How to Conduct a Capacity Assessment -...

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How to Conduct a Capacity Assessment A Guidance Document for CAST Sites S.C. Department of Alcohol and Other Drug Abuse Services

November 2010

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This guide was adapted by the South Carolina Department of Alcohol and Other Drug Abuse Services’ Community Action for a Safer Tomorrow (CAST) project from: 1) a draft version of Strategic Prevention Framework (SPF): A Guide for Michigan Communities, written by the Michigan Bureau of Substance Abuse and Addiction Services and the Pacific Institute for Research and Evaluation using material from the Maine Department of Health and Human Services, and the Nevada and North Carolina SPF State Incentive Grant projects; and 2) Capacity Primer: Building Membership, Structure and Leadership, written by the Community Anti-Drug Coalitions of America’s 2009 National Community Anti-Drug Coalition Institute.

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Strategic Prevention

Framework Step 2: Build Capacity

Action Step: Engage in an assessment of the local/organizational capacity to effectively engage in each of the SPF steps.

STEP 2: BUILDING CAPACITY The second step of the SPF is community mobilization and capacity building. The idea is that after priority problems are identified, communities can begin to build capacity and mobilize communities to address those priorities. Thus, having capacity building as Step 2 in the process makes sense. It is generally understood, however, that capacity building and mobilization actually can occur anywhere throughout the five SPF steps. For example, you need some capacity (i.e., expertise and community know-how) in data systems to conduct your needs assessment in Step 1. You will also consider capacity issues when you select your contributing local factors. You will need to have, or obtain, capacity to engage in effective strategic planning (Step 3), implement your evidence-based strategies (Step 4), and evaluate your initiative (Step 5). If there is one thing that is crystal clear about the SPF, it is that capacity is an issue that pervades the whole model. Capacity includes the human, technical, organizational and financial resources necessary to monitor affected populations and to implement substance abuse prevention in a culturally and socially sensitive way. It also includes being ready, willing and able to identify and successfully utilize information from – and also to network with – external organizations and resources at the local, state and national levels.1 Section 1: Assessing Your Capacity to Conduct the SPF Steps A critical element of having the capacity to conduct the five SPF steps successfully is knowing your current capacity. You will probably need to take stock of your capacity throughout the SPF. As we mentioned, you already assessed capacity in Step 1 when you were planning your needs assessment. You may also conduct an informal capacity assessment during Step 1 when you choose your contributing local factors. Now you may need to conduct a more formal capacity assessment to determine whether your community has all the capacity you need to move forward, or whether you need to take steps to build capacity. Similarly, you may need to conduct a formal or informal capacity assessment to help decide which strategies you will use to address your contributing factors. And, again, once your strategies are chosen, you may need more capacity assessment to determine precisely which skills and resources are necessary to successfully implement the strategies. The bottom line is that you will always be

1 Maine SPF/SIG TA Team definition of capacity

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Action Step: Develop a plan to build capacity around key identified

areas.

Action Step: Use the required “County Capacity Assessment Tool” to assess capacity and readiness.

concerned with capacity throughout the SPF process – concerned about whether you have it, and concerned about building it where it may be lacking. Section 2: The CAST County Capacity Plan The purpose of the CAST County Capacity Plan is to first assess the capacity of the coalition to implement the Strategic Prevention Framework (SPF) and the readiness of the county to address the priority issue using the SPF, and then to outline a plan to build capacity around identified needs. The capacity of your coalition affects how (and how effectively) it will go about every other aspect of its work. Therefore, assessing your coalition in terms of four essential elements of coalition capacity – partnerships, individual members, organization and function, and cultural competency – is key in order to capitalize on strengths and to address weaknesses. According to the National Institute on Drug Abuse (NIDA), community readiness refers to “the extent to which a community is adequately prepared to implement a drug abuse prevention program.” A community must have the support and commitment of the members and the needed resources to implement an effective prevention program. Through this assessment, you will gain a better idea of the support and resources in your county for the priority issue(s). Finally, sustainability is a cross-cutting component of the SPF and refers to engaging in intentional acts to maintain the long-term growth and health of the coalition. Even though CAST coalitions are in the beginning stages of their SPF process, it is vital that they begin to consider how they will sustain their efforts after the end of this particular project. Through this assessment, you will be encouraged to consider ways to work toward sustaining your efforts. Based on the findings of this assessment, the coalition – along with the County CAST Coordinator – should develop a plan to build capacity around key identified areas over the next year. Your Regional Capacity Coach can work with you to build and implement this plan. How to Get Started

We have provided required and optional tools in the appendices to assist the coalition in its assessment of capacity and community readiness. While the required tools (see Appendices B and C) must be completed and the results summarized and reported in the Capacity Plan Deliverable due January 14, 2011, the optional tools may be utilized at any point during the

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Action Step: Use the required “County Capacity Plan Template” to report

your assessment findings.

