Please note that the term Entities refers to organizations in this document.

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Rapid Capacity Assessment Tool at
Strategic / Policy

Level for
National Disease Responses

for HIV and AIDS, Tuberculosis and Malaria
:

Using
Rapid Assessment
Tool and Toolkit

This tool provides a framework for
rapidly

diagnosing (assessing, reviewing, etc.) the
strategic
capacities required at a

state and/or other

level
s of government

r
equired for
National Disease Management Programs. It includes the following capacities identi
fied by the
s
tate level and other stakeholders
:



P
olicy

-

engagement, dialogue, formulation, approval and implementation



Strategy
-

development and implementation, involving key stakeholders



Coordination


of n
ational
d
isease
m
anagement policies and
strategies at all levels



Sustainable financing
-

plan, advocate and mobilize sustainable financing from diverse sources



International relations
-

develop and maintain international relationships and meet reporting requirements



Regional Collaboration
-

shar
e information, adopt regional approaches and to capture and disseminate regional knowledge



Government and CS
O
s
-

to work in partnership to engage, plan and implement joint initiatives effectively and efficiently



Communication
-

to plan and conduct communication
with

clear messages
and

results achieved


As a framework, the tool provides a structure to capture current and targeted capacity levels for each component within the

above
capacity areas, as well as evidence,
needs, and
recommendations. The tool is not definitive, and should be adapted accordingly for each capacity diagnostic exercise.

The results of
this rapid
capacity diagnosis exercise using this tool

will
provide a
n outline of the priority capacity development needs
that can inform grant applications and
immediate capacity development actions.
It should be used in conjunction with the Rapid Capacity Assessment Tool for functional capacities, where appropriate.

This tool
can be
used in conjunction with the
Capacity De
velopment Toolkit to Strengthen National Entities
1

to Implement National Disease Responses for HIV and
AIDS, Tuberculosis, Malaria
. The Toolkit describes the capacity development process and functional capacities, and provides tips, guidance, and links t
o

more effectively
use this tool in a comprehensive capacity development programme.

There are specific boxes providing guidance on conducting a rapid assessment together with a rapid
capacity planning exercise.

Completing the Rapid Assessment Tool

The following tool should be completed with the relevant
decision makers
and management staff of
state and
other levels of

government
. Prior to completion
,

the
relevant staff should be briefed on the
capacities required for Disease Management Programs and/
or Global Fund grants
and the supporting evidence required, so that
existing evidence can be identified prior to the
rapid
capacity assessment process.
The tool should be treated as a menu and the capacities selected based on the
mandates and the functions

to be carried out by
the state and
each entity. The tool should always be adapted based on the context, resources and time available.




1

Please note that the term

Entities refers to organizations

in this document
.



The
rapid
capacity assessment process can be done separately with the
state government and
other levels of

government,

idea
lly a member of
each government

level
would be involved throughout
,

to provide continuity
within their respective organizations and between the state and
other levels of

government
.

Where possible use self
assessment as this allows for greater ownershi
p and understanding of the process. Using a facilitator can help guide the process and increase the participation and
objectivity of the capacity assessment and planning.

To establish the capacity baseline, the key representatives from the
organization

ar
e
supported
to score their understanding of the
current

capacities for
policy, strategy
and coordination etc
, u
sing the
C2 to A1
scoring system below, whilst considering the
evidence available and the
requirement
s

of the Global Fund and country systems
.
Th
e
target capacity
for
the Global Fund
is
A2

(see criteria below) and a date should be added
f
o
r

each area to indicate when this can realistically be achieved. This will then
allow an evidence
-
based discussion on what action(s) are required to achieve the
target level of

capacity.

Scoring of Capacity Levels
:

In diagnosing capacities, this tool offers the opportunity to score current and target capacity levels. The scoring of capac
ity levels follows the Global Fund assessment
scale as follows:

C2



capacity gaps pose major risks

C1



capacity gaps pose risks which cannot be addressed in 3
-
6 months

B2



capacity gaps pose some minor risks that must be completed prior to implementation

B1



Capacity gaps pose minor risks and must be strengthened concurrently with implementation

A2


ca
pacities and systems fully satisfy minimum requirements

A1



capacities and systems exceed the minimum requirements

The scoring level of
A2

corresponds to the minimum requirements
for national disease management programmes
.

Upon completion of the
capacity
assessment tool

with the relevant representatives the findings will be collated and analyzed to identify a prioritized action plan for
developing the required capacities. The results will be shared with
in

the
organization
and if necessary triangulated with

interviews and discussions with key stakeholders
e.g. Ministry of Finance
,

CCM, LFA
.

