Social and Behavior Change

Communication
Capacity Assessment Tool
SBCC-CAT

f o r u s e with organizations Facilitator’s Guide

This publication is made possible by the generous support of the American people through the United States Agency for
International Development (USAID) under the terms of Agreement No. GPO-A-00-07-00004-00. The contents are the responsibility
of the C-Change program, managed by AED, and do not necessarily reflect the views of USAID or the United States Government.
SOCIAL AND BEHAVIOR CHANGE
COMMUNICATION–CAPACITY ASSESSMENT TOOL
(SBCC-CAT)
FOR USE WITH ORGANIZATIONS

FACILITATOR’S GUIDE

March 2011

This publication is made possible by the generous support of the American people through the United States Agency for International Development (USAID)
under the terms of Agreement No. GPO-A-00-07-00004-00. The contents are the responsibility of the C-Change program, managed by AED, and do not
necessarily reflect the views of USAID or the United States Government.
Recommended citation:
C-Change. 2011. Social and Behavior Change Communication (SBCC)—Capacity Assessment Tool for Organizations. Facilitator’s
Guide. Washington, DC: C-Change/AED.

C-Change is implemented by AED and its

partners—CARE; Internews; Ohio University;
IDEO; University of Washington/I-TECH; Center
for Media Studies, India; New Concept, India;
Soul City, South Africa; Social Surveys, South
Africa; and Straight Talk, Uganda.

Contact information:
C-Change
1825 Connecticut Ave., NW, Ste. 800
Washington, DC 20009 USA
Tel: +1.202.884.8000
Fax: +1.202.464.3799
Email: [email protected]
Website: http://www.c-changeprogram.org
FACILITATOR’S GUIDE CONTENTS
Introduction............................................................................................................................................................................................................................................................................ 4
Background ........................................................................................................................................................................................................................................................................ 4
What does the SBCC-CAT do? ..................................................................................................................................................................................................................................... 4
Who Should Use the SBCC-CAT?................................................................................................................................................................................................................................ 5
How to use the SBCC-CAT? .......................................................................................................................................................................................................................................... 5
Step 1 Assessing SBCC Capacity............................................................................................................................................................................................................................ 6
Step 2 Reviewing Materials .................................................................................................................................................................................................................................... 6
Step 3 Developing a Capacity Strengthening Plan......................................................................................................................................................................................... 7
Step 1 Assessing SBCC Capacity ..................................................................................................................................................................................................................................... 8
Guidance on SBCC Concepts Used in Step One .................................................................................................................................................................................................... 8
Step 2 Reviewing Materials ............................................................................................................................................................................................................................................ 10
Materials Review and Scoring Adjustments ....................................................................................................................................................................................................... 10
Step 3: Developing a Capacity Strengthening Plan ............................................................................................................................................................................................... 25
Finalizing Scores ............................................................................................................................................................................................................................................................ 25
Annex 1: Organizational Profile.................................................................................................................................................................................................................................... 28
Annex 2: Sample Invitation ............................................................................................................................................................................................................................................ 29
Annex 3: Sample SBCC-CAT Agenda ........................................................................................................................................................................................................................... 30
Annex 4: Sample SBCC-CAT Session Plan ................................................................................................................................................................................................................. 31
Annex 5: Case Study—Development and Use of the SBCC-CAT in Namibia .............................................................................................................................................. 34
Annex 6: Resources Used to Develop the SBCC-CAT ........................................................................................................................................................................................... 35
SBCC-CAT FOR USE WITH ORGANIZATIONS

INTRODUCTION
Background
C-Change developed the Social and Behavior Change Communication– Capacity Assessment
Tool (SBCC-CAT) to help organizations working in health and development communication
to measure their technical capacity and needs in SBCC.

SBCC is an interactive, researched, and planned process that aims at changing social
conditions and individual behaviors. SBCC uses advocacy, social mobilization, and behavior
change communication to achieve its desired goal: to find a tipping point for sustainable
changes in behaviors and society overall.

Successful SBCC hinges on a process with five components described C-Planning. Meeting
particular standards in each of the following components is crucial:

1. Understanding the Context through Situation Analysis

2. Focusing & Designing the Communication Strategy
3. Creating Interventions & Materials for Change
4. Implementing & Monitoring Change Processes
5. Evaluating & Replanning the Program

What does the SBCC-CAT do?

The SBCC-CAT helps organizations to assess the quality of their SBCC programs based on the five components above. By using this Tool,
organizations can identify the strengths and weaknesses of current programs—where they are meeting these basic standards and where they do
not—as well as define activities that strengthen staff ‘s capacity, refocus programs and improve the overall quality of their SBCC efforts. Using
the SBCC-CAT as a measurement tool over time will allow for the organization to assess its increased competency and capacity in SBCC.

This Facilitator’s Guide accompanies the SBCC-CAT, the actual assessment tool. To guide the facilitation of the SBCC-CAT, this document contains:

• Guidance on who should use and how to use the SBCC-CAT

• Clarification on concepts used during the assessment
• Worksheets and templates to assist in the facilitation of the SBCC-CAT

FACILITATOR’S GUIDE INTRODUCTION PAGE 4 OF 35

SBCC-CAT FOR USE WITH ORGANIZATIONS

Who Should Use the SBCC-CAT?

