1. 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

2. 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

3. 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..

4. CD for Grant Management - 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

5. 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

6. 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

7. 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.

8. 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.

9. 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 Capacity Target Capacity Target Date Existing EvidenceCapacity NeedsRecommendations Points to Consider:  Currency and use of strategic and annual plans  Tracking of actuals against plan  Use of historical data analysis and forecasting data in planning  Coordination and integration of Global Fund programme planning with national strategic planning for the three diseases Example IndicatorSustainabilityPlans for sustainable financing from funds, donors, and national resources

10. 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

11. 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.

12. 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.

13. 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.

14. 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

15. 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/hiv- aids/focus_areas/focus_undp_gfp/capacity-development-toolkit/

16. 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