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Functional Areas
- Audit and Investigations
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Capacity development and transition, strengthening systems for health
- A Strategic Approach to Capacity Development
- Capacity Development and Transition - Lessons Learned
- Capacity development and Transition Planning Process
- Capacity Development and Transition
- Capacity Development Objectives and Transition Milestones
- Capacity Development Results - Evidence From Country Experiences
- Functional Capacities
- Interim Principal Recipient of Global Fund Grants
- Legal and Policy Enabling Environment
- Overview
- Resilience and Sustainability
- Transition
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Financial Management
- CCM Funding
- Grant Closure
- Grant Implementation
- Grant-Making and Signing
- Grant Reporting
- Overview
- Sub-recipient Management
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Grant closure
- Overview
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Steps of Grant Closure Process
- 1. Global Fund Notification Letter 'Guidance on Grant Closure'
- 2. Preparation and Submission of Grant Close-Out Plan and Budget
- 3. Global Fund Approval of Grant Close-Out Plan
- 4. Implementation of Close-Out Plan and Completion of Final Global Fund Requirements (Grant Closure Period)
- 5. Operational Closure of Project
- 6. Financial Closure of Project
- 7. Documentation of Grant Closure with Global Fund Grant Closure Letter
- Terminology and Scenarios for Grant Closure Process
- Human resources
- Human rights, key populations and gender
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Legal Framework
- Agreements with Sub-sub-recipients
- Amending Legal Agreements
- Implementation Letters and Management Letters
- Language of the Grant Agreement and other Legal Instruments
- Legal Framework for Other UNDP Support Roles
- Other Legal and Implementation Considerations
- Overview
- Project Document
- Signing Legal Agreements and Requests for Disbursement
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The Grant Agreement
- Grant Confirmation: Conditions Precedent (CP)
- Grant Confirmation: Conditions
- Grant Confirmation: Face Sheet
- Grant Confirmation: Limited Liability Clause
- Grant Confirmation: Schedule 1, Integrated Grant Description
- Grant Confirmation: Schedule 1, Performance Framework
- Grant Confirmation: Schedule 1, Summary Budget
- Grant Confirmation: Special Conditions (SCs)
- Grant Confirmation
- UNDP-Global Fund Grant Regulations
- Monitoring and Evaluation
- Principal Recipient Start-Up
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Procurement and Supply Management
- Development of List of Health Products and Procurement Action Plan
- Distribution and Inventory Management
- Overview
- Price and Quality Reporting (PQR) System
- Procurement of Non-health Products and Services
- Procurement of Pharmaceutical and Other Health Products
- Quality Control
- Rational use of Medicines and Pharmacovigilance Systems
- Strengthening of PSM Services and Risk Mitigation
- UNDP Health PSM Roster
- UNDP Quality Assurance Policy and Plan
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Reporting
- Communicating Results
- Grant Performance Report
- Overview
- Performance-based Funding and Disbursement Decision
- PR and Coordinating Mechanism (CM) Communication and Governance
- Reporting to the Global Fund
- UNDP Corporate Reporting
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Risk Management
- Common Risks Identified in Global Fund Programmes
- Global Fund Risk Management
- Introduction to Risk Management
- Overview
- Risk Management in High Risk Environments
- Risk Management in UNDP-managed Global Fund Grants
- Risk management in UNDP
- UNDP Risk Management in the Global Fund Portfolio
- Sub-Recipient Management
Outcome of the SR Capacity Assessment
The UNDP Country Office (CO) needs to take different steps, depending on the outcome of the capacity assessment:
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Positive assessment without reservations or significant assessed risks: UNDP CO can proceed with the preparation of the Sub-recipient (SR) agreement documentations and contact the Legal Office (LO) if there are any deviations from the appropriate model SR agreement. Please refer to figure 2 here for next steps. The cash transfer modality may be used for the SR that has a positive assessment and is rated low risk. Depending on the programme needs, the other modalities can also be used or a combination of the three modalities. The cash transfer modalities are:
- Direct cash transfers – Funds are transferred by UNDP to the SR before the SR incurs expenditures to support activities agreed in the work plan;
- Direct payments – SR is accountable for the expense, does the sourcing but requests UNDP to effect payment to the vendor and other third parties to support activities agreed in the work plan; and
- Reimbursements – SR pre-finances grant activities with prior approval of UNDP and is reimbursed on submission of a request for reimbursements with supporting.
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Positive assessment (with reservations): UNDP CO determines that the SR does not possess all the required capacity to carry out the activities envisioned under the programme. UNDP and the SR need to address the identified capacity issues prior to signing the SR agreement – for example, through a Condition Precedent/Special Condition or a capacity development plan, as part of the agreement, or through specific cash transfer modalities, as risk mitigation measures. For an SR rated as moderate risk, direct cash transfers may be applied for specific areas found to be strong, while direct payments or reimbursements would apply in weaker areas.
For an SR rated as significant risk, direct cash transfers or reimbursements should not be used. Direct payments may be used only in selected areas where the SR internal control framework is assessed as adequate. UNDP CO retains and implements certain activities under direct implementation, through which UNDP incurs expenses directly on behalf of the programme and in the context of Global Fund grants, this includes procurement of health products and capital assets, procurement of high value professional services, all procurement for countries under the “Zero Cash Policy” and all other SR activities that cannot be financed through the three cash transfer modalities based on the risk rating. The UNDP CO can also consult with the Global Fund/Health Implementation Support Team about how to address the situation most appropriately.
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Negative assessment and UNDP determines that capacity cannot be developed, even with appropriate measures: UNDP should reject the entity as an SR and initiate a new selection process.
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