ODA

ASSET MANAGEMENT PROCEDURES

FOR IRRIGATION SCHEMES
- Preliminary guidelines for the preparation of an asset
management plan for irrigation infrastructure

Institute of Irrigation Studies, University of Southampton, UK

in association with
WRc Engineering, Swindon, UK
Mott MacDonald, Cambridge, UK
Directorate General of Water Resources Development, Government of Indonesia
Faculty of Agricultural Technology, Gadjah Mada University, Yogyakarta, Indonesia.
January 1995

ODA

ASSET MANAGEMENT PROCEDURES

FOR IRRIGATION SCHEMES
- Preliminary guidelines for the preparation of an asset
management plan for irrigation infrastructure

Main subject area:

Water and Sanitation

Theme:

Improved availability of water for sustainable food production

Project Title: Asset management procedures for irrigation schemes

Project reference:

R6078

This document is an output from an ODA-funded research project, carried out for the benefit
of developing countries. The views experessed in this report are not necessarily those of the
Overseas Development Administration.

Institute of Irrigation Studies, University of Southampton, UK

in association with
WRc Engineering, Swindon, UK
Mott MacDonald, Cambridge, UK
Directorate General of of Water Resources Development, Government of Indonesia
Faculty of Agricultural Technology, Gadjah Mada University, Yogyakarta, Indonesia.
January 1995

Summary
The report is the result of a six-month project to study Asset Management Planning, a technique
derived from the UK water industry, and to examine its potential application to irrigation in
developing countries. Central to the work was a four month field trial in Yogyakarta, Indonesia, in
which practical procedures were formulated and tested.

Experience of this trial enabled the

feasibility of applying the methodology to irrigation to be established and aspects requiring further
research to be identified.
The approach to the project, the reasoning behind it and its execution are described. There is a
review of the origins of Asset Management and a brief examination of the setting within irrigation
which concerns the study. More similarities than differences were found between asset management
for irrigation and that for the UK water industry.

These are summarised together with the

implications for transferring the techniques between these two fields of application. Current issues
and initiatives in Indonesia are described as a background to the field trial there.
The application of Asset Management to irrigation is described. Procedures are set out and discussed
for the production and use of an Asset Management Plan (AMP). Each of the steps is described, with
background information, recommendations and examples or illustrations, wherever possible, from
the experiences of the trial in Yogyakarta. Aspects for which the requirements are location-specific
or which will demand particular attention for other reasons, are identified and discussed.
The report concludes that Asset Management Procedures for Irrigation Schemes are feasible and that
the methodology provides a framework for strategic management in the sector. Through the detailed
information provided and the references to the trial, practicability is demonstrated and the extent to
which the ideas are developed is shown. Resource requirements and the logistics of undertaking the
procedures are set out in broad terms. It is recommended that an overall programme for AMP
production of nine to eighteen months may realistically be envisaged.

The extension of the

methodology into other areas is considered briefly and further research needs are identified.
Supporting information is given in the Appendices.

Acknowledgements
The financial assistance of the Overseas Development Administration (ODA), which enabled this
study to be carried out, is gratefully acknowledged.
Thanks are extended to all those who gave of their time and expertise during the study, particularly
the staff and students of the Faculty of Agricultural Technology, Gadjah Mada University, and the
staff of the Directorate General of Water Resources Development, both in Yogyakarta and in Jakarta.
The authors are especially grateful to Dr. Suprodjo, Dr. Sigit, Dr. Saiful and Ir. Budi for the warmth
of their hospitality in Yogyakarta as well as for their help and advice, and to team in Yogyakarta,
Fauzan Umar and Tining Murtiningrum for their excellent assistance.
The logistical support provided in Indonesia by Mott MacDonald International is appreciated and our
thanks go to Mr. Masood Khan, Mr. Chris Brown, Mr. Purnomo Tarmidi and to Mrs. Menny Triono.
Also too for the practical advice that Phil Richardson, Tim Hannan and Mahe Mahendrarajah gave
me on technical aspects of the project.
Doug Vermillion of the International Irrigation Management Institute (IIMI), Bill Davidson of
Anglian Water and Keith Howells of Mott MacDonald all very kindly gave the benefit of their time,
as did Prof. Martin Snaith and Dr. Henry Kerali of the University of Birmingham, Highways
Development and Management Project. We are grateful to Ian Makin, John Skutch, Phil McAteer,
Gez Cornish and Tim Forster of HR Wallingford for some valuable discussions in UK and in
Yogyakarta. Many others, who cannot all be named, contributed, and we are grateful for their help.
The contribution made by the four specialists, Jim Perry of Mott MacDonald, Bill Kingdom and
Edward Glennie of WRc, and Ian Smout of Loughborough University of Technology is gratefully
acknowledged.

Asset Management Procedures for Irrigation Schemes

CONTENTS
Summary
Acknowledgements
Glossary of Terms

Part I: Concepts
1.

Introduction
1.1
1.2
1.3
1.4
1.5
1.6
1.7
1.8

2.

Managing Infrastructure - the Contemporary Challenge

Structure of the Report
Background to the Project
Collaborating Organisations
Project Objectives
Underlying Aims
Work Programme
Field Trial

Asset Management
2.1
2.2
2.3
2.4
2.5
2.6

Definition
Origins in the Water Industry of England and Wales
Essential Features of the Asset Management Plan (AMP)
Statistics in Asset Management Planning
Application to Irrigation - Similarities and Differences
Asset Management for Irrigation in the Indonesian Context

page 1
1
1
2
2
2
3
3
3

6
6
6
7
7
8
8

Part II: Application - Asset Management Planning for Irrigation

3

Producing the Asset Management Plan

3.1
3.2
3.3
3.4
3.5
3.6
3.7
3.8

Introduction
Systems Definition
Stratified Random Sampling
Environmental, Legal and Development Context
Performance Assessment
Management Issues
The Asset Survey
The Cost Model

Using the Asset Management Plan

4.1
4.2
4.3
4.4
4.5

Presentation of the AMP

Confidence Grades
Financial Modelling
Organisational Adjustments
Applications

13
13
13
15
18
20
25
27
34

37
37
38
40
43
44

Part III: Conclusions

5

Arrangements for Implementation

5.1
5.2
5.3
5.4

6.

46
46
48
48

Further Considerations

50

6.1
6.2
6.3

7.

46

General
Tasks
Staffing
Logistics
Institutional Context
Further Research
Application to Other Utilities

Conclusions

References and Bibliography

APPENDICES
A1
A2
A3
A4

Examples of Data Collection Proformae

Examples of Standard Output Forms
Data Transformation Requirements and Database Architecture
Examples of Data Collected in the Field Trial

A5

Research Paper

50
51
51

55

GLOSSARY OF TERMS
Aggregation

The extrapolation of results of sampling, taking due account of stratification

and normalisation criteria, to represent all systems together.

Alternative Strategies

Mutually exclusive means to achieving a single set of ultimate goals.

Asset Condition

A measure of the state of deterioration of an asset from its new condition

against a defined reference scale. This is assessed independently of the ability
of the asset to perform its function (see Asset Serviceability).

Asset Extent

The number of assets which exist, counted under various categories describing
assets of similar characteristics and in size bands.

Asset Importance

A measure of the potential influence of an individual asset on system

performance due to its position within the system.

Asset Management Plan (AMP) A comprehensive report on a piece of infrastructure, prepared in accordance
with a prescribed format, setting out the nature and extent of the assets
concerned, their value and the liabilities associated with each. In order to
present this information in a meaningful way, the report will necessarily set out
a plausible plan of investment related to the sustained achievement of a
satisfactory service to users.
Asset Serviceability

The ability of the asset to perform its function(s). Measured on a scale by

reference to appropriate functional definitions.

Asset Stock, Condition and

Serviceability Profiles

A report detailing the extent of assets, their size (by band) and MEA value, both
gross and net (depreciated - allowing for condition). Condition and
Serviceability Profiles are given by reporting the value of assets (by gross MEA)
in each condition grade and in each serviceability grade respectively. Provides
a clear summary of the current state of the asset stock. (See also Modern
Equivalent Asset Value - MEA).

Asset Survey

The inspection of assets in the field to determine (or confirm) their physical
attributes, condition and serviceability.

Asset Types and Components

Depreciation Categories

The grouping of asset types and components thereof on the basis of similar
rates of deterioration from new condition to a degraded state.

Asset Value

The value of an asset based on its replacement cost or MEA (see also Modern
Equivalent Asset Value). Reported both as gross and net (depreciated)
value.

Band

A continuous range of values from a lower to an upper limit.

Budget Planning and

Investment Priorities

The allocating of baskets of money to identified types of investment activity

over a short term (5 year) planning horizon but in conformity with the long
term strategic business plan arrived at as a result of the financial modelling
process.

CAPEX

Capital Expenditure.

Capital Investment Activities

Unit Cost Index

A look-up table of unit prices at current rates for rehabilitation, upgrading

and extension works (e.g. replace gates, re-line canals, repair wingwalls
etc.) related to each asset type and size band. Facilitates the rapid build up of
cost estimates for any identified investment need.

Capital Planning

The process of defining the capital investment requirements implied by the

preferred investment strategy and established from the financial model. To
achieve this it is necessary to know the cost stream, to examine the income stream
and to consider the flow of capital.

Components

Each asset comprises a number of component parts. Their identification

facilitates condition assessment when different components may be subject to
different degrees of deterioration.

Condition

See Asset Condition

Condition Grade

An indicator, on a defined scale from Good to Bad, of the state of

degradation of an asset from new. See also Asset Serviceability.

Cost Model

A reference data-base for use in the preparation of the AMP and for the
comparison of alternative investment strategies in the subsequent financial
modelling process. Costs related to each asset type and size are needed to value
existing assets (Modern Equivalent Asset); to provide unit costs for system capital
investment activities; and to quantify operational costs.

Cost Recovery

The matching of revenue levels to the actual cost of providing the service over
the long term.

Daerah Irigasi (DI)

An Indonesian term used to define an irrigation network. The area may range
from a few to several thousand hectares. A DI is often characterised as an
irrigation network offtaking from a weir or a river.

Demand

The demand placed on the service. The demand may change over time,
resulting in changes to the infrastructure requiring additional investment.

Engineering Studies

Studies required to relate system performance to the characteristics of the

infrastructure and thus to establish the extent of work needed to maintain
and/or improve asset condition and system performance.

Existing Performance

Quantifies the existing performance of the system. The gap between the
existing performance and the target (Standards) identifies the performance gap
that is to be narrowed through further investment.

Extent

See Asset Extent.

Financial Model

A process of reviewing and refining the provisional ideas presented in the

AMP to ensure a realistic investment strategy in terms of funds available
including identifying any necessary CAPEX/OPEX trade-offs.

Function

See Asset Serviceability.

Importance Band

See Asset Importance

Investment Activities

The specific activities (e.g. items of construction work) for which the investment
is intended to pay and which are essential to achieve the investment objectives.

Investment Benefits

The intended benefits, in terms of improved levels of performance under

acknowledged criteria, associated with specific investments.

Irrigation Service

The people, organisation and infrastructure that together provide to users all
the services associated with irrigation (including drainage).

Irrigation Service Fee (ISF)

A charge to users of the irrigation service intended to reflect the real costs of its
provision.

Modern Equivalent Asset

Value (MEA)

The cost, at current prices, of a modern asset of equivalent function, not

necessarily replicating the existing asset in precise detail.

Needs Based Budgeting

(NBB)

The attempt to allocate annual budget provisions on the basis of clearly

identified investment needs rather than on some arbitrary or nominal
apportioning measure.

Normalisation

The process of reducing system characteristics, especially costs, to a common

unit measure such as cost per unit irrigated area, number of structures per unit
irrigated area, etc. Normalised values of quantities or costs can then be used to
derive numbers and/or costs for schemes of different sizes.

O&M

Operation and Maintenance.

Operating Costs

The costs of operating (including routine maintenance - see definition) the

OPEX

system over the budgeting horizon.

Operating Expenditure.

Performance Assessment

A series of stages in which the performance of a system, in terms of output

measures, is compared with targets and the reasons for differences identified.

Performance Target

See Standard(s)

Policies

Declared intentions against which an organisation expects its achievements to

be measured.

Primary Canal

The main supply canal at the top of an irrigation system from its intake to the
division into a number of Secondary Canals

Privatisation

The transfer of ownership and management of infrastructure assets and the

service they support from the public sector into private hands

Revenue

The income received to pay for the service provided.

Routine Maintenance Costs

Costs associated with regular and frequent activities intended to keep assets
operational and in a good state of repair.

Scheme

The complete operation including the infrastructure and all those people and
other influences involved in its operation and use. An irrigation scheme
includes the system, the farmers and operators, the land/soil, the crops, the
market etc. (see also System).

Secondary Canal

One of a number of secondary canals which convey water from the main
Primary Canal of an irrigation system to several tertiary offtakes

Serviceability

See Asset Serviceability.

Serviceability Grade

An indicator of the ability of an asset to perform its function(s) on a defined

scale from Fully Functional to Ceased to Function.

Size

A measure associated with each asset type which gives an indication of its scale
and hence its monetary value.

Standard(s)

The intended level(s) of performance - i.e. the Target(s)

Strata

See Stratification.

Stratification

The statistical procedure of dividing a diverse collection of systems into groups

(termed Strata) having common characteristics from which representative
samples can be taken.

System

The infrastructure itself or engineering hardware, separated from other

influences (see also Scheme).

Technical Level
(of an irrigation system)

A classification method used in Indonesia to define the degree of control and

measurement of flow which is possible in a system due to its design and
construction. Three levels are used: Technical - full control and measurement
at all divisions/offtakes; Semi-technical - full control and measurement at
selected points only in the system; Non-technical - no measurement of flow
within the system and control, if any, using simple structures only.

Tertiary Canal

The canal conveying water from a Secondary Canal offtake to Quartinary

Canals and thus to the field.

Tertiary Unit

A grouping of fields, generally totalling between 30 to 150 ha, which are served
by a single offtake from the Secondary (or, occasionally, the Primary) Canal.
Management and control of water distribution within the Tertiary Unit is
usually the responsibility of the water users.

Turnover

The transfer of responsibility for operation and maintenance (of an irrigation

system) to a farmer group or Water Users Association.

Part I: Concepts

Jim Welch/Asset Management - Irrigation/Sep-95

Jim Welch/Asset Management - Irrigation/Sep-95

1.

Introduction

1.1

Managing Infrastructure - the Contemporary Challenge

It is a characteristic of modern technological society that, as development continues, so dependence

upon networks of artificial infrastructure increases.

Transportation, telecommunications, energy

distribution, water and sewerage systems (for instance) have become essential to the ability of our
societies to function normally. These facilities and the depth of our reliance on them, have grown at
an unprecedented rate in recent decades. Invariably they have been accumulated over a long period on
a project-by-project basis, the cost of each project being justified by the particular need it satisfied.
As the stock of infrastructure assets thus accumulates, a creeping maintenance liability accrues and
this eventually dominates the requirement for resources.

Society expects the continuation or

improvement of the service to which it has grown accustomed and value for money is demanded. The
old project approach which served so well for past development is found to be inadequate to the
emerging task. New methodologies are needed to provide a clear overview of objectives, options,
benefits and competing needs and to resolve these into a comprehensive strategy for investment The
institutions responsible for management of the infrastructure may themselves need reform. This
phenomenon is quite dramatically illustrated by recent privatisations of public infrastructure in the UK
and elsewhere.
The challenge facing irrigation is at least as great as that in other sectors. The following quotation is
illustrative (Rabindranath, 1993):
Irrigated agriculture is up against an enormous challenge. Global population continues to
grow at a tremendous rate... Water is becoming increasingly scarce... The most attractive
irrigation sites have already been exploited. Yet, irrigated agriculture will have to deliver
average output increases of at least 3.5% per year if future food demands are to be met.
The era of the Green Revolution saw the large scale development of irrigation schemes. That era of
new construction is past. The challenge now is to maintain existing infrastructure and to improve it in
terms of water-use efficiency and of cost-effectiveness. This challenge sets the context of the report.

1.2

Structure of the Report

The report is centred on a project set up to study Asset Management Planning, a technique derived from the
UK water industry, and to examine its potential application to irrigation. In Part I the concepts are set
out. The approach to the project, the reasoning behind it and its execution are described. There is a
review of Asset Management and of the setting within irrigation which concerns the study. Current
issues and initiatives in Indonesia are described as a background to the field trial there. Part II
describes the application of Asset Management to irrigation. Procedures are set out and discussed for
the production and use of an Asset Management Plan (AMP). These were devised in the course of the
study based on its findings and, importantly, on the experiences of the field trial.

The report

concludes, in Part III, with reflections on the benefits of the AMP, how these can be mobilised and on
Jim Welch/Asset Management - Irrigation/Sep-95

some practicalities of implementation.

The extension of the methodology into other areas is

considered briefly and further research needs are identified. Supporting information is given in the
Appendices.

1.3

Background to the Project

The project is a feasibility study led by the Institute of Irrigation Studies with funding from the British
Overseas Development Administration (ODA Project R6078). The author worked on the project
throughout its six-month programme which included a four-month field trial based in Yogyakarta,
Indonesia. Collaborators in Indonesia were funded by the Indonesian Department of Public Works.
The research hypothesis is that Asset Management procedures and techniques developed and used in
the water supply and sewerage industry of England and Wales, at the time of privatisation in 1989 and
since, can be adapted for application to irrigation in many developing countries. A pressing need
exists for a framework which integrates diverse considerations in the approach to investment planning
in the irrigation sector. It is proposed that Asset Management can provide exactly such a framework.
Thus it has potential benefit for water users, for irrigation managers, funding agencies, tax-payers and
for the environment.

1.4

Collaborating Organisations

The following organisations collaborated in the execution of the study:

Institute of Irrigation Studies, University of Southampton, England (Lead).
WRc, Swindon, England.
Mott MacDonald, Cambridge, England.
Department of Public Works, Directorate of Water Resources, Government of Indonesia.
Faculty of Agricultural Technology, University Gadjah Mada, Yogyakarta, Indonesia.

1.5

Project Objectives

The overall aim of the project has been to ascertain the potential for transferring and adapting the
methodology concerned and, based upon these findings, to identify longer term research needed to
formulate detailed procedures for Asset Management within the irrigation sector in developing
countries. Thus the objectives were to:
study Asset Management procedures in the UK water industry
consider these in the context of irrigation in developing countries
formulate ideas for the transfer and adaptation of the methodology
review these ideas in the light of a trial under real conditions in Indonesia
prepare provisional guidelines for Asset Management procedures in irrigation
identify key aspects where further research is required.

Jim Welch/Asset Management - Irrigation/Sep-95

1.6

Underlying Aims

It is important at the outset to identify the intended purpose of applying Asset Management to
developing country irrigation. The methodology was originated in response to some very specific
needs of privatisation in the UK context under social, financial and institutional conditions which, it is
recognised, do not prevail in many countries. In the English and Welsh water industry, the objectives
of the first Asset Management Plan (AMP1) were (i) to inform potential investors whilst (ii) providing
assurances that appropriate levels of investment were intended to be made in unseen underground
assets of crucial national importance and that the resulting charges to customers would be reasonable.
The introduction of Asset Management into irrigation is seen as having the following aims:
To help achieve more cost-effective management of the infrastructure.
To this end, to enable managers to make better-informed investment decisions which have a
clear basis of justification and which can be audited or replicated.
To facilitate turnover of assets from central government control where desired.
To provide a cost-effective technique for calculating irrigation service charges based on a
realistic assessment of the costs of sustaining the supply of water.
To facilitate comparative performance assessment.
For the purpose of the project the desirability of these objectives is taken as self-evident.

1.7

Work Programme

Work on the project formally commenced on 1st July 1994. The first month was spent studying the
origins and techniques of Asset Management in the water industry of England and Wales and then
reviewing the needs of irrigation management against this background.

Of the four months in

Indonesia, the first two weeks or so were occupied in formulating skeletal procedures and in planning
their trial. An outline programme for the field trial, as drawn up at that time, is shown in Figure 1.1.
The two weeks prior to leaving Indonesia were used to prepare papers and presentations for a
workshop held in Yogyakarta at the University Gadjah Mada (UGM).
A meeting of specialists from the collaborating organisations, to review the findings of the field trial
and to consider their implications, took place in England early in December. The final month of the
project was devoted to writing up the work.

1.8

Field Trial

1.8.1

Nature of the trial

The object of the trial was to use actual conditions prevailing in Indonesia both as a proving ground
for the development of practical procedures and as a stimulant to wider thought. The focus of
attention had therefore to be on checking the practicability of methods for Asset Management Plan
(AMP) production and on exploring potential problems rather than on actually producing an AMP.

Jim Welch/Asset Management - Irrigation/Sep-95

AUGUST
week commencing
Bill Kingdom
Jim Perry
Ian Smout
Martin Burton
Summary
Develop skeletal procedures
Cost Model
Stratification and Normalisation
Database design, Input and Output Forms
Select sample DI
Collect data
Analysis and Confidence limits
Strat/Norm & Conf data sent to UK
Draft Report/Guidelines
Cost Model (from PRIS/consultants records)
Pie chart asset value by type across all DIs
Extract data on value for each major asset type
Estimate figures for all other asset types
Pie chart rehab costs by rehab activity
category
Extract rehab costs for each major category
Estimate rehab costs for other rehab activities
Stratification and Normalisation (from PRIS info)
Collect DI stratification data
Select strata
Demonstrate sample DI selection and
clustering
Database
Design Output Forms
Design all Input Forms
Database design
System Performance Assessment
Collect data (1) - from PRIS
(2) - from field.
Analyse for Standard and Level of service
Asset Valuation (working from Cost Model)
Relate value to size for each asset type
Regression tests to decide on best size measure
Apportion each asset value amongst components
Asset Survey - Extent, Condition and
Serviceability
Field trials of Survey Forms
Collect asset data
Review of System Engineering Study:
Acquire and study Report on rehab needs
Breakdown rehab costs by time, asset type, imp.
Categorise rehabilitation Activities
Categorise rehabilitation Benefits
Analysis and Reporting:
Statistical observations report (from UK)
Gather info. on related work in Indonesia
Estimate workload for full AMP
Write Reports
Project Closure
Prepare for Workshop
Hold Workshop
Debriefing meetings

15

22

SEPTEMBER
29

12

19

OCTOBER
26

10

17

NOVEMBER
24

31

14

21

Specialists Visits

Figure 1.1 ASSET MANAGEMENT FOR IRRIGATION - FIELD TRIAL WORK PROGRAMME
Jim Welch/Asset Management - Irrigation/Sep-95

28

The author was assisted by a graduate civil engineer from the Department of Public Works (DPU) and a
final year student of agricultural engineering from UGM, each with inputs of about seven weeks (see
Acknowledgements).

Senior staff at UGM and DPU and visiting expatriate specialists provided

guidance and advice. A number of meetings were held in order to seek the ideas and opinions of others
involved locally in irrigation matters (consultants, DPU staff and UGM staff).

1.8.2

Irrigation in Yogyakarta Special Province

Yogyakarta Special Province (Daerah Istimewa Yogyakarta - DIY) lies south of Central Java between
the active volcano Mount Merapi to the north and the Indonesian Sea to the south. Its western border is
delineated by a line of subsidiary mountains whilst to the east is the elevated karst area of the Wonarsari
Plateau. The hydrology of the province is dominated by two major rivers, the Kali Progo to the west and
the Kali Opak, which flows below the escarpment of the Wonasari plateau, to the east.
The area recorded as under command in the province is just under 70,000 ha. Most of this lies to the
south of the Mataram Canal which transfers flow eastwards from the Kali Progo, via the northern
suburbs of Yogyakarta, eventually draining into the Kali Opak. This canal, which is about 30 km long,
supplies the Van der Wijck scheme (5000 ha) and allows the flow in several smaller rivers to be
supplemented. These in turn feed a large number of small irrigation schemes amounting to a total of
about 12,000 ha. Whilst the Mataram Canal serves the left bank of the Kali Progo, the right bank is
served by the Kalibawang Canal. This supplies the Kalibawang scheme (1750 ha) and supplements flow
to a further 4000 ha or so.

1.8.3

The Sample System - DI Papah

System Daerah Irigasi (DI) Papah serves an area of around 900 ha on the west (right) bank of the Kali
Progo. It draws its water from a weir (Bendung Papah) on the Kali Papah, which is one of those rivers
whose flow is supplemented from the Kali Progo via a branch of the Kalibawang Canal. The DI had
recently been the subject of an engineering study (as part of a Priority Area associated with the Sermo
Dam Project) as a result of which capital investment had been recommended to improve and to
extend system performance.

The consequent construction contract was 15% complete at the

commencement of the trial. These facts made selection of the DI attractive for the following reasons:
The system could be observed largely in its unimproved state.
Since it was dry, its assets could be inspected without causing disruption.
Insight into the requirements for Engineering Studies within the AMP process could be gained
from that already completed for this system.

Jim Welch/Asset Management - Irrigation/Sep-95

2.

Asset Management

This chapter introduces the concept of asset management and sets out its origins in the UK water
industry. Essential features of the Asset Management Plan are listed and the role of statistics in
compiling the Plan is described. Considering the application of the technique to irrigation, similarities
and differences with the UK water industry are noted and the Indonesian context examined.

2.1.

Definition

The term Asset Management has its origins in the world of finance and business. Assets are the entire
property of all sorts belonging to a merchant or to a trading association (Chambers Twentieth Century
Dictionary). Whatever the reason for ownership, asset management is intended to maximise the benefits to
the owner (i.e. the return on investment) through trading, servicing or extending assets at the most
appropriate time. This requires a comprehensive knowledge of the assets and what affects their value.
Applying the term asset management to engineering infrastructure is a relatively new concept. An
obvious link lies in businesses regarding their buildings (offices, factories, warehouses etc.) as they
would any other asset. The immediate benefits of the approach lie in the clarity which it brings. The
focus is essentially on investment efficiency and on the contribution of assets to Output Performance
(service to the customer). At the same time, being prepared and presented in a structured manner, it
facilitates scrutiny (or auditing) at the outset by all interested parties (described as stakeholders) be
they users, investors, staff members, the government or society as a whole. Thereafter it enables
performance monitoring against the same criteria and facilitates comparative performance assessment.
Asset Management, in this context, is defined as a structured and auditable process for planning
investment in infrastructure in a sustainable manner, to provide users with a reliable service.

2.2

Origins in the Water Industry of England and Wales

Preparatory to privatisation in 1989 there was an urgent need to quantify the extent, nature, condition
and value of the infrastructure whose ownership it was intended to transfer from the public to the private
sector. Of this infrastructure (e.g. pipes, sewers, treatment works etc.), referred to as the assets, 70%
was underground and there was much speculation about its true condition. The requirement was to
inform investors of their opening assets and liabilities in a manner that could be independently certified.
Simultaneously, the public and the government needed to be assured that assets would not be stripped;
that is to say, that the intended investment after privatisation would be adequate to sustain an appropriate
standard of service.

Furthermore, since the new water companies would each have a geographic

monopoly, charges to customers had to be demonstrated to be neither excessive nor subject to temporal
fluctuations.
The device developed for this purpose became known as the Asset Management Plan (AMP). This has
since evolved to become a comprehensive strategic business plan and indeed was described as such at
the time the second AMP was produced (AMP2) in 1994. The first (1989) AMPs were prepared in
Jim Welch/Asset Management - Irrigation/Sep-95

eighteen months and identified investments, across ten major water and sewerage companies, of some
24 billion. Currently AMPs are prepared on a five year cycle and have a twenty year strategic time
horizon. Budget plans (from which consumer charges are derived) are set out for the first five years.

2.3

Essential Features of the Asset Management Plan (AMP)

Asset Management Plans are prepared within a regulatory framework in which charges to customers and
standards of service are subject to the scrutiny of the government regulator, known as OFWAT (Office
of Water Regulation). They must therefore follow a common format so that companies can be compared
with each other and, subsequently, the actual performance of each can be reported and evaluated against
that companys plan. The key elements are set out in Table 1.1.

Table 1.1

Key Elements of the Asset Management Plan

Definition of Procedures
Standards and Policies

Existing Performance
Asset Extent, Value,
Condition and
Serviceability
Long term (20 years)
Investment Plans
Programme of planned
Activities accounting for
the Investment
Programme of
Performance Benefits
accruing from the
Investment
Short term (5-year)
Expenditure programme
Operating Costs
Revenue Requirements

2.4

The detailed methodology used in producing the AMP set out so

that it can be traced and independently audited.
Standards are the benchmarks against which achieved
performance is to be measured. Policies set out the companys
approach to investment decision making.
The level of service currently provided under each output
performance measure against the declared Standard.
A report summarising what assets exist under various category
headings, their Modern Equivalent Asset value, their current
condition and functional serviceability
The investment need identified through engineering studies to
rectify performance shortfalls and to extend or improve the
service to meet demand.
A schedule of specific works identified in the engineering
studies as requiring to be undertaken, showing when it is
intended to implement them.
A report of how the investment will be rewarded by
improvements in performance over time against the declared
targets.
Budgets for the first five years and how these are arrived at.
A summary of the companys operating costs consistent with its
capital expenditure programme.
The implications of the Plan for customer charges.

Statistics in Asset Management Planning

Although theoretically optional, the use of statistics is seen as central to practical implementation of
asset management planning. The methods concerned have been developed and refined in response to the
practical needs of the water industry in England and Wales from the time of producing the first AMP in
1989. Each company has complex systems of supply mains and sewers totalling several thousand
kilometres. Constraints on time and resources prohibited a comprehensive survey of assets, 70% of
which are underground. Estimates of the investment required on all systems had to be prepared from
knowledge of some of them. Statistical methods were developed (i) to choose the systems to be
investigated and (ii) to estimate the total investment needs from the findings in individual systems.

Jim Welch/Asset Management - Irrigation/Sep-95

Two main methods were used by the Water Authorities: Stratified Random Sampling, and the Bayes
Linear Estimator (BLE). Of the ten former Water Authorities in England and Wales, one used the BLE
for their 1989 AMP while the majority used Stratified Random Sampling. For their second AMP in
1994, approximately half the companies used the BLE, through specially written computer software.
The BLE is a relatively complex tool which makes the best use of good quality information where it
exists. However, it requires specialised statistical skills that are not widely available. It is necessary that
a statistician be employed to design the statistical aspects of the survey. Stratified Random Sampling is
a well known statistical method throughout the world. For this reason, only Stratified Random Sampling
has been considered in this study.

