organizational capacity building framework...organizational capacity building framework: a...

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ORGANIZATIONAL CAPACITY BUILDING FRAMEWORK: A Foundation for Stronger, More Sustainable HIV/AIDS Programs, Organizations & Networks INTRODUCTION Governments, donors, and NGOs have made significant investments in capacity building, but the term is often vaguely defined and operational- ized, and impact is difficult to measure.The mechanisms for planning, implementing and evaluating organizational capacity building can also be dramatically different in practice. Meanwhile, the chorus of capac- ity building enthusiasts continues to grow. In 2009, the World Bank put out a new and significant publication—Capacity Development Results Framework 1 —that stresses a strategic and results-oriented approach to nurturing the building and rational utilization of capacity at national and sub-national levels.There is also recognition that sound capacity building approaches and practices are essential to achieving PEPFAR targets and the Millennium Development Goals, as well as the PEPFAR and Global Health Initiative goals of health systems strengthening, country ownership, and sustainability.These approaches and strategies are also aligned with the commitments from the Paris Declaration on Aid Effectiveness, 2005. 2 1. “The Capacity Development Results Framework – a strategic and results oriented approach to learning for capacity development”, The World Bank, June 2009 2. http://www.oecd.org/dac/effectiveness/parisdeclaration/members AIDS Support and Technical Assistance Resources TECHNICAL BRIEF No. 2 • JANUARY 2011 Contributing to stronger, more sustainable, country-led HIV/AIDS programs

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Page 1: OrganizatiOnal CapaCity Building FramewOrk...OrganizatiOnal CapaCity Building FramewOrk: A Foundation for Stronger, More Sustainable HIV/AIDS Programs, Organizations & Networks INTRODUCTION

OrganizatiOnal CapaCity Building FramewOrk: A Foundation for Stronger, More Sustainable HIV/AIDS Programs, Organizations & Networks

INTRODUCTION

Governments, donors, and NGOs have made significant investments in capacity building, but the term is often vaguely defined and operational-ized, and impact is difficult to measure. The mechanisms for planning, implementing and evaluating organizational capacity building can also be dramatically different in practice. Meanwhile, the chorus of capac-ity building enthusiasts continues to grow. In 2009, the World Bank put out a new and significant publication—Capacity development results Framework1—that stresses a strategic and results-oriented approach to nurturing the building and rational utilization of capacity at national and sub-national levels. There is also recognition that sound capacity building approaches and practices are essential to achieving PEPFAR targets and the Millennium Development Goals, as well as the PEPFAR and Global Health Initiative goals of health systems strengthening, country ownership, and sustainability. These approaches and strategies are also aligned with the commitments from the Paris Declaration on Aid Effectiveness, 2005. 2

1. “the Capacity development results Framework – a strategic and results oriented approach to learning for capacity development”, the world Bank, June 2009

2. http://www.oecd.org/dac/effectiveness/parisdeclaration/members

aidS Support and technical assistance resources

Contributing to stronger, more sustainable, countr y-led HIV/AIDS programs

TechnicalBRIEF No.2• JanUaRY 2011

Contributing to stronger, more sustainable, country-led HIV/AIDS programs

Page 2: OrganizatiOnal CapaCity Building FramewOrk...OrganizatiOnal CapaCity Building FramewOrk: A Foundation for Stronger, More Sustainable HIV/AIDS Programs, Organizations & Networks INTRODUCTION

intrOduCtiOn & aCrOnymS n i i

The nature and needs of health service organi-zations, both public sector institutions and civil society organizations, are changing dramatically. This is especially true for hiV/aiDS implementing orga-nizations. Many of these entities are being asked to take over programs, integrate programs or assume new organizational mandates, scale up existing services, manage larger budgets and employ larger workforces. These organizations face expectations for greater accountability and transparency as well as improved organizational results. as such, these organizations and donors must pay attention to needed improvements in leadership and gover-nance, financial management, human resource management, planning and logistics, monitoring and

evaluation, grants management and other internal systems and processes, team work, partnership and alliance building, and resource generation. Many organizations would benefit from more effective communication and decision-making processes. capacity building in these areas can contribute greatly to the efficiency and effective-ness of any organization.

The framework in this Technical Brief offers a simplified and systematic approach to organi-zational capacity building that most local imple-menters, especially those that provide hiV/aiDS services, can draw from to better fulfill or expand their mandates. n

acROnYMS

aidStar aidS Support and technical assistance resources

CBO Community Based Organization

COtr Contract Office technical representative

CSO Civil Society Organization

it information technology

m&e monitoring and evaluation

ngO non-governmental Organization

pepFar president’s emergency program for aidS relief

uSaid united States agency for international development

Page 3: OrganizatiOnal CapaCity Building FramewOrk...OrganizatiOnal CapaCity Building FramewOrk: A Foundation for Stronger, More Sustainable HIV/AIDS Programs, Organizations & Networks INTRODUCTION

taBle OF COntentS n i i i

TaBle Of cOnTenTS

intrOduCtiOn . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1

aCrOnymS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . i i

aCknOwledgementS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . i v

i . the purpOSe OF the OrganizatiOnal CapaCity Building FramewOrk . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1

i i . deFinitiOn OF termS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1

i i i . guiding prinCipleS FOr OrganizatiOnal CapaCity Building . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2

iV. COmpOnentS OF the OrganizatiOnal CapaCity Building FramewOrk . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3

V. the OrganizatiOnal CapaCity Building FramewOrk . . . . . . . . . . 5

Vi . mOnitOring and eValuatiOn . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19

COnCluSiOn . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20

appendiX a. glOSSary OF key termS . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21

appendiX B. BiBliOgraphy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22

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aCknOwledgementS n i v

acknOwleDgeMenTS

This Technical Brief was produced by the aiDSTaR-Two Project in collaboration with the US agency for international Development (USaiD) Office of hiV/aiDS, washington, Dc. funded by USaiD, the project’s overall objective is to contribute to stronger and more sustainable, country-led hiV/aiDS programs, organizations, and networks. The aiDSTaR-Two consortium, led by Management Sciences for health (MSh), includes: international hiV/aiDS alliance; cardno emerging Markets, USa, ltd. (cardno); health & Develop-ment africa, ltd.; initiatives, inc.; Save the children federation; and Religions for Peace.

This document would not have been possible without the sustained efforts and advisory support of a number of people. former aiDSTaR-Two capacity Building advisor Sarah ford initially developed a useful outline that was reformulated and expanded upon by Ummuro adano, the current capacity Building advisor. Sarah Johnson, aiDSTaR-Two Project Director, and Judy Seltzer, Director of Technical Strategy and Quality assur-ance at Management Sciences for health, gave guidance as well as substantive ongoing suggestions and comments. ken Sklaw, Organizational Devel-opment Specialist at USaiD Office of hiV/aiDS provided regular and useful feedback and helped particularly with focusing the framework on the needs of local implementing organizations, espe-cially civil society organizations. william Sambisa

and katie Reichert helped with the indicators section. Philippe heckly worked on the framework diagram and elizabeth walsh edited the docu-ment. we thank emily hughes, the aiDSTaR-Two USaiD cOTR, for her constant encouragement and support.

we appreciate the support of the US President’s emergency Plan for aiDS Relief (PePfaR) and the USaiD for providing the funding for the develop-ment of this document. Their continuing invest-ment in capacity building tools and approaches demonstrates their firm commitment to orga-nizational capacity building as a critical factor in improving the quality and effectiveness of hiV/aiDS programs and organizations and strengthen-ing health systems in general, and, in the process, enhancing country ownership to sustain these local programs and organizations.

we hope the conceptual framework presented in this technical brief assists local implementing part-ners, including civil society organizations, ngOs and public sector institutions, as well as donors to improve on their organizational capacity build-ing processes and approaches. The good practices and indicators used in this document should be considered based on the type and current capac-ity of the organization. while there are minimum standards for the organizational practices, not all will be applicable to every organization. n

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the purpOSe OF the FramewOrk & deFinitiOnS n 1

The organizational capacity building frame-work presented here was developed by

the aiDSTaR-Two Project, in collaboration with USaiD. funded by USaiD, aiDSTaR-Two’s overall objective is to contribute to stronger and more sustainable, country-led hiV/aiDS programs, orga-nizations, and networks. like other frameworks, this one serves to hold together a set of ideas or practices that comprise a broad approach or course of action. it provides an operational understand-ing of organizational capacity building, particularly in the context of local civil society organizations although it has applicability to a wide range of organizations, including government institutions at local, regional and national levels.

Specifically, the framework serves to:

� assist local implementing institutions and organizations, capacity building providers and donors to understand and utilize the prin-ciples, concepts and practices of organizational capacity building.

� Describe the process of designing, implement-ing, measuring and documenting capacity building interventions capable of improving an organization’s performance, or the skills and competencies of its staff.

� encourage the capacity building community to use a more systematic approach to improve the efficacy of organizational capacity building.

i. The PURPOSe Of The ORganiZaTiOnal caPaciTY BUilDing fRaMewORk

The definitions of certain common “capacity building” terms frequently used in this docu-

ment provide a basis for discussions and forging a common understanding. a glossary of other terms is provided on page 21.

� Capacity: the ability or power of an organi-zation to apply its skills, assets and resources to achieve its goals.

