1. Strengthening Capacity for Research and Innovation
Lorelei Silvester, Capacity Research Unit (CRU)
Liverpool School of Tropical Medicine

2. Overview of Session About Capacity Research Unit
Our approach to capacity strengthening
Lessons learnt and good practice examples

3. Capacity Research Unit
Part of the Liverpool School of Tropical Medicine
Multidisciplinary team of academics plus research manager
Focus is primarily on strengthening research capacity in institutions
Conduct research to aid the design and evaluation of capacity-strengthening initiatives
Have developed and published a five-step approach to capacity strengthening, tested and applied in a variety of contexts

4. Definitions
Important to have a clear definition of what we mean by capacity strengthening
31/172 RCS papers since 2000 presented a definition
25 different definitions, none cited by more than 3 papers
We conceptualise capacity strengthening as happening at 3 levels:
Individual
Institutional
Environmental

5. Definitions Our preferred definition:
“the ongoing process of empowering individuals, institutions, organisations, and nations to: define and prioritise problems systematically; develop and scientifically evaluate appropriate solutions; and share and apply the knowledge generated”
Lansang MA, Dennis R. Building capacity in health research in the developing world. Bulletin of the World Health Organization. 2004;82(10):
Precise
Includes a goal
Promotes a systematic, ongoing process
Covers 3 levels
Spans research design to research uptake

6. How do we build research capacity?
CRU’s 5-step approach
Aim: to achieve autonomous, self-sustaining, problem-solving institutions and systems
Define the goal of the CS project and the pathway for change.
Use evidence to define the ‘optimal’ capacity needed to achieve the goal.
Determine existing capacity; identify gaps compared to optimal capacity.
Devise and implement an action plan to fill the gaps.
Adapt the plan and indicators regularly.

7. Applications of our approach
Royal Society-DFID Africa Capacity Building Initiative ( )
Supporting 10 consortia (each 1 UK lead plus 3 African partners); Research into institutional research systems/infrastructure PhD pathways and laboratory capacity.
DELTAS (Developing Excellence in Leadership Training and Science) Learning Research Programme ( )
Produce research-based learning about how to train and develop world-class researchers, foster their careers and collaborations and promote research uptake
Support for Doctoral Programmes and Strengthening Research Management and Support Systems (2009, 2012, )
Collaboration with five Universities across Africa to strengthen PhD programme delivery and research support systems

8. Lessons Learnt & Good Practice
Lessons & good practice at key stages of programmes:
Applying for Research Funds
Starting up a new RCS programme
Implementing research programmes & embedding RCS within institutions
Research Strategies & Quality Assurance
Research Facilities
Research Training, Supervision & Mentoring
Research Uptake

9. Lessons Learnt & Good Practice
Applying for Research Funds
Respectful and equitable relationships are essential
RCS programmes are more likely to be successful if they are built on existing partnerships.
Meet all research partners and key stakeholders involved face-to-face to discuss their contributions, synergies, strengths, challenges and weaknesses.

10. Lessons Learnt & Good Practice
Applying for Research Funds
Ensure a common understanding of the funding call. Agree the goal of their proposed programme and the pathway for achieving impact.
Establish a regular, participatory communication process and define the roles for each partner and their contributions to the application to help facilitate an equitable and effective partnership.

11. Lessons Learnt & Good Practice
Starting up a new RCS programme
Hold a participatory inception meeting to develop a detailed RCS programme and plan for annual partner meetings with clear objectives, ensuring all partners contribute to the aims and agenda of the meeting.
Use the inception workshop to agree the contents, timing and responsibility for the RCS programme work plan.
Engage players beyond the grant holders (eg researchers, laboratory technicians, managers, representatives from government, civil society, industry and think tanks)

12. Embedding RCS programmes within institutions
Institutional Research Strategies & Quality Assurance
Consider how the RCS programme complements the institution’s research strategy. Look for synergies to strengthen institutional planning and monitoring processes
Engage high level staff (e.g. Head of Department, Faculty Dean, Vice Chancellor) to ensure institutional buy-in
Consider high teaching loads and lack of time for research experienced in many LMIC institutions

13. Embedding RCS programmes within institutions
Research Strategies & Quality Assurance
Plan for the financial sustainability of changes introduced through RCS programmes from the outset
Explore opportunities to strengthen research offices, which support and track research activities and promote research quality, and to share skills and good practice between partners (e.g. through staff exchanges).

14. Embedding RCS programmes within institutions
Research Facilities
Improve access to academic journals for LMIC partners through registration with and similar schemes.
Plan to empower and train laboratory staff, who are critical to much research but are often overlooked in programme planning and implementation.
Develop a participatory laboratory working group so programmes can make ‘smart decisions’ about purchasing and maintaining equipment and supplies, and technical training.
Laboratory accreditation will significantly enhance international research credibility and opportunities to market laboratory services.

15. Embedding RCS programmes within institutions
Research Training, Supervision & Mentoring
Make programme-funded training available to related disciplines across the institution to maximise capacity strengthening impact.
Actively include research support staff (e.g. finance staff, administrators, technicians) in training opportunities.
Identify opportunities to share skills, training and good practice across programme partners.
Establish mentorship and supervision systems which are sensitive to culture and gender; consider developing an informal contract between supervisors and students defining their roles.

16. Embedding RCS programmes within institutions
Research Uptake
Engage policy makers and influencers throughout the RCS programme including, if appropriate, as co-supervisors of research students.
Develop a research dissemination plan and include research uptake training for researchers in the programme plan.

17. Further reading CRU website
Our approach & downloadable flyer
Publications
Project support