2.5

Application to Irrigation - Similarities and Differences

A comparison between the characteristics of irrigation and those of the UK water industry was fundamental to
the project. A provisional approach to asset management planning for irrigation systems had to be
formulated in planning the field trial and this provided a sharp practical focus for consideration of the
key issues. More similarities than differences were found and these are summarised in Table 1.2.

2.6

Asset Management for Irrigation in the Indonesian Context

The irrigation sector in Indonesia has seen a number of specific initiatives taken in response to the
changing challenges faced in managing the infrastructure. In October 1987 the Government of Indonesia
(GOI) set out new policies, on a 15 year planning horizon, for greater efficiency in operation and
maintenance (O&M) of irrigation systems and for the recovery, direct from beneficiaries (i.e. the water
users), of O&M costs. The implementation of these policies has been aided by projects promoted by the
World Bank (the Irrigation Sub Sector Project, ISSP) and the Asian Development Bank (the Integrated
Irrigation Sector Project, IISP) in a number of phases. Some elements of these and related initiatives,
which are relevant to the study outlined in this dissertation, are as follows:
(1) Needs based budgeting (NBB)
(2) Irrigation Service Fee (ISF)
(3) Turnover Programme (PIK)
(4) Efficient Operation and Maintenance (EOM)
(5) Programming and Monitoring System (PMS)
(6) Integrated Basin Water Resources Management (WRM)
(7) Project Benefit Monitoring and Evaluation (PBME)
(8) Cost Effective Rehabilitation and Modernisation of Irrigation Schemes research study
The essence of each of these initiatives is briefly summarised in the following sections.

Jim Welch/Asset Management - Irrigation/Sep-95

Table 1.2

Comparison between AMP for Irrigation and that for UK Water Industry

Key similarities

Key differences

(i) Large number of systems and assets. As with water supply there are a considerable
number of systems, and assets within those systems. Consequently it is not cost effective to
undertake detailed studies of all systems and assets to obtain an overall investment profile.
Some form of sampling and extrapolation is required.

(i) Influence of management. In irrigation there is found to be a much greater influence

of management on the performance of the systems. In formulating asset management
procedures for irrigation it is necessary to separate out clearly the influences of management and
of infrastructure (assets) on the overall performance of an irrigation scheme.

(ii) Assets operate as hydraulically definable systems. As with the water supply and
wastewater functions an irrigation network is an hydraulic system which requires physical
assets to convey and control water from a source to the end user. It is therefore
appropriate to break the total study into a number of separate, hydraulically definable
units on which to undertake sample detailed studies for subsequent extrapolation.

(ii) Irrigation performance indicators are not as well defined. Indicators must reflect the
constraints on an irrigation system. Setting appropriate indicators of infrastructure
performance needs careful thought. The key indicators identified so far relate to adequacy
and equity. In each case the study will need to question whether poor performance on
either or both indicators is truly due to the infrastructure (assets). Though not strictly an
output performance measure, a further indicator related to asset condition has been
proposed as a means to ensure adequate asset maintenance is being carried out over time.

(iii)Assets can be given a condition ranking. Assets can be inspected and given a
condition ranking, thus enabling assessments to be made of investment needed to maintain
or enhance overall system condition.
(iv) Assets perform a defined function. As such their function can be identified and their
serviceability quantified, enabling performance ranking.
(v) Cost models can be prepared.
valuations

Cost models can be developed to prepare asset

(vi) Long term investment needs must be determined. These are required in order to plan
budgetary allocations for a sustainable service and to set water charges.
(vii)Customer/supplier relationship. Irrigation has customers who are increasingly
involved in decision making on the running of their irrigation systems and on how to pay
for the provision of irrigation water. Over time they can be expected to become
increasingly discerning and to expect higher standards of service at reduced costs.
(viii)Geographical monopolies. Both water supply/wastewater and irrigation utilities
have geographical monopolies. Use of asset management procedures allows comparison
of performance between geographical zones.
(ix) Asset stripping. Concern over asset stripping by farmers of privatised irrigation
water companies are relevant. Failure to monitor investment levels and condition profiles of
turned over or privatised units may result in government being faced with a significant
and unexpected investment after failure of such schemes.
Source: Adapted from W. Kingdom, WRc, in Project Interim Report No. 1, August 1994

Jim Welch/Asset Management - Irrigation/Sep-95

(iii)Discretionary and statutory levels of performance. It is interesting to note that there

are few, if any, statutory levels of service stipulated for the irrigation sector, rather they are
discretionary (i.e. not stipulated by law). This makes the determination of appropriate
standards of service more difficult. Ideally, they would best be decided through some
process of user-consultation or cost-benefit analysis.
(iv) Customer Service Standards. Customer service standards are formal measures of an
agencys performance in responding to queries from the customer. At present, unlike in
the UK water industry, this feature is not often found in the irrigation sector.
(v) Access to water. In a water supply network the use of pressurised, looped, piped
systems allows inadequate performance of individual parts of the system to be
compensated for by other parts, leading to no noticeable degradation in the overall
performance of the system. In a gravity fed irrigation system the malfunction of an asset in
the upstream reaches of the system can have a major impact on the downstream users.
Assets higher up the system are thus generally more important than those at the bottom
end of the system. This can be captured through an importance ranking and used as one
way of presenting the investment need i.e. investment reported by importance category. This
allows planners to see the effect of different levels of capital expenditure related to the
importance of assets needing to be refurbished.

2.6.1

Needs Based Budgeting (NBB)

Annual maintenance budgets were at one time disbursed from central funds to local provincial, section
(Cabang Dinas) and sub-section (Ranting Dinas) agencies in proportion to the irrigated area served by
systems within the jurisdiction of each. This approach was inadequate in the face of increasing demands
for greater efficiency in targeting investment. Needs Based Budgeting changed this by requiring specific
needs to be identified by local O&M staff when seeking their budget allocation. However, budget
requests calculated in this way have far exceeded the funds made available. Little or no information is
provided to enable the balancing of priorities identified by staff in one area against those in another area.
Planning horizons are short term or immediate and no meaningful relationship can be made between
investments proposed and the benefits which will justify them.

2.6.2

Irrigation Service Fee (ISF)

A programme to introduce a charge to water users which reflects the costs of providing the irrigation
service is in course of implementation. Its introduction to a particular area depends upon the existence
of an effective Water Users Association (WUA - or P3A in Indonesian) with whom negotiations can take
place and who, it is intended, will administer collection of the fee from individual farmers. The
underlying concept of the ISF programme is that the beneficiaries, through the WUA, should bear the
cost of operating and maintaining the irrigation system which serves them. However, payment is also
linked to ability to pay through a complex formula that takes into account harvest yields. The following
implications are apparent:
ISF is calculated based on a schemes annual Needs Based Budget for O&M.
ISF can be expected to vary from year to year as maintenance needs vary.
The level of ISF will be different for each irrigation scheme and these differences could be
substantial. Where this occurs on adjacent schemes, neighbouring farmers will experience
apparently inequitable charges.
The ability to pay formula means that a schemes revenue, as a proportion of its assessed need,
will vary. This variation will be subject to the full range of influences in the agricultural system
as a whole.

2.6.3

Turnover Programme (PIK)

This involves the transfer of responsibility for irrigation infrastructure from the government agency to
Water User Associations. It is also dependent, therefore, upon the prior formation of effective WUAs.
Its not clear whether ownership of the assets themselves is actually transferred (i.e. they are removed
from the governments inventories); the process was held up for some time because of uncertainty over
the legal status of WUAs. The programme aims ultimately to turnover all irrigation schemes serving
areas of 500 ha or less: its introduction is being phased by applying it initially to the smallest schemes
(e.g. in Yogyakarta province, to schemes of 75 ha or less).

Generally the deal includes the

implementation of improvement works at government expense prior to turnover taking effect. Progress
is therefore dependent upon the availability of funds as well as on the stage of development of WUAs.

Jim Welch/Asset Management - Irrigation/Sep-95

10

2.6.4

Efficient Operation and Maintenance (EOM)

This programme aims to break the cycle of neglect followed by expensive rehabilitation which has
apparently been the norm for much of the irrigation infrastructure. Individual schemes (Daerah Irigasi)
are brought into the EOM programme through a process of physical improvement to the infrastructure
(termed Special Maintenance), changes to organisation and procedures, staff retraining and the
establishment of a realistic O&M budget. The streamlined section office of the irrigation service,
responsible for a number of EOM schemes, is termed an Advanced Operations Unit (AOU). A range of
thirteen performance indicators has been developed for monitoring the schemes concerned.

2.6.5

Programming and Monitoring System (PMS)

The PMS is a computer based Management Information System currently being implemented under
ISSP-II in pilot areas in Central and East Java. Its object is to improve the process of needs-based
budgeting and prioritising for maintenance activities (and also to provide operation and hydrological
information) based on data generated through operational procedures. It incorporates an asset database
which will include detailed information on present condition of each asset and its importance within the
system. Summaries from the information systems for each DI will be provided to the Provincial
Irrigation Service office (PRIS) as an aid to strategic planning. Data will be entered on desk-top
computers at field offices and updated, it is envisaged, on a regular basis whilst information will be fed
back to PRIS on dedicated data-links.

Implementation rate will therefore be constrained by the

expenditure required to introduce the necessary technical hardware and the training of operators. Its
effectiveness as an aid to strategic planning will depend upon how the huge amounts of detailed
information are to be summarised, interpreted and used and on the quality of that information, its
accuracy and how well it is kept up to date.

2.6.6

Integrated Basin Water Resources Management (WRM)

This initiative reflects the GOIs recognition of the place of water as an economic good within an overall
programme for sustainable national development.

Previous planning was strongly project-oriented

largely focusing on irrigation and power development. Ongoing studies recognise the range of river
basin uses from the supply of water for consumption, industry, agriculture and power generation, to the
disposal of wastes and the extraction of river gravel for example. The objective is principally to achieve
efficient and reliable day-to-day management of a basins surface and groundwater overall. The studies
examine, inter alia, the kind of legal and institutional changes necessary to facilitate such an integrated
approach. They are also concerned with practical implementation requirements such as the physical
accounting and monitoring of water allocations, the issuing of abstraction licences, through the use of
geographical information systems (GIS) to record river basin details.

Jim Welch/Asset Management - Irrigation/Sep-95

11

2.6.7

Project Benefit Monitoring and Evaluation (PBME)

This is a methodology for the assessment of irrigation system performance developed for the
identification of schemes for rehabilitation and upgrading (R&U) under ADB loan projects and the
subsequent monitoring and evaluation of their benefit. The methodology apparently recognises the
impracticalities of adopting an approach which is too rigid in its demands for particular types of data and,
instead, offers alternative approaches depending on the circumstances. These range from subjective
assessments based upon a survey of farmer perceptions and expectations on a sampling basis to an
analysis of performance data collected by the provincial irrigation and agricultural services. An AgroInstitutional Profile (AIP) is produced which quantifies the benefits of a scheme in the local context in
order to justify the expenditure required.

2.6.8

Cost Effective Rehabilitation and Modernisation of Irrigation Schemes

This is a joint UK/Indonesian collaborative study being carried out by HR Wallingford (funded by the
UK Overseas Development Administration) and the Directorate General of Water Resources
Development (DGWRD). The aim of the study, which has a three-year programme, is to develop and
test a formalised procedure for setting priorities in the rehabilitation and modernisation of irrigation
schemes.

It involves the identification of under-performing schemes, the diagnosis of causes of

performance shortfalls and the relating of specific performance benefits to each proposed corrective
action. A number of performance measures are considered for evaluation. The analysis of systems
includes the use of a computer-based hydraulic model.

2.6.9

Relevance of Asset Management Planning

With regard to the initiatives set out above, Asset Management provides an integrating framework in
which each of the elements described has its place and through which those elements (and others) are
related to one another. This must be so by definition since Asset Management is concerned with all
aspects of assets and the influences upon them. The technique of Asset Management Planning cannot be
thought of as something apart from, or as alternative to, these existing approaches. The great benefit of
the technique is its effect of achieving an integrated overview. Indeed, it is this which represents the
challenge in devising appropriate procedures.
The following chapters outline such procedures for irrigation and describe the application of the results.
Chapter 7, Conclusions, then returns to the subject of existing practices and Table 7.1 shows how each
the above initiatives is related to the AMP.

Jim Welch/Asset Management - Irrigation/Sep-95

12

Part II: Application Asset Management Planning for Irrigation

Jim Welch/Asset Management - Irrigation/Sep-95

Jim Welch/Asset Management - Irrigation/Sep-95

3.

Producing the Asset Management Plan

The previous chapter described asset management in outline and set the context of its application to
irrigation. This chapter sets out the approach to producing an Asset Management Plan for irrigation as a
series of inter-related steps. These steps are illustrated by reference to the field trial in Yogyakarta.

3.1

Introduction

Figure 3.1 shows the principal elements of asset management planning. To these must be added some
preliminary steps including those necessary to take advantage of the time and resource savings of using
statistical sampling techniques. The steps involved in the process may be summarised as follows:
defining systems and function;
stratified random sampling;
establishing the environmental, legal and development context;
assessing system performance - achieved levels of service, how these fit with present and future
requirements and what infrastructure adjustments are needed;
studying Management and Operations - a parallel review of the organisation and its procedures;
doing an Asset Survey - their extent, value and the liabilities they represent;
building the Cost Model - analysis of historical Capital Expenditure (CAPEX) and Operational
Expenditure (OPEX) as a basis for future projections;
Each of these steps is outlined and discussed in the following sections.

3.2

Systems Definition

It is necessary to define at the outset exactly what primary functions the service is intended to provide.
Appropriate systems can then be identified in this context. For irrigation the following are identified:
supply of water for irrigation
removal of water by drainage
Irrigation infrastructure is commonly used for several subsidiary purposes (for example, public use of
maintenance access roads; non-irrigation uses of water; waste disposal; flood protection).

What

constitutes a primary function is a matter of particular circumstances and of policy. The more there are,
however, the more complex becomes the analysis. Isolating primary functions is essential not only to
provide clarity in system definition but also, ultimately, to assessing performance.
The extent of the infrastructure to be included in the AMP must be defined. It was decided for the field
trial in Yogyakarta to consider systems supplying water for irrigation, including primary and secondary
canals down to a point 50m beyond each tertiary offtake gate. This is where the irrigation authoritys
management responsibility ends.

Jim Welch/Asset Management - Irrigation/Sep-95

Tertiaries were excluded as they are farmer-managed.

13

OPERATIONS/
MANAGEMENT
Existing
Management
Establishment
Existing
Operational
Procedures

PERFORMANCE

Legal obligations
Environmental Impact
National Water Policy

Liaison with
Water User
Associations

Standards of
Service Targets

Management
Studies

Regional
Development
Trends

Future Demand
Estimates

ASSETS

Performance
Survey of
Asset Systems
Current Levels
of Service

Engineering Studies

Investment Needs Identified

Activities Planned
Benefits (performance improvements)

OPEX
Adjustments

COSTS

Asset Survey

Asset Database:

Extent
Size
Value
Condition
Serviceability
Importance

Analysis of
Historical Costs
CAPEX Analysis
Unit Cost Index
NewBuild
(Modern
Equivalent
Asset)

Rehabilitn
/
Upgrade
Activities

OPEX Analysis
Operating Costs
Routine
Maintenance
Activities

Operations

ASSET
MANAGEMENT
PLAN
Financial Modelling:
* Alternative strategies
* Capital Planning
(eg 20 years)

Changes to
Procedures

* Budget Planning
(5 years)
* Budget Priorities

Management
Adjustments/
Training
Needs

OPEX
Budgets

Privatisation/Turnover
Negotiations

Figure 3.1 Overview of asset management planning for irrigation

Jim Welch/Asset Management - Irrigation/Sep-95

14

Pricing for Cost

Recovery

Needs Based Budget

Allocations

Comparative Performance
Assessment & Rewards

3.3

Stratified Random Sampling

Sampling is the process of choosing items from a larger population in a representative way. Random
samples are chosen in order to avoid bias in the selection. In this case it is irrigation systems which are
to be sampled. The steps required for the AMP are these:
subdivision of the study area into suitable unit systems;
grouping the systems (stratification) according to characteristics related to investment need;
deciding how many sample systems are needed and selecting them;
estimating the total investment need from the results of sampling.
These steps are discussed in the following sections.

3.3.1

Subdividing the Study Area

The regional infrastructure must be divided up into individual systems each of which can, for practical
purposes, be considered in isolation as more or less independent. For this it is essential to establish an
overview of the infrastructure network under consideration using maps and schematic diagrams. The
field trial in Yogyakarta demonstrated that it can be surprisingly difficult to obtain such information in a
comprehensive and unambiguous form. Here, individual operational units known as Daerah Irigasi (DI)
appeared to be suitable for adoption as the unit system required. In all, 1396 DIs were identified in
Yogyakarta province, serving areas of less than 75 to over 5000 ha.
Each system delivers water from a source to customers via a number of outlets. Some systems are
cross-linked with others. Examples of this occur where systems abstract from the same river at different
points along its length and where link canals transfer flow from one river to another. In such situations
some interference may arise between separate systems. This effect must be minimised in the course
of system definition. In the subsequent analysis, any super-systems (i.e. those parts, such as the link
canal example, which feed several of the defined independent systems) must be treated separately.

3.3.2

Stratification

Stratification is the term used for dividing up the members of a set into groups, termed strata, having
similar characteristics. The benefit of doing this is greater confidence in the estimates obtained from any
given number of samples. The characteristics of interest here are those likely to identify systems with
similar investment needs. Table 3.1 shows possible criteria. Many factors may be considered as a basis
for stratification but their number should be reduced so that there are only a few strata, ideally about five
and certainly less than ten. This can be done as follows:
(a)

Only factors which are known or can easily be determined for all systems should be used.

(b)

Factors are preferred that are believed to be closely related to the investment need.

(c)

Where two factors are strongly correlated they may be counted as one composite factor.

Jim Welch/Asset Management - Irrigation/Sep-95

15

Table 3.1

Possible Criteria for Stratification of Irrigation Systems

Purpose: To identify
similar investment requirements in each strata
similar extent and type of problem*
Typical Elements
Geographical/Topographical
topography
sediment load
soil types
climate
water availability; adequacy and reliability
Physical System
levels of technical sophistication
size
age /condition of system
main construction materials/methods
source of water supply
crop type
Management/Ownership
management type - levels of responsibility and
degree of water user participation
customer satisfaction
Socio-economic
payment of Irrigation Service Fee
farmer income levels
urban or rural
ownership/land tenure
*Note: where characteristics are common within a region they do not affect stratification.

In the field trial the following data were sought for each DI:
(a)

The technical level which expresses the degree of flow measurement and control in three classes
- Technical, Semi-technical and Non-technical (defined in Glossary of Terms).

(b)

The topography, either flat or steep/undulating.

(c)

The availability of water when needed, expressed as good, variable or poor. Unfortunately
this could not be used for stratification as data was available only for some systems and it would
have required a separate survey to obtain complete data.

(d)

The peak flow at the system intake. This is more likely to be subject to error than the irrigated
area with which it correlates and data was not available for some systems (no measurement
capability). It was therefore not used in this example.

(e)

The irrigated area. This is best used for normalisation of investment figures derived from the
investigations (see Section 3.3.4) and should not then be used for stratification.

Thus the two factors used to stratify the systems were technical level and topography as shown in Table
3.2. Both factors are related to the types and extent of engineering structures and therefore to the likely
investment needs.

Jim Welch/Asset Management - Irrigation/Sep-95

16

Table 3.2 shows that, whilst there are many Non-technical systems, most of the irrigated area is served
by Technical and Semi-technical systems. There are a relatively large number of small Technical
systems in undulating/steep areas while those in flat terrain generally serve a larger area.

Table 3.2

Stratification of Irrigation Systems (DIs) in Yogyakarta province

Topography

Technical

Technical level
Semi-technical

Non-technical

Total

(number of systems / % of irrigated area)

Flat

20/24%

110/19%

34/0.6%

164/43.6%

Undulating

159/21%

260/22%

813/13.4%

1232/56.4%

Total

179/45%

370/41%

847/14%

1396/100%

Roughly equal investigative effort should be directed towards four strata: flat-Technical, undulatingTechnical, flat-Semi-technical, and undulating-Semi-technical. Each of these represent roughly
equal areas. Rather less effort should be devoted to Non-technical systems in undulating areas, and
almost none to Non-technical systems in flat terrain. Since the investigative effort per system is likely to
be less for the smaller Non-technical systems, equal numbers of each type of system could be selected.

3.3.3

Deciding which systems to investigate

The number of systems investigated will be a compromise between the desired precision of the
investment estimate and the time and resources available. The minimum number of samples from any
one stratum to allow the within stratum variability to be estimated is two, whilst at least five are needed
for confidence in the estimate of variability. The number of systems for which AMPs were prepared by
the English and Welsh Water Authorities in 1989 ranged between 50 and nearly 400 systems. The
number of samples varied between 12 and around 60.
For the field trial, an initial estimate of the minimum number of systems to be investigated might be in
the range 50 to 70, with 10 or more in each of the 5 main strata, i.e. with flat-Non-technical systems
excluded. This would be likely to give reasonable confidence in the estimated total investment need.
Having decided how many systems to investigate from each stratum, their selection should be by random
numbers in order to ensure that the systems chosen are representative. Detailed investigations can then
commence as detailed in Sections 3.5 to 3.7.

3.3.4. Estimating the Total Investment Need

Having conducted detailed investigations on the sample systems, the identified investment needs must be
aggregated in order to represent all systems in the study area. To do this, normalisation measures are
used along with the strata previously determined. Normalisation measures provide the means to relate
characteristics of systems to some common unit of size. Thus characteristics established for a sample
can be converted into a general form applicable to all systems. A number of possible normalisation

Jim Welch/Asset Management - Irrigation/Sep-95

17

measures are presented in Table 3.3. Typically in irrigation the measure used is area, so for example
costs are expressed per hectare.

Table 3.3

Possible Normalisation Measures

Relates characteristics to some common units of size. For example:

irrigated area/command area

volume/length of canal
number of structures
number of farms/tertiaries

The stages in the calculation to estimate the total investment need are these:
(i)

For each stratum, calculate the stratum mean and variance from the individual sample results. The
variance is a measure of the differences between individual samples.

(ii)

For each stratum, calculate the stratum total by multiplying by the area served by all systems in
the stratum, and its variance.

(iii)

Add the stratum totals and their variances to obtain the regional total and its variance.

Detailed formulae are given by Barnett (1974).

3.4

Environmental, Legal and Development Context

It is essential to review the general context within which the irrigation service is to operate in order to
establish appropriate and comprehensive Standards of Service, both for the present and over the coming
twenty years. Once established, these Standards become the benchmark against which performance will
be assessed. This review must therefore be done before detailed investigations of assets and systems can
proceed.

3.4.1

Environmental Impact

Heightened awareness by governments and populations of environmental impacts of development

projects makes their examination imperative. As an integral part of the water resources development
sector, irrigation has a particular significance. Essentially, irrigation will directly affect:
the location and timing of water availability;
water quality.
Specific local effects will be many and varied, with several counteracting environmental costs and
benefits across a broad range from public health to natural habitats. In setting the Standards of Service
criteria for ongoing operation (or improvement, extension or contraction) of an existing irrigation
system, it is necessary to focus on net effects which are subject to the influence of managers of the
system. Examples might be:
quantity and quality of compensation flow (i.e. that part of the flow not diverted) at the point(s)
of abstraction;

Jim Welch/Asset Management - Irrigation/Sep-95

18

 quality and quantity of drainage water discharged into natural water courses (or otherwise
disposed of);
health and safety aspects of public access to irrigation infrastructure (including water quality,
contamination risks to downstream users and potential injury);
direct effects of management practices (e.g. de-silting);
impact of irrigation on groundwater quality and level.
Those things taken into account will include:
national environmental legislation and policies;
international obligations (e.g. Agenda 21 agreement) if not already incorporated in the above;
discretionary standards (good practices) reflecting local concerns;

3.4.2

Legal Obligations

The obligations placed on the irrigation service by national and regional legislation must be taken into
account when setting or reviewing Standards of Service. As governments move towards an integrated
water sector, the laws affecting irrigation may be expected to change. So far as possible such changes
should be anticipated within the term of the investment plans.

3.4.3

Social Development

There are two aspects of this which affect the setting of Standards:
the changing perceptions and demands of water users as customers;
the movement of populations from a rural, agricultural base towards an urban, industrial one.
The first of these requires good liaison with water users associations or other customer representative
groups to establish their perceptions of need and what, for them, constitutes a good service. This will
also help with anticipation of changing farming practices which could lead to significantly altered
technical requirements on the irrigation system. Urbanisation and industrialisation could affect the
planning of an irrigation system in a number of ways:
by construction of buildings on land which has been irrigated;
by making conflicting demands on the available water supplies;
by polluting irrigation water;
by secondary effects on the rural population (e.g. greater affluence, reduced dependency on
agricultural income) leading to changes in their demands on the irrigation system.
Regional development trends must be studied to ensure such factors are taken into account so far as
possible.

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3.5

Performance Assessment

3.5.1

Performance Indicators

Irrigation performance assessment is the subject of much discussion at present. Recent publications
(such as Murray-Rust and Snellen, 1991; Small and Svendsen, 1992; Bos, Murray-Rust, Merrey,
Johnson and Snellen, 1993) should be referred to for a comprehensive treatment. The distinction
between different levels at which performance can be measured is usefully summarised in Figure 3.2
(Small and Svendsens nested systems diagram). It is particularly important to distinguish between the
system (i.e. the infrastructure: canals, structures etc.) and the scheme (which includes agricultural
elements - see also Glossary of Terms).
Asset Management planning is concerned with output performance measures (quality of service to the
customer) at the level of irrigation system performance. Key performance measures are related to the
supply and distribution of water . These are considered to be:
adequacy
timeliness
equity
reliability.
Adequacy is a measure of the ability of the system to supply the designed or required quantity of water
to a delivery point.

In terms strictly of the system infrastructure (i.e. not management or other

influences), it is principally a matter of hydraulic capacity. Timeliness is a measure of the ability of the
system to deliver water at the required time - usually stipulated by the water user and, of course, related
to crop irrigation needs. It is principally a matter of system operation. Equity is a measure of the ability
of the system to provide an equitable distribution of water amongst the many points of delivery. This
again is principally a matter of system operation (assuming that the adequacy measure is satisfied
throughout the system). It is particularly relevant if water supplies are short. Reliability is a measure of
the level of confidence that water will be delivered in adequate quantity at the required time. This is
related to hydraulic capacity, system operation and to water availability.
Additional measures of performance may be required to reflect the demands of the environmental, legal
and development context, as described in Section 3.4 above.

3.5.2

Performance Assessment for Asset Management Planning

There are considered to be three stages in performance assessment for asset management planning:
Stage 1

System performance assessment using the indicators selected.

Stage 2

Appraisal of a system performance shortfall and its causes.

Stage 3

Quantification of causes of a system performance shortfall and its correction.

These three stages are outlined below.

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POLITICO-ECONOMIC SYSTEM

RURAL ECONOMIC SYSTEM

AGRICULTURAL ECONOMIC SYSTEM

IRRIGATED AGRICULTURAL
SYSTEM

2
IRRIGATION SYSTEM

Other Inputs

Other Inputs

Key to Inputs/Outputs:

11

Operation of irrigation facilities

Agricultural production

Rural economic development

22

Supply of water to crops

4
4

Incomes in the rural sector

66

National development

Figure 3.2 irrigation in the context of nested systems (Small and Svendsen, 1992)

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21

3.5.3

Stage 1 - System Performance Assessment

A short cut to assessing system performance may be to look at the scheme performance. If the scheme is
performing well against targets then it may be assumed that the physical system is performing adequately
(though Stages 2 and 3 as outlined below may be needed to confirm this). There are various ways in
which this initial performance survey might be done. Approaches described below consider:
crop area planted in comparison to that planned;
water delivery performance ratio;
views expressed by Water User Associations.
Appropriate measures must be chosen to reflect local circumstances including the type of data existing
and the resources available. The projected future demands on the system must be considered as well as
current requirements. Additional measures of performance will be related to environmental, legal and
social development criteria.
In the example of the trial on system DI Papah, Yogyakarta, a number of different approaches were
tested for the System Performance Assessment. In the first of these the area of crop actually planted by
farmers in each tertiary in each season, when compared with that planned or designed, was regarded as
an indicator of farmer confidence in the system. For this purpose planted area is relevant rather than
harvested area or yield. It was expected that a pattern would emerge where planted area in any given
tertiary was consistently slightly higher or rather lower than the plan or design figure. In order to allow
for variations in farmers choice of crop, a relative area was calculated based approximately on relative
crop water demand.
The second approach compared actual with planned water delivery (Delivery Performance Ratio) at the
tertiary offtake. Actual to planned Water Delivery Ratios were also examined at measuring points on the
secondary and primary canals. The discharge into the system was compared with its maximum design
value to see how closely the system is operated to its theoretical capacity. Given reliable data, these
checks should give very precise measures of system performance.
The difficulties experienced in these two approaches lay in the availability of data and in its quality. In
some cases less than a full years data was found. At many tertiaries no measurement of flow is taken
because they have no measuring structures. Where figures for crop areas and discharges were available
for both actual and planned, these were frequently identical which led to doubts as to their
authenticity. For crop areas, no design values could be traced.
Another possible approach would be to make spot checks of key parameters on a one-off basis. These
would be made under controlled conditions on the day(s) of the survey in preference to relying on
uncertain historical data. The confidence in results obtained on such a limited sample would have to be
considered. This could not be tried on the sample system because it was drained down.

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The third approach tested was to visit Water User Associations and to interview them about the type of
problems they faced, their view of system performance and their opinions on the availability and
reliability of water. The results of such a survey are, however, difficult to quantify. The design and
implementation of a survey of this type is a specialised exercise in its own right which would need
careful treatment in order to provide quantitative results suitable for use in the AMP.