The SBCC-CAT can be used by any health and development organization interested in improving the design, implementation, and monitoring
and evaluation (M&E) of its SBCC programs. The Tool should be administered by a facilitator, who, ideally, is not part of the organization. The
organization should create an environment that is participatory and equitable, where all participants feel comfortable contributing their
opinions and do not feel they are being steered toward a certain score or outcome. It is helpful if the facilitator is familiar with SBCC concepts
and has experience in planning, implementing, and evaluating SBCC programs and activities. The facilitator may also want to bring examples of
documents discussed in this tool, such as a communication strategy or a creative brief. Examples of all documents mentioned in this Tool can be
found in the C-Modules, learning package for SBCC available for download at http://c-changeprogram.org/focus-areas/capacity-
strengthening/sbcc-modules

How to use the SBCC-CAT?

The Facilitator’s Guide provides background on the SBCC-CAT, guidance on using it, and sample tools that will help the facilitator to prepare
organizations for the SBCC-CAT:

The facilitator should invite an organization to participate (a sample invitation letter is in Annex 1) and become familiar with the organization
prior to the assessment (an organizational profile template is provided in Annex 2). A sample agenda to facilitate the SBCC-CAT is in Annex 3.

The organization should clearly understand the purpose of the SBCC-CAT and note that the SBCC-CAT assessment is a three-step process 1:

1. The first step is the use of the tool to guide discussions and scoring.
2. The second gathers evidence through a review of communication materials.
3. The third step finalizes scores of the SBCC-CAT and concludes with the development of a capacity strengthening plan.

After completing the entire three-step process organizations will be able to take action to increase their SBCC capacity in a systematic and
evidence-based manner.

1 These steps may take place on different days, depending on participants’ availability. The number of participants should be limited to no more than 10, as they will need to
discuss each question and reach an agreement on a score. It may be helpful to use a digital recorder or designate a note-taker so all discussion points are captured. If the group
must be larger than 10, it may be divided into sub-groups, but this will require the active presence of multiple facilitators. Each sub-group will take a section of the assessment
tool and report their results back to plenary.

FACILITATOR’S GUIDE INTRODUCTION PAGE 5 OF 35

SBCC-CAT FOR USE WITH ORGANIZATIONS
The principal steps in the participatory assessment process are as follows:

Step 1 Assessing SBCC Capacity

The facilitator provides a brief introduction that stresses the purpose of the participatory assessment to assist the team to identify their
strengths and weaknesses in SBCC and their skill level. The process is not intended to criticize their current efforts and activities, but to assist the
team to orient themselves to core SBCC components and identify their strengthening needs.

The facilitator asks the team to give a general description of the current response in their region. What is being done, which
organizations are involved, where they are working, and what technical areas are being addressed? It helps to have a map of the region to orient
this discussion. The facilitator will become familiar with the current regional situation and the team will be oriented to the assessment.

The facilitator reviews the three steps of the SBCC-CAT and explains the assessment process. Copies of the SBCC-CAT should be made
available for each participant for this purpose. The facilitator answers any questions before proceeding.

The facilitator takes the team through each of the SBCC-CAT’s five core competency areas. In each case, the facilitator defines and
introduces the area to be discussed. Then the facilitator asks an open-ended question and leads short discussions to further clarify issues and
gather important background information needed for follow up questions. For complex concepts and issues, probes can be used at the end of the
closed-ended questions to further clarify responses.

In response to each question, the team discusses the answer, comes to a consensus, and assigns a score. The facilitator should not lead
responses or suggest scores, but rather request a consensus score from the group by using questions to initiate discussion. The step is completed
once all the questions in each component have been discussed and scores assigned.

Step 2 Reviewing Materials

The facilitator begins by conducting a review of the organization’s communication materials that relate to SBCC. One or two staff should
guide the facilitator through each of the materials. The facilitator should ask how each material was developed and is being used by the
organization. The materials themselves are not scored.

The facilitator verifies the scores given by the participants by reviewing the supporting documents and using definitions provided in the
SBCC-CAT and the C-Modules. If the supporting documents do not exist or the information is not aligned with responses in the self-assessment,
then the facilitator should adjust scores accordingly with involvement from the team whenever possible. Through the material review, the
facilitator will be better able to identify SBCC gaps and provide tailored support for the development of an effective capacity strengthening plan.

FACILITATOR’S GUIDE INTRODUCTION PAGE 6 OF 35

SBCC-CAT FOR USE WITH ORGANIZATIONS
Step 3 Developing a Capacity Strengthening Plan
The scores should be re-visited after the material review. Tallying and averaging all scores for each component will provide a baseline from
which an organization can build and begin planning improvements. Participants should reach consensus on scores prior to moving to the
development of a capacity strengthening plan. Following the calculation of the overall score, the team should note main areas that need
strengthening, develop an initial plan of action, and note any specific areas requiring technical support. This information will be used to develop
a strengthening plan. The results can serve as the situational baseline for the organization and the SBCC-CAT can be used again, after capacity
strengthening activities, to determine whether SBCC skills and competencies have improved.

The facilitator writes up the results of the SBCC-CAT in a brief report that summarizes the discussions for each component and describes
how the results of the SBCC-CAT feed into the capacity strengthening plan.

Logical next steps are a strategy session to determine priorities, and then the creation of a workplan or training action plan. (A real-life
example of this can be found in Annex 5.) This Facilitator’s Guide provides a list of questions that can help to guide this process (page 25) and a
template of a capacity strengthening plan (page 16 of the SBCC-CAT).

