Moving Towards a Strategic Approach to

Capacity Building

Presented by: 

Molly Strachan, Strategic Information Liaison, ICAP NY

Tesmerelna Atsbeha, Senior Program Officer, ICAP NY

Doris Odera, Capacity Building Advisor, ICAP Kenya

January 31, 2013

Overview

• Background• Capacity Building Definition and

Framework• NGO Capacity Building• District Capacity Building • Next Steps

Background• Capacity building (CB) is an intrinsic part

of our work • PEPFAR interest in CB is increasing• MCAP follow on grants require ICAP to

demonstrate validated capacity improvements

• Gradual handover of ICAP-supported functions to government at district and/or regional levels

• Capacity building for newly formed NGOs

Why is Capacity Building Important?

• Enabling individuals and organizations to maximize performance and adapt to the changing external environment

• Contributing to national and global development goals (improved health outcomes)

• Promoting sustainability of interventions and reducing dependence on external partners

Areas of Capacity Building

Source: World Health Organization. Everybody’s Business: Strengthening health systems to improve health outcomes—WHO’s Framework for Action. Geneva: WHO, 2007, page 3.

Service Delivery

Health Finance

HMIS/M&E

HRH

Pharmacy

Laboratory

Governance/Leadership

Community

ICAP’s Core DomainsWHO’s Building Blocks

Overview

• Background• Introduction to Frameworks• Capacity Building Definition and

Framework• NGO Capacity Building• District Capacity Building • Process for capacity building• Next Steps

Capacity Defined• Capacity is the ability of individuals,

organizations, and/or systems to perform appropriate functions effectively, efficiently, and sustainably. (UNDP)

• Capacity building is an on-going evidence driven process of strengthening the abilities of individuals, organizations, and/or systems to perform core functions sustainably, and to continue to improve and develop over time. (PEPFAR, FY2012)

A Strategic Systems Approach

Individuals

Organization HIV Program

Outcomes

Lowest leverage pointleast sustainable

Higher leverage pointmore sustainable

Highest leverage pointmost sustainable

“changes the rules of the game”

System/ Policy

PEPFAR 2011. Capacity Building and Strengthening Framework.

Capacity building conceptual framework

Improved health outcomes

Capacity

PERFORMANCE

Assisted

Independent

Guided

Dependent

Intermediate Result 4:

High-quality, timely, and sustainable monitoring, evaluation and research systems developed and implemented for program improvement and evaluation

Intermediate Result 5: Enhanced management and monitoring systems (financial, administrative, information/knowledge management, grants, physical and human resources)

Intermediate Result 3:

Strengthened clinical, laboratory, and technical knowledge base and capacity among ICAP, MOH, and NGO staff

Intermediate Result 1:

Strengthened ability to develop, communicate and implement strategic plans with strong leadership

Strategic Objective: Enhanced ability among ICAP, MOH, and NGO partners to manage and implement high-quality service delivery and/or technical assistance activities

ICAP Capacity Building Results Framework

Intermediate Result 2:

Strengthened processes and systems in place to implement the project management cycle

Operationalizing Capacity Building

Operationalizing Capacity Building

Operationalizing Capacity Building

Operationalizing Capacity Building

Operationalizing Capacity Building

Overview

• Background• Introduction to Frameworks• Capacity Building Definition and

Framework• NGO Capacity Building• District Capacity Building • Process for capacity building• Next Steps

NGO Capacity Building

• ICAP facilitated the creation of 6 new NGOs as part of the MCAP Transition.

• The NGO Capacity Building Forum was created to provide TA to NGOs including: -Annual Organizational Capacity Assessments-NGO Transition Meeting (January 2012)-Operational Start-up Support -Strategic Planning Support -On-going Technical Mentorship

Organizational Development Assessment

with NGOsFirst Assessment Second Assessment

Mozambique (CCS) August 2011 Sept 2012

Kenya (CHS) October 2011 Planned: February 2013

Tanzania (THPS) June 2012 Planned: Q1 2013

Cote D’Ivoire – (CEV-SI) Planned TBD

• Assessment completed annually depending on progress of implementation of capacity building plan and needs of NGO

• ODAs led by IU staff, in-country focal persons and NGO representatives

• Findings are used for strategic planning, business process improvement and identification of critical needs (particularly on workplanning and data review)