3.5.4

Stage 2 - Appraisal of a Performance Shortfall

A performance shortfall may be current or it may relate to some future anticipated requirement. The
cause could be due to:
(i)

problems with the system assets;

(ii) problems with management of the system;

(iii) a combination of both the above.
A clear distinction must be drawn between performance shortfalls related to management and those
related to the system. This distinction is crucial. In irrigation, the quality and dedication of management
has a vital impact on performance. This is in marked contrast to the assumptions made in the Asset
Management procedures developed for the UK water industry. It is quite possible that an irrigation
scheme may have a perfectly well functioning system but is nevertheless performing badly due to
inadequate management. Conversely, management interventions can and often do offset infrastructure
inadequacies of design, construction or maintenance. System and management performance shortfalls
must be separately identified. Section 3.6 refers to Management Issues.
The Asset Management Plan itself is concerned with the infrastructure (the system), not its management.
The method of appraisal will be tailored to the type of system under investigation. For systems where
discharges are theoretically fixed by the design, the study will involve monitoring in sample locations
whether or not these discharges are being obtained. In other systems (such as in Indonesia) where water
allocations are planned, questions that the study will seek to answer will include:
Is sufficient data collected to enable water allocations to be planned?
Is water allocation planning a real or a paper exercise?
Are discharges in the field in accordance with those planned?
Are the organisational structure and the facilities for operation and maintenance adequate to
enable effective system operation?
Do system operators experience difficulties with passing design or maximum required discharges
through the system?
Through detailed analysis of both the management organisation and the physical system, the causes of a
performance shortfall can be diagnosed. Where confidence in a systems infrastructure remains in
doubt, more extensive Engineering Studies will be required.

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3.5.5

Stage 3 - Engineering Studies

The purpose of undertaking Engineering Studies is to recommend remedial works necessary to adjust the
performance of a system to match the prescribed standard of service. To do this, the cause of a system
performance shortfall must first be located and confirmed as being infrastructure related rather than due
to management. This will involve a combination of fieldwork and desk study and may usefully include
hydraulic modelling. The technical solution produced, taken together with information provided in the
Cost Model (see Section 3.8), determines the investment required.
The distinction between these Engineering Studies and the Asset Survey is important. The latter is
concerned with the assessed condition of individual assets which, important as this is within the AMP,
may be of little consequence to the former which considers system performance as a whole. Examples
might occur where an individual asset could be bypassed, abandoned or superseded or where it had little
influence on the system. Where the system needs to be upgraded, for example due to obsolescence, new
technology or future demand changes, the engineering studies will include investigation of different
options. The study might examine, for instance, changing control structures from manually operated to
automatic. The design, operational and cost implications of such a move would need quantification.
Estimates of anticipated benefits must be prepared, showing how performance indicators are expected to
improve over time as a consequence of capital investment in the system. The implications for operating
costs of any proposed capital investment must also be quantified. Such analyses are required to inform
decisions made during Financial Modelling following preparation of the AMP. General inferences must
be drawn from engineering studies carried out on the selected sample systems.
For the sample system in the field trial, DI Papah, engineering studies had been undertaken during the
preparation of a project design report for the Rehabilitation and Upgrading project which was ongoing.
Although the report had served as a basis for justifying the project and for the decision to go ahead with
its implementation, the form of the report was unsuitable for the AMP. The following needs of the AMP
were not satisfied by the report as it stood:
It did not relate specific investment activities to specific performance shortfalls. Instead, overall
financial costs and benefits were compared.
It did not enumerate separately the costs of specific investment activities. All activities were
aggregated and re-divided into Bill of Quantity items before costs were applied.
It did not detail benefits in terms of improvements in performance indicators or how these would
be distributed over time.
The experience gained from trying to adapt the engineering studies carried out for the trial area
demonstrated the particular nature and extent of the data required by the AMP. It is clear that such
Engineering Studies will need specific terms of reference to match the requirements of the AMP with
those for the location. To understand the variety of such requirements, further research is required.

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3.6

Management Issues

3.6.1

The Crucial Role of Management

An overview of the Asset Management Planning process is shown in Figure 3.1. This shows the
consideration of management and operation as a parallel activity which interacts with the rest of the
process. The Asset Management Plan itself is concerned essentially with the infrastructure (i.e. the
engineering hardware) of the system providing the basis of the service. It is important when drawing up
the AMP to keep attention focused on the infrastructure and not to allow the effects of system
management to confuse the issue (see Section 3.5 - Performance Assessment).
It is a feature of irrigation systems, however, (with the possible exception of the most technologically
sophisticated, automated systems) that the influence of management is crucial to the quality of service
provided. This sets irrigation apart from many other types of infrastructure and particularly from the UK
water industry where the AMP originated. Recognition of this important difference demands that a
parallel but integrated study of management issues must therefore be incorporated.

3.6.2

Existing Management Structure

It is important to establish an understanding of the existing management structure both as an aid to

conducting and interpreting the AMP generally and as a basis for considering its appropriateness to
future needs. The types of questions which will be asked are:
What is the nominal existing management structure?
Is it clearly and unambiguously defined?
How widely is it known and understood by line managers and staff?
How is authority and responsibility delegated?
How are goals defined and achievements rewarded?
What steps are taken to ensure that staff are able to perform as required and that they keep abreast
of changing needs and practices?
What relationship does the formal management structure bear to the day-to-day practice?
Is the structure rigid or can it readily respond to changing needs?
The answers to these questions will help to determine whether the existing structure is adequately set up
to enable true management of the irrigation system(s) concerned or whether it is merely administrative in
nature. Administration implies that processes and procedures are followed in a manner which protects
individuals from sanction whatever bearing this may have on performance oriented objectives.
Management implies that important decisions are routinely taken and implemented at an appropriate
level, in response to needs as they arise, in general conformance with the policies of the organisation.
Management is achieved through the setting of objectives and targets and the monitoring of performance
indicators.

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3.6.3

Existing Operational Procedures

These procedures and how they are actually implemented are crucial to the performance of the irrigation
system. It is necessary to determine, for example,
what procedures exist;
whether they are formally recorded in an unambiguous manner;
how actively and consistently they are used;
how helpful they are to staff who operate and maintain the system;
whether they are appropriate to the current situation and to future needs;
how relevant they are to achieving the specified performance criteria;
how frequently they are reviewed against the results of operational performance monitoring and
evaluation.
It cannot be assumed, of course, that the findings will be the same across all the sample systems. Each
must be independently investigated. Indeed the variability between systems may itself be instructive.

3.6.4
[Link]

Management Studies
The Implementation of the AMP

It is obviously crucial to the success of the whole procedure that the management of the irrigation service
will be able to interpret and to implement the Asset Management Plan. This must not be taken as a
foregone conclusion. It will depend on the capabilities of individuals, the quality of their briefing and
training and the procedural constraints under which they operate.

An important aspect of the

Management Studies will be to check that an appropriate structure exists with adequate capability.
[Link]

The Influence on System Performance

Liaison and interaction with the Engineering Studies (being conducted under Performance Assessment)
is vital at this stage. The Performance Assessment should have established how well the system meets
current and projected Standards of Service targets. Adjustments to the infrastructure (hardware) and to
management practice (software) will be under consideration to achieve:
corrections to existing performance shortfalls;
changes needed to meet new Standards;
changes needed in response to altered demand;
greater overall financial efficiency;
trade-offs between capital (CAPEX) and operational (OPEX) expenditure;
institutional reforms (e.g. turnover or privatisation).
Clearly the adjustments proposed to the infrastructure and to the management must be co-ordinated and
harmonised. The studies conducted under the two headings will inform and stimulate each other.

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3.7

Asset Survey

3.7.1

Background

Fundamental to an Asset Management Plan is a knowledge of what assets exist, their value and the
liabilities they represent derived from a knowledge of the state of repair of each asset and its life
expectancy. It is important to distinguish between the Asset Survey and the Engineering Studies related
to system performance assessment as explained in Section 3.5.5. Information derived from the former
indicates immediately the scale of the financial commitment represented by the infrastructure system.
For example if assets with a value of x dollars have a life expectancy of n years then it is apparent
that, for replacement alone, there is an average annual liability of x/n dollars per year. Assuming that
some sort of inventory already exists, the task will be to confirm this inventory and to extend it as may
be necessary to include all the asset data requirements of the AMP. These are defined in the following
sections.

3.7.2

Extent

The unit measure of extent for assets will most commonly be the number present or, for linear assets such
as canals, length in kilometres. In order to count them meaningfully assets must be classified by type.
The classification method developed for the field trial is shown in Table 3.4.

Table 3.4

Grouping Of Principal Asset Types

Group 1 - WATER CAPTURE

Group 2 - CONVEYANCE

River Offtake Weirs.

Dams & Impounding Reservoirs.
Groundwater Abstraction Wells.

Canals.
Hydraulic Structures.
Supplementary Structures.

Group 3 - OPERATIONS
(CONTROL) FACILITIES

Group 4 - MANAGEMENT AND GENERAL

Access Roads.
Offices and Laboratories.
Depots and Workshops.
Field Officers Quarters.
Vehicles and Plant.
Information Technology Systems.

Head Regulators.
Cross Regulators.
Measuring Structures.

Here, asset types are distinguished by Function at the first level, with structural similarity as the second
level. Drop structures and culverts, for example, are thus classified together as hydraulic structures.
This approach provides a manageable number of asset types and descriptions. Some irrigation engineers
may prefer to extend the typology to identify the irrigation assets more precisely by adding a third level.

3.7.3

Defining Asset Types and Components

A list of asset types and components, based on a reconnaissance of schemes in the Yogyakarta area
combined with general experience of irrigation specialists, is shown in Table 3.5. Asset types which are
of interest are those into which most investment will be concentrated. Components of assets are defined
in order to facilitate condition assessment when different components may be subject to different
degrees of deterioration. No more components should be identified than is necessary. An assets overall
condition score can be arrived at by weighting the individual scores of its components and then adding
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them. The weighting factor suggested for a component is the proportion of its value to that of the asset
as a whole.

Table 3.5

Asset types and components used in the trial

Asset Type

Size measures
to be recorded

Weir
crest length
crest height

Head Regulator
total gate
width
design flow
Cross
Regulator
* options
-fixed crest
-gate(s)
-stop logs
-flume
Measuring
Structure

total gate
width
design flow

total crest
width

Functions to be
assessed
HYDRAULIC
-provide level
-pass offtake
design flow
-pass design flood
OPERATIONS
-gates
-gauges
HYDRAULIC
-pass design flow
OPERATIONS
-control flow
-gauges
HYDRAULIC
-pass design flow
OPERATIONS
-control command
(level)
-gauges
HYDRAULIC
-pass design flow
OPERATIONS
-measure flow

design flow
Canal
(linings
-earth
-masonry
-concrete tile
-cont. concrete)
Hydraulic
Structure
-aqueduct
-culvert
-drop struct.
-escape struct.
(note type)
Supplementary
Structure
e.g.:
-bridge
-cattle dip
Access Roads

design flow
length

HYDRAULIC
-pass design flow
OPERATIONS
-n/a

Components to
check
weir wall
dividing walls
abutments
crest
apron
sluice gate
offtake gate
stilling basin
superstructure
gate(s)
structure
notice board
shelter

Depreciation
Life (est.)
civil
50 years
mechanical
and electrical
(m&e)
10 years

civil
25 years

m&e
10 years
control section* civil
25 years
structure
notice board
u/s wingwalls m&e
d/s wingwalls 10 years
gauge(s)
shelter
control section 25 years
gauges
structure
u/s w/walls
d/s w/walls
stilling box
embankment
civil
side slopes
25 years
(note type)
bed
m&e
10 years

(depends on
structure)
design flow
length
fall

HYDRAULIC
-pass design flow
OPERATIONS
-n/a

conveyance
support struct.
u/s w/walls
d/s w/walls
stilling basin

civil
25 years

(depends on
structure)
design flow
length

HYDRAULIC
-pass design flow
OPERATIONS
-n/a

structure
safety
other features

civil
25 years

width
length

OPERATIONS
-access to system

structure
surface
drains

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m&e
10 years

m&e
10 years
civil
25 years

3.7.4

Size and Size Bands

Within each asset category the nature of the asset, its value and the liabilities associated with it, will vary
according to its size. In order for classification to be manageable, the use of Size bands (or ranges of
size) is necessary. Definition of the bands will depend on the range of sizes existing in the particular
region under consideration and upon the cost-size relationship. The measure of size should be chosen to
give a reasonably simple correlation (preferably linear) with value. It should also be an unambiguous
measure which can be practically and reliably determined as part of the survey. Measures which are
obscure, difficult to check or liable to be in error are impractical.

Table 3.6

Size Measures for typical assets in the Trial Area

Asset type
Weirs
Canals
Cross Regulators
Head Regulators
Measuring Structures
Hydraulic Structures
Supplementary Structures:
- Bridges
- Other

Size measure
(crest height)3 x (crest width)
Maximum design flow
Maximum design flow
Maximum design flow
Maximum design flow
(Maximum design flow)x(length)

Extent units
number existing
length in kilometres
number existing
number existing
number existing
number existing

(Span)3
Canal Maximum design flow

number existing
number existing

For the trial, insufficient information was available to be able to do correlation tests of size measures
against value (see discussion of Cost Model). The size measures presented in Table 3.6 were selected on
the basis of engineering judgement. In cases where maximum design flow is difficult to determine (for
example because the design has been subject to several modifications) then the area served by the asset
may be a more reliable size indicator. This makes the broad assumption that crop water demands per
unit area are roughly consistent across the region under consideration. Given that the intention is to
place assets in size bands rather than to measure their size precisely, this assumption is reasonable.

Table 3.7

Size Bands for Maximum Design Flow selected in the Trial

Band 1
0 - 249 l/s

Band 2
250 - 749 l/s

Band 3
750 - 1249 l/s

Band 4
1250 - 2249 l/s

Band 5
> 2250 l/s

The definition of size bands also needs to be reasonably straightforward. In the trial the bands shown in
Table 3.7 were chosen for maximum design flow to fit well with cost figures located for different sized
standard structures (East Java Irrigation Study, Vol. 2, 1981).

3.7.5

Value (Gross MEA and Net)

The value of the asset depends upon its type and its size and is represented in terms of the Modern
Equivalent Asset (MEA) value (that is to say the cost of a modern asset of equivalent function, not
necessarily replicating the existing asset in precise detail) at current prices. The gross MEA value is the
full amount currently needed to acquire such an asset. The net value takes account of the fact that the
asset is not new and assumes that its value depreciates in accordance with a formula (the simplest of
which is a straight line relationship between net value and age) until it reaches its depreciation life at
which time its value is nil (because it would need to be replaced). This conforms with conventional
accounting practice. The establishment in the survey of an assets type and size enables its gross value
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to be derived by reference to the Cost Model. Condition information then allows net value to be derived
similarly.

3.7.6
[Link]

Condition and Serviceability

General

An important difference between the approach to the asset survey defined here and that more commonly
described is that here a distinction is made between the general condition of an asset on the one hand and
its ability to perform its function (its serviceability) on the other. As soon as a new asset is put in place
it begins to deteriorate. Its condition progressively degrades until it reaches its depreciation life when it
will need to be replaced. Thus the condition of an asset, taken with its MEA value, can be used to give
an indication of the likely cost associated with its restoration.
The serviceability of an asset (that is its ability to perform its function) is often assumed to be directly
related to its condition. But this can be a misleading assumption. In practice, assets very often continue
to perform their function quite satisfactorily even though their condition is significantly deteriorated. On
the other hand there are frequent instances when an asset which is generally in excellent condition is
rendered unserviceable by a very minor fault. It is the serviceability therefore which indicates the
urgency of the work needed to restore the asset to its fully functional state.
By measuring separately these two indicators, a much clearer picture emerges than is the case when
condition and serviceability are treated as one and the same.

Condition implies cost whereas

serviceability implies urgency. Expenditure priorities are thus much more readily determined and their
implementation is more likely to be effective in keeping the assets functional rather than merely
maintaining their appearance.
[Link]

Condition Grades

The number of condition grades to be used should be chosen to suit the particular circumstances in
which the Asset Management Plan is being created. Due regard must be given to the way in which it is
intended to use the information and to the ability of those who will undertake the survey to distinguish
between different condition grades. A number of grades between three and six is recommended. The
World Bank has a six point scoring system although this rolls together condition and serviceability. The
Department of Public Works (DPU) in Indonesia has in some cases used a three point score of Good,
Average or Broken. In other examples, including that of the UK water industry, a five point system
is used although, where the top score is new and the bottom score is derelict, these extremes may
rarely be selected. There is an argument for having an even number of grades so that a judgement must
be made by surveyors as to whether an asset is above or below average condition.
In the trial four condition grades were chosen. These are defined in detail for each asset category under
the following broad definitions:

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1. GOOD:

Generally sound with no deformation or damage. Well maintained with little or no

signs of deterioration.

2. FAIR:

Generally sound but with some degradation or damage. Needing maintenance

attention.

3. POOR:

Significant deterioration requiring urgent corrective work.

4. BAD:

Serious problems requiring partial or complete replacement.

[Link]

Serviceability Grades

The decision on how many serviceability grades to use must be made on the basis of the same sorts of
considerations as outlined above for condition grades.

It is not necessary that the number of

serviceability grades be the same as the number used for condition. It can be argued that serviceability
should be reported either as acceptable - i.e. pass or unacceptable - i.e. fail. Indeed a reporting
method of this type is used in the UK water industry. However this approach is considered too coarse
for irrigation systems in which operations staff are often able to overcome a partial reduction in
functionality of an asset in all but the most extreme operational conditions.
Serviceability is measured by reference to two functional criteria applied as appropriate to each asset.
These are:
Hydraulic Function:

This will normally be to pass the design flow safely

and:
Operations Function:

(where appropriate) to control flow across the required range

OR to control command (level) across the required range
AND/OR to allow measurement of flow

In the trial four serviceability grades were selected. As for condition, these are defined in detail for each
asset category under the following broad definitions:
1. FULLY FUNCTIONAL: Apparently properly designed and constructed with capacity to pass the
design flow safely AND (where appropriate) fully capable of being operated to control flow (OR
command) across the desired range AND (where appropriate) facilitating measurement of flow by
means of its own components or an adjacent measuring structure. Performance unaffected by silt or
debris.
2. MINOR FUNCTIONAL SHORTCOMINGS:

Normally able to pass the required flows and

capable (where appropriate) of being operated to control flow (OR command) in a measured manner
but performance likely to be unsatisfactory under extreme conditions of demand or climate.
Deficiencies may be due to design or construction inadequacies, insufficient maintenance, measuring
devices which are difficult to read or due to the presence of silt and/or debris.

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3. SERIOUSLY REDUCED FUNCTIONALITY: One or more of the defined functions seriously

impaired through deficiencies in design, construction or maintenance, or due to the presence of silt
and/or debris. (Likely to have a significant detrimental effect on System Performance.)
4. CEASED TO FUNCTION: Complete loss of one or more functions or serious reduction of all
functions of the asset for whatever reason.

3.7.7

Importance

The potential influence of an individual asset on system performance is governed by:

its functional significance and
its position within the system.
Since the purpose of the AMP is to identify investment need, the functional significance of an asset is of
interest only in so far as there is a functional deficiency which needs correction. This is already assessed
under serviceability. By recording the positional importance of the asset additionally, a more complete
picture is given to aid the targeting of investment funds.
In the trial, the downstream area directly served by the asset, as a proportion of the total system irrigated
area, was selected as the simplest measure of positional importance.

Additional factors could be

considered depending on the asset type but the practical value of introducing more sophisticated
importance measures is uncertain and would need further research to be determined. In work done by
Davies (1993) and under the Programming and Monitoring System project (PMS - Mott MacDonald
1993), an importance ranking is assigned according to asset type separately from and in addition to
recording the area served by each. In their approaches, however, asset serviceability is not measured
specifically so the arguments above do not apply to them.

3.7.8
[Link]

Conducting the Asset Survey

Design of Survey Forms

Examples of the forms used for the field trial are given in Appendix A1. The design of these was based
on work done previously (Davies, 1993; Mott MacDonald - PMS, 1993) and adapted as required by
differences in the information sought. Experience in the field trial suggests that an improved form
design would tabulate all assets for a particular reach of canal on a single sheet. This would be easier to
handle and save paper (forms as currently developed use one sheet per asset). The same conclusion is
apparently being reached under implementation of PMS. The disadvantage will be slightly reduced
flexibility where unexpected assets need to be recorded; however, this can be overcome. Further
development work on form design is appropriate.

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[Link]

Desk Study

As a preliminary to undertaking fieldwork on each sample system, a desk study should be made to
establish the availability of relevant information. In particular this should seek:
a layout of the system - preferably both as a survey drawing and as a schematic - showing the
positions of each asset
the area served by each offtake and thus, by addition, by each asset
the maximum design flows in each canal and at each offtake
any history of changes to the design
records of previous surveys of the system
reports by operating staff of problems or particular maintenance needs
results of the System Performance Assessment.
[Link]

Survey Team

A team should be established who will follow through the survey for the system from desk study to
completion. The size of the team will depend upon the size of the system and the time and resources
available.

Members will need to be technically competent, preferably qualified engineers, with

experience in irrigation design and operation and in structural assessment. They should communicate
effectively with operations staff.
[Link]

Field Work

The survey team should be accompanied on site by a member of the operations staff familiar with the
day-to-day running of the part of the system concerned. The survey should begin at the top of the system
and work along its length. At least one route should be followed to the bottom of the system (i.e. to the
lowest point of interest within the AMP). This practice was followed for the trial where the primary
canal (Induk Papah) and one secondary canal (Sekunder Cangkring) were surveyed.
It is preferable that a pair of surveyors work together to follow any section of the system (e.g. a primary
or a secondary canal) through from top to bottom. Where branches occur, one branch should be
completed before another is started unless there are more than one pair of surveyors in the team. Then
each pair may be allocated to different branches.
As the survey progresses any discrepancy between the network as observed and that recorded on the
system layout drawings should be carefully recorded. This is not only to aid interpretation of the Asset
Survey but also to provide a basis for assessing confidence in the recorded information generally. The
experience of the trial demonstrated that it was often difficult to determine the location (by chainage
along the canal) of assets since distance markers were absent on many stretches. In these circumstances,
particularly where a number of alterations had taken place over the history of the system, it was
necessary to be very careful to identify correctly the asset concerned and the area it serves.

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[Link]

Creating the Database

The results of the Asset Surveys from the sample systems must be assembled in a manner which
facilitates integration and analysis within the AMP. A computer relational database is envisaged, the
architecture for which, as developed during the trial, is shown in Appendix A3. Relational databases of
this type have been created by Davies (1993) and under the PMS project (Mott MacDonald, 1993).

3.8

Cost Model

3.8.1

Requirements of the Model

[Link]

Purpose

The Cost Model provides a reference data-base for use in the preparation of the AMP and subsequently
for financial modelling where alternative investment strategies are compared. Specific purposes of are:
(a) to value existing assets (in terms of the Modern Equivalent Asset value);
(b) to provide unit costs for capital investment activities (as determined from Engineering Studies);
(c) to quantify operational costs (under the headings of (i) system operation and (ii) maintenance).
[Link]

Modern Equivalent Asset (MEA) Value

The Modern Equivalent Asset Value (MEA) is the cost, at current prices, of a modern asset of equivalent
function, not necessarily replicating the existing asset in precise detail. The gross MEA Value is the full
amount needed to provide such an asset at the current time. The net MEA value allows for the
depreciation of asset value over its life. Some relationship between the condition of an asset and its
nominal depreciated value needs to be determined for use within the Cost Model.
A Unit Cost Index must developed (or an existing one adapted) in which typical construction costs,
represented as gross MEAs, are available for each asset type in each of the size bands applicable. In
order to derive these unit costs and to check what size measures are most appropriate for each asset type,
it is likely that historical cost data will be collected, analysed and plotted against alternative size
measures to find the best correlation. Once this work has been done, estimating asset value or new
construction costs becomes a straight-forward matter of taking a figure from the Index.
Where component condition scores are to be weighted by the components proportional value (see
Section 3.7 Asset Survey), the information required will be obtained from the Cost Model. The Cost
Model must therefore include a breakdown of MEA for each asset type into its component costs.
[Link]

Capital Investment Activities - Unit Cost Index

Capital investment activities are works undertaken to rehabilitate, upgrade, extend or improve existing
system infrastructure. They will be determined by Engineering Studies (see Section 3.5.5). Just as for
the costs of new construction (MEA value), figures for these activities are best derived from a review of
past contracts. In some cases it may be necessary to produce engineers estimates. Due allowance must
be included for the complete or partial removal of an existing asset prior to its replacement.

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The unit costs so derived will be used to convert activities, identified as necessary (through Engineering
Studies) as the result of a shortfall being found during System Performance Assessment (Section 3.5),
into estimates of investment need. An appropriate list of typical activities must be devised and costed.
Each activity must be related clearly to the asset type with which it is associated and to the asset size.
[Link]

System Operating Costs

Together with the index of routine maintenance costs described below, this analysis will provide the
basis for making adjustments to the OPEX budgets as a result of OPEX/CAPEX trade-offs considered
during Financial Modelling.

It will summarise the typical costs traditionally associated with the

operation of the systems under consideration. It will be broken down into contributory elements (such as
staff costs, equipment, transport etc.) as appropriate to the current operational accounting practices.
If these provide inadequate information it may be necessary to re-analyse the historical data or use it as a
basis to build up new rates in the form required.
[Link]

Routine Maintenance Costs

These are of interest both to provide reference costs for preparation of the OPEX budget and to enable
observation of cost trends. Such trends over time might be correlated for example with deteriorating
assets, with particular patterns of capital investment or with changes in maintenance strategies. For
meaningful information to be derived, records are needed covering as many years of operation as
possible. Where it is proposed to make significant changes to current maintenance practices, or where
new types of asset are being introduced requiring a different maintenance regime, then fresh estimates
will have to be prepared. Some of the historical data may nonetheless be of value in preparing these.

3.8.2

Sources of Data

The AMP seeks to set out a realistic plan for the coming twenty years. Unless such plans have been
prepared previously, the only point of reference for costs will be an analysis of historical activity and
expenditure. This, taken in the context of the results of the System Performance Assessment and the
Asset Survey, will form a basis for making future projections.
Some historical data will normally be available both for capital expenditure (CAPEX) and for running
costs (OPEX). However, re-analysis of this information is likely to be necessary to provide the clear
distinctions required by the AMP. In cases where there is a severe shortage of data it may be possible to
import information from other regions or sectors to provide a starting point. Such information would
need to be interpreted and adjusted for local conditions. On occasions it will be necessary to build up
engineers cost estimates from first principles.
One of the spin-offs of the first AMP in the UK water industry was the establishment of a nation-wide
construction unit cost index specifically for water industry related activities. This is updated frequently
and published for use by planners and designers throughout the industry. The availability of such
information saves time and increases accuracy in the estimation process.

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3.8.3

Building the Model

The trial demonstrated that building the model in the required form can be more difficult than might be
anticipated. Whilst a large amount of information on unit costs was thought to be available at the outset,
much of what was found proved impossible to use without extensive additional analysis. The following
list illustrates some of the problems which may be encountered with existing data.
Contract costs are broken down into Bill of Quantity items which are unrelated to specific
activities or to asset types.
Contracts contain a mixture of rehabilitation/refurbishment, removal of existing assets, new
construction and upgrading works which are not readily separated out.
There is a general lack of data or the data which is available relates to a few specialised contracts
in a narrow time span.
Cost information relates only to a very narrow and unrepresentative range of asset sizes.
Contracts have been subject to several specification changes and/or claims making it very difficult
to relate final costs to work achieved.
Estimating costs for future projects based upon a combination of general contract experience, historical
data and engineering judgement is a process familiar to engineers involved in feasibility studies, project
planning and contract preparation. Building the Cost Model is fundamentally the same process although
more work will be involved to give it the necessary range of asset types and sizes. There is no doubt,
therefore, that the Cost Model can be produced but it must be recognised as a specialised activity
requiring clear terms of reference to ensure its compatibility with the rest of the AMP.

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4.

Using the Asset Management Plan

The last chapter examined each of the elements involved in the compilation of an Asset Management
Plan. This chapter now describes the presentation and use of the information thus produced, including
the assessment of confidence in the results obtained.

4.1

Presentation of the AMP

The detailed form of presentation of the Asset Management Plan must be tailored to the requirements of
the commissioning agency. Example output forms are presented in Appendix A2. These have been
developed during the trial by adaptation of the principles applied in the UK water industry. They
include the elements detailed in the following sections.

4.1.1

Asset Stock, Condition and Serviceability Profile

This is a statement of all the assets which exist, aggregated up from the Asset Surveys on sample
systems (as presented in Appendix A2, Output Form 1). Assets are divided by category and size and the
number present stated. The total value of assets in each category is quoted both as gross MEA and as net
(depreciated) value. Condition and Serviceability Profiles are provided by quoting the summed gross
MEA value of all assets assessed to be in each condition grade and in each serviceability grade
respectively. An Importance Profile can be similarly provided.

4.1.2

Unit Costs Report for MEA Value and Capital Investment Activities

This is a presentation of information contained in the Cost Model (see Output Form 2, Appendix A2).
Costs may be categorised in many different ways according to what is found to be most appropriate and
convenient.

The factors which define the cost categories are likely to be those having the most

significance in determining cost variability. They could include size, location type, ground conditions
etc. They might be related to stages of construction work such as construct new asset, remove
existing asset, install replacement asset, extend asset etc. The definitions of these factors will
emerge from the process of building the Cost Model.

4.1.3

The Investment Programme

This is a report of the total investment estimates for Capital Expenditure (CAPEX) and Operational
Expenditure (OPEX) as provisionally programmed by each five-year period for the coming twenty years. This
is then subdivided and re-presented as follows (see Output Forms 3a, 3b and 3c in Appendix A2):
by each Asset Category (this shows where investment is targeted in terms of different asset types)
by each Importance Band (this shows how the importance of assets affects investment)
by each Purpose Category; e.g.: - to maintain (preserve) existing performance or
- to improve/extend existing performance or
- to maintain (preserve) existing condition

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4.1.4

Activities Report

This complements the Investment Programme by stating what work is represented by the investment
proposed (see Output Form 4 in Appendix A2). Under each asset category various activities are listed
and the amount of work programmed (for example as kilometres of canals relined or numbers of gates
replaced) set out for each five year period.

