Capacity Development and Transition
• UNDPs Commitment to Capacity Development and
Transition
• Capacity Development Assessment
• Capacity Development Planning
• Capacity Development Results
• Transition Planning
• Capacity Development web-based Toolkit
May 2012
UNDP-Global Fund Partnership - 3 dimensions
1. Implementation Support
 UNDP serves as interim Principal Recipient (PR) in countries
facing exceptional circumstances.
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
 Integrate human rights, gender, sexual diversity in GF
programmes as part of UNDP’s substantive engagement and
mandate as UNAIDS co-sponsor
3. Capacity development support to Gov’ts,
national CSOs expanded + smooth transitions
• Transitions as PR in 4 countries, in another 10 process
started
• 12 countries have formally approved costed Capacity
Development Plans under implementation – 4 to be
finalized early 2012
• Change in UNDP approach to grant negotiations: CD
must be funded out of grant
• Support to COs on capacity development from BDP/HIV
Global Fund Team, in close cooperation with CDG
• CD toolkit and web ‘app’ in the works for early 2012
What is Capacity Development?
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.
Based on this definition, some fundamental concepts of capacity
development are:
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Multi-level: individual, institutional, and societal levels.
Results-based: measurable capacity development improvements
Change focus: requires managed change
Sustainable: strengthened capacities must sustainable & adaptable.
Ownership: owned by the target organisation and its stakeholders.
Capacity Development for Impeccable Grant
Management
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Structures and Programs aligned to Policy and Strategy
Strong Leadership (MoH, CCM, CSOs)
Oversight and Accountability Mechanisms (CCM, Internal Audit, user groups etc.)
Clear Mandates, Functions, Roles and Responsibilities
Strengthening (Country )Systems
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Results Based Management (RBM)
Simplified Standard Operating Procedures (SOPs)
Manuals + Standard Templates and Documents + Guidance
Checks and balances (spot checks, site visits etc)
Software solutions (information management, reporting, procurement tracking etc.)
Increasing compliance levels (targets, recognition, name and shame, sanctions)
Setting Standards / Awareness Raising of Requirements
Human Resource Management (mapping + attracting and retaining + incentives)
Technical Assistance and Skills Training
Accreditation / Certification (Procurement CIPs - Financial Management)
Knowledge Management; best practice / fit; Lessons Learned; Case Studies
Coaching, Mentoring and on the Job Training
CD for Grant Management -Critical Success Factors
• Ownership – Endogenous Process
• Common Vision and Leadership (GF, Counterparts &
UNDP)
• Capacity Development Results (measurable indicators)
• Systems +
• Inflexible / Prescriptive (FM & PSM)
• Flexible - Country Context
• Resources
• Coordination / Integration / Partnership
• Managing Change
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
Capacity for What?
There are five functional capacity areas required for National Disease
Management Programs including Global Fund Principal Recipient (PR) roles:
• Programme Management – successfully direct the operations of an
organisation to meet its objectives.
• Sub-recipient Management (Contract 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.
• Pharmaceutical & Health Product Management (Procurement and Supply
Chain Management) – ensure the continuous and 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.
Scope of Program Management Capacities
• Legal status: legally registered organisation; authority to enter into a
grant agreement; etc.
• Management and organisation: effective programme implementation;
support and commitment within the organisation; clear organisational
leadership, accountability, and responsibilities; etc.
• Infrastructure and information systems: functional information
technology systems for communications; capacity and staff for
programmatic reporting; etc.
• Technical expertise: sufficient staff with requisite HIV, TB, Malaria, and
health system strengthening expertise to implement and monitor the
programme.
Scope of Sub-recipient Capacities
• Sub-recipient selection: adequate procedures and criteria in place for
transparent selection of sub-recipients;
• Sub-recipient capacity assessment: adequate plans, resources, staffing,
and operational procedures to conduct sub-recipient capacity
assessments;
• Sub-recipient management and oversight: effective sub-recipient
agreements; procedures for sub-recipient planning, managing,
monitoring, and reviewing; etc.
Scope of Financial Management Capacities
• Organization of the financial management function: clearly defined
accounting and finance organisational structures; etc.
• Budget system: robust procedures to create, review, and update
budgets; authorized policies for expenses tracking; etc.
