Impact analysis of Uttarakhand Rural Water Supply & Sanitation...
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Prepared forPrepared forPrepared forPrepared for State Water Supply and Sanitation Mission,
Government of Uttarakhand
Submitted bySubmitted bySubmitted bySubmitted by The Energy and Resources Institute (TERI)
In association withIn association withIn association withIn association with
Sycom Projects Consultants Pvt. Ltd.
January 2016
Final ReportFinal ReportFinal ReportFinal Report
Impact analysis of Uttarakhand Impact analysis of Uttarakhand Impact analysis of Uttarakhand Impact analysis of Uttarakhand Rural Water Supply & Rural Water Supply & Rural Water Supply & Rural Water Supply &
Sanitation Project (URWSSP)Sanitation Project (URWSSP)Sanitation Project (URWSSP)Sanitation Project (URWSSP)
Sycom Projects Consultants Pvt. Ltd.
Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
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© The Energy and Resources Institute 2016
Suggested format for citation
T E R I. 2016
Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
New Delhi: The Energy and Resources Institute.
[Project Report No. 2015WM02]
For more information Mr. Rakesh Johri
Senior Fellow
Water Resources Division
T E R I Tel. 2468 2100 or 2468 2111
Darbari Seth Block E-mail [email protected]
IHC Complex, Lodhi Road Fax 2468 2144 or 2468 2145
New Delhi – 110 003 Web www.teriin .org
India India +91 • Delhi (0)11
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Project Team
Team Members TERI
Ms. Divya Datt
Ms. Mary Abraham
Dr. Mini G
Mr. Rakesh Johri
Ms. Sonakshi Sinha
SYCOM
Mr. Aditya Bisht
Mr. Ashish Sharma
Mr. Pradeep Dadlani
Ms. Shabarni Roy
Mr. T Subramuni
Advisor
Dr. Syamal Kumar Sarkar, IAS (Retd), Director - WRPM, TERI
Secretarial Assistance Ms Meera Yadav
Ms. S Jyothi
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Acknowledgement
The Energy and Resources Institute (TERI) and Sycom Project Consultants Private Limited
gratefully acknowledge the State Water and Sanitation Mission (SWSM) Uttarakhand and the
World Bank team, especially Dr Smita Misra and Mr V K Kurian, for their continued support
towards the study. The team acknowledges with thanks the kind contribution and valuable
suggestions from Mr Ranjit Sinha , Director, SWSM, and Mr Yogendra Singh, Chief Engineer,
SWSM. The advice and support provided by Mr V K Sinha, Consultant, SWSM, needs a special
mention and we wish to particularly thank him for his valuable comments and feedback as well
as the unstinted support extended to the team right from the inception phase of the study.
The project team was, to a great extent, assisted by various organizations that provided
relevant data and information crucial for the study. In particular, the support provided by the
Project Monitoring Unit, Uttarakhand Peyjal Nigam (UJN), Uttarakhand Jal Sansthan (UJS),
were most useful. Our sincere thanks to all the officials at the various District Water Sanitation
Committees, District Project Management Unit, Divisional offices of the UJN and UJS, Support
Organizations, and all other stakeholders of the project who have extended full cooperation
during the course of the study. The project team thanks Mr. Bharat Patwal, Ms Anita Rawat,
and Mr Gopal Joshi for their support in undertaking the field studies.
The support provided by the Gram Panchayats and UWSSC are also highly appreciated. The
study would not have been possible but for the support and encouragement of some of the TERI
colleagues, Mr Anshuman, Ms Sonia Grover, and Dr Prateek Sharma. The team also expresses
their gratitude to all those associated with field studies and the preparation of the report,
particularly Dr Fayaz Ahmed Mulla, Mr Praveen Kukreti, Mr Dibakar Jha, Ms Sangeeta
Malhotra, Mr Vishal Pratap Singh , and Mr Anurag Prakash who have travelled extensively
under difficult circumstances and Ms Meera Yadav for her secretarial assistance. We are most
grateful to all of them and also, our other colleagues who supported this study but are not
mentioned here.
Last, but not least, the team acknowledges that without the kind support and cooperation
rendered by the project beneficiaries and the friendly communities in the study region, this
study would not have been possible. We sincerely thank them all.
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Table of contents
PROJECT TEAM....................................................................................................................................... III
ACKNOWLEDGEMENT ............................................................................................................................. V
ABBREVIATIONS ..................................................................................................................................VIII
EXECUTIVE SUMMARY .............................................................................................................................1
Impact of the URWSSP project .......................................................................................................2
Impact of Water Supply Services ....................................................................................................2
Impact of Improved Sanitation .......................................................................................................3
Impact of the SWAp under the URWSSP .......................................................................................3
Impact of the Capacity Building and Education Programmes under URWSSP ..........................4
Household Level Impact .................................................................................................................4
Water Supply Services .....................................................................................................................4
Improved Sanitation ........................................................................................................................5
Capacity building ............................................................................................................................5
Education .........................................................................................................................................5
Institutional ......................................................................................................................................5
Gender ..............................................................................................................................................6
Health and Well-being ....................................................................................................................7
1 INTRODUCTION ................................................................................................................................8
1.1 Introduction ..............................................................................................................................8
1.2 Background ...............................................................................................................................9
1.3 Objectives ............................................................................................................................... 10
1.4 Scope of work and methodology ......................................................................................... 11
1.4.1 Scope ............................................................................................................................... 11
1.4.2 Methodology .................................................................................................................. 13
1.4.3 Subjects and Variables ................................................................................................... 16
1.4.4 Structure of Report ......................................................................................................... 17
2 IMPACT OF THE URWSSP PROJECT ........................................................................................... 18
2.1 SWAp Concept, Programme, and Impact............................................................................ 21
2.2 Water Supply Services—State Level .................................................................................... 24
2.2.1 Achievement versus Target ........................................................................................... 27
2.2.2 Impact ............................................................................................................................. 28
2.2.3 Progress on Additional Financing Project.................................................................... 28
2.3 Health and Sanitation ........................................................................................................... 29
2.3.1 Impact of improved sanitation under the URWSSP ................................................... 30
2.4 Institutional Aspects ............................................................................................................. 31
2.5 Capacity Building .................................................................................................................. 35
2.6 Communication Strategy and IEC ....................................................................................... 37
2.7 Sector Information System, Water Quality Monitoring, and Source Discharge
Measurement Programme ..................................................................................................... 39
Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
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2.7.1 Water Quality Monitoring Programme ........................................................................ 40
2.7.2 Environmental Assessment ........................................................................................... 41
2.8 Financial management .......................................................................................................... 44
2.8.1Observations from Financial Analysis ................................................................................. 47
2.9 Procurement............................................................................................................................ 49
2.10Operation and Maintenance ................................................................................................. 50
2.11Monitoring and Evaluation .................................................................................................. 51
3 IMPACT ANALYSIS AT HOUSEHOLD LEVEL ................................................................................ 53
3.1 Water Supply Services .......................................................................................................... 53
3.2 Improved Sanitation .............................................................................................................. 57
3.3 Capacity Building .................................................................................................................. 59
3.4 Education ................................................................................................................................ 60
3.5 Institutional ............................................................................................................................ 61
3.6 Livelihood and Income ......................................................................................................... 62
3.6.1Voices from the field ....................................................................................................... 64
3.7 Health and Well-being ......................................................................................................... 65
3.7.1 Sense of security ............................................................................................................. 66
3.7.2 Sanitation facilities used by all family members ......................................................... 67
3.7.3 Payment of user charges ............................................................................................... 67
3.7.4 Disposal of waste ........................................................................................................... 68
3.8 Gender ..................................................................................................................................... 69
3.9 Local Environment ................................................................................................................. 73
4 ECONOMIC ANALYSIS ..................................................................................................................... 74
4.1 Introduction ............................................................................................................................ 74
4.2 Quantifying and valuing the benefits of the project ............................................................. 76
4.2.1 Value of time saved ........................................................................................................ 76
4.2.2 Incremental water supply .............................................................................................. 76
4.2.3 Health benefits ................................................................................................................ 77
4.2.4 Number of beneficiaries ................................................................................................. 80
4.3 Cost of the project ................................................................................................................... 81
4.4 Sensitivity analysis.................................................................................................................. 81
4.5 Results ..................................................................................................................................... 83
5 SUMMARY AND CONCLUSION ........................................................................................................ 85
REFERENCES ........................................................................................................................................... 90
ANNEXURE 1.1 DATA COLLECTION FORMATS/ QUESTIONNAIRES ....................................................... 91
ANNEXURE 1.2 IMPACT ANALYSIS OF UTTARAKHAND RURAL WATER SUPPLY & SANITATION PROJECT
(URWSSP).................................................................................................................................... 102
ANNEXURE 1.3 LIST OF SCHEMES UNDER URWSSP & AF FOR IMPACT ANALYSIS STUDY ................ 112
ANNEXURE 1.4 STAKHOLDER WORKSHOP .......................................................................................... 116
ANNEXURE 2.1 STATUS OF IEC PRODUCED AND OBSERVATIONS ....................................................... 124
ANNEXURE 4.1 PERSONS SUFFERING ................................................................................................... 130
ANNEXURE 5.1 BALANCED SCORE CARD FOR ASSESSMENT OF INSTITUTIONAL EFFECTIVENESS OF THE
URWSSP PROJECT ....................................................................................................................... 131
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Abbreviations
AF: Additional Financing
CACMP Catchment Area Conservation Management Program
DALY: Disability Adjusted life years
DPR: Detailed Project report
DPMU: District Project Management Unit
DWSC: District Water and Sanitation Committee
DWSM: District Water and Sanitation Mission
FMR: Financial Management Report
FGD: Focus Group Discussion
GO: Government Order
GoUK: Government of Uttarakhand
GP: Gram Panchayat
IEC: Information Education and Communication
IHHL: Individual Household Latrine
IMIS: Integrated Management Information System (IMIS)
IPCR: Implementation Phase Completion Report
JIR: Joint Inspection Report
M&E: Monitoring and Evaluation
MGNREGA: Mahatma Gandhi Rural National Employment Guarantee Act
MTR: Mid Term Report
MVS: Multiple Village Scheme
NBA: Nirmal Bharat Abhiyan
NGO: Non-Governmental Organization
PAD: Project Appraisal Document
PDO: Project Development Objective
PRI: Panchayati Raj Institution
RWSS: Rural Water Supply and Sanitation
SBM: Swachh Bharat Mission
SIS: Sector Information System
SOs: Support Organizations
Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
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SPMU: State Project Management Unit
SVS: Single Village Scheme
SWAp: Sector wide Approach
SWSM: State Water and Sanitation Mission
TSC: Total Sanitation Campaign
UJN: Uttarakhand Peyjal Nigam
UJS: Uttarakhand Jal Sansthan
URWSSP: Uttarakhand Rural Water Supply and Sanitation Project
UWSSC: User Water Supply Sub- Committee
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Executive Summary
The Uttarakhand Rural Water Supply and Sanitation Project (URWSSP), implemented
during November 2006 to December 2015, covers entire rural areas of Uttarakhand, spread
over 13 districts. The project primarily aims at improving the effectiveness of the rural water
supply and sanitation services through decentralization, increased role of the Panchayati Raj
Institutions (PRIs) and local communities as a Sector-Wide Approach (SWAp). It is
facilitated by the Department of Drinking Water, Government of Uttarakhand (GoUK), and
executed by three agencies—Uttarakhand Peyjal Nigam (UJN), Uttarakhand Jal Sansthan
(UJS), and the Project Management Unit (PMU or Swajal). The PMU is supported by the
District Project Management Units (DPMUs) at the district level while UJN and UJS are also
supported by their district level offices. The DPMU is the district nodal agency between
different nodal stakeholders. The project is jointly funded by the International Development
Association (IDA) – World Bank, Government of India (GoI), GoUK, and the rural
beneficiaries.