4.1.5

Benefits Report

This relates benefits, in terms of the performance measures used for System Performance Assessment, to
the programme of capital investment activities (see Appendix A2, Output Forms 5a and 5b). Where
possible it should also show some history to convey an idea of trends. The improvements to be derived
from the investment programme are thus clearly declared. They can be used to weigh alternatives, to
justify decisions and, subsequently, to monitor achievements.
Although not strictly an output performance measure, maintaining or improving the Asset Condition
Profile may be considered an important indicator of satisfactory system management. In this case the
projected changes to the Asset Condition Profile, reflecting investment plans for CAPEX and OPEX, can
be presented as part of the Benefits Report (as illustrated in Output Form 5c, Appendix A2).

4.1.6

Asset Depreciation Categories

This is a summary statement of the assumptions incorporated into the AMP about the depreciation life of
various asset types and their component elements (see Output Form 6 in Appendix A2). The relationship
between this and the assumptions in the Cost Model yielding depreciated asset value is an area requiring
further consideration and development.

4.2

Confidence Grades

4.2.1

Purpose

All data, at both input and output levels, should be assigned confidence grades in order to demonstrate
the robustness of the Plan and the degree of confidence in it. By examining all sources of data and the
confidence grade associated with each, an experienced statistician can establish which ones have the
greatest impact on overall confidence in any particular output. This allows further studies to be focused
on those areas which will provide the best return in terms of boosting overall confidence.

4.2.2

Sources of Variance

COSTS tend to have the widest confidence grades and to dominate overall confidence. They influence
valuations, condition and serviceability profiles by value and investment estimates. They are considered
to have two separate sources of variance; the variability of a unit cost about the mean and the variability
of the calculated mean about the true mean. Where sufficient information is available confidence can be
quantified using regression analysis. It should be noted that any error in the calculated unit costs is
cumulative and consequently errors in the total estimate are cumulative.

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ENGINEERING JUDGEMENT also has a very significant influence on the overall outcome. Errors
here may occur in the appropriateness of the chosen solution, its timing or the possibility that the work
may not actually be needed at all within the time frame of the AMP. This variance may be high for
individual systems but tends to reduce (by mutual cancellation of errors) as these are added together.
CONSISTENCY OF ASSET SURVEY ASSESSMENTS.

This is a question of repeatability of

judgements made about condition and serviceability by field teams. It depends on the selection and
training of the teams and the design of survey forms. Pilot surveys can be conducted comparing the
results of several teams assessing the same assets to improve procedures and to quantify confidence.
SAMPLING ERROR. This is the possibility that samples are not representative. It can be minimised by
careful stratification prior to sampling as described in Section 3.3 on Stratified Random Sampling.

Table 4.1
Band
1
2
3
4
5
6

Data ACCURACY bands

Definition
Better than or equal to +/-1%
Not band 1, but better than or equal to +/-5%
Not bands 1 or 2, but better than or equal to +/-10%
Not bands 1, 2 or 3, but better than or equal to +/-25%
Not bands 1, 2, 3 or 4, but better than or equal to +/-50%
Not bands 1, 2, 3, 4 or 5, but better than or equal to +/-100%

Source: UK Office of Water Services - AMP2 Manual

Table 4.2
Band

Data RELIABILITY bands

Description

Definitions
Actuals

HIGHLY
RELIABLE

Data based on sound records,

procedures, investigations or
analysis which is properly
documented and recognised as
the best method of assessment

RELIABLE

Generally as A but with some

minor shortcomings, for example
the assessment is old, or some
documentation is missing, or
some reliance on unconfirmed
reports, or some extrapolation

UNRELIABLE

Data based on extrapolation from

a limited sample for which grade
A or B data is available

HIGHLY
UNRELIABLE

Data based on unconfirmed

verbal reports and/or cursory
inspections or analysis

Source: UK Office of Water Services - AMP2 Manual

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Forecasts
Based on extrapolations of high
quality records covering or
applicable to more than 100% of
the study area, kept and updated
for a minimum of five years. The
forecast will have been reviewed
during the current year
Based on extrapolations of
records covering or applicable to
more than 50% of the study area,
kept and updated for a minimum
of five years. The forecast will
have been reviewed during the
previous two years
Based on extrapolations of
records covering more than 30%
of the study area. The forecast
will have been reviewed in the
previous five years
Based on forecasts not complying
with bands A, B or C

4.2.3

Recording Confidence Grades

Confidence grades are declared on data forms, as shown in the examples presented in Appendix A2, in
the columns marked CG.

Table 4.3

Confidence Grades (CG) for data

Accuracy/Reliability
<1%
1 - 5%
5 - 10%
10 - 25%
25 - 50%
50 - 100%

A
A1
A2
A3
A4
N/A
N/A

B
N/A
B2
B3
B4
N/A
N/A

C
N/A
C2
C3
C4
C5
N/A

D
N/A
N/A
D3
D4
D5
D6

Source: UK Office of Water Services - AMP2 Manual

Note: N/A indicates confidence grades that are considered to be incompatible.

The method of assessing and reporting Confidence Grades used for the UK water industry is repeated
here for reference. It appears to be suitable for application to irrigation without modification. It uses a
combination of two separate measures: ACCURACY of data on the one hand and RELIABILITY on the
other, as defined in Tables 4.1 and 4.2 respectively. The accuracy and reliability bands form the matrix
of confidence grades given in Table 4.3. Whilst alpha-numeric confidence grades are set out, it is
expected that only the quantitative accuracy definitions given in Table 4.1 will be used for statistical
combinations of variance.

4.3

Financial Modelling

4.3.1

Purpose

The financial modelling process is one of reviewing and refining the provisional investment programme
presented in the AMP. In doing so the information contained within the AMP is used to the full.
Specifically, the purpose and boundaries of the financial model are:
(i) to match investment strategy to realistic and achievable revenue projections and
(ii) to examine potential CAPEX/OPEX trade-offs and utilise these to the best advantage.

4.3.2

Process

The AMP contains:

investment needs identified and quantified
a provisional expenditure programme over 20 years
benefits of investment identified and related to the same programme
an extensive cost database on which to draw in considering alternatives
a valuation of existing asset stock with condition and serviceability profiles.

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Financial modelling considers constraints and priority influences in respect of:

alternative strategies
capital planning (20 years)
budget planning (5 years)
budget priorities (5 years)
sources and realistic levels of funding (Irrigation Service Fee, subsidies, etc.).
In practice the process of financial modelling is likely to be a mixture of complementary activities.
These will include management workshops in which policies, priorities and constraints are reviewed,
rigorous re-examination and numerical analysis of elements of the programme and some subjective
assessment. Ultimately a series of management decisions will be made leading to a preferred strategic
option. To satisfy the requirements for traceability of the AMP, these processes must take place within a
set of pre-defined rules and each stage recorded.
It may be the intention, or an option under consideration, that responsibility for assets within the AMP
will be split, with different sources of funding (e.g. government keeps river weirs and intake works but
hands over the irrigation system to farmers or to a private company: these two entities may have
different sources of funding). The financial model must reflect and facilitate evaluation of such plans.

4.3.3

Alternative Strategies

The investment plans set out in the AMP must be examined to ensure they can be sustained as they
stand, without modification, in the light of funding implications and constraints. If they can there may
be no reason for making alterations other than, perhaps, to smooth capital requirements. If not then it is
necessary to examine alternative strategies based on AMP information. These might include:
accelerate or delay investment
alterations to level of service
review revenue sources and means of collection
consider OPEX/CAPEX trade-offs.
Decisions which emerge from this process on investment strategy will:
set policies (for guidance in budget preparation)
allocate funds for the first five-year plan.

4.3.4

Capital Planning

This is the process of defining the capital investment requirements implied by the preferred investment
strategy and established from the financial model. To achieve this it is necessary to know the cost
stream, to match this with the income stream and to arrange an appropriate flow of capital. This will be
presented as a series of five-year plans, the first of which must also be converted into a budget plan.

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Crucial to capital planning is the timing of investment. Investment requirements are built up from the
results of examining sample systems, particularly from Engineering Studies and from the Asset Survey.
Determining investment timing in each individual sample system is thus important to the whole Plan.
For IMPROVEMENT/EXTENSION expenditure, timing will depend on when funds are available. A
spread which minimises the peaks in capital demand is likely to be favoured. Decisions to defer
maintenance in order, for example, to create a window for improvement activity, which often tend to
occur by default, can in this instance be planned in order to maximise efficiency of capital exploitation,
whilst minimising the consequent difficulties.
For MAINTENANCE spend, an algorithm such as that developed by Davies (1993) could be used to
simulate the continuing deterioration of assets under different maintenance regimes. A relationship
between asset deterioration and time must be assumed and the cost estimated of restoring an asset to new
from any given condition grade. The worst case occurs at the end of the assets depreciation life when
the cost of restoration will be the replacement value of the asset (plus the cost of removing the derelict
original). As an alternative, curves of rehabilitation costs against maintenance interval could be used to
generate a maintenance expenditure profile.

4.3.5

Budget Planning and Investment Priorities

This analysis sets out detailed expenditure policy for the first five years, based on declared priorities. It
allocates baskets of money to specific types of activity during the first five years of the plan. It also
defines the details of the cash flow (income and expenditure) required to achieve this. The priorities for
the period are derived directly from decisions made during the consideration of alternative strategies as
set out in Section 4.3.3.

4.3.6

OPEX/CAPEX Trade-offs

Particularly within an irrigation system where the role of operations staff is so crucial to performance, it
may often be possible to defer capital expenditure through increased operational activity (and hence
OPEX). Conversely, by a piece of capital expenditure, for example automated gates or a new silt trap,
operational expenditure may be reduced.
This relationship provides the opportunity, and the need, to make policy decisions affecting short term
revenue demands and long term performance improvements. A balance which is unacceptable in the
long term may be tolerated or deliberately brought about in the short term in order to make necessary
adjustments to investment timing, reflecting constraints on capital.

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4.4

Organisational Adjustments

The need for a number of organisational adjustments may arise from the AMP process. Those identified
might include:
organisational and structural changes
revised O&M procedures
training
adjustment of OPEX budgets
new standards of performance targets.
These are discussed below.

4.4.1

Organisational and structural changes

These may reflect the findings of the Management and Engineering Studies and the policy options
selected from the Financial Model. They could range from local adjustments (for example reduced
numbers of higher qualified staff needed to complement an investment in automation) to wholesale
structural changes upon turnover or privatisation.

4.4.2

Revised O&M procedures

Changes in the infrastructure may require supporting changes in the O&M procedures for the system.
When considering infrastructure changes which might improve performance, consideration will need to
be given to the feasibility of changing existing O&M practices. The benefits to be gained by improving
infrastructure may be lost if complementary changes in supporting software are not forthcoming.

4.4.3

Training

Training will be needed to support changes in management and O&M procedures and will need to be
targeted at key personnel within the organisation.

4.4.4

Setting of OPEX budgets

The process of carrying out an AMP and investing funds in infrastructure to maintain or improve
condition and levels of performance will take account of the level of recurrent budget for operation and
maintenance. Levels of CAPEX and OPEX must be complementary, and both are reviewed under the
AMP framework. Where decisions have been made which require an increased OPEX budget, this must
be protected or levels of service will suffer.

4.4.5

New Standards of Performance Targets

The AMP has its focus on Output Performance measures (service to the customer) right the way
through the process from initial Performance Assessment to final presentation of the Investment
Programme and the associated Benefits Report. Thus clearly defined and meaningful targets are set
against which staff can implement the plan. These can be used for monitoring progress, for making
adjustments as the programme unrolls and as a basis for motivating and rewarding staff effort.
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4.5

Applications

4.5.1

Pricing for Cost Recovery

The Asset Management Plan sets out clearly the costs involved in providing the declared level of service
over the long term. Capital Planning within the Financial Model will have refined this in a way which
aims to smooth the demand for capital and which matches it with revenue. The true costs of providing
the service are thus known.
Realistically, the period over which prices will be set will be the five years of the Budget Plan. The aim
will normally be to maintain a steady price over the period or to allow a modest price increase with time
as measures are seen to be put in place to improve service. In the UK water industry the government
regulator (OFWAT) negotiates a price cap, related to inflation, with the water companies based on the
Asset Management Plans of each. The negotiations centre around the improvements to quality and
service (with particular reference to environmental quality), the rate at which these are to be achieved,
the surveyed aspirations of customers and what is considered reasonable as a rate of charge.
However revenue is to be recovered, whether by a full economic Irrigation Service Fee or through
subsidy from central funds, the information exists to quantify its level. Furthermore, full justification of
that level is provided in the AMP in a way that can be opened to scrutiny and performance targets are
declared so that it can be seen how well these are being met.

4.5.2

Needs Based Budget allocations

Needs Based Budgeting has been an innovation in the irrigation sector intended to target available funds
more effectively. Budgets are prepared on a detailed, bottom-up basis and passed up the line for
approval. The problems have been:
They have had short term or immediate time horizons. The balance of priority between planned
preventative actions to avoid stored-up problems versus immediate fire-fighting needs is at best
unclear.
Budgets identifying all needs can be little better than a wish-list. Once realistic funding has
been applied the resulting priorities can be more or less arbitrary.
Little or no information is available by which to balance priorities between competing needs as
assessed in different localities.
The setting of five-year Budget Plans and Budget Priorities based on the AMP is a means for very clear
top-down guidance to be provided to local managers based on sampled and analysed bottom-up
information. Needs Based Budgets can then be prepared in a much more positive way as bids to secure
funds already known to be allocated to certain types of activity. Where local managers assess a pressing
need which is a special case in terms of the general priority guidelines, they will prepare, for approval,
a justification to show how they propose to divert funds without detrimental effect.

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4.5.3

Privatisation and Turnover

The AMP was originally developed for privatisation of the English and Welsh water industry. When the
ownership and management of systems is being transferred it is essential to know:
What are the assets and what liabilities are associated with them?
What is the service which will continue to be provided and how will it be monitored?
How can all stakeholders be assured that adequate investment is sustained?
In a geographic monopoly, how can customers be assured that prices are reasonable?
Is the privatisation viable or will it require continuing subsidy? If so, to what extent?
The AMP is designed to answer all these questions. Meaningful negotiations require this information as
a basis. Financial settlements or enabling works will reflect the agreed plan. Thereafter, monitoring is
facilitated.

4.5.4

Comparative Performance Assessment

In texts discussing the performance of irrigation systems (e.g. Bos, Murray-Rust, Merrey, Johnson and
Snellen, 1993), comparative performance assessment and related staff rewards are mooted as a means to
greater staff motivation. When geographic monopolies are created through privatisation, comparative
performance assessment is important as a surrogate for the normal market mechanisms which govern
price levels and efficiencies through competition.
The AMP declares clear output performance measures, the standards which it is proposed to meet and
how those standards will be met, including the price to customers.

It facilitates comparative

performance assessment in at least three ways:

by comparison between plans when these are prepared individually by different regions or
companies
by comparison between actual performance and the plan of the region or company concerned
by comparison of actual performance between different regions or companies based on the
common performance measures declared in their respective plans.
Privatisation is one method of mobilising comparative performance in the motivation and rewarding of
staff. Companies must compete with each other to retain their most able staff and this will be reflected
in salaries and conditions. The ability of companies to reward staff will be related to their profitability.
In the public sector this kind of approach may be simulated or substituted.

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Part III: Conclusions

Jim Welch/Asset Management - Irrigation/Sep-95

5.

Arrangements for Implementation

The ultimate evaluation of any technique such as asset management planning will depend greatly on its
resource demands and on related implementation practicalities. This chapter addresses these issues.

5.1

General

The conclusions presented here about resources required to produce an AMP can be broadly indicative
only. Quantification of the actual requirements in any specific case of AMP production will depend on
the particular circumstances. Influences will include:
The number of systems under consideration and their irrigated area
The area of the region over which they are spread and the type of terrain
The degree of infrastructure problems which exist
The capabilities and attitudes of managers and staff
Local availability of suitably qualified specialist staff and the quality of support staff
The quality and quantity of data available
The timescale for AMP production
The logistical arrangements for communications, transport, computer facilities etc.
The experience of the trial in Yogyakarta was valuable in assessing the type of staffing to be envisaged.
Being a feasibility study however, the resources available were insufficient to carry out a full AMP.
Thus there is as yet no direct experience of staffing a project to produce an AMP for irrigation.

5.2

Tasks

The elements of the AMP project requiring to be staffed may be listed as follows:

AMP Project Management and Co-ordination

scheduling all other elements
briefings of senior irrigation service managers and staff
design of procedures and output format
terms of reference and co-ordination of specialist inputs
arranging interaction, feedback and reporting (including meetings, workshops etc.)
organising and evaluating pilot studies as appropriate
maintaining logistics support

Preliminaries and Running Requirements

setting up accommodation, office, transport, communication provisions
arranging staff movements
recruiting support staff and equipment
administration and accounting practices
project closure
Jim Welch/Asset Management - Irrigation/Sep-95

46

Statistical Design
overview of study area
stratification
sample selection
aggregation of sample results
assessment of Confidence Grades

Performance Assessment
review of environmental, legal and development context
liaison with water users
determination of Performance Targets
assessment of System Performance

Engineering Studies
investigation of performance shortfalls including hydraulic modelling as required
examination of alternative investment options including CAPEX/OPEX trade-offs
development of asset deterioration algorithms
scheduling of investment activities, benefits and costs

Asset Survey
computer database design
design of survey forms
desk study
field work
data entry

Cost Model
assembly of historical data
data analysis including regression tests etc.
selection of size bands, asset value relationships etc.
scheduling asset values, rehabilitation activity unit costs, operational costs etc.

Management studies
review of existing management structure and operational procedures
assessment of capability to implement the AMP
assessment of management influence on system performance
proposals for adjustments/training etc.

AMP compilation and presentation

compiling and cross-referencing of AMP data
design of standard output format
processing AMP data to produce output reports

Jim Welch/Asset Management - Irrigation/Sep-95

47

Financial Modelling
review of the AMP and revenue implications
consideration of ability of water users to pay
consideration of alternative strategies
capital planning
budget planning

5.3

Staffing

Based on the above task list the following staff requirements are identified. Numbers and commitment
will depend upon the scale of the operation as noted above. Some individuals may be able to fulfil more
than one role.

Core Staff
All the following must be familiar with AMP procedures. At least one must be an AMP specialist.
statistician
irrigation engineer (design and operations experience)
management specialist (familiar with infrastructure management issues)
AMP Project Manager

Support Staff
technical assistants to above (each discipline as required)
administrative/support staff

Visiting Experts (single short inputs)

computer database design specialist
environmental specialist
sociologist (for design and implementation of Water Users Survey)
engineering estimator

Local specialist assistance (periodic inputs)

design engineers/estimators
survey staff (experienced in irrigation engineering/structural assessment)
members of irrigation service senior management

5.4

Logistics

5.4.1

Organisation and Work Programming

It is clear from the above that a diverse group of specialists and supporting staff will be involved in an
array of related activities. The establishment of an appropriate project organisational structure, which
allows flexibility but clearly defines responsibilities, will be important to success. The programming or
scheduling of tasks, some of which can run in parallel whereas others must be done in sequence, should
be done thoroughly, for example using Critical Path Analysis techniques. Progress must be carefully
monitored and co-ordinated across the team as a whole and good communication maintained.
Jim Welch/Asset Management - Irrigation/Sep-95

48

5.4.2

Timescale

This will obviously vary according to the scale of the tasks and the resources (particularly financial)
available. However an AMP must be produced over a reasonably short period if its full advantages are
to be achieved and it is likely to cover a substantial area. A timescale of between nine months and
eighteen months may reasonably be envisaged.

5.4.3

Offices

The AMP project is crucially dependent for its success on close liaison with the irrigation service
managers who will eventually implement it and who are the source of vital information and policy. The
project should have its offices within those of the irrigation service at the lowest level compatible with
maintaining an overview of the study area. Temporary field offices will need to be maintained at sample
system locations whilst work is proceeding on the Asset Survey, Performance Assessment (including
Engineering Studies) and Management Studies.

5.4.4 Computers
Computers and software will be needed for the databases and potentially for some hydraulic and some
financial modelling. Those in field offices must be fully compatible with those at the co-ordinating
office and there should be facilities to ensure ease of data-transfer between them.

5.4.5

Transport and Communications

With a substantial area to cover and diverse specialist activity, the AMP project must have good systems
of internal and external communication and be adequately served with transportation. Delays or abortive
work due to isolation cannot be afforded.

5.4.6

Briefings and Workshops

It is important to the ultimate success of the AMP that good two way interaction is maintained with
irrigation service staff and others who are concerned with the operation of the systems concerned.
Frequent briefings and workshops should be held during the course of AMP preparation to keep
information flowing.

Jim Welch/Asset Management - Irrigation/Sep-95

49

6.

Further Considerations

This chapter identifies aspects which are beyond the scope of the current study but which have been
revealed by it to be highly relevant to the further development of the topic. Amongst these are the
requirements for further research.

6.1

Institutional Context

As discussed in Chapter 1, it was recognised at the outset of the study that Asset Management planning
is used in the UK water industry under social, financial and institutional conditions which are quite
different from those prevailing in many countries. This is not a fundamental problem as the AMP offers
inherent benefits to management effectiveness. However the following observations are pertinent.
To achieve the full benefits of the AMP, managers of the service will need to have clear
responsibility and authority to take and implement decisions in a businesslike manner and they
must be positive and active in doing so. The existing institutional arrangements may be found to
be unsuited to encouragement of the necessary attitudes and attributes.
The adoption of a business planning tool such as the AMP is indicative of a shift of attitude in
the approach to managing infrastructure. It would be surprising if this shift were entirely
compatible with the prevailing institutional structures.
It would be inconsistent to set about Asset Management planning without first giving thorough attention
to the establishment of compatible institutional reforms as a prerequisite. These will not be successful if
they seek only to replicate institutions established elsewhere for they must reflect local cultural and
socio-economic circumstances. They are likely to include the following types of change:
decentralisation of responsibility and authority
increased accountability based on clearer and simpler performance criteria
compartmentalisation of roles consistent with the above. For example, environmental standards
are the concern of one body whilst social and national strategic considerations are looked after by
another (government) regulator; meanwhile, within this framework, the irrigation agency
concentrates on providing the service best suited to its customers as efficiently as possible
water will be increasingly treated as an economic good whose use must be paid for
the approach to providing the service will be increasingly commercial
There are, of course, serious difficulties to be addressed here. One small example in Indonesia is the
relationship between the irrigation agency and the Kuton Royong (a village community volunteer
labour force) which regularly undertakes maintenance work on parts of canal system because they see it
as being in their own interests to do so. An increasingly commercial attitude would interfere with this
relationship. Another is the general attitude to the government, in this case in the form of the irrigation
agency, as an employer offering long term security and stability to its employees. But these problems
exist anyway. Asset Management does not cause them; neither does it avoid them.
Jim Welch/Asset Management - Irrigation/Sep-95

50

6.2

Further Research

This has been a short feasibility study in which the development of procedures through the trial has been
exploratory. A number of remaining challenges are acknowledged. Table 6.1 lists some specific areas
for further work and explains briefly how these emerged from the trial. Of particular importance are the
questions relating to performance indicators and to Engineering Studies. From the work done it is clear
that linking performance benefits to specific investment activities and expenditure through Engineering
Studies will require special attention. It is known that research work is ongoing (e.g. ODA project 753620-903 Cost Effective Rehabilitation and Modernisation of Irrigation Schemes) which may provide
valuable information on this key aspect of Asset Management procedures.
The trial did not include management studies or financial modelling since, whilst these are parts of the
overall procedures, they are not part of the production of the Asset Management Plan itself. They
remain to be investigated although the fundamental requirements are understood and there should be no
undue difficulties. Perhaps the most important aspect to examine is that of the options for institutional
arrangements needed to complement new planning techniques of the sort that the AMP represents.

6.3

Application to Other Utilities

The principles laid down for the use of asset management planning within the UK water industry and
reviewed here for application to irrigation appear to be readily applicable to other sectors of public
infrastructure. The technique is particularly well suited to sectors having a large number of systems
with broadly similar characteristics, where considerable effort would be required to produce a
comprehensive inventory of condition and investment needs. Land transport systems (roads and bridges;
railway networks; canal systems etc.) are all examples of this type of infrastructure. The structured
approach of the AMP, looking at output performance measures for complete systems of assets as well as
recording the state of repair of individual assets, recommends itself in these cases. The practical details
involved would need to be studied for each case but there is every reason to think that the technique
offers significant advantages.

Indeed, it is understood that studies are already underway into the

application of asset management planning to road transport systems.

The similarities between the water supply and sewerage industry of the AMPs origins and other pipebased and cable-based utilities are obviously strong, suggesting that gas, telecommunications and power
services could readily benefit from this type of approach. Indeed, when considering other possible
sectors for application of the AMP, it is apparent that, of them all, irrigation offers possibly the greatest
challenges because of the exceptional degree of operations management influence and the immediacy of
its impact on day-to-day system performance. That these difficulties can be overcome for irrigation will
be encouraging for applications in other sectors.

Jim Welch/Asset Management - Irrigation/Sep-95

51

Table 6.1 Asset Management Trial - Summary of problems faced and inferences drawn for further work
Activity

Subject

Explanation

Further Actions/Research

Stratification Defining the unit system size for Classification methods of Daerah Irigasi (DI) made them less than
stratification/sampling
Establishing strata criteria

System
Output Performance Indicators
Performance
Assessment
Engineering Relating specific investment
Studies
activities to performance
Cost Model

Solutions will be location specific. Preliminary studies may be needed to

satisfactory as independent systems. Overview information (eg. maps) was establish a regional overview in each case. However, some general studies
lacking. The resource savings due to a statistically valid sampling approach could be undertaken to examine the problem, to seek common features
will be related to the number of systems and their size.
between locations (if any) and to establish ground rules for this element.
The selection of criteria in the trial was done on the basis of what
Again there will be much about this which is location specific. However,
information was available and what characteristics seemed most
coordinated research covering a number of locations would be valuable and
representative of differences between systems.
some common criteria would almost certainly be found.
Data suitable for level of service assessments was lacking in availability or Detailed research is needed in this crucial and difficult area to link and
quality. Water Users perceptions of what constitutes a good service was barely extend related work (by others) into the specific needs of the AMP.
tested. No study was made into Environmental quality indicators.
Previous studies examined tend to consider overall project costs and benefits A representative study should be attempted to test the practical difficulties
without breaking each down into linked elements.
associated with preparation in a form appropriate to the AMP. Terms of
Reference (TOR) for such studies need careful consideration and definition.

benefits, how these accrue over

time, and the costs of each.
Net (depreciated) value of assets A straight-line relationship between asset condition and depreciated value
was stated as an assumption for the trial.
Estimating depreciation life for
an asset which comprises
components with very different
rates of deterioration.
Unit Costs related to specific
assets and/or activities

It may be appropriate to use the depreciation life of the most significant

(cost) component and assume regimes of maintenance investment which
keep other components in step. Other approaches might give the Cost
Model greater versatility.
Existing cost information was found not to be broken down in a way
convenient to the required purpose.

OPEX/CAPEX relationships

Trade-offs of this type may be instinctively recognised by designers and

operators but their quantification is likely to be more difficult.
Relationships could not be studied in the trial because of lack of cost
information in a suitable form
Rationalisation of types is desirable - particularly where assets serving
several functions occur as a single structure
Weighting of individual component condition scores was proposed by the
proportional value of that component.
Where asset serviceability is different for different parts of the system (e.g. a
blocked culvert conveying a secondary under a primary canal which is
unaffected) but only one score (and one area served) is recorded.
Forms developed during the trial have shortcomings and lead to excessive
use of paper
A twenty year planning horizon with a five year budgeting period has been
proposed based on what was used in the UK water sector
Those best suited to effective implementation of the AMP

Asset Survey Correlation of asset value with

some measure of size
Definition of asset types
Asset overall Condition score
Asset Serviceability score

Design of data collection forms

Implementing Strategic planning horizons

the AMP
Institutional arrangements

Jim Welch/Asset Management - Irrigation/Sep-95

53

Studies of asset lives and associated repair costs under different maintenance
regimes should aim to establish whether such a simple expedient can be (or
needs to be) improved upon for the practical purposes of the Model.
This aspect is strongly related to that described in the box above.
Algorithms for the costs of repairing (restoring) assets could usefully be
developed by examining typical cases and analysing historical maintenance
expenditure.
Special cost review/estimation exercises are required for each country
concerned. Some research for general application may be possible - with
local multipliers.
Comparisons between schemes, with different levels of operational
sophistication/automation for example, could yield useful data.
Extend Cost Model research to cover this aspect. It is likely that some
general conclusions could be drawn
Case studies required for specific countries/regions with a review to identify
any commonality
Further studies are merited of whether this approach yields consistently
sensible results and of any alternatives.
The concept of serviceability in this context is innovative and bound to be
subject to certain teething troubles. A general review of the approach to
serviceability scoring, incorporating this aspect, is appropriate.
Research into form design - probably based on a tabulated list of assets
associated with each canal.
Appropriate periods related to depreciation, obsolescence, economic and
political considerations etc. may be checked by study.
A comparative institutional analysis is called for.

Table 7.1

Asset Management Planning - Relationship to other Indonesian initiatives and practices*

Needs Based
Budgeting
(NBB)

Irrigation
Service Fee
(ISF)

Turnover/
Privatisation
(PIK)

Efficient
Operation and
Maintenance
(EOM)

Programming
and
Monitoring
System
(PMS)

Integrated
Basin Water
Resources
Management

Project Benefit
Monitoring
and Evaluation
(PBME)

Cost Effective
Rehabilitation
and
Modernisation

Rehabilitation
Projects Design and
Contracts
Documents

Advanced
Operations
Unit
Monitoring
Indicators

Integrated
Urban
Development
Planning

AMP Inputs

Historical Costs
Environmental Impacts
Future Demand Estimates
Stratification and
Normalisation
Performance Indicators and
System Performance Assessment

Asset Survey

Engineering Studies

AMP Outputs
Investment Needs and Timing

Planned Activities
Planned Performance
Improvements
Asset Stock Condition and
Serviceability Profile
Cost Model
Depreciation Categories

*Note: See Section 2.6, pages 11 to 15, for summary details of each initiative.
Jim Welch/Asset Management - Irrigation/Sep-95

54

7.

