Developing a strategic framework for Capacity-Building

1. Developing a strategic framework for Capacity-Building

2. Objectives • Review: • Definition of capacity building • Levels of capacity building • Stages/principles of capacity building • CDC’s approach to capacity building • Gain consensus on core domains • Initiate CB framework development • Org. Capacity Conceptual Overview • ODA tool & Process

3. What is organizational capacity-building? Organizational capacity-building is a systematic process that uses a range of interventions to improve the performance of an organization.

4. Levels of capacity building framework proposed by Brown and LaFond Nat’l District Brown and LaFond

5. Stages of CB/OD Level 1: Minimal capacity/Not ready for transition/No sustainability (Nascent) – Nascent Organizations are usually very flexible and full of energy. They do not yet have systems or processes in place and are often highly dependent on their founder or pioneer. Level 2: Emerging capacity /Transition not advisable/Limited sustainability (Emerging) – Emerging Organizations start to become better organized, formalizing policies, systems and division of labor. Level 3: Minimal acceptable level of capacity/considered for transition/Possible sustainability (Expanding) – Expanding Organizations mix strong systems with flexibility. Planning is usually undertaken through participatory processes, and cross-fertilization occurs between different departments. Level 4: Moderate level of capacity /Ready for transition of functionsGood sustainability (Developed) – Developing Organizations function independently and have strong cross at times collaborate successfully with other institutions their environment to minimize competition and maximize impact. Level 5: Excellent level of capacity/Full organizational independence/Sustainable(Mature)-Maturing organizations collaborate successfully

6. Principles underpinning Organizational Capacity-Building Initiatives • Timeliness: The balanced space between actions which are taken too slowly or too quickly • Peer-Connected: There are opportunities for peer-to-peer networking, mentoring and information sharing • Builds Local Ownership: Builds organizational ownership capacity building efforts through a comprehensive and participatory assessment process • Contextualization: Occurs in the larger context of other strengthening services a not-for-profit is receiving. Incorporates an understanding of the NGO’s environment. • Customization: Responds to the project’s critical questions – and to strengthening needs identified by the organization • Multi-modal: There is some degree of “one-stop shopping” for Capacity Building services • Demand Driven: The not-for-profit “client” is ready and has chosen to receive this specialized kind of service • Competence-Based: The capacity building services are offered by well-trained providers and requested by knowledgeable, sophisticated customers • Scalability: Activities are well documented and assumptions are tested in order that the project and the broader development community may benefit from efforts

7. CDC’s Capacity Building Approach:A Strategic Systems Approach Highest leverage point most sustainable “changes the rules of the game” System/ Policy HIV Program Outcomes Organization Higher leverage point more sustainable Individuals Lowest leverage point least sustainable

8. CDC: Example of Framework Use Inputs Activities Outcome Impact Output Strategic Program objectives Capacity Development Objectives Capacity-Development Activities Capacity Development Outputs Capacity Development Outcomes Partner-ships Local Capacity Performance Outcome • -Policy/system • Organizational • Workforce Strengthen MOH ability to use routine PMTCT program data for monitoring population-level HIV prevalence -MOH Surveillance Unit -MOH PMTCT program unit -Clinics in ANC surveillance network - others? MOH Surveillance Unit implements and evaluates pilot program for use of routine PMTCT data for HIV surveillance

9. CDC: Key Questions on Capacity Development…Do you have? • Strategic, defined priorities for systems and organizations for capacity-development efforts? • identified collaboratively with MOH/partners? • will directly contribute to health outcomes and impact in the country? • Defined capacity outcomes to be achieved? Sustainability? • An assessment of baseline capacity – both technical and organizational – led and managed by the national partner(s)? • Intervention mix that goes beyond knowledge/skills development (training) and includes development of institutional and organizational systems? • Monitoring & evaluation plan for capacity development outcomes with indicators?

10. Core Domains/Competencies

11. Template

12. Institutional & Organizational Assessment Model

13. Organizational Performance • Effectiveness (mission fulfillment), • Efficiency (accuracy, timeliness and value of service and program delivery), • Ongoing relevance (the extent to which the organization adapts to changing conditions and its environment), • Financial viability.

14. ICAP GlobalCapacity-Building Approach Capacity-Building Action Plan ODA tool DAT tool Implement Intervention Re- assessment Expectation Setting Identify priority needs Participatory Framework-based Align resources & Interventions to needs Based upon assessment findings ODA tool DAT tool Execute plan On-going monitoring

15. The ODA Tool • OrganizationalDevelopment Assessment Tool • Self Assessment & External “Validation” • Anchored Scale • Toward High Standards • Word-Pictures • Breaking Down Into 14 Capacity Areas and 78 Indicators to Assess a Complex Reality

16. Purpose of ODA for ICAP To establish a systematic method for: • Identifying NGO partners’ organizational capacity-building needs • Planning for building NGO partners’ capacity • Monitoring NGO partners’ progress • Making transition decisions (i.e. when, what and how much responsibility to transfer)

17. Purpose of ODA for New NGO Serve as a means to educate NGO board members and staff about the components and characteristics of an effective NGO Assess training needs of the staff of a NGO and provide a framework for a training curriculum. Identify quick wins for organizational change that can be implemented by the organization itself with little external assistance. Act as an internal communication tool. Serve as a basis on which to design improved systems and procedures.

18. ODA Capacity Areas Links to Dimensions of Organizational Management Leading / Directing Organizing Implementation Learning Resources Management Viability

19. ODA Scores – 2 perspectives External Score Internal Score Internal self-assessmentAnchored in “word-pictures” Receives feedback through: Analysis of consensus [Internal & External] ‘Adjusted qualitatively’ in team review & discussion Informs Facilitator’s feedback • External, “monitoring” purpose • Anchored in “word-pictures” • Close reference to validation documentation • Receives feedback from self-assessment • Consensus • Facilitator’s recommendation

20. The ODA ‘Scale’

21. Orientation External Assessment Action Planning Report Out & Follow-up Major Phases of the ODA Process • Facilitators Training • Internal Assessment

22. Overview of External Validation Process • Consultant/HQ Staff member to visit new NGO, interview staff, review documentation (SOPs, statutes, etc.) • Utilize tool to provide “score” for each capacity area

23. Overview of the ODA Self-Assessment Process • Guided group discussion, followed by individual scoring for each ODA capacity area • The tool provides more than a score • Relative Strengths and Weaknesses • Assessment of Consensus / Outlier Views • Feedback by Participants prior to Action Planning • But also analyzed in view of • Convergence / Divergence with HQ • Reference to Validation Documents • Finally, modest role and weight of facilitator

24. Expected Outputs and Next Steps • Output – ODA Phase I: -Orientation to ODA tool-NGO network (September) -ODA Process-Scores review & Shared (Oct/Nov) -ICAP NY & In-Country ICAP team work with new NGO staff to finalize capacity building plans (Dec/Jan) -Progress in implementing capacity building plans • Output-Phase II: (Next 6-9 months) -Monitoring Capacity-Building Plan -Repeat ODA Process

25. Thank You!