� Capacity building: an on-going evidence-driven process to improve the ability of an individual, team, organization, network, sector or community to create measurable and sustainable results.

� Organizational capacity building: the strengthening of internal organizational structures, systems and processes, manage-ment, leadership, governance and overall staff capacity to enhance organizational, team and individual performance.

ii. DefiniTiOn Of TeRMS

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guiding prinCipleS n 2

iii. gUiDing PRinciPleS fOR ORganiZaTiOnal caPaciTY BUilDing

If done well, organizational capacity building can contribute to sustainability, ownership, improved

organizational services and products, and a sense of common purpose. it can also enhance institu-tional flexibility in responding to change, problem solving and learning.

incorporating certain principles in the design, implementation and monitoring of organizational capacity building initiatives and programs is criti-cal to successful capacity building processes and sustainable results. These principles include:

� Ownership and Leadership: for orga-nizational capacity building to be useful and effective, the organization that is the subject of the capacity building assistance must own the process. This means capacity building assess-ments and planned improvements are defined and carried forward by the implementing organization, with the guidance and assistance of any external partners as needed. Senior management must commit to the process, providing ongoing leadership, management and technical support.

� Demand-driven Technical Support: The need for external local, regional and/or international partners, in providing technical assistance and support for capacity building efforts of local organizations will vary based on the organization requesting the support. The way in which capacity building technical assistance is offered and facilitated is key to the effectiveness and sustainability of interven-tions. Organizations need to work collabora-tively with any external organization providing the technical assistance to identify, participate in and potentially endorse the key concepts of any external technical assistance. as organi-zations change and grow there may be new or additional opportunity to seek external support or technical assistance.

� Participation: capacity building ideally involves the organization at all levels including other relevant stakeholders as appropriate in order to ensure buy-in and commitment, build real local capacity and enhance sustainability. Participation also involves commitment of time and other resources on the part of the organization.

� Context-specific: The selection of capacity building approaches, tools, and methodologiesis based on the context in which the orga-nization, team, or individual operates and its current level of capacity. context, for example, can reflect resource-constrained or post-conflict environments, or can be driven by donor expectations or national policies.

� Evidence-based capacity building practices: capacity building approaches, tools, and methodologies are designed or selected based on proven evidence of impact and appropriateness for the type of organization, setting and needs.

� Results-oriented capacity building: implementing organizations should develop and use indicators to measure progress toward achieving capacity building results. To help monitor and improve organizational performance, organizations should set perfor-mance targets and measurable results, analyze impact, correct course if necessary, identify lessons learned, and determine if the organiza-tional capacity building practices were effective.

� Learning and knowledge exchange: all those involved in capacity building need to prioritize the documentation, dissemination, and application of lessons learned and promis-ing practices in this area and share this infor-mation. Strengthening the capacity building evidence base should be a high priority for all.

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COmpOnentS OF the FramewOrk n 3

Effective organizational capacity building consists of evidence-based approaches to meet a hier-

archy of needs over time. capacity building must occur with the full support of the organization’s leadership, if investments in capacity building are to pay off.

additionally, organizational capacity building is complicated by a multiplicity of environmental factors including culture, politics and even geog-raphy. Organizations also operate within broad, sometimes overlapping and often complex contexts with laws, regulations, ordinances, poli-cies and other government, community and donor priorities.

This framework is an attempt to provide some consistency and simplicity, especially for civil society organizations implementing hiV/aiDS programs, but can serve as a model for non-health related organizations as well.

The organizational capacity building framework presented here is organized around four compo-nents: organizational functions, organizational practices, standards and indicators.

1. Organizational functions: These are the set of core organizational features that need to be present and functioning together effectively in a sustainable institution. This framework defines five primary functions of an organiza-tion or a network (see Diagram 1 below):

� mission, vision, and strategy: the organization’s purpose and approaches that define and underline programs and activities, and inform the planning process.

� Structure: programs, projects, offices, departments/units, lines of authority and accountability, decision making and communication mechanisms to accomplish the mission and goals of the organization.

� management systems: integrated internal systems that enhance utilization of all resources and assets to advance the organization’s mission. examples of these systems include human resource management, financial management, health information, drugs and supply, and monitoring and evaluation.

� partnerships, external relations and networking: mechanisms and approaches for building and nurturing effective alliances and networks in order to leverage support and extend the scope and effectiveness of services and overall mandate of the organization.

� leadership and governance: stewardship, defining values and promoting standards of ethical practice, mobilizing resources,

iV. cOMPOnenTS Of The ORganiZaTiOnal caPaciTY BUilDing fRaMewORk

Leadership&

Governance

Mission,Vision

& Strategy

Management Systems

Partnerships, External

Relations & Networking

Structure

ENVIRONMENT

DIAGRAM 1.

Organizational Functions

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COmpOnentS OF the FramewOrk n 4

effective trusteeship in setting strategic direction, detecting and correcting undesirable trends or distortions.

By conceptualizing organizational life in this manner, local organizations, governments, donors and capacity building providers can determine with some precision where to target their interventions. all these components are important, but leader-ship and governance appear in the middle of the diagram, since they are especially critical and often serve as the glue that binds and promotes the effectiveness of all the other functions.

The primary functions constitute the core elements that are normally the focus of organizational assessment and capacity building interventions. additionally, understanding who the beneficiaries or clients of these interventions are guides the next step, which is to determine which functions need improving. The subject or client of an intervention could be an individual, team, department, an entire organization, network or community.

2. Organizational Practices: These are the essential processes and activities that organiza-tions require to demonstrate capacity in any one of the core functions. for these practices to be sound, they must be supported by and encouraged through policies, structures, systems and actions. To increase an organiza-tion’s efficiency and effectiveness, all of the practices described in this framework are essential. capacity building interventions

must take them into account, while bearing in mind the absorptive capacity of the organiza-tion receiving the assistance. without a deep understanding of these practices and how they interact, effectiveness and sustainability of capacity building programs can be at risk.

3. Standards: These are the established inter-nal norms or requirements of an organiza-tion, which can be used as measures to gauge development and identify capacity building needs. Just as there are standards for clini-cal medicine and public health, so are there standards for organizational functions and practices. however, some level of customiza-tion may be necessary for different contexts and levels of organizational maturity. Organi-zations work toward the achievement of these standards over time.

4. Indicators: These are the metrics used to monitor and measure progress in meeting the standards for each essential organizational practice. Measuring intermediate progress and longer term results requires a systematic approach with metrics that assess efficiency, effectiveness and impact.

The framework on the following pages provides a comprehensive picture, with examples, of organi-zational functions, practices, standards and indica-tors. when understood and applied together, the components of the capacity building framework bolster the functionality of a program or organization. n

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and

due

dat

es a

re c

lear

ly no

ted.

�Pe

rcen

t of r

esul

ts a

nd k

ey a

ctio

ns th

at a

re

com

plet

ed.

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ga

niz

at

iOn

al

Ca

paC

ity

Bu

ild

ing

Fr

am

ew

Or

k

n

7

Organiz

ation

al

Functio

nsEx

ample

s of E

ssential

Organiz

ation

al Practices

Stand

ards

Indica

tors

How

can

we m

easure

this?

Mission

, Visio

n &

Stra

tegy

(co

ntin

ued)

dev

elop

ing

an a

nnua

l w

ork

plan

(con

tinue

d) �

a m

onito

ring

and

evalu

atio

n pl

an w

ith

clear

targ

ets a

nd in

dica

tors

that

mat

ch th

e or

gani

zatio

n’s st

rate

gic a

nd o

pera

tiona

l pl

ans a

nd is

con

siste

nt w

ith th

e na

tiona

l h

i V/a

iDS

strat

egy,

dono

r req

uire

men

ts

for M

&e a

nd re

port

ing

is im

plem

ente

d.

�fr

eque

ncy

of m

easu

re:

Qua

rter

ly

�M

& e

plan

exi

sts a

nd p

erio

dic

revie

w

sche

dule

is fo

llow

ed w

ith p

eopl

e re

spon

sible

and

due

dat

es.

dev

elop

ing

busin

ess

plan

s for

new

pr

oduc

ts, s

ervic

es

or m

arke

ts

The

orga

niza

tion

has a

staf

f cap

able

of

deve

lopi

ng so

und

busin

ess p

lans t

o se

cure

fu

ndin

g fo

r the

des

ign a

nd la

unch

of n

ew

prod

ucts

or s

ervic

es, o

r exi

stin

g se

rvice

s and

pr

oduc

ts e

ntry

into

new

mar

kets

(reg

ions

, ta

rget

pop

ulat

ions

, etc

) and

a so

und

busin

ess

plan

exi

sts.

�Bu

sines

s plan

impl

emen

ted.

�a

mou

nt a

nd ty

pe o

f fun

ding

leng

th a

nd

sour

ce re

ceive

d as

a re

sult

of p

rese

ntin

g th

eir b

usin

ess p

lan

�n

umbe

r of n

ew p

rodu

cts o

r ser

vices

lau

nche

d or

exi

stin

g se

rvice

s/pro

duct

s ex

tend

ed to

new

regio

ns o

r pop

ulat

ions

as

a re

sult

of im

plem

entin

g th

eir

busin

ess p

lan

�a

det

ailed

wor

k pl

an e

xist

s to

supp

ort

the

impl

emen

tatio

n of

bus

ines

s plan

�Re

sour

ces (

budg

et li

ne/st

aff)

alloc

ated

to

prom

ote

plan

Page 12: OrganizatiOnal CapaCity Building FramewOrk...OrganizatiOnal CapaCity Building FramewOrk: A Foundation for Stronger, More Sustainable HIV/AIDS Programs, Organizations & Networks INTRODUCTION

Or

ga

niz

at

iOn

al

Ca

paC

ity

Bu

ild

ing

Fr

am

ew

Or

k

n

8

Organiz

ation

al

Functio

nsEx

ample

s of E

ssential

Organiz

ation

al Practices

Stand

ards

Indica

tors

How

can

we m

easure

this?

