UNDP-Global Fund Partnership - 3 dimensions
1. Implementation Support
2. Capacity Development
 While serving as interim PR, developing the capacity of one or
several national entities to take over the PR role when they are
ready and as soon as circumstances permit.
3. Policy Engagement
UNDP defines capacity development as;
• the process through which individuals,
organizations, and societies obtain, strengthen, and
maintain the capabilities to set and achieve their
own development objectives over time.
Capacity Development to Transition
3. Parallel
Systems
2. Design PR
Systems
PR systems
design / review;
1. UNDP
Roles &
Systems
responsibilities,
Manuals, SOPs,
Roles,
Manuals, Procedures,
Templates
SOPs,
Procedures Software
Pilot new
or revised
PR System
and run in
parallel
with UNDP
systems
4. PR Systems
New PR
systems used.
UNDP
oversight and
quality
assurance
Capacity Development to Transition
1. UNDP systems*
Clarify CO/PMU roles and responsibilities
Business process re-engineering producing SOPs
Revise or prepare manuals
Revise or prepare procedures and templates
Disseminate, train and roll out
2. Design or review
PR /SR systems*
Clarify future PR and SR roles and responsibilities
Business process re-engineering producing PR & SR SOPs
Revise or prepare PR/SR manuals
Revise or prepare PR/SR procedures and templates
Identify HR requirements for PR/SR
Identify & put in place hardware software for systems
Disseminate and train PR / SR on new/revised system
3. Pilot and run
parallel systems*
Pilot new or revised PR/SR system
Mentoring and coaching for PR/SR
Scale up pilot to all PR/SR
PR/SR system run in parallel with UNDP systems
Once milestones achieved PR/SR system assessed
4. Transition to
PR/SR Systems*
UNDP activities handed over to PR/SR systems
UNDP oversight of PR/SR systems
*Systems include Programming, SR Management, Financial Management, M&E
PR/SR/CO/PMU Resources for CD
Best Practice understanding GF requirements
• CD Toolkit
http://www.undp-globalfund-capacitydevelopment.org/
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UNDP Teamworks https://undp.unteamworks.org/node/16825
Guidelines
UNDP CO to UNDP CO /
Community of Practice (COP)
Peer to Peer Learning
Effective teams UNDPCO-PMU / PR
International Standards e.g. IPSAS
UNDP & PR SOPs
UNDP Regional managers conference call
UNDP Finance Clinics
Business process re-engineering
Risk Management e.g. Controlled Self Assessment
Social Networking - Twitter.com/CD2Transition : https://twitter.com/UNDP
#EndHIVThursday
CD Opportunities from Business Process Reengineering
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Transfer of activities from UNDP to future PR or National Entity
Good and simple design of SOPs (enables CD)
Defining Roles and Responsibilities UNDP CO-PMU / PR
PR SOPs
UNDP CO-PMU / PR ‘joined up’ working
Roll out of SOPs to PR + Coaching and mentoring
PR understanding of UNDP, GF and other funders requirements
Separating Program Management & Quality Assurance
Review / establish / strengthen PR SOPs
Shadowing / Secondment / Parallel systems
CD Plan to strengthen PR systems for Programming, FM,
Procurement & M&E
• Everyone has a contribution to make to PR CD
Grant Management CD to Transition - Success Factors
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Focus on Strengthening (Country) Systems
Common Vision, Leadership & Ownership
Capacity Development Results (measurable indicators)
Prescriptive (FM & PSM)
Flexible - Country Context
Resources Required
Coordination / Mainstream / Partnership
Strengthening Systems Mitigates Risks
Phased Handover, Transition Milestones
Win-Win with concrete results leading to Handover
Capacity Development for Grant Management
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Structures and Programs aligned to Policy and Strategy
Oversight and Accountability Mechanisms
Clear Mandates, Functions, Roles and Responsibilities
Strengthening Systems
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Results Based
Standard Operating Procedures (SOPs)
Manuals + Templates and Documents + Guidance
Checks and balances
Software solutions
Increasing compliance levels
Setting Standards / Awareness Raising of Requirements
Human Resource Management
Technical Assistance and Skills Training
Accreditation / Certification
Knowledge Management
Coaching, Mentoring and on the Job Training
Capacity Development Process
ENGAGE
