Presentation is loading. Please wait.

Presentation is loading. Please wait.

June 2010 Japan International Cooperation Agency (JICA) Capacity Assessment Approach by JICA to Urban Water Supply Sector and Water Supply Utilities in.

Similar presentations


Presentation on theme: "June 2010 Japan International Cooperation Agency (JICA) Capacity Assessment Approach by JICA to Urban Water Supply Sector and Water Supply Utilities in."— Presentation transcript:

1 June 2010 Japan International Cooperation Agency (JICA) Capacity Assessment Approach by JICA to Urban Water Supply Sector and Water Supply Utilities in Developing Countries

2 Contents 2 1. What is capacity assessment (CA)? 2. Capacity Assessment in urban water supply Major challenges in urban water supply in developing countries Points to be noted Efforts of other donors etc. Approach by JICA 3. Capacity assessment tool of JICA Overview Basic Tool 1 List of Performance Indicators Basic Tool 2 Sector Checklist Basic Tool 4 Utility Basic Checklist Basic Tool 5 Utility Detailed Checklist Additional Tools: Environmental Scan / Capacity Vulnerability Analysis Usage example of Basic Tool [4] 4. Summary

3 Capacity Assessment is The process of broadly assessing both the current state of the developing countries capabilities for handling issues (capacity) at multiple levelsincluding the individual, organizational, and societal level and the extent to which development process has brought about positive changes (Capacity Development: CD), and then sharing the results from this with concerned parties in order to formulate CD strategies. 3 Definition of Capacity Assessment by JICA What is Capacity Assessment (CA)? 1 What is Capacity Assessment (CA)?

4 4 The purpose of Capacity Assessment (CA) is Understanding capacity and environment Identifying needs Determining targets to achieve Identifying entry points of cooperation by donors Examining approach and scope of cooperation by donors Enhancing the awareness of development challenges and proactive attitude of relevant people of developing countries themselves Why Capacity Assessment is necessary? What is Capacity Assessment (CA)?

5 5 Capacity Development (CD) = The process of improving the developing countries capabilities for handling issues as an integrated whole at multiple levels including the individual, organizational, and societal level Key point is comprehensive and endogenous process 1. Support the enhancement of the developing countries to handle issues In order to achieve it, 2. Perceive the capacity from a comprehensive view point 3. Provide indirect support for the endogenous CD process Capacity = The developing countries capabilities for handling issues = Collection of various elements including the institutional, policy and social system Capacity development in terms of JICA What is Capacity Assessment (CA)?

6 6 Target of cooperation Individual level of developing countries Organizational/ social level of developing countries Human resources for cooperation Human resources of developing countries Japanese experts Sharing Culture, society, history, custom of developing countries Culture, society, history and custom of Japan Uptake/ adaptation 1.Japanese experts transfer the knowledge and technology to human resources in the developing countries. 2.The human resources in the developing countries not only acquire the knowledge and technology but also share it among the entire organization. 3.In that case, mutual understanding between Japan and developing countries and adaptation process of technology and knowledge is required. Philosophy of CD process Communication What is Capacity Assessment (CA)?

7 7 What is Capacity? Individual level Organization level Societal level (Social environment, institutional/political environment ) What is Capacity Assessment (CA)? Capacity = The developing countries capabilities for handling issues = Collection of various elements including the institutional, policy and social system

8 CategoryDefinitionAssessment Target Tech- nical Capacity Particular technical capabilities such as knowledge, skills and the tacit knowledge accumulated within the organization C/Ps knowledge and skills (Including other agencies ), knowledge within the organization, presence or absence of information sharing systems and their quality Core Capacity Management capability, will/attitude and leadership to handle issues proactively by utilizing technical capacity Organizations conduct and way of thinking (speed and efficiency of decision-making, degree of implementing, etc.), various organizational systems (Incentive system, personnel, management institutions, etc.) Enabling Environ- ment Conditions that make it possible for organization targeted to utilize capabilities to produce results Financial system Institutional environment, Human resources, Physical resources, Financial base, Social capital Perfor- mance Daily results generated by the entity of CD through enhancement of its capacity Emergence of results through efforts by organization (project planning and implementation performance, recipients satisfaction, etc.) Impact Problem solution which is gradually realized through the accumulation of results. Continuous enhancement of service coverage and quality, increase in satisfaction of beneficiary, and continuous reduction of related morbidity rate, etc. 8 Perspectives for Perceiving Capacity Capacity What is Capacity Assessment (CA)?