The rural water supply schemes comprised of the Single Village Scheme (SVS) that were
proposed to be covered in the four batches and Multiple Village Scheme (MVS) proposed to
be covered in three batches with the first batch of both SVS and MVS starting in May 2006.
The programme, however, underwent a change post the disaster of 2013 when additional
funding was approved for a number of Drinking Water Schemes which were affected in this
process and hence an additional component (component D) added to the project.
The four major components of the project are listed as follows:
1. Component A: URWSS Sector Development to support the state's sector reform
process by establishing and enhancing its institutional capacity
2. Component B: URWSS Infrastructure Investments to improve service and
sustainable access to URWSS services
3. Component C: URWSS Programme Management Support and M&E to support
4. operational and administrative costs, and monitoring evaluation
5. Component D: To restore services of damaged schemes in the disaster-affected areas
in the state of Uttarakhand
The Energy and Resources Institute (TERI) in association with Sycom Projects Consultants
Pvt Ltd were assigned with the consultancy to conduct the ‘Impact Analysis of Uttarakhand
Rural Water Supply & Sanitation Project (URWSSP)’. The study was thus conducted with
the main objective of assessing the impact of the URWSSP in improving the effectiveness of
rural water supply and sanitation services through decentralization, the increased role of the
Panchayati Raj Institutions, and the involvement of local communities of Uttarakhand. The
specific tasks in the project included assessment of achievements of the URWSSP project
with respect to the goals and objectives identified in the Project Appraisal Document (PAD)
with specific reference to household and community level impacts and assessment of social
impacts from drinking water schemes and provision of improved sanitation at the
household and community level, looking inter alia at issues of access, health, gender,
community ownership, and participation, Estimation of benefits from drinking water
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Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
schemes and provision of improved sanitation. An economic analysis was carried out to
assess the social costs and benefits of the drinking water and sanitation interventions over its
life cycle. The adopted methodology for the impact assessment study included:
• Secondary data collection and review: Both quantitative and qualitative information
were collected from the SWSM, UJN, UJS, and PMU, World Bank documents, Data
and information from UWSSCs and Panchayat and other available secondary data.
• Primary Assessments and Field Studies: A structured questionnaire survey of 130
schemes and 1,300 project beneficiary households was undertaken. Field Studies also
included physical surveys and informal interviews with stakeholders at the grass-
roots level.
• Stakeholder consultations and disclosure: The stakeholder consultations involved
focus group discussions (FGDs) with identified stakeholders, mainly the
implementing and facilitating agencies, support organizations, and beneficiaries.
Eight FGDs were conducted with beneficiaries across the state. A multi-stakeholder
workshop was conducted at Dehradun where representatives from SWSM, PMU, UJS,
UJN, NGOs, PRIs, and UWSSC members were invited to provide their feedback and
suggestions on the draft Impact Assessment study.
Impact of the URWSSP project
The impact of URWSSP has been studied here at the macro level and further detailed at the
household level. An economic analysis was also carried out as a part of the study to value
some of the benefits that have been identified so as to enable a comparative assessment of
the economic benefits and costs of the intervention economically.
The study results have confirmed the following positive impact of the URWSSPs through
improvement in water supply services, improved sanitation, the adoption of SWAp,
capacity building and education programmes detailed as follows:
Impact of Water Supply Services
• Considerable RWSS Infrastructure constructed under the scheme to improve the
effectiveness of rural water supply.
• Around 8,550 habitations covered under the URWSSP reaching out to 1.57 million
rural population.
• Around 3,800 Gram Panchayats (GPs) covered under the SWAp programme that has
empowered and ensured active participation in local governance in water supply.
• Has the peculiarity of being environment friendly as 95 per cent schemes (3,613) are
gravity based schemes and only 4 per cent (152) are pumping schemes while 1 per
cent (52) are of mixed technology. The advantages from the gravity-based schemes are
known as green schemes that are environment-friendly as they require no or very less
energy for operation, which has a direct impact on carbon emissions.
• The O&M expenses of these schemes are minimal.
Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
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• The project improved the quality and sustainability of water source in the rural areas
through catchment protection programmes.
Impact of Improved Sanitation
• Total of 8.53 lakh units of toilets constructed under the project
• Improvement in use of toilets with 8,550 habitations having improved access to water
for use in toilets.
• Considerable impact on education with toilets constructed in schools and anganwadis
(3,137 toilets constructed in schools and 371 toilets for anganwadis).
• Time saving and reduced drudgery of rural communities due to improved access to
toilets.
• Reduction of open defecation and improved hygiene in many villages through
integration of IEC programmes for behavioural change and use of toilets.
• Around 689 GPs achieved Open Defecation Free status.
• Improvement in the status of health and hygiene.
• An overall improvement in health and productivity.
• Reduction in faecal contamination of water.
• Uttarakhand ranks seventh in all India states in terms of sanitation with 72 per cent
• Households having Individual Household Latrines.
Impact of the SWAp under the URWSSP
• Empowerment of grassroots level organizations. The Project has helped in
strengthening the position of GPs in the decision-making process and also improved
their capacity for procurement and financial management of all projects at the village
level.
• Empowerment of women with a general improvement in quality of life.
• Strengthened the role of GPs and local communities as well
• High level of participation of communities and beneficiaries
• Sense of ownership in the project and improvement in water use efficiency
• Decentralization has avoided delay in funds and decision making, eliminating the
layers of bureaucracy,
• Simpler and easier procedures of complaint addressal, bills payment, and correction
and obtaining sanctions for new water connections.
• Cost for deploying staff at the government level has also reduced.
• Savings in institutional capital and O&M costs observed.
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Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
• Recognition of Uttarakhand as the first state in India to implement the decentralized
approach in Water and Sanitation Sector.
• The project has twice received the Uttarakhand Information Commission’s Right to
Information (RTI) award for transparency and good governance.
• A good case for promotion of Decentralisation SWAp.
Impact of the Capacity Building and Education Programmes under
URWSSP
• Significant achievements in terms of number of programme (7,956) and total persons
trained (205,652).
• Enhanced capacity of communities has led to improved local governance at the
panchayat level with 6,868 training programmes, conducted at the grass-roots level
reaching out to 205,652 persons.
• Developed a large pool of resource persons spread across GPs, NGOs, and
communities, thus, building human resources at state, district, and GP levels
• Substantive HRD activities have been undertaken at the scheme and block levels in
line with the decentralized approach.
• Significant benefits due to IEC and TV commercials.
• Improved awareness about various communicable diseases and their prevention,
good waste disposal and management practices, water conservation and harvesting
technologies.
• Awareness about government schemes and new programmes.
• Use of effective medium of communication through newspapers, electronic media
such as spots and jingles, Docudrama Series, etc., have had a larger impact.
• Improvement in transparency and accountability through SIS/M&E system.
Household Level Impact
Based on the analysis of the primary studies that were undertaken mainly through scheme
level and household surveys, Focus Group Discussions (FGDs) and stakeholder
consultations, the following impacts have been observed at the household level:
Water Supply Services
• Improved access to water for households from 15 per cent to 98 per cent.