Tip: CAST defines coalition partners as the agencies, organizations, and groups represented on the coalition. Coalition members are the individuals representing each partner agency, organization, and group.

life of your coalition. Capacity building is an ongoing process, and regular assessment of the coalition and the community is recommended for coalition success and sustainability. To assess the capacity of the coalition and community readiness, the CAST team recommends that the County CAST Coordinator, the Agency Prevention or Executive Director, and at least four coalition members complete the required “County Capacity Assessment Tool,” either individually or as a group (see Appendix B), and at least four coalition members should individually complete the “Core Competencies That Facilitate

Implementation of the SAMHSA Strategic Prevention Framework” (see Appendix C). We recommend the tools be completed and returned to the County CAST Coordinator by Friday, December 10, 2010. The responses on the completed tools should then be synthesized and the findings reported in the Capacity Plan Deliverable. The coalition is welcome, but not required, to use any of the optional tools provided (see Appendices D and E) and to report the results in the Capacity Plan Deliverable as well. In addition to using the provided tools, you are encouraged to draw on your experiences and observations as the County CAST Coordinator, a coalition member, and a prevention professional in assessing capacity and community readiness. In the plan, you should identify strengths and weaknesses of the coalition, its members, and the county, as well as outline plans to increase capacity around identified needs. Please use the County Capacity Plan Template (Appendix A) as the format for completing your County Capacity Plan deliverable. Below is a list of the appendices in this guidance document: Appendices:

Appendix A. County Capacity Plan Template (Required)

Appendix B. County Capacity Assessment Tool (Required)

Appendix C. Core Competencies that Facilitate Implementation of the SPF (Required)

Appendix D. Brief survey to assess CAST coalition members’ perceptions of the benefits and difficulties of participating in the coalition (Optional)

Appendix E. Coalition Self-Assessment Survey (Optional)

Appendix F. Information on the Tri-Ethnic Center for Prevention Research’s Community Readiness Model (Optional)

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Section 3: Elements of Coalition Capacity to Assess Coalition Partnerships

Your coalition is a nexus – an intersection of the interests and capacities of many stakeholders around common concerns for reducing substance abuse. Everything that happens in coalition work occurs because people and organizations lend their time, energy, skills, resources and expertise to these collective activities. In a sense, the coalition is simply a setting or “vehicle” that helps this work happen across stakeholder groups in a more coordinated and focused way.2 Among the most important areas of coalition development are: (1) figuring out who the coalition needs inside this “vehicle”; and (2) cultivating the engagement of stakeholders so that the coalition can appropriately use members’ skills and resources3. CAST coalitions are required to have partnerships with nine of 12 specified sectors by March 2011. (See Appendix A for a list of the sectors) Using the questions provided in the “County Capacity Plan Assessment Tool,” think about the coalition partners currently in place, identify gaps, and discuss plans for addressing the gaps. Summarize your assessment of the partnerships in the CAST County Capacity Plan. Individual Members of the Coalition

Members embody the energy that your coalition will draw on for its work. As such, they are your coalition’s most important resource. In addition, members provide the vital link between the coalition, their own organizations, and other stakeholder groups with which they work.4 Use the “County Capacity Assessment Tool” and the “Core Competencies” tool to assess the current members’ knowledge and awareness of the components of the SPF, their commitment to the priority issue, willingness to engage in the SPF process, and engagement level. Appendix C contains a self-assessment tool that individual members of the coalition can complete to get a sense of their skill level (i.e., proficient, learner, beginner) for each “core competency” related to the SPF. This tool is a great resource for identifying training needs among coalition members. You might also consider utilizing one other tool, either now or in the future, to assess individual members. In Appendix D, there is a brief survey that coalitions can use to gather information on members’ perceptions of the benefits and difficulties associated with coalition participation. This information could be used to aid recruitment efforts by identifying benefits of coalition membership, or to improve a coalition by identifying barriers to participation.

2 Community Anti-Drug Coalitions of America (CADCA) National Community Anti-Drug Coalition Institute, 2009, “Capacity Primer: Building Membership, Structure and Leadership”

3 CADCA, “Capacity Primer”


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Summarize your assessment of the individual members in the CAST County Capacity Plan. (An optional tool for assessing the members is the survey in Appendix D.) Coalition Organizational Structure and Function

