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Module 2 - 04
Collecting Information

4.1 What types of information are required?
4.2 How is the information collected?
4.3 Who collects the information?
4.4 Using information (what is needed and when?)
4.5 What are the underlying issues to keep in mind?
Further Guidance

Key Questions:

Is the legal and regulatory framework conducive for private sector participation?
What utilities and/or agencies are responsible for various services?
What is the state of the utilities and/or providing agencies?
How do the poor perceive the levels and quality of service?
Does the local private sector have the capacity to provide services?

Related Tools:

01 Starting Out
02 Strategic Planning
03 Planning and Organising
09 Identifying Partners

Preparation Stage – Collecting Information

4.2 How is the information collected?

Various methods could be used for collecting the different types of information required and listed above.

A. Information from the public sector

The public sector is probably best equipped to provide information for the PPP project. It has the funds necessary to carry out the research or workshops; it also has adequate sources of information that are already collected centrally. However, the task force and the management team should also look to other possibilities for obtaining the required information and research from potential partners.

In terms of the legal and Legislative framework, the public sector can:

  • review relevant policy and government documents, including national, regional and local government legislation and laws;
  • review regulatory documents provided by various agencies, such as the Environment Agency, consumer protection agencies and so on;
  • carry out key informant interviews with relevant executives at the three levels of government, labour unions, heads of agencies with jurisdiction for service provision and with key individuals; and
  • set up workshops with key staff of stake holder agencies in the pubic service, including legal, financial, technical (for example, engineers), community and poverty, and human resources specialists.

In terms of the state of the utility, the public sector could conduct one or a combination of the following:

  • A review of past and present records of the utility.
  • SWOT: analysis of Strengths, Weaknesses, Opportunities and Threats of the utility; SWOT analysis is better conducted after the review of existing relevant documents and appraisal of consumer perceptions and preferences.
    Strengths and weaknesses are internal to the utility and include assets, level of service, efficiency, employees (skills and morale), management, customer relations, finance, level of technology and so on.
    Threats and opportunities are external to the utility and include consumer perceptions, demands, political trends, climatic factors, environmental factors, contractors, suppliers, economic trend and so on.
  • PEST analysis: analysis of Political, Economic, Social and Technical factors, or the context within which the utility has to function. The PEST analysis could be conducted by reviewing policy and legislative documents, utility records and by key informant interviewing.

B. Information from consumers

Participatory methodology has been used successfully to conduct appraisals of consumer experiences and their perceptions of services provided by utilities. The relevant instruments and methods include those listed below.

  • Focus group discussions.
  • Approaches developed for specific sectors, such as PREPP (Participation, Ranking, Experience, Perceptions and Partnership) for the water and sanitation sector [Coates et al, 2001]. The steps and methods for PREPP include:

    Analyse the experiences of consumers with existing level of service.

    household voting exercises and discussion: used to assess existing preferences;
    questions and probing: used for analysing consumer perceptions;
    costed option ranking and pocket chart voting: used for assessing service option preferences (the existing option compared to new ones); and
    household expenditure charts: used for analysing household expenditure.
  • Questionnaire surveys.
  • Face-to-face interviews.
  • Willingness to pay surveys, using the contingent valuation method (CVM).
  • Market research or formative research: this consists of a detailed research of the existing and intended consumers in the current or proposed service areas. The process of conducting formative research should include:
    information from secondary sources – this includes reviewing existing local, national or international data for information on population, settlement patterns, characteristics of households and categories of houses;
    in-depth interviewing and probing (laddering method) to understand the perceptions of consumers, preferences and willingness to adopt new services;
    focus group discussion and community/ area meetings;
    surveys; and
    observations and counts.

C. Information from the private sector

Identification of existing local private service providers is the first step towards appraising the existing skills. Private sector providers can be identified through:

  • discussions with consumers;
  • observation and random transect walks; and
  • key informant interviewing.

Methods that can be used for assessing private service providers include:

  • in-depth interviews;
  • workshops; and
  • focus group discussions.

Funding for the consumer information and private sector research could be allocated from governmental or donor sources. NGOs might also hold a certain proportion of the required data




How is the information collected?

Public sector

*Review of existing policy, regulatory and government documents
*Key informant interviewing
*Review of utility records
*SWOT analysis
*PEST analysis
*Stakeholder analysis



*Focus group discussion
*Face-to-face interviews
*Participatory tools
*In-depth interviews
*Community/Area meetings


Private sector

*Focus group discussion
*In-depth interviews


Who collects the information?


*Consumer or community assessment specialists
*Technical expert (Engineer)
*Financial analysis specialist
*Relevant key staff of the municipality



Tool 4-2



  S T A R T P A G E  
  Module 1 - Before PPPs  
  01-Starting Out  
  02-Strategic Planning  
  Module 2 - Preparation Stage  
  03-Planning & Organising  
  04-Collecting Information  
  Module 3 - PPP Development Stage  
  05-Identifying Constraints  
  06-Defining Objectives  
  07-Defing Parameters (Scope)  
  08-Establishing Principles  
  09-Identifying Partners  
  10-Establishing Partnership  
  11-Selecting Options  
  12-Financing (Investment)  
  13-Financing (Cost Recovery)  
  14-Preparing Business Plans  
  15-Regulating the PPP  
  Module 4 - Implementation  
  16-Tendering & Procurement  
  17-Negotiating & Contracting  
  18-Managing PPPs  
  19-Monitoring & Evaluation  
  20-Managing Conflict  
  21-Capacity Development  
  Contact Information