Knowledge Management and Adaptation to Climate Change ...€¦ · IFAD International Fund for...

Knowledge Management and Adaptation to Climate Change

Handbook on Capitalisation of Experiences2012

www.undp-aap.org

Handbook on Capitalisationof ExpEriEnCEs 2012

CoordinationJosé Levy, Annelies Hickendorff, Mingué Niasse

rEsEarCH and rEport CoMpilationIED Afrique : Awa Faly Ba Mbow, Bara Guèye, Thiendou Niang

aboUt aapThe United Nations Development Programme launched the Africa Adaptation Programme in 2008, in partnership with the United Nations Industrial Development Organisation (UNIDO), the United Nations Fund for Children (UNICEF) and the World Food Programme (WFP). It received funding to the amount of USD 92.1 million from the Japanese government. The AAP was established in the context of the Japan-UNDP Joint Framework for development of a partnership for adaptation to climate change in Africa, a partnership that was founded during the Fourth Tokyo International Conference for Africa Development (TICAD) in May 2008.

The purpose of AAP is to improve the resilience of vulnerable countries to promote early adaptation action and to lay the foundations for long-term investment plans to bolster resilience to climate change on the African continent. The overall objective of the programme is to ensure that 20 African countries adjust their national development processes so that these incorporate the risks and opportunities associated with climate change.

[email protected] / www.undp-aap.org

September 2012

prEfaCE

The Africa Adaptation Programme (AAP) was established within the framework of a partnership between the Government of Japan and the United Nations Development Programme to address the risks inherent to climate change in Africa. The AAP is not a traditional climate change adaptation programme - it has a more strategic focus, aimed at creating an environment in which more informed and appropriate adaptation decisions and practices can be undertaken within the context of sustainable development.

The AAP supports the Governments of 20 African countries to achieve transformational change, designed to elevate climate change adaptation planning and interventions from a mono-project and sectorial based approach to a comprehensive and strategic approach, characterized by multi-sectorial integrated planning.

AAP focuses on strengthening capacity in five areas that are crucial to designing and implementing a resilient development agenda, namely Data and Information Management; Instituional Leadership and Capacity Development; Implementing climate-resilient policies in priority sectors; Innovative Finance and Knowledge Management.

The Knowledge Management (KM) section aims to strengthen the capacity of countries in developing the means to ensure that relevant information and knowledge generated are documented, capitalized and disseminated in ways that correspond to the needs of specific stakeholders such as policy-makers, sector experts, the private sector and local communities.

It is in such a context that this manual was elaborated; its main purpose is to develop the skills and mechanisms required to generate, analyse and share information and knowledge according to the needs and specificities of these actors.

The ownership of the process and tools proposed in this manual will help create - at a regional level - a critical mass in the field of capitalisation of experiences on climate change adaptation strategies, and especially those based on the valorisation of traditional knowledge in the implementation of adaptation projects.

Ian Rector

Programme Manager

ContEntsprEfaCE

aCronYMs

forEWord

introdUCtion: ConCEpts and dEfinitions

Knowledge Management

Concept and meaning of Traditional Knowledge within climate change adaptation programmes

Capitalisation CHallEngEs and proCEssEs in tHE ContExt of CliMatE CHangE

Capitalisation challenges

Aims

Capitalization actors

Favourable conditions

The capitalisation process

The facilitation process

Information gathering

stEp bY stEp Capitalisation of ExpEriEnCEs

Planning

Site selection

Defining the aims of the capitalisation process

Capitalisation actors

Operationnal planning

Experience identification

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1.1

1.2

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2.1

2.2

2.3

2.4

2.5

2.6

2.7

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3.1

3.2

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Description of experiences

Analysis of experiences

Drawing lessons from an experimental project

Presenting the capitalisation results

Organising the document

Writing up content

Knowledge sharing

Monitoring & Evaluation

ConClUsions and oUtlook

bibliograpHY

3.3

3.4

3.5

3.6

3.7

4

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Africa Adaptation Programme

Handbook on Capitalisation of Experiences 2012

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aCronYMs

AAP Africa Adaptation Programme

CCA Climate Change Adaptation

CC Climate Change

IED Innovation Environment Development

UNIDO United Nations Industrial Development Organisation

UNDP United Nations Development Programme

IRSTC Inter-Regional Technical Support Component

UNICEF United Nations Children’s Fund

WFP World Food Programme

TICAD Tokyo International Conference on African Development

KM Knowledge Management

IFAD International Fund for Agricultural Development

GHG Greenhouse Gas Emission

IPCC Intergovernmental Panel on Climate Change

REMA Rwanda Environment Management Authority

NGO Non-Governmental Organisation

M&E Monitoring & Evaluation

ICT Information and Communications Technology

GIS Geographic Information System

DRR Disaster Risk Reduction

COPIL Steering Committee (Tunisia)

APAL Coastal Protection and Planning Agency (Tunisia)

ICZM Integrated Coastal Zone Management

INSTM National Institute of Marine Sciences and Technologies

DGSAM Aerial and Maritime Services General Management

CAI Climate Action Intelligence

GIZC Integrated Coastal Management

RMS Rwanda Meteorological Service

MIDIMAR Ministry of Disaster Management and Refugee Affairs

CBO Congressional Budget Office

CIRAD Agricultural Research for Development

FSSA Support Fund for Local Adaptation Strategies to Climate Change

NPSC National Project Steering Committee

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forEWord

This manual on capitalisation of climate change adaptation experiences was developed within the framework of the knowledge management work of the Africa Adaptation Programme. It aims to contribute to the capacity building of project teams and climate change adaptation programmes supported by the regional AAP programme. However, it can also be used beyond this audience by other organisations engaged in similar initiatives.

Adaptation to climate change poses a major challenge and indeed requires the sharing of knowledge produced by practices geared towards improving the delivery of ongoing initiatives. It has been almost universally agreed that the various interventions set up to support climate change adaptation strategies have been rolled-out in an isolated manner and that they were largely inspired by a vertical approach of technology transfer; in light of this, it would appear that the choice made by the AAP to focus on knowledge management is even more relevant. Such an approach often ignores traditional knowledge developed over many generations, which usually produces very suitable responses. Programmes designed to support adaptation strategies are faced with the challenge of acquiring the methodological skills needed to identify, characterize, analyse and exploit such traditional knowledge. This manual therefore constitutes a resource to help address this challenge.

It is however important to draw the attention of potential users to the fact that this document does not provide a panacea or ready-made recipes. Its aim is rather to provide methodological orientations that are to be adapted to each country’s specific context.

The manual is divided into two parts. The first part offers a refresher on key concepts, and the second outlines the steps and tools required for the capitalisation of climate change adaptation experiences.

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1introdUCtion: ConCEpts and dEfinitions

African populations are particularly vulnerable to the impacts of climate changes and to climate variability. This stems from their very high dependence on natural resource use, through activities such as agriculture, livestock raising, fisheries and forestry, which are all largely dependent on the amount and regularity of rainfall. Moreover, the trend towards global warming already causes disruptions in the rain cycle, which results in extreme events such as floods or droughts that affect food production.

When combined with other social and economic vulnerability factors such as social exclusion, conflicts, under-employment, the adverse effects of globalization on small farmers and poor access to basic social services, etc., climate changes act as an amplifier of rural and urban poverty, particularly in Africa.

box 1. Understanding vulnerability

Vulnerability to climate changes measures the degree to which a system is likely to be affected by the adverse effects of climate changes. It depends on two key factors. The first pertains to the degree of exposure to climate risk and the second relates to the degree of risk sensitivity (Smit and Wandel, 2006).

In rural areas, climate changes induced ecological vulnerability amplifies the effects of other types of economic vulnerability (poor access to resources, markets, etc.), social vulnerability (social exclusion, poor access to education and health), etc. That is why, in the context of the analysis of local adaptation strategies, it is particularly important to pay attention to both local practices that reduce the vulnerability of the populations and to those that aggravate it

In response to this complex challenge, a multitude of initiatives are underway at various levels and in different sectors. It is on the basis of such efforts that we must build national and regional strategies that are coherent to ensure efficient adaptation to climate changes. The types of measures proposed to mitigate the risks associated with climate changes include, among others: (1) policies and programmes taking into account scientific knowledge and experiences of the rural populations in a combined manner, as well as best practices in terms of reaction and (2) the strengthening of individual and collective capacity of rural people and governance institutions at the local level to enable them to improve the resilience of local production systems (IFAD, 2011).

box 2. resilience

The concept of resilience refers to the ability of a person or system to overcome the shocks and stress triggered by climatic events and to thus be able to regain its original state. But from a sustainable development perspective, the sole aim of local adaptation strategies should not be a return to the state in which the system was before the shock. Rather, they should focus on achieving transformation, which consists of setting up more sustainable systems. For instance, a rural household faces a decline in farming income due to a drop in yields resulting



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from the decrease in rainfalls. To maintain their standard of living, the household can call on different options: changing crops, keeping the same crops by adopting new seed varieties, increasing the surface area under cultivation and diversifying its activities. Some options provide sustainable solutions whereas others may eventually increase the vulnerability of the household. That is why it is important to choose the solutions that will contribute to building lasting resilience out of the basket of solutions.

These measures are in perfect sintony with the objectives and strategy of the Africa Adaptation Programme that supports governments in building an integrated and multi-sectoral strategy for efficient climate change adaptation in a perspective of sustainable development and fight against poverty. Organisational and decision-making capacity building in the field of knowledge management plays a central role in this strategy. It will have to create the conditions to set up institutionalized mechanisms and reflexes for the generation, analysis and sharing of information and knowledge, according to the needs and specificities of various stakeholders such as policy makers, experts, the private sector, grassroots communities, etc.

box 3. Mitigation, adaptation and adaptability

Mitigation refers to all measures designed to tackle the causes of climate changes. For instance, they relate to all actions aimed at limiting greenhouse gases emissions (GHG), the main cause of global warming and of the resulting disruption of the rainfall cycles, sea levels, etc. For example, the use of fossil fuels in industry or agriculture, as well as deforestation, are major causes of global warming. Tackling these phenomena involves mitigation strategies.

Adaptation to climate changes is defined as the adjustment of natural or human systems in response to current or expected climatic stimuli or their effects, in order to moderate harm or to exploit beneficial opportunities (IPCC, 2001: p. 982). The manner in which systems adapt depends on the nature and severity of the shock, the degree of exposure, shock sensitivity, as well as the resources available in the system to cope with shock.