Clear organizational structure is as – if not more – important for coalitions than it is for individual agencies and organizations. Why? Because coalition work falls outside the individual accountability structures of member organizations, and the extent to which individual members engage in coalition work is voluntary. Therefore, the work of the coalition is distributed among various coalition members and partners, each with primary allegiance to his/her home organization or individual interest or need. For this reason, your coalition must have its own strong and coherent sense of organization to keep the common strategy on track and to ward off the “splintering” effects of individual organizations’ directions.5 In addition, coalitions must be careful to make efficient use of members’ time. Coalition members need to be able to demonstrate to their home organizations that the time they invest in coalition work is well spent, or buy-in will be lost. Ensuring that your coalition has the right structures and processes in place can increase your efficiency and effectiveness.6 Using the “County Capacity Plan Assessment Tool,” assess how well the coalition is organized and functions. For new coalitions, you may still be in the process of setting up the coalition’s organizational structure (e.g., mission statement, by-laws), and that’s OK. Consider reassessing the coalition’s organization and function in the future, once the coalition is fully organized and has been functioning for a period of time. The optional survey tool provided in Appendix E allows for a more thorough assessment of the coalition leadership, members, structure and process, and can be given to either a sample of coalition members or all members. For long-standing coalitions, this survey tool could be utilized now. For new coalitions, this survey may be beneficial to complete later down the road once you are more established. Summarize your assessment of the coalition’s organization and functioning in the CAST County Capacity Plan. (An optional tool for assessing the coalition is the survey in Appendix E.) For more detailed information on building coalition capacity, please read “Capacity Primer: Building Membership, Structure and Leadership” by the Community Anti-Drug Coalitions of America (CADCA) National Community Anti-Drug Coalition Institute, which can be downloaded free of charge through the CADCA web site (www.cadca.org/resources/series/Primers).



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Section 4: Assessing Community Readiness Another aspect of capacity building is knowing whether your community is ready to take the necessary steps to implement a population-based prevention initiative. For example, you may want to implement a broad-based initiative aimed at establishing community regulations, increasing law enforcement, and creating quick and sure penalties for substance abuse, but your community may not be ready for such ambitious actions. Knowing your community’s readiness to act may be an important step toward creating an effective and lasting prevention initiative7. We have incorporated key questions into the required instrument, the “County Capacity Plan Assessment Tool,” that will allow you to conduct an initial assessment of community readiness. Summarize your assessment of the county’s readiness in the CAST County Capacity Plan. In the future, we recommend that you utilize one of the many instruments available to measure community readiness. See Appendix F for information about the Tri-Ethnic Center for Prevention Research’s Community Readiness Model, and contact your coach if you are interested in using this tool. Section 5: Cultural Competence Cultural competence is not a problem to be solved. There is no action step that coalitions can take to secure “culturally competent” status for the duration of their work. Instead, it requires ongoing attention and reflection. Consideration of cultural competence must be woven into the fabric of your coalition’s work. A good starting point is to formally acknowledge the importance of cultural competence in your coalition’s values statements. Doing so provides justification for bringing up cultural competence as a regular facet of your coalition’s work.8 We have incorporated key questions into the required tool (see Appendix B) that will allow you to do an initial assessment of the coalition’s cultural competence. Summarize your assessment of the coalition’s cultural competence in the CAST County Capacity Plan. Section 6: Sustainability Sustainability requires the creation of a strong coalition that brings together a community to develop and carry out a comprehensive plan to effectively address a

7 Michigan Bureau of Substance Abuse and Addiction Services and Pacific Institute for Research and Evaluation, 2010, draft version of Strategic Prevention Framework (SPF): A Guide for Michigan Communities.


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relevant problem. While long-term sustainability must include a focus on funding, it depends on much more than maintaining sufficient fiscal resources. Sustaining an initiative over time also requires a combination of non-financial resources from the initiative itself and the broader community. Necessary internal resources include: leadership from management and board members; access to technical expertise from within the organization; and existence of strong administrative and financial management systems. Critical external resources include: support from policymakers, the public or other key stakeholders; access to technical expertise from outside the organization; and engagement of community-based organizations, parents or other community members.9 We have incorporated key questions into the required tool (see Appendix B) that will allow you to conduct an initial assessment of the coalition’s sustainability. Summarize your assessment of the coalition’s sustainability in the CAST County Capacity Plan. Section 7: Summary After assessing all four elements of coalition capacity (i.e., partnerships, individual members, organization and function, cultural competency), community readiness and sustainability, provide a brief summary of the findings of your assessment, synthesizing the information you gained through completion of the “County Capacity Plan Assessment Tool” (Appendix A), and any observations and reflections from the coalition and County CAST Coordinator. Then, summarize the overall capacity of the coalition to implement the SPF to address the priority issue(s) (i.e., underage drinking and/or DUI crashes). See the guide below and choose the capacity level that bests fits your coalition and county. Overall Capacity Level

Needs Work / Low Capacity

Most partners have not yet come on board, or the coalition has experienced the loss of multiple partners over time and needs to rebuild.

Individual members have little interest in the SPF and priority issue(s), and they do not actively participate.

The coalition is not well organized and not functioning smoothly at this time (e.g., mission, vision, by-laws and/or meeting schedule not adhered to or not yet established; high internal conflict; little communication between members).

The coalition does not reflect cultural competence in its mission, values, activities or membership.

The coalition has not taken any steps toward sustainability.


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In terms of community readiness, people in the county have vague to no awareness of the priority issue, are in denial that the issue exists in this county, and/or tolerate or encourage the problem behavior.

Getting There / Medium Capacity

Some partners have not yet come on board, or the coalition has experienced the loss of some partners over time and needs some rebuilding.

Individual members have some interest in the SPF and priority issue(s), and they actively participate sometimes.

