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 levels of government required for
National Disease Management Programs. It includes the following capacities identified by the state level and other stakeholders:

Policy - engagement, dialogue, formulation, approval and implementation

Strategy - development and implementation, involving key stakeholders

Coordination – of national disease management 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 - share information, adopt regional approaches and to capture and disseminate regional knowledge

Government and CSOs - 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 an 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 Development Toolkit to Strengthen National Entities1 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 to 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, ideally 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 ownership 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 are supported to score their understanding of the current capacities for policy, strategy
and coordination etc, using the C2 to A1 scoring system below, whilst considering the evidence available and the requirements of the Global Fund and country systems.
The target capacity for the Global Fund is A2 (see criteria below) and a date should be added for 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 capacity 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 – capacities 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 within 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
Health 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 capacity 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 follows:
Capacity Area – a broad category of capacities (e.g. Policy and Strategy).
Capacity – a specific capability 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 Management 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 responses
5. A summary of the 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 requirements and/or national disease 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 prioritize 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 state and other levels of government, the tool should be treated as a menu 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 complete the tool please 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 state or other levels of government
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 levels for National Disease Responses.
Capacities required at state and / or other levels of government
State and/or other level Capacities
Policy Formulation
Capacity: Capacities for policy engagement, dialogue, formulation, with clear roles and responsibilities for approval and
implementation
Current
Target
Target
Existing Evidence
Capacity Needs
Recommendations
Capacity Capacity
Date
Points to Consider:
The degree of policy cohesion
Mechanisms for policy dialogue and engagement
Roles and responsibilities for policy decision making
Status of preparation & approval of policies
Example Indicator
Organisational Management
State and/or other level Capacities
Capacity: Capacities for policy engagement, dialogue, formulation, with clear roles and responsibilities for approval and
implementation
Current
Target
Target
Existing Evidence
Capacity Needs
Recommendations
Capacity Capacity
Date
Policy Implementation
Relevant and sufficient policies in place for National Disease Management
Points to Consider:
The degree of policy cohesion
Mechanisms for policy approval and implementation
Status of implementation for approved policies
Policy dissemination & implementation arrangement
Example Indicator
Organisational Management
State and/or other level Capacities
Strategy Implementation
Capacity: Capacities and mechanisms for strategy for development and implementation, involving key stakeholders
Current
Target
Target
Existing Evidence
Capacity Needs
Recommendations
Capacity Capacity
Date
Points to Consider:
The degree of strategy alignment to policy
Mechanisms to engage stakeholders in strategy
development and implementation.
Status of preparation & approval of strategies
Strategy implementation arrangements & plans
Policy disseminating and implementation mechanisms operating with clear roles and responsibilities
Example Indicator
State and/or other level Capacities
Coordination
Effectiveness
Organisational Management
National Disease Management strategies being implemented by a target level of key stakeholders.
Strategy implementation mechanism operating with clear roles and responsibilities.
Capacity: Capacities to coordinate National Disease Management policies and strategies at all levels
Current
Target
Target
Existing Evidence
Capacity Needs
Recommendations
Capacity Capacity
Date
Points to Consider:
State and other levels functions aligned to the
Constitution
Coordination mechanisms with clear roles and
responsibilities
Frequency and management of Co-ord arrangements
Access to information to enable coordination
Levels of coordination from State with other levels
and other stakeholders
Example Indicator
Effectiveness
State and/or other level Capacities
Capacity: Capacities to plan, advocate and mobilize sustainable financing for National Disease Management programs
from diverse sources
Current
Target
Target
Existing Evidence
Capacity Needs
Recommendations
Capacity Capacity
Date
Financial Sustainability
Level of coordination on policy and strategy between State, Entities and sub national levels
Points to Consider:
Different sources of current and future resources
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
State and/or other level Capacities
International Relations / Reporting
Capacity: Capacities to be able to develop and maintain international relationships and meet reporting requirements.
Current
Target
Target
Existing Evidence
Capacity Needs
Recommendations
Capacity Capacity
Date
Points to Consider:
What are the key international relationships
Plans being implemented for sustainable financing from funds, donors, and national resources
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
State and/or other level Capacities
Regional Collaboration
Organisational Management
Effectiveness
Mechanisms for international relationships operating with clear roles and responsibilities
Percentage compliance with International reporting requirements
Capacity: Capacities to collaborate regionally, share information, adopt regional approaches and to capture and
disseminate regional knowledge
Current
Target
Target
Existing Evidence
Capacity Needs
Recommendations
Capacity Capacity
Date
Points to Consider:
Structure to allow regional collaboration
Added value in sharing information regionally
Potential regional approaches and activities
Platforms for research and knowledge management
Example Indicator
Effectiveness
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 efficiently
Current
Target
Target
Existing Evidence
Capacity Needs
Recommendations
Capacity Capacity
Date
Government / CSO Relationships
Level of regional collaboration for information sharing and knowledge management
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
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
Current
Target
Target
Existing Evidence
Capacity Needs
Recommendations
Capacity Capacity
Date
Communication
Points to Consider:
Mechanisms for Government and CSOs partnership with clear roles and responsibilities
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
Add further capacities where required.
Effectiveness
Communication plan being implemented and reaching a % of the target audiences