Draft Capacity Development Concept Note
For Functional or Implementation Capacities for
National Disease Management of HIV
This capacity development concept note primarily considers the potential priorities for both
public sector and civil society organizations to implement Global Fund (GF) grants and in the
medium term to allow a transition of the Principal Recipient (PR) role when the circumstances
permit. The following is a summary of potential capacity development objectives that
commonly emerge as an illustration for this Capacity Development (CD) concept note. The
actual CD objectives will be identified through a process of engagement, diagnostics and
planning described in this concept note.
Example Capacity Development Objectives:
1. Organizational development resulting in structures with clear roles and
responsibilities for the two entity level governments and other stakeholders aligned
to HIV strategies, for effective delivery and coordination of disease management
programs and grants
2. Sustainable financing arrangements in place to ensure continuity of services for HIV
and a reducing dependency on GF Grants
3. Government and CSO systems strengthened to effectively and efficiently manage
and implement disease management programs and grants for HIV
4. Accurate and timely data capture and flows, improving the quality and availability
of information used for decision making
5. Improved risk management, with strengthened accountability and oversight, in
particular for program, contract, financial and procurement management
6. Communication plans for national disease management of HIV, aligned to strategies
& targeting key audiences
7. Transition of Disease Management Programs and grants for HIV to national
entity(ies) delivery as soon as circumstances allow
In addition to the Global Fund grant capacity development scope of this concept note, a section
is included for a complimentary program funded by UNDP and other partners to lever
complimentary capacity in areas such as Governance, Human Rights and Gender.
National Disease Program and Grant Management for HIV
Draft Capacity Development Concept Note
The capacity development process will identify and outline the priorities to develop capacity for
national disease program and grant management for HIV, to ensure quality implementation of
grants and a sustainable handover of the Principal Recipient (PR) role from UNDP as soon as
circumstances permit. The purpose of the capacity development process is to utilize the remainder
of the period of the current grants to put in place the systems and procedures with the supporting
skills and resources to enable the relevant government and civil society organizations to fully
manage and resource the national disease management programs for HIV as soon as circumstances
permit. This will ensure continuity of essential services for HIV by developing sustainable programs,
and allow UNDP to exit responsibly.
Country Context
Global Fund Grants
Participatory CD Assessment & Planning Process for National Disease Management of HIV
UNDP has developed a capacity development web-based “CD-toolkit” to provide practical guidance
on how to manage a capacity development process for national entities to implement national
disease responses for HIV and AIDS, Tuberculosis and Malaria. The web-based “toolkit” includes
advice, tools, templates and results frameworks for the capacity development process. It also
supports the development of plans to transition the Principal Recipient role. The following shows
the process steps for capacity assessment and planning:
Capcity Development Engagement to Identify Strategic Direction
Strategic engagement of key government and CSOs at a senior level
Mapping & Self-Assessment of Capacities for National Disease Management of HIV
Key Public Sector agencies select strategic and implementation capacities.
Self-assessment conducted to identify current and target level capacities
Analysis, Prioritization & Capacity Development Planning
Facitilitated analaysis, prioritization and planning with Key Public Sector agencies and
stakeholders to formulate a prioritized CD Plan to Strengthen National Disease
Management systems
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Draft Capacity Development Concept 18 May 2012
Introduction to the capacities for sustainable National Disease Management of HIV
Strategic level capacities
A mapping exercise will be conducted at a senior level in public sector organizations and key CSOs
to identify the key capacities for national disease management for HIV. These are likely to consist of
high level strategic capacities including; Policy; Strategy; Sustainable Financing; Coordination;
Government / CSO relationships; and Communication (See Annex 1 for description of Strategic
Capacities).
The strategic level capacities will require clear policies and strategies to be in place at a government
level. These in turn need effective structures, clear roles and responsibilities, procedures, plans and
resources to allow implementation. The capacity development plan will include strengthening the
strategic capacities identified together with the advice and guidance to adapt best practice to the
country context together with support and mentoring to put these in place.
Functional capacities
At the implementation level there are implementation /or functional capacities required to ensure
the continuity of services. The functional capacities consist of; Program Management; SubRecipient Management; Financial Management; Procurement and Supply Chain Management; and
Monitoring and Evaluation. (See Annex 1 for description of Implementation or Functional
Capacities).
The functional capacities require the government and key CSO systems to be strengthened to a
level where the entities can manage the implementation of national disease programs and grants
for HIV. The main focus of the capacity development plan is on strengthening the entities
implementation systems. The systems will be reviewed and reformed drawing on best practice
taking into account the context to result in ‘best fit’. This organizational development will result in
appropriate integrated structures being in place, with clear roles, responsibilities and utilizing
standard operating procedures, to deliver accessible and responsive services in a cost efficient and
effective manner. The systems will need adequate oversight put in place to increase accountability
and mitigate risk.