It thus appears that mitigation measures and adaptation are complementary to one another, the first addressing the root causes of climate changes, the second addressing the effects of climate changes on the environment and livelihoods. Adaptability refers to the opportunities available to a human or natural system to design and implement adaptation measures to climate changes and to assess the effects of climate changes. In rural Africa, this ability depends on the availability, access and potential of means of valorisation, human capital (labour, knowledge and intellectual knowledge, etc.), social capital (networks, forms of solidarity, community rules, etc.), natural capital (natural resources including land resources, forests, wildlife and water resources, etc.), technical capital (equipment, local technical innovations, etc.) and financial capital (financial resources, income, etc.). This capacity to adapt varies from one community to another and from one period to another.



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illustration 1: Climate changes related phenomena: floods and drought.

Flooding in Mauritius Dried Oasis in Morocco

1.1knoWlEdgE ManagEMEntThe French language introduced nuances between information, knowledge, know-how and ‘savoir’, a form of knowledge that relates to wisdom. For simplicity’s sake, we must remember that knowledge can be tacit (formatted and accessible) or implicit (undisclosed and sometimes unknown by its holder). Knowledge – as in savoir - refers to an individual or collective intangible heritage, which covers a variety of areas and generally an implicit form of informal transmission.

Information can be considered as data processed for the purpose of sharing. It is closely related to communication. It helps to get an idea of something. Knowledge, in turn, is formalized and focused. It refers to contextualized, interpreted and analysed information. It is common to hear that knowledge and know-how made explicit become knowledge.

For example: if one says: «The village of Natangué is experiencing a drought», one gives information. But when one starts to analyse the phenomenon (its causes, manifestations and its consequences), we enter into the realm of knowledge.



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box 4. knowledge Management

Knowledge management refers to the process of creation, dissemination and sharing of knowledge in order to influence individual and organisational practices or public policy. Knowledge management is based on three pillars that make up its substance:

1. Recognition of knowledge and know-how as capital: Just as financial and technical capital, knowledge is fundamental to development. It adds value to individual and collective information, learning, and experiences to allow for a more efficient management of development programmes and projects.

2. Recognition of the diversity of knowledge: Every action is a source of lessons; starting from this principle, knowledge management promotes the recognition of the diversity of knowledge (savoir), know-how and knowledge sources (traditional, local and scientific knowledge, etc.), as well as the flow sharing of knowledge. Knowledge management thus enables one to take into account this diversity, in order to strengthen the process of project implementation or programme development.

3. Mobilization of knowledge for development: In this sense, knowledge management enables the identification, accumulation and communication of knowledge collected and/or generated for improved practices and policies, but also the state of knowledge on a given topic.

A good knowledge management system within climate change adaptation projects and programmes offers several advantages:

It helps promote a more inclusive approach to climate change adaptation. It ensures a greater participation of actors as each holds a piece of knowledge useful to all, if it is explained and shared across the entire sector. Local knowledge (savoir) is thus valued as much as the results of the research undertaken, which ensures the development of more appropriate and therefore more effective strategies.

It contributes to improving the skills and abilities of organisations and individuals responsible for implementing programmes through access to new knowledge and tools.

It can help develop partnership opportunities and at the same time reduces the risk of duplication of interventions through greater visibility of stakeholders.

It reduces the cost of interventions by facilitating access to strategies and solutions already tested.



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box 5. Capitalisation

From a knowledge management perspective, capitalisation is an exercise that consists of extracting lessons from tested practices, not only to improve them, but also to inspire other actions. It is therefore about facilitating the description, analysis and sharing, in a continuous and participatory manner, of the processes and results of a development project. In actual fact, the usefulness of the capitalisation is multiple. It allows one to develop and produce knowledge - thus contributing to the development of an institutional patrimony of knowledge - and to the generation of tools for collaborative learning, as well as provide content for communication purposes.

Capitalisation is based on the principles of multi-stakeholder participation and learning, which need to become the thread of the process to really capture the diversity of positions, perspectives and perceptions. The benefit of an inclusive and multi-stakeholder approach also lies in the opportunity it offers to mobilize the specific skills and perspectives of each and everyone.

Communication and capitalisation are two related concepts. Indeed, the capitalisation process can only be considered truly finalised until such time as the knowledge generated enters a disseminating and sharing process, that is to say a communication process. Capitalisation therefore provides grounded content and arguments to be fed into a communication approach, whose end purpose may be multi-pronged: increasing institutional visibility, preserving intellectual patrimony, strengthening capital relationships, influencing policies and practices, etc.

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1.2ConCEpt and MEaning of traditionnal knoWlEdgE WitHin CliMatE CHangE adaptation prograMMEs

illustration 2: traditional technologies and practices in Morocco

Exploitation of cultivation of medicinal plant Lawsonia enermis (Henna common name), at the Oasis Tata (Morocco). It is a dye and medicinal plant rooted in Moroccan culture.

Traditional knowledge is unique to each culture or society. Traditional knowledge differs from conventional knowledge systems generated by universities, research institutions and private organisations. It forms the basis of local decision-making systems in areas as diverse as culture, social affairs, agriculture, health and natural resource management. This system is dynamic and continuously changing under the influence of creativity and experimentation specific to the society in question, as well as to external inputs. Some features distinguish it from conventional wisdom: it is local, tacit rather than explicit, usually transmitted orally or by observation, based on experience rather than on theory, it is taught or passed on through a process of repetition and continually changes (Warren 1991; Flavier et al. 1995:475 in World Bank, 1998).

In Africa, different forms of traditional knowledge related to climate changes resilience can be found, including weather prediction; but the source of this knowledge, its construction and transmission mechanisms are not readily identifiable, hence a tendency to limit them to the



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anecdotal phase or to circumscribe them to local points of interest. In addition, this knowledge is rarely written (orally transmitted) and the elements that constitute it have been accumulated through observation over a long period of time (repetition) of externally manifested signs (experience and not theory).

There are thus several issues related to promoting traditional knowledge:

Knowledge backup challenge: The lack of tools and mechanisms enabling the identification, description and recognition of traditional knowledge entails significant knowledge loss risks. In the agriculture or pastoral fields, local communities have always been able to develop new technologies or to adapt existing ones to new external constraints. One can, in this context, cite the existence of seed banks containing several varieties that people could use in different situations.

Biodiversity conservation challenge: African societies have always established practices and traditional institutions that have had a high impact in maintaining environmental biodiversity. For example, rules prohibiting the temporary or permanent exploitation of certain species often entail a concern for their conservation, even if the reasons given are sometimes cultural. Biodiversity increases the potential provision of eco-systemic products (income generation, cultural use, pharmacopoeia, fight against food insecurity, leisure, etc.), which are particularly important in the context of climate changes.

Tracking challenge: The lack of coding systems often poses problems in terms of tracing the origin of knowledge. Many communities adopt traditional knowledge they have not authored, or which they have collectively authored in a multi-generational perspective. This situation results in people struggling to understand the circumstances that gave rise to this knowledge, but also the manner in which they were experimented and locally validated.

Cultural challenge: Traditional knowledge forms part of the cultural heritage of each society. Maintaining the cultural identity of this society is largely dependent on the efficiency of the mode of knowledge transmission from one generation to another.

Importance of traditional knowledge in adaptation programmes

The inclusion of traditional knowledge in adaptation programmes facilitates the participation of the communities concerned;

It also helps to empower people in the decision-making process pertaining to the implementation of programmes, thus allowing a reversal of power relations between external agents and communities, by turning the later in catalysts of the change process;

The valorisation of local knowledge allows external agencies and project staff to get a better understanding of the situation and local practices;



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The local aspect of traditional knowledge endows it with an ability to adapt quickly to a changing environment, as opposed to a technology designed from the outside;

The solutions identified from local knowledge are generally based on a valorisation of local resources (human, social, natural, technical, etc.), which facilitates the ownership as well as horizontal diffusion of knowledge to other communities. This is an important dimension in the context of local adaptation, where farmers often have limited financial resources, and in the need for adapted and inexpensive solutions.

box 6. Example of synergy between local and conventional knowledge

In the area of Thiès, in the Centre West part of Senegal, the PROFEIS Programme (Promoting Farmer Experimentation and Innovation in the Sahel)1 aims to promote the innovations of peasantry that can contribute to reducing the vulnerability of farmers to climate changes. In this framework, in Keur Ndiogou Ndiaye, farmers have set up a local arboriculture practice that consists of combining mango trees and Nguiera Senegalensis. They found that mango trees planted beside clumps of these bushes grow much faster than others. In order to understand the reasons for this and also to see how to better exploit this potential, they have invited researchers to work jointly with them, in a process of joint experimentation to find answers to their question. This local knowledge presents many advantages: it increases local resilience by enabling people to save a business activity threatened by the lack of water; it constitutes the ground for a partnership between research and farmers on the basis of mutual learning; and it strengthens the catalytic role played by innovating farmers.

1 The PROFEIS is a multi-stakeholder programme coordinated by the AGRECOL NGO based in Thiès, Senegal, with the participation of farmer organisations, research organisations and other NGOs.

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2.Capitalisation CHallEngEs and proCEssEs in tHE ContExt of CliMatE CHangEs

2.1Capitalisation CHallEngEsThe high degree of compartmentalisation that characterizes the activities of different actors engaged in the field of climate change adaptation reduces the opportunities for mutual learning and the sharing of experiences. To meet this challenge, it is necessary to initiate activities of capitalisation of experiences, for which the challenges are multiple:

Establishing an institutional memory of climate change adaptation initiatives, activities and projects, allowing for the visualisation, at any given time, of the positive aspects and areas for improvement.

Better understanding of the process used by communities, with the support of projects, to achieve results, enabling a better traceability of actions and better legibility and visibility of activities. These achievements reinforce the reputation of the organisation and increase its level of recognition by development actors at local, national and regional levels. Furthermore, by capitalizing on the accumulated experiences, the organisation fast tracks the implementation of these processes, thus gaining in efficiency and effectiveness.

Generating new learning opportunities for the organisation’s staff, grassroots communities and other stakeholders involved in the implementation of initiatives. This way, they obtain answers to their questions on how to go about projects, but also about the paths that were used in the development of institutional, technological, etc. innovations.

Building an identity/own expertise based on capitalisation of experience, providing the organisation with an intelligence capital that allows it to influence practices within the organisation, as well as public policies at the local, national and regional levels.



