Capacity Development and

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Dec 13, 2013 (3 years and 10 months ago)

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Capacity Development and
Transition


UNDP Global Fund Partnership


26 May 2013



An Approach for Capacity Development
& Transition

1. Existing
Systems

Roles,
Manuals,
Procedures

2
. Review of SRs
national systems

Institutional
arrangements
reviewed;

SR systems reviewed
& designed where
needed;

Roles &
responsibilities
clarified;

Manuals & SOPs /
Templates revised;
Software;

Policy / Strategy
review

3.
Pilot Systems

Up date and put in
place legal
frameworks;

Strengthen national
SRs programming
and M&E;

Introduce SR
management pilots;

Introduce new or
revised SR systems;

Scale up pilot;

Revise Policy /
Strategy;

4.
Transfer to
National Systems

On achievement
of milestones.
Transfer to
National Systems.

Oversight and
quality assurance
of systems in
place and
operational.

New Global Fund Model
-

Opportunities


Performance
-
based funding
-

to obtain / access Global Fund
(and other donors)


Demonstrate effectiveness and value for money


Demand driven


Progress towards impact


Good quality Policy & National Strategies (HIV Malaria & TB)


Support to invest in National Strategies


Country Dialogue between implementers (GO & NGO)



Allocation formula; country’s share in the global disease
burden and Gross National Income (GNI) per capita.


Prepare quality Concept Note

http://www.theglobalfund.org/en/activities/fundingmodel/


Capacity Development / Transition
Principles


Continuous Provision of
Services

to Vulnerable Groups


To develop sustainable capacity of
National

Entities


Government and Non Government


To reduce transaction
costs


Maximize
Performance

Management


Minimize Fiduciary
Risk


Clear Plan of
Action


Transition
Milestones


Systems and procedures in place


Systems allowing main functions to be carried out with acceptable
levels of compliance


Capacity Development
Indicators


Systems in place and the degree to which they are being used

Institutional Framework


Functional Analysis of PR & SR roles;


Programming / Work Planning / Budgeting / SR Management


Financial Management / Accounting / Risk / Oversight


Forecasting / Procurement/Quality Assurance/Supply Chain


M&E / Reporting / Analysis / Decision making


Clarify Roles and Responsibilities of PRs & SRs


Decide on management structures for PRs (PIU etc)


Develop Organograms for PR & SR role


New / Revised
ToRs

for PR & SR role


Strengthen Oversight & Accountability
-

CCM, Audit

Programming

HRM

Leadership

Decision

Making

Procedures

Sub
-
recipient
Management

Selection & Oversight

Build Capacity

Financial Management

Internal Control

Budget Management

Accounting

Asset Management

Procurement of; Drugs;
Goods; Supplies;
Expertise

Policies and Procedures

Procurement Planning

Technical Specifications

Value for Money

Supply Chain
Management

Quality Assurance

Storage /Security

Logistics

Monitoring & Evaluation

Data quality

Managing Information

Analysis

Informed Decisions

New Funding Model

National Strategic Plan

Country Dialogue

Concept Note

Functional Capacities

Programming Capacities

Capacity areas / actions;


Alignment e.g. between Grants / NFM & National
Strategies


Operations manual with Functions / SOPs / Procedures /
Guidelines/ Templates adapted for each PR / SR


Merit based recruitment of human resources to manage
PR /SR


Integrated Work Planning for PRs / SRs / SSRs


Further strengthen coordination at all levels


Submissions to the Global Fund and other donors.


Communicate Results and Lessons Learned


Sub
-
Recipient Management


SR management is a new role for new PRs

Capacity areas / actions;


Establish Systems for SR Management including;


SR assessment


Selection of SRs


Contracting SRs


Managing performance of SRs


Risk Management of SRs


SR capacity assessment capacity development plans


SR Monitoring and Evaluation


Pilot with new SRs then scale
up?



Financial Management (1)


Transition


will result in increase in volume of funds managed by
national entities


Need to meet national requirements, international standards &
Global Fund requirements.


PRs will be responsible for oversight and accountability of SRs.


