Table 2 Generic monitoring indicators for capacity building programmes derived from commonalities in case studies

Awareness

Lack of local capacity recognised early in project

Stakeholders agree to support activities to address capacity gaps

Need for uptake of research outputs identified

List of capacity gaps to be filled

List of stakeholders who will be critical for implementing project outputs

Evidence of engagement of stakeholders (beyond core project team) able to facilitate capacity building activities

Written assessment of gaps in capacity

Notes of meetings with stakeholders beyond research team (e.g. government or institutional directors)

Experiential

Capacity building activities focused primarily on individuals directly involved in project

Formal and informal routes for using project outputs to influence policy/guidelines are explored

Formal plans for addressing capacity gaps are gradually defined

Preliminary models for capacity building are tested and adapted for scale up

Strategies for ensuring that the relevant policies were in place or updated

Written plan and timescale for addressing gaps agreed with stakeholders

Documented strategy for using project outputs to rectify mismatches/gaps between evidence and policy/practice

Results of testing of pilot projects/models for capacity building

Annual plans with targets, timescale and details for rectifying policy gaps

Review of comparison of different models and report of testing of models

Expansion

Concerted effort to influence policies and practice

Focus broadens from individuals to strengthening institutions and systems

Capacity building activities and individuals expand and begin to be integrated in existing structures

Researchers inputs down-scaled to provide light touch guidance

Sustainable funding actively sought

Peer-reviewed publications from research and capacity building published

Expanded relevant skills and workforce

Reduction of inputs by northern partners

Regular review process instigated for updating/developing relevant policies

Evidence of strengthening of systems (e.g. new committees or reporting structures)

Diversification of funding sources independent of original funders

Publications and/or presentations at national/international meetings

Training records indicating number of individuals trained, topics covered, skills audit and evidence of use of new skills

Individual student assessments to demonstrate knowledge, skills and competencies

Institutional annual budgets showing earmarked research funds

Workplan showing phase out of northern partners, policy review and set up of new structures

Documentation of number, type and success rates of publications and funding applications

Consolidation

Expansion beyond initial project objectives and original institution/region/country

Southern partners lead bids for alternative sources of funding independent of original project funds

Southern partners responsible for project and budget management

Evidence that long-term funding has been secured

Project management and key decisions, such as commissioning of further external inputs, led by southern partners

Financial statements showing diverse sources of funds and that southern institution is responsible for budgeting

Minutes of meetings showing key decision-making by southern partners