• Improvement in availability of water from 45 per cent to 93 per cent.
• Time saved in fetching water with 50 per cent households having individual household
connections and 48 per cent dependent on stand posts within 200 mts.
• Improvement in sufficiency for meeting basic domestic water needs increased from 34
per cent to 93 per cent.
• Improved water supply for 24 hours—increased from 21 per cent to 67 per cent
Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
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• Improvement in water quality in terms of cleanliness, colour, and taste.
Improved Sanitation
• Increase in the percentage of Individual Household Latrine (IHHL) Application from
17 per cent to 80 per cent in the surveyed villages.
• Use of toilets by all members of the household increased from 16 per cent to 83 per cent
• Improvement in water available for use in toilets from 23 per cent to 71 per cent.
• Around 66 per cent people have reported time saved with IHHL to be around 1 hour
• Improvement in local environment of the villages with reduction in open defecation
and improvement of waste.
• Reduction in occurrence of diseases and improvement in health.
• Soak pits created for safe disposal of waste water.
Capacity building
• Nearly 85 per cent of the surveyed households report to have received training and
awareness programmes related to sanitation, water quality, operation and maintenance
of scheme, waste management, catchment area protection, and natural resources
conservation.
• Adequate representation of the grass-roots level organization and beneficiaries in the
programmes
• Equity in terms of representation of members from economically backward sections/
members belonging to BPL households, and gender (30–50 per cent participation of
women) participation in trainings.
• Around 66 per cent of the households have also reported that the project has led to
creation of employment in the village. The average number of persons employed for
these 130 schemes was reported to be 2 persons.
Education
• Positive impact of sanitation on education due to the implementation of improved
sanitation in schools and in the region as a whole.
• Increased enrolment of students with significant improvement in gender parity.
• Improvement in retention of girl students after implementation of school toilets.
• Improvement in attendance.
Institutional
• Improved participation of the PRIs and UWSSC
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Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
• Impressive participation (78 per cent) of households in the project.
• All the 130 schemes surveyed had community contribution in terms of labour and cash.
• PRIs have also played a key role in initiation of the project.
• Change in traditional patriarchal system of decision making with improved
participation of women in planning and implementation.
• O&M activities are undertaken regularly by the UWSSC and active involvement in
addressing local issues such as repair and maintenance of the rural drinking water
facilities.
• Seventy per cent of the surveyed schemes collect tariff regularly (majority of the
schemes collecting the same on a monthly basis).
• 80Eighty per cent of surveyed households pay the tariff regularly (average of Rs.
35/month).
• Sixty-eight per cent of the schemes maintain records and also man their accounts
regularly.
• 66Sixty-six per cent of these schemes have been reported to conduct regular meetings.
• Livelihood and income
• Time saved by the household due to improved water supply and sanitation is nearly
two hours per day
• Income diversification opportunities due to time saved for fetching (50 per cent of the
• households)
• 63Sixty-three per cent of women have taken up some enterprising activity like knitting,
petty business, etc., and more time for agricultural activities, kitchen gardening, and
cattle-rearing
• Generation of employment from URWSSP
Gender
• Women benefit from time saved in fetching water, reduced drudgery, and increased
time for leisure and socializing.
• Empowerment of women with their inclusion in water supply decision making.
• 80%Eighty per cent of the surveyed villages have two to four women members in
UWSSC.
• Active participation of women in decision making and in some cases O&M of the
scheme. On an average, 30 per cent women members in UWSSC of the surveyed
villages.
• Enhanced capacity of women with capacity building programmes to women and
training provided by UWSSC to carry out the maintenance work and account keeping
(plumbing and collection of user charges).
Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
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• Evidence of good leadership by women—women-headed committees are active in
taking decisions regarding identifying water points, tariff fixation, utilization of funds,
accounts management, and community contributions.
Health and Well-being
• Considerable reduction in water-borne diseases like jaundice and diarrhoea,
particularly among children. The instance of no records of water-borne diseases
increased from 38 per cent to 96 per cent post initiation of the project.
• Availability of IHL has led to an improvement in the sense of security and dignity.
• IHHLs have improved security with 63 per cent of the respondents (mainly women
and children) indicated improvement in security and reduction in fear of snake bites
and animal attacks.
• Raised the importance of total sanitation and improved health and hygiene. More than
49 per cent of the households safely disposed solid waste at home and surroundings by
collection and heaping at marked location and disposal of liquid waste in soak pits.
The economic analysis conducted under the study has valued the time saved due to
improved access to water and availability of toilets, reduction in water-borne diseases, and
savings in capital cost, due to cost-effectiveness of schemes and estimated the discounted
value of costs and benefits of the project over the lifetime. The analysis suggests strong
economic viability for the following reasons:
• The project yields an overall BCR of 3.65, with a high IRR of close to 57 per cent
(despite a limited set of benefits being considered for analysis).
• The cumulative NPV of the project turns positive in the seventh year, indicating that
the project more than recovers investment early enough during its implementation.
• The majority of the benefits—close to 60 per cent—are accounted for by the time people
save in collecting water and by avoiding open defecation
• Another source of gain is the savings in cost due to higher cost-effectiveness of these
schemes, followed by incremental access to water.
• The health benefits accrued on account of an estimated 586 DALYS avoided each year
due to this project (these are conservative estimates since the costs of mortality due to
water-borne diseases and avoided cost of treatment are not included in the health
benefits).
• The sensitivity analysis reveals that the project can absorb a substantial decrease of
about 73 per cent yet yield a positive NPV and sustain an increase in O&M costs of
over 900 per cent.
8
1 Introduction
1.1 Introduction
Water management and availability has a far-reaching impact on the human world.
Despite impressive improvements in many countries, issues related to and
concerning water have been overwhelming. And thus, access to clean drinking water
and adequate sanitation facilities have been recognized as one of the key factors for
economic and social development across the globe. The Millennium Declaration
signed by the member states of the United Nations, later gave rise to the Millennium
Development Goals (MDGs) with specific goals and targets towards poverty
reduction and human development. The MDG Goal 7 aimed at ensuring
environmental sustainability, also included a target to reduce the proportion of the
population without access to safe drinking water and basic sanitation to 50 per cent
by the year 2015.
India has always been committed towards providing access to clean drinking water
and basic sanitation to all, especially those living in the rural villages. The first few
years after its Independence the subject concerned mainly the states. The first
National Rural Drinking Water Supply programme was launched in the year 1969,
with technical support from UNICEF, and was followed by introduction of
Accelerated Rural Water Supply Programme (ARWSP) in 1972–73 by the
Government of India, to assist states and union territories i n ob t a in in g access to
clean drinking water supply. In the year 1980, India became a party to the
International Drinking Water Supply and Sanitation Decade, and this was a catalyst
to many changes.
A national Apex Committee was formulated that defined policies towards providing
clean drinking water to all. But it was only after the Sixth Five Year Plan (1980–85)
that adequate emphasis was given to accelerate the process. In 1986, the National
Drinking Water Mission (NDWM) was launched, followed by the first National
Water Policy drafted by Ministry of Water Resources. The National Drinking Water
Mission (NDWM) was renamed as Rajiv Gandhi National Drinking Water Mission
(RGNDWM) in 1991. The 73rd and 74th Constitutional Amendments brought about
further decentralization and empowered the local governments to manage water
supply services. Assessing the need to provide safe drinking water to the rural areas,
a separate body, Department of Drinking Water Supply was formulated under the
Ministry of Rural Development, Government of India. A number of sectoral reforms
took place that resulted in a paradigm shift from the ‘Government-oriented supply-
driven approach’ to the ‘People-oriented demand driven approach’. Community
participation increased and the role of government reoriented from that of a service
provider to a facilitator.
Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
9
In 1999, the Total Sanitation Campaign (TSC) started, as part of the reform
principles, aimed to ensure sanitation facilities in rural areas with the specific goal of
eradicating the practice of open defecation. It emphasized on information, education,
communication, capacity building and hygiene education, for effective behavior
change with the involvement of PRIs, CBOs, and NGOs. Th e Swajaldhara
programme and National Water Policy was launched in 2002, to accelerate the
process of reform. Priority was channelized towards serving villages that did not
have adequate sources of safe water and to improve the level of service for villages
classified as only partially covered. In 2005, Bharat Nirman was launched that
focused on providing drinking water within a period of five years to 55,069
uncovered habitants, and those affected by poor water quality, based on the survey
conducted in 2003. The central and state government vouched to have equal
financial contribution in the Swajaldhara programmme. Finally, in 2009, the National
Rural Drinking Water Programme was launched, which modified the earlier
Accelerated Rural Water Supply Programme (ARWSP) and subsumed earlier sub
Missions, Miscellaneous Schemes, and mainstreaming Swajaldhara principles for
better penetration of water supply and sanitation to uncovered areas. The
Department of Drinking Water Supply was renamed as Department of Drinking
Water and Sanitation in 2010 and later, as a separate body called as the Ministry of
Drinking Water and Sanitation in 2011.
1.2 Background
The World Bank has been instrumental in providing financial assistance, technical
support, as well as knowledge to India. The Government of India has had a
progressive partnership with the World Bank since the mid-nineties. Since this take,
there has been considerable expansion of water and sanitation services,
implementation of innovative strategies towards the provision and improvement of
rural water supply and sanitation. The principles of ‘Demand Responsive
Approaches’ was replaced by ‘Community Driven Development’, which brought
about a remarkable change. Uttar Pradesh (then inclusive of present state of
Uttarakhand), was one of the first states to implement the World Bank-assisted Rural
Water Supply and Sanitation project (popularly known as Swajal or pure water)
(1996–2003) and received wide acknowledgement at both national and international
levels as a best practice example in implementing a demand responsive approach.