Conclusions

It can be concluded from this project that Asset Management Procedures for Irrigation Schemes are
feasible and practical. Provisional guidelines, discussed in some detail in Chapters 3 and 4, have been
produced in the light of experience of the field trial in Yogyakarta and these demonstrate the extent to
which development has taken place. Further research and development, identified and briefly discussed
in Chapter 6, is recommended to capitalise on the opportunities represented by the AMP.
The resource requirements and logistics of undertaking these procedures to produce an Asset
Management Plan are set out in broad terms in Chapter 5. The quantification of these will depend upon the
extent of the area for which the AMP is to be produced and upon other circumstances. Nonetheless an
overall programme for AMP production of nine to eighteen months can realistically be envisaged.
Of the individual techniques of Asset Management, it is the use of statistical methods to build a rapid
overall picture of the infrastructure, a snapshot, that is perhaps the most immediately impressive. This
is very attractive in its efficient use of time and resources. It is also seen to be logical and sensible since,
no matter how much effort is put into making a condition inventory comprehensive and detailed, it will
never be wholly accurate as it will always be out of date as soon as it is published.
Apart from the use of statistics, what is particularly new about these procedures is the integration of their
many and various elements into a unified structure.

The elements themselves can generally be

recognised as modifications and adaptations of existing practices which are already more or less familiar
to practitioners as illustrated in Table 7.1. Asset Management procedures are thus seen to provide a
genuinely comprehensive framework for irrigation infrastructure management.

This is the great

strength of the methodology. For it is in its methodology, at least as much as its techniques, where the
greatest value of Asset Management lies. It demands that a broad view be taken and provides a context
to sharpen the focus on any individual aspect. The task is not so much to ask whether the techniques can
be applied as to establish how existing practices can be improved or extended to integrate them with the
philosophy of the AMP. This indeed was how the original AMP was born: this is how it can be reborn
within irrigation once the need for it is truly recognised.
Whilst it may be accepted that the introduction of Asset Management Planning will facilitate better
management, what it clearly cannot do is guarantee better management. More than anything else, it is
the nature of the managers themselves, their approach to taking and implementing active decisions and
the constraints under which they operate which will govern their effectiveness. Just as it was in the
English and Welsh water industry at the time of privatisation, so it is the case in Indonesia that, before
the benefits of the AMP can be fully realised, some substantial adjustments in management approach will be
required. The institutional challenges, discussed briefly in Chapter 6, are not to be underestimated.

Jim Welch/Asset Management - Irrigation/Sep-95

55

References
Rabindranath, S. (1993).
newsletter, 4/93

Facing the Challenge - Germany Funds IIMI Action Research.

D+C

Chambers Twentieth Century Dictionary, A. M. Macdonald (Editor) (1979)

Barnett, V. (1974). Elements of Sampling Theory. Hodder and Stoughton
Murray-Rust, H. and [Link] (1991).
Performance Assessment Diagnosis. Joint report,
International Irrigation Management Institute (IIMI), Sri Lanka; International Institute for Land
Reclamation and Improvement (ILRI), Wageningen; Int. Inst. Hydr. Env. Eng. (IHE), Netherlands.
Small, L.E. and M. Svendsen (1992). A framework for assessing irrigation performance. Working
Paper on irrigation Performance No.1. Intl. Food Policy Research Institute (IFPRI), Washington DC.,
August.
MacDonald, Sir M. and Partners (1981). East Java Irrigation Study, Vol. 2.
Bos M. G., D. H Murray-Rust, D. J Merrey, H. G Johnson. & W. B. Snellen (1993) Methodologies for
Assessing Performance of Irrigation and Drainage Management. International Congress of ICID. The
Netherlands.
Davies A. (1993) An Asset Management Program for Irrigation Agencies in Indonesia.
dissertation, University of Southampton.

MSc

Mott Macdonald (1993) Irrigation O & M and Turnover Component, Irrigation Subsector Project 11
(ISSP-11), Programming and Monitoring System (PMS) Final Report.

Bibliography
1.

Asset Management

Rumsey P. B. and T. K. Harris (1990 ) Asset Management Planning and the Estimation of Investment
Needs. Kluwer Academic Publishers. The Netherlands.
OHagan A., E. B. Glennie and Beardsall (1992) Subjective Modelling and Bayes Linear Estimation in
the UK Water Industry. Royal Statistical Society. UK.
WRc Report PT 1021 (1994) Sampling Methods to Derive Aggregate Water Mains Condition Reports.
WRc (1991) Asset Management Planning: Interim Guidelines for Performance and Condition
Assessment of Sewerage and Sewage Treatment Systems.
WRc/WAA/WCA/DoE/WO (1988) A Framework for an Underground Asset Management Plan, WRc
Engineering, Swindon
WRc (1990) Guidelines for Performance and Condition Assessment of Water Supply Systems, WRc
Engineering, Swindon
Howells K. J., M. D. Haigh, P. Reaston and J. Morris (1994) Coastal and River Infrastructure
Management Systems for Flood Defences. User Manual. Mott MacDonald Report to National Rivers
Authority, UK.

2.

Irrigation

Bird J. D. (1991) Introducing Monitoring and Evaluation into Main System Management - a Low
Investment Approach. Kluwer Academic Publishers. The Netherlands.
Bird J. D. and Gillott (1992) A Quantitative Review of Adequacy and Equity Indicators for Irrigation
System Distribution. Overseas Development Unit. HR Wallingford.
Bos M. G. (1985) Summary of ICID Definitions on Irrigation Efficiency. ICID Bulletin.
Jim Welch/Asset Management - Irrigation/Sep-95
56

ADB/IIMI. (1986). Irrigation service fees. Proceedings of the Regional Seminar on Irrigation Service
Fees, Asian Development Bank/International Irrigation Management Institute, Manila, Philippines, July.
Ijir, T. (1994). The performance of medium-scale, jointly managed irrigation schemes in sub-Saharan
Africa: a case study of the Wurno Irrigation scheme, Nigeria. Unpublished PhD thesis, University of
Southampton, United Kingdom.
Rumsey, P. B. and T. K. Harris (1990). Asset management planning and the estimation of investment
needs. In Urban Water Infrastructure, [Link] and [Link] (Eds), Klumer Academic Publishers,
Netherlands, pp 119-131.
Small, L.E. (1987) Irrigation service fees in Asia. ODI/IIMI Paper 87/1c, Overseas Development
Institute, London, April.
HR Wallingford (1994) Interim Report OD/TN 68:
Rehabilitation and Modernisation of Irrigation Schemes.

Methodology to Facilitate Cost-Effective

International Workshop on Performance Measurement in Farm-Managed Irrigation Systems (1991)

Mendoza, Argentina.
Abernethy, C.L (1991) Introductory notes for a workshop on irrigation privatisation held at Khartoum,
International Irrigation Management Institute.
Yoder, R. (1994) Locally Managed Irrigation Systems; Essential Tasks and Implications for Assistance,
Management Transfer and Turnover Programs. International Irrigation Management Institute.
Vermillion, D. (Date unknown) Issues concerning the small-scale irrigation turnover program in
Indonesia: 1987 to October 1990. International Irrigation Management Institute.
Farley, P.J. (1994) Privatization of Irrigation
Management Institute

Schemes in New Zealand. International Irrigation

Wijayaratna, C. M. and D.L. Vermillion (1994) Irrigation Management Turnover in the Philippines:
Strategy of the National Irrigation Administration. International Irrigation Management Institute.
Johnson, S.H 111 and P. Reiss (1993) Can farmers afford to use the wells after turnover? A study of
pump irrigation turnover in Indonesia. International Irrigation Management Institute.
Small L.E. and I. Carruthers (1991) Farmer-Financed Irrigation: The Economics of Reform. Cambridge
University Press

3.

General

Winpenny J. (1994) Managing Water as an Economic Resource. Routledge. London.

ODA (1993) A Fresh Approach to Water Resources Development .
Anglian Water Customer Consultation Booklet. (1993) An Outlook on Water.
NCE Special Supplement (1994) Public Projects Private Money. Thomas Telford Ltd., London.

Jim Welch/Asset Management - Irrigation/Sep-95

57

Appendix A1

Examples of Data Collection Proformae

Asset Management Procedures for Irrigation Schemes

Institute of Irrigation Studies

Input Data Table A.

STRATIFICATION AND NORMALISATION DATA (for ALL systems in the AMP)
PARTIAL LIST No. ...... OF ...... TECHNOLOGY LEVEL:

Tech

semi-tech

non-tech

TOPOGRAPHY TYPE:

STRATIFICATION DATA
SYSTEM (DI)
NAME

WATER
AVAILABILITY
(Good/ Variable/
Poor)

amptable\R6078 AMP Guidelines Appendix [Link]

SURJAN
(MOUNDING)
PRESENT
(Yes/No)

TOPOGRAPHY
FLAT OR
UNDULATING
(F or U)

YEARS SINCE
LAST MAJOR
INVESTMENT
(Years)

MANAGEMENT ISF/ WUA FEE LOCAL FAMILY

BY
RECOVERY
INCOME
(PRIS/ Farmer
(No Fee/ >80%
LEVELS(High/
Group/ Joint)
collected/< 80%) Moderate/ Poor)

Upland

midslope

lowlands

NORMALISATION DATA
COMMAND
AREA
(ha)

IRRIGATED
AREA
(ha)

NUMBER OF
TERTIARIES
(No.)

TOTAL LENGTH PEAK SYSTEM

OF PRIMARY & INFLOW FROM
SECONDARY
RIVER
CANALS (km)
(lt/sec)

No. OF
STRUCTURES

jww/3/13/02

Asset Management Procedures for Irrigation Schemes

Institute of Irrigation Studies

Input Data Table B.

SYSTEM PERFORMANCE ASSESSMENT: EQUITY - based on Cropped Area data
SYSTEM (DI) :
TERTIARY
Name (in order
from top of system)

YEAR: 199...
DESIGNED

REQUESTED

SEASON:
PLANNED

SHEET ...... OF ......

ACTUAL

PERFORMANCE RATIOS (on PRA)

Actual
Ref. R
S
P
B PRA Inp/ R
S
P
B PRA R
S
P
B PRA R
S
P
B PRA Planned Planned
Actual
no (ha) (ha) (ha) (ha) (ha) Est (ha) (ha) (ha) (ha) (ha) (ha) (ha) (ha) (ha) (ha) (ha) (ha) (ha) (ha) (ha) Designed requeste Designed requeste
d
d

Actual
Planned

SYSTEM TOTALS
DESIGNED= Original system design (as modified on rehabilitation where appropriate);

REQUESTED= As farmers formal submission to PRIS;

PLANNED= as PRIS approval;

ACTUAL= as planted by farmers;
PRA= 4xR+2xS+1xP+0xB; R=Rice; S=Sugar cane; P=Polawija; B=Bero
(fallow)
Inp= Input from authentic design data;
Est= Estimated by Rule of Thumb from mid-season Inflow at river offtake weir/PRA duty of 2.5 l/[Link];

amptable\R6078 AMP Guidelines Appendix [Link]

Mean
Standard Deviation
Coefficient of Variance
jww/3/13/02

Asset Management Procedures for Irrigation Schemes

Institute of Irrigation Studies

Input Data Table C.

SYSTEM PERFORMANCE ASSESSMENT: ADEQUACY - based on Cropped Area data
SYSTEM (DI) NAME:
POLAWIJA RELATIVE AREA
CROPPED

YEAR (-3) 199...

Inp/
Est

Season 1

Season 2

Season 3

YEAR (-2) 199...

C
G

Season 1

Season 2

YEAR (-1) 199...

Season 3

C
G

Season 1

Season 2

Season 3

C
G

DESIGNED (or ESTIMATED)

REQUESTED
PLANNED
STANDARD
ACTUAL
ACTUAL/STANDARD
Note: Season 1 (Wet Season) results disregarded for assessment of Irrigation Water Supply System due to contribution of high rainfall

DISTRIBUTION OF ACTUAL/STANDARD FROM SEASONS 2 AND 3 OVER YEARS (-3) TO (-1):

MEASURE

VALUE

PERFORMANCE BAND DEFINITION

MEAN
STANDARD DEVIATION
COEFFICIENT OF VARIATION
PERFORMANCE BAND (1-4)

amptable\R6078 AMP Guidelines Appendix [Link]

MEAN IN RANGE
STD. DEVIATION IN RANGE

1
3

2
4
jww/3/13/02

Asset Management Procedures for Irrigation Schemes

ASSET SURVEY
Form C for Canal Sections

System Details

Data Collected

Cabang Dinas

_____________________

Ranting Dinas

_____________________

Name of DI

_____________________

By (Name)

________________

On (Date)

_________

DI Reference No. _____________________

Asset Details

Asset Ref. No. _________________

Area Served (ha) __________

Design Flow (l/s) ______

Reported Age (years): 0-5

Type of Canal:
Topography type:

Canal Name _____________________________

5-10

10-20

20+

Primary

Secondary

Supplementary

Canal in cut

Canal in fill

Canal on contour

Left bank

Right bank

Bed

Lined surfaces:

Lining type: Insitu concrete

Concrete Tile

Reach distinguished by:

Section change
Between structures

Masonry

Earth/unlined

Lining change
Topography change
Other (describe): __________________________

Upstream Location Marker (km) _______

Length of reach (km) ________

Component Condition
General Condition Grade

1
Left Embankment
Right Embankment
Channel Lining
Channel Cross-section

Asset Serviceability
Overall Serviceability Grade

amptable\R6078 AMP Guidelines Appendix [Link]

Notes:

Worst Case Local

Asset Management Procedures for Irrigation Schemes

Institute of Irrigation Studies

ASSET CONDITION AND SERVICEABILITY GRADES - CANALS

COMPONENTS
Embankments
Channel Lining
(Note lining type)
Channel cross-section

GRADE 1
GOOD:
Structurally sound with no
deformation of dimensions or
profile. Well maintained with little
or no signs of deterioration.
Bed clear of weeds and having
minor or no silt deposition.

CONDITION GRADES (implying COST)

GRADE 2
GRADE 3
POOR:
FAIR:
Significant deterioration of structure
Generally sound but with some
and/or dimensional deformation,
deterioration of structure and/or
dimensional deformation. Needing requiring urgent corrective work.
maintenance attention with a review
of condition in the medium term.
- OR - OR Structural and dimensional condition Structural and dimensional condition
worse than (1) with weeds and/or silt
as (1) but with weeds and/or silt
significantly affecting functionality. significantly affecting functionality.

GRADE 4
BAD:
Serious structural problems causing
actual or imminent collapse and
requiring partial or complete
reconstruction.

General, local worst-case and overall condition scores

Determine scores for general (typical) condition and also for worst case local condition. Where worse case local condition is two or more grades below the general score, then overall
condition shall be given as one grade less than the assessed general score. Otherwise the overall condition shall be equal to the assessed general score.

FUNCTIONS
GRADE 1
FULLY FUNCTIONAL:
Hydraulic:
To pass the design flow Apparently properly designed and
safely.
constructed with capacity to pass the
design flow safely and having no
Operations:
deposition or service problems.
Not applicable.

amptable\R6078 AMP Guidelines Appendix [Link]

SERVICEABILITY GRADES (implying PRIORITY)

GRADE 2
GRADE 3
SERIOUSLY REDUCED
MINOR FUNCTIONAL
FUNCTIONALITY:
SHORTCOMINGS:
Normally able to pass the required Ability of Asset to pass required
flows but performance likely to be flows seriously impaired through
deficiencies in design, construction
unsatisfactory under extreme
or maintenance, or due to the
conditions of demand or climate.
Deficiencies may be due to design or presence of weeds and/or silt.
(Likely to have a significant
construction inadequacies,
detrimental effect on System
insufficient maintenance or due to
Performance.)
the presence of weeds and/or silt.

GRADE 4
CEASED TO FUNCTION:
Substantial (or complete) loss of
capacity to pass the design flows
safely for whatever reason.

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Asset Management Procedures for Irrigation Schemes

ASSET SURVEY
Form HR for Head Regulator

System Details

Data Collected

Cabang Dinas

_____________________

Ranting Dinas

_____________________

Name of DI

_____________________

By (Name)

________________

On (Date)

_________

DI Reference No. _____________________

Asset Details
Area Served (ha) __________
Location (km)

Asset Ref. No. _________________

__________Canal Name _____________________________

Offtake from: Headworks

Primary canal

Reported Age (years):

0-5

Secondary
5-10

10-20

Channel width at control section (m) ______

Control section type:

Gate(s)

Fixed Crest

Stop Logs

General Condition Grade

Structure
Control Section
Upstream Wingwalls
Downstream Wingwalls
Gauges
Bench Mark
Superstructure
Notice Board

Asset Serviceability
Overall Serviceability Grade

amptable\R6078 AMP Guidelines Appendix [Link]

Notes:

20+

Design Flow (l/s) _______

Component Condition
1

Supplementary

Flume

Asset Management Procedures for Irrigation Schemes

Institute of Irrigation Studies

ASSET CONDITION AND SERVICEABILITY GRADES - HEAD REGULATOR

COMPONENTS
Structure
Upstream Wingwalls
Downstream Wingwalls
Superstructure
Notice Board
Control Section
(note type)

GRADE 1
GOOD:
Structurally sound with no
deformation of dimensions or
profile. Well maintained with little
or no signs of deterioration.
Upstream and downstream bed
having only minor, or no, silt
deposition and clear of debris.

Gauge(s)

Gauges securely fixed and readable

Bench mark

Bench mark secure, apparently

undamaged and readable

FUNCTIONS
GRADE 1
FULLY FUNCTIONAL:
Hydraulic:
To pass the design flow
Apparently properly designed and
safely.
Operations:
To control flow across
the required range
AND
To allow measurement
of flow

constructed with capacity to pass the design

flow safely AND fully capable of being
operated to control flow across the desired
range AND allowing measurement of flow by
means of its own components or an adjacent
measuring structure. Performance unaffected
by silt or debris.

amptable\R6078 AMP Guidelines Appendix [Link]

CONDITION GRADES (implying COST)

GRADE 2
GRADE 3
POOR:
FAIR:
Significant deterioration of structure
Generally sound but with some
and/or dimensional deformation,
deterioration of structure and/or
dimensional deformation. Needing requiring urgent corrective work.
maintenance attention with a review
of condition in the medium term.
- OR - OR Structural and dimensional condition Structural and dimensional condition
worse than (1) with silt and/or debris
as (1) but with silt and/or debris
significantly affecting functionality. significantly affecting functionality.
Gauges generally satisfactory but
No proper readable gauge but level
may be difficult to read under some mark present from which to measure
flow conditions
Bench mark condition generally as Bench mark present but of uncertain
(1) but difficult to read
reliability

SERVICEABILITY GRADES (implying PRIORITY)

GRADE 2
GRADE 3
MINOR FUNCTIONAL
SERIOUSLY REDUCED
SHORTCOMINGS:
FUNCTIONALITY:
Normally able to pass the required flows and
capable of being operated to control flow in a
measured manner but performance likely to
be unsatisfactory under extreme conditions of
demand or climate. Deficiencies may be due
to design or construction inadequacies,
insufficient maintenance, measuring devices
which are difficult to read or due to the
presence of silt and/or debris.

One or more of the three defined functions

seriously impaired through deficiencies in
design, construction or maintenance, or due
to the presence of weeds and/or silt and/or
debris. (Likely to have a significant
detrimental effect on System Performance.)

GRADE 4
BAD:
Serious structural problems causing
actual or imminent collapse and
requiring partial or complete
reconstruction.

No gauge or level mark available

OR unreadable
OR unreliable
Bench mark missing, damaged or
unreadable

GRADE 4
CEASED TO FUNCTION:
Complete loss of one or more of the three
functions or serious reduction of all three for
whatever reason.

jww/3/13/02

Asset Management Procedures for Irrigation Schemes

ASSET SURVEY
Form W for Weirs

System Details

Data Collected

Cabang Dinas

_____________________

Ranting Dinas

_____________________

Name of DI

_____________________

By (Name)

________________

On (Date)

_________

DI Reference No. _____________________

Asset Details
Area Served (ha) __________

Asset Ref. No. _________________

River Name _____________________________

Type of Weir:

Fixed Crest

Design Flow (l/s) ______

Step Weir

Crest Height (m) _______

Reported Age (years):

Crest Width (m) _______

0-5

5-10

(latitude o ) _______

Location:

Barrage

10-20

20+

(longitude o ) _______

Component Condition
General Condition Grade

Weir Crest/Main Body

Upstream Abutments/Walls
Downstr. Abutments/Walls
Downstream Stilling basin
Offtake structure(s)
Offtake gate(s) + mechanism
Sluice gate(s) + mechanism
Superstructure elements

Asset Serviceability

Notes:

Overall Serviceability Grade

4
Underwater elements assessed by:
Exposing
Reports/estimation

amptable\R6078 AMP Guidelines Appendix [Link]

Appendix A2

Examples of Standard Output Forms

Asset Management Procedures for Irrigation Schemes

Institute of Irrigation Studies

Output Table 1.
ASSET STOCK AND CONDITION PROFILE - Irrigation Water Service
ASSET TYPE & DESCRIPTION

EXTENT OF ASSET STOCK BY SIZE BAND

or Units Band Band Band Band Band

C
1
2
3
4
5

Total

VALUE
(MEA)

ASSET CONDITION
BY % GROSS MEA

ASSET SERVICEABILITY
BY % GROSS MEA

ASSET IMPORTANCE
BY % GROSS MEA

C GROSS NET Grad Grade Grade Grade C Grad Grade Grade Grade C Band Band Band Band C
G Rp x109 Rp x109
e
2
3
4 G
e
2
3
4 G
1
2
3
4 G
1
1

Group 1 - WATER CAPTURE

River Offtake Weirs.
Dams and Impounding Reservoirs.
Groundwater Abstraction Wells.
Group 2 - CONVEYANCE
Canals.
Hydraulic Structures.
Supplementary Structures.
Group 3 - OPERATIONS (CONROL) FACILITIES
Head Regulator.
Cross Regulator.
Measuring Structure.
Group 4 - MANAGEMENT AND GENERAL
Access Roads.
Offices and Laboratories.
Depots and Workshops.
Field Officers Quarters.
Vehicles and Plant.
Information Technology Systems.

Note: Other forms may be developed to cover Drainage and any other identified Function of the Irrigation Service

amptable\R6078 AMP Guidelines Appendix [Link]

jww/3/12/02

Asset Management Procedures for Irrigation Schemes

Institute of Irrigation Studies

Output Table 1a.

HUMAN RESOURCE QUALIFICATION & TRAINING PROFILE
STAFF FUNCTIONAL
DESCRIPTION

ACCUMULATED
ANNUAL STAFF COSTS

NUMBER OF STAFF BY AGE BAND

or Units Band Band Band Band Band

C
1
2
3
4
5

Total

C
G

SALARIES
Rp x109

TRAINING
Rp x109

HIGHEST QUALIFICATION
BAND BY % SALARY BILL

MOST RECENT TRAINING

BAND BY % SALARY BILL

Band Band Band Band Band C Band Band Band Band C

1
2
3
4
5
G
1
2
3
4
G

Group 1 - STRATEGIC MANAGEMENT

9
Personal budget authority > Rp x10 per annum
8
9
Personal budget authority > Rp x10 pa & < 10
Group 2 - OPERATIONAL STAFF
Field Operations staff
Field Maintenance staff
Field Operations Management (not incl. in G1)
Group 3 - TECHNICAL SUPPORT STAFF
Section Office O&M staff
Regional Office O&M staff
Regional Office Design staff
Workshop and Plant operators
Information Technology support staff
Group 4 - ADMINISTRATION & OTHER STAFF
Personnel/ Training staff
Transport staff
Administration & Secretarial staff
- Office
ditto
- Field
Accounting staff

amptable\R6078 AMP Guidelines Appendix [Link]

jww/3/12/02

Asset Management Procedures for Irrigation Schemes

Institute of Irrigation Studies

Output Table 2.
UNIT COSTS: by Modern Equivalent Asset (MEA) Value and by Rehabilitation Activities (Rp x 109)
UNIT COST ITEM
River Offtake Weir

NEW CONSTRUCTION MEA VALUE

REHABILITATION COSTS BY ACTIVITY

I Unit

Upland % Lowland % Urban %

Rural site
Rural site
Location

Repair wetted
upstream
elements

Repair wetted
downstream
elements

I Unit

Remote % Easy urban %

Location
access

Re-form
control sectn

Replace and
recalibrate
gauges

% Re-line wetted %

I Unit

Remote % Easy urban %

Location
access

Re-form
control sectn

Replace and
recalibrate
gauges

% Re-line wetted %

Lining
upgrade

% Embankment %

Abutment
repairs above
water level

Renew
%
Sluice/ offtake
gate(s)

Rebuild
Weir Wall

Fixed crest.
Step weir.
Barrage.

Head/Cross Regulator

x-section adj

Renew
gates

Fixed weir.
Gated regulator.
Stop log.
Orifice.

Measuring Structure

x-section adj

Crump weir.
Partial flume.
Chippoletti.
Thompson.
Romajn.

Canal

I Unit

In rock

% Firm ground %

In clay

% Weak ground % Reshaping %

upgrade

Sediment
removal

Weed
clearance

Cast insitu concrete lining.

Concrete tile/slab lining.
Masonry lining.
Unlined or earth-lined.

Notes: Extend for other Asset Types.

amptable\R6078 AMP Guidelines Appendix [Link]

Confidence Grades ???

jww/3/12/02

Asset Management Procedures for Irrigation Schemes

Institute of Irrigation Studies

Output Table 3a.

INVESTMENT ANALYSIS BY ASSET TYPE & IMPORTANCE- Irrigation Water Service
DESCRIPTION

I
or
C

INVESTMENT - YEARS 1 to 5
Units

Size Band Size Band Size Band Size Band Size Band
Total for
Var
1
2
3
4
5
Years 1 to 5 %

5-YEARLY TOTALS
YEARS
6 TO 10

Var
%

YEARS
11 to 15

Var
%

YEARS
16 to 20

Var
%

INVESTMENTS BY ASSET TYPE IN EACH PERIOD

Group 1 - WATER CAPTURE
River Offtake Weirs.
Dams and Impounding Reservoirs.
Groundwater Abstraction Wells.

Rp x109
Rp x109
Rp x109

Group 2 - CONVEYANCE
Canals.
Hydraulic Structures.
Supplementary Structures.
.
Group 3 - OPERATIONS (CONROL) FACILITIES
Head Regulators.
Cross Regulators.
Measuring Structures.

Rp x109
Rp x109
Rp x109

Rp x109
Rp x109
Rp x109

Group 4 - MANAGEMENT AND GENERAL

Access Roads.
Offices and Laboratories.
Depots and Workshops.
Field Officers Quarters.
Vehicles and Plant.
Information Technology Systems.

Rp x109
Rp x109
Rp x109
Rp x109
Rp x109
Rp x109

INVESTMENT BY ASSET IMPORTANCE BAND

Importance Band 1.
Importance Band 2.
Importance Band 3.
Importance Band 4.
Importance Band 5.

amptable\R6078 AMP Guidelines Appendix [Link]

Rp x109
Rp x109
Rp x109
Rp x109
Rp x109

jww/3/12/02

Asset Management Procedures for Irrigation Schemes

Institute of Irrigation Studies

Output Table 3b.

INVESTMENT ANALYSIS BY PURPOSE - Irrigation Water Service
CAPEX PURPOSE
CATEGORY

INVESTMENT - YEARS 1 to 5

or Units
C

Maintain Assets.
Preserve System Performance.
Improve System Performance.
New Development/Growth.

Rpx109

INVESTMENT TOTALS

Rpx109

YEAR 1 Var YEAR 2 Var YEAR 3 Var YEAR 4 Var YEAR 5

%
%
%
%

5-YEARLY TOTALS
Var
%

YEARS Var YEARS Var YEARS Var YEARS Var

1 TO 5 % 6 to 10 % 11 to 15 % 16 to 20 %

Rpx109
Rpx109
Rpx109

Output Table 3c.

OPERATIONAL EXPENDITURE ADJUSTMENTS DUE TO INVESTMENT - Irrigation Water Service
OPEX PURPOSE

INVESTMENT - YEARS 1 to 5

or Units
C

Growth Related.
OPEX increases due to other CAPEX.
OPEX savings due to CAPEX.
Routine Maintenance Improvements.

Rpx109

OPEX TOTALS

Rpx109

amptable\R6078 AMP Guidelines Appendix [Link]

YEAR 1 Var YEAR 2 Var YEAR 3 Var YEAR 4 Var YEAR 5 Var YEARS
%
%
%
%
%
1 TO 5

5-YEARLY TOTALS
Var
%

YEARS
6 to 10

Var YEARS Var YEARS Var

% 11 to 15 % 16 to 20 %

Rpx109
Rpx109
Rpx109

jww/3/12/02

Asset Management Procedures for Irrigation Schemes

Institute of Irrigation Studies

Output Table 4.
ACTIVITIES REPORT - Irrigation Water Service
DESCRIPTION

I
or Units
C

ANNUAL PROFILE - YEARS 1 to 5

YEAR 1

C
G

YEAR 2

C
G

YEAR 3

C
G

YEAR 4

5-YEARLY TOTALS
C
G

YEAR 5

C
G

YEARS
6 to10

C
G

YEARS
11 to 15

C
G

YEARS
16 to 20

C
G

ASSET STOCK at 1st OCTOBER (each year)

Total no. of River Offtake Weirs.
Totall length of Primary & Secondary Canals.
Total length of Unlined Primary & Secondary Canals.
Total length of Canals requiring Rehabilitation.
Total no. of Tertiary offtakes served.
PLANNED ACTIVITIES DURING EACH PERIOD
1.1 RIVER OFFTAKE WEIRS
Repair wetted upstream elements.
Repair wetted downstream elements.
Repairs to Abutments above water level.
Renew sluice / offtake gate(s).
Rebuild weir wall.
2.1 CANALS
Reshape Canal.
Upgrade Canal Lining.
Upgrade Embankments.
Remove Sediment.
Clear Weeds.
2.2 HYDRAULIC & SUPPLEMENTARY STRUCTURES
Reconstruct.
Hydraulic improvements (eg. Cleaning).
Refurbish.
3.1 HEAD/CROSS REGULATORS & MEASURING
STRUCTURES
Reconstruct.
Refurbish.
4.1 ACCESS ROADS
Reconstruct.
Resurface.
Reinstate verges and drainage.

amptable\R6078 AMP Guidelines Appendix [Link]

jww/3/12/02

Asset Management Procedures for Irrigation Schemes

Institute of Irrigation Studies

Output Tables 5a, 5b and 5c.

