Capacity Assessment and Monitoring in CD Support Projects in Solid Waste Management Sector Mitsuo YOSHIDA, Ph.D. Senior Advisor Institute for International Cooperation, JICA, Tokyo JICA 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 SWM

Three Levels Capacities in SWM 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 & TransportCollection Rate Final Disposal of WasteLevel of Disposal

Result-based Indicator Increase of Waste Collection in Vientiane Development Study (Planning) Equipment Grant Expert & Volunteer Dispatch Increase of Collection Capacity

Level of Final Disposal Site Towards 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 Acquiring Knowledge Progress of Technical Cooperation Capacity Development 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 Hardware inputs Community and NGO partnership Strengthening DCC and CD support Evaluation

Evaluation of Capacities in SWM, Dhaka (DCC)

Technical Cooperation Level as a Proxy Measure of CD

Overview of Enhancing SWM Capacity in Dhaka during Technical Cooperation Score of the Level Number

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.