1. 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.

2. Capacity Development to Transition 1. UNDP Systems Roles, Manuals, SOPs, Procedures 2. Design PR Systems PR systems design / review; Roles & responsibilities, Manuals, SOPs, Procedures, Templates Software 3. Parallel Systems Pilot new or revised PR System and run in parallel with UNDP systems 4. PR Systems New PR systems used. UNDP oversight and quality assurance

3. Capacity Development to Transition 1. UNDP systems*Clarify CO/PMU roles and responsibilities Business process re-engineering producing SOPs Revise or prepare manuals Revise 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 SOPs Revise or prepare PR/SR manuals Revise or prepare PR/SR procedures and templates Identify HR requirements for PR/SR Identify & 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/SR Scale up pilot to all PR/SR PR/SR system run in parallel with UNDP systems Once milestones achieved PR/SR system assessed 4. Transition to PR/SR Systems* UNDP activities handed over to PR/SR systems UNDP oversight of PR/SR systems *Systems include Programming, SR Management, Financial Management, M&E

4. 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/16825https://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 #EndHIVThursdayTwitter.com/CD2Transitionhttps://twitter.com/UNDP

5. 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

6. 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

7. 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

8. 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

9. 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.

10. 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.

11. 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

12. Capacity Development Toolkit: To support national entities in implementation of national responses to HIV and AIDS, TB and Malaria http://undp-globalfund-capacitydevelopment.org/ UNDP Teamworks (password required) UNDP's Partnership with the Global Fund https://undp.unteamworks.org/node/16825

13. 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