5a: BENEFITS REPORT: WATER DELIVERED/ ADEQUACY - based on Polawijo Relative Area Cropped
Polawijo Relative
Area Cropped

PAST YEARS
YEAR (-3)
S1
S2
S3

C
G

YEAR (-2)
S1
S2
S3

TARGET YEARS
C
G

YEAR (-1)
S1
S2
S3

C
G

YEAR +1 to +5
S1
S2
S3

C
G

YEAR +6 to +10
S1
S2
S3

YEAR +11 to +20 C

G S1
S2
S3 G

Total Standard (ha)

Total Actual (ha)
Difference (ha)
- due to assets
- for other reasons
- Total

5b: BENEFITS REPORT: WATER DELIVERED/ EQUITY - based on Coef. of Var. of crop PRA across each system
Coef. of Var. of

PAST YEARS

YEAR (-3)
PRA cropped across
S1
S2
S3
all systems
Standard (less than)
Aggregated Actual
Total Difference
- % due to assets
- % for other reasons

C
G

YEAR (-2)
S1
S2
S3

TARGET YEARS
C
G

YEAR (-1)
S1
S2
S3

C
G

YEAR +1 to +5
S1
S2
S3

C
G

YEAR +6 to +10
S1
S2
S3

YEAR +11 to +20 C

G S1
S2
S3 G

5c: BENEFITS REPORT: CONDITION PROFILE OF ASSETS - Indicative of maintenance investment activity
% by Gross MEA Value
of Assets in each Grade

PAST YEARS
5 YEARS AGO

C
G

CURRENT YEAR

TARGET YEARS
C
G

YEARS +1 to +5

C
G

YEARS +6 to +10

C
C
YEARS +11 to +20
G
G

Condition Grade 1
Condition Grade 2
Condition Grade 3
Condition Grade 4

Output Table 6.
amptable\R6078 AMP Guidelines Appendix [Link]

jww/3/12/02

Asset Management Procedures for Irrigation Schemes

Institute of Irrigation Studies

DEPRECIATION CATEGORIES: ASSUMED ASSET LIVES BY ASSET TYPE

Asset Group

Service(s)

Specialised
Irrigation
Operational Assets Water
Supply

Other Assets with

Non-specialised
Operational
Properties

ALL

amptable\R6078 AMP Guidelines Appendix [Link]

Characteristic

Asset Type Description

I Assumed
or Asset Life
C
(years)

Structures

River Offtake Weirs

Dams and Impounding Reservoirs
Groundwater Abstraction Wells
Canals
Other Hydraulic Structures
Head/ Cross Regulators
Measuring Structures
Plant & Machinery Pumps
Gates
Measuring Gauges
Instrumentation
Structures
Access Roads
Offices and Laboratories
Depots and Workshops
Field Officers Quarters
Plant & Machinery Bicycles
Motor Bicycles
Cars and Light Vehicles
Trucks
Mobile Plant
Communications Systems
Computer Systems

jww/3/12/02

Asset Management Procedures for Irrigation Schemes

amptable\R6078 AMP Guidelines Appendix [Link]

Institute of Irrigation Studies

jww/3/12/02

Appendix A3

Data Transformation Requirements

and
Database Architecture

ASSET MANAGEMENT PLAN - DATA TRANSFORMATION

Summary of inputs required at the sample system level which will be used for statistical aggregation in order to develop the output forms for an irrigation Asset Management
Plan.

OUTPUT FORM

DATA INPUTS

ITEM

INPUT SOURCES

REF.

ITEM

ASSET STOCK
Asset extent
Gross value by asset type
Nett value by asset type
Condition profile by asset type by value
Serviceability profile by asset type by value
Importance profile by asset type by value

1+2+3+A+B
Asset extent +C
From condition profile (see below)
Gross value +5+D+E+F
Gross value +6+G+H+I
Gross value +4+J

1
2
3
4
5
6

Asset + Reference
Asset Type
Size ( or size band)
Areas 1&2 (for importance)
Condition of components
Service grade of functions

UNIT COSTS
Unit cost tables

C+K

INVESTMENT ESTIMATES
Investment - Total
Investment - by Purpose Classification
Investment - by Asset Type
Investment - by Importance
Investment - Profile

7 (drawing on C+K+9)
8+L (with total for 8 =7)
7 split by type defined in A
7 split by type defined in J
7+ rules including use of input O

8
9
10

BENEFITS REPORT
Benefits list
ACTIVITY REPORT
Activities list

OTHER INPUTS
REF.

ITEM

SOURCE

A
B
C
D
E
F

Asset Types
Size bands
Cost models (for value)
Components for each asset type
% asset value in each component
Condition grades

Definition
Definition
Studies
Definition
Studies
Definition

Total investment

Functions of each asset type.

Definition

Investment by purpose
Activities by Category
Benefits

H
I
J
K
L

Serviceability grades
Function aggregation rules
Importance rules
Cost Models (for rehabilitation)
Purpose classifications

Definition
Definition
Definition
Studies
Definition

10+N

Activity categories

Definition

9+M

Benefit classifications

Definition

DEPRECIATION CATEGORIES
Assumed asset life by asset type
A+O
O
Asset lives
Notes:
1. Wherever a definition is stated this will be trialled in the field and in consultation with local staff
2. Confidence grades will be attached to all the data and to any other inputs where confidence grades are appropriate e.g. cost models

ampwork/[Link]

jww/3/12/02

Definition

ASSET MANAGEMENT PLAN - RELATIONAL DATABASE

DESIGN
ASSET
INVENTORY
Asset Reference No.
System Reference No.
Asset Type No.
Location (by chainage)
Area Served (1)
Other Downstream Area (2)
Asset Importance Band No.
Asset Size
Asset Size Band No.
Asset Gross MEA Value

ASSET
IMPORTANCE
BAND
Importance Band No.
Importance Band Range

COMPONENT
CONDITION
Component Reference No.
Asset Reference No.
Component Type No.
Component Condition Grade
Last Updated (date)
Updated by (name)

ampwork/[Link]

SYSTEM
INVENTORY
System Reference No.
System (DI) Name
Cabang Dinas
Ranting Dinas
Command Area
Topography
Technology Level
No. of Tertiaries served
Design Irrig PRA-season 1
Design Irrig PRA-season 2
Design Irrig PRA-season 3

ASSET
CHARACTERISTICS
Asset Type No.
Asset Group Name
Asset Description
Normalised Asset Value
Size Band 2 Range
Size Band 3 Range
Size Band 4 Range
Size Units (description)
Number of Components

ASSET CONDITION
AND SERVICEABILITY
Asset Reference No.
Hydraulic Functionality
Operations Functionality
Asset Serviceability
Serv. Last Updated (date)
Serv. Updated by (name)
Asset overall Condition
Asset Remaining Life
Asset Net MEA Value
Condn. Last Updated (date)

SYSTEM
PERFORMANCE
ASSESSMENT
System Reference No.
Planned Irrig PRA-season 1
Planned Irrig PRA-season 2
Planned Irrig PRA-season 3
Actual Irrig PRA-season 1
Actual Irrig PRA-season 2
Actual Irrig PRA-season 3
Last Updated (date)
Updated by (name)

COMPONENT
TYPES
Component Type No.
Asset Type No.
Component Name
Component Relative Value

REHABILITATION
UNIT COSTS
Activity Reference No.
Asset Type No.
Activity Description
Activity cost - size band 1
Activity cost - size band 2
Activity cost - size band 3
Activity cost - size band 4
Activity cost - size band 5

jww/3/12/02

ASSET MANAGEMENT PLAN - INPUTS AND OUTPUTS

Inputs to the AMP that need to be collected are:
Asset Survey - Extent, Size, Importance, Condition and Serviceability
the number of assets in the system by each type (eg. Weir; Measuring-structure; Cross-regulator etc)
a measure of the Size of each asset by size band
the Importance of each asset (eg. by area served)
the Condition (1-4) of each asset by an aggregation of its components (NOT its Serviceability)
the Serviceability (1-4) of each asset by its Hydraulic capacity and its Operability (NOT its
Condition)
System Performance Assessment
a measure of Level of Service achieved against a Standard (by Reliability, Adequacy and Equity
Performance Indicators based on cropped area.
System Performance Survey
a field survey of the reasons for System failure to perform
rehabilitation needs assessment
Cost Model
a breakdown of rehabilitation costs by Activity categories
a breakdown of asset value by Asset type
the relationship between asset value and Asset size
a proportional disaggregation the value of each asset to its various Components

Outputs required from the AMP (which dictate the form of data presentation) are:
Asset Stock
extent of assets by category and size band and their value, both gross and nett modern equivalent
asset (MEA)
Investment Estimates (OPEX - operating and CAPEX - capital)
total investment in five year period bands
total investment in five year period bands by purpose category (ie. for maintenance or for
improvement)
investment by each asset type category
investment by each asset importance category
Activity Report
list rehab/improvement activities by category (eg. canal relining; weed removal etc)
ditto by five year period bands
activities by each asset importance category
Benefits Report
total benefit in terms of system performance measures
ditto by five year period bands
Depreciation Categories
assumed asset life by each asset type category
Unit Costs
unit costs for key activities

ampwork/[Link]

jww/3/12/02

COMPONENTS OF THE ASSET MANAGEMENT PLAN (AMP)

WHAT THEY
ARE AND WHY
WE WANT THEM

ASSET
EXTENT

ASSET
VALUE

ASSET
CONDITION

ASSET
SERVICEABILITY

ASSET
IMPORTANCE

INVESTMENT
NEEDS

INVESTMENT
PURPOSE

INVESTMENT
ACTIVITIES

INVESTMENT
BENEFITS

This is a statement
of how important
assets are in terms of
their impact on other
parts of the system.
e.g. an asset at the
top end of the
system is generally
more important than
one at the bottom
end because fewer
hectares depend on
the latters correct
operation
It is important
because we could
undertake scenario
analyses with respect
to investment in
different importance
bands. If money was
constrained we
could investigate
how to spend it in
relation to the
importance of the
assets being
refurbished/
maintained
System of
measurement being
investigated as part
of the trial.

The amount of
money needed to be
spent over the
planning period to
achieve the benefits
that will arise (and
which have been
defined)

For what purpose is What tasks are going

the investment being to be undertaken as
made
a result of the
investment i.e. the
level of physical
activity

What is the benefit

that will arise as the
result of making any
investment

It helps set budgets

for future years

It is important to
know whether
money is being spent
on maintenance or
improvements. You
could envisage a
time when
improvement
expenditure would
be paid for by those
that benefit from the
improvement.

Benefits are an
output from the
investment (=input).
It is important to
measure both the
inputs and the
outputs

Measure it in a range
of ways to suit the
needs of the
planners. This can
be at the top level
i.e. total only , or at
lower levels e.g. by
asset category or
importance. It will
be presented as a
total and over each
time horizon.

Measured under
MAINTENANCE or
IMPROVEMENT
headings at the
moment using the
rule of Prime
Purpose ie what is
the main/prime
reason for making
that investment and
then ignoring
secondary benefits
that may arise under
other purpose
headings

1. What do
we mean ?

What is the extent of

the asset stock

What is the current

replacement cost of
the assets (gross)
and what is their
depreciated value
(net)

This is a statement
of the overall
physical condition of
the assets reported
under asset stock

This is a statement
of how well each
asset is performing
its required function
under the two
headings of
Hydraulic and
Operational
functionality

2. Why is it
important ?

This is essentially
good housekeeping
i.e. you ought to
know what you own
and operate. It is
also a prerequisite to
the valuation
exercise and could
help in defining
what you are
handing over or even
privatising

We measure it under
a set of ASSET
CATEGORIES and
in different SIZE
BANDS

It is important
because it will help
define investment
needed for
maintenance of
assets and the timing
thereof (when linked
to average asset life).
It can also be used to
define the net asset
valuation. Finally it
can be monitored
over time to ensure
that assets are not
being stripped.
It is measured by
reference to a
standard set of
condition grade
definitions, allocated
to each asset and
then normalised by
reference to asset
value.

It is important
because it will help
define investment
needed to maintain
the functionality of
assets. It too can be
monitored over time
to ensure that assets
are not being
stripped.

3. How is it
measured?

It is important for
financial modelling
e.g. to set up an
opening balance
sheet for an
irrigation company
and determine the
depreciation
component of the
P&L account. It may
also be important to
determine rates of
return on investment
if the companies
were privatised
We measure it at
current prices in
local currency.
Usually this will be
achieved using cost
models.

ampwork/[Link]

Measured by
reference to a
standard set of
serviceability grade
definitions under
each of
HYDRAULIC and
OPERATIONAL
functionality. As
part of the trial rules
will have to be
developed for how to
combine these.

jww/3/12/02

Important in order to
get a feel for what is
going to be
undertaken. The full
extent of the
activities may be a
limiting factor on
the investment at a
any time. Also can
be used as a
secondary measure
of performance
(although it is an
input rather than an
output measure)
Measured under a
range of activity
categories to be
defined during the
trial

Improvements in
adequacy, equity
and condition
indicators

ampwork/[Link]

jww/3/12/02

Appendix A4

Examples of Data Collected in the Field Trial

Input Data Table A.

STRATIFICATION AND NORMALISATION DATA (for ALL system in the AMP)

Partial List
No. _7_ of ___
SYSTEM (DI)
Name

Tambak I
Sumberan
Kenalan
Tengah
Tanjung
Bayen
Merdico
Gamping
Kadisono
Ewon
Dadapan
Kucir
Bangeran
Mrican
Grembul
Penkol
Penjalin
Jelog
Munggang
Papah
Drigul
Niten
Pengung
Ciki
Banjaran
Sumitro
Plelen
Klampok
Bogor
Simo

Technical

Technology Level :

Semi-Tech.

Non-Tech.

Topography Type :

STRATIFICATION DATA

Flat

Steep/Undulating
As shown

NORMALISATION DATA

ref.

Cabang

Water

Surjan

Topography

Years Since

Management

ISF/WUA Fee

Local

Command

Irrigated

No. of

Total Length

Peak System

no.

Dinas Name

Availability

(Mounding )
Present

Undulating
or Flat

Last Major
Investment

By

Recovery

Family
Income Level

Area
(ha)

Area
(ha)

Tertiaries

of Prim. & Sec.

Canal (km)

Inflow from
River (m3/sec)

Measuring
Instrument

Other
Structures

14
15
16
17
18
19
20
22
23
24
25
26
29
30
4
5
14
15
16
17
18
20
21
22
23
24
26
27
28
78

Bantul
Bantul
Bantul
Bantul
Bantul
Bantul
Bantul
Bantul
Bantul
Bantul
Bantul
Bantul
Bantul
Bantul

Var
Good
Var
Good
Var
Var
Var
Var
Var
Var
Var
Good
Var
Var
Var
Var
Var
Var
Var
Var
Var
Var
Var
Var
Var
Var
Var
Var
Var

No
No
No
No
No
No
No
No
No
No
No
No
No
No
No
No
No
No
No
No
No
No
No
No
No
No
No
No
No
No

Flat
Flat
Flat
Flat
Flat
Flat
Flat
Flat
Flat
Flat
Und
Und
Und
Und
Und
Und
Und
Und
Und
Und
Und
Und
Und
Und
Und
Und
Und
Und
Und
Und

>5
>5
>5
>5
>5
>5
>5
>5
<=5
<=5
>5
>5
>5
>5
>5
>5
>5
>5
<=5
<=5
>5
>5
>5
>5
>5
>5
>5
>5
>5
<=5

Joint
Joint
Joint
Joint
Joint
Joint
Joint
Joint
Joint
Joint
Joint
Joint
Joint
Joint
WUA
WUA
Joint
WUA
Joint
Joint
Joint
Joint
WUA
Joint
WUA
Joint
Joint
WUA
WUA
Joint

4.648
3.397
3.629
5.865
16.182
1.32
7.601
9.727
7.803
6.585
0
1.432
0
1.825
0
0
8.423
0
3.337
11.605
0
1.573
0
0
0
5.307
4.382
0
0
17.78

205
159
93
210
1028
144
1110
604
813
711
77
150
21
125
35
100
956
113
0
1187
0
180
80
100
135
407
300
0
0
1400

0
1
13
12
48
14
19
12
1
1
1
1
0
1
1
1
1
1
0
6
0
2
0
0
1
3
7
0
1
6

19
21
31
19
112
21
48
29
23
17
0
25
0
15
3
1
93
1
33
122
4
25
1
1
1
42
53
1
1
128

Kulon Progo
Kulon Progo
Kulon Progo
Kulon Progo
Kulon Progo
Kulon Progo
Kulon Progo
Kulon Progo
Kulon Progo
Kulon Progo
Kulon Progo
Kulon Progo
Kulon Progo
Kulon Progo
Kulon Progo
Gunung Kidul

138
142
261
187
776
128
571
530
530
550
52
100
31
144
31
34
380
94
205
925
101
129
32
40
29
447
114
56
85
1247

24

68

No. of Structures

SYSTEM PERFORMANCE ASSESSMENT - WATER DELIVERY

PRIMARY AND SECONDARY CANALS - System DI Papah
Canal Name
Jun-93

1-15
16-30

Jul-93

1-15
16-31

Aug-93

1-15
16-31

Sep-93

1-15
16-30

Oct-93

1-15
16-31

Nov-93

1-15
16-30

Dec-93

1-15
16-31

Jan-94

1-15
16-31

Feb-94

1-15
16-31

Mar-94

1-15
16-31

Apr-94

1-15
16-30

May-94

1-15
16-31

Max. flow in
the year (l/s)
Max. Design
flow (l/s)
Ratio
Actual/Design

Primary
Papah

Secondary
Secondary
Kongklanga
Cangkring
n

Kenteng
Kiri

Kenteng
Kanan

252.53
0.00
299.00
251.50
80.07
131.19
601.93
903.40
955.67
1,249.06
1,409.00
1,264.00

121.20
0.00
163.53
192.94
0.00
0.00
150.60
372.67
376.07
480.88
570.40
547.20

111.73
0.00
151.67
55.00
0.00
0.00
265.73
369.93
455.73
572.20
612.13
526.27

0.00
0.00
0.00
0.00
0.00
0.00
117.20
129.60
249.60
166.13
118.53
169.27

0.00
0.00
0.00
0.00
0.00
0.00
82.20
114.67
195.47
117.73
192.60
124.07

1,046.33
992.93
774.69
890.87
1,067.40
942.69
717.07
1,153.06
1,200.73
1,119.87
1,135.27
845.31
1,409.00

445.47
385.19
336.00
317.88
459.60
388.00
259.07
491.25
418.00
468.33
281.00
289.81
570.40

463.67
435.56
339.87
329.25
457.60
367.38
295.87
503.50
439.53
498.80
422.80
349.13
612.13

165.47
160.75
71.80
10.56
65.27
77.31
70.67
129.13
116.60
135.73
141.40
75.25
249.60

113.87
135.81
51.40
0.00
82.67
120.47
52.47
93.13
89.73
85.80
114.93
64.00
195.47

1,530.00

670.00

830.00

250.00

250.00

0.92

0.85

0.74

1.00

0.78

No.

Tertiary
Name
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17

No.

Wora-wari
0.73
Blimbing
2.00
Semen
9.33
Gendingan
0.00
Gunung Duk
Patuk
0.00
Ngentakrejo
0.00
Klipuh
Kemendung
23.13
Pergiwatu
0.00
Sempu
Kenteng
0.00
Karongan
Milir
0.00
Cumetuk
Papah Kanan
0.00
Drigul
Tertiary
Name

1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17

Actual

Actual

Wora-wari
Blimbing
Semen
Gendingan
Gunung Duk
Patuk
Ngentakrejo
Klipuh
Kemendung
Pergiwatu
Sempu
Kenteng
Karongan
Milir
Cumetuk
Papah Kanan
Drigul

17.20
21.33
13.53
37.87
11.33
21.27
33.33
0.00
10.00
22.13
64.53

Jun 1, 1993
Planned
Ratio

Actual

3.56
22.00
15.00
14.28
10.50
5.25
25.00

0.21
0.09
0.62
0.00

0.00
0.00
0.00
0.00

0.00
0.00

0.00
0.00

11.25
30.28
9.50
4.75
12.25
6.50
13.75
10.25
11.25

2.06
0.00

0.00
0.00

0.00

0.00

0.00

0.00

0.00

0.00

Sep 1, 1993
Planned
Ratio
18.27
98.43
95.62
75.93
61.87
29.52
126.52
70.31
63.27
172.96
53.43
26.71
68.90
36.56
63.27
36.56
157.50

Actual

0.94
0.22
0.14
0.50

29.80
44.80
36.33
64.40

0.38
0.17

12.80
72.80

0.53
0.00

67.27
0.00

0.37

19.93

0.61

12.60

1.77

92.07

Jun 2, 1993
Planned
Ratio

Actual

3.56
22.00
15.00
14.28
10.50
5.25
25.00

0.00
0.00
0.00
0.00

4.07
0.00
0.00
0.00

0.00
0.00

0.00
0.00

11.25
30.28
9.50
4.75
12.25
6.50
13.75
10.25
11.25

0.00
0.00

0.00
0.00

0.00

0.00

0.00

0.00

0.00

0.00

Sep 2, 1993
Planned
Ratio
18.27
98.43
95.62
25.93
61.87
29.52
126.56
70.31
63.27
172.96
53.43
26.71
68.90
36.56
63.27
36.56
157.50

Actual

1.63
0.46
0.38
2.48

29.13
19.07
30.07
90.60

0.43
0.58

21.60
59.33

1.06
0.00

99.53
0.00

0.75

43.13

0.34

0.00

2.52

115.93

Jul 1, 1993
Planned
3.56
19.68
17.00
14.27
11.00
5.25
25.62
12.50
11.25
32.77
9.50
4.75
12.25
6.50
11.25
10.25
28.00

Ratio
1.14
0.00
0.00
0.00

0.73
0.00
0.00
0.00

0.00
0.00

0.00
0.00

0.00
0.00

0.00
0.00

0.00

0.00

0.00

0.00

0.00

0.00

Okt 1, 1993
Planned
Ratio
19.90
109.18
95.62
80.00
61.87
29.52
142.81
70.31
63.27
183.52
53.43
26.71
68.90
36.56
63.27
56.06
157.50

Actual

Actual

1.46
0.17
0.31
1.13

13.25
49.19
32.88
84.19

0.73
0.42

27.50
111.75

1.57
0.00

105.31
0.00

1.61

15.31

0.00

0.00

2.07

73.25

Jul 2, 1993
Planned
3.56
19.68
17.00
14.27
11.00
5.25
25.62
12.50
11.25
32.77
9.50
4.75
12.25
6.50
11.25
10.25
28.00

Ratio
0.21
0.00
0.00
0.00

0.00
0.00
0.00
0.00

0.00
0.00

0.00
0.00

0.00
0.00

0.00
0.00

0.00

0.00

0.00

0.00

0.00

0.00

Okt 2, 1993
Planned
Ratio
15.43
85.75
72.25
61.43
46.75
22.31
142.81
70.31
47.81
141.25
53.43
26.71
52.06
27.62
63.27
47.12
119.00

Actual

Actual

0.86
0.57
0.46
1.37

19.40
49.40
38.33
107.33

1.23
0.78

18.40
92.60

2.20
0.00

78.13
0.00

0.57

33.87

0.00

66.27

1.55

51.13

Ags 1, 1993
Planned
Ratio
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00

1.00
1.00
1.00
1.00

0.00
0.00
0.00
0.00

1.00
1.00

0.00
0.00

1.00
1.00

0.00
0.00

1.00

0.00

1.00

0.00

1.00

4.07

Nov 1, 1993
Planned
Ratio
14.71
80.67
72.25
53.25
41.43
18.06
127.50
53.12
47.81
136.53
38.25
21.25
52.06
27.62
47.81
38.42
128.56

Actual

Actual

1.32
0.61
0.53
2.02

12.40
61.00
48.53
53.27

1.02
0.73

13.07
110.00

1.63
0.00

25.53
0.00

1.59

29.20

2.40

25.87

1.33

80.47

Ags 2, 1993
Planned
Ratio
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00

1.00
1.00
1.00
1.00
1.00
1.00
1.00
1.00
1.00
1.00
1.00

Nov, 2 1993
Planned
Ratio
14.71
80.67
72.25
53.25
41.43
18.06
127.50
53.12
47.81
136.53
38.25
21.25
52.06
27.62
47.81
38.42
128.56

0.84
0.76
0.67
1.00
0.72
0.86
0.53
0.00
1.37
0.94
2.09

No.
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17

Tertiary
Des 1, 1993
Name
Actual
Planned
Ratio
Wora-wari
9.07
14.71
0.62
Blimbing
58.93
80.67
0.73
Semen
43.93
72.25
0.61
Gendingan
36.13
53.25
0.68
Gunung Duk
41.43
Patuk
13.07
18.06
0.72
Ngentakrejo 116.33
127.50
0.91
Klipuh
53.12
Kemendung
29.00
47.81
0.61
Pergiwatu
0.00
136.53
0.00
Sempu
38.25
Kenteng
23.27
21.25
1.09
Karongan
52.06
Milir
23.53
27.62
0.85
Cumetuk
47.81
Papah Kanan 38.88
38.42
1.01
Drigul
128.56

Des 2, 1993
Actual
Planned
Ratio
5.69
14.71
0.39
19.44
80.67
0.24
19.50
72.25
0.27
17.63
53.25
0.33
41.43
4.00
18.06
0.22
79.25
127.50
0.62
53.12
0.00
47.81
0.00
0.00
136.53
0.00
38.25
16.56
21.25
0.78
52.06
28.94
27.62
1.05
47.81
33.88
38.42
0.88
128.56

Jan 1, 1994
Actual
Planned
Ratio
4.60
19.18
0.24
4.67
104.68
0.04
2.00
95.62
0.02
99.47
9.00
11.05
54.84
0.00
23.90
0.00
191.40
28.68
6.67
70.31
0.00
63.27
0.00
0.00
178.81
0.00
57.65
11.20
28.12
0.40
68.90
0.00
36.56
0.00
63.27
10.80
47.30
0.23
170.15

Jan 2, 1994
Actual
Planned
Ratio
1.06
19.18
0.06
34.06
104.68
0.33
27.00
95.62
0.28
36.60
9.00
4.07
54.84
13.87
23.90
0.58
106.60
28.68
3.72
70.31
21.73
63.27
0.34
0.00
178.81
0.00
57.65
0.00
28.12
0.00
68.90
0.00
36.56
0.00
63.27
20.07
47.36
0.42
170.15

1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17

Tertiary
Mar 1, 1994
Name
Actual
Planned
Ratio
Wora-wari
2.13
14.71
0.15
Blimbing
21.40
80.67
0.27
Semen
12.87
72.25
0.18
Gendingan
32.20
53.25
0.60
Gunung Duk
41.43
Patuk
13.07
18.06
0.72
Ngentakrejo
60.33
127.50
0.47
Klipuh
53.12
Kemendung
22.87
47.81
0.48
Pergiwatu
79.07
136.53
0.58
Sempu
43.56
Kenteng
6.07
21.25
0.29
Karongan
52.06
Milir
0.00
27.62
0.00
Cumetuk
47.81
Papah Kanan 18.00
38.42
0.47
Drigul
128.56

Mar 2, 1994
Actual
Planned
Ratio
14.50
14.71
0.99
22.06
80.67
0.27
14.88
72.25
0.21
35.19
53.25
0.66
41.43
13.00
18.06
0.72
103.69
127.50
0.81
53.12
61.00
47.81
1.28
129.13
136.53
0.95
43.56
18.88
21.25
0.89
52.06
0.00
27.62
0.00
47.81
46.50
38.42
1.21
128.56

Apr 1, 1994
Actual
Planned
Ratio
12.67
14.12
0.90
38.60
76.56
0.50
23.53
72.25
0.33
43.27
51.77
0.84
41.43
14.93
18.06
0.83
105.07
130.62
0.80
53.12
60.27
47.81
1.26
131.93
132.71
0.99
43.56
25.00
21.25
1.18
52.06
0.00
27.62
0.00
47.81
40.20
31.37
1.28
128.56

Apr 2, 1994
Actual
Planned
Ratio
20.40
14.12
1.44
45.87
76.56
0.60
27.20
72.25
0.38
35.87
51.77
0.69
41.43
8.80
18.06
0.49
166.80
130.62
1.28
53.12
67.73
47.81
1.42
135.73
132.71
1.02
43.56
8.13
21.25
0.38
52.06
0.00
27.62
0.00
47.81
42.07
31.37
1.34
128.56

No.

Feb 1, 1994
Actual
Planned
Ratio
6.80
14.71
0.46
55.00
80.61
0.68
47.93
72.25
0.66
75.33
53.25
1.41
41.43
25.33
18.06
1.40
141.20
127.50
1.11
53.12
141.20
47.81
2.95
50.93
136.53
0.37
43.56
13.87
21.25
0.65
52.06
0.00
27.62
0.00
47.81
18.80
38.42
0.49
128.56

Actual

Mei 1, 1994
Planned
Ratio
3.56
19.69
17.00
12.78
9.75
4.25
98.13
53.13
11.25
2.03
43.56
0.00
0.00
0.00
47.80
3.75
128.56

Feb 2, 1994
Actual
Planned
Ratio
10.92
14.71
0.74
29.54
80.67
0.37
22.54
72.25
0.31
82.77
53.25
1.55
41.43
14.31
18.06
0.79
115.62
127.50
0.91
53.12
43.08
47.81
0.90
77.31
136.53
0.57
43.56
0.00
27.54
21.25
1.30
52.06
0.00
27.62
0.00
47.81
48.46
38.42
1.26
128.56

Actual

Mei, 2 1994
Planned
Ratio
3.56
19.69
17.00
12.78
9.75
4.25
98.13
53.13
11.25
2.03
43.56
0.00
0.00
0.00
0.00
10.25
0.00

ACTUAL WATER DELIVERY (l/s) - Tertiaries with measurement

Tertiary
Name
1 Wora-wari
2 Blimbing
3 Semen
4 Gendingan
5 Patuk
6 Ngentakrejo
7 Kemendung
8 Pergiwatu
9 Kenteng
10 Milir
11 Papah Kanan
Total Actual
(recorded)

Jun-93

No.