This tool is intended to facilitate rapid self
-
assessment useful in stimulating dialogue regarding the capacities required
for disease management responses

as well as
He
alth Systems Strengthening more broadly
. For it to be effective the existing evidence
(manuals,

documents,
audits and key reports etc)
must be identified and made
available. This will then allow an objective self
-
assessment to be made and ensure that the c
apacity development plan is owned and realistic
.

Defining Capacities

In this tool, functional capacities are organised into a hierarchy of three levels, from general to specific: capacity areas,

capacities, and capacity components. Each is
defined as foll
ows:

Capacity Area



a broad category of capacities (e.g.

Policy and Strategy
).

Score (per below) capacity
levels for current and target
states, including target date if
appropriate

Examples of specific
indicators by type to
measure capacity level

Categories of indicators to
measure capacity levels



Capacity



a specific ca
pability or skill (e.g.

Capacities for policy engagement, dialogue, formulation, with clear roles and responsibilities for approval and
implementation
).

Capacity Component



a subset of a capacity (e.g.

Policy Formulation and Policy Implementation
).


Reporting on the Completion of the
Rapid
Capacity Assessment Tool

Following the completion of the assessment tool prepare a simple report to act as an
introduction to the assessment. The short report should be prepared, which includes
an introduction, summary and next steps. Below is a suggested simple table of contents for the report:

1.

Introduction to
the Global Fund
modalities

and National Disease Manag
ement Programs

2.

Introduction to the request / demand from the country and the objectives of the process

3.

Brief Description of the
organization(s) assessed

4.

Summary of the capacities required to
meet minimum requirements
for national disease management respon
ses


5.

A summary of t
he process conducted to complete the assessment and action plan

6.

A summary of the priority capacities that need to be developed

7.

Summary action plan or next steps to develop the capacities
based on the GF
require
ments and/or
national disea
se management responses



How to complete the rapid capacity assessment tool:


This
rapid
capacity assessment
tool
is intended to identify the gaps between existing and desired capacities
to implement GF grants and/or national disease management
systems,

which will help
to
discuss and
prioriti
z
e capacities to be strengthened. Thus, it is important that
it is completed as thoroughly as possible in the time available
.

It
can be used for
s
tate and
other levels of g
overnment
, the tool should be treated as a me
nu and only the capacities that are relevant to organization(s) selected.

A proxy
indicator has been included for each capacity in the rapid assessment tool, feel free to
use
different or additional indicators that are more relevant to the context.



To co
mplete the tool p
lease follow the

steps below
:

1)

Read the description

of the capacity, together with the points to consider.

2)

Identify the
current level

of capacity based on existing evidence and following a
discussion

add the score for the current level of capacity, using the C2 to A1
scale shown above.

3)

Then identify the
target level

of capacity to implement the GF grant

and National Disease Programs

and fulfill the role of
s
tate
or
other levels of g
overnment

using the

same C2 to A1 scoring system, as well as adding a
realistic date

to achieve the target level of capacity.

4)

Whilst discussing the current and target level of capacity make a note of any capacity needs
, issues
or
bottlenecks

together with any recommendations

that
emerge.

5)

Move to the next capacity and
repeat

the same process.





Rapid Capacity Assessment Tool at State and
/or other

l
evel
s

for National Disease Responses
.



Capacities
r
equired at
s
tate and

/ or

other

l
evel
s of government



State and
/or

other

l
evel

Capacities

Capacity:
Capacities for policy engagement, dialogue, formulation, with clear roles and responsibilities for approval and
implementation

Policy

Formulation

Current
Capacity

Target
Capacity

Target
Date

Existing Evidence

Capacity Needs

Recommendations

Points to Consider:

The degree of
p
olicy cohesion

Mechanism
s

for policy dialogue

and engag
e
ment

Roles and responsibilities for policy decision making

Status of preparation & approval

of
p
olicies







Example Indicator

Organisational
Management

Relevant
and sufficient
policies in place for National Disease Management


State and/or other level Capacities

Capacity:
Capacities for policy engagement, dialogue, formulation, with clear roles and responsibilities for approval and
implementation

Policy

Implementation

Current
Capacity

Target
Capacity

Target
Date

Existing Evidence

Capacity Needs

Recommendations

Points to
Consider:

The degree of
p
olicy cohesion

Mechanisms for policy
approval and implementation

Status of
implementation f
or

a
pprov
ed
p
olicies

Policy
dissemination &
implementation arrangement







Example Indicator

Organisational Management

Policy
disseminating and
implementation
mecha
nisms
operating
with
clear roles and responsibilities


State and/or other level Capacities

Capacity:
Capacit
ies

and mechanisms
for strategy
for development and implementation, involving key stakeholders

Strategy

Implementation

Current
Capacity

Target
Capacity

Target
Date

Existing Evidence

Capacity Needs

Recommendations

Points to Consider:

The degree of
strategy alignment to policy

Mechanisms
to engage stakeholders in

s
trategy
develop
ment

and implementation.

