INTRODUCTION TO THE TOOL
This ClASS Administrative and Financial Toolkit has been revised to reflect the understood role of RS/RHMTs as being fully accountable to Regional Secretariats (RS) for all administrative (including HR) and financial aspects of their operations. In light of this, it is proposed that this set of administrative and fiscal module questions are best addressed through joint discussions with selected RS and RHMT members. Subject to guidance from CDC-Tanzania, key interviewees for the administrative and fiscal module discussions may include:
i) for the RS: 1) Assistant Administrative Secretary (AAS) for the Administration and HR Management Section, and 2) the Regional Accountant (RA)
ii) for the RHMT: 1) Regional Medical Officer (RMO), and 2) Regional Health Secretary (RHS)
The Administrative & Financial Module of the ClASS Toolkit is a guide, not a checklist, for assessing Regional Secretariat/Regional Health Management Team (RS/RHMT) management and fiscal systems. It is comprised of these thirteen sections, starting off with two sections on key administrative areas, followed by a review of eleven essential financial sections:
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1. RS/RHMT Management & Organizational Capacity
2. RS/RHMT Human Resources
3. RS/RHMT HIV Program Financial Management & Oversight
4. RS/RHMT Financial Policies and Procedures
5. RS/RHMT Budget Management
6. RS/RHMT Payroll
7. RS/RHMT Accounting System
8. RS/RHMT Financial Controls
9. RS/RHMT Accounts Payable & Receivable
10. RS/RHMT Procurement, Purchasing, Inventory, and Travel
11. RS/RHMT Financial Audits and Reporting
12. RS/RHMT Financial Sustainability
13. RS/RHMT Grants Management
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Each section begins with a set of core competences. Core competencies are followed by a series of questions that can be used to facilitate discussions with RS and RHMT representatives. Verification criteria for the most important competencies and questions follow along with space for reviewers to make notes. Flexibility to accommodate the time availability of staff is encouraged.
It is assumed that there will be at least XXX hours available to reviewers at each RS & RHMT in order to allow for completion of all sections of the tool. When time is limited, reviewers should determine which sections to prioritize. The choice on which sections to prioritize should be made after the opening presentation and in consultation with the team lead. In such a rapid visit, the highlighted elements in bold-face type can be addressed and these have a rough, estimated time requirement of XXX hrs. (NB: assumes an average of 5 minutes per “Open-ended Question” and 7 minutes for each “Performance Criteria” discussion).
CLINICAL ASSESSMENT FOR SYSTEMS STRENGTHENINGClASS / Administrative & Financial Module
Reviewer(S): ______Date: ______RS/RHMT: ______
KEY: Rapid visit items = Bold | Extended visit items = AllSECTION 1: RS/RHMT MANAGEMENT & ORGANIZATIONAL CAPACITY
q The RS/RHMT has an effective management structure comprised of individuals responsible for each functional area and outlined in an organogram.
q Roles, responsibilities, and policies and procedures for RS/RHMT operations are written, updated regularly and disseminated. They are sufficient to support speedy implementation of the Program.
q The RS/RHMT has a proven track record of managing large grants using transparent financial and procurement procedures and managing sub-grantees
q The RS/RHMT coordinates and collaborates with other PEPFAR partners, USG partners and other donors (e.g. GF)
q The RS/RHMT has systems to prepare annual plans and budgets and these are consistent with PEPFAR 5 yr plans
q The RS/RHMT has the capacity to submit quarterly reports in a timely manner to CDC-Tanzania.
q The RS/RHMT is able to train up to four (4) RS/RHMT members on selected program management skills
Open-Ended Questions
q How well does the organogram reflect the management, program, and staff relationships of the RS/RHMT?
q How are important RS/RHMT decisions conveyed to colleagues at the Regional Secretariat and CHMTs? Are the processes effective and timely enough to support speedy implementation of this program?
q What level of detail on RS/RHMT HIV/AIDS treatment and care policies and procedures is documented? Who has access to the documents? When were these documents from MOHSW last reviewed and updated?
q How many large grants has the RS/RHMT managed over the past 2 years?
q What has the RS/RHMT achieved over the past 2 yrs to support and strengthen the capacity of CHMTs to plan and manage HIV/AIDS treatment and care programs?
q With which agencies has the RS/RHMT coordinated with the most over the past 2 years to support HIV/AIDS treatment and care programs within their Councils?
q How does the RS/RHMT prepare annual plans & budgets as part of, or similar to, those required for a USG partner? If so, when was the latest?
q How does the RS/RHMT prepare quarterly reports to any USG or PEPFAR partner that was required over the past 2 years? Who is involved, has final approval? If so, were these submitted on time?
q Describe the latest program management skills training provided to any RS/RHMT member(s) take place? (Probe re program management training topics covered, number of persons trained, duration of training, trainers sourced from, funded by, perceived post training value & relevance for the RS/RHMT).
q What would are the current areas of priority program management training for the RS/RHMT among these options: planning, financial supervision, HIV services supportive supervision, monitoring and evaluation, data recording, and reporting?