•Analyze Stakeholders
•Confirm Institutional
Stakeholders
•Define Capacity Development
Team and Roles
•Plan and Manage
Communications
ASSESS
•Plan
•Scope
•Review Evidence
•Conduct assessment
•Verify
•Draft report
•Review
PLAN
•Organize
•Review documentation
•Outline objectives
•Define indicators
•Identify interventions
•Prioritize/ Schedule
•Budget
•Draft plan report
•Review
•Move to implementation
IMPLEMENT
•Prepare
•Confirm resourcing
•Confirm oversight
•Implement interventions
•Monitor
•Adapt
EVALUATE
•Capture lessons learned
•Establish feed-back
mechanisms
•Integrate in planning cycle
Capacities for Grant Programme / Management
There are six functional / implementation capacity areas required for National Disease
Management Programs including Global Fund Principal Recipient (PR) and SubRecipient (SR) roles:
• Programme Management – successfully direct the operations of an organisation
to meet its objectives.
• Sub-recipient Management (Contract / Service Delivery Management) – ensure
effective oversight, management, and control of Sub-recipient activities to deliver
planned results.
• Financial Management & Systems – plan, direct, and control financial resources
to enable and influence the effective and efficient delivery of organisational
objectives.
• Risk management and prevention of fraud and corruption – identify and
manage risks, mitigate risks and enforce actions to prevent financial and material
loss through fraud and corruption
• Procurement and Supply Chain Management – ensure the reliable availability of
sufficient quantities of quality-assured, effective products and services to endusers, procured at the lowest possible prices in accordance with national &
international laws.
• Monitoring & Evaluation – collecting, storing, analysing and transforming data
into strategic information to be used by management to make decisions.
Potential Scope for Transition Process
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Confirm the timing of transition planning: at the earliest opportunity and closely linked
to capacity development planning
Organize the transition planning process: confirm the approach for planning, including
key responsibilities, scheduling etc.
Managing transition: transition is owned both by the prospective PR(s), and by UNDP;
each will need management arrangements to jointly coordinate transition activities.
Identify milestone indicators, transition scheduling, and risks: based on the CD plan
and scheduling of Global Fund grants, identify milestone indicators for transition and
schedule.
Develop an estimated budget: budget requirements for transitioning functions.
Draft the transition plan: document elements of transition, management arrangements
and responsibilities, and the budget.
Conduct integrated reviews: review the transition plan and budgets with management
and stakeholders to finalize, approve, and gain support.
Move toward implementation: confirm approach, responsibilities, and funding required
to initiate and implement the transition plan.
CD and Transition - Lessons Learnt
• Capacity Development and Transition Plans ideally be
integral part of the grant from the get-go – with adequate
budget allocated
• MoH and/or National Entity leadership and ownership,
with support from strong CCM
• Multi-partner engagement
• Co-PR transition arrangement (UNDP and MoH and/or
National Entity) before full hand-over
• Strengthening systems, not just training, and broader
focus than just capacity to implement GF grants
• Important focus on systems for financial management and
sub-recipient management
• Early ‘selection’ of national PR
• Transition is a longer term objective in some countries
Capacity Development Toolkit:
To support national entities in implementation of
national responses to HIV and AIDS, TB and
Malaria
http://undp-globalfund-capacitydevelopment.org/
UNDP Teamworks (password required)
UNDP's Partnership with the Global Fund
https://undp.unteamworks.org/node/16825
Features of Capacity Development “Toolkit”
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More systematic approach to CD and Transition
Functional/Operational Capacities
Targets Government entities and NGOs
Based country experiences – especially Zambia,
Zimbabwe & Haiti
• Strengthens systems and procedures – not just
training
• Indicators to track progress and results
• Web-Based, makes it accessible & adaptable to
country context