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The Scaling Scan A practical tool to determine the strengths and weaknesses of your scaling ambition

Authors:

Abstract

Despite the omnipresent focus on “scaling”, its interpretation diverges a lot between and within projects. The Scaling Scan was designed to systematically deal with the complexities of scaling and tailor scaling approaches to specific contexts. Through a self-assessment tool, researchers and project leaders are able to formulate a realistic and responsible scaling ambition by identifying the challenges and opportunities that need to be addressed in order to achieve the scaling ambition.
and
The
Scaling
Scan
A practical tool to determine
the strengths and weaknesses
of your scaling ambition
The Scaling Scan
2
What is scaling?
Using the Scaling Scan
Step 1: Scaling ambition
Step 2: Scaling ingredients
Step 2: 40 Questions Step 3: Points of attention
Annex 1: Workshop agenda
Annex 2: Scaling Scan
Annex 3: Overview of tools
Annex 4: Sources
Scaling aims to increase the use of innovations
(new technologies or practices) to impact many
people. At the same time, scaling should also
lead to a sustainable system change in which
the impact remains, or even accelerates, without
further special project or donor interventions.
Successful scaling of innovations requires
that at least as much attention is paid to the
complementary non-technological requirements.
These non-technical requirements form the basis
for the Scaling Scan1, which is built around 10
“Scaling Ingredients” that each require attention
to reach a scaling ambition.
Why the Scaling Scan?
Scaling usually takes longer than the
development and testing of an innovation -
often around ten years to reach the millions
intended ‘at scale’. It is also more complex,
requiring new skills and partners as well as
signicant time and nancial investments. Yet
too often, scale is committed to without the kind
of methodical pre-assessment most investors
would require for much simpler eorts. This tool
is to:
Understand the multiple dimensions of scaling
and the signicant role non-technical factors
play in scaling
Develop more realistic scaling ambitions
Reect on and discuss (in teams) if a scaling
approach makes sense, and monitor progress
Check whether your project proposals,
implementation plans and evaluations are
“scale-proof”
Identify bottlenecks for scaling and nd
openings to tackle these bottlenecks
Approach (future) interventions with a scaling
mind-set
Who is the Scaling Scan for?
The Scaling Scan is designed for anyone involved
in pro-poor and sustainable development
programs looking to scale impact. Project
coordinators, managers and teams who direct
project resources and priorities will be those
most able to take advantage of the Scaling Scan.
However, technical experts and implementing
sta will still nd the scaling perspective useful,
especially if applied before a pilot ends
Furthermore, the Scaling Scan can be applied:
Within a range of sectors, despite being based
on experience from the agriculture and the
water sector
By individuals as well as (project) teams
By individual organizations and partnerships
What is scaling?
1] The rst version of the tool was initially aimed at Public-Private Partnerships. However, during testing, the Scaling Scan gained interest and was adapted
to a much wider audience. At the same time, considering the many ingredients necessary to build a strong scaling strategy, we still recommend to work
with (multi-stakeholder) partnerships for successful scaling. Also see Insight Series 06: Scaling through PPPs for more information on the role of PPPs in
scaling.
What is scaling?
Facilitation tip:
Apply the Scaling Scan
as part of annual project
review meetings with the
implementation team to
monitor the scalability of
the project.
The Scaling Scan
3
What is scaling?
Using the Scaling Scan
Step 1: Scaling ambition
Step 2: Scaling ingredients
Step 2: 40 QuestionsStep 3: Points of attention
Annex 1: Workshop agenda
Annex 2: Scaling Scan
Annex 3: Overview of tools
Annex 4: Sources
When?
The Scaling Scan lls the niche between having
(at least) a general idea of what should scale
where (for example when a donor requests
a proposal for adoption of a technology) and
having a detailed scaling strategy ready for
implementation.
Limits
The Scaling Scan was not designed to:
Develop a scaling strategy in itself; please use a
strategy development tool you are comfortable
with2;
Scale a project or program; it focuses on
selected scalable innovations;
Provide solutions; it only identies strengths
and weaknesses and provides hints to deal
with them to reach the scaling ambition;
Be an all-encompassing tool; Annex 3 provides
links to relevant other tools that help address
more specic elements of a scaling strategy.
Follow these three steps:
Step 1: Construct your scaling ambition
Step 2: Check the scaling ingredients
Step 3: Identify points of attention for your
scaling strategy
Each step contains tactical questions, sometimes
accompanied by a few considerations to help
you assess the scalability of your innovation.
You are encouraged to use the considerations
for reection; however, not all of them will be
applicable to your situation. Going through the
three steps is an iterative process where you
may nd that your scaling ambition needs to be
adapted after going through steps 2 or 3.
The Scaling Scan provokes discussions that
are best addressed in a moderated workshop
setting. Tips for eective facilitation appear
on the left side of the pages throughout this
document. Depending on the workshop setting
and objectives, completing the steps may take
anywhere from two hours to two days.
Annex 1 includes a suggested agenda for such
workshops. Annex 2 contains an extended
version of the Scaling Scan, including additional
considerations to help answer the tactical
questions on the scaling ingredients.
Using the Scaling Scan
2] See Annex 3 for recommended tools.
Using the Scaling Scan
The Scaling
Scan
Scaling
Strategy
Idea
for Scaling
The Scaling Scan
4
What is scaling?
Using the Scaling Scan
Step 1: Scaling ambition
Step 2: Scaling ingredients
Step 2: 40 QuestionsStep 3: Points of attention
Annex 1: Workshop agenda
Annex 2: Scaling Scan
Annex 3: Overview of tools
Annex 4: Sources
The objective of this step is to come up with a
scaling ambition that is realistic, responsible and
geared towards a sustainable system change.
The scaling ambition briey describes what
you want to scale, for whom, where, when, etc.
(Re-) clarifying these points with collaborators
is key to obtain/maintain support for what you
are trying to achieve. A clear scaling ambition
also allows you to assess the status of the 10
scaling ingredients in the subsequent steps and
to identify strong and weak points that need
attention in your scaling strategy.
Step 1a: Scaling ambition
In this step we use simple questions to
demarcate the boundaries of the system in
which we want to scale. In other words, who
and what are involved in the problem and the
solution? The more specic and focused the
boundaries are, the easier it is to develop and
implement a scaling strategy.
Step 1: Construct your scaling ambition
I want to scale…
What? Considerations:
Is it a technical, process or organizational
innovation?
Do you need to scale all components of the
technology/practice? Or is there one central
component that should be scaled?
Is there enough evidence from the pilot phase
to go to scale?
For whom? Considerations:
System change and sustainability are achieved
by people; therefore we prefer to target people
(households, organizations, etc.) rather than
hectares or other indicators.
Are you targeting end-users, consumers and/or
intermediaries?
What specic type of population are you
targeting (households, individuals, businesses,
rich/poor, women/men, age group, etc.)
Response
My innovation:
My target group is:
Good to know:
If you feel you could use
some help with answering
the questions, in Annex 3
we provide links to tools
and methods that help to
dene the scaling ambition
(step 1) and address issues
regarding the scaling
ingredients (step 2).
Step 1: Scaling ambition
The Scaling Scan
5
What is scaling?
Using the Scaling Scan
Step 1: Scaling ambition
Step 2: Scaling ingredients
Step 2: 40 QuestionsStep 3: Points of attention
Annex 1: Workshop agenda
Annex 2: Scaling Scan
Annex 3: Overview of tools
Annex 4: Sources
Response
My intervention area is:
Size of the target group aimed for:
The leading organization for scaling is/are:
The time to reach the desired scale is:
The system change we contribute to is:
3] Multi-country initiatives may require you to complete steps 1, 2 and 3 for
each country due to the dierent business climates, legislation, rules and
regulations, etc.
I want to scale…
Where? Considerations:
What boundaries are you considering?
Geographic3/ agro-ecological zone/ water
catchment/ etc.?
Are you looking at geographic expansion or
more/dierent target population in the same
geography?
How many? Considerations:
Maximum: What is the size of the potential
target group?
Minimum: What is the current adoption rate of
the innovation (up to piloting stage)?
What is a realistic target?
By whom? Considerations:
Does the organization/people that piloted the
solution have the required experience and skills
to lead the scaling process?
Who is most interested and best suited and
motivated to provide leadership in reaching the
scaling ambition (think beyond the project)?
When? Considerations:
What is a realistic timeline for achieving your
scaling ambition?
How long can you lead the scaling? Does the
leadership for scaling need to be done in
phases and handed over at some time?
Why? Considerations:
What is the larger development outcome you
aim to contribute to? Dening this is important
to enable collaboration with those contributing
to the same overarching development goal.
Step 1: Scaling ambition
The Scaling Scan
6
What is scaling?
Using the Scaling Scan
Step 1: Scaling ambition
Step 2: Scaling ingredients
Step 2: 40 QuestionsStep 3: Points of attention
Annex 1: Workshop agenda
Annex 2: Scaling Scan
Annex 3: Overview of tools
Annex 4: Sources
4] Specic, Measurable, Achievable, Realistic, Timebound
Please use all these elements on the previous
pages to construct a SMART4 scaling ambition
like this:
Does your scaling ambition contribute to wider
and sustained changes (“rules of the game”)
in the sector you are operating in? If so, what
does that change look like once you reach
scaling ambition?
From a system perspective, a realistic scenario
is that scaling of an innovation contributes to
changes in its sector. We therefore use a sector
transformation framework for looking at the wider
changes your initiative aims to contribute to.
In short, a scaling ambition doesn’t just seek
change at the individual or household level;
rather, it aims for the whole system to operate
dierently.
Good to know:
Being clear towards
which larger development
outcome you are
contributing is very
important to identify
and collaborate with
organizations that
contribute to the same
overarching development
goal.
Step 1: Scaling ambition By (time), (leading organization) wants to
facilitate increased adoption of (technology/
practice) from (current amount) to (future amount)
(target group) in (intervention area) for
(contribution to system change).
Example: By 2025 NGO X and Company Y want
to facilitate increased adoption of Zero Tillage
from 10,000 to 500,000 small farming households
(<2ha) in West Bengal for food security and reduced
poverty.
1b: System check
Introducing a new practice or technology does
not only require change at the level of the
individual farmer or household. It also implies
that organizations start oering other products
or services. In addition, it often requires changes
in attitude, norms, market rules and possibly
even in formal regulations, policies and legal
frameworks.
Awareness about
underlying (attitude,
market, policy, etc.)
problems slowly rises,
and
Some actors in
the sector initiate
innovations to address
these issues.
These separate
initiatives gain some
direction, coherence
and inuence through
groups of rst movers.
Sector stakeholders
start to cooperate as
they start to realize
the benets of the
innovations that
address the problem.
Together, stakeholders
might dene a sector-
wide vision and multi-
stakeholder initiatives
are set-up.
A level playing eld
emerges, and per-
ceived as the “new
normal” by sector
stakeholders.
Leaders in the sector
lobby for institution-
alization of this new
normal, making it part
of the legal framework
and enabling environ-
ment.
The Scaling Scan
7
What is scaling?
Using the Scaling Scan
Step 1: Scaling ambition
Step 2: Scaling ingredients
Step 2: 40 QuestionsStep 3: Points of attention
Annex 1: Workshop agenda
Annex 2: Scaling Scan
Annex 3: Overview of tools
Annex 4: Sources
1b: System check
A useful analytical framework for positioning
your scaling initiative in sector change is
provided to the right.
What changes in the sector are required in order
to reach your scaling ambition?