FACILITATOR’S GUIDE INTRODUCTION PAGE 7 OF 35

STEP 1 ASSESSING SBCC CAPACITY
Guidance on SBCC Concepts Used in Step One
For each component and sub-component, the SBCC-CAT provides opening questions that can be used. Concepts used in this component may need
more explanation. To get you started, here are some sample probes for Component 1. A glossary for all concepts in the SBCC-CAT is available at:
http://c-changeprogram.org/sites/default/files/sbcc_modules_additional_resources.pdf

COMPONENT 1: Understanding the Context through Situation Analysis

Sub-component 1: Evidence-based and theory- or model-driven planning and design

If a situational analysis has been conducted, probe to find out:

• What are some of main issues you identified the last time you conducted a situation analysis? (Issues could include social or cultural
norms, behavioral patterns, policies, and/or legislative or economic factors.)
• What social and gender norms and behavioral patterns are relevant to your program? What is the primary legislative and policy issues
might affect it?
• What sources did you use to gather information for the last situation analysis you conducted? Were they secondary sources? Did you
collect any data yourself?

If theories or models are used in planning and design, probe to find out:
• Which theories or models do you use? (Encourage participants to list the names or describe the main domains within the theory or
model.) What made you choose these theories or models?
• What does the theory or model used in the situation analysis or strategy development say about the potential causes and/or effects of the
issue or problem and how to address it? What does the theory or model used say about: individuals affected by the issue or problem, their
family, peers, and partners, the local community, products and services, and the national environment?
• What aspects of these theories or models did you incorporate into your program plans and design?

If data from existing research is used, probe to find out:

• What sources of secondary data did you use the last time you conducted a situation analysis? (Examples include DHS, AIDS Indicators
Survey, and a Behavioral Surveillance Survey.) Encourage participants to name these sources and to provide you with copies of them, if
possible. Note whether or not you saw such copies.
• What specific information from the secondary data sources did you use in the planning your program?

FACILITATOR’S GUIDE STEP 1: ASSESSING SBCC CAPACITY PAGE 8 OF 35

SBCC-CAT FOR USE WITH ORGANIZATIONS
If data from original research is used, probe to find out:
• What methods did you use to collect the data the last time you conducted a situation analysis? What were your main findings? Which
findings did you use to plan and design your programs?

If stakeholders are identified/mapped/collaborated with, probe to find out:

• What process did you follow to identify stakeholders during the last situation analysis?
• How often were stakeholders engaged in the design of your program? Did they attend meetings? Were they contacted on a one-to-one
basis? How did you engage stakeholders you identified?
• Describe any replication of services or overlap of programs, if any, and how you know that these do or do not exist

FACILITATOR’S GUIDE STEP 1: ASSESSING SBCC CAPACITY PAGE 9 OF 35

STEP 2 REVIEWING MATERIALS
Materials Review and Scoring Adjustments
Completion of the following questions should be based on a review of the supporting documents provided. The initial scores agreed upon during
the self-assessment are adjusted, as needed, to reflect information found in these materials. After scores have been adjusted, they are discussed
with the group in Step 3. The final score is agreed upon by everyone and is recorded. Comments should include any additional observations that
are relevant for the capacity assessment plan. The final score for sub-components is summed, and then divided by the number of questions to
create a score for each component as well as a total score.

Organization______________________________________________________________________________ Date: ______________________________________________________

□ Baseline
□ Mid-line
□ End-line

Component 1: Understanding the Context through Situation Analysis

Sub-component 1: Evidence-based and theory- or model-driven planning and design
1.1 Situation analysis
Relevant documentation (reports, data collection plans, SOW) shows that the organization:
□ Does not a conduct an analysis
□ Relies on their own personal network for analysis
□ Involves key informants in the analysis
□ Uses multiple perspectives in the analysis
Initial score =_________
Adjusted score =__________
Final score =____________
Comments:

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SBCC-CAT FOR USE WITH ORGANIZATIONS
Component 1: Understanding the Context through Situation Analysis
Sub-component 1: Evidence-based and theory- or model-driven planning and design
1.2 Use of theories and models
Relevant documentation (reports, data collection plans, SOW, notes) shows that the organization:
□ Does not use theories and models
□ Uses models or theories
□ Uses models or theories that fit the context
□ Uses models or theories that fit the context for the situation analysis and strategy design
Initial score =_________
Adjusted score =________
Final score =____________
Comments:

1.3 Research Data

Relevant documentation (reports, SOW, data collection plans and instruments, qualitative or quantitative data, notes) shows that the organization:
□ Does not collect data
□ Relies on their own sources
□ Uses existing research
□ Uses both existing and original research
Initial score =_________
Adjusted score =_________
Final score =____________
Comments:

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SBCC-CAT FOR USE WITH ORGANIZATIONS
Component 1: Understanding the Context through Situation Analysis
Sub-component 1: Evidence-based and theory- or model-driven planning and design
1.4 Stakeholders
Relevant documentation (reports, data collection and analysis plans, qualitative or quantitative data, SOW, notes) shows that the organization:
□ Does not review stakeholders’ activities
□ Review stakeholders’ activities but little interaction
□ Review stakeholders’ activities and share program plans and ideas
□ review stakeholders’ activities and collaborate to reduce replication of services and overlap
Initial score =______
Adjusted score =________
Final score =____________
Comments:

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SBCC-CAT FOR USE WITH ORGANIZATIONS
Component 2: Focusing and Designing the Communication Strategy
Sub-component 1: Development of strategies
2.1 Communication strategy
Relevant documentation shows:
□ No communication strategy
□ Communication strategy includes few of the necessary components (1–3)
□ Communication strategy includes most of the necessary components (4–7)
□ Communication strategy includes all necessary components (8)
Initial score =________
Adjusted score =________
Final score =____________
Comments:

2.2 Audience selection and segmentation

Relevant documentation (communication strategy) shows that the organization:
□ Does not select audiences and/or segment
□ Selects specific audiences but does not segment
□ Selects specific audience segments but program is not tailored enough
□ Selects specific audience segment and programs are tailored for them
Initial score =________
Adjusted score =________
Final score =____________
Comments:

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SBCC-CAT FOR USE WITH ORGANIZATIONS
Component 2: Focusing and Designing the Communication Strategy
Sub-component 1: Development of strategies
2.3 Communication objectives
Relevant documentation (communication strategy) shows that the organization:
□ Only has program objectives
□ Sets communication objectives
□ Sets evidence-based, SMART objectives
□ Sets evidence-based, SMART objectives that address barriers to change for each audience segment
Initial score =
Adjusted score =_________
Final score =____________
Comments:

2.4 Communication channels

Relevant documentation (communication strategy, workplan and budget) shows that the organization:
□ Uses only one channel
□ Uses multiple channels, based on audience preferences
□ Uses multiple, interlined channels, based on audience preferences
□ Uses multiple, interlinked channels, based on audience preferences, that reach audience segments repeatedly
Initial Score =________
Adjusted score =_________
Final score =____________
Comments:

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 SBCC-CAT FOR USE WITH ORGANIZATIONS
Component 2: Focusing and Designing the Communication Strategy
Sub-component 1: Development of strategies
2.5 Levels of influence
Relevant documentation (communication strategy) shows that the organization:
□ Uses a communication strategy address one level (e.g., individual, family, community, regional, national)
□ Uses a communication strategy address two levels, but not during the same time period
□ Uses a communication strategy address more than two levels, but not during the same time period
□ Uses a communication strategy address more than two levels during the same time period
Initial score =_______
Adjusted score =________
Final score =____________
Comments:

2.6 Strategic approach

Relevant documentation (communication strategy) shows that the organization:
□ Does not have a strategic approach
□ Has a strategic approach that includes one key strategy
□ Has a strategic approach that links all strategies and channels
□ Has a strategic approach that links all strategies and channels are packaged into a single campaign or intervention
Initial score =________
Adjusted score =________
Final score =____________
Comments:

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SBCC-CAT FOR USE WITH ORGANIZATIONS
Component 3: Creating Interventions and Materials for Change
Sub-component 1:Materials development
3.1 Key elements of a communication strategy used to develop materials
Relevant documentation (communication strategy, workplan, SOW, plan/design for audience input, plan/design for stakeholder and technical reviews, notes)
shows that the organization:
□ Does not use any of the elements for creation of materials and messages
□ Uses some key elements for the creation of materials and messages
□ Uses several clearly articulated elements for the creation of materials and messages
□ Uses almost all, clearly articulated elements for the creation of materials and messages
Initial score =________
Adjusted score =________
Final score =____________
Comments:

3.2 Material and message review by technical staff and stakeholders

Relevant documentation (communication strategy, workplan, reports, study designs for stakeholder and technical reviews, notes) shows that the organization:
□ Does not have messages and materials reviewed
□ Has available staff conduct impromptu or casual reviews of materials
□ Conducts a formal review of messages and materials by technical staff
□ Conducts a formal review of messages and materials by both technical staff and stakeholders
Initial score =________
Adjusted score =________
Final score =____________
Comments:

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SBCC-CAT FOR USE WITH ORGANIZATIONS
Component 3: Creating Interventions and Materials for Change
Sub-component 1:Materials development
3.3 Material and message development and audience input
Relevant documentation (communication strategy, workplan, reports, plan/design for audience input, notes) shows that the organization:
□ Conducts audience consultation or testing
□ Conducts audience consultation or testing, but audience feedback is rarely incorporated
□ Conducts audience consultation or testing several times and generally incorporates audience feedback
□ Conducts audience consultation tests repeatedly with audiences and always incorporates their feedback
Initial score =________
Adjusted score =________
Final score =____________
Comments:

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SBCC-CAT FOR USE WITH ORGANIZATIONS

Component 4: Implementing and Monitoring Change Processes

Sub-component 1: Developing a workplan
4.1 Communication project workplan
Relevant documentation (workplan) shows that the organization:
□ Does not have a workplan
□ Develops workplans that assign responsibilities and provide time frames
□ Develops workplans that assign responsibilities, provide time frames, and allocate resources and costs
□ Develops workplans that assign responsibilities, provide time frames, allocate resources, and link material development and activities to
communication objectives
Initial score =________
Adjusted score =________
Final score =____________
Comments:

4.2 Coordination and implementation of communication strategy

Relevant documentation (workplan) shows that the organization:
□ Does not coordinate partner programs
□ Coordinates one discreet activity with another partner program
□ Coordinates several activities with multiple programs
□ Coordinates implementation of workplan with multiple programs that complement their communication strategy
Initial score =________
Adjusted score =________
Final score =____________
Comments:

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SBCC-CAT FOR USE WITH ORGANIZATIONS
Component 4: Implementing and Monitoring Change Processes
Sub-component 1: Developing a workplan
4.3 Budgeting for SBCC programs
Relevant documentation (workplan) shows that the organization:
□ Does not include budgets workplan
□ Includes a detailed and accurate budgets for distribution of materials in the workplan
□ Includes a detailed and accurate budgets for distribution of materials and M&E in the workplan
□ Requires partners to include detailed and accurate budgets in their workplans for all elements of their program strategy
Initial score =________
Adjusted score =________
Final score =____________
Comments:

4.4 Coordination of implementation of activities

Relevant documentation (workplan) shows that the organization:
□ Implements activities whenever possible
□ Considers important events that compete with activities in the workplan
□ Considers important events that compete with activities, then adjusts their implementation accordingly workplan
□ Considers important events that compete with activities, then ensures that implementation is synchronized and activities enhance each other
workplan
Initial score =________
Adjusted score =________
Final score =____________
Comments:

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SBCC-CAT FOR USE WITH ORGANIZATIONS

Component 4: Implementing and Monitoring Change Processes

Sub-component 2: Staffing plans and competencies
4.5 SBCC capacity of management and technical staff
Relevant documentation (reports, workplans, communication strategy, staff CVs, performance objectives, training materials) shows that the organization:
□ Does not make sure that staff has receive training in SBCC
□ Makes sure that some managers have received training in SBCC
□ Makes sure that managers and technical staff have been trained in SBCC, but does not ensure that they have more than limited applicable
experience in SBCC implementation
□ Makes sure that managers and technical staff have been trained in SBCC and have extensive, applicable experience in SBCC implementation
Initial score =________
Adjusted score =________
Final score=____________
Comments:

4.6 SBCC capacity strengthening plan for management and technical staff
Relevant documentation (workplan, program proposal & budget/contract, training materials, performance objectives) shows that the organization:
□ Does not have an SBCC capacity strengthening plan
□ Discusses the need for further SBCC strengthening
□ Has developed a plan for SBCC strengthening
□ Has an ongoing plan for SBCC strengthening and is implementing it
Initial score =________
Adjusted score =________
Final score =____________
Comments:

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SBCC-CAT FOR USE WITH ORGANIZATIONS
Component 4: Implementing and Monitoring Change Processes
Sub-component 3: Supervision of field workers
4.7 Supervision of field workers
Relevant documentation (workplan, reports) shows that the organization:
□ Does not supervise field workers
□ Periodically supervises field workers, but less frequently than once a month
□ Supervises field workers monthly and makes some observations on services and activities
□ Supervises field workers and always observes services and activities
Initial score =________
Adjusted score =________
Final score =____________
Comments:

4.8 Provision of communication materials to field workers

Relevant documentation (workplan, reports) shows that the organization:
□ Does not make communication materials available
□ Provides field workers with the communication materials they need for outreach activities when available
□ Ensures that field workers almost always communication materials they need for outreach activities
□ Ensures that field workers always have the communication materials they need for outreach activities
Initial score =________
Adjusted score =________
Final score =____________
Comments:

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SBCC-CAT FOR USE WITH ORGANIZATIONS
Component 4: Implementing and Monitoring Change Processes
Sub-component 4: Frameworks and mechanisms
4.9 Development of M&E plans
Relevant documentation (workplan, M&E plan) shows that the organization:
□ Does not develop M&E plans
□ Has M&E plans for some of the programs
□ Has M&E plans for nearly half of the programs
□ Has M&E plans for the majority or all of the programs
Initial score =________
Adjusted score =________
Final score =____________
Comments:

4.10 Indicators for SBCC activities

Relevant documentation (workplan, M&E plan) shows that the organization:
□ Has no indicators for their communication program
□ Has some indicators, but their relationship to communication objectives is unclear
□ Has clear process and output indicators that are linked to communication objectives
□ Has clear process, output, and outcome indicators that are linked to communication objectives
Initial score =________
Adjusted score =________
Final score =____________
Comments:

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 SBCC-CAT FOR USE WITH ORGANIZATIONS
Component 4: Implementing and Monitoring Change Processes
Sub-component 4: Frameworks and mechanisms
4.11 Tool for monitoring implementation
Relevant documentation (workplan, M&E plan) shows that the organization:
□ Does not monitor their SBCC activities
□ Creates tools as needed to monitor communication activities
□ Has standard tools to monitor process indicators
□ Has and consistently uses standard tools to monitor process indicators
Initial score =________
Adjusted score =________
Final score =____________
Comments:

4.12 Quality of M&E data

Relevant documentation (workplan, M&E plan, program proposal/contract, budget) shows that the organization:
□ Does not have a plan for collecting and analyzing data and M&E training
□ Has a detailed plan for collecting and analyzing data
□ Has a detailed plan for collecting and analyzing data and trained or hired people to implement the data collection analysis plan
□ Trained or hired people to implement the data collection analysis plan and conduct quality checks
Initial score =________
Adjusted score =________
Final score =____________
Comments:

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SBCC-CAT FOR USE WITH ORGANIZATIONS
Component 5: Evaluating and Replanning
Sub-component 1: Using results for replanning
5.1 Results, best practices, and lessons learned
Relevant documentation (workplan, M&E plan, reports with lessons learned and/or best practices) shows that the organization:
□ Does not document results, best practices, or lessons learned
□ Documents results or lessons learned
□ Documents and disseminates results or lessons learned
□ Documents and disseminates results, lessons learned, and best practices
Initial score =________
Adjusted score =________
Final score =____________
Comments:

5.2 M&E data analysis and presentation of results

Relevant documentation (workplan, M&E plan, reports with programs improved based on M&E data) shows that organization:
□ Does not analyze M&E data
□ Analyzes monitoring data
□ Analyzes M&E data
□ Analyzes and presents M&E data
Initial score =________
Adjusted score =________
Final score =____________
Comments:

5.3 Using M&E data to replan

Relevant documentation (workplan, M&E plan, reports with programs improved based on M&E data) shows that organization:
□ Does not use M&E data to improve programs
□ Uses M&E data to assess program progress
□ Uses M&E data frequently to assess progress and improve programs
□ Uses M&E data always to assess programs and improve programs in a systematic manner
Initial score =________
Adjusted score =________
Final score =____________
Comments:

FACILITATOR’S GUIDE STEP 2: REVIEWING MATERIALS PAGE 24 OF 35

STEP 3: DEVELOPING A CAPACITY STRENGTHENING PLAN
Finalizing Scores
Components Scores
Component 1: Understanding the Context through Situation Analysis
Sub-component 1: Evidence-based and theory-driven planning and design
Component 2: Focusing and Designing the Communication Strategy
Sub-component 1: Development of strategies
Component 3: Creating Interventions and Materials for Change
Sub-component 1: Materials development
Component 4: Implementing and Monitoring Change Processes

Sub-component 1: Developing a workplan

Sub-component 2: Staffing plans and competencies
Sub-component 3: Supervision of field workers
Sub-component 4: Frameworks and mechanisms
Component 5: Evaluating and Replanning
Sub-component 1: Using results for replanning
Total Score

Synthesizing SBCC Gaps Identified

The team should gather back together to review their final scores for each component in the SBCC-CAT. They should focus on questions that
produced lower scores, areas for improvement, and gaps that require capacity strengthening. After this, the group should fill in their SBCC
capacity strengthening plan. As they go through the plan, they should reflect on their scores for each component and sub-component, as well the
identified needs, gaps, and areas for improvement. They should also think about the organization’s strengths, and how these can be
complemented with the strengths of partners and other organizations. Suggest that the group thinks beyond trainings and consider other
resources that might fill identified gaps and areas for improvement.

FACILITATOR’S GUIDE STEP 3: DEVELOPING A CAPACITY STRENGTHENING PLAN PAGE 25 OF 35

SBCC-CAT FOR USE WITH ORGANIZATIONS
Component 1: Understanding the Context through Situation Analysis
Sub-component 1: Evidence-based and theory- or model-driven planning and design
Key issues Summary of needs/areas for improvement
• Has a situation analysis been done?
• Are tools, theories and/or models, and data used for program
design?
• Are reviews conducted of what is being done by local
stakeholders?

Component 2: Focusing and Designing the Communication Strategy

Sub-component 1: Development of strategies
Key issues Summary of needs/areas for improvement
• Is there a communication strategy that is segmented by audience
and has clear communication objectives?
• Does the communication strategy propose using multiple channels
that are mutually reinforcing to reach audiences?
• Does the communication strategy address different levels of
influence on the problem?

Component 3: Creating Interventions & Materials for Change

Sub-component 1: Material development
Key issues Summary of needs/areas for improvement
• Is a design process followed?
• Is there an inventory of current materials?
• Do concept testing, pretesting, stakeholder review, and field testing
form part of material development?

Component 4: Implementing and Monitoring Change Processes

Sub-component 1: Developing a workplan
Key issues Summary of needs/areas for improvement
• Are there linkages to other programs and partners?
• Is budgeting done during workplanning?
• Are the materials developed linked to and reinforce main messages
in the communication strategy?

FACILITATOR’S GUIDE STEP 3: DEVELOPING A CAPACITY STRENGTHENING PLAN PAGE 26 OF 35

SBCC-CAT FOR USE WITH ORGANIZATIONS
Sub-component 2: Staffing plans and competencies
Key issues Summary of needs/areas for improvement
• Does staff have the skills to manage and implement SBCC programs?
• Are plans for staff capacity strengthening in place?
• Is a supervisory system in place?

Sub-component 3: Supervision of field workers

Key issues Summary of needs/areas for improvement
• Are field workers supervised regularly?
• Are communication materials provided to workers who do
outreach?

Sub-component 4: Frameworks and mechanisms

Key issues Summary of needs/areas for improvement
• Is regular monitoring conducted?
• Do tools and systems ensure high quality of data?
• Are data analyzed and reinterpreted?

Component 5: Evaluating and Replanning

Sub-component 1: Using results for replanning
Key issues Summary of needs/areas for improvement
• Are results documented and disseminated?
• Is analyzed data communicated to partners?
• Are data used to improve programs?

Planning and Prioritizing SBCC Capacity Strengthening Needs

Once the team has identified the organization’s SBCC gaps, they should think about:

• which areas could be strengthened and improved

• what they already have and what they need
• who will be responsible for leading the effort, both internally and externally
• how important the capacity strengthening effort is

The team then completes the template in the SBCC-CAT to assist the development of their capacity strengthening plan.