Jul-93
2

0.73
2.00
9.33
0.00
0.00
0.00
23.13
0.00
0.00
0.00
0.00
35.20

1
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00

Aug-93
2

4.07
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
4.07

1
0.73
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.73

Sep-93
2

0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00

1
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00

Oct-93
2

17.20
21.33
13.53
37.87
11.33
21.27
33.33
0.00
10.00
22.13
64.53
252.53

29.80
44.80
36.33
64.40
12.80
72.80
67.27
0.00
19.93
0.00
92.07
440.20

Nov-93
2

29.13
19.07
30.07
90.60
21.60
59.33
99.53
0.00
43.13
0.00
115.93
508.40

13.25
49.19
32.88
84.19
27.50
111.75
105.31
0.00
15.31
0.00
73.25
512.63

Dec-93
2

19.40
49.40
38.33
107.33
18.40
92.60
78.13
0.00
33.87
66.27
51.13
554.87

12.40
61.00
48.53
53.27
13.07
110.00
25.53
0.00
29.20
25.87
80.47
459.33

Jan-94
2

9.07
58.93
43.93
36.13
13.07
116.33
29.00
0.00
23.27
23.53
38.88
392.14

Feb-94

5.69
19.44
19.50
17.63
4.00
79.25
0.00
0.00
16.56
28.94
33.88
224.88

4.60
4.67
2.00
99.47
0.00
191.40
0.00
0.00
11.20
0.00
10.80
324.13

1.06
34.06
27.00
36.60
13.87
106.60
21.73
0.00
0.00
0.00
20.07
260.99

Mar-94
2

6.80
55.00
47.93
75.33
25.33
141.20
141.20
50.93
13.87
0.00
18.80
576.40

10.92
29.54
22.54
82.77
14.31
115.62
43.08
77.31
27.54
0.00
48.46
472.08

Apr-94
2

May-94
2

2.13
21.40
12.87
32.20
13.07
60.33
22.87
79.07
6.07

14.50
22.06
14.88
35.19
13.00
103.69
61.00
129.13
18.88

12.67
38.60
23.53
43.27
14.93
105.07
60.27
131.93
25.00

20.40
45.87
27.20
35.87
8.80
166.80
67.73
135.73
8.13

18.00
268.00

46.50
458.81

40.20
495.47

42.07
558.60

0.00

0.00

PLANNED WATER DELIVERY (l/s) - Tertiaries with measurement

Tertiary
Jun-93
Name
1
2
1 Wora-wari
3.56
3.56
2 Blimbing
22.00
22.00
3 Semen
15.00
15.00
4 Gendingan
14.28
14.28
5 Patuk
5.25
5.25
6 Ngentakrejo
25.00
25.00
7 Kemendung
11.25
11.25
8 Pergiwatu
30.28
30.28
9 Kenteng
4.75
4.75
10 Milir
6.50
6.50
11 Papah Kanan 10.25
10.25
SUB-TOTALS for Tertiaries with measurement
Sub-Total Planned
148.12
148.12
Sub-Total Actual
35.20
0.00
Actual/Planned Ratios
0.24
0.00

Jul-93

No.

Aug-93
1

Sep-93
2

Oct-93
2

Nov-93
2

Dec-93
2

Jan-94
2

Feb-94

Mar-94
2

Apr-94

3.56
19.68
17.00
14.27
5.25
25.62
11.25
32.77
4.75
6.50
10.25

3.56
19.68
17.00
14.27
5.25
25.62
11.25
32.77
4.75
6.50
10.25

0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00

0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00

18.27
98.43
95.62
75.93
29.52
126.52
63.27
172.96
26.71
36.56
36.56

18.27
98.43
95.62
25.93
29.52
126.56
63.27
172.96
26.71
36.56
36.56

19.90
109.18
95.62
80.00
29.52
142.81
63.27
183.52
26.71
36.56
56.06

15.43
85.75
72.25
61.43
22.31
142.81
47.81
141.25
26.71
27.62
47.12

14.71
80.67
72.25
53.25
18.06
127.50
47.81
136.53
21.25
27.62
38.42

14.71
80.67
72.25
53.25
18.06
127.50
47.81
136.53
21.25
27.62
38.42

14.71
80.67
72.25
53.25
18.06
127.50
47.81
136.53
21.25
27.62
38.42

14.71
80.67
72.25
53.25
18.06
127.50
47.81
136.53
21.25
27.62
38.42

19.18
104.68
95.62
9.00
23.90
28.68
63.27
178.81
28.12
36.56
47.30

19.18
104.68
95.62
9.00
23.90
28.68
63.27
178.81
28.12
36.56
47.36

14.71
80.61
72.25
53.25
18.06
127.50
47.81
136.53
21.25
27.62
38.42

14.71
80.67
72.25
53.25
18.06
127.50
47.81
136.53
21.25
27.62
38.42

14.71
80.67
72.25
53.25
18.06
127.50
47.81
136.53
21.25
27.62
38.42

14.71
80.67
72.25
53.25
18.06
127.50
47.81
136.53
21.25
27.62
38.42

14.12
76.56
72.25
51.77
18.06
130.62
47.81
132.71
21.25
27.62
31.37

150.90
4.07
0.03

150.90
0.73
0.00

0.00
0.00
1.00

0.00
0.00
1.00

780.35
252.53
0.32

730.39
440.20
0.60

843.15
508.40
0.60

690.49
512.63
0.74

638.07
554.87
0.87

638.07
459.33
0.72

638.07
392.14
0.61

638.07
224.88
0.35

635.12
324.13
0.51

635.18
260.99
0.41

638.01
576.40
0.90

638.07
472.08
0.74

638.07
268.00
0.42

638.07
458.81
0.72

624.14
495.47
0.79

May-94
2

14.12
76.56
72.25
51.77
18.06
130.62
47.81
132.71
21.25
27.62
31.37

3.56
19.69
17.00
12.78
4.25
98.13
11.25
2.03
0.00
0.00
3.75

3.56
19.69
17.00
12.78
4.25
98.13
11.25
2.03
0.00
0.00
10.25

624.14
558.60
0.89

172.44
0.00

178.94
0.00

PLANNED WATER DELIVERY (l/s) - Tertiaries without measurement

Tertiary
Jun-93
Name
1
1 Gunung Duk
10.50
2 Klipuh
12.50
3 Karongan
12.25
4 Cumetuk
13.75
5 Sempu
9.50
6 Drigul
11.25
Sub-Total Planned
69.75
(Tertiaries with no measurement)

Jul-93

No.

10.50
12.50
12.25
13.75
9.50
11.25
69.75

11.00
12.50
12.25
11.25
9.50
28.00
84.50

11.00
12.50
12.25
11.25
9.50
28.00
84.50

Jun-93

SYSTEM TOTALS

Aug-93

1
0.00
0.00
0.00
0.00
0.00
0.00
0.00

Jul-93

Total Planned
217.87
217.87
Actual System
252.00
0.00
Inflow at Weir
Actual Inflow1.16
0.00
Planned Use Ratio
Note : Ratio disregards delivery losses
Design max. inflow to System
No. of periods (from 24) in the year that

1
0.00
0.00
0.00
0.00
0.00
0.00
0.00

235.40
323.00

235.40
256.00

1.37

1.09

0.00
80.00

Oct-93
2

61.87
70.31
68.90
63.27
53.43
157.50
475.28

Aug-93
2

1800 l/s
0

Sep-93
2

61.87
70.31
68.90
63.27
53.43
157.50
475.28

61.87
70.31
68.90
63.27
53.43
157.50
475.28

Sep-93
2
0.00
135.00

Nov-93
2

46.75
70.31
52.06
63.27
53.43
119.00
404.82

41.43
53.12
52.06
47.81
38.25
128.56
361.23

Oct-93
2

Dec-93
2

41.43
53.12
52.06
47.81
38.25
128.56
361.23

41.43
53.12
52.06
47.81
38.25
128.56
361.23

Nov-93
2

Jan-94
2
41.43
53.12
52.06
47.81
38.25
128.56
361.23

54.84
70.31
68.90
63.27
57.65
170.15
485.12

Dec-93
2

Feb-94

54.84
70.31
68.90
63.27
57.65
170.15
485.12

41.43
53.12
52.06
47.81
43.56
128.56
366.54

Jan-93
2

Mar-94
2

41.43
53.12
52.06
47.81
43.56
128.56
366.54

41.43
53.12
52.06
47.81
43.56
128.56
366.54

Feb-93
2

Apr-94
2

41.43
53.12
52.06
47.81
43.56
128.56
366.54

41.43
53.12
52.06
47.81
43.56
128.56
366.54

Mar-93
2

May-94
2

41.43
53.12
52.06
47.81
43.56
128.56
366.54

Apr-93
2

9.75
53.13
0.00
47.80
43.56
128.56
282.80

9.75
53.13
0.00
0.00
43.56
0.00
106.44

May-93
2

1255.63
677.00

1205.67
1013.00

1318.43
1085.00

1095.31
1359.00

999.30
1514.00

999.30
1403.00

999.30
1400.00

999.30
1700.00

1120.24
1634.00

1120.30
1502.00

1004.55
1348.00

1004.61
1626.00

1004.61
1566.00

1004.61
1285.00

990.68
1784.00

990.68
1494.00

455.24
1157.00

285.38
867.00

0.54

0.84

0.82

1.24

1.52

1.40

1.40

1.70

1.46

1.34

1.34

1.62

1.56

1.28

1.80

1.51

2.54

3.04

System DI Papah - Performance Assessment - Water Delivery

PERFORMANCE ASSESSMENT - System DI Papah

ACTUAL-PLANNED RATIOS
WATER DELIVERY
No.

Tertiary
Jun-93
Name
1
1 Papah Kanan 0.00
2 Wora-wari
0.21
3 Blimbing
0.09
4 Semen
0.62
5 Gendingan
0.00
6 Gunung Duk
7 Patuk
0.00
8 Ngentakrejo 0.00
9 Klipuh
10 Kemendung 2.06
11 Kenteng
0.00
12 Karongan
13 Milir
0.00
14 Cumetuk
15 Pergiwatu
0.00
16 Sempu
17 Drigul
Mean
0.27
Coef. of Variance
0.40

2
0.00
0.00
0.00
0.00
0.00

Jul-93
1
0.00
1.14
0.00
0.00
0.00

2
0.00
0.21
0.00
0.00
0.00

Aug-93
1
1.00
1.00
1.00
1.00
1.00

2
1.00
1.00
1.00
1.00
1.00

Sep-93
1
1.77
0.94
0.22
0.14
0.50

2
2.52
1.63
0.46
0.38
2.48

Oct-93
1
2.07
1.46
0.17
0.31
1.13

2
1.55
0.86
0.57
0.46
1.37

Nov-93
1
1.33
1.32
0.61
0.53
2.02

2
2.09
0.84
0.76
0.67
1.00

Dec-93
1
1.01
0.62
0.73
0.61
0.68

2
0.88
0.39
0.24
0.27
0.33

Jan-94
1
0.23
0.24
0.04
0.02
11.05

2
0.42
0.06
0.33
0.28
4.07

Feb-94
1
0.49
0.46
0.68
0.66
1.41

2
1.26
0.74
0.37
0.31
1.55

Mar-94
1
0.47
0.15
0.27
0.18
0.60

2
1.21
0.99
0.27
0.21
0.66

Apr-94
1
1.28
0.90
0.50
0.33
0.84

May-94
2
1.34
1.44
0.60
0.38
0.69

Mean
2

Coef.
Varn.

1.00
0.75
0.41
0.38
1.47

0.54
0.24
0.10
0.09
5.46

0.00
0.00

0.00
0.00

0.00
0.00

1.00
1.00

1.00
1.00

0.38
0.17

0.43
0.58

0.73
0.42

1.23
0.78

1.02
0.73

0.72
0.86

0.72
0.91

0.22
0.62

0.00
6.67

0.58
3.72

1.40
1.11

0.79
0.91

0.72
0.47

0.72
0.81

0.83
0.80

0.49
1.28

0.59
1.04

0.18
2.17

0.00
0.00

0.00
0.00

0.00
0.00

1.00
1.00

1.00
1.00

0.53
0.37

1.06
0.75

1.57
1.61

2.20
0.57

1.63
1.59

0.53
1.37

0.61
1.09

0.00
0.78

0.00
0.40

0.34
0.00

2.95
0.65

0.90
1.30

0.48
0.29

1.28
0.89

1.26
1.18

1.42
0.38

0.95
0.69

0.65
0.29

0.00

0.00

0.00

1.00

1.00

0.61

0.34

0.00

0.00

2.40

0.94

0.85

1.05

0.00

0.00

0.00

0.00

0.00

0.00

0.00

0.00

0.37

0.38

0.00

0.00

0.00

1.00

1.00

0.00

0.00

0.00

0.00

0.00

0.00

0.00

0.00

0.00

0.00

0.37

0.57

0.58

0.95

0.99

1.02

0.29

0.18

0.00
0.33

0.10
0.17

0.02
0.33

1.00
0.00

1.00
0.08

0.51
0.24

0.97
0.78

0.86
0.50

0.87
0.51

1.20
0.45

0.89
0.35

0.71
0.08

0.43
0.32

1.70
12.34

0.89
2.14

0.93
0.58

0.79
0.32

0.38
0.08

0.73
0.29

0.81
0.15

0.82
0.34

Mean of 'means' column

Mean of 'coef. varn.' column

0.72
0.93

SYSTEM PERFORMANCE ASSESSMENT

Based on Crop Area data
Tertiary
Name

SYSTEM : DI PAPAH
Designed

ref.
no.

R
(ha)

P
(ha)

S
(ha)

B
(ha)

YEAR : 1992/1993

Requested
PRA

R
(ha)

P
(ha)

S
(ha)

SEASON : MT3

SHEET 1 OF 3

Planned
B
(ha)

PRA

R
(ha)

P
(ha)

S
(ha)

Actual
B
(ha)

PRA

R
(ha)

P
(ha)

Performance Ratio

S
(ha)

B
(ha)

PRA

Planned Planned Actual

Actual
Actual
Designed Requested Designed Requested Planned

Wora-wari

15

15

15

15

13

17

1.00

1.13

1.13

Blimbing

74

14

102

74

14

102

70

14

98

1.00

0.96

0.96

Semen

66

66

68

68

68

68

1.03

1.03

1.00

Gendingan

45

55

45

55

54

64

1.00

1.16

1.16

Gunung Duk

36

36

36

36

44

44

1.00

1.22

1.22

Paten

22

22

22

22

21

21

1.00

0.95

0.95

Ngentakrejo

64

64

64

64

90

20

130

1.00

2.03

2.03

Klipuh

50

50

50

50

50

50

1.00

1.00

1.00

Drigul

94

94

94

94

112

112

1.00

1.19

1.19

Kemendung

50

50

50

50

45

45

1.00

0.90

0.90

Kenteng Kulon

21

21

21

21

19

19

1.00

0.90

0.90

Pergiwatu

113

13

139

113

131

123

13

149

0.94

1.07

1.14

Sempu

38

38

38

38

38

38

1.00

1.00

1.00

Karongan

49

49

49

49

49

49

1.00

1.00

1.00

Cemetuk

14

14

40

40

45

45

2.86

3.21

1.13

Milir
Papah Kanan

0
0

31
34

0
22

0
0

31
78

0
0

31
34

0
22

0
0

31
78

0
0

26
26

0
24

0
0

26
74

1.00
1.00

0.84
0.95

0.84
0.95

1049

1.02

1.14

1.11

Mean

1.11

1.21

1.09

Standard Deviation
Coef. of Variance

0.45
0.20

0.58
0.34

0.27
0.07

SYSTEM TOTALS

924

SYSTEM PERFORMANCE ASSESSMENT

Based on Crop Area data
Tertiary
Name

SYSTEM : DI PAPAH
Designed

ref.
no.

R
(ha)

P
(ha)

S
(ha)

B
(ha)

944

YEAR : 1992/1993

Requested
PRA

R
(ha)

P
(ha)

S
(ha)

SEASON : MT1

SHEET 2 OF 3

Planned
B
(ha)

PRA

R
(ha)

P
(ha)

S
(ha)

Actual
B
(ha)

PRA

R
(ha)

P
(ha)

Performance Ratio

S
(ha)

B
(ha)

PRA

Planned Planned Actual

Actual
Actual
Designed Requested Designed Requested Planned

Wora-wari

13

52

13

52

13

56

1.00

1.08

1.08

Blimbing

79

14

344

79

14

344

70

14

308

1.00

0.90

0.90

Semen

59

236

59

236

68

272

1.00

1.15

1.15

Gendingan

54

226

54

226

54

226

1.00

1.00

1.00

Gunung Duk

39

166

39

166

44

176

1.00

1.06

1.06

Paten

21

84

21

84

21

84

1.00

1.00

1.00

100

400

100

400

90

20

400

1.00

1.00

1.00

Klipuh

60

240

60

240

50

200

1.00

0.83

0.83

Drigul

112

448

112

448

112

448

1.00

1.00

1.00

Kemendung

45

180

45

180

45

180

1.00

1.00

1.00

Kenteng Kulon

19

76

19

76

19

76

1.00

1.00

1.00

119

494

117

486

123

12

516

0.98

1.04

1.06

Sempu

38

152

38

152

38

152

1.00

1.00

1.00

Karongan

49

196

49

196

49

196

1.00

1.00

1.00

Cemetuk

45

180

45

180

45

180

1.00

1.00

1.00

Milir
Papah Kanan

26
26

0
0

0
24

0
0

104
152

26
26

0
0

0
24

0
0

104
152

26
26

0
0

0
24

0
0

104
152

1.00
1.00

1.00
1.00

1.00
1.00

3726

Ngentakrejo

Pergiwatu

SYSTEM TOTALS

3730

3722

1.00

1.00

1.00

Mean

1.00

1.00

1.00

Standard Deviation
Coef. of Variance

0.00
0.00

0.07
0.00

0.07
0.00

SYSTEM PERFORMANCE ASSESSMENT

Based on Crop Area data
Tertiary
Name

SYSTEM : DI PAPAH
Designed

ref.
no.

R
(ha)

P
(ha)

S
(ha)

B
(ha)

YEAR : 1992/1993

Requested
PRA

R
(ha)

P
(ha)

S
(ha)

SEASON : MT2

SHEET 3 OF 3

Planned
B
(ha)

PRA

R
(ha)

P
(ha)

S
(ha)

Actual
B
(ha)

PRA

R
(ha)

S
(ha)

Performance Ratio

O
(ha)

B
(ha)

PRA

Planned Planned Actual

Actual
Actual
Designed Requested Designed Requested Planned

Wora-wari

13

52

13

52

13

56

1.00

1.08

1.08

Blimbing

79

14

344

79

14

344

70

14

308

1.00

0.90

0.90

Semen

59

236

59

236

68

272

1.00

1.15

1.15

Gendingan

54

226

54

226

48

202

1.00

0.89

0.89

Gunung Duk

39

166

39

166

39

156

1.00

0.94

0.94

Paten

21

84

21

84

17

68

1.00

0.81

0.81

100

400

110

440

120

20

520

1.10

1.30

1.18

Klipuh

60

240

60

240

50

200

1.00

0.83

0.83

Drigul

112

448

112

448

112

448

1.00

1.00

1.00

Kemendung

45

180

45

180

45

180

1.00

1.00

1.00

Kenteng Kulon

19

76

19

76

20

80

1.00

1.05

1.05

119

494

117

486

123

13

518

0.98

1.05

1.07

Sempu

38

152

38

152

41

164

1.00

1.08

1.08

Karongan

49

196

49

196

49

196

1.00

1.00

1.00

Cemetuk

45

180

45

180

45

180

1.00

1.00

1.00

Milir
Papah Kanan

26
26

0
0

0
24

0
0

104
152

26
26

0
0

0
24

0
0

104
152

26
26

0
0

0
24

0
0

104
152

1.00
1.00

1.00
1.00

1.00
1.00

3804

1.01

1.02

1.01

Mean

1.00

1.00

1.00

Standard Deviation
Coef. of Variance

0.02
0.00

0.12
0.01

0.10
0.01

Ngentakrejo

Pergiwatu

SYSTEM TOTALS

3730

3762

PLANNED IRRIGATED AREA

System: DI Papah

No.

Tertiary
Name

YEAR : 1990/1991

Total Irrigated
Area Recorded

(ha)

1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24

Wora-wari
Blimbing
Semen
Gendingan
Kalikutuk
Klampok
Cangkring
Paten
Kemendung
Gletak
Wiyu
Kenteng Wetan
Pergiwatu
Sempu
Kenteng Kulon
Karongan Kiri
Karongan Kanan
Karangasem
Ngramang
Milir
Cemetuk
Klipuh Kiri
Klipuh Kanan
Drigul
TOTAL

15.00
83.00
66.00
50.30
36.25
10.10
4.95
11.50
44.50
30.30
25.30
39.65
173.50
36.10
20.50
3.00
43.00
22.00
2.85
23.00
6.50
40.00
60.00
94.00
941.30

Total Planned Irrigated Area (ha)

Season
Season Season
MT1
MT2
MT3

15.00
83.00
66.00
50.30
36.25
10.10
4.95
11.50
44.50
30.30
25.30
39.65
173.50
36.10
20.50
3.00
43.00
22.00
2.85
23.00
11.50
40.00
60.00
94.00
946.30

PLANNED IRRIGATED AREA

System: DI Papah

No.

Tertiary
Name

Wora-wari
Blimbing
Semen
Gendingan
Gunung Duk
Paten
Ngentakrejo
Klipuh
Kemendung
Pergiwatu
Sempu
Kenteng Kulon
Karongan
Milir
Cumetuk
Papah Kanan
Drigul

TOTAL

15.00
83.00
66.00
50.30
36.25
10.10
4.95
11.50
44.50
30.30
25.30
39.65
173.50
36.10
20.50
3.00
43.00
22.00
2.85
23.00
11.50
40.00
60.00
94.00
946.30

YEAR : 1993/1994

Total Irrigated
Area Recorded

(ha)

1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17

15.00
83.00
66.00
50.30
36.25
10.10
4.95
11.50
44.50
30.30
25.30
39.65
173.50
36.10
20.50
3.00
43.00
22.00
2.85
23.00
11.50
40.00
60.00
94.00
946.30

Total Planned Irrigated Area (ha)

Season
Season Season
MT1
MT2
MT3

15
93
59
59
44
21
100
60
45
126
38
19
49
26
45
50
112

15
93
59
59
44
21
100
60
45
126
38
19
49
26
45
50
112

15
93
59
59
44
21
100
60
45
126
38
19
49
26
45
50
112

15
93
59
59
44
21
100
60
45
126
38
19
49
26
45
50
112

961.00

961.00

961.00

961.00

PLANNED IRRIGATED AREA

System: DI Papah

No.

Tertiary
Name

YEAR : 1991/1992

Total Irrigated
Area Recorded

(ha)

1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24

Wora-wari
Blimbing
Semen
Gendingan
Kalikutuk
Klampok
Cangkring
Paten
Kemendung
Gletak
Wiyu
Kenteng Wetan
Pergiwatu
Sempu
Kenteng Kulon
Karongan Kiri
Karongan Kanan
Karangasem
Ngramang
Milir
Cemetuk
Klipuh Kiri
Klipuh Kanan
Drigul
TOTAL

15.00
88.00
68.00
50.30
36.25
10.10
27.10
11.50
50.00
28.60
27.05
27.15
126.00
38.00
18.40
3.00
46.05
24.00
4.85
13.50
31.25
37.20
50.00
94.00
925.30

Total Planned Irrigated Area (ha)

Season
Season Season
MT1
MT2
MT3

15.00
88.00
68.00
50.30
36.25
10.10
27.10
11.50
50.00
28.60
27.05
27.15
126.00
38.00
18.40
3.00
46.05
24.00
4.85
13.50
31.25
37.20
50.00
94.00
925.30

PLANNED IRRIGATED AREA

System: DI Papah

No.

Tertiary
Name

Wora-wari
Blimbing
Semen
Gendingan
Gunung Duk
Paten
Ngentakrejo
Klipuh
Kemendung
Pergiwatu
Sempu
Kenteng Kulon
Karongan
Milir
Cumetuk
Papah Kanan
Drigul

TOTAL

15.00
88.00
68.00
50.30
36.25
10.10
27.10
11.50
50.00
28.60
27.05
27.15
126.00
38.00
18.40
3.00
46.05
24.00
4.85
13.50
31.25
37.20
50.00
94.00
925.30

No.

Tertiary
Name

Total Irrigated
Area Recorded

(ha)

1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21

YEAR : 1992/1993
Total Planned Irrigated Area (ha)
Season
Season Season
MT1
MT2
MT3

Wora-wari
Blimbing
Semen
Gendingan
Kalikutuk
Klampok
Paten
Cangkring
Klipuh Kanan
Drigul
Kemendung
Wiyu
Kenteng Wetan
Pergiwatu
Sempu
Kenteng Kulon
Karongan
Karangasem
Cemetuk
Milir
Papah Kanan

15.00
88.00
68.00
50.00
36.00
10.00
12.00
64.00
50.00
94.00
50.00
27.00
27.00
126.00
38.00
21.00
49.00
26.00
14.00
31.00
29.00

15.00
88.00
68.00
50.00
36.00
10.00
12.00
64.00
50.00
94.00
50.00
27.00
27.00
126.00
38.00
21.00
49.00
26.00
14.00
31.00
29.00

15.00
88.00
68.00
50.00
36.00
10.00
12.00
64.00
50.00
94.00
50.00
27.00
27.00
126.00
38.00
21.00
49.00
26.00
14.00
31.00
29.00

15.00
88.00
68.00
50.00
36.00
10.00
12.00
64.00
50.00
94.00
50.00
27.00
27.00
126.00
38.00
21.00
49.00
26.00
14.00
31.00
29.00

TOTAL

925.00

925.00

925.00

925.00

YEAR : 1994/1995

Total Irrigated
Area Recorded

(ha)

1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17

15.00
88.00
68.00
50.30
36.25
10.10
27.10
11.50
50.00
28.60
27.05
27.15
126.00
38.00
18.40
3.00
46.05
24.00
4.85
13.50
31.25
37.20
50.00
94.00
925.30

PLANNED IRRIGATED AREA

System: DI Papah

Total Planned Irrigated Area (ha)

Season
Season Season
MT1
MT2
MT3

15
84
68
53
39
17
140
50
121
45
20
136
41
49
45
26
50

15
84
68
53
39
17
140
50
121
45
20
136
41
47
45
26
50

15
84
68
53
39
17
140
50
121
45
20
136
41
49
45
26
50

15
84
68
53
39
17
140
50
121
45
20
136
36
49
45
26
50

999.00

997.00

999.00

994.00

Page 1

[Link]

Appendix A5

Research paper
(Submitted to the journal of the Institution of Water
and Environmental Management, February 1995)

Strategic investment planning for irrigation - The "Asset Management" approach

1

M A BURTON , W D KINGDOM and J W WELCH

1

Lecturer, Institute of Irrigation Studies, University of Southampton, Southampton SO17 1BJ, UK

Manager, Planning and Economic Regulation, WRc, Blagrove, Swindon, Wilts SN5 8YF, UK

Director, T W Welch and Partners Ltd, Tudor House, Falmouth Close, Nailsea, Bristol BS19 2UP, UK

Keywords: privatisation, turnover, investment planning, financial modelling, asset management,

performance assessment, rehabilitation, asset survey, pricing for cost recovery, maintenance, level of
service, accountability.
Abstract : Asset management planning provides a structured and auditable process for planning long
term investment in infrastructure. The irrigation sector has a pressing need for an efficient means to
facilitate strategic investment decisions based upon a clear overview of objectives, options, costs,
benefits and competing needs. This paper describes research carried out in Indonesia to assess the
feasibility of transferring asset management planning procedures developed for the United Kingdom
water industry to the irrigation sector. The 6-month study found notable similarities and some differences
between the two applications. Modified procedures were developed accordingly and tested in field trials.
It is concluded that there are significant opportunities for the application of the approach as developed in
the UK using statistically based sampling procedures. From the experience of the study and the field
trials the approach is found to be highly relevant and practicable.

Introduction

There is a need, in all societies, to invest in public infrastructure such as roads, water supply networks,
irrigation and drainage systems following their initial construction. In recent years the level of
investment in such infrastructure has become a major issue as governments in both developed and
developing countries come to terms with the sums of money involved. Pricing for cost recovery, demand
and customer orientation, cost and operational efficiency are currently key issues. It is estimated by the
World Bank (1994) that potential annual gains worldwide from eliminating mispricing and inefficiency
in infrastructure provision amount to US$ 55 billion. This represents nearly 10 percent of total
government revenues in developing countries, 60 percent of annual infrastructure investment and
approximately five times the annual development finance for infrastructure.
In some countries, such as the United Kingdom, some public infrastructure has been privatised, in others
government agencies are looking to ways to better manage their infrastructure in order to avoid the
repetitive cycle of system deterioration, rehabilitation and deterioration which result from underinvestment. It is in this context, the determination of adequate levels of investment, that asset
management planning has a role to play. Asset management planning can be defined as:
"A structured and auditable process for planning investment in infrastructure to provide users
with a sustainable and defined level of service."
Asset management planning identifies asset stock (in irrigation the canals, drains, structures) and
quantifies its condition and its performance (Rumsey and Harris,1990). The latter is considered both in

terms of the performance of the individual asset and the overall system (of which it is a part). From the
assessment of asset condition and level of performance estimates can be made for the investment
required to either:
(i) maintain existing system performance;
(ii) enhance or extend system performance;
(iii) maintain asset condition profile
From these estimates investment plans can be prepared, both in the long term (20-25 years) and the short
term (5 years). It should be noted that the process is applicable whether the utility is in the public or the
private sector, and whether the intention is to run a profit-making enterprise or to determine the real cost
of the service (which may, or may not be, subsidised).