As part of strengthening the relevant entity systems the implementation functions will be
transferred from UNDP to the relevant Entity departments once sufficient capacity is in place. This
will required the CCM to request a transition to the National PR(s), which will be followed by a Local
Funding Agent assessment and approval from the Global Fund. The details of the transfer will be
developed in a transition or transfer plan once the CD plan has been finalized. The transition plan
will have clear milestones, it will set out phased arrangements and activities for a transition from
UNDP as the interim PR of the GF grants to the national PR(s), selected once circumstances allow.
The National Disease Management Capacity Development (CD) Plan
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.
A HIV National Disease Management Capacity Development Plan will focus primarily on
strengthening systems for strategic level and function / implementation capacities. The purpose of
the plan will be to;
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Draft Capacity Development Concept 18 May 2012


Strengthen the institutional arrangements for national disease management of HIV
Strengthen entities systems to manage the implementation for national disease
management programs and grants for HIV
Process to identify the current and target levels of capacity
Central to the design of the CD plan will be a medium term and holistic view to risk management
and risk mitigation. The CD plan will be designed utilizing, as much as possible, self-assessments by
public sector entities and other key stakeholders using a rapid Assessment Tool template. The
functional capacity assessment tool will provide a comprehensive ‘menu’ mapped against the GF
grant requirements including; Program Management; SR Management; Financial Management;
Risk management; Procurement Supply Chain Management (PSM) and Monitoring and Evaluation
(M&E). The entities will select capacities from the ‘menu’ based on the future roles to be taken in
national disease management implementation. A complimentary rapid assessment tool will be
added for the strategic capacities identified. The scoring system to be used is the GF system of C2 to
A1. For each capacity there will be an example indicator to create a baseline and measure results.
Upon completion of the tools the findings will be collated into charts (see Annex 2 for example).
These will show the current and target levels of capacity, which will allow an informed discussion on
the priority capacities and to identify any common issues emerging and overall objectives of the CD
plan. In addition this process will help to strengthen the level of ownership and understanding of the
CD Plan.
The CD Plan will build on the skills and technical training supported to date by the GF grants. The
focus of the plan is on strengthening systems and is not intended to directly strengthen technical
disease management capacities, but will contribute to technical capacities by improved knowledge
management and M&E. Where possible the planned activities will develop capacity for all relevant
stakeholders (including Civil Society Organizations).
UNDP Programmatic Additionality
In addition to the Global Fund grant capacity development covered by this this concept note, a
complimentary program is planned funded by UNDP and other partners to lever complimentary
capacity in areas such as Governance, Human Rights and Gender. This UNDP Program will be
designed based on identifying the needs and opportunities to add value to the CD supported by the
GF. The GF CD plan might look at mechanisms and processes for the oversight and accountability of
aspects of financial management, procurement and supply chain management and / or monitoring
and evaluation of GF Grants. The UNDP Program would consider mechanisms and processes for the
oversight and accountability not just of GF grants but could include all national disease
management programs, health services delivery or broader public sector service delivery. There
would be a positive synergy between the GF CD Plan and the broader UNDP Program, allowing GF
program best practices to be shared and wider public sector reforms to improve the operating
environment for GF Grants and other national disease management programs. This will help to
ensure that the capacities being strengthened in the GF CD Plan will be sustainable past the life time
of the grant and that it is linked to broader public sector management and reform. The UNDP
program would help ensure that there was a systematic approach to knowledge management
through a series of case studies, briefing papers and peer to peer learning.
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Draft Capacity Development Concept 18 May 2012
An example of this synergy between the GF CD Plan and the UNDP Program could be in
Procurement and Supply Chain Management. The GF CD Plan could support the production,
dissemination, training and mentoring of a GF / HIV contextualized procurement manual including
standard bidding documents, evaluation process and template contract documents. The UNDP
Program could participate in the reform of the national procurement systems, this would ensure
that the GF / HIV manual was aligned to the national requirements. This would also provide
opportunities for the best practice and lessons learned from the GF CD Plan to be shared across HIV
programs, other disease management programs, the health sector and other sectors.
Other potential areas for leveraging the GF CD plan and at the same time using the broader UNDP
program could include; Value for Money; risk management; results based management; and
strategic planning and management. A concept note will be used to identify the potential scope of
the UNDP program and define the linkages and added value to the GF CD Plan. Following
consultation this will be developed into a UNDP program document.
