the country allocation per disease component can be utilized to implement a grant.For grants continuing to the next allocation period, the AUP starts the day after the existinggrant(s) ends. Any extension to grants from the previous cycle will consume funds andtime from the new AUP and reduce the remaining duration and funding for the next grant.If the AUP is shorter than what is communicated in the allocation letter, the allocationfunding available for the new grant(s) related to the same disease component is adjustedproportionately.Refer to the OPN on Recovery of Grant Funds (for Global Fund Secretariat internal use only).Portions of the allocation may be used earlier than at the start of a new implementation period (for example through theextension of the previous implementation period or advance payments).11 Eligibility to receive an allocation does not guarantee allocation or funding.12 https://www.theglobalfund.org/media/8536/bm41 02-allocation-methodology report en.pdf.13 Variations from the three-year standard period may be allowed for joint funding requests from Focused countries/applicantswhere start and end dates for the different grant components are misaligned, and in other circumstances on an exceptional basis.These will be communicated to concerned applicants through the allocation letter.91016

Define Type of Applicant and Eligibility Screening Approach9. Types of Applicants. An applicant is the entity that requests financing from the GlobalFund on behalf of a country or a group of countries. Applicants for Global Fund funding 14are:a. Country Coordinating Mechanism (CCM). This is a country-level publicprivate partnership whose role is, among others, to 1) coordinate the developmentof funding requests to the Global Fund for relevant program(s) based on priorityneeds at the national level and 2) oversee the implementation of program activities.CCMs must meet at minimum the CCM Eligibility Requirements.b. Non-Country Coordinating Mechanism (Non-CCM). In exceptionalsituations, the CCM in a certain country may not be in the position to carry out itscore functions or to fulfill the eligibility requirements. In these cases, a non-CCMapplicant submits the funding request. For further details on such situations, see theCountry Coordinating Mechanism Policy Including Principles and Requirementsc. Regional Coordinating Mechanism (RCM). This is a multi-country regionallevel public-private partnership and whose role is, among others, to 1) coordinatethe development of the funding request(s) to the Global Fund for relevantprogram(s) based on priority needs at the regional level and 2) oversee theimplementation of program activities.d. Regional Organization (RO). This is an entity with independent legalpersonality that is not a United Nations agency or a multilateral or bilateralorganization, which can demonstrate broad regional stakeholder consultation andinvolvement, including, but not limited to, the endorsement by each CCM of thecountries included in the relevant Program, and whose role is, among others, to 1)14Please refer to the Country Coordinating Mechanism Policy Including Principles and Requirements.17

coordinate the development of the funding request(s) to the Global Fund for relevantprogram(s) based on priority needs at the regional level and 2) oversee theimplementation of program activities.10. Differentiated Screening for CCM Eligibility Requirements 1 and 2. There is adifferentiated review of CCM eligibility requirements 1 and 2 (please refer to paragraph23). Country components considered to have higher risk of non-compliance15 with regardsto meeting CCM eligibility criteria would therefore require greater scrutiny and in-depthreview. Others will undergo a light screening. The determination of the appropriate levelof screening for compliance with eligibility requirements 1 and 2 is made by theCompliance Review Panel.Determine Funding Request and Review Approach11. Differentiated Application and Review Approaches. In order to accommodate thediverse portfolio needs with a view of a continuum from one allocation period to the next,there will be different types of funding request and review approaches during the 20202022 allocation period. B

1.1 OPN on Design and Review of Funding Requests (2020-2022 Allocation Cycle) 1.2 Operational Procedures on Design and Review of Funding Requests (2020-2022 Allocation Cycle) 1.3 OPN on Make, Approve and Sign Grants (2020-2022 Allocation Cycle) 1.4 Operational Procedures on Make, Approve and Sign Grants (2020-2022 Allocation Cycle)

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