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

1. UNDP SystemsRoles, Manuals, SOPs, Procedures

2. Design PR SystemsPR systems design / review; Roles & responsibilities, Manuals, SOPs, Procedures, Templates Software

3. Parallel SystemsPilot 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 Transition1. UNDP systems* Clarify CO/PMU roles and responsibilities

Business process re-engineering producing SOPsRevise or prepare manualsRevise 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 SOPsRevise or prepare PR/SR manualsRevise or prepare PR/SR procedures and templatesIdentify HR requirements for PR/SRIdentify & 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/SRScale up pilot to all PR/SRPR/SR system run in parallel with UNDP systemsOnce milestones achieved PR/SR system assessed

4. Transition to PR/SR Systems*

UNDP activities handed over to PR/SR systemsUNDP 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/

• 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 Re-engineering

• 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

• 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

• Structures and Programs aligned to Policy and Strategy• Oversight and Accountability Mechanisms• Clear Mandates, Functions, Roles and Responsibilities • Strengthening Systems

– 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 Sub-Recipient (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 end-users, 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

• 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

Malariahttp://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”

• 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