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.