Strengthening the implementation capacities for National Programmes and Global Fund Grants Results.
The National Programme Manager and/or Global Fund Principal Recipient / Sub Recipients require a
number of implementation capacities. The table below outlines examples of results that can be
achieved when implementation capacities are strengthened. These sample results should be adapted
based on the country and institutional context and will be helpful in both identifying appropriate
outputs and measuring the impact of capacity development activities. Having the expected results in
place and monitoring the progress will contribute to the performance of the programme / grants
while mitigating the risks.
The main implementation capacity areas required for a National Programme and / or donor funded
programme include; Developing National Programmes (including Global Grants under the New
Funding Model); Programme Management; Sub-Recipient Management; Financial Management; Risk
Management; Procurement and Supply Chain Management; and Monitoring and Evaluation. The
table of results below can be used when completing a capacity development plan. The results can be
edited and / or be added to, based on the country context, elements of the national programme, the
disease component, and/or the national entity. The results listed have been aligned to the Global
Fund LFA assessment and Minimum PR Requirements, updates can be found on
http://www.theglobalfund.org/en/.
Implementation – Results Checklist
Areas;
Management
Programme
Planning
Implementation Capacities - Results;
 The number and % of positions for technical knowledge and health
expertise that have been filled with appropriately qualified and
experienced human resources.
 The number and % of positions for management and conducting the
implementation functions including; programme management; SR
Management; Finance; PSM and M&E that have been filled with
appropriately qualified and experienced human resources.
 The number and % of national disease program reviews conducted with
appropriate frequency and quality.
 The % of the planned epidemiological data that is analysed to provide
sufficient evidence to inform decision making processes on the addressing
the epidemic.
 The % of the National Strategic Plans (NSPs) that have been reviewed and
revised using multi-stakeholder process, resulting in NSPs with clear
objectives and realistic and measurable indicators.
 The number of Country Dialogues conducted involving the mobilisation in
a consultative process of a representative % of Key Affected Populations
(KAPs) for planning and decision-making.
 The number of Concept Note(s) as part of the NFM application process
that include the effective engagement of a representative % of Key
Affected Populations (KAPs).
 The number and % of reporting on access to services that ensure that
Human Rights / Gender Equality / Sexual Orientation and related barriers
are being addressed.
 The number and % of reporting on oversight and accountability
mechanisms that indicate a reduction in frequency and seriousness of
cases of conflict of interest (CoI) policies for National Programmes and GF
grants.
Programme
Implementation
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SR Management
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Financial
Management
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Risk Management
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The number of national entities that have operations manuals with
procedures (SOPs) and templates in place with the % compliance levels to
support the implementation of the programmes and meet the national
and Global Fund requirements.
The number and % of national entities that have operational plans that are
aligned to the NSP, donor programmes and Global Fund grants.
The number of national entities that have operational plans that are based
on national and international guidelines and % of plans that include issues
related to accessibility of products and services by Key Affected
Populations.
The number of national entities that have systems in place for asset
management and oversight of Sub-Recipients and the % of physical and
financial assets that are safeguarded.
The number of national entities that have systems and procedures in place
and the % of compliance, to select, contract and develop capacity of SR’s
to implement the programme.
The number of national entities that have a financial manual in place with
procedures that are aligned to the national and Global Fund policies and
requirements, together with the % of compliance.
The number of national entities that have an internal control system
including an independent internal audit to monitor and verify compliance
in line with national / grant agreements, together with the % of
compliance.
The number of national entities that ensure that external auditors are
selected in accordance with national /donor / Global Fund guidelines,
together with the % of compliance.
The number of national entities that have in place a functioning
accounting system to record all transactions and balances in line with the
budget and which is able to produce timely and accurate reports and
support the preparation of disbursement requests that meets the national
and Global Fund requirements, together with the % of compliance.
The number of national entities that monitor actual spending against
budgets and work plans and analyse variances, taking action where
needed, together with the % of compliance.
The number of national entities that conduct a risk identification process
in the following areas; governance / strategy; programme management;
sub-recipient management; financial management and PSM, together
with % of follow through.
The number of national entities that identify risk potential mitigation
actions and the residual risks, together with % of follow through.
The number of national entities that conduct risk mapping of the
probability and impact of the risks and to produce and implement a risk
management action plan, together with % of follow through.
Procurement and
Supply Chain
Management
(PSM)
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Monitoring and
Evaluation
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The number of national entities that have in place a PSM system that has
the capabilities to forecast, procure and ensure end users have reliable
access to commodities, that provides value for money and meets national
and Global Fund quality requirements, together with % compliance.
The number of national entities that manage and improve storage
conditions to meet requirements including, the management and
upgrading of storage and the equipment needed, taking into account the
type and quantity of the products to be stored.
The number of national entities that design and utilize a distribution plan
for supplies, dispatches and transportation, together with % compliance.
The number of national entities that have put in place and utilize with
adequate levels equipment and transportation with defined security
measures for transportation, together with % compliance.
The number of national entities that have put in place and utilize a
Logistics Management Information Systems (LMIS) with requisition and
stock reporting tools, together with % compliance.
The number of national entities that have put in place and utilize quality
assurance plans to monitor product quality throughout the in-country
supply chain, guided by the WHO ‘Model Quality Assurance System for
Procurement Agencies’ (MQAS), together with % compliance.
The number of national entities together with % compliance that are able
to develop and utilize realistic and relevant indicator frameworks including
indicator definitions which are encoded in the HMIS, this will also require
a data assurance mechanism to allow routine monitoring of activities that
are aligned to the goals and objectives of National Programmes and Global
Fund grants.
The number of national entities together with % compliance that have
M&E systems that are able to generate quality and timely data that is used
to generate accurate and timely reports, facilitate analysis, and informs
management decisions.
The number of national entities together with % compliance that have
been able to put in place and utilize a Health Management Information
Systems (HMIS) databases for National Programme Manager, PR(s) and
SR(s) to improve routine programmatic reporting for public sector facilities
and providing better client and service tracking.
Country Coordination Mechanism (CCM)
In addition to the above listed national implementation results required by the National Programme
Manager / PR, there are some specific roles for the CCM. The CCM overseas the implementation of
the Global Fund grants and intervenes where appropriate. Ideally the CCM along with the structures
to oversee the NSPs and the Nation Programmes should be under one institutional arrangement to
reduce the risk of parallel systems and to increase coordination and institutional sustainability.
Capacity Development Tool – National Programme Implementation
A full set of implementation capacities have been identified for National Programme Implementation
and are available in a capacity development tool. This tool provides a matrix for supporting the
facilitation of an in depth capacity assessment, prioritisation and planning process, including the
identification of outputs and results. Further details are available on UNDP Global Fund Capacity
Development Toolkit.
In addition an Enabling Environment capacity development module is being developed that will
include human rights, gender and sexual equality.