Handbook of Capitalisation 2012.pdf - Africa Adaptation Programme

Knowledge Management and Adaptation to Climate Change 

Handbook on 

Capitalisation of 

Experiences 

2012 

www.undp-aap.org

Handbook on Capitalisation 

of Experiences 2012 

COORDINATION 

José Levy, Annelies Hickendorff, Mingué Niasse 

RESEARCH AND REPORT COMPILATION 

IED Afrique : Awa Faly Ba Mbow, Bara Guèye, Thiendou Niang 

ABOUT AAP 

The 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. 

CONTACT 

aap@unops.org / 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

PrEface 

CONTENTS 

3 

ACRONYMS 

6 

FOREWORD 

7 

1 

1.1 

1.2 

Introduction: concepts and definitions 

Knowledge Management 

Concept and meaning of Traditional Knowledge within 

climate change adaptation programmes 

8 

10 

13 

2 

2.1 

2.2 

2.3 

2.4 

2.5 

2.6 

2.7 

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 

16 

16 

17 

18 

18 

19 

22 

23 

3 

3.1 

3.2 

Step by step capitalisation 

of experiences 

Planning 

Site selection 

Defining the aims of the capitalisation process 

Capitalisation actors 

Operationnal planning 

Experience identification 

25 

25 

26 

28 

29 

30 

31

3.3 

3.4 

3.5 

3.6 

3.7 

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 

35 

39 

44 

44 

45 

45 

46 

51 

4 

Conclusions and outlook 

57 

BIBLIOGRAPHY 

59

Africa Adaptation Programme 

Handbook on Capitalisation of Experiences 2012 

ACRONYMS 

AAP 

CCA 

CC 

IED 

UNIDO 

UNDP 

IRSTC 

UNICEF 

WFP 

TICAD 

KM 

IFAD 

GHG 

IPCC 

REMA 

NGO 

M&E 

ICT 

GIS 

DRR 

COPIL 

APAL 

ICZM 

INSTM 

DGSAM 

CAI 

GIZC 

RMS 

MIDIMAR 

CBO 

CIRAD 

FSSA 

NPSC 


Climate Change Adaptation 

Climate Change 

Innovation Environment Development 

United Nations Industrial Development Organisation 

United Nations Development Programme 

Inter-Regional Technical Support Component 

United Nations Children’s Fund 

World Food Programme 

Tokyo International Conference on African Development 

Knowledge Management 

International Fund for Agricultural Development 

Greenhouse Gas Emission 

Intergovernmental Panel on Climate Change 

Rwanda Environment Management Authority 

Non-Governmental Organisation 

Monitoring & Evaluation 

Information and Communications Technology 

Geographic Information System 

Disaster Risk Reduction 

Steering Committee (Tunisia) 

Coastal Protection and Planning Agency (Tunisia) 

Integrated Coastal Zone Management 

National Institute of Marine Sciences and Technologies 

Aerial and Maritime Services General Management 

Climate Action Intelligence 

Integrated Coastal Management 

Rwanda Meteorological Service 

Ministry of Disaster Management and Refugee Affairs 

Congressional Budget Office 

Agricultural Research for Development 

Support Fund for Local Adaptation Strategies to Climate Change 

National Project Steering Committee 

6



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. 

7



1 

INTRODUCTION: 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 

8



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. 

9



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

Flooding in Mauritius 

Dried Oasis in Morocco 

1.1 

KNOWLEDGE MANAGEMENT 

The 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. 

10



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. 

11



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. 

12



1.2 

CONCEPT 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 

13



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; 

14



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. 

15



2. 

CAPITALISATION CHALLENGES AND PROCESSES 

IN THE CONTEXT OF CLIMATE CHANGES 

2.1 

CAPITALISATION CHALLENGES 

The 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. 

16



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) 

2.2 

AIMS 

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 

17



2.3 

CAPITALISATION 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. 

2.4 

FAVOURABLES CONDITIONS 

Driving 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. 

18



2.5 

THE 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 

19



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. 