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illustration 3: learning encounters in rwanda

The elderly, farmers, educators, opinion leaders who participated in the recent survey on climate change adaptation and mitigation traditional skills (Source: the magazine 6 REMA, Rwanda)

2.2aiMs

It appears under these conditions that the capitalisation of experiences process aims for one or more of the five following major objectives:

To draw lessons aimed at improving the conduct of activities or the development of new projects

To inspire other development actors in formulating new institutional or public policies

To strengthen partners and facilitate the mobilization of resources

To develop internal capacity and strengthen a dynamic and collaborative mind set

To produce and share knowledge to improve development practices and theories

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2.3Capitalisation aCtors

The importance of an inclusive and multi-stakeholder approach also lies in the opportunity to mobilize the skills and perspectives of each and everyone. It is also important that the actors involved in the process of capitalisation be defined. This choice must be representative through the inclusion of stakeholders in the implementation of the experiment. This does not entail that all actors will be involved in the same way throughout the process. Everything depends on the relevant information that needs to be generated at each step of the capitalisation process. In this framework, the way the process is facilitated is crucial, since it must allow stakeholders to become actively engaged actors in the generation of (new) knowledge stemming from their own practices, as opposed to merely being objects of the capitalisation process.

In addition, in connection with the purpose of sharing knowledge, the identification of capitalisation process beneficiaries, whether as primary beneficiaries (those for whom the results are primarily intended), or secondary (those that can be indirectly or secondarily affected) is required before deciding on the format to present results. Under these conditions, it is important to understand the individual journeys, skills and expectations of these groups, the languages they use and their practice of sharing information.

The level of access to certain equipment (radio, television, video player, computer, internet connection) is also a factor to take into account in the analysis of the target to facilitate the choice of tools and appropriate communication media.

2.4faVoUrablEs ConditionsDriving a capitalisation process requires favourable conditions, which may include:

A solid institutional anchorage, which is characterized by (i) the mobilization of project staff (project team, service providers and beneficiaries) and other key stakeholders including community leaders or decentralized institutions, (ii) the provision of financial resources and logistical support to accommodate the process, and finally (iii) the integration of this institutional set-up into strategic and operational planning.

Access to information (project documents, progress reports, supervision or evaluation documents and documentation of processes and procedures) and a willingness to share knowledge on the part of the different stakeholders.

Actors displaying a capacity to identify or collect information describe and analyse experiments, facilitation skills, an ability to conduct meetings and critical management review processes that require a good dose of humility.

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2.5tHE Capitalisation proCEss

The capitalisation process is underpinned by seven main steps: (1) Planning, (2) Identification, (3) Description, (4) Analysis, (5) Formatting results, (6) Sharing, and (7) Monitoring and Evaluation (on-going activity)

figure 1: description of the capitalisation process



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1. Planning: An essential step, both at a strategic and an operational level. This step allows one to ask preliminary questions relating to the objectives and purposes, roles and responsibilities of actors, the type of and facilitation modalities, the implementation activities and monitoring process. This step also presents an opportunity to make the identification process of the experience(s) to be capitalised more accurate.

2. Experience identification: Allows for a concise presentation of the experience by setting the context and the problem statement in which the identification process is rooted and to which it strives to provide answers.

3. Experience description: This is the step during which the experience is scrutinized in detail, by establishing both the historical pattern, the methodological approach, the place and role of stakeholders, the organisational mechanisms and the technical process correlated to the experience. This represents a first level of analysis, with an assessment of both intended and unintended, positive and negative results and effects.

4. Experience Analysis: As the name suggests, this refers to the stage during which the experience undergoes a thorough analysis on the basis of the capitalisation axes identified. It allows one to extract the lessons learned from the experience implementation.

5. Formatting results: Focuses on the consolidation of all the elements resulting from the process and its formatting for sharing purposes.

6. Results sharing: This is the stage during which the knowledge stemming from the process is put in the public domain in various media and channels, depending on communication objectives.

7. Monitoring and Evaluation: Monitoring and evaluation is a crosscutting and on-going activity. M&E must accompany both the capitalisation process itself and the process of results’ dissemination and sharing. The information generated allows players to initiate the required consolidation measures or corrections. The monitoring and evaluation system within the capitalisation process of an adaptation strategy should be participatory and inclusive.

It must be remembered that capitalisation falls within the broader spectrum of knowledge management in the sense that the (new) knowledge generated will be fed into an information flow, from which it will be reused, strengthened and renewed. Hence the importance of the monitoring and evaluation mechanism that will ultimately lead to a new discovery, capitalisation, sharing and communication cycle, on an on-going basis.

Capitalisation is an iterative process, whereby the steps are mutually reinforcing. Furthermore, capitalisation being a knowledge generation process, the collection and construction of information are continuous throughout the process. The following table shows the types of information and the correlated sources and tools for each step.



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table 1: types and sources of information in the process of capitalisation

Stages Type of information Information sources ToolsPlanning Capitalisation needs

inventory

Information about actors

Information needs

Secondary information available on the various initiatives that could be capitalized upon

Project staff

Documents available

Various actors

Meeting

Literature review

Identification Information pertaining to the context of the initiative

Baseline data on the earmarked initiative

Focus group

Project staff

Other actors

Beneficiaries

Secondary data

Focus group

Semi-structured interview

Literature review

Community interview

Description Information on investments, activities, results, decision making, roles and responsibilities, difficulties, constraints

Project staff

Other actors

Beneficiaries

Secondary data

Focus group


Literature review

Community interview

Interview of resource people

Analysis Information explaining results, lessons learnt and recommendations

Project staff

Facilitator with project staff

Communities

Information pooling workshops

Results formatting

Information on available media

People responsible for information formatting: project staff

Consultant

Retreat or write shop

Results sharing Information on the profile and needs of the intended beneficiaries

Project staff

Consultant

Communities

Fora, workshops, communities of practice, media, fields trips, video, posters

Monitoring and Evaluation

Information on the conduct of the capitalisation process or on diffusion: objectives, expected results, capitalisation tools, roles of actors, achievements, constraints

Project staff

Consultant

Communities

Focus group


Literature review

Community interview

Interview of resource people

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2.6tHE faCilitation proCEssSeveral stakeholders may initiate a capitalisation process. A project or programme, a person or a community organisation could initiate such a process. The conduct of the process requires a good knowledge of the capitalisation methodology, regardless of who the initiator is. Sometimes, the capitalisation work is entrusted to an external resource person, but quite often, it is the players themselves who lead the process with the support of a facilitator. The profile of the facilitator is defined according to the objectives and expected outcome of the process. But in any case, he or she should have good analytical, facilitation and writing skills. The specific facilitation activities should be specified for each session, but for a capitalisation process, they can be summarized, among others, to the following points:

Before project commencement

Help participants set goals

Guide stakeholders in defining roles and responsibilities

Assess logistical and financial needs

Plan the implementation process

During the capitalisation process

Guide stakeholders in clearly defining the objectives for each stage

Provide appropriate tools for each step

Ensure adequate stakeholder participation

Organize note taking during the discussions

Help participants organize and format information

Encourage participants to evaluate each session and make the necessary corrections

After the capitalisation process

Facilitate an assessment of the capitalisation process

Report on the evaluation process

Plan the diffusion and sharing phases

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2.7inforMation gatHEring

The gathering of information within a capitalisation process is an on-going and iterative process, as it lies at the heart of the information mobilizing activity, from which knowledge is extracted. It is therefore crucial to decide which type of information is to be collected, to identify the actors and sources of information, as well as settle on the appropriate tools.

Information gathering is a process consisting of identifying the nature and sources of information and the processes for information and data acquisition in order to describe and analyse the pilot project.

Several types of information are to be taken into account in an experience capitalisation process. These include textual information (reports, press articles, thesis dissertations, legal materials including the United Nations Framework Convention on Climate Change and the Kyoto Protocol). Other types of information include visual information (documentary films, video, television and radio), graphic information (photos, drawings) and digital information (statistical databases, electronic platforms, alerts) and oral information.

Actors are the main source of information in the capitalisation of experiences. This group includes beneficiary communities. They can give an opinion on the origin of the project, its set-up, its implementation, related activities, results, and challenges, as well as on the effects and impacts of these projects.

To these actors, one can also include the players who were involved in the project, and who no longer are, such as civil servants and development project officers. They are however often not aware of the project management data, which enables one to better appraise project reality. Project staff – the unit coordination manager, the officers responsible for programme outcomes, monitoring and evaluation and communication - as well as service providers, will also have a good knowledge of the project.

In most cases, programme managers oversee government-funded projects, with the support of technical and bilateral and multilateral financial partners. They jointly hire consultants to carry out consultancy assignments and contract businesses to carry out the work, including infrastructural layout. The latter hold much of the project related knowledge.

Acquiring this information requires knowledge of various sources of information. Prior to proceeding with the collection process, it is important to review the content relating to a capitalisation topic, to extract from the sources the most significant parts in relation to the theme and to reference the source by writing up the bibliography according to the standard adopted.

To collect information, it is appropriate to make use of research tools such as life stories, semi-structured individual and collective interviews, focus group discussions and observation.



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box 7. some information gathering techniques

The life story is a research technique rooted in historical depth. The individual is given the opportunity to tell his or her experience on one or more specific situations. This technique places the witness at the centre of research. It gives him/her the opportunity to provide information about himself/herself, his/her entourage and influences felt throughout the life span of the project.

Semi-structured interviews give players the opportunity to tell their stories while directing the discourse around the core issues of the study. Unlike life stories, semi-structured interviews give more space to the person who collects information, by directing the research on a given topic.

The focus group discussion is an interview technique that combines a number of generally limited participants (8 to 12), selected according to criteria of homogeneity (gender, belonging to a profession, residency, etc.). The interview focuses on a limited number of axes and the duration of the focus group discussion is also relatively limited compared to an ordinary interview. This technique provides an interaction framework that leads to each and everyone’s viewpoint being submitted to the scrutiny of all participants.

Individual interview. Candidates less comfortable in a group set-up can subsequently be interviewed individually. But individual interviews could also be conducted with resource persons who hold specific but important information for the data collection process. In local communities, such people include the village chief, the village extension officer, the imam or priest, etc. But those resource persons would be chosen according to the specific theme of the research.

Although it is necessary to obtain the maximum of information, one must be able to select information that is directly relevant and that will be used, hence the need to be focused. All the available information will indeed not necessarily contribute to the analysis or the identification of lessons learnt.