Status of preparation & approval

of
s
trategies
Strategy implementation arrangements & plans









Example Indicator

E
f
fectiveness

Organisational Management

National Disease Management strategies being implemented by
a target level of
key stakeholders
.

Strategy implementation mechanism operating
with clear roles and responsibilities
.





State and/or other level Capacities

Capacity:
Capacities
t
o coordinate

National Disease Management
policies and s
trategies at all levels


Coordination

Current
Capacity

Target
Capacity

Target
Date

Existing Evidence

Capacity Needs

Recommendations

Points to Consider:

State and
other levels

functions aligned to
the
Constitution

Coordination mechanisms with clear roles and
responsibilit
ies


Frequency and management

of Co
-
ord a
r
rangements

Access to information to enable coordination

Levels of coordination

from State
with
other levels

and other stakeholders







Example Indicator

Effectiveness

Level of coordination on policy and strategy between
S
tate
,

E
ntities

and sub national levels





State and/or other level Capacities

Capacity:
Capacities to plan, advocate and mobilize sustainable financing for National Disease Management programs

from diverse sources


Financial Sustainability

Current
Capacity

Target
Capacity

Target
Date

Existing Evidence

Capacity Needs

Recommendations

Points to Consider:

Different sources of c
urrent and future
reso
urces

Value for Money, efficiency and effectiveness

Current and future trends of financial resources

Financial plans
and

budgets

for disease management

Financial resource advocacy for disease management








Example Indicator

Sustainability

Plans
being implemented
for sustainable financing from funds, donors, and national resources



State and/or other level
Capacities

Capacity:
Capacities to be able to
d
evelop and maintain international
relationships and meet reporting requirements.

International Relations / Reporting

Current
Capacity

Target
Capacity

Target
Date

Existing Evidence

Capacity Needs

Recommendations

Points to Consider:

What are the key international r
elationship
s









Current levels of international relations

The International reporting requirements and levels
of compliance

Are the relations and reporting mechanisms and roles
and
responsibilities clear.

Example Indicator

Organisational Management

Effectiveness


Mechanisms for international relationships operating with clear roles and responsibilities

Percentage compliance with International reporting requirements



State
and/or other level Capacities

Capacity:
Capacities to
collaborate regionally
,

share information, adopt regional approaches and to capture and
disseminate regional knowledge


Regional Collaboration

Current
Capacity

Target
Capacity

Target
Date

Existing
Evidence

Capacity Needs

Recommendations

Points to Consider:

Structure to allow regional collaboration

Added value in sharing information regionally

Potential r
egional
approaches

and activities

Platforms
for research and

knowledge management








Example Indicator

Effectiveness

Level of
regional collaboration for information sharing and knowledge management




State and/or other level Capacities

Capacity:
Capacities to enable Government and Civil Society Organisations to work in partnership to
engage, plan and
implement joint initiatives effectively and effici
ently


Government / CSO Relationships

Current
Capacity

Target
Capacity

Target
Date

Existing Evidence

Capacity Needs

Recommendations

Points to Consider:

Structures

for government and CSO dialogue

Policies and plans for CSO engagement

Clear roles and responsibilities for partnership

Joint government and CSO planning and initiatives







Example Indicator

Organisational Management

Mechanisms for Government and CSOs
p
artnership with clear roles and responsibilities



State and/or other level Capacities

Capacity:
Capacities to plan and conduct communication on disease management responses that articulate clear
messages and disseminates the results achieved

Communication

Current
Capacity

Target
Capacity

Target
Date

Existing Evidence

Capacity Needs

Recommendations

Points to Consider:









Communication plan
(s)
and target audiences

Clear
common
messages

are available

Success stories
articulating achievements and
results

Web
-
based and social networking approaches used

Example Indicator

Effectiveness

Communication plan being implemented and reaching a % of the target audiences


Add further capacities where required.