Stru

ctur

ed

evel

opin

g an

or

gani

zatio

nal c

hart

th

at d

efine

s lin

es o

f au

thor

ity a

nd

acco

unta

bilit

y

The

orga

niza

tion

has a

stru

ctur

e w

hich

is

wel

l-des

igned

and

rele

vant

to th

e m

issio

n; vis

ion

and

key

func

tions

of t

he o

rgan

izatio

n ar

e cle

arly

defin

ed a

nd a

ppro

priat

e.

The

orga

niza

tion

has a

n or

gani

zatio

nal c

hart

or

org

anog

ram

that

defi

nes l

ines

of a

utho

r-ity

, sup

ervis

ion

and

acco

unta

bilit

y. Thi

s is a

lso

inclu

ded

in th

e or

gani

zatio

n’s m

anua

l of

polic

ies a

nd p

roce

dure

s.

�a

n or

gani

zatio

nal c

hart

that

is re

gular

ly up

date

d an

d co

nsist

ently

use

d

�fr

eque

ncy

of m

easu

re: a

nnua

lly

�O

rgan

izatio

nal c

hart

exi

sts t

hat s

how

s re

port

ing

lines

and

supe

rviso

ry re

latio

n-sh

ips,

and

it ha

s bee

n di

ssem

inat

ed to

staf

f

�c

hart

upd

ated

to sh

ow n

ew st

ruct

ure

�c

hart

use

d to

reso

lve is

sues

per

tain

ing

to

line

s of a

utho

rity

and

acco

unta

bilit

y

esta

blish

ing

form

al

inte

rnal

com

mun

icatio

n m

echa

nism

s to

shar

e ne

cess

ary

info

rmat

ion

The

orga

niza

tion

has c

lear

com

mun

icatio

n m

echa

nism

s, un

ders

tood

by

all st

aff, t

o sh

are

info

rmat

ion

inclu

ding

cha

nges

in p

roce

dure

s or

regu

latio

ns a

nd o

ther

impo

rtan

t mat

ters

ac

ross

org

aniza

tiona

l uni

ts a

nd a

mon

g st

aff

at d

iffer

ent l

evel

s.

�c

omm

unica

tion

chan

nels—

mem

os,

lette

rs, e

mail

s, co

nfer

ence

call

s, bu

lletin

s, ne

wsle

tters

—ex

ist a

nd a

re u

sed

cons

is-te

ntly

to sh

are

info

rmat

ion

inte

rnall

y.

�Ty

pe, q

ualit

y an

d qu

antit

y of

co

mm

unica

tion

chan

nels

�fu

nds a

re a

lloca

ted

to su

ppor

t co

mm

unica

tion

chan

nels

�n

umbe

r of s

taff

who

exp

ress

satis

fact

ion

with

com

mun

icatio

n ch

anne

ls

e sta

blish

ing

clear

st

aff r

oles

and

re

spon

sibilit

ies

Role

s and

resp

onsib

ilitie

s are

defi

ned

in th

e po

licy

and

proc

edur

es m

anua

l and

use

d as

th

e ba

sis fo

r ass

ignin

g w

ork.

�Ro

les a

nd re

spon

sibilit

ies a

re d

efine

d in

th

e m

anua

l, and

are

upd

ated

in th

e lig

ht

of n

ew in

itiat

ives.

�U

pdat

ed m

anua

l on

role

s and

re

spon

sibilit

ies

�St

aff a

ssign

men

ts se

rve

orga

niza

tiona

l st

rate

gies

esta

blish

ing

clear

de

cisio

n m

akin

g

prot

ocol

s

The

orga

niza

tion

has a

cle

ar a

nd in

clusiv

e pr

oces

s for

mak

ing

all si

gnifi

cant

dec

ision

s an

d ca

rryin

g ou

t tho

se d

ecisi

ons.

�Se

nior

man

ager

s and

lead

ers l

isten

to

and

cons

ider

the

view

s of s

taff

befo

re

mak

ing

signi

fican

t dec

ision

s.

�St

aff a

re e

ncou

rage

d to

mak

e sig

nific

ant

decis

ions

rega

rdin

g th

eir o

wn

wor

k.

�%

of s

taff

who

repo

rt th

ey w

ere

co

nsul

ted

befo

re si

gnifi

cant

dec

ision

s w

ere

mad

e

�M

eetin

g re

port

s

�n

umbe

r of c

onsu

ltativ

e m

eetin

gs b

efor

e sig

nific

ant d

ecisi

ons a

re m

ade

and

ca

rrie

d ou

t

Page 13: OrganizatiOnal CapaCity Building FramewOrk...OrganizatiOnal CapaCity Building FramewOrk: A Foundation for Stronger, More Sustainable HIV/AIDS Programs, Organizations & Networks INTRODUCTION

Or

ga

niz

at

iOn

al

Ca

paC

ity

Bu

ild

ing

Fr

am

ew

Or

k

n

9

Organiz

ation

al

Functio

nsEx

ample

s of E

ssential

Organiz

ation

al Practices

Stand

ards

Indica

tors

How

can

we m

easure

this?

Lead

ersh

ip a

nd

Gov

erna

nce

Com

plyin

g w

ith lo

cal

regis

trat

ion

and

tax

stat

us re

quire

men

ts

Org

aniza

tion

is le

gally

regis

tere

d, is

awar

e of

tax

stat

us a

nd is

fully

com

plian

t with

tax

oblig

atio

ns a

nd la

bor l

aws.

�Va

lid re

gistr

atio

n ce

rtifi

cate

exi

sts.

�Ta

x w

aiver

cer

tifica

te e

xist

s.

�Ta

x pi

n nu

mbe

r exi

sts.

�le

gal r

egist

ratio

n do

cum

ents

�li

nk to

labo

r law

exp

ert o

r tax

adv

isory

se

rvice

s

dev

elop

ing

stan

dard

s of

eth

ical p

ract

ice

that

pre

serv

e an

d st

reng

then

pub

lic’s

confi

denc

e

Org

aniza

tiona

l valu

es a

nd e

thica

l prin

ciple

s ar

e w

ritte

n do

wn,

wid

ely

know

n, an

d bo

ard

and

staf

f are

hel

d ac

coun

tabl

e fo

r adh

erin

g to

them

.

�O

rgan

izatio

nal v

alues

stat

emen

t exi

sts.

�c

ode

of e

thics

exi

sts.

�n

umbe

r of s

taff

and

boar

d w

ho c

an

expl

ain th

e or

gani

zatio

n’s v

alues

stat

emen

t

�n

umbe

r of s

taff

and

Boar

d m

embe

rs w

ho

have

read

and

sign

ed c

ode

of e

thics

prom

otin

g tr

ansp

aren

cy a

nd

acco

unta

bilit

y

The

orga

niza

tion

proc

ures

goo

ds a

nd

serv

ices a

nd is

sues

gra

nts i

n a

fair

and

tr

ansp

aren

t way

; fina

ncial

info

rmat

ion

re

gard

ing

the

orga

niza

tion

is m

ade

avail

able

to

mem

bers

, ben

eficia

ries,

and

dono

rs.

�a

nnua

l and

qua

rter

ly re

port

s con

tain

fin

ancia

l inf

orm

atio

n an

d ar

e di

ssem

i-na

ted

to m

embe

rs, b

enefi

ciarie

s and

do

nors

.

�Re

gular

inte

rnal

and

exte

rnal

audi

t m

echa

nism

exi

sts.

�St

anda

rdize

d fin

ancia

l dat

a co

llect

ion

m

etho

ds a

nd in

frast

ruct

ures

exi

sts.

�St

anda

rdize

d fin

ancia

l inf

orm

atio

n is

read

ily

acce

ssib

le a

nd ro

utin

ely

diss

emin

ated

to

stak

ehol

ders

.

�U

nifo

rm p

ract

ices f

or q

uant

itativ

e an

alysis

of

fina

ncial

per

form

ance

exi

sts.

�n

umbe

r of s

uita

bly

cred

entia

led

finan

cial

man

agem

ent w

orkf

orce

Page 14: OrganizatiOnal CapaCity Building FramewOrk...OrganizatiOnal CapaCity Building FramewOrk: A Foundation for Stronger, More Sustainable HIV/AIDS Programs, Organizations & Networks INTRODUCTION

Or

ga

niz

at

iOn

al

Ca

paC

ity

Bu

ild

ing

Fr

am

ew

Or

k

n

10

Organiz

ation

al

Functio

nsEx

ample

s of E

ssential

Organiz

ation

al Practices

Stand

ards

Indica

tors

How

can

we m

easure

this?