Development of asset management planning procedures for irrigation systems

This paper outlines research carried out to develop procedures for asset management planning for
irrigation systems based on asset management planning procedures developed for the UK water industry
in the run-up to privatisation in 1989. The research was carried out between July and December 1994 by
the Institute of Irrigation Studies, University of Southampton, in association with WRc (formerly the UK
Governments Water Research Centre), Swindon; Mott Macdonald, Cambridge, UK; the Faculty of
Agricultural Technology, Gadjah Mada University, Yogyakarta; and the Directorate General of Water
Resources Development (DGWRD), Department of Public Works, Indonesia. The study was funded
through a research contract with the United Kingdom Overseas Development Administration (ODA).
The objectives of the research were:
(i)

To study the development and current procedures of asset management in the UK water industry;

(ii)

To assess the applicability of UK asset management procedures to the developing country

irrigation scenario;

(iii) To formulate a strategy for application of asset management procedures and techniques to the
irrigation sector;
(iv) To carry out, on a trial basis, identified asset management planning procedures for selected
irrigation scheme(s);
(v)

To review the application of the trial procedures, and, where required, identify areas for further
study and research;

(vi) To prepare outline recommendations in the form of guidelines for implementation of asset
management planning procedures in developing country irrigation.
Preliminary work for this research had commenced in July 1993 with a study based in East Java,
Indonesia (Davies, 1993). Though addressing and solving some of the issues related to asset management
planning for irrigation this study identified particular areas that the 1994 study needed to investigate
further.

UK water industry asset management planning procedures

The approach adopted for this research was to apply asset management procedures as recently developed
for the UK water industry. A brief outline of the historical development of these procedures is provided
below.
In the run up to privatisation of the UK water industry in 1989 the investment community was
concerned over the ability to sell the water companies on the free market at a sensible price. Their
concern centred on:
n

the need for investors to have a clear understanding about the condition and performance of
the assets of the industry (some 70% of which are buried);

the extent of investment needed by the industry to maintain assets and meet new
performance requirements; and

how investment was to be funded.

Newspaper photographs of buses falling into collapsed sewers provided a graphic illustration of what
potential investors could be buying into.
There was therefore a requirement for some form of plan that addressed these concerns. This plan would
need to be independently certified to provide comfort to both the government and investors that what
was contained within them was fair and reasonable. In addition there was concern in the public mind that
the privatised water companies would run down the assets (asset stripping) through under-investment,
and might, at some time in the future, run off leaving the customer to fund a major improvement
programme. It was important therefore that asset condition could be both measured and monitored to
ensure that sufficient investment was being made by the companies on asset maintenance and that the
plans for this were transparent and capable of being audited.
Thus the concept of the Asset Management Plan (AMP) was born - a plan that would allow asset
condition, performance and investment needs to be quantified and independently certified.
There was a need to ensure some degree of consistency between the companies in the preparation of the
1
asset management plans. A framework for the preparation of an underground asset management plan
was therefore prepared (WRc/WAA/WCA/DoE/WO,1988) by WRc jointly for the Government and the
water utility trade associations (the Water Services and Water Company Associations).

At privatisation the AMPs focused entirely on underground assets, it being considered that
above ground assets, being visible and with well established performance measures, would be
relatively straightforward in respect of quantifying investment needs. Since then, above ground
assets have been included.

The framework identified six stages to the plan as presented in Table 1 below.
Table 1

Six stages of an Asset Management Plan

1.

Devise procedures for preparing the AMP and keeping it up to date. These must be
traceable and repeatable.

2.

Prepare a statement of the Utilitys relevant standards and policies.

3.

Identify various functions of the Utility and prepare a list of systems under each heading.
Each system will comprise a number of assets.

4.

Collect information on performance and condition of the principal components of each

system. This may be done by sampling (Note that performance information relates to a
system whereas condition information relates to individual assets).

5.

Estimate long term investment covering a 20-year planning period to meet shortfalls of
performance and condition and to provide for expansion and improvement.

6.

Prepare short term programme of expenditure for 5 years.

Source: Adapted from WRc/WAA/WCA/DoE/WO (1988)

Stage 2 is particularly important in that it introduces the idea of standard of service provision to
customers as a key driving force in determining investment needs. This was a major step forward in
terms of changing the ethos of the water utility from the provider of services as determined by the
priorities of management and government to the provider of service to the customer. The actual level of
service provided to the customer is compared to the standard and the shortfall identified. Investment to
improve levels of service can be identified and subsequent improvements monitored.
The above framework was subsequently implemented by all the water companies of England and Wales
with the results being used to:
n

Provide input to the prospectuses of the water companies

Allow price "caps" (limits) to be set by the government regulator

Allow monitoring of performance once privatised.

Allow asset condition to be monitored over time

The asset management plans were prepared in some 18 months and resulted in the identification of over
24 billion of investment during the subsequent 10 year period by the 10 major water and sewage
companies.
It is important to note that the AMP procedures outlined above (which are based on statistical sampling)
allow the identification of total investment needs and timing of expenditure over the plan period. They
do not, therefore, identify where to spend the money in terms of specific schemes. The annual
disbursement of monies allocated each year under the AMP requires detailed planning and prioritisation

according to the actual investment requirements at that time. What can be said, however, is that the total
sums of money budgeted for over the planning horizon (20 years, in four 5-year programmes), as
determined by the AMP, should be adequate to fund all the activities necessary to achieve the outputs
identified. In practice, many individual projects incorporated into the AMP, particularly in its first 5-year
plan, will already have been identified under existing investment procedures, and will already be well
advanced in either the planning or implementation phase.
Since privatisation in 1989 the AMP process has been further developed and enhanced. The plans now
include, very sensibly, consideration of all assets (not just the underground ones) in terms of condition
and performance (WRc,1990). In addition the plans report on level of service provision to customers,
asset values, operating costs and sources of revenue. What had started as an asset management plan for
underground assets has now become a comprehensive 20 year Strategic Business Plan for each water
company.
The Strategic Business Plan is monitored by the water industry regulator, OFWAT, which publishes
annual reports outlining how customers standards of service (measured using a "basket" of performance
indicators) have changed during the last year in response to the investment programme. These reports are
public domain information and are used to "shame" poor performers into doing better next time. The
information is also available to the financial markets and, in theory, the results influence the companys
share price and market value. Companies thus have a real incentive to improve performance. Typical
examples taken from OFWAT reports are presented in Tables 2 and 3 below, from which it is possible to
see the change in performance over time, and to compare performance between different water
companies. As well as improving levels of service "Companies have greatly improved the information
which they collect on what they achieve, as opposed to what they spend. This is in keeping with a regime
based on performance and incentives" (I C R Byatt, Director General, OFWAT, OFWAT Report on
Information for Regulation, Volume 1, 1995).

Table 2

Company performance 1990-91 to 1994-95

Indicator

Description

1990-91
%

1991-92
%

1992-93
%

1993-94
%

1994-95
%

DG1

Population at risk of water shortage

24

20

12

12

12

DG2

Population at risk of low pressure

1.85

1.69

1.26

1.02

0.81

DG3

Properties subject to unplanned supply

interruptions of 12 hours or more

0.42

0.20

0.38

0.35

0.26

DG4

Population subject to hosepipe bans

41

14

DG5

Properties at risk of sewer flooding

0.13

0.11

0.09

0.08

0.09

DG6

Billing queries not responded to within 20

days

3.84

3.25

3.99

3.30

1.16

DG7

Written complaints not responded to within

20 days

8.82

5.86

8.61

12.78

1.02

Source: Table 1, OFWAT Report "1994-95 Report on Levels of Service for Water Industry in England
and Wales."

Table 3
Company

Examples of water delivered unit costs 1991-92 to 1994-95

Year

Cost of
operations
(pence/m3)

Capital
maintenance
(pence/m3)

Return on
capital

Cost to
customers
(pence/m3)

(pence/m3)
Anglian

Thames

1991-92

32

16

15

64

1992-93

35

19

18

72

1993-94

46

20

73

1994-95

33

15

24

71

1991-92

29

43

1992-93

30

10

46

1993-94

30

10

49

1994-95

27

11

47

Source: Table 4a, OFWAT Report "1994-95 Report on the Cost of Water Delivered and Sewage
Collected"
4

Asset management for irrigation

From the study it was found that there were certain similarities and differences between the requirements
for asset management procedures for UK water supply and wastewater systems and developing country
irrigation systems. The key similarities between the two cases were:
-

there are a large number of systems and assets

assets operate as hydraulically definable systems
assets can be given a condition ranking
individual assets perform defined functions
cost models can be prepared
there is a requirement to plan investment in the long term
systems have to provide a service to customers
systems are geographical monopolies
there is concern over "asset stripping" in turned over or privatised systems

The key differences between the two cases were found to be:
-

management plays a far more significant role in irrigation performance than is the case with
water supply/wastewater.
irrigation performance indicators are not easily, nor well, defined
there are few statutory levels of performance laid down for irrigation
in irrigation standards of customer service are often not defined
in water supply pressurised, looped pipe systems can compensate for malfunction of parts of
the system. In gravity fed, open channel irrigation malfunction of assets in the upper reaches
can have a significant impact on performance downstream.

The issue of whether the irrigation system is in the public or private sector, and whether, if in the private
sector, it should operate on a profit or non-profit making basis was not found to be of significance. The
asset management planning process outlined herein facilitates the determination of realistic levels of
investment required to sustain the cost effective delivery of the irrigation service. Whether additional

charges are levied on the figures so obtained, or to whom the irrigation service fees are paid, does not
affect the validity of the asset management planning process. In fact the process of asset management
planning has importance in the turnover or privatisation of irrigation schemes, as it provides a
mechanism for assessment of value, viability and investment planning. Many of the issues addressed by
the recent International Conference on Irrigation Management Transfer, held in Wuhan, China in
September 1994, can be addressed through asset management planning.
Though there are differences, it was found, through analysis of the two types of application and the field
trials, that asset management procedures developed for the UK water industry can be applied, with
modifications, to asset management planning for irrigation. As a consequence a framework was
developed for asset management planning for irrigation (Figure 1), the components of which are
discussed in turn in the following sections.
(i)
Defining system functions
The primary function or functions that the service is intended to provide need to be defined. For an
irrigation system the primary function might be defined as " to supply irrigation water in adequate
quantity and quality and at the time required to suit crop needs". For the complementary drainage system
the primary function might be defined as " to remove excess water from the land surface and soil profile
in adequate quantity and time to match crop drainage needs."
(ii) Identifying the Planning Unit
For the purposes of the asset management planning procedures described herein it is necessary to identify
"Planning Units", for which samples can be taken and statistically analyzed. Such Planning Units should
be representative of the systems as a whole. Planning Units could be whole systems (as in the trial case
in Indonesia), or parts thereof such as secondary canals. The systems could be divided up into several
categories of Planning Units, for instance the diversion weirs on the rivers could be one category, the
primary canal system and below another.
The selection of the Planning Units is central to the preparation of the AMP to ensure that the samples
are truly representative and that information obtained from the sampled areas can be aggregated up to
provide an accurate picture of all systems. The involvement of a statistician can never be too early in the
preparation of an AMP.
(iii) Stratification and Normalisation
Having decided on the Planning Unit it is necessary to "stratify" or group them. The purpose of this
stratification is to divide Planning Units into similar investment types with similar characteristics. Once
systems are grouped into strata representative samples can be taken for statistical analysis. Grouping
could be based, amongst others, on one or more of the following:
- general topography (steep,flat)
- scheme cropping pattern
- level of technical sophistication (fully developed, partially developed, etc)
- age
- management/ownership (agency, agency/farmer, farmer)
- average farmer income levels
"Normalisation measures" provide the means to relate characteristics of systems to some common unit of
size. Typical normalisation measures are area or discharge. Thus it is possible to convert investment
estimates for one size of scheme to another using the normalisation measures.

OPERATIONS/
MANAGEMENT
Existing
Management
Establishment
Existing
Operational
Procedures

PERFORMANCE
Legal obligations
Environmental Impact
National Water Policy

Liaison with
Water User
Associations

Future Demand
Estimates

Standards of
Service

Management
Studies

Regional
Development
Trends

ASSETS
Performance
Survey of
Asset Systems
Current Levels
of Service

t
Engineering Studies

Investment Needs Identified

Activities Planned
Benefits (performance improvements)

OPEX
Adjustments

COSTS

Asset Survey

Asset Database:

Extent
Size
Value
Condition
Serviceability
Importance

Analysis of
Historical Costs
CAPEX Analysis
Unit Cost Index
NewBuild
(Modern
Equivalent

Rehabilitn
/
Upgrade
Activities

OPEX Analysis
Operating Costs
Routine
Maintenance
Activities

Operations

ASSET
MANAGEMENT
PLAN

Financial Modelling:
* Alternative strategies
* Capital Planning
(eg 20 years)

Changes to
Procedures

* Budget Planning
(5 years)
* Budget Priorities

Management
Adjustments/
Training
Needs

Figure 1

OPEX
Budgets

Privatisation/Turnover
Negotiations

Overview of asset management planning for irrigation

Pricing for Cost

Recovery

Needs Based Budget

Allocations

Comparative Performance
Assessment & Rewards

(iv) Carrying out the Asset Survey

The Asset Survey is a central feature of the asset management planning process. The survey aims to plug
gaps in the information required to prepare an AMP. Typically, at the preparation of a first AMP, those
gaps could be quite extensive. Over time, however, more and more information will become available
and surveys will continue to fill these gaps, update information and improve the accuracy of information.
As sample (rather than all) systems are taken it is possible to carry out the Asset Survey in detail without
overtaxing the available resources of skilled manpower, time and money. The survey serves to
determine:
-

the category of components of the system (canal, head regulator, etc).

the extent of the assets that exist (how many and in what categories).

the size of the asset (these are grouped into Size Bands).

the "importance" of the asset. The importance relates to the impact that malfunction of the
asset might have on the system as a whole. The head regulator at the river intake is thus
more "important" than a secondary canal head regulator lower down the system.

the value of the assets in each size band. The value is based on the Modern Equivalent Asset
(MEA), that is the cost of replacing the structure at todays costs.

the components of each asset (e.g. gates and masonry as components of a head regulator
structure). Different components of an asset may deteriorate at different rates.

the condition of the asset and its components. The condition will affect the level of
investment required. Condition Grades are used to categorise condition.

the serviceability of the asset, that is, how well it performs its function. An asset may be in a
poor condition (masonry damaged) but performing its function satisfactorily (gates operating
and passing design discharge). For irrigation serviceability of structures is divided into
Hydraulic Function (ability to pass design discharge) and Operations Function(ability to
control flow across a specified range, ability to provide command level,etc). Serviceability
Grades are used to categorise serviceability.

(v)
Assessing scheme performance
This is one of the most difficult elements of the asset management planning process for irrigation. By
comparison performance assessment for water supply systems are relatively straightforward. For
irrigation a clear distinction needs to be made between the performance of the scheme (that is the
irrigation and drainage network, the fields, the crops, the farmers, etc) and that of the system (just the
irrigation and drainage network alone). Asset management planning is concerned with the performance
of the system, the principle performance measures are design, or maximum required, discharge, and
command. Other common scheme performance indicators such as crop production, crop yield, etc are not
of direct interest for asset management planning (though improvement in system performance will be
quantified in terms of these variables). Small and Svendsen (1992) recognise the distinction between
different "systems" (using terms of "irrigation system" and "irrigated agriculture system") and provide a
useful framework for performance assessment at all levels. Murray-Rust and Snellen (1991) do not make
such a clear cut distinction between scheme and system performance.

A key feature of the asset management planning process is to specify the required level of service and to
then determine the performance shortfall by measuring the current levels which are, or could be,
provided by the assets (assuming there are no management constraints).
(vi) Engineering Studies
Engineering Studies are a central part of the asset management process. Their primary requirements are
to:
a.

Identify and quantify causes of system performance shortfall (if any)

b.

Quantify likely consequences (benefits and costs) of investment strategies aimed at

improving performance levels.

c.

Quantify changes (over time) in values of performance indicators as a consequence of capital

investment.

Further studies related to the needs of the Financial Model may be required, such as, for instance, an
economic and financial analysis to determine the ability of the water users (farmers) to pay for the
planned levels of service.
The number and location of the Engineering Studies will be determined in consultation with the AMP
statistician to ensure that the results will provide information that can be aggregated in a statistically
valid way.
It must be emphasised that the Engineering Studies and the Asset Survey have different aims and
outputs, and in this respect they complement each other.
(vii) Building Cost Models
The purpose of Cost Models is to:
-

facilitate valuation of existing assets (in terms of their MEA)

provide unit costs for capital investment activities
quantify operational costs into (a) Operation and (b) Maintenance.

The values for the Modern Equivalent Asset (MEA) may come from existing data, or may need to be
generated as part of the Engineering Studies. Unit costs will be needed to convert investment activities
(such as replacing secondary canal head regulator gates) identified by the Engineering Studies into
expenditure. The recurrent budget required for system operation and maintenance (OPEX, as opposed to
capital investment, CAPEX) will need to be quantified. Trade-offs between CAPEX and OPEX
expenditure may need to be considered, if so the opportunities for these will need to be determined under
the Engineering Studies.
(viii) Assembling and Presenting the AMP
The process of producing the Asset Management Plan (AMP) is one of data transformation of the
various inputs from diverse sources (as described above) into a set of interrelated outputs. The various
outputs from the processing within the AMP are presented in Table 4 below. These outputs from the
AMP are then used in the Financial Model.

Table 4

AMP outputs

Output
Asset Stock Condition and
Serviceability Profiles.
Asset Types and
Components Depreciation
Categories.
Investment Timing and
Purpose Analysis.
Investment by Asset Type
and Importance Band.
Investment Activities.
Investment Benefits.

Description
Report outlining the total number of each asset type, the sub-totals in each size band, the MEA
value, total depreciated value and profiles by MEA value of asset condition, serviceability and
importance.
Report on the depreciation lives of the various asset types and components.

A provisional programme of capital investment for the first 5-year plan and each subsequent 5-year
band to 20 years. Also identifies purpose of investment as either (i) maintain system performance
(ii) improve or extend system performance or (iii) maintain asset condition profile.
Report relating investment plans, in financial terms, to specific asset types and their importance
band.
Report showing long term investment programme broadly defined into the most significant types of
work which will be undertaken (such as "replace gate", "repair downstream protection".)
Report detailing the anticipated benefits gained over time from the investment programme in terms
of improvements in performance indicators. Forms a key aspect of the Financial Model.

(ix) Running the Financial Model

The financial modelling process is one of reviewing and refining the provisional ideas presented in the
AMP. This is the part of the process through which the key strategic management decisions can be taken.
Specifically, the purpose and boundaries of the financial model are:
(i)

to come up with a realistic investment strategy in terms of the funds available; and

(ii)

to identify CAPEX/OPEX tradeoffs (Capital against Operating expenditure decisions).

In running the Financial Model the data collected for, and collated in, the AMP are used to the full. From
the AMP we have:
-

investment needs identified

a provisional expenditure programme over 20 years
benefits of investment identified and related to the same programme
a database on which to draw in considering alternatives

Using the above as a base to work from, the Financial Model considers constraints and priority
influences in respect of:
a.
b.
c.
d.

Alternative strategies
Capital planning (20 years)
Budget planning and investment priorities (5 years)
Sources and realistic levels of funding (Irrigation Service Fee, subsidies, etc).

a.
Alternative Strategies. A fundamental question which needs to be explored is whether the
investment plans provisionally set out in the AMP can be sustained as they stand without modification. If
they cannot then consideration needs to be given to alternatives, such as:
-

Accelerating or delaying investment

Altering the level of service to be provided

Finding alternative sources of revenue

Considering alternative CAPEX/OPEX trade-offs

The decisions arising from consideration of alternative strategies will:

- set policies (for guidance in budget preparation)
- allocate funds and priorities for the first 5-year plan
b.
Capital Planning. This is the process of defining the capital investment requirements arising from
the preferred investment programme. It is necessary to know the cost and income stream and the flow of
capital in 5-year periods over the 20 years. The first 5-year plan is converted into a budget plan.
c.
Budget Planning and Investment Priorities. This analysis sets out a detailed expenditure policy
for the first 5 years, based on declared priorities. It allocates "baskets of money" to specific types of
activity, and defines the cash flow (income and expenditure) required to achieve this level of investment.
d.
Sources of Funding. As part of the financial modelling process the pricing structure for provision
of the service needs to be considered and the charge rate to the consumers set. The level of this "Service
Fee" will depend on, inter alia:
-

obligatory standards ([Link], minimum flow levels for pollution control, etc)
the desired level of service to be provided to the customer given the ability and/or
willingness of the water users to pay (based, for example, on a customer survey or socioeconomic appraisal)
the current level of service (in comparison with the desired level of service)
the level of investment to be made in the system
tradeoffs made between CAPEX and OPEX expenditure

In the Financial Model careful attention will need to be paid to the level set for the service fee. The cost
stream should be relatively stable such that customers are not met with widely fluctuating fee levels. In
the case of the recently completed AMP2 for the UK water industry the level of fee set for water charges
was a major issue in the investment planning proposals prepared by the water companies.
(x)
Pricing for Cost Recovery
By planning the level of investment required over time the AMP sets target income levels to fund
investment. This income can come from a variety of sources; in the case of water supply it is usually
from the customers, whilst in irrigation in developing countries it is often paid by government. Within
many countries, however, moves are being made to charge users for irrigation water supplies through the
levy of an Irrigation Service Fee. As discussed above the setting of this fee level is a sensitive issue and
in the case of irrigated agriculture the ability to pay needs to be carefully studied (ADB/IIMI,1986;
Small, 1987). Such studies should form part of the Engineering Studies outlined above.
5
Experiences of the trials
Two trials of the application of asset management procedures to irrigation were undertaken in Indonesia,
one in East Java Province in 1993 and one in Yogyakarta Province in 1994. Findings from the first study
(Davies, 1993) were incorporated and refined in the second study (IIS,1995a), and a preliminary set of
guidelines produced for asset management planning for irrigation (IIS,1995b).
The first study and trial was undertaken as part of the World Bank funded Operation and Maintenance
Turnover Component of the Second Irrigation Sub-Sector Project (ISSP-II). The second study and trial

took place in Yogyakarta Province, and was selected because of its proximity to Gadjah Mada University
and because of its relatively small size as a province. It was envisaged that a province was a realistic size
of administrative unit on which to base an asset management plan.
The stages of AMP production and the requirements of each stage have been set out above, the sections
below briefly outline some of the practical difficulties experienced in developing and following through
the asset management planning process. The details provided mainly refer to the second, more
comprehensive, trial.
(i) Stratification
In order to stratify systems into groups with like characteristics it is necessary to gain a comprehensive
overview of all systems operated in the area concerned. This proved to be more difficult than might have
been supposed. Data did exist, however, and could be collected and analyzed in an appropriate way
although it was not always consistent. Parts of the procedure require the grading of data accuracy and
reliability and these scores are the basis of statistically derived confidence limits. Some reliance had to
be placed on the assessments of operations staff who know the area (for example about whether a system
was on "flat" or "steep/undulating" terrain) but this is quite acceptable as a source of some data.
Ultimately it proved possible to undertake stratification in a manner which made operational sense and
satisfied the statistical requirements.
(ii) Sample system
Sample systems for detailed examination (performance assessment and asset survey) would normally be
selected randomly from the strata groups identified. Sufficient work was done to demonstrate the
procedure and establish its feasibility. For the next stages of the trial, however, a single system, Daerah
Irigasi (D.I.) Papah, was selected as a contract had just been let for a series of upgrading, extension and
deferred maintenance tasks aimed at improving system performance. This meant that it could be
inspected extensively in its deficient state without disruption to service. Furthermore "Engineering
Studies" had already been undertaken in justification of the ongoing works and were available for
inspection.
(iii) Performance indicators
A great deal of thought and discussion went into the theoretical selection of appropriate performance
indicators. In practice, of course, the choice is limited to data which are available or which can be
collected. Following adoption of Asset Management Planning, steps could be taken to improve quality
of data over time thus narrowing confidence limits and adding clarity. In the trial the following
approaches to measuring system performance were tested:
n

crop area planted in comparison to that planned as a measure of farmer confidence in the
service

Water Delivery Performance Ratio (Actual discharge/Target discharge)

interviews with Water User Associations (PPPA) about their experiences of the service and
any associated problems

In Yogyakarta Province data on crop area and type within each tertiary unit is collected each 15 days,
data on river and canal discharges is, in theory, collected each day. Data from the previous 15-day period
is used to plan the target water allocations for the coming 15-day period. Thus the performance
indicators chosen for the AMP were consistent with current practices.

These approaches could be regarded as alternatives or as complementary depending upon the amount and
consistency of data available. In practice, the difficulties in the first two approaches lay in the
availability and quality of data (even though the indicators had been chosen with this in mind) whilst in
the third approach the problem is one of converting the qualitative results of wide ranging interviews into
an appropriate quantitative scoring systems. It is recognised that there is nothing fundamentally new
about these problems and that they can be overcome. Sufficient was undertaken in the trial to
demonstrate that performance indicators of the form required by the AMP can be selected for irrigation
and can be measured. However the authors feel that the detailed approach to this aspect should be the
subject of a preliminary study for each country intending to use Asset Management Planning since
requirements and practices vary widely from one country to another.
(iv) Cost Model
The trial found that data exists from past project estimates and priced contract documents to enable the
compilation of a Cost Model. The form of presentation of the information is often unsuitable for use
without unscrambling however. Work was undertaken in the trial to clarify practical difficulties in
compiling the Cost Model which proved, as expected, to be largely to do with gathering and analysing
data. The attractions and range of uses of such a cost database, once compiled, were appreciated by
irrigation agency officials - reflecting the experience in the UK where the development of a waterindustry-specific cost database had its origins in the requirement to produce the original AMP.
(v) Engineering Studies
The requirement to undertake Engineering Studies is well understood by irrigation agencies and has long
been the bread-and-butter of consulting engineers. As explained above, an existing report on D.I. Papah
was used in the trial as a means to identify potential difficulties. In essence the report addressed the
requirement of the AMP but, as it stood, the form of its output was not fully suited to preparation of an
AMP in the following respects:
n

It did not relate specific investment activities to specific performance shortfalls. Instead,
overall financial costs and benefits were compared.

It did not enumerate separately the costs of specific investment activities. All activities were
aggregated and re-divided into Bill of Quantity items before costs were applied.

It did not detail benefits in terms of improvements in performance indicators or how there
would be distributed over time.

It was found that specific terms of reference for Engineering Studies for the AMP were required, and that
further research was required in this particular area. Interestingly research work along these lines is being
carried out by the Overseas Development Unit of HR Wallingford (1994) in Yogyakarta Province.
(vi) Asset Survey
A set of survey forms and grading classifications were developed for principal elements of asset systems
(i.e. Weirs, Canals, Head and Cross Regulators, Measuring Structures etc.). These were tested by the
research team and irrigation service staff carrying out asset surveys. Lessons were learnt and
amendments made in relation to the layout, clarity of condition and serviceability descriptors and about
the logistics of survey planning and organisation.
(vii) Data Transformation and Presentation
The detailed form of presentation of the Asset Management Plan must be tailored to the requirements of
the commissioning agency. A suite of input and output proformae were developed equivalent to those

required and used in the UK water industry but reflecting the needs of irrigation (IIS,1995b). The process
of data transformation was designed in a manner suitable for a computer database.
In the first study a spreadsheet program was used to compile, analyze and present the data. Whilst more
time than was available is required to develop a more sophisticated program the spreadsheet model did
allow comparison of different investment strategies (Figure 2). With a "Very Poor" specified level of
service the investment comes later in the planning period (in this case 10 years) as investment is
deferred. Eventually investment has to be made if the system is to function at all. With a "Very Good"
proposed standard of service the investment profile is weighted towards the early stages of the planning
horizon. Interestingly, in this example, the average annual budget requirement are similar in both cases.
From this analysis the average annual income (the "Irrigation Service Fee") needed to support this level
of investment can be determined (approximately Rupiahs 18,000 (US$8) per ha).

Conclusions

The major conclusion drawn from the study is that asset management planning, as developed for the UK
water industry, can be applied, with modifications, to the irrigation sector in developing countries. By
the nature of the approach (using statistical sampling methods) its applicability is limited to those
countries with an extensive irrigation network. This approach makes best use of available resources of
skilled manpower, time and money by concentrating efforts on in-depth analysis of selected sample
areas. The key to the process lies in the approach adopted to statistical sampling. Great care is required
to identify the criteria for stratification and normalisation in order that the sampled areas are
representative of the system or systems as a whole.
A key issue in the asset management planning process for irrigation was found to be the influence that
operational management has on performance. It is essential that management constraints are identified
and their impact on system performance understood. The performance assessment needs to concentrate
on the system, though measures of scheme performance (such as crop production and its spatial
distribution) may be used as proxies for system performance. As has been the case in the UK, it was
found that the process of preparing the AMP for the irrigation system focused attention on, and clarified,
the actual and desired level of service provision to customers.
Finally it is believed that asset management planning as outlined herein provides an excellent framework
for the "business" of managing irrigation systems. The process has application whether the system is in
the public or private sector. The question of what institutional arrangements would best suit the
provision of the service is a separate one - although, clearly, for it to be effective, conditions must prevail
in which managers have at their command both the resources and the authority to carry out the plan.
Through the process of asset management planning many of the current issues in irrigation are addressed
and resolved within a systematic framework. These include cost recovery and the setting of an irrigation
service fee; performance assessment and stipulation of performance targets; irrigation turnover and
privatisation; stipulation of levels of service; maintenance management and sustainable development.
The key issue is that these initiatives are brought together in a logical framework which addresses the
whole process rather than individual parts.
The process results in a Strategic Business Plan in which investment levels are set for the system to
provide stipulated levels of service to customers which will facilitate specified levels of output from the
irrigation scheme as a whole. Through the process of preparation of the AMP, data is collected against
which subsequent performance can be measured and assessed. The system is "transparent" and
auditable. It has much to recommend it.
Acknowledgements
The authors wish to acknowledge the financial assistance of the Overseas Development Administration
(ODA) which enabled this research to be carried out. In addition they would like to thank all those who
gave of their time and expertise during the study, particularly the staff and students of the Faculty of
Agricultural Technology, Gadjah Mada University, and the staff of the Directorate General of Water
Resources Development, both in Yogyakarta and Jakarta. The logistical support provided in Indonesia by
Mott MacDonald International is also appreciated.

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