Phase A (Sept-Dec 2016)
The consultants worked closely with the Principal Recipient (PR), sub-recipients, the CCM and its Oversight Committee, development partners, the Global Fund Senior Fund Portfolio Manager (FPM). The overall approach for development of the risk matrices, action plans and heat maps was as follows:
- Identify the key stakeholders in grant management, implementation and oversight (the ‘risk owners’).
- Using the Global Fund’s Grant Risk Assessment and Management (GRAM) tool as a guide, identify the key risks to implementation and monitoring of the grants.
- Compile this information into three risk matrices/action plans (one for each grant) and three heat maps that highlight the risk levels for each grant.
- Facilitate a stakeholder consultation workshop to validate the risk matrices and agree the risk mitigation measures and action plans.
- Secure endorsement of the action plans from the CCM Oversight Committee and ultimately the CCM.
Phase B (Jan-April 2017)
Over this period the consultants conducted periodic monitoring and follow-up of implementation of the risk management action-plans, focusing on achievement of the agreed milestones. This involved the following processes:
- Periodic email and telephone conversations between the national consultant and the PR/national programme staff, and by the international consultant with the Global Fund FPM, to monitor the extent to which the milestones had been achieved and to identify any blockages to implementation of the action plans;
- A more rigorous review at the end of February 2017 by the national consultant on the extent of achievement of the milestones. The risk management action plans were updated accordingly;
- An in-country visit by the international consultant together with the national consultant at the end of March 2017 to meet with the PR and national programme managers. The objectives were to:
a) review implementation of the risk management action plans, focusing on the degree of achievement of the milestones and the extent to which the major risks had been addressed in the new funding applications;
b) identify any new major risks to programme implementation and monitoring, and
c) update the risk matrices/action plans and heat maps accordingly.