Lead

ersh

ip a

nd

Gov

erna

nce

(con

tinue

d)

esta

blish

ing

and

main

tain

ing

a fu

nctio

nal b

oard

of

dire

ctor

s

The

orga

niza

tion

has a

boa

rd o

f dire

ctor

s w

ith c

lear

term

s of e

ngag

emen

t, a

code

of

ethi

cs a

nd re

gular

ly fu

nctio

ning

boa

rd c

om-

mitt

ees f

or sp

ecifi

c ar

eas,

such

as r

even

ue

gene

ratio

n, co

mpe

nsat

ion,

finan

cial m

anag

e-m

ent,

risk

man

agem

ent,

and

publ

ic re

latio

ns,

prog

ram

s and

serv

ices.

Boar

d m

embe

rshi

p is

draw

n fro

m a

bro

ad

spec

trum

acc

ordi

ng to

boa

rd p

roce

dure

s; all

m

embe

rs h

ave

rele

vant

exp

erie

nce.

Boar

d di

splay

s a h

igh w

illing

ness

and

pro

ven

trac

k re

cord

of i

nves

ting

in le

arni

ng a

bout

the

orga

niza

tion

and

addr

essin

g its

issu

es.

�Th

e bo

ard

of d

irect

ors m

eets

on

a m

onth

ly or

qua

rter

ly ba

sis.

�M

eetin

gs a

re w

ell p

lanne

d, do

cum

ente

d an

d oc

cur a

t reg

ular

inte

rvals

with

exc

el-

lent

atte

ndan

ce.

�Bo

ard

of d

irect

ors r

evie

ws fi

nanc

ial

info

rmat

ion

of th

e or

gani

zatio

n, st

rate

gic

and

oper

atio

nal p

lan a

nd b

udge

t, do

nor

requ

irem

ents

, et

c. an

d pa

rtici

pate

s in

fund

raisi

ng.

�Bo

ard

has c

lear

Term

s of R

efer

ence

and

a

good

und

erst

andi

ng o

f its

key

func

tions

an

d th

ose

key

func

tions

are

all

cons

is-te

ntly

carr

ied

out.

�Bo

ard

term

lim

its a

re d

efine

d. O

ffice

rs

are

elec

ted/

appo

inte

d ac

cord

ing

to

boar

d pr

oced

ures

.

�Bo

ard

of d

irect

ors e

ngag

es in

lead

ersh

ip

deve

lopm

ent t

rain

ing

or c

apac

ity b

uild

ing

activ

ities

on

an a

nnua

l bas

is.

�M

eetin

g m

inut

es a

re ta

ken

and

diss

emi-

nate

d to

all

boar

d m

embe

rs a

nd if

ap

prop

riate

key

stak

ehol

ders

and

staf

f.

�a

gend

a fo

r boa

rd m

eetin

gs d

emon

stra

tes

varie

ty o

f key

role

s and

func

tions

.

�Bo

ard

Term

s of R

efer

ence

on

file

and

re

gular

ly up

date

d.

�n

umbe

r of m

eetin

gs a

ttend

ed b

y all

boa

rd

mem

bers

�Bo

ard

elec

tion

notic

es a

nd re

port

s

�n

umbe

r of b

oard

dev

elop

men

t act

ivitie

s

mob

ilizin

g re

sour

ces

The

orga

niza

tion

follo

ws a

med

ium

and

lo

ng-te

rm re

venu

e-ge

nera

ting

stra

tegy

, ba

lancin

g di

vers

e so

urce

s of r

even

ue to

m

eet c

urre

nt a

nd fu

ture

nee

ds.

�Th

e or

gani

zatio

n ob

tain

s and

use

s di

vers

ified

fund

ing

sour

ces t

o su

ppor

t its

pr

ogra

ms a

nd se

rvice

s.

�Pe

rcen

t of a

nnua

l rev

enue

s gen

erat

ed fr

om

dive

rse

sour

ces

�Pe

rcen

t of a

nnua

l ope

ratin

g bu

dget

that

is

cove

red

by in

com

e ge

nera

ted

thro

ugh

serv

ice d

elive

ry

�O

rgan

izatio

n ha

d su

bmitt

ed a

t lea

st o

ne

prop

osal

for e

xter

nal f

undi

ng w

ithin

the

las

t 12

mon

ths.

Page 15: OrganizatiOnal CapaCity Building FramewOrk...OrganizatiOnal CapaCity Building FramewOrk: A Foundation for Stronger, More Sustainable HIV/AIDS Programs, Organizations & Networks INTRODUCTION

Or

ga

niz

at

iOn

al

Ca

paC

ity

Bu

ild

ing

Fr

am

ew

Or

k

n

11

Organiz

ation

al

Functio

nsEx

ample

s of E

ssential

Organiz

ation

al Practices

Stand

ards

Indica

tors

How

can

we m

easure

this?

Lead

ersh

ip a

nd

Gov

erna

nce

(con

tinue

d)

defi

ning

valu

es

dev

elop

ing

and

form

ally

adop

ting

writ

ten

code

of e

thics

Org

aniza

tiona

l valu

es a

nd e

thica

l prin

ciple

s ar

e w

ritte

n do

wn,

wid

ely

know

n, an

d bo

ard

and

staf

f are

hel

d ac

coun

tabl

e fo

r adh

erin

g to

them

.

�ke

y va

lues

stat

emen

ts a

re d

ocum

ente

d an

d ac

cess

ible

to st

aff.

�St

aff r

ecei

ve tr

ainin

g an

d or

ient

atio

n on

valu

es a

nd e

thica

l prin

ciple

s of t

he

orga

niza

tion.

�fr

eque

ncy

of m

easu

re:

ever

y 3–

5 ye

ars

�c

ondu

ct a

surv

ey a

skin

g st

aff t

o st

ate

the

valu

es o

f the

org

aniza

tion.

�ke

y Q

uest

ions

: (1

) can

staf

f exp

lain

the

key

valu

es o

f the

or

gani

zatio

n?

(2) a

re th

e ke

y va

lues

con

sider

ed/u

sed

in

prop

osal

deve

lopm

ent?

(3

) are

the

key

valu

es c

onsid

ered

/use

d to

de

velo

p st

rate

gy?

(4) a

re th

e ke

y va

lues

tied

to st

aff

perfo

rman

ce a

nd re

view

pro

cess

?

Part

ners

hips

, Ex

tern

al R

elat

ions

an

d Net

wor

king

Form

ulat

ing

an

advo

cacy

pol

icyTh

e or

gani

zatio

n ha

s a c

lear

ly de

fined

stra

t-eg

y an

d an

nual

oper

atio

nal p

lan fo

r pol

icy

enga

gem

ent a

nd a

dvoc

acy

with

rele

vant

st

akeh

olde

rs, b

ased

on

the

natio

nal p

olicy

co

ntex

t and

the

need

s of c

ivil s

ocie

ty.

�a

dvoc

acy

plan

impl

emen

ted

�Re

gular

and

recu

rrin

g jo

int m

eetin

gs o

f ag

ency

lead

ers

�Bu

dget

ary

com

mitm

ent t

o co

oper

ative

pa

rtne

rshi

p ef

fort

s

�Re

sour

ce, a

sset

, or i

nfor

mat

ion

shar

ing

Page 16: OrganizatiOnal CapaCity Building FramewOrk...OrganizatiOnal CapaCity Building FramewOrk: A Foundation for Stronger, More Sustainable HIV/AIDS Programs, Organizations & Networks INTRODUCTION

Or

ga

niz

at

iOn

al

Ca

paC

ity

Bu

ild

ing

Fr

am

ew

Or

k

n

12

Organiz

ation

al

Functio

nsEx

ample

s of E

ssential

Organiz

ation

al Practices

Stand

ards

Indica

tors

How

can

we m

easure

this?

Part

ners

hips

, Ex

tern

al R

elat

ions

an

d Net

wor

king

(con

tinue

d)

inve

stin

g in

a w

ide

rang

e of

net

wor

king

an

d pa

rtne

ring

activ

ities

(inc

ludi

ng

com

mun

ity

mob

ilizat

ion

effo

rts)

The

orga

niza

tion

has s

trat

egic

links

with

ex

tern

al or

gani

zatio

ns a

nd h

as a

n in

tern

al pr

oces

s to

shar

e te

chni

cal e

xper

tise

and

expe

rienc

es, h

as a

pplie

d be

st p

ract

ices t

o its

pr

ogra

m a

nd sh

ared

this

info

rmat

ion

with

st

akeh

olde

rs a

nd a

ppro

priat

e st

aff.

The

orga

niza

tion

has s

trat

egic

and

oper

a-tio

nal l

inks

to k

ey st

akeh

olde

rs in

cludi

ng th

e co

mm

unity

and

mob

ilizes

them

to e

ngag

e w

ith th

e na

tiona

l and

loca

l res

pons

e to

hiV

.

The

orga

niza

tion

has a

cle

ar re

ferr

al pr

oces

s an

d st

rong

link

ages

with

gov

ernm

ent,

priva

te

or n

gO

hea

lth o

r soc

ial se

rvice

pro

vid-

ers t

o en

sure

that

clie

nts r

equi

ring

hiV

and

a

iDS

treat

men

t or h

ealth

serv

ices h

ave

acce

ss to

them

and

are

follo

wed

. clie

nts a

re

cons

isten

tly re

ferr

ed to

the

right

loca

tions

w

hen

need

ed a

nd d

o no

t enc

ount

er p

rob-

lem

s at r

efer

ral s

ites.