Uttarakhand received its state status in 2000 and continued the Swajal project, which
was completed in 2003. The Swajal project received high recognition not only within
the country but at a global scale, internationally. The project became popular for its
active participatory approaches. It redefined the role of the government from
supplier–provider to that of a facilitator, focussing more on policymaking,
regulation, training, and monitoring, in a wide spectrum of development, including
that of water supply and sanitation. The community-based institutions and local
government were more empowered and had a more effective role in decision
making at the local level.
10
Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
Realizing the success of the Swajal project (1996–2003), the Government of
Uttarakhand (GoUK) decided to scale up the activities of the pilot phase with the
support of the World Bank. The next phase of Uttarakhand Rural Water Supply &
Sanitation Project was planned based on Sector-Wide Approach (SWAp) and the
Bottom-up Approach, covering the rural areas of all 13 districts of Uttarakhand. The
project aimed to improve the effectiveness of rural water supply and sanitation
(RWSS) services through decentralization and the increased role of the Panchayati
Raj Institutions and the involvement of local communities in the state of
Uttarakhand. It is facilitated by the Department of Drinking Water, GoUK, and
executed by three agencies—Uttarakhand Peyjal Nigam (UJN), Uttarakhand Jal
Sansthan (UJS), and the Project Management Unit (PMU or Swajal). The project was
initially planned for six years (November 2006–June 2012), and later got its first
extension till June 2014, and second extension till December 2015.
In order to ensure effective implementation, the World Bank has conducted periodic
review of the project by external agencies. The Mid Term Review of the project was
done by Wilbur Smith Associates. To measure the impact of the project and plan, an exit for
the UWRSSP, the Uttarakhand State Water and Sanitation Mission(SWSM) has appointed
The Energy and Resources Institute (TERI) in association with Sycom Projects Consultants
Pvt. Ltd, as consultants for conducting the ‘Impact Analysis of Uttarakhand Rural Water
Supply & Sanitation Project (URWSSP)’. The contract was signed between the SWSM
and the Consortium on June 2, 2015. This evaluation study is thus an important and
well-timed intervention to assess the major impacts of the project and re-engineer its
approach for better implementation of the UWRSSP next phase planned to be
implemented from 2016.
1.3 Objectives
The study was carried out with the aim to assess the overall impact of the
Uttarakhand Rural Water Supply and Sanitation Project and its contribution towards
improving the effectiveness of rural water supply and sanitation services through
decentralization, the increased role of the Panchayati Raj Institutions, and the
involvement of local communities of Uttarakhand.
The assignment entails an in-depth analysis of the project by taking into
consideration the Project Appraisal Document (PAD), baseline and Mid Term Report
(MTR) along with the outputs and outcomes of the project.
The specific tasks of the project were:
i. Achievements of the URWSSP project with respect to the goals and objectives
identified in the PAD with specific reference to household and community-
level impacts.
ii. Assessment of social impacts from drinking water schemes and provision of
improved sanitation at the household and community level, looking inter alia
at issues of access, health, gender, community ownership and participation,
Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
11
estimation of benefits from drinking water schemes, and provision of
improved sanitation.
iii. Assessment of the role of Panchayati Raj institutions and involvement of local
communities.
iv. Economic analysis to assess the social costs and benefits of the drinking water
and sanitation interventions over its life cycle.
1.4 Scope of work and methodology
1.4.1 Scope
The impact assessment of the URWSSP scheme was mainly carried out through
review of documents, technical assessments, and field studies. The primary studies
included surveys comprising of a set of structured questionnaires at two levels—
Household level and Scheme level. Aroun d 130 representative schemes were
selected and 10 households, under each of these schemes, were surveyed to assess
the impact at the household level. In addition to the questionnaire survey, Focus
Group Discussions (FGDs) and Key Person Interviews (KPI) were carried out. Since
the main impact of the project has been at the household level, the impact
assessment has focused on the following parameters as presented in Table 1.1.
The key verifiable indicators that have been used to assess the impact of the
URWSSP at the household level are also provided against each of the parameters;
Table 1:1 Key Indicators used for impact assessment
Parameter Indicators Tools
Water
Supply
Change in access to improved water supply
pre and post scheme implementation-
source and population covered
SIS data analysis
Water Consumption per household per day
pre and post scheme implementation
(please note the focus shd be only on
domestic water use only)
Household Questionnaire Question
(HHQ). No.3.4
Frequency of water supply Scheme level data and HQ. No. 3.3
Sufficiency of water for household needs HHQ No.3.2
Coverage Analysis of data from ICR (no. of
households given connections at the
commissioning of the scheme, and
present, if data not available then physical
verification
Number of households having access to
improved quality of water after
implementation of scheme
HHQ No.4.1
Improved Change in access to improved sanitation pre SIS data analysis
12
Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
Parameter Indicators Tools
Sanitation
and post scheme implementation
Use of improved sanitation facility HHQ. Q. No. 7.2
Availability of water in toilets HHQ. No. 7.4
Livelihood &
Income
Additional livelihood activities started due
to time saved
Case study
Employment opportunities in scheme itself
Increase in income
Health and
wellbeing
Reduction in drudgery HHQ. No. 5.5 Validated with FGDs
Reduction in disease count HHQ. Q. No. 7.6
Medical expenditure pre and post project
implementation
HHQ. Q. No. 7.8
Time saved in fetching water FGDs
Time saved due to improved sanitation
facility at home
FGDs
Improvement in security due to availability
of toilets
HH Q. No. 7.5
Satisfaction on water supply and sanitation
schemes
HHQ. Q. No. 8.1
Education
Improvement in school enrolment Case studies
Increase in time available for studies
Behaviour
(households)
Behaviour change in terms of payment of
tariff for water
HH Q. No. and FGDs 3.5
Behaviour change among households in use
of improved sanitation
HH Q. No. 7.2 And FGDs
Behaviour change among households in
hygiene (hand washing, handling drinking
water)
SIS data (HHQ and FGDs)
Behaviour change in terms of improved
handling of solid and liquid waste
HH Q. No.7.9 B, C And FGDs
Gender
Participation in project activities Scheme level Questionnaire, FGDs, KPIs
Capacity enhancement of women
Time saved and increase in time available
for leisure and other activities
HH Q No 6.3, and FGDs
Improvement in health and hygiene HHQ. Q No., and FGDs
Health and wellbeing SIS data analysis and FGDs
Improvement in Drainage system
Human
Resources
Trained skilled workers (masons etc) FGDs and KPIs
Men/ women trained SIS data
Total person days trained SIS data
Leadership FGDs and KPIs
Institution Participation of PRIs and UWSSC Scheme level Questionnaires, FGDs
Enhancement of Capacity of local
Institutions
Data on No. Of PRI members trained from
Key person interviews
Increase in Awareness KPIs and FGDs
Involvement (in addressing local problems )
Participation
/Ownership
Participation in planning and
implementation
FGDs and KPIs
Contribution (financial & time) IPCR
Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
13
Parameter Indicators Tools
Involvement in O&M HHQ and Scheme Level Questionnaire
Local
Environment
Improvement in solid waste management in
the local environment
HHQ 7.9C, FGDs
Reduction in open defecation sites FGDs
Improvement in Drainage system
1.4.2 Methodology
The following section provides a broad overview of the techniques and methods used
for the study. As illustrated below, the methodology for the Impact Assessment Study
consisted mainly of review of secondary information and primary assessments as
detailed in the figure below.
Informal Interviews and FGDs
Plan & Design
Secondary data analysis
Primary stake holder consultation
Reconnaissance Surveys
Finalisation of Tools
Primary Assessment & Field Study
Review of Documents
Primary Survey
Stakeholder Workshop
Data Collection & Stakeholder
Data Analysis
Physical Progress & Achievements
Socio-Economic Assessment
Analysis of Institutional Effectiveness including Financial Aspects
Impact Assessment
Assessment of Environment & Sanitation Aspects
Summarising & Reporting
Synthesis of Findings
Internal Feedback & Consultations
Presentation of Draft Report
Final Report
14
Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
1.4.2.1 Study Plan and Design
Secondary data collection and Analysis: Both quantitative and qualitative secondary
data and relevant documents from SWSM and other facilitating & implementing
agencies were collected and reviewed.
Primary Stakeholder consultations: Stakeholder consultations were undertaken with
SWSM officials, Facilitating organizations namely PMU, UJS & UJN, PRIs, and
UWSSC members of the 12 sample schemes where the initial reconnaissance survey
was conducted by the study team.
Reconnaissance survey: Draft questionnaires were developed and pretested through
a pilot survey of 12 schemes after the initiation of this impact assessment study. The
reconnaissance surveys also contributed to finalization of the methodology in close
consultation with the SWSM officials. The reconnaissance surveys included
interaction with GPs and stakeholder consultations during the field visits, to the
schemes, by the study team. The findings from the reconnaissance surveys
contributed towards the finalization of the methodology. An inception report
containing the methodology and the work plan was prepared and presented to the
SWSM and the World Bank team.
