Capacity Development and Transition
• UNDPs Commitment to Capacity Development
and Transition
• Capacity Development Assessment & Planning
• Capacity Development Results
• Transition Planning
• Capacity Development web-based Toolkit
Global Fund - June 2012
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 Mandate for 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.
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CD for Grant Management - 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.
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 of capacity within the
functional capacity areas, as well as evidence, needs,
and recommendations.
• The tool should be adapted for each context.
• The results of this capacity diagnosis exercise provides
priority capacity development needs that can inform
grant management and capacity development.
Example of Rapid Assessment Tool - Programming
Programme Management
Capacity: Effectively plan, manage, monitor, and forecast Programme 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
Examples of CD Objectives
The following are examples of capacity development objectives were identified to address cross-SR
capacity development needs.
1. Cross-organisational programme management coordination and collaboration
2. Strengthened Provincial management, accountability, & oversight
3. Improved Provincial and District performance and staff satisfaction –
4. Cross-organisational M&E coordination and collaboration
5. Comprehensive, accurate, and timely data capture and reporting from District and Provincial
levels
Capacity Development Plan
• Defining appropriate indicators: are key to ensuring success in
capacity development interventions. The indicators should be as few as
possible and easily measurable.
• Identifying short-term objectives: to build confidence, experience,
and demonstrate results.
• Coordinating with existing strategies and plans:
• Implementation: an important consideration is to ensure on-going
ownership.
• Considering change proponents and resisters: to engage both parties
in a joint effort to plan and implement change.
• Consider transition: identify possible milestones for transition of the
PR role from UNDP to the CCM-nominated national entity.
• Define realistic schedules and timelines: consider 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
• Prepare for implementation: confirm implementation arrangements
including plan, communications, results and indicators, management
roles, & 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 to oversee the implementation, and monitor indicators and
progress. From a Global Fund perspective this includes the CCM &
stakeholder working groups.
• 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 to more effectively and efficiently achieve results.
• Evaluate transition indicators and opportunities: during
implementation monitoring, measure transition indicators and
consider appropriate transition milestones.
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 leadership and ownership, with support from strong
CCM
• Multi-partner engagement
• Co-PR transition arrangement (UNDP and MoH) 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://www.undp-globalfund-capacitydevelopment.org/
http://www.undp.org/content/undp/en/home/ourwork/hivaids/focus_areas/focus_undp_gfp/capacity-development-toolkit/
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