To ensure the information gathering process is successful, it is important to mobilize staff; this requires at least three conditions:

1. Awareness of the challenges of capitalisation

2. The introduction of a mechanism and an information transmission circuit (file, mailing list, central data hosting point)

3. The existence of a system to motivate and provide incentives for people to take part in the collection effort.

Finally, it is also important to take into account several factors, including the time available, the area of interest covered and the level of resources available.

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3stEp bY stEp

Capitalisation of ExpEriEnCEs

3.1planning

A capitalisation of experiences process requires some planning work, which will consist of determining and specifying certain key aspects before the process kicks off.

illustration 4: a meeting between a project team and a community

Explanations on the plantation of Moringa sp., AAP Mozambique

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SITE SELECTION

Site selection is an explanatory work, which enables the players concerned by the capitalisation process to agree on the field in which the capitalisation process will focus and to identify the experiences or projects that could become objects of capitalisation. This marks a crucial step within the process, since the success of the other steps will depend on its sound implementation. The site selection work thus entails:

Listing the various activities or initiatives, which could potentially be fed into the capitalisation process: several potential axes of interest can be found in a given project/programme but the capitalisation process is to remain focused. It is important to begin with a repertory of the initiatives to ensure that the selected capitalisation axes are relevant.

Agreeing on the selection criteria, which will inform the choice of the capitalisation axes or themes: should one only favour success stories or should one also document failures? Should one emphasize the capitalisation pertaining to the methodological process or solely the technical content of the project? Should one place emphasis on older initiatives alone, etc.?

The analytical and prioritization matrix for the capitalisation axes aims to support the collection of information pertaining to the priority capitalisation initiatives and axis. It should include the following information:

1. The list of the various initiatives conducted by the project or programme

2. The localisation of these initiatives and eventually their starting date

3. The inventory of potential capitalisation axes or themes

4. The breakdown of elements or reasons showing the importance or relevance of each axis or theme

5. The prioritisation of axes or themes, taking into account various criteria, the nature and significance of which can vary from one experience to another. This prioritisation makes the choices of axes to be retained for the capitalisation process easier. By way of example, the prioritisation criteria may include: the potential impact of the initiative, its innovative nature, its durability, its reproducibility, the possibility of scaling it up and the availability and accessibility of information to ensure a successful process, etc.

This grid should be discussed with stakeholders with the support of the facilitator who will help the group reach an agreement on the potential axes of capitalisation. One should bear in mind that it is possible to identify different areas of capitalisation for a same initiative. It is then up to the group to decide which axis to retain for the capitalisation exercise in relation to the general context of capitalisation and the intended objectives.

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table 2: analytical grid: the aap Wfp project - Energy Saving Stoves in Institutions in kenya

Initiatives developed by the project

Install stoves in 413 schools in Kenya

Establish a revolving credit facility to fund future installations

Plant woodlots in schools to produce the needed firewood

Train artisans in the manufacturing of improved cooking stoves

Potential documentation themes

Capitalizing on the process of reinvesting the income through educational activities

Capitalizing on the process of environmental restoration

Capitalizing on the experience of employment generation for local artisans

Elements that could justify the choice (why are these axes important for the capitalisation process?)

The experience is easily replicable

It has a high impact

It constitutes a climate change adaptation practice

Rank in order of priority Capitalizing on the process of reinvesting the income through educational activities

Capitalizing on the process of environmental restoration

Capitalizing on the experience of employment generation for local artisans

Note: This example is shared in a synthetic form, by way of illustration. In a real situation, the presentation should be more detailed.

illustration 5: improved cooking stove distributed by the Wfp project in kenya

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DEFINING THE AIMS OF THE CAPITALISATION PROCESS

A capitalisaiton process, first of all, entails revisiting the capitalisation challenges for the organisation, within its specific context. Then one has to define the intended objective through the capitalisation process. Is it about facilitating ownership of the tool by other stakeholder groups or a process consisting of developing and implementing adaptation programmes? Does one seek to prepare an advocacy campaign on issues relating to climate change adaptation or is one aiming at formulating a fundraising plan to support local adaptation initiatives? Whatever the objectives of the capitalisation process, it is necessary to define them accurately from the start of the process.

The capitalisation analytics and prioritization matrix allows one to collect information on the objectives of the capitalisation for the organisation, with strengths and assets lying in establishing a capitalisation system and the constraints one will need to tackle.

table 3: analytical matrix showing the challenges and objectives of the capitalisation of the WFP-AAP project: Energy Saving Stoves in Institutions, kenya

Key questions AnswersWhat are the capitalisation challenges for your organisation?

The project’s impacts are long term, which makes it difficult to document them in the short term

It is difficult to access schools since most are located in remote areas

The information provided by the schools are sometimes inaccurate

What are the capitalisation objectives for your organisation?

Dissemination of fuel-efficient improved cooking stoves

Establish sustainable financing mechanisms

Establish sustainable sources of domestic fuel

What are the assets and opportunities that your organisation can offer to a capitalisation system?

Commitment and interest in the project to share experiences stemming from it

Availability of financial resources to support the capitalisation process

A national context favourable to capitalisation through ICT development and the existence of several platforms on knowledge management

Availability of resource persons able to conduct the capitalisation process

Media commitment for the dissemination of knowledge on climate change

Which (limiting) constraints must one face?

Due to the cultural reality, the use of wood is still predominant

A simplified formatting of technical data is often difficult

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CAPITALISATION ACTORS

One has to first define the actors whose participation in the process is crucial. They represent both objects and subjects of the study. This is directly related to the role they have played in the course of the project. In some instances, it may implicate project staff, but also local communities, service providers, state or local government, donors or NGOs. It sometimes happens that players who have not been direct stakeholders of the project, but who have observed the project by virtue of their proximity to it, are invited to participate, specifically for the external and detached outlook they add to the project.

It doesn’t suffice to list the players; one also has to define their roles and responsibilities in the capitalisation process.

table 4: Matrix of stakeholders involved in the analysis of the capitalisation process (climate change adaptation case study)

ACTORS Which information do they hold?

Roles and responsibilities within the capitalisation process

Expected outcome of the capitalisation process

Project Staff Project objectives

Planned and achieved activities

Beneficiaries, actors and their roles

Results

Provide basic information on the project

Make logistics available

Diffuse capitalisation results

Use capitalisation results to introduce change triggering actions

Greater project and project results visibility

Influence over decision makers and other players in the sector

Project performance improvement thanks to the change triggering actions induced by the capitalisation process

Beneficiary communities

Nature and degree of participation in action implementation

Their knowledge and adaptation strategies

Activities undertaken in their locality

Positive or negative impacts of project

Providing information on knowledge, project practices, participation, project impact, etc.

Taking part in the analytical process

Taking part in the diffusion of results (at the local level)

Enhanced consideration of their perceptions and viewpoints

Improved quality of project service delivery

Furthermore and related to the above defined objective of the capitalisation process, one has to determine the indented target audience of the capitalisation outcome. Defining this audience allows one to choose the appropriate communication and knowledge sharing tools and media.

Finally, it is essential to choose from the onset a facilitation model with the input of an internal or external facilitation; this is of capital importance. Given the participatory nature of a process that demands everyone’s input, capacity to make all contributions to the process emerge becomes essential.

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OPERATIONAL PLANNING

The point here is to recap on the practical aspects that will facilitate the conduct of the capitalisation process. This process is about:

Identifying the available information, identifying sources of information to be mobilized (beneficiaries, witnesses, actors, documents) and choosing the methods of data collection, taking into account the diversity of sources.

Developing a schedule of planned activities, outlining the beginning and end of each activity, the links between the activities and the schedule of the activity sequencing in order to set deadlines for the process.

Developing a detailed budget based on an objective assessment of the required resources, since the capitalisation process experience is a resource intensive process in terms of staff, logistics and access to information, the mobilization of which requires funding.

Conceiving a monitoring and evaluation matrix clarifying from the start the criteria, indicators and sources of verification. One also has to control the implementation of activities, in compliance with the work plan. This approach enables one to identify possible deviations from the work plan and take corrective action.

The project-planning matrix aims to collect synthesis data relating to a project capitalisation planning process. The information to be generated pertains to the context, the capitalisation objectives, the target beneficiaries and stakeholders involved in the process, as well as their roles. It also collects information pertaining to the facilitation process, the inventory of the type of information to be collected, and the project schedule and cost analysis elements.

table 5: project-planning matrix applied to aap Morocco

Axes Synthesis of elements of content

Describing the context Climate change related issues are crosscutting; hence all socio-economic areas are concerned. It is for this reason that all actors in the field of climate change must document their experiences to give newly initiated activities a much greater chance to succeed.

Capitalisation objectives A capitalisation process makes provision for a database that could guide further climate change actions to be initiated.

Beneficiary groups or targets Grassroots communities constitute the primary beneficiaries since adaptation is implemented at a local level. The AAP project also constitutes a key beneficiary, since the results of the capitalisation process will enable it to improve the effectiveness and impact of its interventions.

Actors involved in the process and their roles

Project staff, which provides basic information about the project and provides the necessary logistics to achieve the capitalisation process; the grassroots communities that implement the adaptation actions; the technical and financial partners that technically and financially support the fight against climate change actions; the technical extension services that supervise field activities; private service providers that carry out certain activities in their areas of competence.

Reflection on the facilitation process

A resource person will be hired to facilitate the capitalisation exercise. However, this process will have to be participatory and inclusive.

Inventory of the types of information to be collected

Experience related to the implementation of adaptation pilot projects (activities, actors and their roles, costs, outcomes, impacts); conducting studies, conducting seminars and workshops.

Implementation schedule July to August 2012

Cost analysis elements

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3.2ExpEriEnCE idEntifiCation

Every organisation has a wealth of experience that can be subjected to a capitalisation process. One will have to identify the key aspects that make up the identity of this organisation. Thus, the identification process helps set the context and ask the questions relating to where this experience fits.

Important !This is not about reworking the project document or logical framework. Even though these documents constitute a basis of the project literature, the point here is rather to capture the outcome of the practical experience. It is therefore a first level of reflection on a collective experience. It is also interesting to note that different actors in the same experiment may have different perceptions on the same subject. This is the whole point of this exercise!

illustration 6: practical field activities carried out in the aap project in rwanda



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Localisation Where is this experience taking place/located?

This is to specify the location of the experiment: area, province, district or region, country. It is necessary to specify the characteristics of the area if it has a direct impact on the experience.

