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CAPACITY ASSESSMENTS: methodological approach,
key findings and our reflections
Dr Tolib Mirzoev, University of [email protected]
www.hpsa-africa.org
@hpsa_africa
www.slideshare.net/hpsa_africa
Key messages1. CHEPSAA used a structured approach to capacity
assessments, which involved self-assessments followed by comparative analysis
2. There is growing though still limited demand for HPSR+A research and teaching by African universities
3. All seven African partners have different capacity assets to build upon; however, capacity levels varied and there are also different capacity needs
4. Overall, despite challenges faced, capacity assessments were a positive experience, itself being capacity strengthening
5. More details are available in different products (country and comparative papers, methodology handbook, reports from seven partners, comparative synthesis)
2
Presentation structure
1. Understanding capacity2. Our approach and methodology3. Key findings4. Reflections
3
Capacity is……the ability of individuals or groups/networks to conduct specific tasks (e.g. perform functions, solve problems and set and achieve objectives) in a sustainable manner.
based on: Potter and Brough, 2004; Green and Bennett 2007; UNDP, 2006
Key conceptual issues:
• Capacity of whom and to do what?
• Three levels (individual, organisational, system)
• Multiple elements (e.g. skills, tools, structures)
• Applied/visible vs potential capacity4
Capacity strengthening is…
…the process whereby people, organisations and society as a whole unleash, strengthen, create, adapt and maintain capacity over time
Development Assistance Committee, 2006 p.12.
Key conceptual issues:
• Continuous nature
• Build vs strengthen vs unleash
• Context-specificity5
Capacity assessments in CHEPSAA
Objectives were to: a) inform project activity planning and b) contribute to building the HPSR+A field
General approach:
1. Focus on HPSR+A groups in seven African universities
2. Assessed all three capacity levels
3. Assets plus needs
4. Semi-standardised (i.e. generic tools for adaptation)
5. Phased and incremental
6. Self-assessments followed by comparative synthesis
7. Collaborative work though led by one partner
Capacity assessment process
Step 1: shared understanding of key concepts
• Draft concept note
• Exchange and discussion
Step 2: Context mapping
• Broad guidance for adaptation
• Partner reports• Comparative synthesis project meeting
Step 3: Assessing org + indiv. levels
• Broad guidance for adaptation
• Data collection and analysis by each partner
• Partner reports
Step 4: comparative synthesis
• Drafted by Univ. of Leeds
• Partner review, discussion at workshop
• Final synthesis
7
Feb 2011
May 2011
Sept 2011
March 2012
Methods used• Reviews of key org and policy documents• In-depth interviews with key actors (within
universities and wider)• Focus group discussions• Staff survey• Student survey (TICH-GLUK)
Wider context including demand for HPSR+A
Thematic areas for capacity assessments
Resources (staff numbers and skills, funding, infrastructure)
Leadership and Governance
Nature of organisations
Quality assurance for Research & Teaching
Research Teaching
Networking and GRIPP
Scope of HPSR+A activities
9
Capacity requirements in each thematic area
Nat
ure
of
orga
nisa
tion
Scop
e of
H
PSR+
A w
ork
Cont
ext
Leadership and governance
Organisation’s resources
HPSR+A teaching and research, including quality assurance
Communication, GRIPP and networking
Demand for HPSR+A work
Resource environment
Thematic area
CAPACITYTO...
...take account of resource environment
... lead and govern
... effectively communicate and network
...take account of
wider context
...ensure quality research and
teaching
...generate + use organisation’s
resources
Capacity requirements
CAPACITY ASSETS CAPACITY NEEDS
10
Country Nigeria Tanzania Kenya Ghana South AfricaPartner HPRG-
COMUNECIDS-UDSM TICH-GLUK
SPH-UG CHP-WITS SOPH-UWC
HPSP / HEU-
UCT
Relation with University
Unit reports to College
Institute within Uni
Institute within Uni
School within University
Centre within School
School within Faculty
Prog/unit within School
Group’s vision
Health research & teaching
Importance of health to development
Sustainable Health and development
HPSR+A implicit but recognised
Explicit focus on HPSR+A
Explicit focus incl. HSPR+A
Explicit focus on HPSR+A
Academics 7 4 10 35 9 13 12acad w/PhDs
3 3 2 25 4 4 9
senior vs junior acad.