Points of attention regarding the system check:
Please indicate in which phase your scaling
initiative starts and where you aim to reach
within the timeline described under 1a.
Time
1. Inception 2. First movers 3. Critical Mass 4. Institutionalization
% sector tranformation
©NewForesight Consultancy BV
Step 1: Scaling ambition
1. Inception 2. First movers 3. Critical Mass 4. Institutionalization
The Scaling Scan
8
What is scaling?
Using the Scaling Scan
Step 1: Scaling ambition
Step 2: Scaling ingredients
Step 2: 40 QuestionsStep 3: Points of attention
Annex 1: Workshop agenda
Annex 2: Scaling Scan
Annex 3: Overview of tools
Annex 4: Sources
1c: Responsibility check
Scaling often calls for large changes which
may have wide implications for society and the
environment, both positive and negative.
For example, while an irrigation project may
benet specic farmers, others in the community
might suer from lower water availability or
higher pollution levels in the long term. We have
the moral obligation to justify to the people
aected by the innovation why scaling is “good”
for them or society. In the above example, this
means explaining the benet of scaling not only
to the irrigation farmers, but also to shermen,
the people that drink the water, etc. After all, all
of these groups can be aected by an innovation
that fails to produce its intended impacts or
unintentionally produces negative ones.
We therefore challenge you to assess the impact
of reaching the scaling ambition (and beyond the
geographic, social and time boundaries set by
the project) and the associated risks.
Social responsibility
Gender and age equality:
Do women, men, young and elder people
equally benet from and have access to
resources and opportunities?
Inclusiveness:
Are certain groups (based on ethnicity, religion,
economic status, with disabilities, etc.) be
excluded from any or all benets?
Are those aected by the technology included in
decisions about the scaling pathway and whether
or not the intended impacts constitute success?
Power equity:
Who are the winners, and who are the losers, when
the new innovation is adopted at a large scale?
If the project provides exclusive advantages or
power to certain players (e.g. monopoly to a
certain service provider), how can this be justied?
Resilience:
Is it possible for the target group to easily
reverse adoption if not satised with the
results, or is the project displacing alternatives?
What is the cost of failure, and who will bear it?
Potential negative side eects
Step 1: Scaling ambition
The Scaling Scan
9
What is scaling?
Using the Scaling Scan
Step 1: Scaling ambition
Step 2: Scaling ingredients
Step 2: 40 QuestionsStep 3: Points of attention
Annex 1: Workshop agenda
Annex 2: Scaling Scan
Annex 3: Overview of tools
Annex 4: Sources
Environmental responsibility
Use of resources:
Will the scaling of the project aect the
availability of important natural resources, such
as water and land?
Quality of resources:
Will the scaling of the project change the quality
of important natural resources, such as water,
biodiversity and land?
Climate change:
Will the scaling of the project worsen climate
change by increasing CO2 and other gases in
the atmosphere?
Potential negative side eects
Note down points of attention
Points of attention, Responsibility check:
Now, write down your (revised) scaling ambi-
tion, considering the points of attention for
system and responsibility dimensions.
Overall results step 1:Points of attention, System check:
Step 1: Scaling ambition
Business
Cases
Finance
Value
Chain
Collaboration
Public Sector
Governance
Leadership and
Management
Awareness
and Demand
Knowledge
and Skills
Evidence
and Learning
Technology / Practice
The Scaling Scan
10
What is scaling?
Using the Scaling Scan
Step 1: Scaling ambition
Step 2: Scaling ingredients
Step 2: 40 QuestionsStep 3: Points of attention
Annex 1: Workshop agenda
Annex 2: Scaling Scan
Annex 3: Overview of tools
Annex 4: Sources
Now that your scaling ambition is well dened
and rmed-up by a system and responsibility
check, it is time to assess whether your approach
to scaling is adequate to achieve the ambition.
This is done by looking at the scaling ambition
from the perspective of 10 scaling ingredients5.
The ingredients represent 10 dierent elds of
expertise that need attention in order for scaling
to be successful.
The following logic proved useful for most
projects where the Scaling Scan was tested.
Technology/Practice - An eective and ecient
solution for the issue at stake
Awareness and Demand - A wish and readiness
for the consumer or producer to use the
solution
Business Cases - Attractive nancial/economic
propositions for users and other actors to
respond to the demand
Value Chain - Eective links between actors to
pursue their business cases
Finance - Eective nancing options for users
and other value chain actors
Knowledge and Skills - Capacities at individual
and institutional level to use, adapt and promote
the innovation
Collaboration - Strategic collaboration within
and beyond the sector to scale the innovation
Evidence and learning - Evidence and facts
underpin and help gain support for the scaling
ambition
Leadership and Management - Eective
coordination and navigation of the scaling
process
Public Sector Governance – Government
support to reach the scaling ambition
Step 2: Checking the scaling ingredients
Good to know:
The analogy with ingredients
is made because:
The right mix or preferred
taste depends on the
context;
Each ingredient adds avor
to another ingredient; and
Before cooking, one makes
an inventory of what
ingredients are already in
the cupboard (of the project)
and which ones need to be
bought and at what store
(other actors).
5] The framework of 10 scaling ingredients is based on a literature review,
research and interviews with development practitioners and thought
leaders between 2015 and 2017. For more information on the 10 scaling
ingredients, please read PPPLab’s Explorations 4 or Insight Series 6.
Step 2: Scaling ingredients
Inputs Production Processing Marketing Consuming
Value Value Value Value
The Scaling Scan
11
What is scaling?
Using the Scaling Scan
Step 1: Scaling ambition
Step 2: Scaling ingredients
Step 2: 40 QuestionsStep 3: Points of attention
Annex 1: Workshop agenda
Annex 2: Scaling Scan
Annex 3: Overview of tools
Annex 4: Sources
Each scaling ingredient includes four questions
that probe into the key drivers for reaching scale
within that domain.
Each question should be scored on a scale
from 1 (No, not at all) to 5 (Yes, denitely)
to represent your level of condence for
reaching your scaling ambition.
Scoring levels include:
1: No, this is very uncertain OR not enough
information to answer
2. Serious doubts
3: Some doubts/unsure
4: Quite condent
5: Yes denitely, this is not an issue for my
scaling case OR not applicable
Next, you will nd the 40 questions for the 10
scaling ingredients. We strongly recommend that
you download the Excel version here because it
will automatically generate a bar chart with the
results.
Excel les, or their equivalent in Google Sheets6,
permit multiple project members to ll in their
scores and obtain a collective result. They also
allow for easy sharing and saving of the results.
Annex 2 gives a more elaborate version of the
questions where each question is accompanied
by a few considerations that may help you reect
better on your answer. Some considerations
might provoke you to look at the question from
an unexpected angle, and some might not be
relevant to you. In Annex 2 is also space to
expand upon your answer. This is especially
important when you use the tool with a team
and/or when you use it as an annual review
exercise.
6] If you go to https://sheets.google.com you can upload the Excel version
of the Scaling Scan for online use. This permits multiple team members to
work in the same le at the same time, providing the opportunity to discuss
team results straight away.
Good to know:
How did we dene the dierence between the
ingredients “value chain” and “business case”?
A value chain refers to the full lifecycle of the
technology or practice that is to be scaled,
including material sourcing, production,
processing and consumption/use by the end-
user. Dierent actors along this value chain
(often but not necessarily businesses) each
add value to the technology/practice through
various processes to (1) create a nished end
product and (2) sell the nished innovation to
the end-user.
A business case captures the reasoning for
actors along the value chain to produce and
supply the technology/practice. All (business)
actors will ask themselves: Can I earn from
this activity? The business cases involves the
economic and nancial proposition for each
actor along the value chain.
Step 2: Scaling ingredients
The Scaling Scan
12
What is scaling?
Using the Scaling Scan
Step 1: Scaling ambition
Step 2: Scaling ingredients
Step 2: 40 QuestionsStep 3: Points of attention
Annex 1: Workshop agenda
Annex 2: Scaling Scan
Annex 3: Overview of tools
Annex 4: Sources
1. Technology / Practice
1. Is your innovation relevant
to your target group?
Score (1-5):
2. Does the innovation have a
comparative advantage over
existing alternatives?
Score (1-5):
3. Is the innovation easy to
adopt?
Score (1-5):
4. Is the innovation compatible
with local circumstances and
preferences?
Score (1-5):
Average Score:
Observations:
2. Awareness and demand
1. Do important stakeholders
recognize that a new
technology/practice is
necessary and desirable?
Score (1-5):
2. Does the target group have
access to information about
the innovation and are there
eective communication
channels?
Score (1-5):
3. Do you have evidence that
demand for the innovation
is real and growing as
anticipated?
Score (1-5):
4. Can you distinguish
segments of the target group
for eective marketing of the
innovation?
Score (1-5):
Average Score:
Observations:
3. Business cases
1. Are there viable business
cases for the technology/
practice for all actors along
the value chain?
Score (1-5):
2. Is enough information
available to continue
developing and sharpening
business cases for the
technology/practice?
Score (1-5):
3. Do all value chain actors
have a genuine interest
to continue and improve
the supply and use of the
technology/practice?
Score (1-5):
4. Is the business climate
conducive to the business
cases of all actors?
Score (1-5):
Average Score:
Observations:
4. Value chain
1. Can the value chain provide/
enable the technology/
practice with the right quality,
in the right quantity, and in a
timely manner?
Score (1-5):
2. Are relations between the
various actors in the chain
adequately developed?
Score (1-5):
3. Is the overall performance
of the value chain conducive
to scaling?
Score (1-5):
4. Are the target group and
other value chain actors
adequately organized?
Score (1-5):
Average Score:
Observations:
5. Finance
1. Can the target group
nance the investment in, and
operation of, the innovation?
Score (1-5):
2. Are relevant nancial
mechanisms available,
accessible, and aordable for
all value chain actors?
Score (1-5):
3. Are nancial risks
acceptable for value
chain actors and nancial
institutions/investors?
Score (1-5):
4. Is there sucient and
sustainable funding secured
so that the scaling ambition
can be achieved?
Score (1-5):
Average Score:
Observations:
The Scaling Scan
Score referrals:
1 = No, this is very uncertain
OR not enough
information to answer
2 = Serious doubts
3 = Some doubts/unsure
4 = Quite condent
5 = Yes denitely, this is not
an issue for my scaling
case OR not applicable
Step 2: Scaling ingredients
0.0
0.0
0.0
0.0
0.0
The Scaling Scan
13
What is scaling?
Using the Scaling Scan
Step 1: Scaling ambition
Step 2: Scaling ingredients
Step 2: 40 QuestionsStep 3: Points of attention
Annex 1: Workshop agenda
Annex 2: Scaling Scan
Annex 3: Overview of tools
Annex 4: Sources
6. Knowledge and skills
1. Does the target group have
the necessary knowledge and
skills to use the innovation in
the intended way?
Score (1-5):
2. Are training materials and
methods available to allow the
target group and other value
chain actors to adopt and
promote the innovation?
Score (1-5):
3. Are the right actors engaged
to provide and improve the
training programs necessary
for sustainable adoption of
the innovation?
Score (1-5):
4. Is there an institutional
environment in which actors
(such as knowledge institutes)
develop and improve the
technology/practice within the
national and local system?
Score (1-5):
Average Score:
Observations:
7. Collaboration
1. Are all actors relevant
to scaling the innovation
engaged?
Score (1-5):
2. Are roles and
responsibilities of key
actors clear, accepted, and
complementary?
Score (1-5):
3. Are there eective networks
or (sector) platforms for joint
strategic direction-setting,
advocacy, and creating buy-in?