The

orga

niza

tion

has p

artic

ipat

ory

plan

ning

an

d de

cisio

n m

akin

g pr

oces

ses t

hat i

nvol

ve

stak

ehol

ders

(inc

ludi

ng re

pres

enta

tion

from

pr

ojec

t ben

eficia

ry g

roup

s and

com

mun

i-tie

s). T

heir

view

s are

con

siste

ntly

inte

grat

ed

into

pro

gram

des

ign to

impr

ove

the

con-

tinuu

m o

f car

e. c

omm

unity

is m

obiliz

ed to

be

act

ive in

pro

gram

act

ivitie

s.

�a

nnua

l joi

nt st

rate

gic a

nd o

pera

tiona

l pl

ans i

mpl

emen

ted

�M

echa

nism

s tha

t pro

mot

e m

ulti-

sect

oral

coor

dina

tion

and

colla

bora

tion

exist

�Pa

rtne

rs h

old

each

oth

er a

ccou

ntab

le fo

r pr

ogre

ss

�c

omm

unity

mob

ilizat

ion

stra

tegie

s im

plem

ente

d

�c

omm

unity

eng

agem

ent p

lan

impl

emen

ted

�n

etw

orke

d re

ferr

al sy

stem

mee

ts th

e ne

eds o

f pat

ient

s

�St

akeh

olde

r mob

ilizat

ion

plan

im

plem

ente

d

�a

nnua

l joi

nt re

view

eve

nts/s

umm

its

�n

umbe

r of m

emor

anda

of u

nder

stan

ding

or

par

tner

ship

agr

eem

ents

�n

umbe

r of s

taff

train

ed in

par

tner

ship

po

licie

s and

pra

ctice

s

�n

umbe

r of a

gree

d jo

int t

arge

ts m

et

over

the

last X

mon

ths

�Re

gular

and

recu

rrin

g m

eetin

gs w

ith

com

mun

ity le

ader

s and

repr

esen

tativ

es

Page 17: OrganizatiOnal CapaCity Building FramewOrk...OrganizatiOnal CapaCity Building FramewOrk: A Foundation for Stronger, More Sustainable HIV/AIDS Programs, Organizations & Networks INTRODUCTION

Or

ga

niz

at

iOn

al

Ca

paC

ity

Bu

ild

ing

Fr

am

ew

Or

k

n

13

Organiz

ation

al

Functio

nsEx

ample

s of E

ssential

Organiz

ation

al Practices

Stand

ards

Indica

tors

How

can

we m

easure

this?

Man

agem

ent

Syst

ems

esta

blish

ing

a

finan

cial m

anag

emen

tsy

stem

The

orga

niza

tion

has c

ompl

ete

and

appr

o-pr

iatel

y do

cum

ente

d fin

ancia

l man

agem

ent

syst

ems,

whi

ch a

re k

now

n an

d un

ders

tood

by

staf

f and

whi

ch a

re c

onsis

tent

ly ad

here

d to

, rev

iew

ed a

nd u

pdat

ed.

The

orga

niza

tion

has c

ompl

ete

and

appr

o-pr

iatel

y do

cum

ente

d fin

ancia

l con

trol p

roce

-du

res,

whi

ch a

re k

now

n an

d un

ders

tood

by

staf

f and

whi

ch a

re c

onsis

tent

ly ad

here

d to

, re

view

ed a

nd u

pdat

ed.

The

orga

niza

tion

has c

ompl

ete

and

appr

o-pr

iatel

y do

cum

ente

d fin

ancia

l rep

ortin

g

proc

edur

es, w

hich

are

kno

wn

and

unde

r-st

ood

by st

aff a

nd w

hich

are

con

siste

ntly

adhe

red

to, r

evie

wed

and

upd

ated

.

The

orga

niza

tion

has c

ompl

ete

and

ap

prop

riate

doc

umen

ted

audi

t sys

tem

s.

Org

aniza

tiona

l sys

tem

s are

in p

lace

and

have

th

e ac

com

pany

ing

docu

men

tatio

n an

d st

aff

capa

ble

of u

sing

and

upda

ting

the

syst

ems.

�fin

ancia

l man

agem

ent s

yste

m b

ased

on

soun

d bu

sines

s prin

ciple

s im

plem

ente

d

�Pr

ogra

m m

anag

ers w

ork

with

fina

ncial

st

aff t

o de

velo

p an

d m

onito

r bud

gets

th

at su

ppor

t the

ann

ual o

pera

tiona

l plan

an

d ot

her p

rogr

amm

atic

initi

ative

s/ de

cisio

ns.

�Th

e fin

ance

syst

em p

rese

nts a

n ac

cura

te,

com

plet

e pi

ctur

e of

exp

endi

ture

s and

ca

sh fl

ow in

relat

ion

to p

rogr

am o

utpu

ts

and

serv

ices.

�Th

e ac

coun

ting

syst

em g

ener

ates

regu

lar

repo

rts t

rack

ing

expe

nditu

res a

gain

st th

e bu

dget

and

not

ing

varia

nces

.

�Th

e bu

dget

is li

nked

to th

e an

nual

op

erat

iona

l plan

for t

he c

urre

nt y

ear.

�Th

e sy

stem

pro

duce

s acc

urat

e, tim

ely

in

form

atio

n on

exp

endi

ture

s.

�in

form

atio

n ge

nera

ted

by th

e sy

stem

is

used

to m

ake

man

agem

ent d

ecisi

ons

(i.e.

analy

ze c

osts

, use

d to

allo

cate

re

sour

ces f

or p

lanne

d ac

tiviti

es).

�Pe

rcen

t of u

nits

/pro

gram

s/dep

artm

ents

/w

ork

grou

ps w

ithin

the

orga

niza

tion

that

ar

e us

ing

plan

ning

and

bud

getin

g pr

oce-

dure

s to

stre

ngth

en se

rvice

del

ivery

pe

rform

ance

.

�Th

e nu

mbe

r of q

ualifi

ed a

ccou

ntan

ts a

nd

book

keep

ers

�a

ppro

priat

e so

ftwar

e pa

ckag

e to

aut

omat

e fin

ancia

l man

agem

ent

�ev

iden

ce o

f act

ivitie

s in

year

ly ac

coun

ting

cycle

:

–D

esign

ing

a bu

dget

–M

anag

ing

cash

flow

–fin

ancia

l con

trols;

fina

ncial

aud

its

–fin

ancia

l ana

lysis

and

finan

cial r

epor

ting

Page 18: OrganizatiOnal CapaCity Building FramewOrk...OrganizatiOnal CapaCity Building FramewOrk: A Foundation for Stronger, More Sustainable HIV/AIDS Programs, Organizations & Networks INTRODUCTION

Or

ga

niz

at

iOn

al

Ca

paC

ity

Bu

ild

ing

Fr

am

ew

Or

k

n

14

Organiz

ation

al

Functio

nsEx

ample

s of E

ssential

Organiz

ation

al Practices

Stand

ards

Indica

tors

How

can

we m

easure

this?

Man

agem

ent

Syst

ems

(con

tinue

d)

dev

elop

ing

a h

uman

res

ourc

e m

anag

emen

t (h

rm)

syst

em

The

orga

niza

tion

has c

ompl

ete

and

ap

prop

riate

ly do

cum

ente

d h

R po

licie

s and

pr

oced

ures

, kno

wn

and

unde

rsto

od b

y st

aff

and

cons

isten

tly a

dher

ed to

, rev

iew

ed a

nd

upda

ted.

cle

ar re

crui

tmen

t and

dep

loym

ent g

uide

-lin

es e

xist

, the

pro

cess

is tr

ansp

aren

t, an

d th

e gu

idel

ines

are

con

siste

ntly

appl

ied.

hR

staf

f are

train

ed to

app

ly th

e gu

idel

ines

. The

or

gani

zatio

n ha

s str

ateg

ies f

or re

tain

ing

staf

f th

at a

re re

view

ed a

nd m

odifi

ed to

ens

ure

effe

ctive

ness

. exi

t int

ervie

ws a

re c

ondu

cted

an

d in

form

atio

n on

dep

artin

g em

ploy

ees i

s st

ored

. Opp

ortu

nitie

s for

car

eer a

dvan

ce-

men

t are

ava

ilabl

e.

a c

lear

supe

rvisi

on p

lan e

xist

s whi

ch d

etail

s su

perv

isory

resp

onsib

ilitie

s. Su

perv

isors

ar

e tr

ained

and

und

erst

and

the

proc

ess f

or

asse

ssin

g st

aff p

erfo

rman

ce. a

sses

smen

t is

cond

ucte

d fo

r all

staf

f at a

min

imum

of o

nce

a ye

ar. c

hang

es in

staf

f wor

k st

atus

, sala

ry

and

bene

fits a

re c

onsis

tent

ly fil

ed, u

p to

dat

e an

d av

ailab

le to

staf

f.

Stan

dard

s and

pro

cedu

res e

xist

for r

egul

ar

repo

rts;

findi

ngs a

re u

sed

to re

view

hR

trend

s, im

prov

e m

anag

emen

t and

per

for-

man

ce a

nd a

chie

ve o

utco

mes

; sta

ff w

ho

subm

it re

port

s con

siste

ntly

get p

rom

pt

feed

back

.

