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June 2010 Japan International Cooperation Agency (JICA)

Capacity Assessment Approach by JICA to Urban Water Supply Sector and Water Supply Utilities in Developing Countries. June 2010 Japan International Cooperation Agency (JICA). Contents. 1. What is capacity assessment (CA)? 2. Capacity Assessment in urban water supply

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June 2010 Japan International Cooperation Agency (JICA)

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

  2. Contents • 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 • AdditionalTools:Environmental Scan / Capacity VulnerabilityAnalysis • Usage example of Basic Tool [4] • 4. Summary

  3. 1．What is Capacity Assessment (CA)? Definition of Capacity Assessment by JICA Capacity Assessment is • The process of broadly assessing both the current state of the developing countries’ capabilities for handling issues (capacity) • at multiple levels—including 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. １．What is Capacity Assessment (CA)?

  4. Why Capacity Assessment is necessary? １．What is Capacity Assessment (CA)? 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

  5. Capacity development in terms of JICA Key point is “comprehensive” and “endogenous” process Capacity = The developing countries’ capabilities for handling issues = Collection of various elements including the institutional, policy and social system 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 １．What is Capacity Assessment (CA)? 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

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

  7. What is “Capacity”? <Comprehensive Process> Capacity = The developing countries’ capabilities for handling issues = Collection of various elements including the institutional, policy and social system Societal level (Social environment, institutional/politicalenvironment ) １．What is Capacity Assessment (CA)? Organization level Individual level

  8. Perspectives for Perceiving Capacity Capacity １．What is Capacity Assessment (CA)?

  9. 2.Capacity Assessment in Urban Water Supply 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 pooretc. • Underdeveloped legal system • Poor regulation and supervision • Unestablished standard and guideline • Difficulty in financing 2.Capacity Assessment in Urban Water Supply • 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

  10. Points to Be Noted １ 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. 2.Capacity Assessment in Urban Water Supply ２ 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.

  11. Points to Be Noted ３ Necessity of methodology incorporating the quantitative performance evaluation through performance indicators and Capacity Assessment including qualitative analysis 2.Capacity Assessment in Urban Water Supply ４ Necessity to clearly specify and monitor the outcome and impact of cooperation. ５ Practical tool to apply the CA in urban water supply in developing counties to actual cooperation activities for on-site practice.

  12. Efforts of other donors etc. (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, 24511and 24512targeting the activities concerning potable water and sewage service. • ISO standard mentioned above encourages to select performance indicators appropriate to each country. 2.Capacity Assessment in Urban Water Supply International Organizationfor Standardization 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.

  13. Efforts of other donors etc. (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 2.Capacity Assessment in Urban Water Supply • Benchmarking (comparison between water supply utilities) is possible by identifying quantitative elements of performance. • Remaining challenge is qualitative understanding of capacity.

  14. Efforts of other donors etc. (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 • GTZprovides 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 2.Capacity Assessment in Urban Water Supply • 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.

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

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

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

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

  19. Overview Basic Tool 3．Capacity Assessment Tool of JICA Addi-tional Tool

  20. BasicTool【1】： List of Performance Indicators • (1) Assessment tool listing total 38 performance indicators, prioritized into three groups • (2) Comparison of multiple water supply utilities in the target country <Metric benchmarking> • 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 <Processbenchmarking> • Selectively use all the 38 performance indicators including those in the third priority group 3．Capacity Assessment Tool of JICA

  21. Basic Tool 【2】： Sector Checklist • (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: 35questionsSecond Priority: 49questions 3．Capacity Assessment Tool of JICA

  22. Basic Tool 【4】： Utility Basic Checklist • (1) Understand the utility’s 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 • Facilityinvestment (FI)-related, technical CD-related, non-technical CD-related and sector approach-related questions • (3) Evaluation and scoring on a 5-point scale • Level1：Very serious, Level 2：Serious, Level 3：Slightly unsatisfactory, Level4：Target level of developing countries, Level 5：developed country’s 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 3．Capacity Assessment Tool of JICA

  23. Basic Tool 【5】： Utility Detailed Checklist • (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 capacitydevelopment or facilityinvestment) • (3) Easy customization such as addition of items to be checked and change of priority etc. 3．Capacity Assessment Tool of JICA

  24. Additional Tools - Environmental Scan (ES) - Capacity Vulnerability Analysis (CVA) (1) Additional Toolsare used to highlight the core capacity of the organization and the relationship with the external environment which are hard to identify byBasic 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. 3．Capacity Assessment Tool of JICA 24

  25. Usage Examples of Basic Tool 【4】 Case studies of using BasicTool【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 3．Capacity Assessment Tool of JICA

  26. Questionnaire Items of Utility Basic Checklist 3．Capacity Assessment Tool of JICA

  27. Case study in small-to-medium local city (1) TargetLevel 3．Capacity Assessment Tool of JICA Ave-rageScore

  28. Features of case study in small-to-medium local city (1) 【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. 3．Capacity Assessment Tool of JICA • 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.

  29. Case study in small-to-medium local city (2) TargetLevel 3．Capacity Assessment Tool of JICA Ave-rageScore

  30. Features of Case study in small-to-medium local city (2) 【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. 3．Capacity Assessment Tool of JICA • Support for capacity development should be considered mainly for the items in levels １and 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.

  31. Case study of big city (1) TargetLevel 3．Capacity Assessment Tool of JICA Ave-rageScore

  32. Features of Case study of big city (1) 【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. 3．Capacity Assessment Tool of JICA • It is recommended to consider future investment concentrating on the facilities in the category of expansion.

  33. Case study of big city (2) TargetLevel 3．Capacity Assessment Tool of JICA Ave-rageScore

  34. Features of Case study of big city (2) 【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. 3．Capacity Assessment Tool of JICA • 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.

  35. ４．Summary Features of Efforts by JICA in Capacity Assessment in Urban Water Supply (1) Comprehensive Capacity Assessment covering both urban water supply sector and water supply utility (2) Paying attention to every aspect of Capacity, Performanceand Impact (3) Analyzing capacity which is difficult to identify with only quantitative indicators by combining quantitative indicatorsand 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 4．Summary

  36. Future improvement and expansion (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 4．Summary

  37. Reference Materials "Capacity Development Handbook for JICA staff: For Improving the Effectiveness andSustainability of JICA’s Assistance" http://gwweb.jica.go.jp/km/FSubject9999.nsf/3b8a2d403517ae4549256f2d002e1dcc/e7e6a65d3a5766b7492575e5002bdcbc?OpenDocument "Capacity Development and JICA's Activities (February 2003)" http://www.jica.go.jp/english/publications/reports/study/capacity/200302/index.html "Capacity Development: Technical Cooperation of JICA in the Health Sector (January 2003)" http://www.jica.go.jp/english/publications/reports/study/topical/cap/ "Supporting Capacity Development in Solid Waste Management in Developing Countries -Towards Improving Solid Waste Management Capacity of Entire Societies- (July 2005)" http://www.jica.go.jp/english/publications/reports/study/topical/waste/index.html 4．Summary 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" http://www.iso.org/iso/iso_catalogue/catalogue_tc/catalogue_detail.htm?csnumber=37248 IBNET：The International Benchmarking Network for Water and Sanitation Utilities http://www.ib-net.org/

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