This document summarizes the capacity assessments conducted by the Consortium for Health Policy and Systems Analysis in Africa (CHEPSAA) partners of their health policy and systems research and analysis (HPSR+A) groups. It provides an overview of the methodology used for the assessments, key findings about the capacities of the seven partner organizations, and reflections on the assessment process. The assessments found that while the demand for HPSR+A research and teaching is growing in African universities, the capacity levels and needs varied across the partners. The assessments were seen as a positive experience that strengthened organizational capacities.

1. CAPACITY ASSESSMENTS:
methodological approach, key
findings and our reflections
Dr Tolib Mirzoev, University of Leeds
t.mirzoev@leeds.ac.uk
www.hpsa-africa.org
@hpsa_africa
www.slideshare.net/hpsa_africa

2. Key messages
1. 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

3. Presentation structure
1. Understanding capacity
2. Our approach and methodology
3. Key findings
4. Reflections
3

4. 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 capacity
4

5. 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-specificity
5

6. 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

7. 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

8. 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)

9. 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

10. Capacity requirements in each thematic area
Natureof
organisation
Scopeof
HPSR+Awork
Context
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
CAPACITY
TO...
...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

11. Country Nigeria Tanzania Kenya Ghana South Africa
Partner HPRG-
COMUNEC
IDS-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 12
acad 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

12. 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

13. 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

14. 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

15. Some reflections on
processes
1. Enthusiasm, interest
2. 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

16. 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

17. More details - at www.hpsa-africa.org

18. Thank you!
• Questions?
• Comments?
• Reflections?

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20. The CHEPSAA partners
University of Dar Es Salaam
Institute of Development Studies
University of the Witwatersrand
Centre for Health Policy
University of Ghana
School of Public Health, Department of
Health Policy, Planning and Management
University of Leeds
Nuffield 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 Medicine
Health Economics and Systems Analysis
Group, Depart of Global Health & Dev.
Great Lakes University of Kisumu
Tropical Institute of Community Health and
Development
Karolinska Institutet
Health Systems and Policy Group,
Department of Public Health Sciences
University of Cape Town
Health Policy and Systems Programme,
Health Economics Unit
Swiss Tropical and Public Health
Institute
Health Systems Research Group
University of the Western Cape
School of Public Health