Organizational Development Assessment Tool

• Includes self assessment & external scores which are compared

• Organizational functions are divided into 14 capacity areas and 75 indicators

• Group discussion to encourage analysis and learning

• Action planning to link findings to systematic improvements

Capacity Areas

Governance & Legal Structure

Program Management

Technical Capacity

Grants & Sub-grantee Management

Project Management

Monitoring & Evaluation (M&E)

Financial Management

Human Resources

Office Operations

Information Technology (IT)

Resource Mobilization

Networking

Communications

Community Ownership & Accountability

Capacity Scale1. No or minimal capacity

No chance of sustainability

2. Emerging capacity

Little chance of sustainability

3. Minimal acceptable level of capacity

Some chance of sustainability

4. Good level of capacity

Good chance of sustainability

5. Excellent level of capacity

Excellent chance of sustainability

The organization does not have an annual work plan. It responds to immediate needs with no planning of activities.

The organization seldom (<50% of the time) practices short-term planning, e.g. major events or monthly activities, but is not done systematically or regularly.

The organization occasionally (>50% of the time) practices work planning for programmatic activities,

Not linked to a program budget

Not developed with participation of staff

It is occasionally reviewed.

The organization regularly (<75% of the time) practices work planning for programmatic activities

Is linked to the program budget

Is developed with participation of staff.

Is regularly reviewed.

The organization always (100% of the time) practices a written work plan exercise for programmatic activities

Is linked to the program budget

Is developed with participation of staff

Is reviewed quarterly

Activities are integrated

Experience of Center for Health Solutions (CHS) Organizational

Assessment: Oct 2011• Participatory self assessment conducted with

CHS team (11 participants) led by ICAP KY and NY Program Staff

• External Assessment conducted by ICAP NY program staff

• Joint open discussions CHS/ICAP NY/KY• Action Plan Development with CHS Team• Debrief with CHS Senior Leadership & ICAP

KY CD• Full assessment report completed• On-going support from ICAP KY/NY to follow-

up

CHS ODA Assessment SummaryInternal and External Scores

ODA Tool Score, Baseline and Follow up

Overview

• Background• Introduction to Frameworks• Capacity Building Definition and

Framework• NGO Capacity Building• District Capacity Building • Next Steps

A Guide for Subnational Capacity Building Efforts

Governance & Leadership

Health Finance

HMIS/M&E

HRH

Pharmacy

Laboratory

Service Delivery

Community

}

Example: CB Objectives & Expected Outcomes: M&E

CB Objective CB Expected OutcomeImprove ability of HF staff to consistently use and update paper and electronic M&E systems

Recording and reporting tools are in place, updated daily, and used to produce national monthly summary reports; HCWers are effective data collectors

Increase ability of subnational stakeholders to report timely and accurate monthly/quarterly data

National data systems are used for all HIV services; are updated regularly and data flow follows national guidelines

Increase ability of subnational stakeholders (subnational and facility staff) to properly safeguard and maintain databases

Facility and subnational computers and databases are functioning, with updated virus software

Increased number of data quality assessments (DQA) undertaken by site and facility staff

DQAs are undertaken by subnationals and facilities independently and proactive steps taken to address M&E system weaknesses.

Improve ability of HF and HMT staff to analyze and use data for decision making

Data is shared in routine program meetings and used to inform planning and program management.

District Capacity Illustrative Activities

Level Illustrative ActivitiesIndividual Conduct facility-level spot checks

Support compilation of reports and timely submission to next level

District/Region

Conduct joint data supervision visits with district Collaborate with district to train staff in accurate

use of recording and reporting tools Develop plans and tools to track timely reporting

National Assist in review and revision of indicators, tools, guidelines

District Capacity Areas and Indicators

Governance & Leadership

Quality Improvement

HMIS/M&E

HRH

Pharmacy

Laboratory }Supportive Supervision

• 14 ICAP-required output indicators

• Incorporated into URS

• All countries working at district level must report on these indicators on a quarterly basis

Summary• Capacity building is an important aspect

of ICAP’s work• PEPFAR interest in CB is increasing• Many grants require ICAP to demonstrate

validated capacity improvements• Need to include CB more explicitly in our

workplans• ICAP had developed numerous resources

for NGOs and subnational entities

Next Steps

• Review framework, guide and tools are posted on the Wiki (http://icapsiunitall.wikischolars.columbia.edu/Capacity+Building

• For additional CB support, contact Tesmer Atsbeha, ta2286@columbia.edu

• Share in-country experiences with ICAP NY

• Start reporting the district indicators• Alert SI Unit to additional capacity

building indicators used at country level

Thank You!