Capacity Development and
Transition
UNDP Global Fund Partnership
26 May 2013
An Approach for Capacity Development
& Transition
3. Pilot Systems
2. Review of SRs
national systems
Institutional
arrangements
reviewed;
Up date and put in
place legal
frameworks;
1. Existing
Systems
Strengthen national
SRs programming
SR systems reviewed and M&E;
& designed where
Introduce SR
needed;
management pilots;
Roles &
Introduce new or
responsibilities
revised SR systems;
clarified;
Scale up pilot;
Roles,
Manuals,
Procedures
Manuals & SOPs /
Templates revised;
Software;
Policy / Strategy
review
Revise Policy /
Strategy;
4. Transfer to
National Systems
On achievement
of milestones.
Transfer to
National Systems.
Oversight and
quality assurance
of systems in
place and
operational.
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
http://www.theglobalfund.org/en/activities/fundingmodel/
Capacity Development / Transition
Principles
• 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;
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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
Sub-recipient
Management
Selection & Oversight
Build Capacity
Financial Management
New Funding Model
Internal Control
National Strategic Plan
Budget Management
Country Dialogue
Accounting
Concept Note
Asset Management
Programming
HRM
Leadership
Decision Making
Procedures
Data quality
Procurement of; Drugs;
Goods; Supplies;
Expertise
Managing Information
Policies and Procedures
Monitoring & Evaluation
Analysis
Procurement Planning
Informed Decisions
Technical Specifications
Value for Money
Supply Chain
Management
Quality Assurance
Storage /Security
Logistics
Programming Capacities
Capacity areas / actions;
• Alignment e.g. between Grants / NFM & National
Strategies
• Operations manual with Functions / SOPs / Procedures /
Guidelines/ Templates adapted for each PR / SR
• Merit based recruitment of human resources to manage
PR /SR
• 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;
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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
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
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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
structures
• 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
entity
• 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
qualifications
– 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
milestones
• 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
Malaria
http://undp-globalfund-capacitydevelopment.org/