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




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







2
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
１．What is Capacity Assessment (CA)?
1．What is Capacity Assessment (CA)?
3
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)?
Why Capacity Assessment is necessary?
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
１．What is Capacity Assessment (CA)?
Capacity development in terms of JICA
5
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. 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
１．What is Capacity Assessment (CA)?
Philosophy of CD ～process～
6
Culture, society, history,
custom of developing
Culture,
countries
society,
history and
custom of
Japan
Human
resources
for
cooperation
Target of cooperation
Individual level of
developing
countries
Sharing
Organizational/
social level of
developing
countries
Human
resources of
developing
countries
Communication
Japanese
experts
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.
１．What is Capacity Assessment (CA)?
What is “Capacity”? <Comprehensive Process>
7
Capacity
= The developing countries’ capabilities for handling issues
= Collection of various elements including the institutional, policy
and social system
Societal level
( Social environment, institutional/political
environment )
Organization level
Individual level
Perspectives for Perceiving Capacity
8
Definition
Assessment Target
C/Ps’ knowledge and skills (Including other
agencies ), knowledge within the
organization, presence or absence of
information sharing systems and their
quality
Organization’s conduct and way of thinking
Management capability,
(speed and efficiency of decision-making,
Core
will/attitude and leadership to
degree of implementing , etc.), various
Capacity handle issues proactively by organizational systems (Incentive system,
utilizing technical capacity
personnel, management institutions, etc.)
Particular technical
Techcapabilities such as
knowledge, skills and the
nical
Capacity tacit knowledge accumulated
within the organization
Capacity
１．What is Capacity Assessment (CA)?
Category
Enabling
Environment
Conditions that make it
Financial system Institutional environment,
possible for organization
Human resources, Physical resources,
targeted to utilize capabilities
Financial base, Social capital
to produce results
Performance
Daily results generated by
the entity of CD through
enhancement of its capacity
Impact
Problem solution which is
gradually realized through
the accumulation of results.
Emergence of results through efforts by
organization (project planning and
implementation performance, recipients’
satisfaction, etc.)
Continuous enhancement of service
coverage and quality, increase in
satisfaction of beneficiary, and continuous
reduction of related morbidity rate, etc.
2.Capacity Assessment in Urban Water Supply
Major challenges in urban water supply in developing countries
2.Capacity Assessment
in Urban Water Supply
•
9
Underdeveloped legal system
• Poor regulation and supervision
• Unestablished standard and
guideline
• Difficulty in financing
• 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
• 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.
Points to Be Noted
2.Capacity Assessment
in Urban Water Supply
１
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.
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.
Points to Be Noted
2.Capacity Assessment
in Urban Water Supply
３
Necessity of methodology incorporating the
quantitative performance evaluation through
performance indicators and Capacity Assessment
including qualitative analysis
４
Necessity to clearly specify and monitor the outcome
and impact of cooperation.
５
11
Practical tool to apply the CA in urban water supply in
developing counties to actual cooperation activities for
on-site practice.
2.Capacity Assessment
in Urban Water Supply
Efforts of other donors etc.
12
(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, 24511 and
24512 targeting the activities concerning potable water
and sewage service.
 ISO standard mentioned above encourages to select
performance indicators appropriate to each country.
International
Organization for
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.
Efforts of other donors etc.
2.Capacity Assessment
in Urban Water Supply
(2) Example of collection and accumulation of
performance indicators data of water supply
utilities in developing countries (IBNET)
13
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
 Benchmarking (comparison between water supply
utilities) is possible by identifying quantitative
elements of performance.
 Remaining challenge is qualitative understanding of
capacity.
Efforts of other donors etc.
2.Capacity Assessment
in Urban Water Supply
(3) Example of collection and accumulation of
performance indicators data of water supply
utilities in developing countries (GTZ)
14
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
 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
Approach by JICA
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
(2) Capacity + Performance + Impact
I ： Impact
P ： Performance
C ： Capacity
16
People can obtain
safe water.
A Water supply
utility can control
water quality
systematically and
continuously.
The water quality
control ability of staff
is enhanced.
They can operate
water quality
analyzer.
Approach by JICA
2.Capacity Assessment
in Urban Water Supply
(3) Quantitative + Qualitative
Quantitative
Indicators
Qualitative
Questions
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
17
3．Capacity Assessment Tool of JICA
18
Urban water supply sector in general
Analysis by quantitative
CA of sector agencies etc
Which one is the problem?