9 Underdeveloped legal system Poor regulation and supervision Unestablished standard and guideline Difficulty in financing 9 Major challenges in urban water supply in developing countries Low coverage of water supply Part-time water supply and water failure Low of water pressure Lack of water quality management Lack of capability for operation and maintenance Aging of facilities High non-revenue water ratio Low collection rate of water tariff Dysfunction of or failure to install water meters Lack of water supply to the poor etc. Unplanned expansion of facilities Weak governance of organizations Lack of development of human resources Lack of customer response Insufficiency of management information Lack of fund to construct and maintain facilities 2.Capacity Assessment in Urban Water Supply 2.Capacity Assessment in Urban Water Supply

10 10 It is important to understand the capacity of the entire water supply sector which includes not only water supply utilities but also the agencies regulating water supply service. Not only the analysis tool of individual project but also the analysis tool to examine the development scenario organically combining analysis of overall water supply sector, examination of cooperation strategy and input of multiple projects are required. Points to Be Noted 2.Capacity Assessment in Urban Water Supply

11 11 Necessity to clearly specify and monitor the outcome and impact of cooperation. Practical tool to apply the CA in urban water supply in developing counties to actual cooperation activities for on-site practice. Necessity of methodology incorporating the quantitative performance evaluation through performance indicators and Capacity Assessment including qualitative analysis 2.Capacity Assessment in Urban Water Supply Points to Be Noted

12 12 Therefore, it is necessary to provide support so that the water regulatory agencies in developing countries can appropriately determine the performance indicators to control water supply utilities according to their respective circumstances. International Organization for Standardization (1) Compliance of with International Standard 24500s for water supply service Performance indicators and the items to be checked are selected in compliance with ISO 24510, and targeting the activities concerning potable water and sewage service. ISO standard mentioned above encourages to select performance indicators appropriate to each country. Efforts of other donors etc. 2.Capacity Assessment in Urban Water Supply

13 (2) Example of collection and accumulation of performance indicators data of water supply utilities in developing countries (IBNET) IBNET: The International Benchmarking Network for Water and Sanitation Utilities Survey and database on multiple countries by the World Bank Registry of indicators data of 2,000 water supply utilities in 85 countries including many developing countries 79 kinds of performance indicators in total 13 Benchmarking (comparison between water supply utilities) is possible by identifying quantitative elements of performance. Remaining challenge is qualitative understanding of capacity. 2.Capacity Assessment in Urban Water Supply Efforts of other donors etc.

14 (3) Example of collection and accumulation of performance indicators data of water supply utilities in developing countries (GTZ) GTZ: Deutsche Gesellschaft für Technische Zusammenarbeit GmbH GTZ provides support to continuous collection and evaluation of performance indicators data of water supply utilities in Kenya for the regulatory agencies. Scoring based on evaluation standard 14 This enables benchmarking through the quantitative insight into performance Comparison among water supply utilities and evaluation of achievement level of goals) Qualitative identification of capacity is a remaining issue. 2.Capacity Assessment in Urban Water Supply Efforts of other donors etc.

15 15 JICA addresses the comprehensive Capacity Assessment approach for urban water supply field as below: (1) Water supply sector + water supply utilities Approach by JICA 2.Capacity Assessment in Urban Water Supply

16 16 (2) Capacity + Performance + Impact C Capacity The water quality control ability of staff is enhanced. They can operate water quality analyzer. P Performance A Water supply utility can control water quality systematically and continuously. I Impact People can obtain safe water. 2.Capacity Assessment in Urban Water Supply Approach by JICA

17 17 (4) Expanded scope of assessment target (3) Quantitative + Qualitative Quantitative Indicators Qualitative Questions Mutually complementary Analysis of core capacity Accessibility of the urban poor to water (5) Dialogue tool with the stakeholders in a developing country 2.Capacity Assessment in Urban Water Supply Approach by JICA

18 18 CA for detailed analysis (including improvement status) CA of sector agencies etc Urban water supply sector in general CA by comparison of water supply utilities within a country Particular water supply utility General information Analysis by quantitative indicator Analyze mainly by qualitative questions Analysis mainly by qualitative questions Which one is the problem? Pair Individual analysis In more details Multiple analysis by both quantitative indicators and qualitative questions Analysis by qualitative questions followed by quantitative indicators 3 Capacity Assessment Tool of JICA Overview 3 Capacity Assessment Tool of JICA CA for understanding outline