• Accounting system: ability to absorb planned increase in transactions;
Chart of Accounts with necessary levels of detail to monitor expenditures;
integration of accounting and financial systems; etc
• Treasury system: ability to absorb planned increased payment activity;
appropriate controls over management of cash; adequate cash
forecasting; etc
• Purchasing system (for non-health products): adequate processes,
procedures, and oversight for procuring non-health products;
• Assets management system: adequate safeguards to protect assets;
current fixed asset and inventory register; periodic physical inventories;
• Audit arrangements: sufficient external audit arrangements; effective
internal audit arrangements, structure, staffing, independence, reporting,
and plans.
Scope of Procurement and Supply Chain
Management Capacities (1)
• Management and coordination: adequate organisational
structure, staffing, and management for procurement functions;
etc
• Procurement policies and systems: adequate procurement
policies and procedures; competitive, efficient, and transparent
procurement processes; etc
• Intellectual Property Rights: membership in the World Trade
Organisation; patent laws covering pharmaceuticals; etc
• Quality assurance systems and capacity: established national
drug regulatory authority function; effective quality control; etc
• Product selection: appropriate responsibilities and procedures for
product selection; etc
• Management information systems: effective systems to track
stock levels and consumption data; etc
• Forecasting: effective responsibilities, systems, and procedures for
forecasting; etc
Scope of Procurement and Supply Chain
Management Capacities (2)
• Receipt and storage: effective responsibilities,
systems, and procedures for receipt and storage of
goods; etc.
• Distribution: documented product distribution
schedule; sufficient staff, vehicles, and storage
capacity for distribution; etc.
• Rational drug use: national treatment guidelines in
place and available where needed; etc.
• Other health products (non-pharmaceutical):
adequate quality assurance procedures for nondurable products; etc.
Scope of Monitoring and Evaluation Capacities
(1)
• Indicators: clear and measurable indicators with baselines,
targets, measurement methods, etc.
• M&E budget: comprehensive, adequate, and feasible
budget; resource sources and gaps;
• M&E work plan: effective M&E plan with clearly defined
activities, timelines, financial resource estimates, etc.
• M&E coordination: M&E management arrangements;
effective M&E stakeholder and technical working groups;
etc.
• M&E human resources: adequate M&E human resource
staffing and skill levels; adequate structures, etc.
• M&E tools and guidelines: M&E guidelines and standard
operating procedures; etc.
Scope of Monitoring and Evaluation Capacities
(2)
• Routine data collection, analysis and reporting: effective data collection,
analysis and reporting processes, including data repository, backup system,
etc.
• Data quality assurance and M&E related supportive supervision: feasible
and comprehensive data quality assurance strategy; etc.
• Evaluation, operational research, surveys, surveillance, special studies:
schedules for program evaluations, etc.
• Evaluation: adequate systems for independent evaluations etc.
• Information products, dissemination and use: clear information products
and dissemination methods?
• Alignment with and contribution to national M&E system: M&E plan linked
to national strategy; etc.
Capacity Assessment Tools
• There are some tools that provide a framework for
rapidly diagnosing (assessing, reviewing, etc.)
• The tools provides a structure to capture current and
targeted capacity levels for each component within
these five functional capacity areas, as well as
evidence, needs, and recommendations. The tool
should be adapted for each context.
• The results of this rapid capacity diagnosis exercise
will provide an outline of the priority capacity
development needs that can inform grant applications
and capacity development actions.
Scoring of current and target levels of capacity
The scoring of capacity levels follows the Global Fund
assessment scale as follows:
• C2 – capacity gaps pose major risks
• C1 – capacity gaps pose risks which cannot be
addressed in 3-6 months
• B2 – capacity gaps pose some minor risks that must be
completed prior to implementation
• B1 – Capacity gaps pose minor risks and must be
strengthened concurrently with implementation
• A2 – capacities and systems fully satisfy minimum
requirements
• A1 – capacities and systems exceed the minimum
requirements
Example of Rapid Assessment Tool - Programming
Programme Management
Capacity: Effectively plan, manage, monitor, and forecast PMU operations with clear roles &
responsibilities and transparent decision-making
Planning
Current
Target Target
Capacity Capacity Date
Existing Evidence
Capacity Needs
Recommendations
Points to Consider:
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Currency and use of strategic
and annual plans
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Tracking of actuals against
plan
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Use of historical data analysis
and forecasting data in
planning
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Coordination and integration
of Global Fund programme
planning with national
strategic planning for the
three diseases
Example Indicator
Sustainability
Plans for sustainable financing from funds, donors, and national resources
Capacity Development: Examples of
Objectives
The following are examples of capacity development objectives were identified to address cross-SR
capacity development needs. SR-specific capacity development needs are addressed through these
objectives, as well as others appropriate to each SR.