Time period For how long has the project been running? How long has it lasted?

This section helps to define the temporal space during which time the project was conducted. The project time period may correspond to specific socio-political, economic and/or environmental conditions that may explain some situations that could be observed in the capitalisation process.

Context In which context does the capitalized project fit?

Here, it is about emphasizing the contextual aspects in which the project fits: the economic activities in the area, the main constraints on development opportunities, social dynamics, public policy, etc.

Important !The point here is not to make an exhaustive presentation, but to rather emphasize the key aspects related to the project.Example: For instance, in the context of climate change, specify the zone with these same eco-geographical constraints and opportunities; here, economic activities become relevant.

Problem statement What is the core issue? Why was this project implemented?

One should precisely define the problem statement underpinning the experimental project. This is about bringing forth the ground reasons that have led to the initiative. It is, in other words, about re-exploring the baseline situation.

box 7. Example

The gradual disappearance of woody vegetation cover and soil degradation, resulting from the combined effects of human activities and climatic variations has increased the vulnerability of people living in the Senegalese groundnut basin. This results in lower biomass potential and in declining yields and farm incomes. It also causes extra work for women who are forced to travel long distances in search of wood.



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Links with other similar initiatives What links have been developed with other experiences related to this issue?

This section focuses on the relationship that the project or the community have forged with other initiatives (past or current), which also endeavoured to respond, in the same area, to the same problem as the capitalisation project. It is important to identify the strengths and weaknesses of the other answers to the issue and the links with the capitalisation experience.

Objectives What is the purpose of the capitalisation project?

This is about clarifying the purpose of the experimental project and of the intended change(s).

The project identification matrix aims to gather information about the context of the capitalisation initiative, including its title, location, time period, context and issues underpinning it, as well as previous efforts.

table 6: aap Mauritius project identification matrix

Experimental project title

Mapping of areas vulnerable to climate change induced flooding

Localisation The entire territory of the Mauritius Republic (4 islands in the South West of the Indian Ocean, 2,000 km2, with a population of 1.3 million inhabitants)

Time period Project implementation starting during 2012, when the project document was finalised. It is currently underway and will spread over another 3 months.

Context In the context of the Mauritius Republic AAP project.

Problem statement The country is experiencing more and more economic and social damage caused by heavy rains due to climate change. The country is also subject to problems of loss of its coastline and its infrastructure due to rising sea levels.

Other initiatives National institutions such as the Institute of Meteorology and the Ministry of Public Infrastructure have collected some data on the risk areas. But this information has not been sorted for lack of an information management system and of a mapping of these phenomena, which would assist with addressing this problem.

Objectives Facilitate the understanding, decision-making and action planning by policy makers to address the problem of flooding through the establishment of a GIS mapping and its regular updating.

Note: This example is fairly synthetic, for illustration purposes. In a real situation, the presentation should be more detailed..



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illustration 7: illustration of Mauritius on this project

Inundation contourRoadSea Mainland Inundation prone area0 2 km10.5

GIS map showing part of the coast of Mauritius at present.

The DDR Project will determine the extent of sea water intrusion in the future. This will be done through the use of appropriate climate modeling and the use of digital elevation model in GIS.

By using spatial analysis in the GIS, it will be possible ton know wich coastal infrastructures will be at risk from S.L.R. That is, all those infrastrutures (e. g. roads) in the purple shaded area will be affected by S.L.R. This information could be included in the national land planning documents, to ensure proper implementation.

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3.3dEsCription of ExpEriEnCEs

This stage marks a deepening in the identification of the experience with a detailed description of the activities carried out. It is therefore about:

Making a detailed presentation of the players involved in the experimental project, the methodological approach and the various milestones of the experience

Describing the different activities and induced outcome.

This phase describes all actions within the framework of the experimental project implementation, the results achieved, but also the unintended results. It also addresses the challenges, constraints and obstacles met. This stage consists of a first level of analysis of the actions carried out. This implies the need to present and organize all activities in a successive manner, taking into account the succession and the importance of each step.

Steps or components What are the different stages in the implementation process?

An experimental project can be broken down into stages according to a historical profile, or in theme based components, according to lines of work. In this last section, it is about showing how the project activities were organized. In other words, it focuses on the operational dimension of the experience.

Strategy and approach How was the experimental project implemented?

This section refers to the approach, orientation, or the specific strategy followed by the experience. This refers to the specific guidelines that have determined how the experiment was conducted. It provides a logical sequence of how these activities have taken place over time. Depending on the experimental project, the emphasis is either placed on capacity building or on gender mainstreaming, networking, farmer based innovations, etc. This presentation is an important part of the capitalisation framework. Indeed, from a learning or sharing perspective, the implementation mechanisms constitute an essential basis for analysis.

Activities What has been done?

This section allows one to review the various activities associated with each and every step. Each step may of course include more than one activity. It is not only about listing them but also describing them by specifying the actors involved, practical considerations and consistency with related activities.

Important !

It is essential to present the things that have occurred and not the things that should have taken place. The capitalisation process is about facts and a reproduction of the operational planning process.



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Technical/organisational processes How was the implementation process organized? Which technologies were used?

It is about going back to the organisational or technical dimension of the experience. Indeed, an organisational process outlining the implementation of activities is required to carry out an experimental project; at times technical and/or technological resources are mobilized. It is also important to analyse how the different actors are involved. It is important for the sharing process to highlight these items, as they may prove to be success factors or constraints.

Actors Who are the actors and participants in this experimental project?

An experimental project gathers a variety of individual and organisational actors who can be the initiators, the «beneficiaries», enablers and/or partners, etc. thereof. In this section, it is necessary to describe and clarify the roles, responsibilities of these actors and their relationships within the frame of the experimental project.

Results / achievements What are the effects induced by the experience?

Here, it is about presenting the outcome and concrete achievements reached as a result of activities, bearing in mind the objectives mentioned in the first matrix. Indeed, the type of results and achievements differ according to the experience and intended outcome. At this stage, it is necessary to consider the different viewpoints of stakeholders. The idea is not to reach a consensus among the actors, but to highlight the different perspectives. Diversity is a source of wealth.

Important !It will be important not to limit oneself to the quantitative aspects but also to explore the qualitative aspects.

Challenges What are the challenges met? What solutions have been tested?

In this section, all challenges and constraints that have impacted the implementation of activities and/or that prevented one from achieving further results or better results are listed and explained. Similarly, it is important to put forward the solutions, avoidance strategies and resolutions that have been deployed. This section is very important for the lessons learnt part and to identify key success or failure factors with a view of replicating the experience.

Important !

In order to draw viable conclusions from the process, one has to avoid presenting only its positive aspects. A description outlining only positive ideas and results will not be very credible. This is why the column outlining the «challenges», indicating problems and negative factors in general, is important.



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Unintended Effects What has happened that was not expected?

This section focuses on the results, impacts (positive or negative) not specifically covered when the project began, but that proved important. The information to be included here doesn’t necessarily relate to an activity or project component, but to the experimental project as a whole.

The column «unexpected results» should include all the unintended outcome emanating from the activities, whether positive or negative. This demonstrates the potential influence (positive or negative) of the experimental project. This often pertains to social relations, indirect effects, etc.

Important !A capitalisation process is not focused on the tools, but rather on the collective thinking around a shared experience. In this sense, the tools can facilitate this dialogue and help highlight the analysis from different actors. Matrixes enable one to structure the exchange and the collection of information, but they do not constitute a finality per se.

A project description matrix is used to collect and organize information about the various axes outlined above. For a complete description, it is essential to ensure that the various actors who hold relevant information participate in the process.

illustration 8: Coastal zone protection from erosion, aap project, tunisia

The beginning of activities of rehabilitation of the Korba beach (delegation in the Cap Bon region of Tunisia) with ganivelles to stabilize sand dunes



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table 7: project description matrix applied to the national Climate Change Coastal adaptation strategy programme, tunisia

Steps/components

Key questions Project start

Strategy/Approach

How was the experimental project implemented?

Problem statement and needs expressed by national partners

Establishing a technical committee to facilitate the implementation of this activity

Kick-off meeting

Consultation meetings with stakeholders involved, data collection, submission of draft document for review and comment by the ministries and technical departments involved

Approval of the document by all partners in the first phase and start of the second phase with a workshop involving the entire COPIL.

Activities What has been done?

Confirmation of the need to develop a national CC coastal adaptation strategy

Preparation of terms of reference to contract a consulting firm to develop the strategy

Signing the contract with the consulting firm selected

Technical/organisational processes

Who are the actors, projects implementers, and partners of this experience?

Protection Agency and Coastal Management; General Directorate for the Environment and Quality of Life; Ministry of Public Works and Housing; Meteorological Institute; INSTM; DGSAM; to be completedHow was implementation organized? What technologies were used?

Kick-off meeting

Consultation meetings with stakeholders involved, data collection, submission of draft document for review and comment by the ministries and technical departments involved, meeting to present the first phase draft document of the strategy to finalize the current status review.

Approval by all partners of the first phase document and second phase launched with a workshop involving the entire COPIL.

Results/achievements

What are the outcomes stemming from the experience?

Building a trust relationship between members and the COPIL and APAL

Willingness to integrate the experimental project and to keep on forming part of the project even in the implementation phases

Challenges met What challenges have been met? What solutions have been tested?

The Ministry of Environment was not convinced of the necessity of this strategy

Unintended effects (positive or negative)

What has happened that was not expected?

The first phase of the strategy has led to the formulation of a vulnerability matrix that points out vulnerable areas according to the natural environment in coastal areas and islands. This allowed the small technical committee to identify two areas considered as highly vulnerable for which a CC adaptation mainstreamed ICZM Plan should be formulated. These plans will be implemented in the context of other APAL initiatives currently underway.

Note: This example is fairly synthetic, for illustration purposes. In a real situation, the presentation should be more detailed.

Reminder: For each axis: it is necessary to identify the sources of information and choose the appropriate collection tools. One can thus combine individual interviews with project staff, focus group discussions or interviews with the local community, etc.