19 19 1 List of Performance Indicators 3 Utility General Form 5 Utility Detailed Checklist 2 Sector Checklist 4 Utility Basic Checklist 1 List of Performanc e Indicators Environment al Scan Environmen tal Scan / Capacity Vulnerability Analysis Goal of Assess ment Goal A : Understanding entire water supply sector Goal B : Understanding outline of water supply utility Goal C : Understanding details of water supply utility Basic Tool Addi- tional Tool Overview 3 Capacity Assessment Tool of JICA

20 (1) Assessment tool listing total 38 performance indicators, prioritized into three groups (2) Comparison of multiple water supply utilities in the target country Identify general issues of water supply utilities within a country Cleary identify what kind of assistance is required to which water supply utility Identify the model water supply utility Select indicators from IBNET except for some Calculate score from 7 indicators among 8 indicator in the first priority group Detailed comparison is possible by incorporating 10 indicators in the second priority groups (3) Analysis of the improvement of particular water supply utility over time Selectively use all the 38 performance indicators including those in the third priority group Basic Tool 1 List of Performance Indicators 20 3 Capacity Assessment Tool of JICA

21 (1) Mainly assess jurisdiction of sector agencies (government agencies, regulatory bodies etc. (2) Assessment can be conducted for each of 5 categories as below: 1) Current status of water supply service etc. in the target country including quantitative indicators) 2) Presence and utilization status of national policy, plans at national and regional levels, regulations, guidelines, etc. 3) Soundness of relationship between various water supply sector agencies and water supply utilities 4) Implementation status of training at national and regional level 5) Other stakeholders such as residents etc. (3) Classify questions into two priority levels for quick and efficient assessment First Priority: 35 questions Second Priority: 49 questions Basic Tool 2 Sector Checklist 21 3 Capacity Assessment Tool of JICA

22 (1) Understand the utilitys basic information in advance through Basic Tool 3 Utility General Form (2) Basic 26 questions to understand the outline of the capacity of water supply utility All of them are questions of the highest priority Facility investment (FI)-related, technical CD-related, non- technical CD-related and sector approach-related questions (3) Evaluation and scoring on a 5-point scale Level 1 Very serious, Level 2 Serious, Level 3 Slightly unsatisfactory, Level4 Target level of developing countries, Level 5 developed countrys level Calculate the average score for the entire category, large and medium category respectively Level assessment and scoring by on-site discussion. Easy-to- understand scoring method is effective as dialogue tool. (4) Examine direction of a project Basic Tool 4 Utility Basic Checklist 22 3 Capacity Assessment Tool of JICA

23 23 (1) Check list of 193 items to assess the capacity of water supply utility in details. Use for planning, monitoring and evaluation of a project. (2) Based on the result of the Basic Checklist, pick up from total 193 questions in second to fourth priority groups. Select additional questions from the same category in the Detailed Check list as the category whose items are found to be serious by the assessment using the Basic Checklist in order to analyze more in detail. Select additional questions which correspond to the selected form of assistance whether capacity development or facility investment) (3) Easy customization such as addition of items to be checked and change of priority etc. Basic Tool 5 Utility Detailed Checklist 3 Capacity Assessment Tool of JICA

24 24 (1) Additional Tools are used to highlight the core capacity of the organization and the relationship with the external environment which are hard to identify by Basic Tool. (2) Promote awareness of stakeholders by participatory method (3) ES: Visualize important elements of environment (external factors) for water supply utility systematically through mapping. It is possible to clarify demarcation of responsibility between sector agencies and water supply utility, identify the external factors of a project towards the water supply utility, and internalize such external factors. (4) CVA: Discuss the strength and weakness concerning the management capability of water supply utility from various aspects using a matrix. It is possible to comprehend core capacity of water supply utility and examine effective method for improvement. Additional Tools - Environmental Scan (ES) - Capacity Vulnerability Analysis (CVA) 3 Capacity Assessment Tool of JICA

25 25 Case studies of using Basic Tool 4 : Utility Basic Checklist for understanding outline of capacity of water supply utilities Scoring through the discussion with stakeholders of the counterpart country Capacity Assessment process itself through dialogue is a measure to strengthen capability Usage Examples of Basic Tool 4 3 Capacity Assessment Tool of JICA