1.4.2.2 The primary assessments and field studies
The main activities under the primary assessments included structured
questionnaire surveys’ at two levels – Household level and Scheme level. A total of
130 completed schemes across 12 districts were covered where scheme level
questionnaires were administered to the implementing agencies – Gram Sabha and
Users Water Sanitation Sub Committee (UWSSC). Important aspects covered at the
scheme level schedule were coverage of the project, water distribution and quality,
demand and supply, income and expenditure and planning and decision making,
institutional arrangements, capacity building, equity issues, and gender-related
issues (See Annexure 1.1. for the Survey Questionnaires). The household survey
questionnaires have captured quantitative information on various aspects related to
water quality, usage, adequacy, and productive gains from improved water
availability, reduction in drudgery, savings in time spent in water collection for
women and girls, sanitation practices, improved health and personal hygiene,
participation in project activities and user groups, and information dissemination as
well as beneficiary satisfaction. A single sample, pre–post study design was adopted
for the surveys. The list of 130 schemes surveyed is summarized in table 1.2 and
detailed in Annexure 1.3.
Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
15
Table 1:2 List of surveyed villages
SN District Blocks
Selected Sample Selected
PMU UJN UJS Total
Kumaon Region
1 Almora Dhauladevi
Bhaisiyachana
5 4 9
2 Bageshwar Bageshwar
Garur
9 7 3 19
3 Champawat Champawat
Lohaghat
7 7
4 Nainital Okhalkanda
Ramgarh
Dhari
1 8 7 16
5 Pithoragarh Bering
Munakot
Pithogarh
Didihat
Gangolihat
Munsyari
5 5 6 16
6 U S Nagar Jaspur
Kashipur
2 2
Gharwal Region
7 Chamoli Karanprayag 3 3
8 Dehradun Doiwala
VikasNagar,
Raipur
Kalsi
8 11 7 26
9 Pauri Gharwal Duggada
Kot
1 2 3
10 Rudra Prayag Agustmuni
Ukhimath
2 4 2 8
11 Tehri Garhwal Chamba
Thauldhar
1 4 3 8
12 Uttarkashi Bhatwari
Dunda
6 4 3 13
Total 50 45 35 130
The primary assessments also included FGDs that were used to elicit qualitative data
to supplement the information captured through the survey questionnaires. In
addition, information obtained through FGDs were used i) For triangulation - to
cross check the data collected from the primary survey, ii) to capture qualitative
changes to assess impact of the interventions of URWSSP, and iii) develop case
studies . FGDs were conducted in 8 selected schemes and were used for assessing
the impact related to households in terms of social, economic, health, and gender-
specific impacts.
16
Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
1.4.2.3 Data analysis
After the completion of the surveys, the data entry and data cleaning was done by
the project support team. Data generated through primary and secondary means
were analysed to measure the changes and establish links between key variables.
Basic descriptive analysis was performed in Microsoft Excel (Microsoft Office, 2013
Edition). All statistical tests were performed using SPSS. Frequency distributions for
the data was carried out for all demographic and outcome variables. For qualitative
data, transcripts were prepared and graphical representation in excel were used for
analysis.
1.4.2.4 Summarizing and Reporting
The report was prepared synthesizing the impacts of the Uttarakhand Rural Water
Supply Project at the macro level and detailed impacts at the household level that
have been further quantified. A multi-stakeholder consultation was organized to
disseminate and discuss the results of the Impact Assessment Study of URWSSP on
December 19, 2015, at State Water and Sanitation Mission Office, Dehradun. The
feedbacks from stakeholders participating in the workshop have been incorporated
in this study. The detailed report on the workshop is provided in Annexure 1.4.
An economic analysis was carried out to comparatively assess the social costs and
benefits of the drinking water and sanitation intervention over its life cycle. The
project has benefitted the population in the intervention areas in several ways. The
quantifiable benefits, namely, i) Time saved due to improved access to water and
availability of household toilets; ii) Increased access to water; iii) Reduction in water-
borne diseases; and 4) Savings in capital cost due to cost-effectiveness of schemes
were estimating and the discounted value of costs and benefits over the life of the
project were calculated for arriving at the projects Net Present Value and Benefits
Cost Ratio.
1.4.3 Subjects and Variables
The target population of this study were beneficiary population (households),
stakeh olders including SPMU, DPMU,UJN, UJS, PMU, GP, UWSSC, PRIs, Support
Organizations and SE, etc. The sampling methodology used included a mix of
random and convenience sampling method. The population of the project was
categorized into two clusters based on the type of intervention, viz, single village
scheme, and multiple village schemes. The study was designed in such a manner
that it captured a fair representation of each segment of target population from all the
13 districts of Uttarakhand. In addition to the target population, views and opinions
of key stakeholders, viz., communities, CSOs, policy makers, government officials,
etc., were also taken during the study.
Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
17
The survey included a brief section on demographic information (sex, age) before
addressing five main sections related to physical activity prescription.
• Access to increased quantity of water
• Source of water
• Reduction in drudgery
• Productive gain
• Sanitation and health
• Overall satisfaction level
1.4.4 Structure of Report
This report highlights the key results from the Impact Assessment study and in the
subsequent chapters as given:
i. Chapter 2. Impact of Uttarakhand Rural Water Supply and Sanitation Project
ii. Chapter 3. Household Level Impacts
iii. Chapter 4. Economic Analysis
iv. Chapter 5. Summary and Conclusion
18
2 Impact of the URWSSP c
This chapter presents the overall impact (at the State and District level) of the URWSSP
project, based on secondary reviews, direct observation, and interactions. The impact
assessment study involved reviewing of relevant documents and secondary data from
various sources including the project website (SwajalSIS) to assess the major impact of
the programme at a macro level (as per ToR). The overall impacts have been synthesized
based on the indicators in the Results Framework provided in the PAD.
Table 2:1 Outcome Indicators as per PAD Covered by the Desk Research
Types of secondary Information Results
Indicator 1: Institutional
effectiveness evident in each
sector:
• Behaviour change among
stakeholders
• Timely completion of the
program (as per plan)
• Service provision is cost
effective and sustainable
Review of PAD, MTR,
Implementation Phase
Completion Report, Annual and
Monthly progress Report, DPR
and Feasibility Report, Village
profile
SwajalSIS Websites
Success Stories
Aide Memoire
� Community participation in
WWSSC & PRIs, Adequate
maintenance of water related
infrastructure by PRIs- 78 %
(scheme surveys)
� Completion of the schemes in
conformity with the modified
implementation schedule
� O&M costs covered by user
charges in most schemes
Indicator 2: Increase in the
number of people having access
to improved water supply
delivery
Review of Annual and Monthly
Progress report of Swajal,
Review of SIS Website,
Implementation Phase
Completion Reports, Scheme
profiles
� 100% target achieved in terms of
habitations. Number of targeted
beneficiaries exceeded.
�
Indicator 3: High satisfaction
level in participating communities
Swajal SIS Website
Community Contracting
document
Social assessment Report
Case Studies, Success Stories
Aide Memoire
� 85% households satisfied with
the implementation of the
schemes
Indicator 4: Increase in the
number of households adopting
improved hygiene and sanitation
practices in the state
SIS Website
Review of Annual and Monthly
Progress reports
� No. of households using safe
hygiene and sanitation practices
increased by 22% (HHS)
� Sustainable toilet coverage from
21% baseline to 96.2% at present
19
Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
Types of secondary Information Results
Indicator 5: Improved financial
performance of the water supply
schemes: (a) SVS-100% for O&M;
(b) MVS – in accordance with
GoUA’s cost-sharing policy for
RWSS sector
Review of PAD, MTR, Financial
Management Framework
Implementation Phase
Completion Report, Annual and
Monthly Progress Report, DPR
Aide Memoire
SwajalSIS
� The overall Financial
Management System for the
project is working well and the
FMRs and Audit reports are
being submitted on time.
However better monitoring at
GP level required
� SVS: O&M of SVS fully
devolved to Gram Panchayats,
with 80% cost recovery.
� MVS: O&M of MVS as per
UJS/GoUK cost sharing policy.
Component One
Indicator 1: The envisaged
decentralized institutional
framework (for UJN, UJS, SWSM,
DWSM and PRIs) is achieved and
operational
Review of PAD, Operation
Manual, Annual and Monthly
Progress Report
� The broad objective of the SWAp
achieved and role of PRIs/GPs
strengthened through
decentralized decision making
Indicator 2: SWSM and DWSM
are established and their cells are
fully staffed and functional
Review of PAD, Operation
Manual, Annual and Monthly
Progress Report
� SWSM and DWSM are
established and fully functional
albeit understaffed
Indicator 3: Sector Information
system, water quality monitoring
program, and source
measurement programs are
implemented.
Review of SwajalSIS website
Review of Annual and Monthly
Progress Reports,
Implementation Phase
Completion Reports
Review of Environmental
Management Framework, M&E
manual
� SIS website is functional, water
quality monitoring being done
through Asha workers,
rationalization of number of
water quality tests and testing
kits required
Indicator 4: SWAp principles
demonstrated to work
successfully and could be
replicated as a tested approach to
RWSS service delivery in India
Review of PAD MTR,
Implementation Phase
Completion report, Scheme
Profile
� Uttarakhand has now become
the first state in India to
implement the decentralized
approach in Water and
Sanitation Sector which can be
duplicated in other states as
well.
� The SVSs constructed under the
SWAp program provide good
models for replication.
� The project has successfully
completed more than 3600 water
supply schemes .