FACILITATOR’S GUIDE STEP 3: DEVELOPING A CAPACITY STRENGTHENING PLAN PAGE 27 OF 35

ANNEX 1: ORGANIZATIONAL PROFILE

Date of Assessment: ___________________

1. Assessment facilitator (name, title, contact details): _____________________________

2. Name of organization: ________________________________________________________
3. Contact person and details: ____________________________________________________
4. Program to be assessed: _______________________________________________________
5. Organization works in the following technical areas:
□ Basic HIV prevention □ TB
□ ART □ Family planning
□ VCT □ Reproductive health
□ Home-based care □ Malaria prevention
□ PMTCT □ Malaria treatment
□ OVC □ Nutrition
□ Education □ Other: ______________________________
□ Governance

6. Target audiences:
□ General community □ MARPs—specify_____________________________
□ Adults □ PLWHA
□ Youth □ Policymakers
□ Young children □ Other: ______________________________

7. Locations:
□ Rural
□ Urban
□ Regions: ____________________________________________________

FACILITATOR’S GUIDE ANNEX 1: ORGANIZATIONAL PROFILE PAGE 28 OF 35

ANNEX 2: SAMPLE INVITATION
Dear XXX [head of organization or relevant staff],

We invite you to attend a meeting on assessing your organization’s capacity in social and behavior change communication (SBCC). A SBCC
Capacity Assessment Tool (SBCC-CAT) will be used to help your organization measure its own technical capacity and needs in SBCC. The SBCC-
CAT was designed to help health and development organizations who want to improve the design, implementation, and M&E of their SBCC
programs. After the assessment, your organization will have identified its SBCC strengths and weakness, and you will be able to use this
information to develop plans to strengthen your SBCC programs and activities.

The meeting will be facilitated by [insert name] from [insert organization and affiliation] to ensure the assessment environment is equitable and
participatory. It is important that all participants feel comfortable in contributing their opinions .The assessment will take one day about eight
hours; please find the agenda attached.

As part of the assessment, we will review certain materials related to your work on SBCC. We ask that you bring the following materials and have
them ready for review at the beginning of the assessment.

□ Data sources used to plan projects □ Pre-test materials

□ Communication strategies □ Workplans and/or implementation plans for
□ Quarterly and annual program reports communication activities
□ Creative briefs used to develop materials □ Monitoring and evaluation plans
and activities
Please bring any other documents you think will be applicable to the assessment and discussions. We would appreciate your help in identifying
the relevant management, technical, programmatic, and implementing staff who could participate in the assessment; please send us a list with
their names and position titles. We have found the participation of: management, technical, programmatic, and implementing staff to be key in the
assessment.

Your attendance and participation would be greatly appreciated. We look forward to seeing you on [insert date] at [insert time and place].

Sincerely,

[Name] [Title]

FACILITATOR’S GUIDE ANNEX 2: SAMPLE INVITATION PAGE 29 OF 35

SBCC-CAT FOR USE WITH ORGANIZATIONS

ANNEX 3: SAMPLE SBCC-CAT AGENDA

The time blocks in this sample agenda build on each other and should be conducted in order. All do not have to be completed on the same day.

8:30-9:00 Introduction to the SBCC-CAT

9:00-10:30 Assessment components 1 and 2

10:30-10:45 Morning tea break

10:45-12:15 Assessment components 3 and 4

12:15-1:00 Assessment component 5

1:00-2:00 Lunch break

2:00-3:30 Material review (break for non-participants)

3:30-4:30 Development of capacity strengthening plan

4:30-5:00 Evaluation of SBCC-CAT, results, next steps, and close

FACILITATOR’S GUIDE ANNEX 3: SAMPLE SBCC-CAT AGENDA PAGE 30 OF 35

ANNEX 4: SAMPLE SBCC-CAT SESSION PLAN
Session 1: Introduction
Facilitator: _________________________________________________
Time Step Method Materials Participants
30 min Introduction Facilitator welcomes participants and Copies of the SBCC-CAT All relevant staff
discusses the purpose of the SBCC-CAT. for all participants

Warm-up exercise (for example, Flipchart and markers

participants each light a match and talk
about themselves until it burns out.)

Discussion: facilitator asks the team to

give a general description of the current
response in their region

Facilitator reviews CAT with team.

Session 2: SBCC-CAT Components 1 and 2
Facilitator: _________________________________________________
Time Step Method Materials Participants
1.5 hours Component 1: Understanding Discussion SBCC-CAT All relevant staff
the Context through Situation
Analysis Flipchart and markers

Component 2: Focusing and Copies of the

Designing the Communication communication
Strategy strategy and other
relevant documents

FACILITATOR’S GUIDE ANNEX 4: SAMPLE SBCC-CAT SESSION PLAN PAGE 31 OF 35

SBCC-CAT FOR USE WITH ORGANIZATIONS

Session 3: SBCC-CAT Components 3 and 4

Facilitator: _________________________________________________
Time Step Method Materials Participants
1.5 hours Component 3: Creating Discussion SBCC-CAT All relevant staff
Interventions and Materials
for Change Flipchart and markers

Component 4: Implementing Copies of relevant

and Monitoring Change documents
Processes
Session 4: SBCC-CAT Component 5
Facilitator: _________________________________________________
Time Step Method Materials Participants
45 min Component 5: Evaluating and Discussion SBCC-CAT All relevant staff
Replanning
Flipchart and markers

Copies of relevant
documents

Session 5: Materials review

Facilitator: _________________________________________________
Time Step Method Materials Participants
1.5 hrs Material review Discussion of organization’s materials SBCC-CAT 1-2 staff who are
familiar with how
Flipchart and materials are used
markers within the
organization guide
Copies of requested facilitator through the
documents material review