The coalition is somewhat organized and functioning well at this time, but could use some strengthening.

The coalition reflects cultural competence to some extent in its mission, values, activities or membership, but additional steps need to be taken.

The coalition has taken some steps toward sustainability, but additional steps need to be taken.

In terms of community readiness, people in the county recognize that a local problem exists around the priority issue(s) and that something should be done about it, are planning to address the priority issue(s), and/or have just started a program to address the priority issue(s).

Ready for the Challenge / High Capacity

Most partners are on board, and the coalition has experienced little loss of partners over time.

Individual members have high interest in the SPF and priority issue(s), and they actively participate on a regular basis.

The coalition is well organized and functions smoothly.

The coalition reflects cultural competence in its mission, values, activities and membership.

The coalition has taken steps toward sustainability, and/or coalition has successfully sustained itself over a period of time.

In terms of community readiness, a few programs in the county are running to address the priority issue(s); authorities support expanding or improving programs; funds for new programs are being sought or are committed; and/or highly trained staff are running programs with strong support from authorities and the community.

Finally, describe in detail your next steps for building capacity around the identified needs. Identify and prioritize two or three areas in which your coalition can strive to improve over the next year. Provide a timeline of proposed activities and/or milestones you plan to achieve. Your Regional Capacity Coach can assist you with this endeavor. Although we’d like to congratulate you for completing Step 2 of the SPF, we really can’t…because you’re never done working on capacity issues! Just take your time

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and seek guidance and technical assistance when you need it. Remember, the SPF is an ongoing process. Having a better understanding of your coalition’s capacity will help you figure out the next and best steps to take as you cycle through the five SPF steps.

Tip: Reassess your capacity on a regular basis, and seek guidance and technical assistance when you need it!

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REQUIRED TOOLS FOR

ASSESSING CAPACITY

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APPENDIX A: COUNTY CAPACITY PLAN TEMPLATE

INSTRUCTIONS: Complete the County Capacity Plan deliverable using the template provided below. Where listed, please answer all questions included in parentheses under each section. Be sure to include information gathered through the two required tools, the “CAST County Plan Assessment Tool” and the “Core Competencies That Facilitate Implementation of the SAMHSA Strategic Prevention Framework.”

I. Introduction

II. Coalition Partnerships

a. Discuss strengths that existing partners bring to the coalition.

b. Identify required partners who are currently not participating in the coalition and discuss plans to get them to join the coalition.

III. Coalition Membership

a. Describe coalition members’ knowledge of the Strategic Prevention Framework (SPF) and their willingness to engage in the SPF process. (Describe to what extent members are aware of the five steps and cross-cutting components. To what extent are they willing to follow the SPF steps as a method of reaching desired outcomes?)

b. Describe coalition member’s commitment to addressing underage drinking and/or DUI crash issues and anticipated level of engagement. (Is member interest in addressing underage drinking and/or DUI crash problems high and/or clearly evident? How engaged are members in the process? What skills do members have that will contribute to the coalition’s ability to successfully navigate the five SPF steps and to address underage drinking and/or DUI crashes? In what ways does the capacity of members need to be built, and how can this be accomplished?)

IV. Organizational Structure and Function

a. Desribe how well the coalition is organized and how well it functions. (Does the coalition have official rules, such as by-laws and/or a charter by which it defines itself and operates? Has it established a mission and/or vision statement? What are the strengths of the way the coalition is organized and functions? What can be done to enhance the organizational structure and functioning of the coalition?)

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V. Community Readiness

a. Describe how ready your county is to address underage drinking and/or DUI crash issues. (How much of a concern is underage drinking and/or DUI crashes to county residents and leaders? Are there any efforts currently underway in the county to address underage drinking and/or DUI crash issues? Typically, how supportive are county residents and leaders of efforts to address issues such as underage drinking and/or DUI crashes?)

VI. Cultural Competence

a. Describe how prepared the coalition is to demonstrate cultural competence. (To what extent does the coalition membership understand the meaning of cultural competence? Does the mission or vision statement demonstrate principles of cultural competence in any way? In terms of demographic characteristics such as race, ethnicity, religion, gender, age, sexual orientation, etc., to what extent does the coalition membership mirror the residents your county? What plans does the coalition have to engage culturally distinct groups in the planning process? What type of trainings could be offered to help the coalition ensure that it operates with an adequate level of cultural competence?)

VII. Sustainability

a. Describe how the coalition is working to gain or maintain sustainability. (Has the coalition ever discussed what it can do to sustain itself and its efforts and outcomes over time? Has the coalition written or have intentions to write a sustainability plan? What kind of support does the coalition currently receive from other agencies, organizations and groups? How accessible is the coalition to residents of the county?)

VIII. Summary

a. Provide a brief summary of Sections I-VII and identify coalition needs related to each.

b. Summarize the overall capacity of the coalition to implement the SPF process to address underage drinking and/or DUI crashes (see pages 10-11 of the Capacity Guidance Document).

c. Describe in detail your next steps for building capacity around the identified needs. (What are two or three areas in which your coalition can improve? In what order should the coalition focus on these areas to improve? What actions or activities need to be undertaken – and by what time – to achieve these goals?)

