Capacity Assessment and Monitoring in CD Support Projects in Solid Waste

Management Sector

Mitsuo YOSHIDA, Ph.D.Senior Advisor

Institute for International Cooperation, JICA, TokyoJICA Expert, Ministry of Environment, Amman, Jordan

LenCD Forum, October 3-5, 2006, Nairobi

Topics

(1) Waste Problem and Solid Waste Management (SWM)

(2) Definition of Capacities required in SWM

(3) Capacity Assessment

(4) Monitoring of Capacity and Capacity Development (CD)　 in SWM Projects

(5) Summary

Solid Waste Problem: How shall we cope with it?

Fact Finding & Study

Capacity Assessment

Capacity Development

Implementation to solve the Problems

Stakeholders in S

WM

Three Levels Capacities in SWM<Definition>

Organizational Level (Local SWM Authority/Department) Capacities at the organizational level represent the physical,

human, and intellectual assets, leadership, management, decision-making, and organizational cultures that are all required to achieve objectives set by the organization.

Individual Level (Personnel in the SWM Authority/Department) Capacities at the individual level represent the knowledge and

skills of the individuals who are engaged in SWM. More specifically, they represent the will, ability, and sense of responsibility of these individuals to achieve their objectives by taking advantage of such knowledge and skills.

Societal/Institutional Level Capacities at the institutional/societal level represent the policies,

institutional setup, regimes, norms, public awareness, partnership among stakeholders, and social capital, that are all required both to enable capacities to be demonstrated at the individual and organizational levels and to ensure that sustainable SWM.

Institutional & Societal level

Organizational level

Various Capacities Required for SWM and their Relationship

Individual level

-Facility, Landfill-SWM Equipment

Institutional setup & Fund allocation

Laws, By-laws, and Enforcement

National plan and policy on SWM

Awareness and participation of citizens, private

Knowledge & skill of staff

-SWM organization-Plan, Master Plan-Management

Understanding Capacities in SWM

• Placing solid waste problems in a proper context and understanding their multifaceted aspects are prerequisite for determining the focus of aid.

• Understanding of the roles of each stakeholder in SWM is an important element of the process of setting objectives for improving the overall SWM capacity.

• It is necessary to identify which areas of capacity are insufficient and need to be developed for given solid waste problems.

• Capacity Assessment

Fact Finding, Study, and Capacity Assessment

Capacities required in SWM

・ Individual mark sheets

・ Assessment checklists

・ Overall score sheets

Capacity Assessment

Expert Assessment, Focus Group Discussions, Workshops, and Interviewing

CD Support Project

Monitoring of Capacity and CD

・ Result-based

・ Approach-based

・ Based on Checklists

Result-based Indices for Monitoring

The result-based indices, such as the ‘waste collection rate has increased‘ or the 'landfill site has improved and environmental contamination has been ameliorated‘, are set for the attainment of the project objectives, and project evaluation will be made based on these indices.

• Waste Collection & Transport Collection Rate• Final Disposal of Waste Level of Disposal

Result-based IndicatorIncrease of Waste Collection in Vientiane

2226

20,303

24,779

29,25330,172

33,625

5000

7,3008760

10,355

0 0 0 0

32854380

6570

8845

2847

7,171

9,388

11,310 11,44112,234

6,780

3,0521,721 924

5,861

1156

0

5000

10000

15000

20000

25000

30000

35000

40000

1991 1993 1995 1997 1998 1999 2000 2001 2002 2003YEAR

TO

NN

ES

DCTC/UCS Private Contractors Others 出典：Earth System Lao（2004）

Development Study (Planning)

Equipment Grant

Expert & Volunteer Dispatch

Increase of Collection

Capacity

Level of Final Disposal SiteTowards Sanitary Landfill

Increase of final disposal capacity

GNP versus MSW Collection Rate and Level of Final Disposal

Limitation of Result-based Indices in Monitoring

• However, these result-based indices cannot fully represent the progress of capacity. Because, various capacities could affect the result.

• In the original sense, "capacity development" is to improve counterparts' "handling skill," and is to improve their ability of solving problems.

• How can we monitor the capacity development in SWM projects?

