Capacity Development and
UNDP Global Fund Partnership
26 May 2013
An Approach for Capacity Development
& Transition
3. Pilot Systems
2. Review of SRs
national systems
Up date and put in
place legal
1. Existing
Strengthen national
SRs programming
SR systems reviewed and M&E;
& designed where
Introduce SR
management pilots;
Roles &
Introduce new or
revised SR systems;
Scale up pilot;
Manuals & SOPs /
Templates revised;
Policy / Strategy
Revise Policy /
4. Transfer to
National Systems
On achievement
of milestones.
Transfer to
National Systems.
Oversight and
quality assurance
of systems in
place and
New Global Fund Model - Opportunities
• Performance-based funding - to obtain / access Global Fund
(and other donors)
• Demonstrate effectiveness and value for money
• Demand driven
• Progress towards impact
• Good quality Policy & National Strategies (HIV Malaria & TB)
• Support to invest in National Strategies
• Country Dialogue between implementers (GO & NGO)
• Allocation formula; country’s share in the global disease
burden and Gross National Income (GNI) per capita.
• Prepare quality Concept Note
Capacity Development / Transition
• Continuous Provision of Services to Vulnerable Groups
• To develop sustainable capacity of National Entities –
Government and Non Government
• To reduce transaction costs
• Maximize Performance Management
• Minimize Fiduciary Risk
• Clear Plan of Action
• Transition Milestones
– Systems and procedures in place
– Systems allowing main functions to be carried out with acceptable
levels of compliance
• Capacity Development Indicators
– Systems in place and the degree to which they are being used
Institutional Framework
• Functional Analysis of PR & SR roles;
Programming / Work Planning / Budgeting / SR Management
Financial Management / Accounting / Risk / Oversight
Forecasting / Procurement/Quality Assurance/Supply Chain
M&E / Reporting / Analysis / Decision making
Clarify Roles and Responsibilities of PRs & SRs
Decide on management structures for PRs (PIU etc)
Develop Organograms for PR & SR role
New / Revised ToRs for PR & SR role
Strengthen Oversight & Accountability- CCM, Audit
Functional Capacities
Selection & Oversight
Build Capacity
Financial Management
New Funding Model
Internal Control
National Strategic Plan
Budget Management
Country Dialogue
Concept Note
Asset Management
Decision Making
Data quality
Procurement of; Drugs;
Goods; Supplies;
Managing Information
Policies and Procedures
Monitoring & Evaluation
Procurement Planning
Informed Decisions
Technical Specifications
Value for Money
Supply Chain
Quality Assurance
Storage /Security
Programming Capacities
Capacity areas / actions;
• Alignment e.g. between Grants / NFM & National
• Operations manual with Functions / SOPs / Procedures /
Guidelines/ Templates adapted for each PR / SR
• Merit based recruitment of human resources to manage
• Integrated Work Planning for PRs / SRs / SSRs
• Further strengthen coordination at all levels
• Submissions to the Global Fund and other donors.
• Communicate Results and Lessons Learned
Sub-Recipient Management
• SR management is a new role for new PRs
Capacity areas / actions;
• Establish Systems for SR Management including;
SR assessment
Selection of SRs
Contracting SRs
Managing performance of SRs
Risk Management of SRs
SR capacity assessment capacity development plans
SR Monitoring and Evaluation
• Pilot with new SRs then scale up?
Financial Management (1)
• Transition – will result in increase in volume of funds managed by
national entities
• Need to meet national requirements, international standards &
Global Fund requirements.
• PRs will be responsible for oversight and accountability of SRs.
• Sustainable financing to help meet funding shortfalls
Capacity areas / actions to strengthen Financial Management of PRs
• Review and revise Financial Manuals for Prospective PRs and SRs
• System for joint Budgeting for PRs, including for budget planning,
reviewing, monitoring analyzing variances and reporting
• Accounting system – Review and upgrade and roll out accounting
software for PRs and ensure that SR systems are compatible e.g.
consolidate reports are possible
Financial Management (2)
• Internal Audit – Strengthen audit & management follow up
• Disbursements – PRs develop cash forecast; information;
introduce system to track SR disbursements
• Treasury systems – PR to ensure SRs; separate bank account;
petty cash management; monthly bank reconciliations;
payment vouchers
• Reporting – PR and SRs financial reporting in line with GF
requirements; Service Delivery Areas (SDAs); program cost
categories; and implementers)
• Purchasing system – PR introduce purchase order system;
strengthen contract management
• Asset Management – PR to check that SR have system to
protect assets & manage inventory
• Tax exemption – For PRs
Procurement capacity areas and actions:
Procurement of pharmaceuticals e.g. ARVs & meeting international
standards is critical for grant performance and will require a number
of decisions and activities.
