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

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

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

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

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):764-70. Precise Includes a goal Promotes a systematic, ongoing process Covers 3 levels Spans research design to research uptake

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.

Applications of our approach Royal Society-DFID Africa Capacity Building Initiative (2012-20) 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 (2016-20) 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, 2014-16) Collaboration with five Universities across Africa to strengthen PhD programme delivery and research support systems

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

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.

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.

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)

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

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).

Embedding RCS programmes within institutions Research Facilities Improve access to academic journals for LMIC partners through registration with www.research4life.org 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.

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.

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.

Further reading CRU website www.lstmed.ac.uk/research/centres-and-units/capacity-research-unit Our approach & downloadable flyer Publications Project support Lorelei.Silvester@lstmed.ac.uk