26 26 CategoryQuestion Aspects to be Improved Mainly by Facility Investment (FI) Overall Q1: Existence of Long or Mid-term Plan Q2: Continuity of Supply Expansion Water Supply Service Coverage Q3: Overall Water Supply Coverage Q4: Water Supply Coverage over the Poor Purification Plant Q5: Surplus Capacity of Purification Plant Rehabilitation & Replacement Conditions of Facilities Q6: Conditions of Civil Structures Q7: Conditions of Trans. & Distrib. Mains Q8: Conditions of Service Connections Q9: Conditions of M&E Equipment Aspects to be Improved Mainly by Capacity Development (CD) Technical Aspects Overall Q10: O&M of the Facilities Distribution Network Management Q11: Drawings of Pipe Facilities Q12: Zoning of Distribution Network Q13: Water Pressure at Supply Points NRW Reduction Q14: NRW Ratio Q15: Installation of Customer Meters Q16: Installation of Bulk Meters Water Quality Control Q17: Water Quality Tests at Purification Q18: Drinkability of Tap Water Non-technical Aspects Financial Improvement Q19: Cost Recovery Level Q20: Collection Ratio Organizational Development Q21: Rules for Human Affairs & Incentives Q22: Implementation of Training Public Relations Q23: Public Complaint Handling Q24: Public Awareness Enhancement Aspects to be Improved Mainly by Sector Approach Q25: Laws and Regulations on Waterworks Q26: Sewerage Coverage Questionnaire Items of Utility Basic Checklist 3 Capacity Assessment Tool of JICA

27 Over- all Expan- sion Rehabili- tation & Replacement Technical Aspects Non-technical Aspects Sector Approach Improvement by Facility Investment Improvement by Capacity Development 3.5 Overall Level of the Water Utility Q1: Long / Mid-term Plan Q2: Continuity of Supply Q3: Supply Coverage Q4: Supply over the Poor Q5: Surplus Capacity Q6: Civil Structures Q7: Trans. / Distrib. Mains Q8: Service Connections Q9: M&E Equipment Q10: Facilities O&M Q11: Drawings of Pipe Q12: Zoning Q13: Supply Pressure Q14: NRW Ratio Q15: Customer Meters Q16: Bulk Meters Q17: Water Quality Q18: Drinkability Q19: Cost Recovery Q20: Collection Ratio Q21: Human Affairs Q22: Training Q23: Complaint Handling Q24: Public Awareness Q25: Laws & Regulations Q26: Sewerage Coverage Target Level Ave- rage Score Case study in small-to-medium local city (1) 3 Capacity Assessment Tool of JICA

28 Strength The condition of existing facilities is good and the necessity for repair or renewal is small. Weakness The capacity in non-technical categories such as finance, management, human resources development and customer response is weak in general. The problem is significant in mid-and-long term plan, coverage of water supply system and the access of the poor to water. The development of the legal system is delayed. It is necessary to prepare a mid-and-long term plan for expanding the coverage ratio of the water supply system including the service to the poor in its entire jurisdiction. Water supply sector in charge of development of legal and institutional system requires support, too. If the water supply act etc. is enacted, capacity development in non-technical area will become easier. 28 Features of case study in small-to-medium local city (1) 3 Capacity Assessment Tool of JICA

29 Over- all Expan- sion Rehabili- tation & Replacement Technical Aspects Non-technical Aspects Sector Approach Improvement by Facility Investment Improvement by Capacity Development Overall Level of the Water Utility Q1: Long / Mid-term Plan Q2: Continuity of Supply Q3: Supply Coverage Q4: Supply over the Poor Q5: Surplus Capacity Q6: Civil Structures Q7: Trans. / Distrib. Mains Q8: Service Connections Q9: M&E Equipment Q10: Facilities O&M Q11: Drawings of Pipe Q12: Zoning Q13: Supply Pressure Q14: NRW Ratio Q15: Customer Meters Q16: Bulk Meters Q17: Water Quality Q18: Drinkability Q19: Cost Recovery Q20: Collection Ratio Q21: Human Affairs Q22: Training Q23: Complaint Handling Q24: Public Awareness Q25: Laws & Regulations Q26: Sewerage Coverage Target Level Ave- rage Score Case study in small-to-medium local city (2) 3 Capacity Assessment Tool of JICA

30 30 Weakness Capacities of some items in non-technical categories such as finance, personnel and human resource are low. The condition of the civil engineering structures is significantly poor. The condition of mechanical and electric equipment is not so good, either. They have a problem in controlling water distribution pressure. Support for capacity development should be considered mainly for the items in levels and 2. Facility investment is required in accordance with the mid-and- long term plan. It is necessary to strengthen maintenance and management of mechanical and electric equipment, control of water distribution, and human resources development through capacity development via technical cooperation. Features of Case study in small-to-medium local city (2) 3 Capacity Assessment Tool of JICA