• Procurement department in PR, needs to become fully operational.
• National procurement policies reviewed against international
standards and Global Fund requirements
• Technical support needed, decisions on procurement management
• Review Quality Assurance systems for pharmaceutical products
• Review forecasting system including consumption & quality control
• Decisions on product selection & alignment to Global Fund policy
• Strengthen National Drugs Registry Authority registry system
• Systems to produce prioritized and budgeted procurement planning
• How to produce technical specification and evaluation
• Procurement feasibility study could be considered
• Procurement and Supply Chain Management business plan needed
Supply Chain Management
Supply chain management capacity areas and actions;
• Quality assurance control systems for random sampling and
qualified testing,
• National laboratory certification and management
• Logistics MIS reviewed and revised to improve data flow,
clarify roles, introduce stock cards, improve templates
• Health MIS to be reviewed and revised
• Review distribution schedule, ensure adequate transport
• Prioritize plan to improve national & sub-national storage
• Validation and management of buffer stocks
• Systems to manage expiry dates
• Enhance the management, sustainability and oversight.
• Sub-national control systems / Attract and retain Human
resources / SOPs / training/ monitoring visits
Monitoring & Evaluation
Clarify roles and responsibilities for M&E
Strengthen data collection and quality
Integrated management and access of M&E systems
Strengthening analysis and informed decision making by PRs and
key stakeholders
• M&E linkages to Programming, SR Management, budget
allocations and forecasting
• Identify case studies to demonstrate and communicate results
Capacity areas and actions;
– Revise / Prepare M&E manual PR, National Centers & SRs
– Improve quality and timeliness of data collection at sub-national
and national level
– Review existing databases to improve access and linkages with
open-source software
– Increase access and use of analytical software
– Management reports to improve decision making
Human Resource Management - Incentives
Capacity areas and actions;
• Functional Analysis of PR(s) and SRs identifies national
• Clarify Roles and responsibilities for PR and SR structures
• Revise Organogram to reflect PR functions and roles
• Consider how Global Fund positions integrated into national
• PRs merit based recruitment with adequate oversight
• Consider staff survey on retention and motivation of staff
• Review and strengthen Financial and Non-Financial Incentives
• Staff development plan
– Professionalization for Grant Functions e.g. Accountancy
– Leadership and management development
– Peer to Peer learning
– Coordinated training plans
National Strategy / Policy / Legal Framework
Enabling Environment
Enabling Environment capacity areas and actions
• Align CD & Transition actions with National Strategy
• Review national strategies; Identify gaps
• Action plan to implement nation strategies
• Harmonise / update Legal Framework
• Meeting international standards & WHO guidelines
• Mainstream Human Rights approaches
Capacity & Transition - Success Factors
• Ownership & Leadership– participation by PRs & stakeholders
• Global Fund requirements - Capacity actions and transition
• Attracting & Retaining Human Resources
• Oversight & Accountability – Mechanisms and risk mitigation
• Institutional Framework - Clear roles and responsibilities
• PR Operational Manuals – SOPs, procedures guidelines
templates, with roll out and training
• Mobilizing funding to support strengthening systems
• Momentum - realistic, quick results, priorities & milestones
• Sustainability – costing exercise for programs
• Coordination – CCM stakeholder engagement, link to health
system reforms, donor coordination
CD & Transition Management Considerations
• CD / Transition Plans allow UNDP, Global Fund &
Development Partners to provide and coordinate
support & increase performance
• Correct and realistic timing and ownership
• Focus on strengthening national systems
Programming; SR Management; FM; PSM; & M&E
• CD is a significant contribution to risk mitigation
• CD needs to have a grant performance indicator
• Country context determines when & how Transition
can take place e.g. ASP / Risk / Sanctions
• Transition Milestones for putting systems in place
Capacity Development Toolkit:
To support national entities in
implementation of national
responses to HIV and AIDS, TB and