Sustainable financing to help meet funding shortfalls


Capacity areas / actions to strengthen Financial Management of PRs


Review and revise
Financial Manuals

for Prospective PRs and SRs


System for
joint Budgeting
for PRs, including for budget planning,
reviewing, monitoring analyzing variances and reporting


Accounting system


Review and upgrade and roll out accounting
software for PRs and ensure that SR systems are compatible e.g.
consolidate reports are possible


Financial Management (2)


Internal Audit


Strengthen audit & management follow up


Disbursements


PRs develop cash forecast; information;
introduce system to track SR disbursements


Treasury systems



PR to ensure SRs; separate bank account;
petty cash management; monthly bank reconciliations;
payment vouchers


Reporting



PR and SRs financial reporting in line with GF
requirements; Service Delivery Areas (SDAs); program cost
categories; and implementers)


Purchasing system


PR introduce purchase order system;
strengthen contract management


Asset Management



PR to check that SR have system to
protect assets & manage inventory


Tax exemption


For PRs

Procurement

Procurement capacity areas and actions:

Procurement of pharmaceuticals e.g. ARVs & meeting international
standards is critical for grant performance and will require a number
of decisions and activities.


Procurement department in PR, needs to become fully operational.


National procurement policies reviewed against international
standards and Global Fund requirements


Technical support needed, decisions on procurement management


Review Quality Assurance systems for pharmaceutical products


Review forecasting system including consumption & quality control


Decisions on product selection & alignment to

Global Fund policy


Strengthen National Drugs Registry Authority registry system


Systems to produce prioritized and budgeted procurement planning


How to produce technical specification and evaluation


Procurement feasibility study could be considered


Procurement and Supply Chain Management business plan needed



Supply Chain Management

Supply chain management
capacity areas and actions;


Quality assurance control systems for random sampling and
qualified testing,


National laboratory certification and management


Logistics MIS reviewed and revised to improve data flow,
clarify roles, introduce stock cards, improve templates


Health MIS to be reviewed and revised


Review distribution schedule, ensure adequate transport


Prioritize plan to improve national & sub
-
national storage


Validation and management of buffer stocks


Systems to manage expiry dates


Enhance the management, sustainability and oversight.


Sub
-
national control systems / Attract and retain Human
resources / SOPs / training/ monitoring visits

Monitoring & Evaluation


Clarify roles and responsibilities for M&E


Strengthen data collection and quality


Integrated management and access of M&E systems


Strengthening analysis and informed decision making by PRs and
key stakeholders


M&E linkages to Programming, SR Management, budget
allocations and forecasting


Identify case studies to demonstrate and communicate results

Capacity areas and actions;


Revise / Prepare M&E manual PR, National Centers & SRs


Improve quality and timeliness of data collection at sub
-
national
and national level


Review existing databases to improve access and linkages with
open
-
source software


Increase access and use of analytical software


Management reports to improve decision making

Human Resource Management
-

Incentives

Capacity areas and actions;


Functional Analysis
of PR(s) and SRs identifies national
structures


Clarify
Roles and responsibilities
for PR and SR structures


Revise
Organogram

to reflect PR functions and roles


Consider how Global Fund positions integrated into national
entity


PRs merit based
recruitment
with adequate oversight


Consider staff survey on retention and
motivation

of staff


Review and strengthen Financial and Non
-
Financial
Incentives


Staff development

plan


Professionalization for Grant Functions e.g. Accountancy
qualifications


Leadership and management development


Peer to Peer learning


Coordinated training plans


National Strategy / Policy / Legal Framework
Enabling Environment

Enabling Environment capacity areas and actions


Align CD & Transition actions with National Strategy


Review national strategies; Identify gaps


Action plan to implement nation strategies


Harmonise / update Legal Framework


Meeting international standards & WHO guidelines


Mainstream Human Rights approaches



Capacity & Transition
-

Success Factors


Ownership & Leadership


participation by PRs & stakeholders


Global Fund requirements
-

Capacity actions and transition
milestones


Attracting & Retaining Human Resources


Oversight & Accountability


Mechanisms and risk mitigation


Institutional Framework
-

Clear roles and responsibilities


PR Operational Manuals


SOPs, procedures guidelines
templates, with roll out and training


Mobilizing funding to support strengthening systems


Momentum
-

realistic, quick results, priorities & milestones


Sustainability


costing exercise for programs


Coordination


CCM stakeholder engagement, link to health
system reforms, donor coordination

CD & Transition Management Considerations


CD / Transition Plans allow UNDP, Global Fund &
Development Partners to provide and coordinate
support & increase performance


Correct and realistic timing and ownership


Focus on strengthening national systems
Programming; SR Management; FM; PSM; & M&E


CD is a significant contribution to risk mitigation


CD needs to have a grant performance indicator


Country context determines when & how Transition
can take place e.g. ASP / Risk / Sanctions


Transition Milestones for putting systems in place

Capacity Development Toolkit:

To support national entities in
implementation of national
responses to HIV and AIDS, TB and
Malaria

http://undp
-
globalfund
-
capacitydevelopment.org/