Quick scanning matrix and process checklist

OVERVIEW

What is it?

The Quick scanning matrix and process checklist is the first of eight tools in the Toolkit for capacity development. As a starting point, this tool affords a quick overview of key aspects which can be further analysed and assessed by other tools in the toolkit. Tool 1 consists of:

• a scanning matrix to summarise and assess key capacity areas of an organisation (e.g. context factors, mandate and purpose, management, structure, vision, leadership);
• a checklist to assess specific aspects of the process of capacity development support (e.g. purpose of dialogue, desired results, design, use of results).

What can it be used for?

The tool enables preliminary identification of priority areas for action and helps in structuring and organising subsequent steps of the capacity development support/reform process.

When can it be used?

The tool is particularly relevant at early phases of interventions (policy dialogue and design). By providing an initial overview and indications of critical areas for support, it allows capacity development priorities, strengths and weaknesses, and key aspects of the planned intervention to be identified.

Who can use it?

• EU staff and relevant partners

What are its strengths?

• Helps put capacity development on the agenda in a pragmatic and concrete way (identification of priority areas and next steps in the process).
• When undertaken with partners, can be used as a self-assessment tool, boosting ownership.

What are its limitations?

• Information obtained through this preliminary exercise is, by definition, superficial and incomplete. It needs to be verified and further elaborated on based on the needs/gaps detected.

PRACTICAL APPLICATION

Key elements

The tool comprises two instruments which should be used in a participatory way:
Quick summary capacity scanning matrix. Framed as a checklist, the matrix covers eight capacity dimensions (see Table 1). Additional or alternative dimensions can be included as appropriate to the context. These dimensions are assessed in terms of their current level of and trends in development, and their strengths and weaknesses.

Table 1: Quick summary capacity scanning matrix

Process checklist. The checklist is a management tool to facilitate strategic thinking on what needs to be done and by whom (see Table 2). It includes five core capacity process aspects (purpose, desired results, design, implementation, use of results), within which specific assumptions are proposed for reflection and identification of actions.

Table 2: Process checklist for assessment of capacity

Requirements

Data/information. Preliminary knowledge of the context is very useful. The starting point is often a literature review, followed by meetings/brainstorming sessions to collect further information if needed at this stage.

Time. The tool is conceived of as a participatory set of instruments which can provide a snapshot of needs, opportunities and further steps. As such, the tool can be implemented in one or two days through participatory workshops and then analysed and used in dialogue with relevant partners to formulate concrete actions (such as capacity assessments or capacity development–oriented interventions).

Skills. The literature review can be performed in house, particularly if counterparts are partner organisations already known to the EU Delegation. Specific competencies such as facilitation skills or technical expertise in the sector/actors may be required to explore and assess stakeholders in more depth. Local expertise can bring added value through knowledge of local contexts, formal and informal actors and interests which are not always explicit.

Facilities and materials. If a participatory workshop/meeting takes place: appropriate venue, flipcharts, cards, markers, etc., will be needed.

Financial costs and sources. If external expertise is required, funds should be made available to cover the costs associated with fees (for approximately one week), travel expenses and logistics. These funds may come from the project itself or through other EC instruments such as a framework contract or a technical cooperation facility.

Tips and tricks

• Before performing the analysis, it is important to consider who should be involved (at both institutional and individual levels) to ensure sufficient in-house knowledge to obtain a good sense of the context.
• When conducting the quick summary, participants can fill out the checklist individually or in small groups and later use their individual assessments to reach a joint picture or to clarify when differences appear.
• The tool can be highly relevant in supporting dialogue processes with partners, especially during the identification and formulation phases (when support has to be translated into concrete measures). Timing is hence a crucial factor.

RESOURCES

Where to find it

The European Commission (EC), 2010. EuropeAid. Tools and Methods Series. Reference Document N. 6 Toolkit for Capacity Development

Complementary guides, methodologies and tools