Score (1-5):
4. Do you have eective links
with parallel initiatives or policy
processes that could serve to
scale the innovation?
Score (1-5):
Average Score:
Observations:
8. Evidence and learning
1. Is there useful and credible
data available on the impact
and other parameters, which
could help in understanding
the scaling process?
Score (1-5):
2. Is eective use being made
of modern data and IT tools to
support, analyze, share, and
promote the innovation and to
drive the change process?
Score (1-5):
3. Are data and monitoring
(including bottom-up/eld
data) eectively being used to
steer the scaling process and
change course where needed?
Score (1-5):
4. Are you enabling
institutional learning so the
scaling process becomes more
sustainable?
Score (1-5):
Average Score:
Observations:
9.
Leadership & management
1. Is day-to-day leadership of
the scaling process adequately
established, recognized, and
connected to the relevant
actors?
Score (1-5):
2. Are dierent actors and
stakeholders suciently
aecting the larger process
and decision-making?
Score (1-5):
3. Are there adequate,
inuential and compelling
spokespersons, messengers,
conveners and power brokers
for the innovation?
Score (1-5):
4. Does the leadership support
internal and external change
management processes
to achieve organizational/
institutional changes required?
Score (1-5):
Average Score:
Observations:
10. Public sector governance
1. Is the role of the
government in reaching
your scaling ambition clearly
dened?
Score (1-5):
2. Are local and national
strategies, policies and
regulations conducive to
scaling the technology/
practice?
Score (1-5):
3. Are government agencies
actively supporting scaling the
innovation?
Score (1-5):
4. Are relevant government
nancing mechanisms (such
as subsidies or taris) smart
and can they be applied to
benet scaling the innovation?
Score (1-5):
Average Score:
Observations:
Score referrals:
1 = No, this is very uncertain
OR not enough
information to answer
2 = Serious doubts
3 = Some doubts/unsure
4 = Quite condent
5 = Yes denitely, this is not
an issue for my scaling
case OR not applicable
Step 2: Scaling ingredients
0.0
0.0
0.0
0.0
0.0
The Scaling Scan
14
What is scaling?
Using the Scaling Scan
Step 1: Scaling ambition
Step 2: Scaling ingredients
Step 2: 40 QuestionsStep 3: Points of attention
Annex 1: Workshop agenda
Annex 2: Scaling Scan
Annex 3: Overview of tools
Annex 4: Sources
Overall results step 2
Draw your bar chart with the average score per ingredient
here, or copy–paste it from the Excel version of the tool7.
5
4
3
2
1
Technology /
Practice
Awareness
& Demand
Business
cases
Value
Chain Finance
Knowledge
& Skills Collaboration
Evidence
& learning
Leadership &
Management
Public
Sector
Governance
Did you have enough information or
knowledge to give a satisfactory answer
to all the questions? If not, please note
down where you need to do more
research.
7] The Excel version of the Scaling Scan can be downloaded at
https://ppplab.org/topic/scaling/
Step 2: Scaling ingredients
Based on this, write down the 3-5 key challenges
for reaching your scaling ambition:
The Scaling Scan
15
What is scaling?
Using the Scaling Scan
Step 1: Scaling ambition
Step 2: Scaling ingredients
Step 2: 40 QuestionsStep 3: Points of attention
Annex 1: Workshop agenda
Annex 2: Scaling Scan
Annex 3: Overview of tools
Annex 4: Sources
This step involves interpreting the results of step
2 and prioritizing what should be addressed in
the scaling strategy.
3a: Interpretation of results Step 2
Have a look at the bar chart from step 2. Please
reect on the following:
If the average scores are generally high (>3),
you are optimistic that you will reach your
scaling ambition in the given time and place.
You may be well prepared to go to scale and/or
operate in a conducive enabling environment.
Or, you might want to be more ambitious in
setting your targets and boundaries.
Similarly, if the average scores are generally
low (<3), you may have to overcome several
challenges to reach your scaling ambition, if it is
not too ambitious in the rst place.
3b: Key challenges
Look at the three lowest scoring ingredients.
What particular questions scored lowest? Why
do you think this question might make reaching
your scaling ambition dicult? Reading through
the “considerations” of those questions might
help you.
What other questions stood out for you? Do
they stand out because they scored very low,
or because they are very important in your
context?
Step 3: Identify points of attention for your scaling strategy
Facilitation tip 1:
If you worked in a team where the bar chart
represents the average assessment score of several
people, please check which questions had the most
divergent scores.8 Discuss with the team where you
disagreed most and where everybody seemed to
agree. Can any more challenges for your scaling
ambition be derived from this?
Facilitation tip 2:
When a problem presents itself, there is a tendency
for people to keep working on what they are already
doing without seeing that the biggest problem might
be somewhere else. It is like working on a very good
engine for a car that has only three wheels. This
principle of the weakest link can be visualized by
having workshop participants draw a barrel. The
lowest scoring ingredient represents the lowest stave
where the water leaks out of. Hence, in this gure
it is more important to include activities to improve
the Finance situation than to keep on tweaking the
Technology/Practice.
8] Experienced users of Excel might want to use the option to add the
standard deviation to the bar chart to see the deviations from the mean.
Step 3: Points of attention
Well-prepared to scale, conducive enabling
environment. Can be more ambitious?
Signicant challenges to reach ambition.
Too ambitious?
5
4
3
2
1
Adapted from Sartas et al., 2017
The Scaling Scan
16
What is scaling?
Using the Scaling Scan
Step 1: Scaling ambition
Step 2: Scaling ingredients
Step 2: 40 QuestionsStep 3: Points of attention
Annex 1: Workshop agenda
Annex 2: Scaling Scan
Annex 3: Overview of tools
Annex 4: Sources
Good to know:
Depending on your scaling
ambition, you might
want to collaborate with
stakeholders that have the
following characteristics:
Large geographic coverage
Large reach among the
target group
Vision, mission and/or
other incentives aligned
with the project objective
Strong inuence,
convening and convincing
capacity in sector
Strong technical capacity,
representing state-of-the-
art in the sector
Complementary skills,
knowledge and experience
to the project leadership
3c: Key elements of the scaling strategy
You have identied key challenges that
cannot be ignored. Tackling them should be
an important part of your strategy to reach
your scaling ambition. In this Step 3c we are
going to assess the strengths of the project,
the landscape for collaboration and the
opportunities and limitations the context oers.
We will summarize this in the Table below.
1. Using strengths: The scaling ingredients
aect each other, just like ingredients in a soup
do. Let’s see if you can benet from the following
exercise:
Examine (at least) the 2-3 strongest ingredients
and assess what is going particularly well with
these ingredients. How can the strengths from
one ingredient contribute to tackling the key
challenges identied in other ingredients?
Strong ingredient 1: Strong ingredient 2: Strong ingredient 3:
Step 3: Points of attention
The Scaling Scan
17
What is scaling?
Using the Scaling Scan
Step 1: Scaling ambition
Step 2: Scaling ingredients
Step 2: 40 QuestionsStep 3: Points of attention
Annex 1: Workshop agenda
Annex 2: Scaling Scan
Annex 3: Overview of tools
Annex 4: Sources
2. Dealing with challenges: Please ll
the Table with activities that should be
part of your strategy to overcome the
key challenges. Consider actions in three
degrees of control/inuence:
Project control: Consider current human
and nancial resources, the strengths of
the initiative and things that the project
can do.
Collaboration: Broker relationships
with organizations and support them in
achieving the desired change. See the box
“Good to know - good partners for scaling.”
No inuence: Although often neglected,
many key challenges for scaling often fall
outside the project’s sphere of inuence,
such as natural disasters or political
unrest.
Summary results step 3
YES, then make sure that the
key challenges and associated
activities to overcome them
become the core of your imple-
mentation strategy. Good luck!
NO, then review your scaling
ambition so that it ts the hu-
man and nancial resources,
context and landscape for col-
laboration.
MAYBE, then you may want to
review your scaling ambition
and/or assess whether you
might benet from more
specialized tools designed to
deal with particular challenges.
Annex 3 gives an overview of
recommended tools for each
ingredient. What tools would
you like to explore?
Are you condent you can reach your scaling ambition?
If your answer is:
Key challenges (Step 3b)
Project control
What can the project team
and consultants do?
Collaboration
What can collaboration with
others do?
No inuence
Factors on which the
project and partners have
no/little inuence
Step 3: Points of attention
The Scaling Scan
18
What is scaling?
Using the Scaling Scan
Step 1: Scaling ambition
Step 2: Scaling ingredients
Step 2: 40 QuestionsStep 3: Points of attention
Annex 1: Workshop agenda
Annex 2: Scaling Scan
Annex 3: Overview of tools
Annex 4: Sources
Annex 1: Suggested workshop agenda for using the Scaling Scan
Scenario 1 - Beginners:
Group of project sta and collaborators
(10-20) that may not necessarily have
the authority to change project direction
and priorities. They work in their specic
eld of expertise and might not be very
familiar with elds of expertise other
than their own.
Scenario 2 - Quick advanced:
The same group as under scenario 1,
but this is not the rst time they have
used the Scaling Scan - for example, they
are using it at annual review meetings.
Alternatively, it is a small group (1-5)
that has very little time and just wants to
do a rapid scan. They will use the Rapid
Scaling Scan from
Annex 2.
Scenario 3 - Advanced:
Advanced group with people (5-10) that
are familiar with scaling principles and
have a good understanding of the elds
of expertise covered by the scaling ingre-
dients. In addition, they have knowledge
and control over the project resources
and all activities. If this is not the case,
please take more time; for example, in
Step 2 explain the content of each ingre-
dient in more detail, or go through the
questions and considerations together
as a group.
Topics
Intro
and participants
Intro to scaling
Step 1a:
Scaling ambition
Step 1b and 1c:
System and
responsibility check
Step 2:
Scaling ingredients
Step 3:
Points of attention
Closing:
Lessons learned
Scenario 1 - Beginners 11 hours
60 min Overview of expertise and roles
represented in the room, ice-
breakers, etc.
60 min PPT, discussions, visualizations
180 min Guide participants through, explain
with PPT each sub-question
60 min Focus on understanding of system
dimension and trade-os
120 min Introduce each ingredient, support
by answering questions. Draw
barrel
120 min Explain each step in detail. Explain
other tools (Annex 3)
60 min Agreements on follow up. Discuss
relevance of tool
Scenario 2 - Quick advanced, 2 hours
2 min
8 min Review of key principles
20 min Annex 2,
review scaling ambition
20 min Annex 2
30 min Annex 2:
Score ingredients only
30 min Annex 2
10 min Discuss if necessary to do full
Scaling Scan again
Scenario 3 - Advanced, 6.5 hours
15 min Overview role/expertise
participants in project
30 min PPT and discussion
120 min Overview role/expertise
participants in project
60 min
90 min Individual or groups start
answering questions without
support
60 min
15 min Agreements on follow up
Annex 1: Workshop agenda
The Scaling Scan
19
What is scaling?
Using the Scaling Scan
Step 1: Scaling ambition
Step 2: Scaling ingredients
Step 2: 40 QuestionsStep 3: Points of attention
Annex 1: Workshop agenda
Annex 2: Scaling Scan
Annex 3: Overview of tools
Annex 4: Sources
Annex 2: Scaling Scan
Annex 2: the Scaling Scan (extended version)
This annex contains a more elaborate version
of the ingredients and questions from Step 2.
Here, each question is accompanied by a few
considerations that may help you reect better
on your answer and perhaps help you approach
the questions from a dierent angle.