Individual analysis
3．Capacity Assessment Tool of JICA
Overview
CA by comparison of water
supply utilities within a country
indicator
Analyze mainly by
qualitative questions
Particular water supply utility
General information
Pair
CA for understanding outline
In more details
CA for detailed analysis
(including improvement status)
Analysis mainly by
qualitative questions
Multiple analysis by both
quantitative indicators and
qualitative questions
Analysis by qualitative
questions followed by
quantitative indicators
19
Basic
Tool
Goal of
Assess
ment
Additional
Tool
3．Capacity Assessment Tool of JICA
Overview
Goal A :
Understanding
entire water
supply sector
【1】List of
Performance
Indicators
【2】Sector
Checklist
Environmental
Scan
Goal B :
Understanding
outline of water
supply utility
【3】Utility
General Form
【4】Utility
Basic
Checklist
Goal C :
Understanding
details of water
supply utility
【5】Utility
Detailed
Checklist
【1】List of
Performance
Indicators
Environmental
Scan /
Capacity
Vulnerability
Analysis
3．Capacity Assessment Tool of JICA
Basic Tool 【1】： List of Performance Indicators
20
(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 <Process benchmarking>
 Selectively use all the 38 performance indicators including
those in the third priority group
3．Capacity Assessment Tool of JICA
Basic Tool 【2】： Sector Checklist
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
3．Capacity Assessment Tool of JICA
Basic Tool 【4】： Utility Basic Checklist
22
(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
 Facility investment (FI)-related, technical CD-related, nontechnical 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 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-tounderstand scoring method is effective as dialogue tool.
(4) Examine direction of a project
3．Capacity Assessment Tool of JICA
Basic Tool 【5】： Utility Detailed Checklist
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.
3．Capacity Assessment Tool of JICA
Additional Tools
- Environmental Scan (ES)
- Capacity Vulnerability Analysis (CVA)
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.
3．Capacity Assessment Tool of JICA
Usage Examples of Basic Tool 【4】
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
Questionnaire Items of Utility Basic Checklist
Category
Question
3．Capacity Assessment Tool of JICA
Q1: Existence of Long or Mid-term Plan
26
Overall
Aspects
Q2: Continuity of Supply
to be
Water Supply Q3: Overall Water Supply Coverage
Improved
Expansion Service Coverage Q4: Water Supply Coverage over the Poor
Purification Plant Q5: Surplus Capacity of Purification Plant
Mainly by
Q6: Conditions of Civil Structures
Facility
Rehabilitation
Conditions of Q7: Conditions of Trans. & Distrib. Mains
Investment
&
Q8: Conditions of Service Connections
Facilities
(FI)
Replacement
Q9: Conditions of M&E Equipment
Overall
Distribution
Network
Management
Q10: O&M of the Facilities
Q11: Drawings of Pipe Facilities
Q12: Zoning of Distribution Network
Q13: Water Pressure at Supply Points
Technical
Aspects
Q14: NRW Ratio
Aspects
to be
NRW Reduction Q15: Installation of Customer Meters
Improved
Q16: Installation of Bulk Meters
Mainly by
Water Quality Q17: Water Quality Tests at Purification
Control
Q18: Drinkability of Tap Water
Capacity
Q19: Cost Recovery Level
Financial
Development
Improvement Q20: Collection Ratio
(CD)
Non-technical Organizational Q21: Rules for Human Affairs & Incentives
Development Q22: Implementation of Training
Aspects
Q23: Public Complaint Handling
Public Relations Q24: Public Awareness Enhancement
Q25: Laws and Regulations on Waterworks
Aspects to be Improved
Mainly by Sector Approach
Q26: Sewerage Coverage
3．Capacity Assessment Tool of JICA
1
Average
Score
27
3
5
6
7
3.5
Improvement by
Facility Investment
Improvement by
Capacity Development
3.5
3.5
21
22
23
Q23: Complaint Handling
Q22: Training
20
Q21: Human Affairs
19
Q20: Collection Ratio
18
Q19: Cost Recovery
17
Q18: Drinkability
16
Q17: Water Quality
15
Q16: Bulk Meters
14
Q15: Customer Meters
13
Q14: NRW Ratio
12
Q13: Supply Pressure
11
Q12: Zoning
10
Q11: Drawings of Pipe
9
Q10: Facilities O&M
8
Q9: M&E Equipment
Q8: Service Connections
Q7: Trans. / Distrib. Mains
Q6: Civil Structures
4
Q5: Surplus Capacity
Q4: Supply over the Poor
Q3: Supply Coverage
Q2: Continuity of Supply
2
Overall
Expansion
Rehabilitation &
Replacement
Technical
Aspects
Non-technical
Aspects
3.0
2.7
4.9
4.0
3.0
Q24: Public Awareness
24
Sector
Approach
1
Q1: Long / Mid-term Plan
25
Q25: Laws & Regulations
26
Q26: Sewerage Coverage
Case study in small-to-medium local city (1)
5
Target
Level 4
3
2
Overall Level of the Water Utility
1.5
3．Capacity Assessment Tool of JICA
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.