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3.4analYsis of ExpEriEnCEs

illustration 9: an analysis exercise (grouped with support tools such as tables, etc.) in senegal

Working Group at the Workshop on the Climate Action Force CAI

The analysis of the experimental project is probably the most important phase. It focuses on a critical examination of the experience, with a regard to the practices, relations, mechanisms from which lessons are to be extracted. The analysis should be conducted taking into account the funding axes and objectives. In order to achieve this, one needs to:

1. Take into account the capitalisation axes that were selected during the site selection exercise.

2. Take as reference the capitalisation objectives that have been defined during the planning phase.

3. For each objective, one needs to ask the following question: «What are the key determinants of change we aim to introduce through the dissemination of the capitalisation outcome? « The answers to this question refer to the criteria that will be used to guide the analysis. These criteria represent a kind of framework or structure to be used as a guiding thread throughout the analysis. It is often advisable to select three to five general ideas that were mutually agreed upon with the participants of the capitalisation process, taking



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into account the objectives and strategies of the project.

4. Choose the most appropriate tools to analyse these criteria: the choice should be guided primarily by the analysis criteria that were identified. Similarly, before making use of a tool, it is very important to reflect in a concerted manner on the key players who will have to participate in the process.

5. After each tool has been used, one needs to draw the main conclusions and their implications in terms of follow-up actions. For example, one has to determine what in the experience constitutes a strength, a major positive elements considered as a «positive aspect.» Similarly, any weakness or constraint will be considered as a «negative aspect». It is important at this stage to argue these different aspects well, in order to draw firm conclusions. It is not about simply taking stock of the experimental project’s results, but rather to explain how these results were obtained. In a process of analysis, it is important to note that the various tools are complementary to one another, because each contributes to generate a portion of information. It is therefore important to draw conclusions and practical implications as one progresses through the analysis to consolidate these different and partial conclusions and implications in a structured manner, at the end of the analysis process.

figure 2: Conceptual representation of the analytical process



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Important !

It is essential to include the various viewpoints of all those concerned or influenced by the project. Furthermore, comments and explanations are essential to substantiate each analitycal piece conducted.

EXAMPLES OF A FEW ANALYTICAL TOOLS

The 4 Rs matrix is an acronym that stands for: Rights, Responsibilities, Relationships, Returns. This is a planning, monitoring and evaluation tool used in the implementation of a project or programme. When applied as a planning tool, it allows different actors to negotiate rights, relationships, roles and responsibilities as well as the expected project outcome for each actor. It may be applied at a later stage of implementation or at project end in order to assess the extent to which initial commitments were met.

illustration 10: aap rwanda during a training workshop

AAP Rwanda during a training workshop



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table 8: Example of the 4 rs matrix applied to the planning of an aap project in rwanda

Local population Rwanda Meteorological Service

Ministry of Disaster Management and Refugees

Rights Receive regular hydro meteorological information and forecasts;

Receive help and support from the Ministry of Disaster Management

Receive modern equipment;

Receive training on the use of equipment and data processing

Training on disaster management and evacuation of the population and the organisation of living conditions in the aftermath of a disaster

Responsibilities Participate in the preservation and maintenance of station equipment

Preserve and properly maintain the station equipment;

Inform other actors of equipment condition;

Provide a daily report on the evolution of weather and climate

Rescue people at the right time;

Facilitate the smooth running of activities and coordination

Relations Meteorological data related information via the Rwanda Meteorological Service (RMS)

Organisation of the population and evacuation by MIDIMAR

Training and information with other stakeholders on climate change data

Coordination of actors and disaster management

Returns Plan agriculture according to the information

An emergency evacuation system in case of natural disasters is in place

Improved quality of work ;

Facilitate working conditions

Facilitate working conditions;

Receive timely information for decision making

Note: This example is fairly synthetic, for illustration purposes. In a real situation, the presentation should be more detailed.

The TEES matrix (Technical, Economic, Environmental, Social)

This tool allows one to analyse the effects or impacts of a project, programme or community initiative in light of its technical adaptability, economic viability, its ecological sustainability or social acceptability.



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table 9: the aap republic of Congo agroforestry project in kinkala, nkayi district.

Criteria Elements to be taken into account in the analysis

Key results Strengths Weaknesses

Technical adaptability/feasibility

Possibility to modify it depending on circumstances ;

Opportunity for resources-poor people to adopt the solution

Simplicity and valorisation of local resources

Adapted agroforestry and pruning techniques are in place

Increased agricultural yields

Shortening of the rainy season

Economic sustainability

Economic and social impacts (income, food security, social cohesion, valorisation of health knowledge, etc.)

Degree of costs accessibility

Creation of new jobs

Improved farmers’ income;

Generation of new eco-systemic products

Ecological sustainability

Environmental impacts (restoration, protection, agricultural yields, state of the fauna and flora)

Reforestation of denuded areas

Soil fertilization and soil protection

Biodiversity restoration

Lack of awareness

on environmental protection

Social acceptability

Effective contribution to the adaptation capacity reinforcing ;

Compliance with social norms and values

Strong commitment and motivation of farmers who undertake agroforestry activities

Good organisation of members to carry out tree planting

Lack of implementation of socially responsible entrepreneurship

Note: This example is fairly synthetic, for illustration purpose. In a real situation, the presentation should be more detailed.

illustration 11 : nursery for a reforestation campaign in the Congo



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DRAWING LESSONS FROM THE EXPERIMENTAL PROJECT

After having carried out a detailed analysis of the experimental project, one draws conclusions on the unfolding of the process, the process itself and its results: what are the lessons learnt? One needs to take the entire experience into account and revisit all steps of the capitalisation process (identification, description and especially the analysis). The salient points indeed start appearing at the onset of the process and these get consolidated with the analysis. Drawing lessons from the experience will thus consist of:

Placing emphasis on the 3 to 5 major observation elements, of which the positive and negative aspects have been analysed according to the capitalisation axes.

Reformulating these observations in the form of 3 to 5 principles and/or success and/or failure, which are essential to take into account in a perspective of replicating the experience.

Finally, it is important to bring forth the possible challenges or difficulties that could not be overcome or resolved in the frame of the capitalisation experience and which hence consistute points that should be flagged, with the potential of innovating on these points in the future.

This ultimate cross checking of the major aspects observed in light of the captilization axes, their reformulation and the reporting of outstanding questions will form the basis of the lessons learning process. By the same token, writing conclusion of the capitalisation process will stem from this cross checking process, in a sharing perspective.

3.5prEsEnting tHE Capitalisation rEsUltsThis marks an important step in the process, as it is about presenting the results of capitalisation in a palatable format. It is about bringing together in one document all the elements emanating from the capitalisation process, that is to say the presentation of the experimental project, its analysis and lessons learned from it. This document serves as a basic communication platform that can be translated through several media in the context of communication about the project. In this section, some suggestions are compiled to record the results in a written format.

The purpose of a capitalisation process is to share the knowledge generated through various media. According to the communication objectives and targeted stakeholders, the results of this process are subject to various formats: written, oral, audiovisual and/or electronic, etc. Yet, whatever the final choice, it is desirable to first capture the results of a capitalisation process in writing and to make it easily accessible. This implies an important writing and editing work, which is to result in a product that is easily exploitable for communication purposes. It must be recognized that some processes of capitalisation may choose another form of presentation. E.g. one can choose to produce video or audio documents directly without going through the report writing stage, etc., but these are exceptional cases.



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ORGANISING THE DOCUMENT

This is about determining a document structure, a detailed plan outlining the sequencing of parts and sections to ensure a certain consistency. For each part, one needs to estimate the number of pages to avoid any imbalance between the sections. At this point, one should avoid an excessive use of subtitles (Part 2, Section 2.1, sub-section 2.1.1, subsection 2.1.1.1, etc.). Indeed, it is sometimes unnecessary to title and number certain sections and when it is deemed necessary, one must ensure that it remains legible.

table 10: basic framework for a capitalisation report

Part Content and recommandations Estimated number of pages (indicative)

Title Indicate the document title; should be both informative and attractive, preferably short, and including, if necessary, a subtitle

Foreword Brief description of the institutional context of the study findings, purpose, target audience, methodology and document structure

1 to 2 pages

Summary Summary of the capitalisation study findings 1 to 2 pages

Introduction Social, economic, political, institutional contexts

Problems to solve, initial challenges

Innovative aspects introduced by the experience

2 to 4 pages

Experimental project presentation

Description of the project: objectives, stakeholders, strategy, processes, steps, operations, technical and organisational processes

5 to 7 pages

Experimental project analysis

Presentation of project findings: products, use and impacts (long term)

Analysis axes (explaining the findings): success factors and failures, challenges, constraints and opportunities

Emerging issues

7 to 10 pages

Conclusions Reminder of the capitalisation axes, major learning elements and recommendations in view of replication

1 to 2 pages

Annexure Identification, description, analysis tools List of participants References

Note: The number of pages is merely indicative. It can vary according to the needs of the organisation.

WRITING UP CONTENT

Each and every writer has his or her own style; however, respecting a few basic principles can lead to an attractive and easily exploitable document. These principles can be summaryzed under the French acronym CLEAR that stands for clarity, readability, accessibility, immediacy, and accuracy.

Conciseness and precision: The text should provide information and facts. It should be alleviated from any unnecessary information, whilst remaining accurate. Use short sentences, as long sentences are difficult to read. They make the text heavy and dull. The following principle:



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“a sentence for a piece of information and a paragraph for an idea“ can help with well structuring a text.

Legibility: One does not write for his or her own account and what seems obvious to us is not necessarily for the reader. The language used must be accessible to all. The style should be simple. Excessive use of jargon and acronyms makes the text daunting and cumbersome. It is therefore necessary to limit their use and when their use is necessary, to explain what they mean. The use of linking words makes for a comfortable pace, whilst allowing to moving on to new sentences on the same topic. It is also appropriate to alternate shorter and longer sentences to create a variation in the text and confer a certain dynamic to it.

In addition, it is often easier to understand a sentence when employing active verbs. In short, this means studying the word order of the important parts of the sentence: the person, the verb and the object.

Accessibility and appeal: It is about capturing and keeping the reader’s interest. An appealing text is a text that combines brevity and legibility. Titles, descriptions, headings and sub-headings should be carefully written to stimulate interest and deliver accurate and relevant messages.

Choose simple and common expressions, for example talk about «water» rather than the «liquid element». It is important to put oneself into the reader’s shoes at all times and to use words easily understood. A level of language that is too high makes the text inaccessible and undermines the intention of sharing knowledge.

Immediacy: The text should go straight to the point and into the heart of the matter from the start. The informational aspect must be put forward and the reader should not have to browse through several lines before understanding the main point of the message. This has a direct link with conciseness, accuracy and accessibility.

Rigor: Rigor is necessary both in content as well as in spelling, grammar, and punctuation.