The considerations are based on extensive
literature and case analysis. Next to scoring the
questions, there is also space to expand upon
your answer. This is especially important when
you use the tool with a team and/or when you
use it as an annual review exercise.
In addition, we like you to refer to the Excel
version of the tool which permits multiple
project members to fill in their scores and
obtain a collective result. The Excel document
can be downloaded here: https://tinyurl.com/
ydaudzbs
1.2 score:
1.3 score:
1.1 score:
1.4 score:
Average:
The Scaling Scan
20
What is scaling?
Using the Scaling Scan
Step 1: Scaling ambition
Step 2: Scaling ingredients
Step 2: 40 QuestionsStep 3: Points of attention
Annex 1: Workshop agenda
Annex 2: Scaling Scan
Annex 3: Overview of tools
Annex 4: Sources
Score referrals:
1 = No, this is very uncertain OR not
enough information to answer
2 = Serious doubts
3 = Some doubts/unsure
4 = Quite condent
5 = Yes denitely, this is not an
issue for my scaling case OR
not applicable
1.1 Is your innovation relevant to your
target group?
Considerations:
The target group is well-dened. You know who is, and
who is not targeted
The problem of the target group is well-dened, important
and still up to date
• The innovation directly addresses the problem
1.2 Does the innovation have a comparative
advantage over existing alternatives?
Considerations:
The innovation has signicant, observable advantages
over alternative technologies/practices that address the
same problem of the target group
Sound evidence from respected institutions/persons on
the innovation’s benets is available.
The majority of the target group that piloted the
innovation is convinced of the comparative advantages
1.3 Is the innovation easy to adopt?
Considerations:
The innovation is available to the entire target group
(adequate supply)
The innovation is accessible to the entire target group
The innovation is aordable for the entire target group
After adoption, users can easily go back to the technology/
practice they used before
1.4 Is the innovation compatible with local
circumstances and preferences?
Considerations:
Proof exists that local perceptions of the innovation are
favorable
The technology/practice can easily be modied to local
environmental and social circumstances
The technology/practice can be experienced, tested, and
discussed with other users (peer-to-peer) for obtaining
(social) credibility
• The innovation directly addresses the problem
Technology / Practice
Answers/analysis
Annex 2: Scaling Scan
0
2.2 score:
2.1 score:
2.3 score:
2.4 score:
Average:
The Scaling Scan
21
What is scaling?
Using the Scaling Scan
Step 1: Scaling ambition
Step 2: Scaling ingredients
Step 2: 40 QuestionsStep 3: Points of attention
Annex 1: Workshop agenda
Annex 2: Scaling Scan
Annex 3: Overview of tools
Annex 4: Sources
2.1 Do important stakeholders recognize that a new
technology/practice is necessary and desirable?
Considerations:
The target group recognizes that a new technology/
practice is necessary
Other relevant stakeholders, such as value chain actors
and policy makers recognize that a (new) solution to the
problem should be tried
2.2 Does the target group have access to information
about the innovation and are there eective
communication channels?
Considerations:
Relevant information regarding the innovation is
accessible to the target group
There are eective communication channels that can
reach the target group and update information if
necessary
Local opinion leaders support and promote the
innovation
2.3 Do you have evidence that demand for the
innovation is real and growing as anticipated?
Considerations:
The target group is actively demanding suppliers, local
leaders and others for access to the innovation
The target group is willing to pay for the innovation
Among all problems of the target group, the innovation is
addressing a priority problem
2.4 Can you distinguish segments of the target group
for eective marketing of the innovation?
Considerations:
You know which parameters are relevant to distinguish
segments in the target group
Relevant characteristics of each segment of the target
population are clear and useful for eective targeting
Marketing channels are adjusted to each segment of the
target group
Awareness and demand
Answers/analysis
Score referrals:
1 = No, this is very uncertain OR not
enough information to answer
2 = Serious doubts
3 = Some doubts/unsure
4 = Quite condent
5 = Yes denitely, this is not an
issue for my scaling case OR
not applicable
Annex 2: Scaling Scan
0
3.1 score:
3.2 score:
3.3 score:
3.4 score:
Average:
The Scaling Scan
22
What is scaling?
Using the Scaling Scan
Step 1: Scaling ambition
Step 2: Scaling ingredients
Step 2: 40 QuestionsStep 3: Points of attention
Annex 1: Workshop agenda
Annex 2: Scaling Scan
Annex 3: Overview of tools
Annex 4: Sources
3.1 Are there viable business cases for the technology/
practice for all actors along the value chain?
Considerations:
All value chain actors (e.g. farmers, service providers and
agribusinesses) benet from promoting the innovation
Note: this benet can be more than just prot it can also
provide economic, social (status/ respect in community) and
environmental benet
3.2 Is enough information available to continue
developing and sharpening business cases for the
technology/practice?
Considerations:
Critical information for any business case involves at least:
Competitiveness of proposition
Demand/supply analyses • Cost/benet analyses
Market size and segments • Risks
3.3 Do all value chain actors have a genuine interest
to continue and improve the supply and use of the
technology/practice?
Considerations:
Improvement of supply and use of the technology/practice
matches the vision and mission of each actor
Value chain actors intensify the supply and use of the technology/
practice independent from project support
Value chain actors replicate the business model to other clients,
geographies and target groups
Value chain actors are investing own resources in improving the
technology/practice, for example to make it more context-specic
3.4 Is the business climate conducive to the business
cases of all actors?
Considerations:
The business cases are robust enough to withstand potential
market price uctuations or other risks that might aect the
attractiveness of the business cases
Eects of crowding-in and competition will not directly aect
the business cases in a negative way
There is adequate regulation and governance of the market
(e.g. on technical and business related matters) for value chain
actors to pursue their business cases
Business cases
Answers/analysis
Score referrals:
1 = No, this is very uncertain OR not
enough information to answer
2 = Serious doubts
3 = Some doubts/unsure
4 = Quite condent
5 = Yes denitely, this is not an
issue for my scaling case OR
not applicable
Annex 2: Scaling Scan
0
4.1 score:
4.2 score:
4.3 score:
4.4 score:
Average:
The Scaling Scan
23
What is scaling?
Using the Scaling Scan
Step 1: Scaling ambition
Step 2: Scaling ingredients
Step 2: 40 QuestionsStep 3: Points of attention
Annex 1: Workshop agenda
Annex 2: Scaling Scan
Annex 3: Overview of tools
Annex 4: Sources
4.1 Can the value chain provide/enable the technology/practice
with the right quality, in the right quantity, and in a timely
manner?
Considerations:
Quality may be assured through standards, certication or other
agreements
Supply can keep up with demand at all times
The necessary enabling and complementary services are available,
accessible and aordable for the technology/practice to work
4.2 Are relations between the various actors in the chain
adequately developed?
Considerations:
There are adequate (business to business) relations and transactions
between all actors (from inputs to retailers) in the value chain
There is an adequate power balance between all actors in the value chain
There is a form of overarching (in-) formal governance of the value chain
4.4 Is the overall performance of the value chain conducive to
scaling?
Considerations:
The value chain has growth potential, it has a good reputation and is at-
tractive to investors and job seekers (skilled and unskilled) for example
The necessary (rural) infrastructure (e.g. roads and markets) is in place and
expanding to meet future needs
The development of the value chain is not limited by trade barriers, market
distortions (e.g. large scale fraud) or other contextual factors
The value chain is suciently ecient and competitive in comparison with
other value chains (nationally and internationally as far as relevant)
4.4 Are the target group and other value chain actors
adequately organized?
Considerations:
The target group is organized in formal and informal ways such as
farmer organizations, cooperatives, business associations, etc.
Through (formal and informal) organization of value chain actors,
input provision, marketing, access to services and bargaining power are
beneting from ‘economies of scale’
There is sucient degree of organization/coordination across dierent
types of value chain actors for adequate strategic direction and joint
priority setting
Value chain
Answers/analysis
Score referrals:
1 = No, this is very uncertain OR not
enough information to answer
2 = Serious doubts
3 = Some doubts/unsure
4 = Quite condent
5 = Yes denitely, this is not an
issue for my scaling case OR
not applicable
Annex 2: Scaling Scan
0
5.1 score:
5.2 score:
5.3 score:
5.4 score:
Average:
The Scaling Scan
24
What is scaling?
Using the Scaling Scan
Step 1: Scaling ambition
Step 2: Scaling ingredients
Step 2: 40 QuestionsStep 3: Points of attention
Annex 1: Workshop agenda
Annex 2: Scaling Scan
Annex 3: Overview of tools
Annex 4: Sources
5.1 Can the target group nance the investment in, and
operation of, the innovation?
Considerations:
The target group can aord the innovation with their own means or
with aordable external sources of nance (such as micro-nance)
The target group does not require subsidies / grants or other forms of
nancial support on which the target group remains dependent in the
long term
The target group can aord inputs and services related to operating the
innovation in the intended way
5.2 Are relevant nancial mechanisms available, accessible, and
aordable for all value chain actors?
Considerations:
Financial mechanisms are adequately designed (e.g short repayment
periods and low interest rates) and available for the target group
The target group can get support in understanding and accessing
nancial products
Relevant nancial products are aordable and sustainable for all value
chain actors
Financial institutions are interested and engaged to (nancially) support
the value chain of the innovation
5.3 Is there sucient and sustainable funding secured so that
the scaling ambition can be achieved?
Considerations:
There is a clear vision on long-term funding of the scaling initiative,
within and beyond the project lifetime
Leadership of the scaling process actively raises funds to support the
anticipated system change
5.4 Are nancial risks acceptable for value chain actors and
nancial institutions/investors?
Considerations:
Financial institutions perceive the target group and value chain actors
as creditworthy (e.g. applicant has collateral, performs well and is
nancially literate)
• Financial risks for value chain actors are clear and considered workable
Financial products are available that can absorb or mitigate risks, such as
guarantees or insurance products or in other ways
There are ways to suciently enforce contract rights for all parties and
arrange dispute settlement through the judiciary system or otherwise.
Finance
Answers/analysis
Score referrals:
1 = No, this is very uncertain OR not
enough information to answer
2 = Serious doubts
3 = Some doubts/unsure
4 = Quite condent
5 = Yes denitely, this is not an
issue for my scaling case OR
not applicable
Annex 2: Scaling Scan
0
6.1 score:
6.2 score:
6.3 score:
6.4 score:
Average:
The Scaling Scan
25
What is scaling?
Using the Scaling Scan
Step 1: Scaling ambition
Step 2: Scaling ingredients
Step 2: 40 QuestionsStep 3: Points of attention
Annex 1: Workshop agenda
Annex 2: Scaling Scan
Annex 3: Overview of tools
Annex 4: Sources
6.1 Does the target group have the necessary knowledge and
skills to use the innovation in the intended way?
Considerations:
The target group knows how the innovation should be used
The target group has the necessary skills to use it
- The target group can assess relevant background information
6.2 Are appropriate training materials and methods available to
allow the target group and other value chain actors to adopt
and promote the innovation?
Considerations:
Training materials and methods are available that help the entire target
group adopt the innovation
Training materials and methods are available that help all actors along
the value chain promote the innovation
Training materials and methods for the target group and other
actors include topics that support adoption and promotion, such as
organizational development, monitoring and learning, nancial literacy,
adult education, etc.
6.3 Are the right actors engaged to provide and improve the
training programs necessary for sustainable adoption of the
innovation?