�h

RM p

olici

es a

nd p

ract

ices a

re d

ocu-

men

ted,

dist

ribut

ed a

nd a

dher

ed to

th

roug

hout

the

orga

niza

tion.

�a

n h

R un

it w

ith q

ualifi

ed st

aff e

xist

s and

ov

erse

es th

e im

plem

enta

tion

of h

R po

li-cie

s and

pra

ctice

s.

�a

pro

fess

iona

l hR

stru

ctur

e ex

ists,

with

de

fined

role

s and

resp

onsib

ilitie

s.

�lo

gical

job

desc

riptio

ns a

re c

reat

ed a

nd

avail

able

.

�Jo

b ex

pect

atio

ns a

re d

issem

inat

ed to

pr

ovid

ers.

�Sy

stem

s or p

olici

es a

re in

plac

e an

d

used

as r

emin

der/s

uper

visio

n fo

r job

ex

pect

atio

ns.

�Sy

stem

s exi

st w

here

by jo

b ex

pect

atio

ns

are

used

for p

erfo

rman

ce a

ppra

isal.

�Th

ere

is a

defin

ed st

ruct

ure

or p

athw

ay

for c

aree

r adv

ance

men

t.

� T

here

is e

viden

ce o

f a c

ultu

re o

r sys

tem

of

em

ploy

ee re

cogn

ition

and

rew

ards

; a

mer

it-ba

sed

prom

otio

n sy

stem

is in

pl

ace.

�Pl

anne

rs a

nd p

rogr

am m

anag

ers r

egul

arly

rece

ive a

nd u

se h

R da

ta to

mak

e

plan

ning

and

man

agem

ent d

ecisi

ons.

�Re

gular

repo

rts w

ith h

R da

ta n

eces

sary

fo

r plan

ning

, pol

icy m

akin

g or

hea

lth

prog

ram

dec

ision

mak

ing

�Th

e or

gani

zatio

n co

nduc

ts at

leas

t one

an

nual

empl

oyee

job

satis

fact

ion

surv

ey.

�St

aff a

nd su

perv

isors

hav

e re

ady

acce

ss to

jo

b de

scrip

tions

. �

Job

desc

riptio

ns a

re u

pdat

ed e

ach

time

a re

plac

emen

t hire

is re

crui

ted.

�Q

uart

erly

supe

rviso

r-sup

ervis

ee m

eetin

gs �

a p

lan e

xists

that

out

lines

hum

an re

sour

ce

prio

ritie

s for

the

curr

ent y

ear.

�a

det

ailed

wor

k pl

an e

xists

to su

ppor

t the

im

plem

enta

tion

of th

e hu

man

reso

urce

s pr

iorit

ies.

�Th

e re

sour

ces t

o im

plem

ent t

he p

lan a

re

alloc

ated

. �

an

orga

niza

tiona

l cha

rt e

xists

and

has

bee

n di

ssem

inat

ed to

staf

f. �

a p

erso

nnel

pol

icy m

anua

l exi

sts a

nd is

ac

cess

ible

to st

aff.

�a

n em

ploy

ee d

ata

syste

m e

xists

and

is

regu

larly

mon

itore

d. �

a p

erfo

rman

ce m

anag

emen

t sys

tem

exi

sts

and

inclu

des a

ccur

ate

job

desc

riptio

ns,

clear

lines

of s

uper

visio

n, fe

edba

ck, a

nd g

oals

for t

he fu

ture

. �

Perc

enta

ge o

f per

form

ance

revie

ws t

hat

have

bee

n co

mpl

eted

and

subm

itted

to th

e h

R of

fice

in th

e las

t yea

r

Page 19: OrganizatiOnal CapaCity Building FramewOrk...OrganizatiOnal CapaCity Building FramewOrk: A Foundation for Stronger, More Sustainable HIV/AIDS Programs, Organizations & Networks INTRODUCTION

Or

ga

niz

at

iOn

al

Ca

paC

ity

Bu

ild

ing

Fr

am

ew

Or

k

n

15

Organiz

ation

al

Functio

nsEx

ample

s of E

ssential

Organiz

ation

al Practices

Stand

ards

Indica

tors

How

can

we m

easure

this?

Man

agem

ent

Syst

ems

(con

tinue

d)

dev

elop

ing

a h

uman

res

ourc

e m

anag

emen

t (h

rm)

syst

em(c

ontin

ued)

The

orga

niza

tion

has a

doc

umen

ted

proc

ess,

supp

orte

d by

regu

lar tr

ainin

g an

d co

achi

ng

for s

taff,

to e

ncou

rage

regu

lar su

ppor

tive

supe

rvisi

on.

The

orga

niza

tion

has p

erfo

rman

ce p

lan-

ning

, mon

itorin

g an

d ev

aluat

ion

polic

y th

at

inclu

des s

taff

ince

ntive

s, su

ch a

s bon

uses

, pr

omot

ions

, or o

ppor

tuni

ties f

or c

ontin

uing

ca

pacit

y bu

ildin

g an

d fo

rmal

train

ing.

The

orga

niza

tion

orga

nize

s its

wor

k ar

ound

w

ork

grou

ps o

r tea

ms;

the

team

is h

eld

ac

coun

tabl

e fo

r res

ults

.

�Pl

anne

d pr

ogra

m o

f sup

port

ive su

perv

i-sio

n, a

prog

ram

that

ack

now

ledg

es st

aff

for e

xem

plar

y fu

nctio

n w

ith re

war

ds a

nd/

or in

cent

ives;

solic

itatio

n of

em

ploy

ee

opin

ion

abou

t job

satis

fact

ion

�Te

ams a

re im

plem

entin

g ke

y pe

rfor-

man

ce g

oals.

�Th

e nu

mbe

r of s

uper

visor

y tr

ainin

g or

or

ient

atio

n co

urse

s con

duct

ed fo

r su

perv

isors

�a

nnua

l em

ploy

ee re

cogn

ition

eve

nts/

awar

ds �

num

ber o

f spe

cial t

eam

ass

ignm

ents

or

wor

k pr

ojec

ts th

at a

re d

elive

red

on ti

me

and

with

in b

udge

t �

num

ber o

f tea

ms t

hat k

eep

mee

tings

fo

cuse

d on

resu

lts �

num

ber o

f wor

k gr

oups

team

s tha

t id

entif

y an

d ac

t on

oppo

rtun

ities

esta

blish

ing

a kn

owle

dge

man

agem

ent a

nd

lear

ning

stra

tegy

The

orga

niza

tion

has a

cle

ar p

roce

ss fo

r ga

ther

ing,

docu

men

ting,

and

pack

agin

g qu

ality

info

rmat

ion,

best

pra

ctice

s and

le

sson

s lea

rned

for b

road

dist

ribut

ion

and

use

thro

ugho

ut th

e or

gani

zatio

n an

d w

ith

exte

rnal

clien

ts.

�kn

owle

dge

man

agem

ent s

trat

egy

impl

e-m

ente

d �

num

ber o

f too

ls an

d pu

blica

tions

�D

escr

iptio

ns o

f use

of t

ools

and

best

pr

actic

es, g

athe

red

from

kno

wle

dge

of

staf

f, fee

dbac

k fro

m c

lient

s, or

gani

zatio

n w

ebsit

e

i nve

stin

g in

lead

ersh

ip

and

man

agem

ent

deve

lopm

ent

for

staf

f

The

orga

niza

tion

prom

otes

impr

ovem

ents

in

lead

ersh

ip a

nd m

anag

emen

t pra

ctice

s to

stre

ngth

en se

rvice

del

ivery

out

com

es.

�Th

e or

gani

zatio

n im

plem

ents

effe

ctive

le

ader

ship

and

man

agem

ent d

evel

op-

men

t act

ivitie

s for

staf

f tha

t foc

us o

n se

rvice

resu

lts li

nked

to h

ealth

out

com

es.

�c

ondu

ct w

ork

clim

ate

asse

ssm

ents

fo

r sta

ff �

% in

crea

se in

serv

ice u

tiliza

tion

rate

s tha

t ca

n be

link

ed to

spec

ific

impr

ovem

ents

in

lead

ersh

ip a

nd m

anag

emen

t pra

ctice

s �

num

ber o

f tea

ms t

hat i

dent

ify sp

ecifi

c se

rvice

del

ivery

targ

ets a

nd a

chie

ve th

em �

Man

agem

ent a

nd le

ader

ship

dev

elop

men

t pr

ogra

m

Page 20: OrganizatiOnal CapaCity Building FramewOrk...OrganizatiOnal CapaCity Building FramewOrk: A Foundation for Stronger, More Sustainable HIV/AIDS Programs, Organizations & Networks INTRODUCTION

Or

ga

niz

at

iOn

al

Ca

paC

ity

Bu

ild

ing

Fr

am

ew

Or

k

n

16

Organiz

ation

al

Functio

nsEx

ample

s of E

ssential

Organiz

ation

al Practices

Stand

ards

Indica

tors

How

can

we m

easure

this?

Man

agem

ent

Syst

ems

(con

tinue

d)

dev

elop

ing

and

supp

ortin

g te

ams t

hat

man

age

chan

ge e

ffort

s in

the

orga

niza

tion

The

orga

niza

tion

has a

n en

viron

men

t tha

t fo

ster

s effe

ctive

cha

nge

and

activ

ely

sup-

port

s int

erna

l cha

nge

agen

ts a

nd p

rogr

ams.