Process to consider the findings of the assessments and the capacity
development priorities
Strategic Level – Capacity Assessment for National Disease Programs for HIV
The Strategic Level capacity assessment will be conducted with the relevant public sector and CSO
entities identified at the scoping stage. The following chart provides an example for illustration of
the current level of capacity together with target level of capacity of an entity.
Example Entity
Rapid Capacity Assessment for National Disease Responses
(Current vs Targeted Capacities)
Government / CSO Relationships
C1
Financial Sustainability
C1
Coordination
C1
A2
A2
A2
Communication
B2
Regional Collaboration
B2
Strategy Implementation
B2
Policy Implementation
B2
Policy Formulation
B2
A2
A2
A2
B1
2
3
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Draft Capacity Development Concept 18 May 2012
Targeted
Capacity
A2
International Relations / Reporting
1
Current
Capacity
A2
4
A2
5
6
Strategic Level - Capacity Development Priorities and Capacity Activities
Following the self-assessment, a review of existing diagnostics and reports, together with
discussions with the relevant public sector entities and CSOs, will allow the capacity development
priorities, actions and results to be identified for national disease management for HIV, an
illustration is provided below:
Priority Strategic Capacities Relevant Public
Sector and CSOs Level
Capacity Development Activities & Indicators
Financial Sustainability :–
• Financing mechanism – financial analysis and
planning
• Multi-Sector approach to HIV Programs,
include prevention and health promotion
• Advocacy for financial resources for HIV:–
rationale / access to services / increasing
awareness / budget allocation
• Combination of National and International
financing
• Cost reduction and Value for Money
Coordination• Vertical (community to / CSOs/ regional /
entity / state) Horizontal across disease
management (include other sectors)
• Functional analysis (who is in charge of what)
• Clear roles and responsibilities, new reporting
lines
• Information flows, structures, reporting
templates, quality assurance & access for
decision making
Policy Formulation & Implementation etc.
•
Capacity development activities:–
Financial sustainability review to produce a
strategy and action plan for HIV national disease
programs.
Support and mentoring for implementation of
strategy and action plan.
Indicator :HIV disease management plans being
implemented for sustainable financing from
funds, donors, and national resources.
Capacity development activities:–
Functional analysis of HIV Institutions leading to
clear roles and responsibilities together with
mechanisms for sharing information.
Support & mentoring to strengthen coordination
arrangements & information sharing.
Indicator:Level of coordination on disease management
policy and strategy between national and sub
national levels
Capacity development activities:–
Indicator:-
Integrated Strategic Level Capacity Development
To respond in the most effective and efficient manner to the common strategic level capacity
priorities for HIV national disease management, an integrated package of support will be designed
and delivered. As an example some potential components of this strategic level package of support
for HIV national disease management could be:

Support to review and finalize the HIV strategy or update the HIV strategy, as well as plans
to implement the strategies
Conducting a functional analysis, resulting in mechanisms with clear roles and
responsibilities for the HIV national disease management strategic priorities
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Draft Capacity Development Concept 18 May 2012


Facilitation for the development and implementation of a financial sustainability strategy
and action plan that is integrated with the strategic and functional priorities for HIV national
disease management
Support to develop and implement communication plans and systems for national disease
management of HIV, aligned to strategies & targeting key audiences
Functional / Implementation Capacities for National Disease Programs for HIV & TB
In conjunction to the strategic level capacity assessment a functional or implementation level
capacity assessment will be conducted with the identified Public sector and CSO entities. The
functional capacities consist of; Program Management; Sub-Recipient Management; Financial
Management; Risk Management; Procurement and Supply Chain Management; and Monitoring and
Evaluation.
The following chart provides an example for illustration of the current level of program management
capacity together with target level of program management capacity in an entity. Similar capacity
findings can be included from other entities. The charts showing the current and target capacities
from different entities can be included in Annex 2.