Considerations:
The actors supporting capacity building are those that have the mandate
and self-interest to implement and adapt the training curriculum
The knowledge on the innovation is incorporated in programs of relevant
knowledge/educational institutes
Such programs support its practical application, also beyond the project
6.4 Is there an institutional environment in which actors (such as
knowledge institutes) develop and improve the technology/
practice within the national and local system?
Considerations:
Specialized local knowledge institutes can continue the development of
the innovation
Specialized local knowledge institutes can tailor the innovation to the
local context
(Non-) government organizations make resources available for contin-
ued development of the innovation in the local context
Knowledge and skills
Answers/analysis
Score referrals:
1 = No, this is very uncertain OR not
enough information to answer
2 = Serious doubts
3 = Some doubts/unsure
4 = Quite condent
5 = Yes denitely, this is not an
issue for my scaling case OR
not applicable
Annex 2: Scaling Scan
0
7.1 score:
7.2 score:
7.3 score:
7.4 score:
Average:
The Scaling Scan
26
What is scaling?
Using the Scaling Scan
Step 1: Scaling ambition
Step 2: Scaling ingredients
Step 2: 40 QuestionsStep 3: Points of attention
Annex 1: Workshop agenda
Annex 2: Scaling Scan
Annex 3: Overview of tools
Annex 4: Sources
7.1 Are all actors relevant to scaling the innovation engaged?
Considerations:
The combination of the actors engaged is suciently complementary
and does not leave major capacity gaps to achieve the scaling ambition
The combination of actors engaged enables sustainability and further
development of the innovation to t the needs of the target group
There is sucient t with the values, drivers, and objectives of all key
actors that are involved in scaling the innovation
Collaborating actors can operate at scale (e.g. they have and adequate/
suciently sizable reach, constituency, inuence)
7.2 Are roles and responsibilities of key actors clear, accepted,
and complementary?
Considerations:
The roles and responsibilities are suciently established and agreed to
allow adequate progress
There are mechanisms in place to hold collaborators accountable, solve
conicts and attribute successes
All collaborating partners are engaged in a meaningful way
7.3 Are there eective networks or (sector) platforms for joint
strategic direction-setting, advocacy, and creating buy-in?
Considerations:
The sector networks or platforms are needs based, inclusive of all
relevant actors and consider the innovation relevant
Without forcing consensus they produce meaningful joint understand-
ing, direction and priority setting to propel the scaling process
There are mechanisms through which joint lobbying for the innovation
with politicians, policy makers, etc. can take place
7.4 Do you have eective links with parallel initiatives or policy
processes that could serve to scale the innovation?
Considerations:
There are parallel initiatives which can be conducive and are comple-
mentary to your scaling eort
These initiatives are willing to link up or cooperate to coordinate eorts
Your initiative has the position, capacities and practical manners to
actively engage them
Collaboration
Answers/analysis
Score referrals:
1 = No, this is very uncertain OR not
enough information to answer
2 = Serious doubts
3 = Some doubts/unsure
4 = Quite condent
5 = Yes denitely, this is not an
issue for my scaling case OR
not applicable
Annex 2: Scaling Scan
0
8.1 score:
8.2 score:
8.3 score:
8.4 score:
Average:
The Scaling Scan
27
What is scaling?
Using the Scaling Scan
Step 1: Scaling ambition
Step 2: Scaling ingredients
Step 2: 40 QuestionsStep 3: Points of attention
Annex 1: Workshop agenda
Annex 2: Scaling Scan
Annex 3: Overview of tools
Annex 4: Sources
8.1 Is there useful and credible data available on the impact and
other parameters, which could help in understanding the
scaling process?
Considerations:
There is hard/quantitative evidence on the impact of the innovation and
other relevant parameter
Adequate information/ data/ evidence informs the development of the
scaling strategy • Monitoring and evaluation goes beyond measuring the
impact of the project, but also looks at the indirect eects and changes
in the enabling environment for scaling
8.2 Is eective use being made of modern data and IT tools to
support, analyze, share, and promote the innovation and to
drive the change process?
Considerations:
Data collection is quickly converted to information that can be
interpreted by a range of stakeholders immediately
Eective IT or other tools are used to promote the innovation and build
credibility among stakeholders
8.3 Are data and monitoring (including bottom-up/eld data)
eectively being used to steer the scaling process and
change course where needed?
Considerations:
Data are collected in such ways that they enable a precise, regular/
frequent and rich enough information base to ‘learn in action’ and
adjust the scaling process on the way.
Strategic decisions are based on (eld) data-
Monitoring and learning results are systematically fed back to people
that provided the data and to management
8.4 Are you enabling institutional learning so the scaling process
becomes more sustainable?
Considerations:
Lessons learned through piloting and scaling of similar, or past, initia-
tives are integrated to have a state-of-the-art approach to scaling
Not only the impact, but also the scaling pathway is actively being
monitored • Regular reection moments are scheduled with the scaling
partners and inform institutional knowledge and learning
Lessons learned on the inuence of the enabling environment for
adoption of the innovation are collected and used for inuencing and
advocacy
Evidence and learning
Answers/analysis
Score referrals:
1 = No, this is very uncertain OR not
enough information to answer
2 = Serious doubts
3 = Some doubts/unsure
4 = Quite condent
5 = Yes denitely, this is not an
issue for my scaling case OR
not applicable
Annex 2: Scaling Scan
0
9.1 score:
9.2 score:
9.3 score:
9.4 score:
Average:
The Scaling Scan
28
What is scaling?
Using the Scaling Scan
Step 1: Scaling ambition
Step 2: Scaling ingredients
Step 2: 40 QuestionsStep 3: Points of attention
Annex 1: Workshop agenda
Annex 2: Scaling Scan
Annex 3: Overview of tools
Annex 4: Sources
9.1 Is day-to-day leadership of the scaling process adequately
established, recognized, and connected to the relevant
actors?
Considerations:
Leadership of the scaling strategy is established over the entire time
frame of the scaling process
The leadership has an adequate (in)formal mandate to take required
decisions/actions • The leadership is recognized and respected by
all actors • Scaling is considered a management issue and adequate
resources for project and partner management are reserved
9.2 Are dierent actors and stakeholders suciently aecting
the larger process and decision-making?
Considerations:
There is an organizational structure in place that facilitates feedback/
input from actors
This feedback/input is actually inuencing (strategic) decision-making
in practice • There is sucient transparency on changes in course to
various actors at various levels
9.3 Are there adequate, inuential and compelling
spokespersons, messengers, conveners and power brokers
for the innovation?
Considerations:
There is a strong and persuasive narrative about the relevance of reaching
the scaling ambition that can lead to buy-in from more actors • There are
inuential actors (ambassadors) outside the partnership that promote the
scaling initiative and who can be mobilized at crucial times
There are mechanisms through which lobby with politicians for the innova-
tion can adequately take place
9.4 Does the leadership support internal and external change
management processes to achieve organizational/
institutional changes required?
Considerations:
Relevant actors realize that sustainability and scaling of the innova-
tion may require system changes that also imply changes in the way
organizations function • The organization(s) leading the scaling eort is
ready to change structure, stang or operations to eectively pursue
the scaling ambition
Moreover, leadership supports partners and other key actors to do the
same and prepare their organization for the change
Leadership and management
Answers/analysis
Score referrals:
1 = No, this is very uncertain OR not
enough information to answer
2 = Serious doubts
3 = Some doubts/unsure
4 = Quite condent
5 = Yes denitely, this is not an
issue for my scaling case OR
not applicable
Annex 2: Scaling Scan
0
10.1 score:
10.2 score:
10.3 score:
10.4 score:
Average:
The Scaling Scan
29
What is scaling?
Using the Scaling Scan
Step 1: Scaling ambition
Step 2: Scaling ingredients
Step 2: 40 QuestionsStep 3: Points of attention
Annex 1: Workshop agenda
Annex 2: Scaling Scan
Annex 3: Overview of tools
Annex 4: Sources
10.1 Is the role of the government in reaching your scaling
ambition clearly dened?
Considerations:
An assessment is done on whether, when and how the government
could support or frustrate the scaling of the innovation
A supportive role of the government in achieving the scaling ambition is
recognized, respected and actively pursued, also by private actors
The project has eective ways of working with relevant parts/levels of
the government
10.2 Are local and national strategies, policies and regulations
conducive to scaling the technology/ practice?
Considerations:
The area, people, problem, timelines and system change targeted in the
scaling ambition matches with the priorities of the national and local
government
There are (technical) regulations, standards and/or prescriptions in
place conducive to scaling the innovation
10.3 Are government agencies actively supporting scaling the
innovation?
Considerations:
Government agencies recognize the value of the innovation and support its
promotion
Government agencies invest in and implement programs that aim to
achieve a similar change in the sector and/or the entire system
Government agencies are truly committed to support the project to reach
the scaling ambition by providing backing, in-kind contributions and/or
co-nancing
10.4 Are relevant government nancing mechanisms (such as
subsidies or taris) smart and can they be applied to benet
scaling the innovation?
Considerations:
Subsidies or taris are suciently sustainable and reliable over time
They are well targeted and not only to selected market actors
They do not cause market distortions (such as monopolies)
Public sector governance
Answers/analysis
Score referrals:
1 = No, this is very uncertain OR not
enough information to answer
2 = Serious doubts
3 = Some doubts/unsure
4 = Quite condent
5 = Yes denitely, this is not an
issue for my scaling case OR
not applicable
Annex 2: Scaling Scan
0
The Scaling Scan
30
What is scaling?
Using the Scaling Scan
Step 1: Scaling ambition
Step 2: Scaling ingredients
Step 2: 40 QuestionsStep 3: Points of attention
Annex 1: Workshop agenda
Annex 2: Scaling Scan
Annex 3: Overview of tools
Annex 4: Sources
Annex 3: Overview of tools to support you further in strengthening your scaling strategy
Scaling is complex and dealing with
this complexity requires having a basic
understanding of certain concepts. Here and
there you may need to refresh or deepen your
knowledge, because you are not able to answer
a question adequately, or because you identied
that issue as a key challenge and your strategy
needs to address this the best way possible.
Below we provide a list of recommended tools
per step. The list is not exhaustive and you are
encouraged to use the tools you are comfortable
with.
Tools and methods to help with Step 1:
formulating the scaling ambition
FarmDESIGN by Wageningen University:
Farm DESIGN is a product of the Farming
Systems Ecology group (FSE) of Wageningen
University, which uses multi-criteria
assessment to select farming types that
provide the largest benets and minimum
trade os. See: https://sites.google.com/site/
farmdesignmodel/download
ADOPT by CSIRO: ADOPT (Adoption and
Diusion Outcome Prediction Tool) is an MS
Excel-based tool that evaluates and predicts
the likely level of adoption and diusion of
specic agricultural technologies and practices,
with a particular target population in mind. See:
https://research.csiro.au/software/adopt/
Typology construction, a way of dealing
with farm diversity by the CGIAR research
program on Integrated Systems for the
Humid Tropics. The typologies tool responds
to questions that require taking into account
the agricultural heterogeneity within a
region. This document provides a stepwise
approach to construct typologies. See: http://
humidtropics.cgiar.org/wp-content/uploads/
downloads/2015/04/Typology-guidelines_
v2.pdf
The Futures Toolkit by Waverly Consultants.
The “Futures Toolkit - tools for Futures
Thinking and Foresight Across UK Government”
provides an introduction to future thinking
and examines some of the important design
questions that policy makers need to consider
when introducing it into the policy process.