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Cross-organisational programme management coordination and collaboration – ensure that
management across organisations, and within the units of MOH, are coordinated with integrated
plans and schedules in addressing common issues, actively managing and overseeing the capacity
development plan, and in aligning implementation activities
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Strengthened Provincial management, accountability, & oversight – strengthen Provincial risk
and results-management competencies, levels of accountability, and active oversight
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Improved Provincial and District performance and staff satisfaction – Improve results-based
performance at the Province and District levels, and increase staff job satisfaction through
performance metrics, clear roles and responsibilities, non-financial incentives, and surveys
4. Cross-organisational M&E coordination and collaboration – coordination and collaboration
across SRs and other relevant partners with regard to active management and oversight of M&E
initiatives
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Comprehensive, accurate, and timely data capture and reporting from District and Provincial
levels – provide comprehensive, accurately, and timely M&E data capture and reporting, including
performance metrics, improved analytics, integrated databases, and knowledge platforms
Capacity Development Plan
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Defining appropriate indicators: are key to ensuring success in capacity development
interventions. The number of indicators should be as few as possible, easily measurable, SMART,
and should consider qualitative and quantitative, process and output/outcome indicators, as well
as those related to performance and behavioural aspects.
Identifying short-term objectives: to build confidence, experience, and demonstrate results and
value, it is important to schedule and plan for short-term objectives in the capacity development
plan
Coordinating with existing strategies and plans: capacity development plans should not stand
alone, but should be developed with knowledge of, and integrated with existing national
strategies and plans.
Transitioning towards implementation: a plan is only of use if it is implemented; and an
important consideration of capacity development planning is to ensure on-going ownership and
responsibility.
Considering change proponents and resisters: there will be supporters and adversaries; the
objective should be to engage both parties in a joint effort to plan and implement change.
Consider transition: in the context of a Global Fund financed programme, while defining the plan,
identify possible milestones for transition of the PR role from UNDP to the CCM-nominated
national entity.
Define realistic schedules and timelines: consideration should be given to the time required to
review and approve the capacity development plan. In addition, the scheduling of funding for the
plan may take time, and for Global Fund financing, will need to sync with the timing of grant
funding.
Implementation
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Prepare for implementation: confirm implementation arrangements including
plan and schedule, communications and knowledge sharing, results and
indicators, management roles, and responsibilities.
Ensure availability of resources: clarify financial and human resource levels and
scheduling required for the plan.
Confirm capacity development oversight: those responsible are identified and
available to oversee the implementation, and monitor indicators and progress.
From a Global Fund perspective this includes the CCM and stakeholder working
groups. The LFA can support in monitoring financial and programmatic deliveries
on behalf of the Global Fund Secretariat.
Implement the capacity development plan: manage inputs and resources to
execute programme interventions.
Conduct regular monitoring: ensure regular monitoring of activities and
reporting to management and oversight groups.
Adapt the plan and alter course: adjust the programme of work as necessary
during implementation to more effectively and efficiently achieve results.
Evaluate transition indicators and opportunities: in the case of Global Fund
programmes, during implementation monitoring and management reviews,
measure transition indicators and consider appropriate transition milestones.
Potential Scope for Transition Process
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Confirm the timing of transition planning: transition planning should be 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 organization will need effective management arrangements to jointly control and
coordinate transition activities.
Identify milestone indicators, transition scheduling, and risks: based on documents
and processes including the CD plan and scheduling of Global Fund grants, identify
milestone indicators for transition, scheduling and risk management.
Develop an estimated budget: detail budget requirements for transitioning functions.
Draft the transition plan report: document elements of transition, management
arrangements and responsibilities, and the budget.
Conduct integrated reviews: review the transition plan and budgets with senior
management, functional managers, 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 must be integral part
of the grant from the get-go – with adequate budget allocated
• MoH leadership and ownership, with support from strong CCM
• Multi-partner engagement, UNDP cannot do it alone
• Co-PR transition arrangement (UNDP and MoH) before full handover
• Strengthening systems, not just training, and broader focus than
just capacity to implement GF grants
• Important focus on systems for financial management and risk
mitigation
• 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://www.undp-globalfund-capacitydevelopment.org/
Features of Capacity Development “Toolkit”
• More systematic approach to CD and Transition
• Functional/Operational Capacities: Programme
management; Sub-Recipient Management; Financial
Management; Procurement & Supply Chain
Management; M&E
• 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