20



Table 1: Types and sources of information in the process of capitalisation 

Stages Type of information Information sources Tools 

Planning Capitalisation needs 

inventory 

Information about 

actors 

Project staff 

Documents available 

Various actors 

Meeting 

Literature review 

Identification 

Description 

Analysis 

Results 

formatting 

Results sharing 

Monitoring and 

Evaluation 

Information needs 

Secondary information 

available on the various 

initiatives that could be 

capitalized upon 

Information pertaining 

to the context of the 

initiative 

Baseline data on the 

earmarked initiative 

Focus group 

Information on 

investments, activities, 

results, decision 

making, roles and 

responsibilities, 

difficulties, constraints 

Information explaining 

results, lessons learnt 

and recommendations 

Information on available 

media 

Information on the 

profile and needs of the 

intended beneficiaries 

Information on the 

conduct of the 

capitalisation process 

or on diffusion: 

objectives, expected 

results, capitalisation 

tools, roles of actors, 

achievements, 

constraints 

Project staff 

Other actors 

Beneficiaries 

Secondary data 

Project staff 

Other actors 

Beneficiaries 

Secondary data 

Project staff 

Facilitator with project 

staff 

Communities 

People responsible 

for information 

formatting: project 

staff 

Consultant 

Project staff 

Consultant 

Communities 

Project staff 

Consultant 

Communities 

Focus group 

Semi-structured interview 


Community interview 

Focus group 




Interview of resource 

people 

Information pooling 

workshops 

Retreat or write shop 

Fora, workshops, 

communities of practice, 

media, fields trips, video, 

posters 

Focus group 




Interview of resource 

people 

21



2.6 

THE FACILITATION PROCESS 

Several 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 

22



2.7 

INFORMATION 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, semistructured 

individual and collective interviews, focus group discussions and observation. 

23



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. 

24



3 

STEP BY STEP 

CAPITALISATION OF EXPERIENCES 

3.1 

pLANNing 

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 

25



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. 

26



Table 2: Analytical grid: the AAP WFP project - Energy Saving Stoves in Institutions in Kenya 

Initiatives developed by the 

project 

Potential documentation 

themes 

Elements that could justify the 

choice (why are these axes 

important for the capitalisation 

process?) 

Rank in order of priority 

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 

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 

The experience is easily replicable 

It has a high impact 

It constitutes a climate change adaptation practice 

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 

27



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 

What are the capitalisation 

challenges for your 

organisation? 

What are the capitalisation 

objectives for your 

organisation? 

What are the assets and 

opportunities that your 

organisation can offer to a 

capitalisation system? 

Which (limiting) constraints 

must one face? 

Answers 

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 

Dissemination of fuel-efficient improved cooking stoves 

Establish sustainable financing mechanisms 

Establish sustainable sources of domestic fuel 

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 

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

A simplified formatting of technical data is often difficult 

28



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 

Provide basic 

information on the 

project 

Make logistics 

available 

Diffuse capitalisation 

results 

Use capitalisation 

results to introduce 

change triggering 

actions 

Expected outcome 

of the capitalisation 

process 

Project Staff 

Project objectives 

Planned and achieved 

activities 

Beneficiaries, actors 

and their roles 

Results 

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 


Enhanced 

consideration of their 

perceptions and 

viewpoints 

Improved quality 

of project service 

delivery 

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) 

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. 

29



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 

Describing the context 

Capitalisation objectives 

Beneficiary groups or targets 

Actors involved in the process 

and their roles 

Reflection on the facilitation 

process 

Inventory of the types of 

information to be collected 

Synthesis of elements of content 

Implementation schedule July to August 2012 

Cost analysis elements 

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. 

A capitalisation process makes provision for a database that could guide 

further climate change actions to be initiated. 

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. 

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. 

A resource person will be hired to facilitate the capitalisation exercise. 

However, this process will have to be participatory and inclusive. 

Experience related to the implementation of adaptation pilot projects 

(activities, actors and their roles, costs, outcomes, impacts); conducting 

studies, conducting seminars and workshops. 

30



3.2 

Experience 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 

31



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. 

32



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 

Localisation 

Time period 

Context 

Problem statement 

Other initiatives 

Objectives 

Mapping of areas vulnerable to climate change induced flooding 

The entire territory of the Mauritius Republic (4 islands in the South West of the 

Indian Ocean, 2,000 km 2 , with a population of 1.3 million inhabitants) 

Project implementation starting during 2012, when the project document was 

finalised. It is currently underway and will spread over another 3 months. 

In the context of the Mauritius Republic AAP project. 