Performance Criteria / Verification Information / Comments
1. / The RS/RHMT organogram accurately reflects the current lines of authority. / View organogram and comment on structure in relation to program size and services offered.
2. / Lines of authority or supervision are appropriate for RS/RHMT staff positions. / View organogram and job descriptions.
3. / The RS/RHMT has written documents on management responsibilities and accountabilities. / View written organization documents that identify key RS/RHMT member responsibilities.
4. / RS/RHMT meetings, which include grant management updates, as applicable, are held: / a. Meeting frequency:
b. Meetings are not held:
c. How are meetings documented?
5. / The RS/RHMT has experience in preparing PEPFAR, or similar, operational plans and budgets / View most recent RS/RHMT prepared operational plan & budget for, or similar to, PEPFAR
Notes:
SECTION 2: RS/RHMT HUMAN RESOURCES
Core Competencies
Staffing & Personnel
q The RS/RHMT staffing numbers are sufficient to meet program needs
q Each RS/RHMT position has a written job description and employees can identify their duties.
q RS/RHMT staff participating in the project are qualified to perform described tasks
q There is a process to orient each employee to the RS/RHMT practices, benefits, and standards of conduct and HR staff able to respond to employee questions.
q The RS/RHMT has a process to assess and document the performance of staff at every level annually.
q The RS/RHMT has a plan for projecting staffing needs, recruiting, training, and retaining qualified staff to support its own operations.
q The RS/RHMT has a plan to support CHMT recruiting and retaining qualified staff for HIV/AIDS treatment care services at district and treatment site levels
q The RS/RHMT provides regular HIV/AIDS services trainings (including ARVs, logistics, supply & procurement) to CHMT, health centers and dispensary staff
Personnel Policies, Procedures & Files
q There are written PMORALG personnel policies and procedures shared with RS/RHMT employees on their rights and responsibilities
q The RS/RHMT maintains personnel files containing PMORALG required documentation.
Open-Ended Questions
Staffing & Personnel
q Are all RS/RHMT posts filled? For any current vacancies, duration and status of plans to recruit.
q How are credentials of RS/RHMT staff (clinical and non-clinical) verified?
q What short- and long-term plans does the RS/RHMT have to recruit and retain staff?
q Are all CHMT posts in the region filled? For any current vacancies, status of RS/RHMT plans to support the CHMT(s) to recruit.
q How are credentials of CHMT staff (clinical and non-clinical) verified by the RS/RHMT?
q What short- and long-term plans does the CHMT have to recruit and retain staff? How do these align with the same at RS/RHMT level?
q How often has the RS/RHMT been able to provide trainings on ARVs, logistics, supply and procurement to CHMTs, health centers and dispensary staff over the past year?
q Describe the RS/RHMT budget development/approval process and when/how budget revision takes place. Who is involved? What is the role of the Regional AIDS Control Coordinator (RACC) in the budgeting process for regional HIV programs?
q
Personnel Policies, Procedures, & Files
q How are the RS HR personnel policies and procedures developed, reviewed, updated and shared with employees?
q Who reviews and updates RS/RHMT job descriptions and how often is the process implemented?
q What does the RS/RHMT keep in staff personnel files, who keeps this information, and who can access the files?
q How often are RS/RHMT performance evaluations completed, what documents are used, and who maintains copies?
q How does the RS/RHMT support CHMTs to develop, review, update and share with staff their HR personnel policies and procedures at district level?
STAFFING & PERSONNEL
Performance Criteria / Verification Information / Comments
1. / There is a current RS/RHMT personnel policies and procedures manual. / a. Written HR policies and processes exist
b. Employees are familiar with processes
c. Policies inform staff of their rights and responsibilities
d. These policies govern both RS/RHMT and CHMT levels of HR requirements
2. / RS/RHMT trainings on ARVs, logistics, supply and procurement to CHMTs, health centers and dispensary staff over the past year: / a. Documented evidence available re CHMT training over past year.
b. Documented evidence available re health center staff training over past year;
c. Documented evidence available re dispensary staff training over past year.