An attempt based on ‘Phase (Approach) in Technical Cooperation’

Phased Progress in Technical Cooperation and Capacity Development

Introduction/Demonstration Phase

Training/Technology Transfer Phase

Collaboration Phase

Self-reliance Phase

Understanding

rerun

rerun

rerun

Acquiring Knowledge

Progress of Technical Cooperation

Capacity D

evelopment

Making Decision

Involvement of the counterpart changes from receptive to proactive

Phased Development

1. Demonstration Phase– Unilateral from donor side– Baseline

2. Training/Technology Transfer Phase– Receptive– Training

3. Collaboration Phase– Proactive– Fostering creativity

4. Self-reliance Phase– Creative and sustainable– Phase-out of donor

Human Development

Organizational Development

Institutional Development

SWM Projects in Dhaka City

1989-1996 1997 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010World Bank

Urban Development ProjectAsian Development BankDhaka Urban InfrastructureImprovement ProjectUNDP

Community based SWM with NGOsBiogas Recovery as CDM ProjectNGOs

Urban Community SWM/CompostingComposting for Slums in DhakaJICA/Japan

Short Term SWM Study ExpertDevelopment Study (SWM Master Plan)Followup of Development StudyTechnical Cooperation ProjectJOCV VolunteersGrant AidDCC projects

Privately Managed SWMAction Plan of Claen Dhaka M/PConstruction of Mirpur Landfill

Hardware inputs

Community and NGO partnership

Strengthening DCC and CD support

Evaluation

Dhaka City (DCC) 1997 1999 2000 2003 2004 2005 2006 2006Capacities in SWM ADB UNDP J ICA Exp J ICA IC J ICA Surv J ICA PLP J ICA FU J ICA PROKnowledge on SWM 2 2 2 2 3 3 4 4Solid waste quality/quantity survey 1 1 2 2 3 3 3 3Time and Motion Study 1 1 1 1 2 2 2 2Waste collection planning 2 1 2 2 2 3 3 3Formulation of Master Plan 1 1 1 1 2 3 3 3Revising/updating Master Plan 1 1 1 1 1 1 1 1Collection management 2 1 1 1 1 2 2 2SWM zone inspection 1 1 1 1 2 2 3 3Collection vehicle management 2 1 2 2 2 2 2 3Container management 2 1 1 1 2 3 3 4Service workshop management 1 1 1 1 1 2 2 2Landfill planning 1 1 1 1 1 2 2 2Landfill construction management 1 1 1 1 1 1 2 2Landfill operation control 1 1 1 1 1 2 2 3Landfill maintenance management 1 1 1 1 1 1 2 2Landfill environment protection 1 1 1 1 1 1 1 1Landfill machineries maintenance 2 1 1 1 1 1 1 1Closure of open dump sites 1 1 1 1 1 1 1 1Environmental monitoring 1 1 1 1 1 2 2 2SWM action plan formulation 2 1 2 1 2 3 3 3Accounting for SWM system 1 1 1 1 1 2 2 2Awareness of decision-makers 1 1 1 2 2 2 3 3Institutionalization of CBSWM 1 2 1 1 1 2 3 3Organizing CBSWM committee 1 2 1 1 1 2 3 3Partnership with NGOs/CBOs 1 2 2 2 2 3 3 3Cordination among organizations 1 1 1 1 2 2 2 2DCC restructuring for SWM 1 1 1 2 2 2 3 3Public awareness, Env. Education 1 2 3 3 3 3 3 3Partnership with other cities 1 1 1 1 2 2 3 3Recycling 4 4 4 4 4 4 4 4

40 38 41 42 51 64 73 761 Introduction/ Demonstration Level2 Training/ Technology Transfer Level3 Collaboration Level4 Self- reliance Level

Evaluation of Capacities in SWM, Dhaka (DCC)

Technical Cooperation Level as a Proxy Measure of CD

Introduction/Demonstration

Level

Training/Technology

Transfer Level

CollaborationLevel

Self- relianceLevel

0%

10%

20%

30%

40%

50%

60%

70%

80%

90%

100%

1997 1999 2000 2003 2004 2005 2006 2006

Overview of Enhancing SWM Capacity in Dhaka during Technical Cooperation

0

20

40

60

80

ADB UNDP J ICA Exp J ICA IC J ICA Surv J ICA PLP J ICA FU J ICA PRO

1997 1999 2000 2003 2004 2005 2006 2006

Sco

re o

f th

e Le

vel N

umbe

r

Summary

(1) Based on the definition of required capacities in SWM, capacity assessment identifies the areas of capacity to be improved or newly developed to effectively deal with specific problems concerning to SWM. The capacity assessment is a part of, or a framework of, baseline survey in beginning stage of CD support project. Checklists survey is one of the promising tools for the capacity assessment.

(2) Capacity assessments not only provide a framework for project design but also present a useful perspective in monitoring of capacity. In the monitoring based on project outputs, result-based indicators are devised in accordance with the result of initial capacity assessment and project goals. The result-based indicators can depict achieved level of the capacities.

(3) More process-oriented approach in monitoring is crucial instead of focusing too much on the outputs, product-oriented approach. A method for monitoring of Capacity Development based on required ‘level of technical cooperation’ is proposed.