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APPENDIX B COUNTY CAPACITY PLAN ASSESSMENT TOOL

INSTRUCTIONS: Please use this tool to help gain insight about how ready your county is to address underage drinking and/or DUI crash issues. The tool is organized by four elements of coalition capacity. It also contains questions about community (county) readiness and sustainability. It is recommended that the County CAST Coordinator, Agency Prevention or Executive Director, and at least four coalition members complete this tool. The County Capacity Plan Assessment Tool can be completed either individually or as a group. The tool should be completed and returned to the County CAST Coordinator by Friday, December 10, 2010. Coalition partners are defined as the agencies, organizations, and groups represented on the coalition. Coalition members are referred to as the individuals representing each partner agency, organization and group. Element One: Coalition Partnerships There are 12 community sectors identified as valuable partners for substance abuse-related coalitions. CAST has added Alcohol Enforcement Team (AET) Coordinator as a partner. All of the sectors are listed in the table below. To the left of their category name, mark with an “X” those sectors that have already joined your coalition. Please use this table to answer the questions below.

County Alcohol and Drug Abuse Authority

Business Community

Law Enforcement Media

AET Coordinator Youth-Serving Organizations

Education Religious or Fraternal Organizations

Youth Civic and Volunteer Groups

Parents Healthcare Professionals

Local/Tribal Government

1. Looking at the list of partner agencies, organizations and groups that have

already joined the coalition, please identify some of the key strengths or assets that you believe current coalition partners possess (e.g., serves three communities within the county; been in existence five or more years; maintains positive relationship with other agencies, organizations, groups or key individuals; well respected by county or community leaders and residents).

2. How can the coalition get the missing partner agencies, organizations and

groups involved?

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Element Two: Individual Coalition Membership (Please note that, in addition to answering these questions, at least four coalition members are required to individually complete the “Core Competencies That Facilitate Implementation of the SAMHSA Strategic Prevention Framework” tool [Appendix C].)

1. PLEASE ANSWER THE FOLLOWING QUESTION IF YOU ARE AN UNDERAGE DRINKING SITE:

On a scale of 1 to 5, with 5 being the highest level of commitment, how committed are coalition members in preventing underage drinking in your county?

1 2 3 4 5

2. PLEASE ANSWER THE FOLLOWING QUESTION IF YOU ARE A DUI CRASH SITE:

On a scale of 1 to 5, with 5 being the highest level of commitment, how committed are coalition members in preventing DUI crashes in your county?

1 2 3 4 5

3. To what extent do you believe the coalition is willing to follow the SPF process to prevent underage drinking and/or DUI crashes in your county?

The following statements are about the coalition members' involvement in the coalition. Please circle one response for each statement.

The members of this coalition: Circle one response

1. seem to share the coalition’s vision and mission.

Yes Sort of No Don't Know

2. are regularly involved in meetings and/or activities.


3. share the workload with the County CAST Coordinator.


4a. are currently assuming any lead responsibility for tasks.


4b. If “No,” how likely is this to happen in the future?

5. are following through on tasks they agree to complete for the coalition.


Please share any additional comments about members below:

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Element Three: Organizational Structure and Function The following statements are about the coalition's organizational structure. Please circle one response for each statement.

Our Coalition: Circle one response

1. has a mission or vision statement. Yes Sort of No Don't Know

2. has by-laws. Yes Sort of No Don't Know

3. has an organizational chart. Yes Sort of No Don't Know

4. uses a committee structure to complete tasks or implement goals.


5. has a plan for membership, recruitment, turnover and voting rights.


6. has written agendas for meetings and follows them.


7. has a plan for how leaders are selected and succeed one another.


8. has regular, structured meetings. Yes Sort of No Don't Know

9. records minutes of meetings. Yes Sort of No Don't Know

10. has/will create Memoranda of Understanding with our partner organizations.


The following statements are about how the coalition functions. Please circle one response for each statement.


1. has a clear plan for how decisions will be made.


2. has an internal communication system for communicating among partners.


3. has an external communication system for communicating with non-partner agencies, organizations and groups.


4.

partners (i.e., agencies, organizations, and groups represented on our coalition) have adequate knowledge of substance abuse prevention


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5.

members (i.e., individuals representing each partner agency, organization and group on the coalition) have adequate knowledge and skills of substance abuse prevention.


6. has or will have access to power within legislative and executive branches of agencies and the government.


7. has a clear plan or approach to resolving conflict.


8. is or will be able to influence county and private agencies and governing bodies.


9. Finally, what can be done to enhance the organizational structure and functioning of

the coalition?

Element Four: Cultural Competence The coalition’s integration of cultural competence into its decision-making and practices is vital to its success. Please answer the following questions about your county and coalition to the best of your knowledge.