3. / Interviewed RS/RHMT staff is able to identify duties consistent with job descriptions. / a. Position:
b. Position:
c. Position:
d. Position:
4. / There are strategies to recruit and retain RS/RHMT staff. / Describe:
5. / Continuous professional training and education for RS/RHMT staff is adequately supported. / a. There is adequate leave for RS/RHMT staff to attend trainings and continuing professional education.
b. RS/RHMT staff has access to the internet for continuing education.
PERSONNEL POLICIES & PROCEDURES
Performance Criteria / Verification Information / Comments
1. / The following are adequate in the RS/RHMT (or central PMORALG) personnel policies and procedures:
a. Employment categories/status
b. Work hours/timeframes
c. Benefit options/bonuses/severance pay
d. Orientation procedures to the Ministry/department
e. Standards of conduct
f. Probation periods and performance evaluations
g. Family members not supervising one another
h. Disciplinary actions and appeal procedures
i. Staff grievance procedures
j. Conflicts of Interest policy
k. Harassment policies and consequences
l. Confidentiality
m. Employee skill verification to job requirements
n. Employee licenses and certifications when applicable
o. Continuing education for staff
2. / RS/RHMT staff health policies adequately address: / a. Hepatitis A and/or B vaccinations
b. HIV testing/post-exposure prophylaxis and follow-up (PEP)
3. / All RS/RHMT salaries and wage rates are authorized and approved in writing by a designated official or supervisor: / a. RS/RHMT employee offer letters/contracts from an authorized manager are in place and contain salary/wage information
b. RS/RHMT employee offer letters/contracts do not exist.
c. Salary/wage information is not documented
d. Salary/wage information has not been authorized and approved in writing by a designated official.
PERSONNEL FILES
Performance Criteria / Comments
1. / RS/RHMT personnel files are maintained in a safe and secure area.
2. / There are written RS/RHMT policies documenting access to the personnel files.
3. / RS/RHMT personnel files contain a checklist of required contents
4. / Review at least four randomly selected RS/RHMT personnel files for employees who could work for or with the HIV program:
EMPLOYEE POSITION / Employee 1 / Employee 2 / Employee 3 / Employee 4
a. Job description (current)
b. Evidence that employee meets position requirements
c. Offer letter/contract
d. Performance appraisals/evaluations (last 2 years)
e. Salary increases/decreases
f. Training/continuing education
Clinical Staff or any staff requiring a license of competency to perform their job.
a. Credentials of staff
b. Copy of current contract, if appropriate
Notes:
Section 3: REGIONAL HIV Program Financial Management oversight
Core Competencies
q The RS/RHMT has sufficient qualified finance staff to support fiscal management of HIV/AIDS control interventions in the RHMT Annual Plans
q RS/RHMT financial management and oversight is sufficient to manage the regional HIV program in the RHMT Annual Plan.
q The RS/RHMT has a process in place for implementing and measuring quality improvement of its financial systems and processes.
Open-Ended Questions/Statements
q Describe the RS/RHMT financial staffing mix and the number of individuals by position.
q Discuss the financial management qualifications and experience of each key RS/RHMT financial staff person.
q Describe the financial quality improvement initiatives within the RS/RHMT. Who performs this process?
Performance Criteria / Verification Information / Comments
1. / RS/RHMT has process for recruiting and retaining qualified financial staff and evaluating financial staffing levels: / a. Process exists for recruiting and evaluating financial qualifications and experience of individuals hired
b. Financial job descriptions specify levels of experience and education for the position
c. RS/RHMT financial and other staffing levels have been properly evaluated and are sufficient for workload
d. RS/RHMT has a staff retention plan
2. / The Regional AIDS Control Coordinator (RACC) makes funding allocation decisions: / a. RACC makes funding allocation decisions re HIV program(s)
b. RACC has input on funding allocation decisions
c. Allocation decisions made by RS/RHMT management excluding RACC
d. Unclear how allocation decisions are made
3. / RS/RHMT finance staff have access to training opportunities/ support: / a. Quarterly
b. Bi-annually
c. Annually
d. As needed
e. No training opportunities are provided.
Notes:
Section 4: RS/RHMT Financial Policies and Procedures
Core Competencies
q RS/RHMT has approved financial policies and procedures from the Prime Minister’s Office, Regional Administration and Local Government (PMORALG) that are properly disseminated and consistently followed.