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. 

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. 

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.. 

33



Illustration 7: Illustration of Mauritius on this project 

Sea Mainland Inundation prone area 

Road 

Inundation contour 

0 0.5 1 2 km 

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. 

34



3.3 

DESCRIPTION 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. 

35



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. 

36



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 

37



Table 7: Project description matrix applied to the National Climate Change Coastal Adaptation Strategy 

Programme, Tunisia 

Steps/ 

components 

Strategy/ 

Approach 

Activities 

Technical/ 

organisational 

processes 

Results/ 

achievements 

Challenges met 

Unintended 

effects (positive 

or negative) 

Key questions 

How was the 

experimental 

project 

implemented? 

What has been 

done? 

Who are 

the actors, 

projects 

implementers, 

and partners 

of this 

experience? 

What are the 

outcomes 

stemming 

from the 

experience? 

What 

challenges 

have been 

met? What 

solutions have 

been tested? 

What has 

happened 

that was not 

expected? 

Project start 

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. 

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 

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 completed 

How 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. 

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 

The Ministry of Environment was not convinced of the necessity 

of this strategy 

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. 

38



3.4 

ANALYSIS 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 

39



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 

40



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 

41



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. 

42



Table 9: The AAP Republic of Congo agroforestry project in Kinkala, Nkayi District. 

Criteria 

Technical 

adaptability/ 

feasibility 

Economic 

sustainability 

Ecological 

sustainability 

Social 

acceptability 

Elements to be taken 

into account in the 

analysis 

Possibility to modify 

it depending on 

circumstances ; 

Opportunity for 

resources-poor people 

to adopt the solution 

Simplicity and 

valorisation of local 

resources 

Economic and social 

impacts (income, 

food security, social 

cohesion, valorisation 

of health knowledge, 

etc.) 

Degree of costs 

accessibility 

Environmental 

impacts (restoration, 

protection, agricultural 

yields, state of the 

fauna and flora) 

Effective contribution 

to the adaptation 

capacity reinforcing ; 

Compliance with social 

norms and values 

Key results Strengths Weaknesses 

Adapted 

agroforestry 

and pruning 

techniques are 

in place 

Creation of new 

jobs 

Reforestation of 

denuded areas 

Strong 

commitment 

and motivation 

of farmers 

who undertake 

agroforestry 

activities 

Increased 

agricultural 

yields 

Improved 

farmers’ 

income; 

Generation of 

new ecosystemic 

products 

Soil fertilization 

and soil 

protection 

Biodiversity 

restoration 

Good 

organisation 

of members to 

carry out tree 

planting 

Shortening of the 

rainy season 

Lack of 

awareness 

on environmental 

protection 

Lack of 


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 

43



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. 

3.5 

PRESENTING THE CAPITALISATION RESULTS 

This 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. 

44



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 1 to 2 pages 

findings, purpose, target audience, methodology and 

document structure 

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 

Experimental 

project analysis 

Conclusions 

Annexure 

Description of the project: objectives, stakeholders, 

strategy, processes, steps, operations, technical and 

organisational processes 

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 

Reminder of the capitalisation axes, major learning 

elements and recommendations in view of replication 

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. 

5 to 7 pages 

7 to 10 pages 

1 to 2 pages 

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: 

45



“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. 

3.6 

KNOWLEDGE SHARING 

The 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; 

46



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 microprojects, 

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) 

47



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). 

48



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 

Focus group 

discussion 

Communities of 

practice 

Conferences, workshop 

and debate- talk shops 

constitute direct sharing 

spaces between the 

actors interested in a 

given topical area 

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. 

This is a community 

of development 

practitioners at the 

sectoral, local, national 

or international levels, 

interest in a given topical 

issue 

Share 

information, 

knowledge and 

experiences 

Debate 

proposals 

Validate or 

evaluate 

initiatives 

Offer its 

members the 

opportunity to 

share ideas, 

harmonize 

perspectives 

and coordinate 

interventions 

Facilitate 

the sharing 

of ideas, 

experiences, 

knowledge, 

approaches 

and 

opportunities 

in a particular 

area. 