3.6knoWlEdgE sHaringThe concept of knowledge dissemination relates to all the initiatives and approaches taken by the drivers of the capitalisation process to demonstrate and ensure the visibility of the lessons learned from their experience. Challenges pertain to the valorisation of the output, ownership of ideas and practices and on influencing policy.

Diffusion thus places the potential user at the heart of his approach, which consists of the following steps:

1. Mapping potential users (profile, location, practices and patterns of use of information, opportunities and constraints of access);

2. Identifying the facilitation mechanisms to ensure the availability and access to knowledge: Internet website, press reviews and magazines, electronic platforms;



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3. Establishing a transport/transfer of knowledge: access point;

4. Promoting knowledge through the production of hubs, posters, displaying advertisements in the press and on the Internet, communication on workshops’ experiences, sending e-mails and SMS. Social media are becoming increasingly used to promote knowledge management initiatives.

To be effective, a knowledge dissemination process must at least fulfil the various conditions listed below.

1. It is necessary to adequately define the target audience, that is to say, to take into account the characteristics of the group at whom the results of the capitalisation process are aimed. Is the target group made of local organisations (CBOs, NGOs and associations), public organisations (state, locally elected people) or technical partners?

2. The choice of media must take into account education levels, language diversity, the prevalence of a culture (oral or written), the rate of equipment (radio, telephone and computer), professional profiles and the ability to make use of modern communication tools. Mastering these parameters allows for an appropriate choice of media out of the knowledge dissemination toolbox.

3. It is important to know that producing appropriate media is not a sufficient requirement to entice people to make use of information products. It is therefore necessary to develop promotional strategies to inform people of the availability of the media and the conditions of access to them.

box 8. Examples of broadcast media

- Articles published in a magazine such as AGRIDAPE, a low external input magazine on sustainable agriculture, including: “Local knowledge and learning partnership in the management of humid forest ecosystems in Cameroon“ (October 2011, Volume 27.3, page 21);

- Capitalisation booklets, which are publications presenting capitalisation lessons from micro-projects, the self promotion dynamics encountered in the rural world by the Rural Development Support Project in Northern Lower Guinea (PADER BGN);

- Posters, light presentations that most of the time include just a title, an introductory message, the main lessons learnt and recommendations backed by illustrations;

- Radio broadcasts in addition to documentaries such as «Addressing climate change through resilience and local innovation,» produced by IED Afrique in the framework of the «Climate Change Adaptation in Africa Programme (The DFID-CRDI CCAA)»;

- Electronic platforms such as the UNDP Teamworks Africa Adapt, the Adaptation Learning Mechanism (ALM)

- Websites, information pages available on the Internet site such as the United Nations Framework Convention on Climate Changes (http://unfcc.int/portal_francophone/items/ 3072.php), the CIRAD website (http://climat.cirad.fr/), Africa: the impact of climate change (http://www.grida.na/publications/vg/africa-fr), Climate Change and Energy: Climate Change in Africa (http://www.scidev.net/fr/climate-change-and-energy/climate-change-in-africa/news/), Climate Change and Africa (http://www.oecd.org/dataoecd / 53/3/38680365.pdf)



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illustration 12: teamworks, the Undp electronic platform

Implementing an efficient and effective dissemination strategy bears several tangible benefits. Experiences of development projects and learning NGOs in Africa show that a successful dissemination of the knowledge produced facilitates:

- An increase in the number of users of the output acquired from the capitalisation, thus contributing to improving the effectiveness of adaptation strategies;

- Recognition by peers and others actors of a reputation enhancing proven expertise, with the development of potential partnerships and resource mobilization as a corollary;

- Ownership of the lessons learned and the adoption of theories of development, with the consequent influence of institutional practices and policies.

KNOWLEDGE SHARING MECANISMS

Knowledge sharing is a process by which the holders of capitalisation make available their teachings so that it can be exploited by a large or limited audience, an organisation, with or without restrictions, or an individual. Defining access rights restrictions and who can tap into the knowledge basis is most often a function of several factors, including the source of project funding and of the project capitalisation process (public or private), the supply of services (paid or free) and relational philosophy (competition or collaboration).



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The benefits of knowledge sharing spaces include increased efficiency through the pooling of resources and the development of synergies, as well as the development of learning opportunities.

Sharing is done through various mechanisms such as in situ fora, electronic discussion groups, communities of practice, networks, learning groups and study trips.

table 12: knowledge sharing mechanisms

Mechanism What it is about Objectives Advantages Limits

in situ fora Conferences, workshop and debate- talk shops constitute direct sharing spaces between the actors interested in a given topical area

Share information, knowledge and experiences

Debate proposals

Validate or evaluate initiatives

Exchange with immediate feedback to explain and clarify

This facilitates a better understanding

Reinforcing the feeling of mutual knowledge and trust

Travel and organisational costs (premises, tea breaks, meals)

Issue of availability of actors

Focus group discussion

A focus group is a forum to exchange ideas covering aspects related to a field of interest. The tools used are e-mail, conferencing, and intranet. Products offered to members include reference documents, briefing notes, research and study reports, etc.

Offer its members the opportunity to share ideas, harmonize perspectives and coordinate interventions

Interactivity for access to information in real time

The working language may be a barrier

Some players do not have internet access

Communities of practice

This is a community of development practitioners at the sectoral, local, national or international levels, interest in a given topical issue

Facilitate the sharing of ideas, experiences, knowledge, approaches and opportunities in a particular area.

Access to updated information on initiatives and innovations in the sector in question, funding opportunities and capacity building, networks of experts and networking opportunities

Problem accessing the Internet

Proficiency in the use of sharing tools

Working language proficiency issue



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Network The network is understood as a process of formal or informal collaboration of at least three players who have a common interest and shared goals. Success factors of a network are mutual respect and trust, transparency about mutual benefits, autonomy of its members in their cooperation relationship and their contributions

Promote the exchange of information, of experiences, mutual learning and the dissemination of good practices

Joint development of products and services for the benefit of their users

Resources mobilization for the benefit of the network

Joint implementation of actions to influence practices and public policy

Mutual sharing of tools

Heterogeneity in the background of members

Disproportionate level of contribution

Language and terminology issues

Learning group The learning group is a local, regional or national informal dialogue platform bringing together actors who share the same concerns or questions. Those who participate in a learning group agree that the other members discuss their own perceptions and their practices in a constructive manner.

Stimulate thinking around issues of interest to its members in order to provide them with answers.

Sharing of knowledge in order to bring about lasting change in practices

Valorisation of innovative good practice examples

Identifying avenues for change

Flexibility of the dynamics

The informal dimension of the learning group limits its legitimacy relating to the actions aimed at influencing policy

Instability of members

Deficit in the implementation of the proposed changes

Study trips A field trip is a process of crossover experience sharing between actors from different locations.

Learn on the spot ways of doing

Innovate or replicate experiments taking into account its context

An example is often the best way to convince

Mastering the action or process in context

Opportunities to ask specific questions and get more suitable answers

Material and logistical constraints, paperwork

The conditions for success of knowledge sharing initiatives include: the interest of the players in a given theme, their commitment to contribute, the availability of an exchange mechanism and the financial means to operate it.



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table 13: teamworks: an example of network

What it is about Objectives Advantages Disadvantages

A global network of knowledge sharing

A website for development practitioners

For UNDP partners

Launched in 2010

More than 30,000 members

To enable UNDP to promote and share knowledge and experiences

To create an inclusive work environment that increases the productivity of labour

Globally accessible

Mutual support among members

Easy access to information and the possibility of instant sharing

Recognition of your work by the wider community within and outside UNDP

Requires an Internet connection that is not available or accessible everywhere

Culture of knowledge sharing still doesn’t prevail in organisations.

3.7Monitoring & EValUation

DEFINITION

Monitoring and evaluation is a decision support mechanism that is particularly important in any knowledge management system. It makes for enhancing the effectiveness of the dissemination and sharing strategy, and contributes to the improvement of transparency in the system of knowledge management.

It is therefore important for the structure or the person who initiated the process of putting in place a monitoring and evaluation system, to see whether the indented objectives of the capitalisation process itself as well as the sharing and dissemination results of capitalisation are met. Depending on the results of this monitoring process, it will be possible to implement the necessary measures, either to consolidate these results or to make the necessary corrections.

It thus appears that the monitoring and/or evaluation should be implemented at two levels: (1) evaluation of the capitalisation process itself and (2) monitoring and evaluation of the dissemination of results.

But whatever the nature of the system to be established (process evaluation or monitoring and evaluation of the dissemination of results), it will provide adequate answers to the following questions: What are the objectives of monitoring and evaluation? What are the monitoring indicators? Who are the actors involved in data collection? How to collect the data: methods and tools? How to analyse and format information? What actions for change?



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figure 3: Monitoring and evaluation process

MONITORING AND EVALUATION OF THE CAPITALISATION PROCESS

The conduct of the capitalisation process is a very important learning moment for the actors who take part in it. After having carried out a detailed analysis of the experimental project, one has to draw conclusions on the unfolding of the process, the process itself and its results: what are the lessons learnt? One has to consider the experience in its entirety, looking both at the positive and negative aspects mentioned for each criterion. Discussions with participants throughout the capitalisation process have helped to highlight the major points in relation to the axes of capitalisation.

Have the objectives set been met? What was the degree of participation of the different actors? Has the process facilitation system worked normally? How should the quality of data collected be appraised, etc.? The answers to these questions will allow the organisation to improve future capitalisation experiences.

The conclusion of the capitalisation document is then composed of the main lessons learnt and all recommendations (success factors, challenges to take into account) with the aim of sharing this information.



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MONITORING AND EVALUATION OF THE CAPITALISATION RESULTS’ DISSEMINATION PROCESS

The capitalisation of an experience relating to the development of an adaptation strategy is not an end in itself. Each capitalisation process aims for change: changing perceptions, behaviours, practices or policies. These change objectives may target only the organisation initiating the activity (results for internal use) or external actors such as NGOs, communities, government, etc. (results made available).

table 14: Matrix summarizing the steps and content of the dissemination monitoring and evaluation process

Steps Content Comment Products

Defining the monitoring and evaluation objectives

Clarify what one wants to monitor/evaluate:

Analyse the effectiveness of the strategy for dissemination of results?

Analyse adaptations in technology introduced by the users?

Etc.