1. What does cultural competence mean to your coalition?

2. What cultures and sub-groups are present in your county? (Consider race, ethnicity, gender, religion, age, sex, occupation, language, nationality, education, sexual orientation, and any other relevant groups or cultures.)

3. How well does the current demographic composition (race, ethnicity, gender, religion, age, sex, etc.) of your coalition match the demographic composition of your county as a whole?

4. How can the coalition improve its engagement of culturally distinct groups?

5. What type of training or technical assistance can help the coalition improve its ability to operate with high levels of cultural competence?

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Community Readiness

Please answer the following questions with regard to the CAST priority issue in your county (i.e., underage drinking and/or DUI crashes). PLEASE ANSWER THE FOLLOWING QUESTIONS IF YOU ARE AN UNDERAGE DRINKING SITE:

1. On a scale of 1 to 5, with 5 being the highest level of concern, how concerned are residents in your county about underage drinking?

1 2 3 4 5

2. Typically, how supportive are residents in your county of efforts such as preventing underage drinking?

3. On a scale of 1 to 5, with 5 being the highest level of concern, how concerned are leaders in your county about underage drinking?

1 2 3 4 5

4. Typically, how supportive are leaders in your county of efforts such as preventing underage drinking?

5. Have any formal discussions, such as town hall meetings, taken place in your county in the past few years to address underage drinking?

6. What efforts are currently happening or have previously taken place in the county to address underage drinking?

7. What individuals, organizations, and/or communities are concerned and aware about the issue?

PLEASE ANSWER THE FOLLOWING QUESTIONS IF YOU ARE A DUI CRASH SITE:

1. On a scale of 1 to 5, with 5 being the highest level of concern, how concerned are residents in your county about DUI crashes?

1 2 3 4 5

2. Typically, how supportive are residents in your county of efforts such as preventing DUI crashes?

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3. On a scale of 1 to 5, with 5 being the highest level of concern, how concerned are leaders in your county about DUI crashes?

1 2 3 4 5

4. Typically, how supportive are leaders in your county of efforts such as preventing DUI crashes?

5. Have any formal discussions, such as town hall meetings, taken place in your county in the past few years to address DUI crashes?

6. What efforts are currently happening or have previously taken place in the county to address DUI crashes?

7. What individuals, organizations, or communities are concerned and aware about the issue?

Sustainability

Engaging in intentional acts to sustain the long-term growth and health of the coalition is important. Please answer the following questions about your county and coalition to the best of your knowledge.

1. Has the coalition ever discussed what steps can be taken to promote its long-term health and growth?

2. Has the coalition developed a written sustainability plan that discusses how it can sustain its efforts and outcomes over time?

3. On a scale of 1 to 5, with 5 being the most accessible, how accessible (i.e., open or easy to reach) is the coalition to county residents?

1 2 3 4 5

4. How does the coalition plan to communicate its efforts, activities, successes, and results to community leaders and the general community?

5. Other than the lead agency, in what ways do other agencies, organizations, and groups currently support the coalition (e.g., financial contributions, in-kind support, volunteers, event sponsorships, evaluation assistance)?

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6. What actions can the coalition take to increase its likelihood of sustaining its efforts and outcomes over time?

Sources:

Wandersman, Goodman, and Butterfoss. “Coalition Self-Assessment Tool” (1995).

Substance Abuse and Mental Health Services Administration, Center for Substance Abuse Prevention. Comprehensive Prevention Strategies: Key to Coalition Success. (2001).

Tri-Ethnic Center for Prevention Research. “Community Readiness Interview Form.”

West Virginia Prevention Resource Center. “Organizational Capacity Assessment Tool.”

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APPENDIX C CORE COMPETENCIES THAT FACILITATE IMPLEMENTATION

OF THE SAMHSA STRATEGIC PREVENTION FRAMEWORK

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OPTIONAL TOOLS FOR

ASSESSING CAPACITY

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APPENDIX D SURVEY TO ASSESS CAST COALITION MEMBERS’ PERCEPTIONS OF THE

BENEFITS AND DIFFICULTIES OF PARTICIPATING IN THE COALITION BENEFITS

Below is a list of possible benefits you may or may not get from your involvement in coalition work for the CAST Project. Please check (√) one box for each statement.

Please indicate how much you personally benefit from each of the following as a result of your coalition work:

Very much of a

benefit

Somewhat of a

benefit

Not very much of a

benefit

Not at all a

benefit

a. Learn new skills (e.g., public speaking, program planning).

b. Receive information about community services, events, county government, etc.

c. Learn more about alcohol and other drug abuse.

d. Supports my decision to not abuse alcohol and other drugs.

e. Provides an opportunity to improve the way I do my job.

f. Provides a chance to explore new job opportunities.

g. Gain support by working with other members of the community.

h. Gain personal recognition and respect from others.

i. Increase cooperation with members of other community agencies/groups.

j. Supports my agency or group’s concerns and missions.

k. Receive satisfaction by being involved in an important project.