 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
1
Average
Score
29
2
3
4
5
6
7
3.4
Improvement by
Facility Investment
Improvement by
Capacity Development
3.5
3.2
21
22
23
Overall
Expansion
Rehabilitation &
Replacement
Technical
Aspects
Non-technical
Aspects
4.0
3.3
3.3
3.6
2.8
24
25
Q25: Laws & Regulations
Q24: Public Awareness
Q23: Complaint Handling
Q22: Training
20
Q21: Human Affairs
19
Q20: Collection Ratio
18
Q19: Cost Recovery
17
Q18: Drinkability
16
Q17: Water Quality
15
Q16: Bulk Meters
14
Q15: Customer Meters
13
Q14: NRW Ratio
12
Q13: Supply Pressure
11
Q12: Zoning
10
Q11: Drawings of Pipe
9
Q10: Facilities O&M
8
Q9: M&E Equipment
Q8: Service Connections
Q7: Trans. / Distrib. Mains
Q6: Civil Structures
Q5: Surplus Capacity
Q4: Supply over the Poor
Q3: Supply Coverage
Q2: Continuity of Supply
1
Sector
Approach
Q1: Long / Mid-term Plan
3．Capacity Assessment Tool of JICA
26
Q26: Sewerage Coverage
Case study in small-to-medium local city (2)
5
Target
4
Level
3
2
Overall Level of the Water Utility
3.0
3．Capacity Assessment Tool of JICA
Features of Case study in small-to-medium local city (2)
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 １and 2.
 Facility investment is required in accordance with the mid-andlong 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.
1
Average
Score
31
2
3
4
5
6
7
4.4
Improvement by
Facility Investment
Improvement by
Capacity Development
4.2
4.6
21
22
23
Overall
Expansion
Rehabilitation &
Replacement
Technical
Aspects
Non-technical
Aspects
4.5
3.7
4.5
4.4
4.8
24
25
Q25: Laws & Regulations
Q24: Public Awareness
Q23: Complaint Handling
Q22: Training
20
Q21: Human Affairs
19
Q20: Collection Ratio
18
Q19: Cost Recovery
17
Q18: Drinkability
16
Q17: Water Quality
15
Q16: Bulk Meters
14
Q15: Customer Meters
13
Q14: NRW Ratio
12
Q13: Supply Pressure
11
Q12: Zoning
10
Q11: Drawings of Pipe
9
Q10: Facilities O&M
8
Q9: M&E Equipment
Q8: Service Connections
Q7: Trans. / Distrib. Mains
Q6: Civil Structures
Q5: Surplus Capacity
Q4: Supply over the Poor
Q3: Supply Coverage
Q2: Continuity of Supply
1
Sector
Approach
Q1: Long / Mid-term Plan
3．Capacity Assessment Tool of JICA
26
Q26: Sewerage Coverage
Case study of big city (1)
5
Target
4
Level
3
2
Overall Level of the Water Utility
4.0
3．Capacity Assessment Tool of JICA
Features of Case study of big city (1)
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.
1
Average
Score
33
2
3
4
5
6
7
4.7
Improvement by
Facility Investment
Improvement by
Capacity Development
4.8
4.6
21
22
23
Overall
Expansion
Rehabilitation &
Replacement
Technical
Aspects
Non-technical
Aspects
5.0
4.5
5.0
4.4
4.8
24
25
Q25: Laws & Regulations
Q24: Public Awareness
Q23: Complaint Handling
Q22: Training
20
Q21: Human Affairs
19
Q20: Collection Ratio
18
Q19: Cost Recovery
17
Q18: Drinkability
16
Q17: Water Quality
15
Q16: Bulk Meters
14
Q15: Customer Meters
13
Q14: NRW Ratio
12
Q13: Supply Pressure
11
Q12: Zoning
10
Q11: Drawings of Pipe
9
Q10: Facilities O&M
8
Q9: M&E Equipment
Q8: Service Connections
Q7: Trans. / Distrib. Mains
Q6: Civil Structures
Q5: Surplus Capacity
Q4: Supply over the Poor
Q3: Supply Coverage
Q2: Continuity of Supply
1
Sector
Approach
Q1: Long / Mid-term Plan
3．Capacity Assessment Tool of JICA
26
Q26: Sewerage Coverage
Case study of big city (2)
5
Target
4
Level
3
2
Overall Level of the Water Utility
2.5
3．Capacity Assessment Tool of JICA
Features of Case study of big city (2)
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.
４．Summary
Features of Efforts by JICA in Capacity Assessment
in Urban Water Supply
4．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.
35
(6) Practicing with the practical tool using the Excel sheet
Future improvement and expansion
(1) Improvement in methodology and assessment tool
4．Summary
(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
36
Reference Materials
"Capacity Development Handbook for JICA staff: For Improving the Effectiveness and
Sustainability of JICA’s Assistance"
http://gwweb.jica.go.jp/km/FSubject9999.nsf/3b8a2d403517ae4549256f2d002e1dcc/e7e6a65d3
a5766b7492575e5002bdcbc?OpenDocument
4．Summary
"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
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/
37