The tools are organised according to their
primary purpose – gathering intelligence
about the future, exploring the dynamics of
change, describing what the future might be
like and developing and testing policy and
strategy – and each procedure is set out in
detail. See: https://assets.publishing.service.
gov.uk/government/uploads/system/uploads/
attachment_data/le/674209/futures-toolkit-
edition-1.pdf)
Toolbox for System Thinkers by Disrupt
Design. Disrupt Design shares the key insights
and tools needed to develop and advance a
systems mindset for dealing with a complex
problem See: https://medium.com/disruptive-
design/tools-for-systems-thinkers-the-6-
fundamental-concepts-of-systems-thinking-
379cdac3dc6a
Toolbox on System Thinking by Pegasus
Communications. The booklet provides a
basic introduction to the various tools of
systems thinking that have been developed
and used over the last 50 years. See: https://
thesystemsthinker.com/wp-content/
uploads/2016/03/Systems-Thinking-Tools-
TRST01E.pdf
Annex 3: Overview of tools
The Scaling Scan
31
What is scaling?
Using the Scaling Scan
Step 1: Scaling ambition
Step 2: Scaling ingredients
Step 2: 40 QuestionsStep 3: Points of attention
Annex 1: Workshop agenda
Annex 2: Scaling Scan
Annex 3: Overview of tools
Annex 4: Sources
Scaling ingredient
Technology / Practice
Awareness and demand
Business case
Value chain
Suggested tools
ADOPT by CSIRO: ADOPT (Adoption and Diusion Outcome Prediction Tool) is an MS Excel-based tool that evaluates and
predicts the likely level of adoption and diusion of specic agricultural technologies and practices, with a particular target
population in mind. See: https://research.csiro.au/software/adopt/
An overview of survey and statistical approaches to demand forecasting is provided here: http://www.
economicsdiscussion.net/demand-forecasting/techniques-of-demand-forecasting-survey-and-statistical-methods/3611
The Business Model Canvas by Alexander Osterwalder is a strategic management template for developing new or
documenting existing business models. It is a visual chart with elements describing a product’s value proposition, infrastructure,
customer, and nances. See for example: https://strategyzer.com/canvas/business-model-canvas
The PPPCanvas by PPPLab is a tool that can be used to analyze the business model of a PPP, including what value is being
delivered, how partners aim to deliver this value and to whom exactly. Like the Business Model Canvas, it helps to visualize,
design and pivot a business model. See: https://ppplab.org/2017/11/pppcanvas/
The NGO Capability Scan by PPPLab helps to identify the internal capabilities an NGO has or should have to contribute to
creating strong business initiatives with explicit social objectives embedded. The tool also serves as a good baseline and/
or progress measurement tool in organizational development tracks in the eld of inclusive business. See: https://ppplab.
org/2017/11/the-ngo-capability-scan/
The Company Capability Scan by PPPLab helps to uncover the internal capabilities a company has or should have to become
successful in developing markets. See: https://ppplab.org/2017/11/the-company-capability-scan/
Creation of Competence for Competition (C3) method - Private Sector Manuals by GFA Consulting Group GmbH.
Focus on startup entrepreneurs or owners of micro, small, and medium-sized enterprises (MSMEs) as well as change agents
within institutions or companies who provide MSMEs with nancial or other services. See: http://www.c3-training.de/index_
products_3670461.html
ValueLinks by International ValueLinks Association e.V. is intended for use by development projects or by public agencies
promoting specic agribusiness, handicraft or manufacturing sub-sectors of the economy. It has no specic sectoral focus.
However, the emphasis is on those product markets that oer opportunities for the poor. See: http://valuelinks.org/manual/
M4P by Springeld is designed to tackle market failures and strengthen the private sector in a way that it creates large-scale,
lasting benets for the poor. See: https://www.enterprise-development.org/wp-content/uploads/m4pguide2015.pdf
Annex 3: Overview of tools
The Scaling Scan
32
What is scaling?
Using the Scaling Scan
Step 1: Scaling ambition
Step 2: Scaling ingredients
Step 2: 40 QuestionsStep 3: Points of attention
Annex 1: Workshop agenda
Annex 2: Scaling Scan
Annex 3: Overview of tools
Annex 4: Sources
Scaling ingredient
Finance
Knowledge and skills
Collaboration
Suggested tools
The PPP Financing Tool by PPPLab helps in developing, reviewing or sharpening a nance strategy for a Public-Private
Partnership. It assists in analysing nancing needs and bottlenecks and in reviewing a range of nancing options. It aims at
broadening the view of the users, helping to be more creative and to open opportunities for smart combinations of nancing
streams. See: http://valuelinks.org/manual/
Creation of Competence for Competition (C3) method by GFA Consulting Group GmbH. C³ CREDIT has been designed
for loan ocers and other bank sta involved in credit appraisals and monitoring. See: http://www.c3-training.de/index_
products_3670461.html
CapacityWORKS by GIZ. The CapacityWORKS toolbox: Success Factor- Learning and Innovation provides an overview of tried
and tested approaches and an extensive toolbox to deal with complex cooperation systems. See: https://www.giz.de/expertise/
html/4620.html (not open source)
CapacityWORKS by GIZ. The CapacityWORKS toolbox: Success Factor- Learning and Innovation provides an overview of tried
and tested approaches and an extensive toolbox to deal with complex cooperation systems. See: https://www.giz.de/expertise/
html/4620.html (not open source)
Partnering Process Tool by PPPLab: an interactive tool that provides a starting point for improving your internal partnering
process, with the expectation that working together eectively will also help your partnership deliver better on agreed goals
and objectives. See: https://ppplab.org/2017/11/the-partnering-process-tool/
The Partnership Assessment Tool by the Strategic Partnering Taskforce provides a simple, quick and cost-eective way
of assessing the eectiveness of partnership working. It enables a rapid appraisal (a quick ‘health check’) which graphically
identies problem areas. See: https://www.ppplab.org/wordpress/wp-content/uploads/2016/03/Hardy-ea-2003-Assessing-
Strategic-Partnership.pdf
The Partnering Toolbook by the Partnering Initiative oers a concise overview of the essential elements that make for
eective partnering. See: https://thepartneringinitiative.org/publications/toolbook-series/the-partnering-toolbook/
The Brokering Guidebook by the Partnering Initiative outlines and supports in practical ways the many tasks that a broker
may undertake on behalf of partners during the life-cycle of a partnership – for the benet of those currently operating
as brokers in multi-sector partnerships for sustainable development. See: https://thepartneringinitiative.org/publications/
toolbook-series/the-brokering-guidebook/
The Multistakeholder Partnership Tool Guide by the Wageningen University & Research CDI contains 60 tools to facilitate
multi-stakeholder partnerships. See: http://www.mspguide.org/resource/msp-tool-guide
The Partnership Learning Loop by Rita Dieleman and Helga van Kampen is an online interactive tool that provides
insight in how a partnership functions in reality, whether it responds to needs and how it evolves over time. See: http://www.
learningloop.nl/
Annex 3: Overview of tools
The Scaling Scan
33
What is scaling?
Using the Scaling Scan
Step 1: Scaling ambition
Step 2: Scaling ingredients
Step 2: 40 QuestionsStep 3: Points of attention
Annex 1: Workshop agenda
Annex 2: Scaling Scan
Annex 3: Overview of tools
Annex 4: Sources
Scaling ingredient
Evidence and learning
Leadership and
management
Public sector governance
Suggested tools
CapacityWORKS by GIZ. The CapacityWORKS toolbox: Success Factor- Learning and Innovation provides an overview of tried
and tested approaches and an extensive toolbox to deal with complex cooperation systems. See: https://www.giz.de/expertise/
html/4620.html (not open source)
The partnering assessment tool of MS Platforms helps to assess the eectiveness of (multi-stakeholder) partnerships/
platforms. See: www.msplatforms.org
Scaling up – from vision to large-scale change. Tools and Techniques for Practitioners by MSI provides a set of tools, guides, and
techniques developed and rened through eld experience to provide practical help in applying the MSI’s framework of conceptual
steps and broad tasks in scaling up. See: http://www.msiworldwide.com/wp-content/uploads/MSI-Scaling-Up-Toolkit.pdf
The Agricultural Scalability Assessment Tool (ASAT) by Kohl and Foy (2018) includes a Agriculture Scaling Decision Tree
(ASDT) that provides guidance to determine the best scaling pathway and who should drive the scaling process (public/private/
public private partnerships). See: https://reliefweb.int/report/world/guide-agricultural-scalability-assessment-tool-assessing-and-
improving-scaling.
Partnering with Governments tool by PPPLab helps to understand the roles and challenges of enhanced partnership with
governments, and their motivations and interests to partner, for stronger and more sustainable PPPs. See:
Creation of Competence for Competition (C3) method - Public Sector Manuals by GFA Consulting Group GmbH. Focus to
enable civil servants and public employees to deliver better public services. http://www.c3-training.de/index_products_3670461.html
The Partnering with Government Navigator by the Partnering Initiative outlines a selection of key issues for consideration
when working with public sector partners and shares pointers for reecting upon and addressing these.
See: https://thepartneringinitiative.org/publications/toolbook-series/the-partnering-with-governments-navigator/
Using a Theory of Scaling to guide decision
making by S. Wigboldus and J. Brouwers. Book-
let providing guidance on formulating a “Theory of
Scaling”. Full title: Wigboldus, J., Brouwers J. (2016):
Using a Theory of Scaling to Guide Decision Mak-
ing: Towards a structured approach to support
responsible scaling of innovations in the context
of agrifood systems. Wageningen University and
Research. See: www.theoryofchange.nl/resource/
using-theory-scaling-guide-decision-making
Nine-Step Guide and Worksheets for
Developing a Scaling-up Strategy by
ExpandNet/WHO assists program managers,
technical assistance personnel, researchers and
policy makers with the process of developing a
scaling-up strategy. See: http://www.expandnet.
net/PDFs/ExpandNet-WHO%20Nine%20Step%20
Guide%20published.pdf.
“Beginning with the end in mind:
Planning pilot projects and other
programmatic research for successful
scaling up” by ExpandNet/WHO provides 12
recommendations and a checklist to help build
scaling up considerations into projects from
the outset. See: http://www.expandnet.net/
PDFs/ExpandNet-WHO%20-%20Beginning%20
with%20the%20end%20in%20mind%20-%20
2011.pdf.
Tools and methods to help with Step 3: The scaling strategy
Annex 3: Overview of tools
The Scaling Scan
34
What is scaling?
Using the Scaling Scan
Step 1: Scaling ambition
Step 2: Scaling ingredients
Step 2: 40 QuestionsStep 3: Points of attention
Annex 1: Workshop agenda
Annex 2: Scaling Scan
Annex 3: Overview of tools
Annex 4: Sources
Sources and recommended reading
Davies, G., 2016 Getting to Scale: Lessons in
Reaching Scale in Private Sector Development
Programs. Adam Smith International.
Ellerman, D., 2003 Rethinking Development
Assistance: An Approach Based on
Autonomy-Respecting Assistance. World
Bank.
Gargani and McLean (2017) Scaling Science.
Stanford Social Innovation Review. Fall 2017
https://ssir.org/articles/entry/scaling_science
Gradl, C. and Knobloch, C., 2010 Inclusive
Business Guide: How to Develop Business
and Fight Poverty. Berlin.
GTZ, 2010 Scaling up in Development
Cooperation: Practical Guidelines.
Hartmann, A. and Linn, J., 2008. Scaling up.
A framework and lessons for development
eectiveness from literature and practice.
Wolfensohn Center for Development.
IDIA 2017. Insights on scaling innovation.