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Please indicate how much you personally benefit from each of the following as a result of your coalition work:

Very much of a

benefit

Somewhat of a

benefit

Not very much of a

benefit

Not at all a

benefit

l. Fulfill a sense of responsibility to contribute to the community.

m. Help people at risk for alcohol and other drug abuse.

n. Make the community a safer place to live.

DIFFICULTIES

Some people find that there are difficulties associated with involvement in coalition work. Below is a list of possible difficulties that you may or may not experience as a result of involvement in the CAST coalition. Please check (√) one box for each statement.

Please indicate the response that describes your current experience of each difficulty.

Very much of

a difficulty

Somewhat of a

difficulty

Not very much of a difficulty

Not at all a

difficulty

o. Demands too much of my personal time.

p. Takes too much of my time from agency or organizational commitments.

q. Adds unwanted job responsibilities.

r. Have to go to meetings/events at inconvenient times.

s. Have problems with transportation to meetings/events.

t. Have to give up activities with family or friends.

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Please indicate the response that describes your current experience of each difficulty.

Very much of

a difficulty

Somewhat of a

difficulty

Not very much of a difficulty

Not at all a

difficulty

u. Feel unwelcome or not like part of the coalition.

v. Conflicts between the mission of my organization/agency and the coalition’s work.

w. Conflicts between my professional practice/business and the coalition’s work.

x. Feel that the coalition never gets anything accomplished.

y. Feel that the coalition cannot really do much to solve the problems of alcohol and other drug abuse.

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APPENDIX E COALITION SELF-ASSESSMENT SURVEY

DIRECTIONS: The purpose of this tool is to assess the Coalition’s Organizational Structure and Function. Complete this questionnaire honestly and completely. Do not put your name on it.

LEAD AGENCY

Put a mark in the box that best fits your assessment of each characteristic of the lead agency.

Absent Present

but Limited

Present Not

Applicable Don’t Know

1. Provides management-level commitment and support to the coalition.

2. Commits personnel and financial resources to the coalition.

3. Has knowledge of coalition-building process.

4. Has collaboration experience.

5. Replaces agency representative if vacancy occurs.

6. Trains successive lead agency.

7. Remains involved when no longer the lead agency.

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STAFF (In most cases, this will refer to the CAST County Coordinator.)

Put a mark in the box that best fits your assessment of each characteristic of the staff.

Absent Present

but Limited

Present Not


1. Has knowledge of coalition-building process.

2. Demonstrates skill in writing proposals and obtaining funding/resources.

3. Offers training to members as appropriate.

4. Has training in assessment and research methods.

5. Encourages collaboration and negotiation.

6. Communicates effectively with members.

COALITION LEADERS (Chair and Executive/Steering/Coordinating Committee)

Put a mark in the box that best fits your assessment of each characteristic of the coalition leaders.

Absent Present

but Limited

Present Not


1. Are committed to the coalition’s mission.

2. Provide leadership and guidance in the growth and maintenance of the coalition.

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COALITION LEADERS (continued) (Chair and Executive/Steering/Coordinating Committee)


Absent Present

but Limited

Present Not


3. Have appropriate time to devote to the coalition.

4. Plan effectively and efficiently.

5. Have knowledge in the content area.

6. Demonstrate flexibility in accepting different viewpoints.

7. Promote equal status and collaboration among members.

8. Are adept in organizational and communication skills.

9. Work within influential political and community networks.

10. Are competent in negotiation, problem solving, and conflict resolution.

11. Are attentive to individual member concerns.

12. Are effective in managing meetings.

13. Are adept in garnering resources.

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COALITION LEADERS (continued) (Chair and Executive/Steering/Coordinating Committee)


Absent Present

but Limited

Present Not


14. Value members’ input.

15. Recognize members for their contributions.

16. Manage the coalition’s short- and long-term goals and objectives.

COALITION MEMBERS

Put a mark in the box that best fits your assessment of each characteristic of the coalition members.

Absent Present

but Limited

Present Not


1. Share coalition’s vision and mission.

2. Have a variety of resources and skills to offer.

3. Clearly understand their roles.

4. Actively plan, implement, and evaluate activities.

5. Assume lead responsibility for tasks.

6. Share the workload.

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COALITION MEMBERS (continued)

Put a mark in the box that best fits your assessment of each characteristic of the coalition members.

Absent Present

but Limited

Present Not


7. Are regularly involved in meetings and/or activities.

8. Feel a sense of accomplishment.

9. Seek out training opportunities.

10. Follow through on tasks they agree to complete for the coalition.

11. Influence and motivate each other and the rest of the community to accomplish agreed-upon goals.

12. Understand the community, including its people, cultures, values and habits.

13. Reflect the demographics and cultures of the communities we serve.

COALITION STRUCTURE

Put a mark in the box that best fits your assessment of each characteristic of the coalition structure.

Absent Present

but Limited

Present Not


1. Has by-laws/rules of operation.

2. Has and is guided by written vision and mission statements that were developed and adopted by our members.

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COALITION STRUCTURE (continued)

Put a mark in the box that best fits your assessment of each characteristic of the coalition structure.

