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Grant implementation STOP TB workshop December 2005

Grant implementation STOP TB workshop December 2005. OUTLINE. 1- The grant cycle revisited 2- Progress reporting and disbursement requests 3- Budget revision 4- Annual reports 5- Annual audit. I. Proposals Management . Call for Proposals. 1.3 Screening. 1.4 TRP Review. 1.5

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Grant implementation STOP TB workshop December 2005

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  1. Grant implementation STOP TB workshop December 2005

  2. OUTLINE 1- The grant cycle revisited 2- Progress reporting and disbursement requests 3- Budget revision 4- Annual reports 5- Annual audit

  3. I. Proposals Management Call for Proposals 1.3 Screening 1.4 TRP Review 1.5 Board Approval 1.6 TRP Clarification (as required) 1.1 Future Round Planning 1.2 Guidelines for Proposal Refinement & Call for Proposals Board Approval Proposals Submitted Eligible Proposals Selected TRP Recommendations TRP Chair/Vice Chair Sign-off (Final Board Approval) The Global Fund grant process II. Grant Negotiation and First Disbursement 2.1 CCM Confirmation of PR Nomination 2.2 LFA Selection and Contracting Grant Negotiations 2.3 PR Assessments 2.4 Review of Budgets, Workplan, and Indicators PR Nomination Confirmed LFA Contracted 2.5 Negotiation (including conditions precedent) GrantSigning & First Disbursement 2.6 First Disbursement Preparation III. Performance-Based Funding and Grant Support Performance-based Funding Performance-based Funding 3.1 Ongoing Reviews & Disbursements 3.1 Ongoing Reviews & Disbursements 3.4 Grant Extension 3.3 Phase 2 Grant Renewal Process 3.2 Grant Revisions 3.2 Grant Revisions 18 months since first disbursement Phase 2 Go/No Go Decision Updated Grant Agreement 3.5 LFA Management 3.6 Grant Support End of Phase 2 Support Grant process key dates Board Approval Grant Signing Grant Start Grant Renewal (2 years) Grant End (up to 5 years) ARCH/300704/3

  4. Reporting – Background Disbursement Request and Progress Update (DR/PU) • PR will submit a DR/PU normally on a quarterly or semi-annual basis • The frequency is agreed during initial grant negotiations and can change during implementation • The frequency is influenced by: • Country characteristics • Grant characteristics • Partner involvement and grant harmonization • Funding is provided in advance for the next reporting period plus a buffer of 1 quarter

  5. Reporting - semi-annual basis

  6. Reporting– Program Expenditures

  7. Reporting – Cash Reconciliation

  8. Reporting – Example • Program start date: 1 January 2005 • Year 1 budget: Q1:$210k; Q2:$450k; Q3:$290k; Q4:$600k • Frequency of reporting: semi annual • 1st Disbursement (9 months): US$950k • Cash balance on 30 June 2005: US$400k consisting of: • US$ 50k savings • US$10k interest earned • US$50k delayed activities • US$290k buffer • Revised budget for period 1 July to 31 December 2005 is US$700k; and for period 1 January 2006 to 31 March 2006 is US$250k • What is PR’s next disbursement?

  9. Budget Revision – Change in Scope • A change in scope arises when PR wants to: • Add a goal, objective or service delivery area; • Drop a goal, objective or service delivery area; • Alter the balance between two or more goals, objectives or service delivery areas Where a change in scope occurs special procedures apply

  10. Budget Revision – Change in Scope Special procedures for a change in scope CCM Justify change GF Process LFA Review FPM Recommendation PR New workplan, targets & budget • CCM must approve change • LFA reviews and makes recommendation • GF will make decision (may consult TRP)

  11. Budget Revision – Practical Considerations Practical Budgetary Considerations GF,LFA,CCM, PR PR Notes: • Currency fluctuation can be a reason for Phase 2 acceleration • Document decisions • LFA review during periodic verification of implementation

  12. Budget Revision – Example • TB drug cost savings of US$150k due to: • A reduction in unit price by 25%; • PR intends to spend US$150k savings on training of microscopists • Is this a change in scope or not? • How should this change be dealt with?

  13. Budget Revision – Example 2 • Cost of identification of infectious cases has increased by US$94k due to: • 50% appreciation of local currency against US$; • the fact that all cost in the SDA are local currency denominated; • PR intends to pay for this by reducing budget for training. This implies that 35% less people will be trained. • Is this a change in scope or not? • How should this change be dealt with?

  14. Annual reports • Annual reports are required as part of programmatic progress reports (Art 15 b.ii of grant agreement) • Contain aggregated information on grant progress

  15. Audits: GF Requirements General rule: need for annual audit of program financial statements Note following special situations: • SWAps – single audit acceptable but GF funded expenditures should be clearly identifiable • UNDP as PR – • Annual financial statements certified by comptroller • Biennial financial statements externally audited • UNDP as PR in additional safeguards country – general rule applies • GF funding forms a substantial proportion of PR’s source of funding – PR audit acceptable Program financial statement sources and uses of funds statement

  16. PR’s Fiscal Year 1 Audits - When due General rule: coincides with the PR’s fiscal year and not anniversary of the grant start date. Audit report due within six months of end of fiscal year. Note: M6 M18 M12 M24 audited accounts may not be available at the time of Phase 2 renewal review When program starts after M6, audit is due after M18 When program starts before M6, audit is due by M18

  17. Audits: Responsibilities Responsibilities of PR, LFA and FPMs 3 1 2 PR FPM LFA • Decides on the acceptability of the auditor, ToR and SR audit plan • Decides on appropriate remedial actions in response to audit findings and recommendation • Engages the services of the auditor • Develops audit plan for SR • Facilitates performance of audit • Submits audit reports • Responds to and implements recommendations • Reviews acceptability of auditor, ToR and SR’s audit plan • Reviews audit reports and advises GF • Reviews PR’s implementation of audit recommendations

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