�Th

e or

gani

zatio

n im

plem

ents

rout

ine

and

non-

rout

ine

chan

ges w

ith m

inim

um

disr

uptio

ns.

�n

umbe

r of r

outin

e ch

ange

s suc

h as

or

gani

zatio

nal t

urno

ver a

nd st

affin

g

repl

acem

ents

, or c

hang

es in

hum

an

reso

urce

pol

icies

that

are

impl

emen

ted

with

in sp

ecifi

ed ti

me

fram

e �

num

ber o

f non

-rou

tine

chan

ges s

uch

as

new

pro

duct

s or s

ervic

es, r

estr

uctu

ring,

scale

up

or d

own

sizin

g th

at a

re im

ple-

men

ted

with

in sp

ecifi

ed ti

me

fram

e

inst

allin

g an

in

form

atio

n te

chno

logy

func

tion

info

rmat

ion

tech

nolo

gy (i

T) p

roce

dure

s are

in

plac

e an

d co

mm

unica

ted

to st

aff.

�fu

nctio

nal i

T pl

an �

% o

f sta

ff ex

pres

sing

satis

fact

ion

with

: –iT

serv

ices,

prod

ucts

and

relia

bilit

y

–ef

fect

ivene

ss o

f com

mun

icatio

n ch

anne

ls be

twee

n iT

and

its u

sers

–M

ean

time

for v

endo

rs to

resp

ond

to

serv

ice c

alls

Page 21: OrganizatiOnal CapaCity Building FramewOrk...OrganizatiOnal CapaCity Building FramewOrk: A Foundation for Stronger, More Sustainable HIV/AIDS Programs, Organizations & Networks INTRODUCTION

Or

ga

niz

at

iOn

al

Ca

paC

ity

Bu

ild

ing

Fr

am

ew

Or

k

n

17

Organiz

ation

al

Functio

nsEx

ample

s of E

ssential

Organiz

ation

al Practices

Stand

ards

Indica

tors

How

can

we m

easure

this?

Man

agem

ent

Syst

ems

(con

tinue

d)

inst

itutin

g an

or

gani

zatio

nal

mon

itorin

g an

d ev

aluat

ion

proc

ess

inclu

ding

pro

ject

pe

rform

ance

m

anag

emen

t

The

orga

niza

tion

has a

goo

d M

&e p

lan.

Dat

a on

pro

gram

act

ivitie

s are

ava

ilabl

e, up

to

dat

e an

d re

gular

ly us

ed fo

r fol

low

-up

mon

itorin

g, pr

ogra

m a

djus

tmen

ts, p

lanni

ng

and

dete

rmin

ing

prog

ress

tow

ards

stat

ed

targ

ets.

Dat

a ar

e sh

ared

with

rele

vant

st

akeh

olde

rs.

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orga

niza

tion

has p

erfo

rman

ce e

xpec

-ta

tions

and

a sy

stem

that

ass

esse

s per

for-

man

ce a

gain

st st

anda

rds,

take

s clie

nt

satis

fact

ion

into

con

sider

atio

n, in

clude

s an

analy

sis o

f gap

s or w

eakn

esse

s and

has

a

proc

ess t

o ad

dres

s the

m.

Stan

dard

s and

pro

cedu

res e

xist

for r

egul

ar

repo

rts;

findi

ngs a

re u

sed

to re

view

tren

ds,

impr

ove

man

agem

ent a

nd p

erfo

rman

ce

and

achi

eve

outc

omes

; sta

ff m

embe

rs w

ho

subm

it re

port

s get

pro

mpt

feed

back

.

The

orga

niza

tion

appr

oves

wor

k pl

ans,

revie

ws d

ata,

prog

ress

repo

rts,

prov

ides

gu

idan

ce a

s nec

essa

ry a

nd m

akes

at l

east

se

mian

nual

supe

rvisi

on v

isits

and

resu

lts

are

disc

usse

d w

ith m

anag

emen

t and

te

chni

cal s

taff.

�Ba

selin

e da

ta is

col

lect

ed a

nd u

sed

to

com

pare

per

iodi

c m

onito

ring.

�a

ll re

quire

d re

port

s are

com

plet

ed,

subm

itted

on

time

and

diss

emin

ated

.

�O

rgan

izatio

nal u

nits

syst

emat

ically

use

in

form

atio

n to

plan

and

mon

itor

perfo

rman

ce.

�fr

eque

ncy

of m

easu

re: B

asel

ine

&

quar

terly

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e or

gani

zatio

n ha

s use

d da

ta a

nd

info

rmat

ion

to c

ompa

re p

erfo

rman

ce o

r se

rvice

del

ivery

targ

ets i

n th

e m

ost r

ecen

t op

erat

iona

l and

/or s

trat

egic

plan

s. �

The

orga

niza

tion’s

repo

rts i

nclu

de ta

bles

, gr

aphs

and

/or c

hart

s to

illust

rate

tren

d/tim

e an

alysis

of i

nfor

mat

ion

and

inclu

de

writ

ten

analy

sis n

ext t

o th

e ta

bles

.

Page 22: OrganizatiOnal CapaCity Building FramewOrk...OrganizatiOnal CapaCity Building FramewOrk: A Foundation for Stronger, More Sustainable HIV/AIDS Programs, Organizations & Networks INTRODUCTION

Or

ga

niz

at

iOn

al

Ca

paC

ity

Bu

ild

ing

Fr

am

ew

Or

k

n

18

Organiz

ation

al

Functio

nsEx

ample

s of E

ssential

Organiz

ation

al Practices

Stand

ards

Indica

tors

How

can

we m

easure

this?

Man

agem

ent

Syst

ems

(con

tinue

d)

esta

blish

ing

and

main

tain

ing

a Q

ualit

y a

ssur

ance

(Qa

) sy

stem

The

orga

niza

tion

has e

stab

lishe

d an

ong

oing

ev

iden

ce-d

riven

syst

em fo

r ass

essin

g an

d im

prov

ing

the

quali

ty o

f ser

vices

.

wel

l tr a

ined

team

s reg

ular

ly us

e th

e Q

a

syst

em.

�g

uide

lines

, clin

ical p

roto

cols,

stan

dard

op

erat

ing

proc

edur

es a

nd p

erfo

rman

ce

stan

dard

s exi

st, a

nd a

re re

gular

ly up

date

d to

impr

ove

thes

e co

re d

imen

sions

of

quali

ty:

–Te

chni

cal c

ompe

tenc

e of

staf

f –a

cces

s to

serv

ice –ef

fect

ivene

ss a

nd e

fficie

ncy

of se

rvice

–c

ontin

uity

of c

are

–Sa

fety

(bot

h fo

r clie

nts a

nd p

rovid

ers)

–a

men

ities

�a

writ

ten

Qa

plan

exi

sts.

�%

of r

elev

ant s

taff

train

ed in

the

use

of

guid

elin

es a

nd p

roto

cols

�%

of s

taff

who

rout

inel

y ap

ply

serv

ice

quali

ty st

anda

rds i

n th

eir p

ract

ice �

% o

f bud

get a

lloca

tion

devo

ted

to Q

a �

con

duct

per

iodi

c su

rvey

to e

stab

lish

% o

f cli

ents

satis

fied

with

qua

lity

of se

rvice

s �

Revie

w c

urre

nt su

perv

isory

syst

em to

de

term

ine

type

of Q

a in

plac

e �

con

duct

ass

essm

ent t

o es

tabl

ish a

dequ

acy

of fa

ciliti

es, lo

gistic

s and

equ

ipm

ent

esta

blish

ing

and

main

tain

ing

in

form

atio

n m

anag

emen

t sys

tem

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orga

niza

tion

has a

cle

ar sy

stem

for c

ol-

lect

ing

serv

ice a

nd fi

nanc

ial d

ata;

the

plan

is

used

to in

form

plan

ning

and

man

agem

ent

decis

ions

.

�Ro

utin

e se

rvice

and

fina

ncial

dat

a

colle

ctio

n sy

stem

in p

lace

�n

umbe

r of a

ccur

ate

repo

rts s

ubm

itted

on

sche

dule

�%

of m

anag

ers w

ho u

se d

ata

and

utiliz

e fin

ding

s to

analy

ze tr

ends

to im

prov

e th

e qu

ality

of s

ervic

es

dev

elop

ing

and

main

tain

ing

supp

ly m

anag

emen

t sys

tem

The

orga

niza

tion

has a

tran

spar

ent,

cost

-ef

fect

ive a

nd e

fficie

nt su

pply

syst

em th

at is

us

ed to

fore

cast

and

pro

cure

supp

lies (

drug

s, eq

uipm

ent,

offic

e su

pplie

s and

con

sum

able

s)

in re

latio

n to

thei

r dem

and

and

use.