International Development Innovaiton
Alliance (IDIA)
IFAD, 2015 Sustainable Inclusion of
Smallholders in Agricultural Value Chains:
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J., 2015 Context Variation by Design: How
Design Principles by their Nature can
Accommodate the Application of Complexity
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Practices. Working paper 4.0, Delft University
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Koh, H., Karamchandani, A., Katz, R., 2012
From Blueprint to Scale: The Case for
Philanthropy in Impact Investing. MONITOR
in collaboration with Acumen Fund. Open
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Case-for-Philanthropy-in-Impact-Investing_
Full-report.pdf
Koh, H., Hegde, N., Karamchandani, A.,
2014 Beyond the Pioneer: Getting Inclusive
Industries to Scale. Deloitte Touche
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org/wp-content/themes/monitor/Beyond-
the-Pioneer-Report.pdf
Koh, H., King, S., Irfan, A., Agarwal R., Dayal,
S., Brown, A., 2017. Shaping Inclusive
Markets. How Funders and intermediaries
can help markets move toward greater
economic inclusion. FSG. Open access:
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inclusive-markets
Kohl, R., Foy, C., Zodrow, G., 2017. Synthesis
Report. Review of successful scaling of
agricultural technologies. Commissioned
by USAID. Open Access: https://www.
agrilinks.org/library/synthesis-report-review-
successful-scaling-agricultural-technologies
Kohl, R., Foy, C., 2018. Guide to the
agricultural scalability assessment tool for
assessing and improving the scaling potential
of agricultural technologies. USAID, June 7,
2018
London, T., 2011 Building Better Ventures
with the Base of the Pyramid: A Roadmap. In
T. London & S.L. Hart (Eds.), Next Generation
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L., Vorley, B., Blackmore, E., and Dallinger,
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the-transition-towards-sustainability.pdf
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through-ppps/
PPPLab (2016) Explorations 4: Scaling: From
simple models to rich strategies. See https://
ppplab.org/2016/11/explorations-04-scaling-
from-simple-models-to-rich-strategies/
Sartas, M., Schut, M., & Leeuwis, C. (2017).
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dx.doi.org/10.13140/RG.2.2.27993.52324
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organizations from Canada. Journal of
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Wigboldus, S. and Leeuwis, C., 2013 Towards
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Annex 4: Sources
and
The Scaling Scan was developed by PPPLab and the
International Maize and Wheat Improvement Center
(CIMMYT) in 2017. It was tested in workshop settings in
the Netherlands, Mexico, Kenya, India and Nepal with
project managers, scientists, agricultural extension
agents and other development practitioners working in
the agrifood and rural water supply sectors.
We would like to thank all those involved for their
valuable input which allowed us to make considerable
improvements in the applicability, user-friendliness
and usefulness of this nal version of June 2018.
Suggested reference:
Jacobs, F., Ubels, J., Woltering, L., 2018. The Scaling
Scan- A practical tool to determine the strengths and
weaknesses of your scaling ambition. Published by the
PPPlab and CIMMYT.
PPPLAB
Burgemeester Oudlaan 50
Mandeville (T) Building
Room T4-26
3062 PA Rotterdam
The Netherlands
info@ppplab.org
www.ppplab.org
This work is licensed under the Creative Commons Attribution-Share Alike 3.0 Unported License. To view a copy of this license, visit:
http://creativecommons.org The PPPCanvas is derived from the Business Model Canvas designed by Strategyzer AG
International Maize
and Wheat Improvement
Center (CIMMYT)
Carretera México-Veracruz Km. 45
El Batán, Texcoco, México
C.P. 56237
www.cimmyt.org
cimmyt@cgiar.org
... These questions were incorporated in the scaling scan tool developed by Jacobs, Ubels, and Woltering (2018) to determine the strengths and weaknesses of technology scaling ambitions ( Figure 2). The concepts of innovation scaling and scaling ambition are included in the study's framework because of the aspiration for innovations such as the microtiller to eventually reach many farmers since they were designed to be relevant solutions to farmers' problems. ...
... The guide questions provided by German et al. (2006) reinforce the notion that technology users interact with the technology; hence, this study focused on adaptation as opposed to wholesale adoption. The combined insights from the work of German et al. (2006) and Jacobs, Ubels, and Woltering (2018) make this framework robust in that it provides both theoretical and pragmatic guidance on how to optimize uptake of certain innovations. ...
... In this section, we look more closely at the scaling ingredients outlined by Jacobs, Ubels, and Woltering (2018) to better understand the lessons in scaling out the microtiller. ...
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This study inquires on the outscaling of the microtiller, a machine developed by the Philippine Rice Research Institute (PhilRice) in the 1990s to address the tedious rice land cultivation in the Cordillera highlands of the Philippines. Stakeholders of the project were interviewed, particularly staff members of PhilRice and the Department of Agriculture; representatives of the Central Cordillera Agricultural Programme, PhilRice’s partner organization in developing and promoting the microtiller; and manufacturers and farmers in the area. It was found that while the machine offered a solution to the highly tedious land preparation issue, four key factors affected its scaling: absence of private sector engagement, lack of a business plan for scaling, lack of extension services, and the presence of a more versatile and cheaper competitor. This study provides empirical evidence of the usability of the set of scaling ingredients developed by PPPLab and the International Maize and Wheat Improvement Center to facilitate analysis of scaling of innovations. The findings may inform scaling opportunities and strategies for farm machines by agricultural research and development institutions across the globe.
... innovations is the topic of many recent studies (Ajayi et al., 2018;Jacobs et al., 2018;USAID, 2014;Woltering et al., 2019). This paper connects to this body of literature and knowledge by contributing a capacity perspective on scaling innovations, which has until now hardly been articulated. ...
... One of the frontiers of learning in relation to scaling innovations entails dealing with the complexities involved in scaling innovations. Gargani and McLean (2017), Jacobs et al., (2018), Sartas et al., (2017), and Wigboldus et al., (2016) are among those pointing to such complexities, offering ways of unpacking related dimensions and dynamics such as new perspectives on innovation systems and the role of innovation intermediaries (e.g. Klerkx et al., 2012) and scaling intermediaries (Wigboldus et al., 2016). ...
... Adapting the original capability description related to achieving development results (Baser & Morgan, 2008) into a capability to make scaling work for sustainable development helped articulate a more purpose-oriented perspective on scaling innovations (Gargani & McLean, 2017;Jacobs et al., 2018;Woltering et al., 2019). This also involves asking the right (evaluation) questions and a capability to find the right answers to these questions. ...
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Finding out how to scale innovations successfully is high on the agendas of researchers, practitioners and policy makers involved in agricultural development. New approaches and methodologies seek to better address related complexities, but none of them include a systematic perspective on the role of capacity in (partnerships for) scaling innovations. We posit that this has left an important topic insufficiently addressed in relation to partnerships for scaling innovations. The need to address this gap became apparent in the context of the CGIAR Roots, Tubers, and Bananas (RTB) Scaling Fund initiative. This paper presents how we explored ways forward in relation to this by combining three methodological approaches: The Five-Capabilities, Scaling Readiness, and the Multi-Level Perspective on socio-technical innovation. This combined approach—dubbed Capacity for Scaling Innovations (C4SI)—was applied in three projects related to scaling innovations for sweet potato, cassava and banana, involving five countries in Africa. It then discusses implications for a partners-in-scaling perspective, the contribution of scaling innovations to sustainable development, the importance of research organisations considering their own capabilities in partnerships for scaling, and the extent to which C4SI was helpful in the three cases—for example, in decision making. The paper concludes that a capacity perspective on the scaling of innovations should be an essential part of a ‘science of scaling’. Finally, it provides recommendations for using the approach or parts of it in research and intervention practice for scaling, pointing in particular to the need for context-specific adaptation.
... Responsible scaling (Wigboldus, 2018) means recognizing that changes resulting from scaling may have unintended consequences-positive or negative-for the population, landscape, value chain, or society. This calls for setting aside scaling strategies that address "maximum potential scale" for a few in favour of "optimal" or "responsible scale" for many, considering the "do no harm" and "leave no one behind" principles (Woltering et al., 2019;Jacobs et al., 2021). Sustainable scaling of innovations refers to a sustained uptake of an innovation which lasts well beyond the lifetime of any intervention. ...
... CIMMYT has 13 country offices (three in Africa, eight in Asia, and two in Latin America) and 1,675 staff members. CIMMYT is very active at the global stage in scaling; it chairs the Agriculture and Rural Development working group of the international scaling community of practice 1 , is an important contributor to the science of scaling (Schut et al., 2020), and co-developed the Scaling Scan tool (Jacobs et al., 2021). ...
... R4D organizations such as CIMMYT have a strategic role supporting scaling processes, or as one respondent formulated it: "We should not do the scaling, but do the research on scaling and give guidance to partners on the how and what of scaling" (A2). Multidisciplinary teams, guidance from scaling experts, and the use of scaling tools such as the Scaling Scan (Van Loon et al., 2020;Jacobs et al., 2021), and the Scaling Readiness (Sartas et al., 2020), can help support scaling processes that consider the different approaches, goals, principles and roles and responsibilities presented in the conceptual framework. Actively asking questions from a scaling perspective can uncover a lot of issues that would otherwise go unnoticed. ...
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Despite a growing body of literature on how to scale innovations to contribute to the Sustainable Development Goals, there has been little attention for how scientists and programme managers engage with the scaling process in practice. Through 36 interviews we found that the dominant understanding of scaling was output and beneficiary-focused, rather than outcome and society focused as the latest literature suggests. This has implications on how scaling is approached in projects on the ground, and on the role of an agricultural Research for Development (R4D) organization such as the International Maize and Wheat Improvement Center (CIMMYT) in bridging science and development. We recommend more reflection on the scaling process and make more use of scaling capacities and tools to better link scientific knowledge to results on the ground.
... In the workshop with Rural Energy Indonesia, the participants needed to align their different ideas about what, how much and when to scale. This alignment is important for creating a common understanding of what lies within their sphere of interest, influence and control; for building enthusiasm, intentionality and support; and for aligning their purpose, vision and mission (Freeman et al., 2020;Jacobs et al., 2018). ...
... Add the seven questions to define a scaling ambition by Jacobs et al. (2018) Guide by asking questions to encourage, specify or clarify ideas in Step 1, 2 and 3 rather than join the discussion Create more ownership of the joint ambition, a more local perspective on opportunities and threats, and more ideas about scaling from the participants Make a visual representation of the ecosystem before the workshop instead of during the workshop in ...
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Scaling the social impact of inclusive business models that provide solutions to basic needs of Bottom of the Pyramid (BoP) communities through firm-centric approaches has proven challenging. Researchers have proposed that scaling strategies at the BoP should go beyond firm-centric approaches by inclusive businesses and involve coordinated synergistic action of their entire ecosystem to overcome systemic challenges and create value for all ecosystem actors. However, current research on this topic remains abstract and difficult to implement. This paper presents an empirically validated scaling framework designed to overcome this weakness and documents its design process. The framework takes account of the fact that inclusive businesses must work out scaling strategies together with key ecosystem actors, and that implementing a scaling strategy will almost always require mutual adaptation of business models. The framework design process entailed an extensive literature review and practitioner interviews as a first step, followed by testing, evaluation and iterative improvement through a series of validation workshops with actors of four inclusive business initiatives in Africa and Asia. The results indicate that the framework helps workshop participants to expand their mental frame, encouraging them to adopt a broader ecosystems perspective on scaling. This leads to identification and exploration of valuable business model adaptations for scaling that can be achieved through collaboration and assessment of the practical feasibility of different scaling strategies.