Exchange with 

immediate 

feedback to 

explain and 

clarify 

This facilitates 

a better 

understanding 

Reinforcing 

the feeling 

of mutual 

knowledge and 

trust 

Interactivity 

for access to 

information in 

real time 

Access to 

updated 

information on 

initiatives and 

innovations 

in the sector 

in question, 

funding 

opportunities 

and capacity 

building, 

networks of 

experts and 

networking 

opportunities 

Travel and 

organisational 

costs (premises, 

tea breaks, 

meals) 

Issue of 

availability of 

actors 

The working 

language may 

be a barrier 

Some players 

do not have 

internet access 

Problem 

accessing the 

Internet 

Proficiency 

in the use of 

sharing tools 

Working 

language 

proficiency 

issue 

49



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 


of actions 

to influence 

practices and 

public policy 

Mutual sharing 

of tools 

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 

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 

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. 

The informal 

dimension of 

the learning 

group limits 

its legitimacy 

relating to the 

actions aimed 

at influencing 

policy 

Instability of 

members 

Deficit in the 


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 

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. 

50



Table 13: Teamworks: an example of network 

What it is about Objectives Advantages Disadvantages 

A global network of 

Globally accessible 

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 

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. 

DEFINITION 

3.7 

MONITORING & EVALUATION 

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? 

51



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. 

52



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 

Defining the 

monitoring 


indicators 

Data collection 

Analysis and 

formatting 

Formulating 

change actions 

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. 

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. 

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 

Collected information is organized 

They are organized according to 

the beneficiary groups and change 

objectives listed: information 

formatting report 

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 of 

project staff with 

other stakeholders 




to agree on 

indicators for 

monitoring 




Surveys of results’ 

target audience 




Write shop 

Brainstorming to 

identify the media 

to be developed 

Identify resource 

persons to be 

trained 

Allocate roles and 

responsibilities 

Monitoring 


objectives 

clearly defined 

List of 

indicators for 

monitoring and 

evaluation 

Data compiled 

on selected 

indicators 

Formatting 

report 

Support 

materials 

developed 

An 


plan is 

developed 

53



Table 15: Capitalisation process monitoring matrix applied in the framework of the FSSA (IED Afrique) 

Data collection 

tools and 

methodologies 

Nature of 

information 

collected and 

produced 

Facilitation of 


process 

Description Strengths/Assets Weaknesses/ 

Constraints 

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 

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. 

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 

Participatory process; 

Process coordinated 

by members of farming 

organisations; 

Audio-visual support 

(video) 

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 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 

When media 

supports are not 

translated into 

local languages, 

it became difficult 

for the majority of 

beneficiaries to 

use the report 

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) 

Researchers 

sometimes failed 

to be available, 

which led to 

slowing down 


process 

54



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 

Describe the content elements of 

the capitalisation report 

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 

Active participation of 

beneficiaries 

Women were at 

the centre of the 


Sometimes the 

busy schedule of 

their researchers 

did not allow them 

to take part in 

sessions 

Capitalisation 

report quality 

Media produced: 

simplicity, 

adaptability, 

clarity of 

messages, etc. 

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. 

55



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? 

Action 1 

An 

interactive 

map of 

traditional 

knowledge 

will be 

posted on 

the AAP 

project 

website 

Action 2 

The atlas of 

traditional 

knowledge is 

distributed to 

communities 

through 

traditional 

leaders 

Action 3 

250 CDs on 

traditional 

knowledge 

are 

distributed 

to District 

Assemblies 

Project 

WHO 

take part in 


(define roles and 

responsibilities)? 

The consultant 

who designed 

the map; 

The Webmaster 

will manage the 

website; 

Project staff 

Traditional 

Chiefs; 

Community 

Associations; 

APP Project staff 

AAP staff; 

Heads of District 

HOW 

to enact 

change? 

The consultant 

will work 

with the 

Webmaster 

and 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 

A workshop 

on adaptation 

to climate 

change is 

organized 

for Heads of 

Districts 

CDs are 

distributed 

during the 

workshop 

HOW MUCH 

will it cost and 

who will cover 

these costs? 

Time 

allocation of 

the consultant 

Organisational 

costs of 

the local 

workshop 

Distribution 

costs 

Cost of 

workshop 

organisation 

WHEN 

July 

2012 

July 

2012 

August 

2012 

HOW 

to follow on the 

implementation of 

each proposed action 

(indicators and tools)? 

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 

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. 

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. 

56



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. 

57



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. 

58



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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