�a

supp

ly sy

stem

with

pro

cedu

res a

nd

guid

elin

es e

xist

s. �

num

ber o

f rel

evan

t sta

ff tr

ained

to

cons

isten

tly u

se th

e su

pply

syst

em �

Supp

ly sy

stem

nor

ms,

proc

edur

es a

nd

guid

elin

es �

Redu

ctio

n in

num

ber o

f sto

ck-o

uts

repo

rted

Page 23: OrganizatiOnal CapaCity Building FramewOrk...OrganizatiOnal CapaCity Building FramewOrk: A Foundation for Stronger, More Sustainable HIV/AIDS Programs, Organizations & Networks INTRODUCTION

mOnitOring & eValuatiOn n 1 9

Monitoring and evaluation are an integral part of all successful development activities

including capacity building. Organizational capacity building interventions must be monitored, evalu-ated, and documented. Such a process offers data on the results of capacity building interventions and provides the evidence for corrective actions and the use of more effective practices and tools if approaches are not successful. indicators are used to track progress and provide a basis for effective monitoring and evaluation.

when local implementing organizations and capac-ity building providers have determined the level and focus of organizational capacity building and have assessed current capacity of organizational practices against standards, they can design, deliver

and measure tailored interventions that respond to the assessed needs, by addressing weaknesses in specific practices, and using clear standards and indicators to measure progress.

The indicators in the framework are based on the organizational functions to be strengthened. it is important to select the appropriate indicators for improvements based on the results to be achieved and to monitor progress against these to deter-mine the results and impact of capacity building. n

Vi. MOniTORing anD eValUaTiOn

Page 24: OrganizatiOnal CapaCity Building FramewOrk...OrganizatiOnal CapaCity Building FramewOrk: A Foundation for Stronger, More Sustainable HIV/AIDS Programs, Organizations & Networks INTRODUCTION

COnCluSiOn n 2 0

Underlying the rationale of organizational capacity building—and its popularity—is the

notion that it will lead to local implementing orga-nizations that are better able to address the health needs of their communities in both the short- and long-term.

Providing quality services along the hiV/aiDS prevention-care-treatment continuum requires managers who can lead their teams to results as well as committed, competent and supported staff at all levels. Together, these teams can develop and sustain high-performing organizations that possess a clear mission, a shared vision and viable strate-gies; and structures and systems that support the mission, vision and strategy. Other essential ingre-dients include good governance and leadership practices that translate into a productive work environment; the management capacity necessary to model and inspire a work ethic that is disci-plined, results oriented, and reward based; and, finally, strategic partnerships that allow an organiza-tion or network to expand its core services and reach more clients.

This framework defines the elements that must be present for a systematic approach to organizational capacity building in order to meet these needs. Taking into full account the essential elements of organizational capacity building described here can enhance understanding and practice in different contexts, and improve comparability across differ-ent capacity building programs and organizations. it is important to note that the practices and indica-

tors within this framework should be considered a guideline. while there are minimum standards for the organizational practices, not all of these will be applicable to every organization, especially as capacity building is a process that takes place over time.

in addition, the framework can be used to guide the development of a monitoring and evalua-tion strategy to measure success of the orga-nizational capacity building efforts and possibly evidence of its impact on the ultimate goal: improved and expanded service delivery. Just as the fields of public health and clinical medi-cine are informed and advanced by continuous and detailed research-based scrutiny, the field of capacity building must be subject to similar stan-dards and organizational practices. This conceptual framework provides an opportunity for donors, practitioners and implementing organizations to adopt a systematic evidence-based approach to capacity building at all times, and to insist on the use of common standards, essential organizational practices and indicators to monitor and measure impact. as an organization engages in a systematic capacity building process, it acquires new knowl-edge about organizational results and outcomes; what it is doing well and in which areas it needs to improve. Ultimately, this contributes to stronger and more sustainable hiV/aiDS programs and health services that are able to prevent infections; treat the sick as well as improve the lives of people living with hiV/aiDS. n

cOnclUSiOn

Page 25: OrganizatiOnal CapaCity Building FramewOrk...OrganizatiOnal CapaCity Building FramewOrk: A Foundation for Stronger, More Sustainable HIV/AIDS Programs, Organizations & Networks INTRODUCTION

appendix a: glossar y of terms n 2 1

Evidence: evidence is a fact or concrete obser-vation that supports the identified stage of devel-opment. convincing evidence answers the ques-tion, what can we see or hear, or what do we know, that tells us that something is true?

Mission: an organization’s mission is its purpose, the reason it exists. it provides guidance, consis-tency, and meaning to decisions and activities at all levels. it answers the question, why do we do what we do?

Strategy: an organization’s strategies are the broad approaches used to define the programs and activities that will fulfill the organization’s missions and goals. The strategies answer the question, how will we get where we want to go?

Structure: Structure refers to the programs, projects, and offices that make up an organization. Structure answers the question, are we organized in a way that facilitates what we want to do and where we want to go?

Systems: Systems are independent functions that allow an organization to do its work. Organi-zational systems answer the question, what helps us carry out our activities?

Values: an organization’s values are the beliefs and ethical principles that underlie its mission. They give meaning to the organization’s work and form the basis for staff commitment. They answer the question, what are the core beliefs and principles that we all share and that give meaning to our work?

aPPenDiX a. glOSSaRY Of keY TeRMS

Page 26: OrganizatiOnal CapaCity Building FramewOrk...OrganizatiOnal CapaCity Building FramewOrk: A Foundation for Stronger, More Sustainable HIV/AIDS Programs, Organizations & Networks INTRODUCTION

appendix B: B ib l iography n 2 2

asian development Bank. Integrating Capacity Develop-ment into Country Programs and Operations: Medium Term Framework and Action Plan. manila: asian development Bank. 2007. http://www.adb.org/Documents/Poli-cies/Integrating-Capacity-Development/Integrating-Capacity-Development-2007.pdf.

Connolly, paul and york, peter. “evaluating Capacity-Building efforts for nonprofit Organizations.” Od practitioner. 2002. http://aetcnec.ucsf.edu/evalua-tion/Connolly_CapacityBuilding_02.pdf

daft, richard l. Organization Theory and Design. South-western College publishing. 2008.

ebrahi, alnoor. “rethinking capacity building.” Capacity. august, 2007. http://www.capacity.org/en/journal/guest_column/rethinking_capacity_building

hornby p, and p. Forte. “human resource indicators and health Service performance.” Human Resource Development Journal 1 (2): 103 – 118 1997.

horsch, karen. Indicators: Definition and Use in a Results-Based Accountability System. harvard Family research project, 1997. http://www.hfrp.org/publications-resources/browse-our-publications/indicators-defini-tion-and-use-in-a-results-based-accountability-system

international hiV/aidS alliance. NGO Capacity Analysis Toolkit. London: 2004. http://www.aidsalliance.org/in-cludes/Publication/cat0704_Capacity_analysis_tool-kit_eng.pdf.

intraC. Building Analytical and Adaptive Capacities for Organisational Effectiveness (praxis paper 7). Oxford, uk: intraC. 2005. http://www.capacity.org/en/resource_corners/learning/publications/praxis_pa-per_7_building_analytical_and_adaptive_capacities_for_organisational_effectiveness.

intraC. Rising to the Challenges: Assessing the Impacts of Organisational Capacity Building (praxis paper 2). Oxford, uk: intraC. 2005. http://www.intrac.org/data/files/resources/341/Praxis-Paper-2-Rising-to-the-Challenges.pdf

management Sciences for health. “human resources for health Framework.” the emanager (Boston) number 1, 2009. http://erc.msh.org/NEWSITE/toolkitfiles/file/eManager%20Management%20Strategies%20for%20Improving%20Health%20Ser-vices%281%29.pdf

management Sciences for health. MOST—Management and Organizational Sustainability Tool: A Guide for Users and Facilitators. 2nd ed. Boston: management Sciences for health, 2004. http://www.msh.org/resource-cen-ter/most-management-and-organizational-sustainabil-ity-tool.cfm

paCt. A New Vision for a New Decade, Effective HIV and AIDS Capacity Building: Critical Components to Advance the Field. washington, dC: paCt. 2009. http://pactworld.org/galleries/default-file/A%20New%20Vision%20for%20a%20New%20Decade%2029%20Dec%2009%20Final.pdf

ramalingam, Ben. “Organisational learning for aid, and learning aid organisations.” Capacity. april, 2008. http://www.capacity.org/en/journal/feature/organ-isational_learning_for_aid_and_learning_aid_organ-isations

united nations economic Commission for af-rica. Capacity Building Framework. UNESCO-IICBA. addis ababa: 2006. http://unesdoc.unesco.org/images/0015/001511/151179eo.pdf

Venture philanthropy partners. Effective Capacity Build-ing in Nonprofit Organizations. 2001. www.vppartners.org/learning/reports/capacity/full_rpt.pdf

aPPenDiX B. BiBliOgRaPhY

Page 27: OrganizatiOnal CapaCity Building FramewOrk...OrganizatiOnal CapaCity Building FramewOrk: A Foundation for Stronger, More Sustainable HIV/AIDS Programs, Organizations & Networks INTRODUCTION

This document is made possible by the generous support of the US President’s emergency Plan for aiDS Relief (PePfaR) and the US agency for international Development (USaiD) under contract no. ghh-i-00-0700068-00. The contents are the responsibility of the aiDSTaR-Two Project and do not necessarily reflect the views of USaiD or the US government.

For more information, contact AIDSTAR-Two:

Project Director Sarah Johnson

Management Sciences for Health

4301 North Fairfax Drive, Suite 400

Arlington, VA 22203

Telephone: 703.524.6575

Fax: 703.524.7898

Email: [email protected]

www.aidstar-two.org