31 Over- all Expan- sion Rehabili- tation & Replacement Technical Aspects Non-technical Aspects Sector Approach Improvement by Facility Investment Improvement by Capacity Development Overall Level of the Water Utility Q1: Long / Mid-term Plan Q2: Continuity of Supply Q3: Supply Coverage Q4: Supply over the Poor Q5: Surplus Capacity Q6: Civil Structures Q7: Trans. / Distrib. Mains Q8: Service Connections Q9: M&E Equipment Q10: Facilities O&M Q11: Drawings of Pipe Q12: Zoning Q13: Supply Pressure Q14: NRW Ratio Q15: Customer Meters Q16: Bulk Meters Q17: Water Quality Q18: Drinkability Q19: Cost Recovery Q20: Collection Ratio Q21: Human Affairs Q22: Training Q23: Complaint Handling Q24: Public Awareness Q25: Laws & Regulations Q26: Sewerage Coverage Target Level Ave- rage Score Case study of big city (1) 3 Capacity Assessment Tool of JICA

32 32 Strength The capacity is high in general. The scores are high in non-technical categories. Weakness The capacity in facilities in particular, category of expansion is somewhat weak. It is recommended to consider future investment concentrating on the facilities in the category of expansion. Features of Case study of big city (1) 3 Capacity Assessment Tool of JICA

33 Over- all Expan- sion Rehabili- tation & Replacement Technical Aspects Non-technical Aspects Sector Approach Improvement by Facility Investment Improvement by Capacity Development Overall Level of the Water Utility Q1: Long / Mid-term Plan Q2: Continuity of Supply Q3: Supply Coverage Q4: Supply over the Poor Q5: Surplus Capacity Q6: Civil Structures Q7: Trans. / Distrib. Mains Q8: Service Connections Q9: M&E Equipment Q10: Facilities O&M Q11: Drawings of Pipe Q12: Zoning Q13: Supply Pressure Q14: NRW Ratio Q15: Customer Meters Q16: Bulk Meters Q17: Water Quality Q18: Drinkability Q19: Cost Recovery Q20: Collection Ratio Q21: Human Affairs Q22: Training Q23: Complaint Handling Q24: Public Awareness Q25: Laws & Regulations Q26: Sewerage Coverage Target Level Ave- rage Score Case study of big city (2) 3 Capacity Assessment Tool of JICA

34 34 Strength The capacity is high in general. Weakness There remains a challenge in preparation of drawings of distribution network, because GIS has not yet developed. The legal and institutional system is underdeveloped. It is enough to focus on development of legal and institutional system from the view point of strengthening of sector agencies, and building GIS for better management of piping network. Features of Case study of big city (2) 3 Capacity Assessment Tool of JICA

35 35 Summary (1) Comprehensive Capacity Assessment covering both urban water supply sector and water supply utility (2) Paying attention to every aspect of Capacity, Performance and Impact (3) Analyzing capacity which is difficult to identify with only quantitative indicators by combining quantitative indicators and qualitative questions (4) Expanding the target of analysis including the accessibility of the urban poor to water etc. (5) Placing importance on dialogue with stakeholders in the developing countries. Assessment led by the target country respecting the ownership. Mutual understanding and sharing of perception among stakeholders. (6) Practicing with the practical tool using the Excel sheet Features of Efforts by JICA in Capacity Assessment in Urban Water Supply 4 Summary

36 36 (1) Improvement in methodology and assessment tool (2) Possible expansion of methodology in urban water supply area (Diagnosis of function of water supply facilities, procurement conditions such as suppliers, project implementation capability, and so on) (3) Coordination with other sectors (sewerage, sanitation, hygiene education, etc.) (4) As for ensuring access to water for the urban poor, expand Capacity Assessment methodology to cover not only water supply utility but also beneficiary community (5) Partnership with other donors Future improvement and expansion 4 Summary

37 37 Reference Materials "Capacity Development Handbook for JICA staff: For Improving the Effectiveness and Sustainability of JICAs Assistance" a5766b e5002bdcbc?OpenDocument "Capacity Development and JICA's Activities (February 2003)" "Capacity Development: Technical Cooperation of JICA in the Health Sector (January 2003)" "Supporting Capacity Development in Solid Waste Management in Developing Countries - Towards Improving Solid Waste Management Capacity of Entire Societies- (July 2005)" ISO 24512:2007 December 2007 "Activities relating to drinking water and wastewater services - Guidelines for the management of drinking water utilities and for the assessment of drinking water services" IBNET The International Benchmarking Network for Water and Sanitation Utilities 4 Summary


Download ppt "June 2010 Japan International Cooperation Agency (JICA) Capacity Assessment Approach by JICA to Urban Water Supply Sector and Water Supply Utilities in."

Similar presentations


Ads by Google