FACILITATOR’S GUIDE ANNEX 4: SAMPLE SBCC-CAT SESSION PLAN PAGE 32 OF 35

SBCC-CAT FOR USE WITH ORGANIZATIONS

Session 6: Capacity strengthening plan

Facilitator: _________________________________________________
Time Step Method Materials Participants
1 hr Development of a capacity Participants discuss: SBCC-CAT All Relevant staff
strengthening plan • summary of SBCC-CAT findings
• action plans for change Flipchart and
• technical support and markers
training/resource needs
Copies of
requested
documents
Session 7: Evaluation of SBCC-CAT, results, next steps, and close
Facilitator: _________________________________________________
Time Step Method Materials Participants
30 min Evaluation, action points, and Facilitator draws a large curved line on the flip SBCC-CAT Relevant Staff
close chart, and participants place cards along the
line to show the level at which their Flipchart and
expectations were met markers

Participants discuss and reach consensus on

next steps

FACILITATOR’S GUIDE ANNEX 4: SAMPLE SBCC-CAT SESSION PLAN PAGE 33 OF 35

ANNEX 5: CASE STUDY—DEVELOPMENT AND USE OF THE SBCC-CAT IN NAMIBIA
An initial SBCC-CAT draft was developed in 2008 by C-Change/Namibia and C-Change partner Ohio University in response to the need for a set of
standards in SBCC programming that could be used to assess the quality of existing programs and identify gaps and areas for strengthening.

This SBCC-CAT (2008 version) was first used in a participatory session led by a C-Change facilitator that lasted nearly five hours. The assessment
team comprised managers, technical staff, and volunteers from each of the key implementing organizations in Namibia working in HIV. The
session resulted in a participatory ranking of organizational capacities and SBCC program quality. C-Change/Namibia then developed a data entry
worksheet linked to graphs that reflected scores and visually illustrated results. Baseline assessment reports described each organization’s
results and recommend areas for strengthening.

Use of SBCC-CAT Results to Strengthen Programs

Communication strategy development: Following the baseline assessments, C-Change/Namibia developed a standard SBCC-CAT communication
strategy template, conducted multiple training workshops for all partners, and provided individualized technical assistance. This process led to
the development of communication strategies for each partner’s prevention programs that included plans for behavior-related M&E. It also led to
the re-design of existing programs to ensure quality, strengthen implementation, and focus on the principal drivers of HIV.

SBCC program implementation: C-Change/Namibia then worked with partners to identify current SBCC/IEC materials related to each driver of
HIV, then held a series of workshops to train partners in their use. Partners reproduced sufficient materials for field use, trained their volunteers
and field staff, developed supervisory checklists with assistance from C-Change, and began field-level implementation.

SBCC-related M&E: To implement the new behavior-related M&E plans outlined in the communication strategies, C-Change/Namibia held a series
of workshops to develop outcome indicators, sampling plans, and three field-tested questionnaires designed to collect knowledge and attitudinal
and behavioral information related to HIV drivers. A Microsoft Access database developed for each questionnaire was installed in partner
computers and their M&E staff was trained in data collection and data entry. Prior to program implementation, partners trained their volunteers
and other field staff and collected, entered, and analyzed baseline data. Follow-up data was collected one year after implementation to determine
progress.

FACILITATOR’S GUIDE ANNEX 5: CASE STUDY PAGE 34 OF 35

ANNEX 6: RESOURCES USED TO DEVELOP THE SBCC-CAT
Following are useful resources and documents used in the development of the SBCC-CAT.

Association of Schools of Public Health. 2006. Master’s Degree in Public Health Core Competency Development Project Report. Version 2.3, October
2004–August 2006. Washington, DC: ASPH. www.asph.org/userfiles/Version2.3.pdf

Bantwana Institute. 2007. Community Assessment Tool: Providing Comprehensive OV C Care in Resource-Limited Settings. Washington, DC: John
Snow, Inc, World Education, and Bantwana Institute.

Calhoun, J., et al. 2008. Development of a core competency model for the master of public health degree. American Journal of Public Health, 98 (9),
1598–1607.

Castro, A. G. Coe, and S. Waisbord, eds. 2003. Comunicación en Salud: Lecciones Aprendidas y Desafíos en el Desarrollo Curricular. Preparado por la
Organización Panamericana de la Salud y el Proyecto CHANGE. Washington, DC: AED/Grupo Manoff

College of Nurses of Ontario. 2006. Competency Review Tool. Toronto: CNO.

International HIV/AIDS Alliance. 2008. Network Capacity Analysis: A Toolkit for Assessing and Building Capacities for High Quality Responses to
HIV. Brighton UK: The Alliance. www.aidsalliance.org/publicationsdetails.aspx?id=278

Irigoin, M., P. Tarnapol, D. Faulkner, and G. Coe. 2002. Mapping Competencies for Communication for Development and Social Change: Turning
Knowledge, Skills, and Attitudes into Action. Washington DC: The Change Project/USAID. www.comminit.com/en/node/1305

United Nations Development Program. 1997. A Synopsis of General Guidelines for Capacity Assessment and Development. New York: UNDP.

United Nations Population Fund. 2001. Communication for Development Roundtable Report: Focus on HIV/AIDS Communication and Evaluation.
New York: UNFPA.

FACILITATOR’S GUIDE ANNEX 6: RESOURCES PAGE 35 OF 35