Example Entity
Programme Management - Current and Targeted Capacities
Management informations systems
C1
A2
Accountability & Oversight
C1
A2
Managing Risk
C1
A2
Forecasting
C1
A2
Monitoring
C1
A2
Managing
C1
A2
Maintain & Develop Health Expertise
B2
A2
Recruit Health Expertise
B2
A2
Maintain & Develop Mgmt Staff
B2
A2
Recruit Mgmt Staff
B2
A2
Policies and procedures
B2
A2
Partnering
B2
A2
Planning
B2
A2
Legal authority
B2
A2
B1
Infrastructure
0
1
2
3
Current
Capacity
Targeted
Capacity
4
A2
5
6
Functional Capacity Development Priorities and Capacity Activities
The results of the self-assessment and discussions with the different entities will allow capacity
development priorities, actions and results to be identified for national disease management for
HIV: An illustration is provided below;
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Draft Capacity Development Concept 18 May 2012
Program Management
Priority Functional Capacities for Entities
• Clear roles and responsibilities government
and CSOs
• Need for principles, procedures and
guidelines for provision of services and
products to citizens
• Mechanism for harmonized disease
management program implementation for
HIV
• Develop program management
implementation capacities
• Define TORs for program implementation &
oversight
• Establish information based decision
making structures, to utilize lessons learned
and manage knowledge
• Establish structure, systems and capacities
for program Quality Assurance and Risk
Management
• Establish participatory mechanism with
partners for joint planning & decision
making
• Policies, procedure manuals & guides for
program management, based on lessons
learned/ best practice
• Develop and roll out program results
framework
• Disseminate guides and monitor
performance & compliance
• Mechanisms & templates for quality &
timely report writing at all levels, with
feedback loop
• Structure and approaches to implement
recommendations & actions that are
effective & timely
• Map HR / staff required including Program
Management(PM)
• Selection and performance management of
staff for PM
• Management Information Systems
designed and implemented for Program
Management, with staff training & support
• Map, recruit, manage and monitor adequate
health expertise
Capacity Development Activities & Indicators
Program Management
Capacity development activities:–
Organizational Development;
Functional analysis of HIV institutions, leading
to clear roles and responsibilities, together with
mechanisms coordination, results management,
quality assurance, risk management,
participation and oversight.
Standard Operating Procedures (SOPs);
Review & update of procedures & guidelines for
provision of HIV services & products.
Review & update of procedures and guidelines
for program management based on ‘best fit’.
Disseminate guides / manuals, strengthen
systems & update skills for program
management.
Information Management;
Enhance management information systems for
HIV data capture & analysis, with effective
reporting & information flows enabling evidence
based decision making.
Human Resource Management (HRM);
Strengthen human resource management to
map, select and manage the performance of
staff involved in program management.
Indicators: A system of program management
performance indicators in place and the
degree to which it is used.
 The availability of data analysis and how
often it is used to inform program
management decision-making.
 The availability of risk management policies
and procedures for program appraisals and
the frequency of their use.
 Level of integration of Global Fund
management and procedures into national
procedures and policies.
Sub-Recipient Management (Contract Management)
Priority Functional Capacities for Entities
Capacity Development Activities & Indicators
Sub-Recipient
Management

Capacity development activities:–
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Draft Capacity Development Concept 18 May 2012
Standard Operating Procedures (SOPs);
Results Management;
Risk Management;
Indicators:Financial Management Systems
Procurement and Supply Chain Management (PSM)
Monitoring and Evaluation
Integrated Functional Capacity Development
To respond in the most effective and efficient manner to the functional capacity priorities for HIV
national disease management, an integrated package of support will be designed and delivered. The
main components of this functional level package of support for HIV national disease management
could include:




Conducting a functional analysis, resulting in mechanisms with clear roles and
responsibilities for the HIV national disease management strategic priorities
Reviewing the standard operating procedures (SOPs) for the functional areas and preparing
revised SOPs with guidelines/manuals for national disease programs for HIV which are
disseminated, supported by updated skills, knowledge and ICT to meet required compliance
levels.
Facilitate the development of a results management framework for national disease
management for HIV, and support the implementation ensuring integration between
programming and M&E, together with a more effective working relationship between
different entities and stakeholders.
Support the development of a comprehensive risk management strategy for HIV programs
across all of the functional areas, with integrated risk management plans to implement
programming, contract management, financial management, procurement and M&E
mitigation measures, with effective oversight and accountability mechanisms to ensure high
levels of compliance.
Conduct human resource management mapping across the functional areas, also taking into
account the broader HRM requirements of HIV programs to plan and implement the staff
selection and performance management of staff involved in functional areas of HIV national
disease management.
Capacity Development Plan for Implementing HIV National Disease Management Programs
The CD plan establishes a baseline and target levels of capacity using measurable indicators. The CD
plan can include conducting functional reviews for the public sector entities and NGOs, which will
identify opportunities to make the roles and responsibilities of the main stakeholders clearer and
avoid duplication.