3:4 3:1 4:6 22:13 5:4 4:9 3:9
support / admin staff
4 8 4 13 3 14 5
Group’s thematic expertise
Health policy and financing
Health policy
Health Policy and Planning& HS
HR, Maternal Health
Finance, HR, UHC, HS and policy
HR, HS and policy, HMIS
HS + policy, economics, governance
Research projects
5 3 3 5 14 16 10
HPSR+A teaching courses
MSc and PG diploma
MA in Dev-t Studies
MA in Comm. Health and Dev-t
MPH programme
MPH programme
MPH and PG diploma, short courses
MPH and PG diploma
HPSR+A modules
9 1 2 8 4 20 7
Nature of organisations
All (except IDS) are health-specific , internationally-recognised groups within wider universities
Leadership and governance• Vision for HPSR+A exists and relates to wider institutional
purpose• Variety of structures and processes• HPSR+A ‘champions’ exist but succession challenges
Resources• Staff shortages especially senior• Different income patterns incl. unpredictable external
funding• Infrastructural constraints in East/West but not South Africa.12
Scope of HPSR+A activities
HPSR+A work• All are engaged in research and teaching• Lack of clarity on identity of HPSR+A
Quality Assurance• teaching – clear links with institutional guidelines• research – attention on proposal and output and less on
process
Communication, Networking, GRIPP• Different GRIPP mechanisms are used• Multiple research networks BUT less HPSR+A teaching
networks
13
Wider context
Demand for HPSR+A Research & Teaching
• Growing, but limited, demand for HPSR+A research and teaching– organisational funding for teaching is primarily from
government
– limited domestic funding for research
– research priorities may be skewed by reliance on international funding
• Few systematic opportunities for researcher-practitioner engagement– lack of coordinated HPSR+A research priorities
– limited uptake of evidence by decision-makers
14
Some reflections on processes
1. Enthusiasm, interest2. Useful process for:
capacity strengthening, raising awareness developing shared views of capacity, HPSR+A
3. Feasible scope, existing research skills (though ambitious timetable)
4. Difference in nature of outputs between partners (format, approach)
5. Enjoyable experience
15
Considerations for future capacity assessments
1. Self-assessments can be empowering and awareness-raising, though consider bias
2. Use familiar methods and tools
3. Consider both capacity assets and needs
4. Explore capacity at all three levels (incl. links between the levels)
5. Deploy phased and incremental approach to manage workload and conduct analysis alongside collection
6. Consult CHEPSAA resources
More details - at www.hpsa-africa.org
Thank you!• Questions?• Comments
?• Reflections
?
Copyright
Funding
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This document is an output from a project funded by the European Commission (EC) FP7-Africa (Grant no. 265482). The views expressed are not necessarily those of the EC.
The CHEPSAA partners
University of Dar Es SalaamInstitute of Development Studies
University of the WitwatersrandCentre for Health Policy
University of GhanaSchool of Public Health, Department of Health Policy, Planning and Management
University of LeedsNuffield Centre for International Health and Development
University of Nigeria Enugu Health Policy Research Group & the Department of Health Administration and Management
London School of Hygiene and Tropical MedicineHealth Economics and Systems Analysis Group, Depart of Global Health & Dev.
Great Lakes University of KisumuTropical Institute of Community Health and Development
Karolinska InstitutetHealth Systems and Policy Group, Department of Public Health Sciences
University of Cape TownHealth Policy and Systems Programme, Health Economics Unit
Swiss Tropical and Public Health InstituteHealth Systems Research Group
University of the Western CapeSchool of Public Health