... Scaling is about the use of innovations (new technologies or practices) to impact many people. It involves a sustainable system change in which the impact remains, or gains momentum, without significant additional external inputs (Jacobs et al., 2018). It is a way of expanding results beyond the plot or site level to reach more people over wider areas ("scaling out, " or horizontal scaling), as well as to influence institutions and policies ("scaling up" or vertical scaling) (Vernooy and Bouroncle, 2019). ...
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Limiting global warming to the 2°C target that countries have committed to in the 2015 Paris Agreement, and reaching the Sustainable Development Goals by 2030, will require large-scale expansion of climate-resilient approaches in agriculture and food systems. In order to achieve the scale of change required, coordinated action is needed from global to local levels, from research to policy and investment, and across private, public, and civil society sectors. But at the same time, differential approaches are needed to address gender equality and women's concerns in climate-resilient agriculture. This article sets out a conceptual framework for scaling up climate resilient agriculture (CRA) approaches that are gender and socially inclusive by taking into account these constraints and inequalities across wider areas and different aspects of CRA. It builds on gender and climate-resilient agriculture research and project experience to argue that the additional integration of women's empowerment approaches and dimensions into this scaling framework provides the opportunity to promote gender equality while scaling up. It also identifies gaps and areas for further analysis and research. The intention is to identify potential pathways for developing a gender- and socially-inclusive set of options and strategies, in four key dimensions: climate resilient technologies and practices; climate information services that reach under-reached groups; inclusive finance mechanisms; and promoting leadership in decision-making.
... Improve the scaling process by exploring potential synergies with other relevant tools, such as CIMMYT's Scaling Scan that determines the potential to scale [100]. 6. ...
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Conservation Agriculture (CA) is promoted by research and development (R&D) agencies to sustainably intensify agricultural systems with the goals of improving food security and livelihoods and adapting food systems to global climate change. Despite the many benefits of CA, there are few farmers around the world that have simultaneously implemented all facets of the strategy. In part, this reflects the challenges in applying, adapting, and understanding this complex and multi-dimensional agricultural innovation in the context of diverse farming systems. In this paper, we applied an integrated framework that combines bioeconomic simulation, risk analysis, adoption theory, and impact assessment to investigate how various combinations of CA components (no-tillage, soil cover, crop diversification, plus growing a new crop or variety) performed over a 10-year period in representative farms in a central Mexican case study. We found significant differences in profit, net value, downside risk, and risk-aversion cost between double-component scenarios (and improved CA to a lesser extent) and all other scenarios, which suggested that disaggregating CA into smaller component packages could increase farmer adoption in risky contexts. Our findings provided valuable insights on CA feasibility and could help establish policy and reporting metrics. The study highlighted the need for employing a range of research tools to understand the relative value of agricultural innovations and to identify and reduce trade-offs and uncertainty in farming systems.
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The cluster frontline demonstration on Redgram was carried out by Krishi Vigyan Kendra, Kampasagar during Kharif seasons of 2019-20 at Anjanapally and Regatta of Nalgonda district, Telangana State. The demonstrated technology is improved variety (WRG-65), optimum seed rate (20 kg ha-1), seed treatment with Rhizobium – 10 g/kg seed and Trichoderma viridae –10 g/kg seed, NPK fertilizers (20:50:0kg/ha) and post emergence herbicide Imazythapyr- 400ml/acre and plant protection measures with spraying of Neem Oil-1lit/acre, Pheromone traps-4/acre, Multi-k-1kg/acre and Quinalphos-500ml/acre at vegetative stage and Flubendamide-80 at pod development stage. The results revealed that the increase in the yield with demonstration was 14.7% over farmers practice in 2019-20; similarly, the highest benefit cost ratio was recorded with demonstration as 3.5 as compared to 2.7 and under farmers practice during the year of trial.
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Of the world’s 570 million farmers, 72% work on two hectares or less, and women’s labor comprises at least 50% (FAO, 2014). Small farms are responsible for 80% of world food production, making them key to addressing looming global food shortages (Lowder et al., 2016). Small farms in developing countries navigate a myriad of challenges, including access to information, quality inputs, capital, markets, and among others, land (FAO, 2014). These challenges can be exacerbated for women and other marginalized groups of people due to social normatives within their communities (Petesch, Badstue, & Prain, 2018; Polar et al., 2017; Rola‐Rubzen et al., 2020). Inclusive innovation to address agriculture productivity and loss gaps is tantamount to equitable global food security (FAO, 2014; FAO, 2011). However, many innovations still fail to help stimulate disruption in gender or social inequities, and some even do additional harm. Increasing use of an innovation, referred to as ‘scaling,' is critical to impact at a community or regional level, and is often seen as necessary to support Agriculture Research for Development (AR4D) outcomes (Sartas et al., 2020). Several scaling support tools and methodologies have been developed to assist researchers and practitioners in scaling processes. However, little practical attention has been given to the specific cross-section of gender and relevant diversity within scaling tools and methodologies. This narrative literature review begins to address this by answering: 1) What are unique gender considerations when scaling agricultural innovations?; and 2) What are appropriate methods and approaches for collecting data on these unique gender considerations? Our review finds six points of attention to reflect upon unique gender considerations when innovating and scaling innovation: i) Comprising research and project teams, ii) Designing agricultural innovations, iii) Communicating and extension of innovation, iv) Choosing scale models: entrepreneurship and business development, v) Reinventing and changing technology, and vi) Engaging with the political economy of innovation. Methods to collect necessary data to accurately reflect on these considerations and avoid unintended negative consequences for more gender responsible scaling are also presented. Finally, the literature review is situated in a perspective that more attention should be given to agricultural innovation and scaling support tools and methodologies to address gender or socially marginalized groups.
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La correcta gestión del transporte público a través de herramientas de base tecnológica hacen más fácil el proceso de administración de información en tiempo real. Como semillero de investigación iniciamos con el desarrollo de una solución tecnológica llamada GEOUS, con esta solución se desarrolló una plataforma que permite a los usuarios del transporte público conocer la ubicación de los autobuses en tiempo real, gestión de horarios, paradas, rutas, entre otras opciones. En este proyecto se contó con el apoyo de todos los involucrados en el sector, transportistas, administradores de transporte, autoridades locales y pasajeros. Una de las inquietudes del sector es que este proyecto se quede en el olvido y no se le de seguimiento para convertirlo en un emprendimiento y que pueda ofrecer una solución a mayor número de personas y que la sociedad en general pueda utilizarlo. Es por ello que en este artículo presentamos cómo se ha llevado a una fase de escalamiento el proyecto GEOUS para convertirlo en un emprendimiento de base tecnológica. Se estudiaron las metodologías más efectivas y se eligió CANVA como la más adecuada para este proyecto. Se desarrolló un taller y se generó una propuesta para obtención de financiación. Este proyecto permite escalara la solución tecnológica y le ofrece a nuestros jóvenes científicos conocimientos técnicos para futuras propuestas.
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The presentation briefly describes 1. Basics of Innovations and scaling in Research for Development programs, projects 2. Fundamental concepts of scaling readiness approach 3. Scaling Support Processes offered for Research for Development Programs, projects.
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Agricultural production involves the scaling of agricultural innovations such as disease-resistant and drought-tolerant maize varieties, zero-tillage techniques, permaculture cultivation practices based on perennial crops and automated milking systems. Scaling agricultural innovations should take into account complex interactions between biophysical, social, economic and institutional factors. Actual methods of scaling are rather empirical and based on the premise of ‘find out what works in one place and do more of the same, in another place’. These methods thus do not sufficiently take into account complex realities beyond the concepts of innovation transfer, dissemination, diffusion and adoption. As a consequence, scaling initiatives often do not produce the desired effect. They may produce undesirable effects in the form of negative spill-overs or unanticipated side effects such as environmental degradation, bad labour conditions of farm workers and loss of control of farming communities over access to genetic resources. Therefore, here, we conceptualise scaling processes as an integral part of a systemic approach to innovation, to anticipate on the possible consequences of scaling efforts. We propose a method that connects the heuristic framework of the multi-level perspective on socio-technical transitions (MLP) to a philosophical ‘modal aspects’ framework, with the objective of elucidating the connectedness between technologies, processes and practices. The resultant framework, the PRactice-Oriented Multi-level perspective on Innovation and Scaling (PROMIS), can inform research and policymakers on the complex dynamics involved in scaling. This is illustrated in relation to three cases in which the framework was applied: scaling agro-ecological practices in Nicaragua, farmer field schools on cocoa cultivation in Cameroon and ‘green rubber’ cultivation in Southwest China.
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Discussion paper prepared for the CGIAR Research Program on Integrated Systems for the Humid Tropics.
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Why do so many social innovations fail to have a broad impact? Successful social entrepreneurs and nonprofit organizations often “scale out” innovative solutions to local problems in order to affect more communities or numbers of individuals. When faced with institutional barriers, they are motivated to “scale up” their efforts to challenge the broader institutional rules that created the problem. In doing so, they must reorient their own and their organizations’ strategies, becoming institutional entrepreneurs in the process. This article proposes a contextual model of pathways for system change consisting of five different configurations of key variables and informed by qualitative interview data from selected nonprofit organizations. The authors argue that the journey from social to institutional entrepreneurship takes different configurations depending on the initial conditions of the innovative initiatives. Despite an expressed desire to engage in system change, efforts are often handicapped by the variables encountered during implementation.
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Scaling up of development interventions is much debated today as a way to improve their impact and effectiveness. Based on a review of scaling up literature and practice, this paper develops a framework for the key dynamics that allow the scaling up process to happen. The authors explore the possible approaches and paths to scaling up, the drivers of expansion and of replication, the space that has to be created for interventions to grow, and the role of evaluation and of careful planning and implementation. They draw a number of lessons for the development analyst and practitioner. More than anything else, scaling up is about political and organizational leadership, about vision, values and mindset, and about incentives and accountability - all oriented to make scaling up a central element of individual, institutional, national and international development efforts. The paper concludes by highlighting some implications for aid and aid donors.
Book
By 2050, the world's population is estimated to grow to 10 billion. To feed everyone, we will have to double our food production, to produce more food in the next 40 years than in the whole of the last 6,000. Changing the Food Game shows how our unsustainable food production system cannot support this growth. In this prescient book, Lucas Simons argues that the biggest challenge for our generation can only be solved by effective market transformation to achieve sustainable agriculture and food production. Lucas Simons explains clearly how we have created a production and trading system that is inherently unsustainable. But he also demonstrates that we have reason to be hopeful - from a sustainability race in the cocoa industry to examples of market transformation taking place in palm oil, timber, and sugarcane production. He also poses the question: where next? Provocative and eye-opening, Changing the Food Game uncovers the real story of how our food makes it on to our plates and presents a game-changing solution to revolutionize the industry.
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We investigate the challenge how the outcomes of innovation for inclusive growth, the novel organizational recipes, can be scaled to match the dimension of poverty. We conceptualize scaling as sustained event regularities between doing A and expected outcomes B. Building on a critical realist perspective, we develop an analytical framework of organizational closure and apply it to an extreme case, an organization with an inclusive growth model that has sustained event regularities for more than two decades. Our analysis reveals closure as an organizational competence with important implications for achieving scale in the context of poverty. We develop of a number of propositions between the link of organizational closure and scaling with implications for practice and further academic research.
Getting to Scale: Lessons in Reaching Scale in Private Sector Development Programs
  • G Davies
Davies, G., 2016 Getting to Scale: Lessons in Reaching Scale in Private Sector Development Programs. Adam Smith International.
  • Mclean Gargani
Gargani and McLean (2017) Scaling Science.