The main focus of the CD plan will be on the functional capacities. The plan will need to be
prioritized but could include the following; 1) the development and strengthening systems and
procedures; 2) providing support and mentoring to strengthen these systems; 3) training and
knowledge management could be targeted to develop the necessary skills and understanding; 4)
low cost ‘off the shelf’ software could be put in place where needed; 5) experience and knowledge
sharing could be facilitated; and 6) finally, a transition process might need to be put in place to
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Draft Capacity Development Concept 18 May 2012
ensure that the roles and functions can be transferred from the interim PR to a new PR(s) and the
SRs to ensure that the programs are sustainable.
To Implement the Capacity Development Plan







In preparation for the implementation of the CD Plan the following are needed: a
schedule of activities, communications with different stakeholders, determine how
knowledge will be shared, identify results and indicators, clarify management roles, and
responsibilities.
Integrating the CD Plan: existing training and technical assistance plans should be
integrated with the CD Plan, CD activities of other partners should be coordinated.
Ensure availability of resources: clarify financial and human resource levels and scheduling
required for the plan.
Confirm capacity development oversight: this includes the CCM and stakeholder working
groups.
Implement the capacity development plan: prepare detailed TORs for the main packages
of support and manage inputs and resources to execute program interventions.
Conduct regular monitoring: ensure regular monitoring of activities and reporting to
management and oversight groups.
Adapt the plan and alter course: adjust the program of work as necessary to achieve
results.
Transition Planning
Once the implementation of the capacity development plan is underway greater detail will be
available on the institutional arrangements and the implementation capacities for disease
management programs for HIV. This will allow a plan to be developed for the transition or transfer
of the management and funding of the disease management programs to the relevant entity(ies).
The approach for the transition planning will involve the following steps:
1. Confirm the timing of transition planning
2. Organize the transition planning process: follow on from the capacity development
planning. Confirm the approach for transition planning, including key responsibilities,
scheduling, reviews required, and partner involvement.
3. Managing transition: transition is owned both by the Entity governments, and by UNDP;
each organization will need to have effective management arrangements in place to jointly
control and coordinate transition activities.
4. Identify milestone indicators, transition scheduling, and risks: based on the capacity
development plan and scheduling of Global Fund grants and processes, identify milestone
indicators for transition, scheduling for transition of selected functions, and risks to be
managed.
5. Develop an estimated budget: detail budget requirements for transitioning functions;
including, for example, file transfers, data conversion, mentoring, duplicate reporting runs,
quality assurance reviews, etc.
6. Draft the transition plan report: document elements of transition, including milestone
indicators, transition triggers and scheduling, management arrangements and
responsibilities, and budget.
7. Conduct integrated reviews: review the transition plan and budgets with senior
management, functional managers, and stakeholders to finalize, approve, and gain support.
8. Move toward implementation: confirm approach, responsibilities, and funding required to
initiate and implement the transition plan.
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Draft Capacity Development Concept 18 May 2012
Budget Summary
As the CD Plan is produced a draft budget can be prepared based on the proposed activities. The
Global Fund and other partners should be considered based on the type of CD activity and who is
most appropriate to fund different activities.
The budget can consider, savings that are calculated from phase 1, phase 2 submissions, CD
activities that are already planned and budgeted elsewhere in the grant.
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Draft Capacity Development Concept 18 May 2012
Annex 1;
Strategic Level Capacities
The following are strategic level capacities that could be considered with the different stakeholders
when scoping the CD process, to enable them to manage national disease management programs
for HIV:








Policy Formulation and Implementation – Effective policy engagement, dialogue,
formulation, with clear roles and responsibilities for policy approval and implementation.
Strategy – Approaches and mechanisms for disease management strategy development
and implementation aligned to policy, involving key stakeholders.
Coordination – Effective coordination of National Disease Management policies, strategies
and programs at all levels
Financial Sustainability – Ability to plan, advocate and mobilize sustainable financing for
National Disease Management programs from diverse sources to ensure continuity of
services
International Relations Reporting – Timely and quality international reporting
Regional Collaboration – Regional collaboration on HIV disease management
Government / CSO Relationships - To ensure effective and efficient national disease
management planning and implementation by government and civil society for HIV
Communication – Communication plans and mechanisms in place with key messages for
HIV disease management at all levels; vulnerable groups; community; CSOs; local and
national government
Functional / Implementation Capacities
To enable Government and/or CSOs entities to implement National Disease Management Programs
for HIV there are five functional capacity areas required:
 Programme Management – successfully direct the operations of an organization 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 organizational 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 end-users, procured at the lowest
possible prices in accordance with national & international laws.
 Monitoring & Evaluation – collecting, storing, analyzing and transforming data into
strategic information to be used by management to make decisions
Annex 2; Results from Functional Capacities Assessments
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Draft Capacity Development Concept 18 May 2012