20
Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
Types of secondary Information Results
Component Two
Indicator 1: Number of SVSs
constructed and operating
according to SWAp principles
Review of Technical Manual,
Annual and Monthly Progress
Report, MTR, Joint Inspection
Report, DPR
Swajal SIS Website
� Total 3781 out of 3830 SVS has
been completed achieving 99%
of their respective targets
Indicator 2: Number of MVS
schemes constructed and
operating according to SWAp
principles
Review of Technical Manual,
Annual and Monthly Progress
Report, MTR, Implementation
Phase Completion Report, DPR
Swajal SIS Website
� 36 out of 39 MVS as been
completed achieving 92% of
their respective targets
Indicator 3: Percentage of
habitations under: (a) Fully
covered (FC) category
(b) Partially covered (PC)
category
(c) Not Covered (NC) category
Swajal SIS Website
Annual Progress report,
Monthly Progress Report, Aide
Memoire
(a)Fully Covered : 70%
(b)Partially covered:
(c)Not covered:
Indicator 4: Percentage of GPs
and habitations that are declared
open-defecation free.
Review of MTR, Annual and
Monthly Progress Report, Aide
Memoire
Swajalsis Website
� 7 % GPs declared open defecation
free (Total of 512 GPs declared
open defection free as against a
target of 492 GPs Source: MIS
data, MoDWS)
Component Three: Indicator 1:
Comprehensive M&E system is
established and functional for the
sector
Review of M&E manual, PAD
Implementation Completion
Report, MTR
Swajalsis Website
� Data from PMU available online,
from other two SIA need to be
completed, Two rounds of
concurrent monitoring
undertaken
Indicator 2: Expenditures
of supply driven schemes
as a percentage of total sector
expenditures.
Implementation Completion
Report, MTR, Budget Statement,
� Declining trend
21
Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
According to the World Bank the use of impact evaluation (IE) to assess
causal effects of development interventions and complement other
evaluation approaches. IE has grown more popular as a method for
identifying the causal links between interventions and outcomes.
The Independent Evaluation Group (IEG) of the World Bank has laid out
criteria for public sector evaluations (http://ieg.worldbank.org) which
evaluates the projects on five criteria – Relevance; Efficacy; Efficiency;
Impact and Sustainability.
• Relevance: The project objectives are consistent with the Country’s
current development priorities. Rating: Highly relevant.
• Efficacy: Is the extent to which the project objectives achieved/are likely
to be achieved. Rating: Highly effective since all the elements of the
objectives are achieved.
• Efficiency: Signifies that the project uses the least costly resources
possible in order to achieve the desired results. Rating: 96% gravity
based schemes.
• Impact: The positive and negative changes produced by the project
interventions. The project has improved the quality of life of rural
people, time saving in fetching water, 1.45 million population
benefitted against 1.2 million target.
• Sustainability: Is concerned with the measuring whether the benefits
of the project are likely to continue after project funding has been
withdrawn.
• Outcome of the project: Satisfactory.
2.1 SWAp Concept, Programme, and Impact
The primary objective of the Sector Wide Approach (SWAp) program is to strengthen the
state’s sector reform process by establishing and enhancing its institutional capacity
through decentralization,
increased role of PRIs and
involvement of local
communities. Thus the SWAp,
authorised the rural
communities by empowering
the local government at the
panchayat levels in planning,
designing, constructing as well
as operation and maintenance
of their water supply and
sanitation schemes. All funds
including the World Bank credit
will be under the same policy
framework and operational
rules for implementation
arrangements, project cycle,
procurement and disbursement,
irrespective of the facilitating
agency.
The Swajal project (1996-2002)
was the first major rural water supply project based on demand driven and community
participation principles. The Government of Uttarakhand aimed to scale up the Swajal
model, which has taken shape as a Sector Wide approach in the rural water and sanitation
sector. The Sector Program has four major components listed below:
Component A: URWSS Sector Development (US$ 5 million): It aims to support the state's
sector reform process by establishing and enhancing its institutional capacity to implement,
manage, and sustain the state's medium-term sector development program through the
following sub components:
• Capacity-building and strengthening programs;
• Information, education, and communication;
• Sector information system, water quality, and water source discharge monitoring
programs;
• Modernization of public procurement and procurement reforms; and
22
Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
• Sector studies.
Component B: URWSS Infrastructure Investments (US$ 197 million): It aims to improve
service and sustainable access to URWSS services by financing the following investments:
• New investments in water supply schemes and catchment-area protection works;
• Community mobilization and development activities; and
• Sanitation programs.
Component C: URWSS Program Management Support and M&E (US$ 22 million): It aims
to support:
• Operational and administrative costs associated with the implementation of the
sector-wide approach basket of the state's medium-term sector program; and
• Monitoring and evaluation.
Additional Component D on RWSS Disaster Mitigation Activities: The objective is to
improve the effectiveness of rural water supply and sanitation (RWSS) services through
decentralization and restore scheme services in disaster-affected areas in Uttarakhand.
This component comprises of the following three components:
• Component D1: RWSS Sector Development (US$ 0.50 million).
• Component D2: Reconstruction and Restoration (US $18.79 million).
• Component D3: RWSS Programme Management Support and M&E (US $ 4.71
million). The programme decentralized the decision-making process at all stages including
planning, procurement, construction and management to panchayats and communities, in
all 13 districts, of the state, with the roles and responsibilities of all stakeholders in the
programme being clearly defined in the PAD and Operation Manual.
As a part of the project several manuals were prepared such as:
• Technical Manual
• Financial Management Manual
• Procurement Manual
• Environment Manual
• M&E Manual
• Operation Manual
Besides these manuals, the following other documents have also been prepared for
practical guidance on various issues:
• Social Assessment Report
23
Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
• Capacity Building Plan
• Communication Strategy
• Sanitation and Hygiene Promotion Strategy
• Catchment Area Treatment Plan
Chief features of ‘SWAp’ are:
i. Single policy for the Rural Water Sector
ii. Pooling of resources from multiple sources and utilizing it under uniform policy
framework.
iii. Uniform operational rules for project planning, design, implementation, O&M,
M&E, procurement and disbursement, including simple, fast, and flexible
implementation procedures for procurement and disbursement of funds.
iv. Community Participation and Demand-Driven Approaches.
v. PRI-centric and capacity building of PRIs.
vi. Bringing sectorial players under the SWAp umbrella.
vii. Considering water as a social and economic good and providing for minimum
essential payment for services by the users/ consumers.
viii. New institutional arrangements at the state, district, and local levels in the water
sector to facilitate the implementation of SWAp.
ix. Integrating water supply, catchment protection, environmental sanitation, and
behaviour change of the stakeholders.
x. Offering a menu of technology options and framing policies for SVS and MVS,
separately.
xi. Preparation of annual plans at the district and state levels.
The broad impacts of the SWAp under the URWSSP are as follows:
• Recognition of the state as the first in India to implement the decentralized approach
in Water and Sanitation Sector.
• Improved access to water supply in the rural areas of the hilly state.
• The state of Uttarakhand ranks seven among all India states in terms of sanitation
where 72 per cent households have Individual Household Latrines.
• The project has twice received the Uttarakhand Information Commission’s Right to
Information (RTI) award for transparency and good governance.
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Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
• Empowerment of grassroots level organizations. The Project has helped in
strengthening the position of Gram Panchayat in the decision-making process and also
improved their capacity for procurement and financial management of all projects at
the village level.
• A good case for promotion of decentralisation SWAp.
• Beneficial to the village community, especially women, by improving their quality of
life, in terms of reduced drudgery, time saved due to improved access to water and
sanitation, positive health impacts and economic/additional livelihood opportunities.
2.2 Water Supply Services—State Level
The following technological options in project have been considered for abstraction of
water and supplying the same to the communities.
1. Gravity Spring (GS)
2. Gravity Gadhera (GG)
3. Pumping Tubewell (PTW) with/without Over Head Tanks (OHT)
4. Hand Pumps (HP)
25
Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
Based on the benefits to the community in the form of better quality of life by providing
water facilities at their door steps, reducing their drudgery and thereby improving overall
sanitation status in the community, the schemes have been categorized into two:
• SVS (Single Village Scheme) and;
• MVS (Multiple Villages Scheme).
According to the Operation Manual the SVS were proposed to be covered in the four
batches with the batch-1 starting in May, 2006 while the MVS were proposed to be covered
in three batches with the batch-1 starting in May, 2006.
Success Story - Fatehpur
Gram Panchayat Jeevanwala (Fatehpur) is located in Development Block at a distance of 28 km
from Dehradun. The population of Jeevanwala is 1055, comprising of 210 families. Prior to the
implementation of the scheme, the people were forced to drink the water from hand pumps,
which had harmful impact on their health. Considering the scarcity of safe drinking water, the
Gram Pradhan and other villagers took the initiative for inclusion in the scheme. The UJS
conducted a baseline survey under the Sector Program .The selected supporting organization,
Kripal Shikshan Sansthan under Sector program, then organised an open meeting along with
the villagers and Gram Panchayat. The awareness program about proposed water supply
scheme was organized by the Supportive Organization, where it was emphasized that the
community would be responsible for the operation and maintenance of the proposed scheme.
UWSSC with 7 members had been constituted under the Chairmanship of the Gram Pradhan.
After the formation of UWSSC, the selected SO organized training program about the roles and
responsibilities of the appointed members covering the following topics:
• Roles and responsibilities of the members.