Brainstorming of project staff with other stakeholders

Monitoring and evaluation objectives clearly defined

Defining the monitoring and evaluation indicators

They depend on the retained objectives:

Example of indicators related to the objective: to evaluate the changes induced by users, number of players that use information

Forms of use

Frequency of use

Nature of induced changes in the practices of organisations

Etc.

Brainstorming of project staff with other stakeholders to agree on indicators for monitoring

List of indicators for monitoring and evaluation

Data collection Identify the actors involved in data collection

Identify sources of information

Define tools for data collection: interview, questionnaire, electronic workshop with a sample of stakeholders


Surveys of results’ target audience

Data compiled on selected indicators

Analysis and formatting

Collected information is organized

They are organized according to the beneficiary groups and change objectives listed: information formatting report


Write shop

Formatting report

Formulating change actions

Change actions proposals to introduce changes to the dissemination of results process are made; a system for monitoring the implementation of the recommendations should be established

Brainstorming to identify the media to be developed

Identify resource persons to be trained

Allocate roles and responsibilities

Support materials developed

An implementation plan is developed



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table 15: Capitalisation process monitoring matrix applied in the framework of the fssa (iEd afrique)

Description Strengths/Assets Weaknesses/Constraints

Data collection tools and methodologies

Describe the tools and methods used and why they were selected

Techniques:

Focus groups with members of the National Steering Committee;

Focus group with leaders of the Association;

Community interview with members of beneficiary associations;

Tools used:

Monitoring sheets;

Video

Participatory process;

Process coordinated by members of farming organisations;

Audio-visual support (video)

When media supports are not translated into local languages, it became difficult for the majority of beneficiaries to use the report

Nature of information collected and produced

Remind of the objectives initially aimed for, describe the types of information that have been collected and from which actors they were collected

Information on the institutional arrangement of the project, the actors and their roles, activities undertaken, results, economic, environmental and social impacts of the project, constraints and challenges, the perception of players on the conditions of project replicability.

The participation of actors in the analytical process facilitates the availing of information;

Beneficiaries have a good grasp of the information;

Beneficiaries are involved in the definition of the capitalisation axes and objectives

The short duration of the project (two years) has not made it possible to highlight some of the impacts;

The capitalisation process being driven in one season does not allow for the observation of certain activities that occur mainly in winter (the observation is an information gathering technique)

Facilitation of the capitalisation process

Describe how the process has been facilitated by whom? And with what methods of facilitation? etc..

The capitalisation process was coordinated by the national farmers’ platform;

The researchers members of the National Project Steering Committee (NPSC) have supported the farmers’ platform in the planning and implementation of the capitalisation process;

A NPSC member facilitates the process of capitalisation

The facilitation process is coordinated by local actors themselves, with the support of internal expertise

The conduct of the process is flexible and responsive to the beneficiaries’ schedule

Researchers sometimes failed to be available, which led to slowing down the capitalisation process



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Participation of various actors

Who are the actors who took part in the capitalisation process? What roles have they played? What was the nature of their involvement?

Actors involved in the capitalisation process: the beneficiaries (men and women), representatives of the national farming platform, and members of the NPSC.

By virtue of the participatory nature of the process, all stakeholders made the choice of axes, objectives and methodology; coordination was ensured by the platform, facilitation entrusted to a member of the NPSC

Active participation of beneficiaries

Women were at the centre of the capitalisation process

Sometimes the busy schedule of their researchers did not allow them to take part in sessions

Capitalisation report quality

Describe the content elements of the capitalisation report

Media produced: simplicity, adaptability, clarity of messages, etc.

Present the different capitalisation support media? Who are they intended for? Etc.

A report with a cover cap includes 11 sheets of synthetic adaptation initiatives funded by the FSSA. It is intended for researchers, NGOs, farmers, policy makers.

A video that presents the objectives, activities, results and impacts of various initiatives

The diversity of support media products allows that the needs of different groups of actors be taken into account.

The summary files can be detached from the cover, which allows one to select examples according to the needs

Videos are a good advocacy media and can ensure a wide dissemination

Support media are not translated into local languages, which makes their use difficult for some players

The video is not available to the majority of rural people who do not have proper equipment

Degree of meeting the objectives of the capitalisation process

The capitalisation process showcased the innovative methodological approach adopted in the implementation of the FSSA, as well as the results obtained from the implementation of various initiatives.

Note: To complete the matrix, one can organize a focus group discussion involving stakeholders who participated in the process.

Project staff concerned can also complete it on the basis of an internal evaluation.

FORMULATING CHANGE TRIGGERING ACTIONS

As mentioned previously, a system of monitoring and evaluation is meaningful only when it contributes to strengthening or improving the system to which it refers, which here is the capitalisation process and its product. It is therefore necessary that all stakeholders plan the implementation of these recommendations once the change triggering actions are identified.



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table 16: planning Matrix applied to the broadcast of support media by the aap ghana project «Capacity building and financing options for the integration of climate change adaptation in ghana, with a focus on early warning systems».

To complete the matrix, one can organize a focus group discussion involving stakeholders who participated in the process. Project staff concerned can also complete it on the basis of an internal evaluation.

WHAT are the proposed change actions?

WHO take part in implementation (define roles and responsibilities)?

HOW to enact change?

HOW MUCH will it cost and who will cover these costs?

WHEN HOW to follow on the implementation of each proposed action (indicators and tools)?

Action 1

An interactive map of traditional knowledge will be posted on the AAP project website

The consultant who designed the map;

The Webmaster will manage the website;

Project staff

The consultant will work with the Webmaster and project staff

Time allocation of the consultant

July 2012

The UNDP focal point and AAP project staff will establish a monitoring and evaluation system. This system will define monitoring indicators (number of visitors, their profit, frequency of visits, updating the website, etc.), as well as the frequency of monitoring

Action 2

The atlas of traditional knowledge is distributed to communities through traditional leaders

Traditional Chiefs;

Community Associations;

APP Project staff

Organisation of a workshop on local climate change for communities

Organisation of an atlas; handover ceremony atlas to the traditional leaders

Development of a distribution plan of the atlas in consultation with traditional leaders

Organisational costs of the local workshop

Distribution costs

July 2012

One month after the distribution of the atlas, the AAP person responsible for monitoring and evaluation will organize follow-up visits in the areas of distribution.These visits will assess the rate of distribution and the degree of use of atlas.

Action 3

250 CDs on traditional knowledge are distributed to District Assemblies Project

AAP staff; Heads of District

A workshop on adaptation to climate change is organized for Heads of Districts

CDs are distributed during the workshop

Cost of workshop organisation

August 2012

One month after the distribution of the CDs, the AAP person responsible for monitoring and evaluation will organize follow-up visits to assess the distribution of CDs (how many CDs were distributed? To whom?) and their use.

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4 ConClUsions and oUtlook

After having explored the different parts that make up this manual, the user has certainly realized that its use will largely depend on his or her personal ability to contextualize and adapt to circumstances. For instance, the transition from the production phase of the capitalisation report to that of sharing and influencing policies and practices calls for different individual and organisational skills.

Generally speaking, a report emanating from a capitalisation process is not directly conceived for advocacy purposes. It should inform a well-focused adapted communication strategy, with an identification of the target audience, influence objectives and communication tools. It will therefore be important to extract from the report the elements, which will form the basis of the argument. The capitalisation therefore constitutes a resource, as opposed to an end in itself. This observation is all the more important that very often, the low impact of several capitalisation initiatives lies in the fact that they are not anchored in a good communication strategy.

It is important to bear in mind that change lies at the heart of the knowledge management process, which should be a crosscutting function of any learning. This means that knowledge management should not be construed as an ad hoc activity intended only to produce tangible deliverables such as reports or media to be broadcasted. The way it is designed and implemented illustrates the aspirations and ambitions of the organisation in terms of the quality of its governance approach, visibility and the construction of its identity. In this regard, the capitalisation process, which forms an important part of knowledge management, has to be on-going and should not be treated as a mere evaluation activity to be carried out at the end of a project.

One of the major challenges facing the organisations involved in the capitalisation and dissemination of their practices and knowledge lies in monitoring how its knowledge is received and used, as well as the changes they induced within the target individuals and organisations. But another important challenge pertains to the control of the transformations that this knowledge gradually undergoes as it is shared. It would indeed be important to appraise the added value that these transformations have contributed to the initial knowledge output. A monitoring and evaluation system is put in place to cope with these challenges, but such systems are generally only operational during the programme or project life. Monitoring becomes more difficult beyond this. This is why it is particularly important for organisations engaged in knowledge management processes to design their activities in such a manner that they go beyond the project cycle life span, thus contributing to the establishment of communities of practice or sharing and mutual learning platforms which allow a continuous sharing of experiences and lessons learned in practice.



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At the individual level, each and every user of the manual must be able to set up at his or her personal level an evaluation and ownership mechanism that allows him or her to not only learn from the application of the approach and tools, but also to become a player in the improvement of knowledge, processes and tools proposed in the manual. It would therefore be useful to carry out an evaluation after each practical application:

What are the main achievements (in terms of learning) derived from the application of the manual?

What were the methodological challenges encountered and what is the degree of effectiveness of the responses you have formulated?

What innovations or adaptations have you brought to the processes and tools and what are the factors that have triggered these changes?

What are the new emerging methodological issues?

Since contacting the authors of this manual will not always be possible or easy, it is recommended that users of this manual discuss these issues with their immediate colleagues. They can also initiate discussion fora with knowledge management experts.

This manual was produced as part of a programme that lays a particular emphasis on the promotion of traditional knowledge. In this perspective, the issue of preservation and protection of knowledge should be at the heart of the knowledge management process. The first step is to recognize the origin and source of knowledge in the production of capitalisation support media. More formal or conventional ways of protecting local populations’ property rights could then be explored.

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bibliograpHY

1. IFAD (2011) The rural poverty report. IFAD, Rome, Italy.

2. IPCC (2001) Climate Change 2001: The Scientific Basis. Contributions form the First Working Group for the Intergovernementa Panel on Cliamte change Third Evaluaiton Report [Houghton, J.T.Y. Ding, D.J. Griggs, M. Noguer, P.J. van der Linden, X. Dai, K. Maskell et C.A. Johnson (eds.)]. Cambridge University Press, CambridgeUNited Kingdom and New York, NY, USA, 881pp.

3. Wolrd Bank (1998). Indigenous knowledge for development. A framework for action. Knowledge and Learning Center. Africa Region. World Bank.

4. Smit B. and Wandel J. (2006) Adaptation, adaptive capacity and vulnerability. Global Environmental Change 16, 282-292.

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