Absent Present

but Limited

Present Not


3. Has goals and objectives in writing.

4. Provides for regular, structured meetings.

5. Has records of meetings.

6. Disseminates records of meetings to coalition members.

7. Has organizational chart.

8. Has written job descriptions.

9. Has committee(s).

10. Has a written plan regarding time commitment for coalition leaders and members and strategy on replacing positions.

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COALITION PROCESS

Put a mark in the box that best fits your assessment of each characteristic of the coalition processes.

Absent Present

but Limited

Present Not


1. Has a mutually agreed-upon process for decision making.

2. Has a mutually agreed-upon process for problem solving and conflict resolution.

3. Has processes for resource allocation.

4. Has mechanisms for evaluation.

5. Has a mechanism for accountability of members completing assignments in a timely manner.

6. Has a mechanism for new-member orientation.

7. Has a mechanism for training members.

8. Has a system for identifying overlaps or duplication of services in our community.

9. Has an established process for communication between members and community.

10. Has access to power within legislative and executive branches of agencies and the government.

11. Has a sphere of influence that includes state and private agencies and governing bodies.

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IMPLEMENTATION

Put a mark in the box that best fits your assessment of each characteristic of the coalition’s implementation of activities and strategies.

Absent Present

but Limited

Present Not


1. Strategic plan for implementation is developed.

2. Strategies are implemented as planned.

3. Data from the community is used as the basis for planning and decision-making.

4. Strategies or initiatives implemented or funded in our community are comprehensive in scope.

5. Funding streams are coordinated across agencies and organizations with whom we collaborate to maximize outcomes in our community.

6. Outcome measures are logical, achievable, and based on an approach that reflects lessons learned from research.

7. We have the political will to create positive community change.

8. Strategies are monitored at specific intervals and revised as necessary to achieve desired outcomes.

9. Coalition activities are incorporated within other agencies or institutions.

10. Strategies or initiatives implemented or funded in our community are culturally appropriate.

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SUSTAINABILITY

Put a mark in the box that best fits your assessment of each characteristic of the coalition’s sustainability.

Absent Present

but Limited

Present Not


1. Receive tangible support (e.g., resources, staffing, other in-kind) from other organizations and agencies in our community.

2. Have secured the support and investment of key stakeholders and opinion leaders.

3. Have dedicated meeting time to identify and monitor measures for maintaining sustainability.

4. Numbers of coalition members are maintained or increased.

5. Coalition membership benefits outweigh the costs.

6. Coalition is accessible to the community.

7. Coalition activities, use of resources, and outcomes are reported to the community on a regular and ongoing basis.

8. Has the capacity to allocate and manage financial and other (e.g., in-kind, volunteer) resources.

9. Coalition is included in other collaborative efforts.

10. Mission is refined or changed to encompass other populations and issues.

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SUSTAINABILITY (continued)

Put a mark in the box that best fits your assessment of each characteristic of the coalition’s sustainability.

Absent Present

but Limited

Present Not


11. We have written plans to sustain outcomes over time.

12. Routinely and collectively review opportunities for funding to facilitate the sustainability of our efforts.

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APPENDIX F TRI-ETHNIC CENTER’S COMMUNITY READINESS MODEL

The following information about the Community Readiness Model is from the Tri-Ethnic Center for Prevention Research web site, www.triethniccenter.colostate.edu/ communityReadiness_home.htm. Please go to the web site for more information and to download a free handbook about the model. Contact your capacity coach for more information if you are interested in completing a community readiness assessment using the Tri-Ethnic model. The Community Readiness Model was developed at the Tri-Ethnic Center to assess how ready a community is to address an issue. The basic premise is that matching an intervention to a community’s level of readiness is absolutely essential for success. Efforts that are too ambitious are likely to fail because community members will not be ready or able to respond. To maximize chances for success, the Community Readiness Model offers tools to measure readiness and to develop stage-appropriate strategies. The Community Readiness Model has been used to assess readiness for a variety of issues, including alcohol and other drug use, domestic and sexual violence, head injury, HIV/AIDS, suicide, animal control issues, and environmental issues. Communities have found it helpful because:

It is an inexpensive and easy-to-use tool. It encourages the use of local experts and resources. It provides both a vocabulary for communicating about readiness and a metric for

gauging progress. It helps create community-specific and culturally specific interventions. It can identify types of prevention/intervention efforts that are appropriate.

The Community Readiness Model is an innovative method for assessing the level of readiness of a community to develop and implement prevention programming. It can be used as both a research tool to assess levels of readiness across a group of communities or as a tool to guide prevention efforts at the individual community level. The community readiness model defines nine stages of readiness:

No awareness Denial/resistance Vague awareness Preplanning Preparation Initiation Stabilization Confirmation/Expansion High Level of Community Ownership

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The process for conducting a community readiness assessment includes: identifying the issue, defining the community, conducting key respondent interviews, scoring to determine the readiness levels, and developing strategies consistent with those readiness levels.

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