• Financial Management
• Complete Sanitation Program
• Health and Hygiene
• Women Empowerment
Information about UWSSC members, Scheme Budget, User charges per households was
displayed in a form of Wall Writings. Subsequently a DPR was prepared with the help of the
SO and Engineer which has then approved by the DPMU and PMU. The Scheme was
developed in the area located close to the Panchayat Bhawan. An overhead tank with a
capacity of 50 KL was constructed and for which water was pumped from tube well with a
depth of 57 meters. Monitoring and Evaluation of the Project Implementation was done by
Executive Engineer, Assistant Engineer, Junior Engineer, SO and the Community Development
Experts. At present the 210 families under the scheme are getting 24x7 water supply
successfully. Each household is paying Rs.110 per Month up to a consumption of 10 KL and
additional Rs.10 per KL. This is the first scheme in Uttarakhand under the Swap Scheme which
has installed SCADA Systems, apart from equipment such as Auto panel Chlorine Analyses,
Executive Valve, Flow meters etc.
26
Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
Table 2:2 Batch and Agency Wise Project Achievements up to October, 2012
Achievements Against Project Targets
Pre-planning Planning Implementation Completion
Target Achievement (No) (%) Target Achievement (No) (%) Target Achievement (No) (%) Target Achievement (No) (%)
Mar-12 Oct-12 Mar-12 Oct-12 Mar-12 Oct-12 Mar-12 Oct-12
Devolution of Existing SVS
Batch I PMU 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0
UJN 40 40 40 100 33 33 33 100 30 36 36 >100 29 36 36 >100
UJS 160 160 160 100 150 160 160 >100 140 140 140 100 140 140 140 100
Sub Total 200 200 200 100 183 193 193 >100 170 176 176 >100 169 176 176 >100
Batch II PMU 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0
UJN 239 1087 1892 >100 199 452 452 >100 181 250 250 >100 172 385 385 >100
UJS 700 1094 1094 >100 550 1051 1051 >100 500 528 528 >100 500 500 500 100
Sub Total 939 2181 2986 >100 749 1503 1503 >100 681 778 778 >100 672 885 885 >100
Batch III PMU 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0
UJN 371 170 1990 >100 371 129 129 35 371 31 66 18 371 129 137 37
UJS 960 960 960 100 960 412 412 43 960 290 302 31 960 126 297 31
Sub Total 1331 1130 2950 >100 1331 541 541 41 1331 321 368 28 1331 255 434 33
Single Village Schemes
Batch I PMU 281 281 281 100 234 234 234 100 213 213 213 100 203 203 203 100
UJN 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0
UJS 280 242 242 86.43 255 231 231 91 231 231 231 100 231 231 231 100
Sub Total 561 523 523 93.23 489 465 465 95 444 444 444 100 434 434 434 100
Batch II PMU 991 991 991 100 826 826 826 100 751 751 751 100 715 715 715 100
UJN 554 2549 2549 >100 462 1248 1248 >100 420 845 845 >100 400 443 443 >100
UJS 550 1026 1026 >100 500 1006 1006 >100 450 987 987 >100 450 377 385 86
Sub Total 2095 4566 4566 >100 1788 3080 3080 >100 1621 2583 2583 >100 1565 1535 1543 99
Batch III PMU 1460 6434 6494 >100 1460 3539 3539 >100 1460 1369 1532 >100 1460 755 1023 70
UJN 1200 663 1178 98 1200 502 652 54 1200 424 641 53 1200 299 360 30
UJS 789 440 440 56 789 391 391 50 789 163 509 65 789 70 150 19
Sub Total 3449 7537 8112 >100 3449 4432 4582 >100 3449 1956 2682 78 3449 1124 1533 44
Multi Village schemes
UJN Batch I 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0
Batch II 624 4458 4458 >100 520 354 354 68 473 241 272 58 450 77 107 24
Batch III 200 105 126 63 200 34 34 17 200 0 0 0 200 0 0 0
Total 824 4563 4584 >100 720 388 388 54 673 241 272 40 650 77 107 16
G. Total 9399 20700 23921 >100 8709 10602 10752 >100 8369 6499 7303 87 8270 4486 5112 62
PMU 2732 7706 7766 >100 2520 4599 4599 >100 2424 2333 2496 >100 2378 1673 1941 82
UJN 3228 9072 12233 >100 2985 2752 2902 97 2875 1827 2110 73 2822 1369 1468 52
UJS 3439 3922 3922 >100 3204 3251 3251 >100 3070 2339 2697 88 3070 1444 1703 55
Source: SWSM
Prior to URWSSP, 51 per cent, out of 39,967 habitations, were fully covered with drinking
water facility as per the statistics of the RGNDWM, based on a survey conducted in the
year 2003. The URWSSP was to cover 17,741 habitations, through 7,328 new water supply
schemes, as envisaged in the PAD. However, after a review by the Third Implementation
Support Mission from the World Bank (13–26 October, 2008) an assessment of the
progress achieved, and on several consultations with the Government of Uttarakhand, it
was decided to scale down the targets in water supply as detailed below:
27
Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
Table 2:3 Revised Target Habitations
PMU UJS UJN Total
PAD Revised PAD Revised PAD Revised PAD Revised
8440 2,338 4,864 3100 572 2822 17741 8270 Source: SWSM
The project has not only achieved the target of reaching out to a total population of 1.20
million, but has exceeded as the project covers a population 1.57 million. Following the
disaster in 2013, the Additional Financing (AF) component, of the project, was included
to support the reconstruction and restoration of Rural Water Supply Schemes affected by
the disaster that struck various regions of Uttarakhand.
2.2.1 Achievement versus Target
The project has implemented 3,817 schemes in 8,550 habitations against the project target
of 8,270 habitations (schemes), thus, completing 99.5 per cent schemes till November 30,
2015. More than 80 per cent of the completed schemes have been formally exited and are
being maintained by the UWSSC. The project not only achieved its target but exceeded
both in terms of beneficiaries (130 per cent) and habitations (103 per cent) covered by
URWSSP.
Figure 2:1 Target vs. Achievement
Source: SWSM
All the facilitating Agencies, the Swajal PMU, UJS, and UJN have exceeded their targets
and projections in terms of coverage of habitation. The figure below provides details of
projects implemented until 2015 by the three facilitating agencies.
0
2000
4000
6000
8000
10000
Project PMU UJN UJS
8270
23782822 3070
8550
2485 2866 3199
Ha
bit
ati
on
s
Target vs Achievement
Target
13283
9351431
1824 14721578
706308
13
296
1231
2662
4486
5958
7536
82428550
0
1000
2000
3000
4000
5000
6000
7000
8000
9000
2007-
08
2008-
09
2009-
10
2010-
11
2011-
12
2012-
13
2013-
14
2014-
15
2015-
16
Ha
bit
ati
on
s
Achievement during year
Cumulative
28
Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
Table 2:4 Revised Completion of Water Supply Schemes as on November 30, 2015
Particulars UJN UJS PMU TOTAL
Target Habitations 2822 3070 2378 8270
Benefited Habitations 2866 3199 2485 8550
Percentage of Covered Habitations 102% 104% 104% 103%
Project End Target (Schemes) 928 1477 1431 3836
Schemes Completed upto November 30, 15 928 1459 1430 3817
Completed/Total schemes 100% 98.8% 99.9% 99.5%
IPCRs Complete 786 1142 1428 3356
IPCR% 85% 78% 100% 88%
2.2.2 Impact
• Considerable RWSS Infrastructure constructed under the scheme to improve the
effectiveness of rural water supply.
• Around 8,550 habitations covered under the URWSSP reaching out to 1.57 million rural
population.
• Around 3,800 GPs covered under the SWAp programme that has empowered and
ensured active participation of the local governance in water supply.
• Has the peculiarity of being environment friendly as 95 per cent (3,613 schemes) are
gravity-based schemes and only 4 per cent (152 schemes) are pumping schemes while 1
per cent (52) comprise of mixed technology. The advantages from the gravity-based
schemes are known as green schemes that are environment friendly as they require very
less energy for operation, which has a direct impact on carbon emissions.
• The O&M expenses of these schemes are minimal.
• The project improved the quality and sustainability of water sources in the rural areas
through catchment protection programmes.
2.2.3 Progress on Additional Financing Project
The Additional Financing for Disaster Mitigation Activities, aimed at reconstructing and
restoring the RWSS schemes that were partially damaged by the natural disaster of
severe floods and landslides that affected Uttarakhand in June 2013. This comprised of
three sub-components, namely: i) RWSS Sector Development that supported the IEC
strategy and institutional capacity-building activities for RWSS institutions and PRIs; ii)
Reconstruction and Restoration that financed the reconstruction and restoration of the
damaged RWSS structures; and iii) Programme Management Support and M&E that was
designed to support implementation and M&E arrangements.
The following progress has been made under the component D of URWSSP:
29
Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
• A total of 2,876 water supply schemes completed until November 30, 2015.
• Around 1,861 IHHLs covered against the target of 2,250, achieving a target of 83 per cent
• Eighty-seven per cent of the target achieved by covering 1,617 soak pits against the target
of 185,025,690 m of drains covered against the target of 30,000 m
Table 2:5 Implementation progress of AF Projects
Implementing
Agency
Target
Schemes
Schemes
completed
% schemes
completed
UJN 727 727 100%
UJS 1738 1627 94%
PMU 525 522 99%
Total 2990 2876 96%
Source: SWSM
Physical restoration and reconstruction of water sanitation infrastructure has been
undertaken in the additional Component D, within the project, which has had a
tremendous impact in terms of re-establishing society’s access to water and sanitation
facilities. Hence, this was ins trumental in facilitating the achievement of the larger
objective of the URWSSP of improving the effectiveness of rural water supply and
sanitation services.
2.3 Health and Sanitation
The Project envisaged large-scale sanitation measures, adopting the concept of total
sanitation that aims to ensure improvement in environmental sanitation of the rural
areas, covering household toilets, solid waste management drainage, excreta disposal,
hygiene, and safe handling of water. The project emphasized that the availability of safe
and adequate drinking water may not be enough to provide sustained health benefits.
Hence, the users were educated on improved health and hygiene, measures for safe
handling of potable water, safe storage of drinking water, washing hands and safe
disposal of wastewater and other improved sanitation behaviour for improvement of the
overall environmental sanitation conditions in the village. Thus, the project made a
successful attempt to integrate construction of drinking water supply and environmental
sanitation services with health and hygiene awareness programmes that aimed to
educate the rural population on the importance of personal and domestic hygiene. The
sanitation component of the project has made an extensive realization both in terms of
construction of toilets and activities to promote behaviour change in the use of toilets and
improving overall health and hygiene. The project has achieved 96 per cent of the target
under sanitation by constructing 8.53 lakh toilet units. Aligning with the national
objectives for complete eradication of open defecation and improvement of
environmental sanitation, the project has worked with the Total Sanitation Campaign,
Nirmal Bharat Abhiyan, and Swachh Bharat Mission- Grameen.
30
Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
Source:
http://swajalsis.uk.gov.in/Reports/NewReports/HealthImpa
ct.aspx last accessed on November 10, 2015
2.3.1 Impact of improved sanitation under the URWSSP
• A total of 8.53 lakh toilet units constructed under the project.
• Improvement in use of toilets with 8,550 habitations having improved access to water for
use in toilets.
• Improved sanitation in schools as a result of construction of school toilets; 3,137 toilets
constructed in schools and 371 toilets constructed for Anganwadis, across the state of
Uttarakhand, has had a considerable impact on education, specially benefitting the girl
students.
• Time saving and reduced drudgery due to improved access to toilets with the construction
of IHHLs.
• IEC programmes for behaviour change and use of toilets have been undertaken that has
an impact on reduction of Open Defecation and improved hygiene in many villages.
• Considerable reduction in open defecation with 689 Gram Panchayats having achieved
• Open Defecation Free (ODF) status.
• Improvement in the status of Health and Hygiene due to various interventions aiming for
behaviour change.
• An overall improvement of health and productivity due to improvement in health and
hygiene.
• Reduction in faecal contamination of water as a result of improvement in sanitation and
environment management practices.
The table here provides details on the
improvement in the sanitation conditions after
implementation of the schemes. Due to the
increased availability of water, the number of
people washing hands after meals has
increased whereas open defecation has decreased.
The number of people affected with water borne
diseases has also decreased. The households using
safe drinking water have increased after
implementation of the URWSS. The table above
provides a comparison of the status of health and
hygiene before planning and after planning of
schemes.
Table Table 2:6 Status of Health and Hygiene before planning and after planning
31
Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
2.4 Institutional Aspects
The institutional structure of SWAp is well-defined and includes participation of
stakeholders at every level, right from the Gram Panchayat to the state. At the State Level
it is coordinated by the State Water and Sanitation Mission (SWSM) that is responsible for
overseeing the reforms /SWAp principles in the activities of the three facilitating
agencies—Uttarakhand Peyjal Nigam (UJN), Uttarakhand Jal Sansthan (UJS) and the
Swajal Directorate or Project Management Unit (PMU). The chairperson of the SWSM is
the Chief Minister of Uttarakhand with the Minister of Department of Drinking Water as
the vice Chairperson with members from legislative Assembly, Zilla Parishads,
Government Departments and the three agencies UJN, UJS, and PMU. The Executive
Committee of the SWSM is chaired by the Chief Secretary and has 19 members. The
SWSM Secretariat is responsible for the Swajal Directorate which is a society registered
under the Societies Registration Act, 1860. The headquarters of respective organizations
at the state level are responsible for facilitating physical, financial, and procedural
progress of the sector programme.
Figure 2:2 Institutional arrangement of URWSSP
Under SWAp, SWAJAL (SVS) and UJN (SVS, MVS), technical and financial assistance is
provided to the communities to construct the schemes and then exit. Swajal aims towards
improving the access to drinking water in the rural regions by reaching to the
“uncovered” or “partially covered” habitations in the state through SVS (single village
schemes) managed by the communities themselves. In the case of SVS, maintenance is
the responsibility of the GP while for MVS, UJS is to maintain the common facilities (from
source to tank/reservoir) and the communities to maintain the infrastructure from the
32
Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
reservoir to their respective habitation. Uttarakhand Jal Sansthan (UJS) is primarily
carrying out the functions of operation and maintenance of these drinking water and
sewage schemes, which have been handed over to them by Uttarakhand Peyjal Nigam
(UJN). Some of the schemes are yet to be handed over to the GPs and continue to be
maintained by the UJN in the initial years.
The state-level institutional arrangement and their roles and responsibilities for the
schemes under the SWAp basket is detailed in the following table:
Table 2:7 State-level Institutional Arrangement Agencies
Agencies Roles and Responsibilities
State Level
State Water and
Sanitation Mission
(SWSM) Secretariat
(Apex Body)
• Oversee, disseminate, and monitor the implementation of policy decisions
undertaken by SWSM and monitoring of the implementation of the policy
decisions by various Program partners.
• Monitor, record, and report the fund flow arrangements for the sector
program
• Submit utilization certificates to GOI and submit reimbursement claims to
Bank
• Appraise and approve high cost MVS which are beyond the prescribed
limit of DWSM
• Conduct SWAp process audit for ensuring implementation of reform
principles in the sector.
The Swajal
Directorate/PMU
• Coordinate and implement the new capital investments for SVS and small
MVS
• Undertake IEC campaigns and the capacity building activities through the
Water and Sanitation Support Organization (WSSO).
• Prepare budgetary plan for the schemes to be implemented by PRIs in the
SWAp basket
• Carry out independent audits of the schemes in the SWAp basket
• Collect, compile, and consolidate the monthly physical and financial
progress from the DPMUs
• Coordinate with the sector institutions and DPMUs for the implementation
of the sector program and submit utilization certificates and reimbursement
claims to the SWSM cell
Uttarakhand Payjal
Nigam
• Facilitation and technical support to PRIs for the construction of Single
Village Scheme as per the agreed principles of the Sector Program.
• Construction of Multi Village Scheme as per the agreed principles of the
Sector Program.
• Rural Sanitation in the villages being covered by Jal Nigam
• Water Supply and Sanitation to public institutions
Uttarakhand Jal
Sansthan
• Facilitation and technical support to PRIs for the construction of Single
Village Scheme
• Reorganization/augmentation of existing Water Supply Schemes with
Uttarakhand Jal Sansthan as and when required
33
Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
Agencies Roles and Responsibilities
• Rural Sanitation in the villages being covered by Jal Sansthan
• Water Supply and Sanitation of public institutions
• Transfer of Single Village Schemes to GPs.
District Level
District Water and
Sanitation Mission
(DWSM)
• Review the implementation of the sector program
• Guide the District Water and Sanitation Committee (DWSC) in planning,
designing, implementation, O&M of water supply schemes as per the sector
program
• Approve the annual budget related to WSS in each district, proposed for
district level UJN, UJS, and DPMUs
• Channel funds to GPs and UWSSCs
• Assist GPs / UWSSCs in procurement and construction of simple MVS
• Provide dispute resolution mechanism for GPs.
District Project
Management Unit
(DPMU)
• The Program Management Unit (PMU) shall be assisted by the District
Program Management Unit (DPMU) at each district
• Provide technical guidance and assistance to the UWSSCs according to the
SWAp principles.
District Water and
Sanitation
Committee
• The DWSCs will be established in each of the 13 districts for appraising the
SVS and MVS up to a certain prescribed limit
• Responsible for the selection of GPs, SOs, and M&E
• Supervision & evaluation of the actual financial transaction & management
in the water supply & sanitation project.
District Level UJN
and UJS
• Provide engineers to the DPMU
• Provide technical guidance and assistance to the UWSSCs
Village Level
Gram Panchayat
(GP)
• Mobilize and support the formation of UWSSC to ensure participatory
approach
• Provide capacity support to the UWSSC
• Ensure O&M and cost recovery of the scheme
• Responsible for fund flows, scheme approval, accounts management,
auditing, M&E and conflict resolution
User Water
Sanitation Sub
Committee
(UWSSC)
• Responsible for scheme planning designing, procurement, construction,
O&M, tariff fixation and revision, community contributions (capital and
O&M), accounts management and auditing
• Responsible for procurement and construction of SVS (including simple
MVS).
Multi Village
Scheme Level
Committee
(MVSLC)
• For larger MVS covering more than one GP, the MVSLC will be formed
consisting of representatives from each UWSSC
• Sub-committees of Block Panchayats or Zilla Panchayats.
At the district level, the institutions include the District Water and Sanitation Missions
(DWSM) chaired by the Chairperson of the ZP, District Water and Sanitation Committee
34
Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
(DWSC) chaired by the District Magistrate/Collector, the District Project management
Unit (DPMU), and the divisional offices of UJN and UJS. The DWSM is the decision-
making body for implementation of the Programme under which the DPMUs and
respective district offices of the sector institutions’ function.
The nodal agency in implementing the programme is the UWSSC at the Gram Panchayat
level and 5,469 such UWSSCs have already been formed. The Swajal PMU, UJN, and UJS
have provided continuous support to these UWSSCs for capacity building through
various trainings, exposure visits, etc.
All sectoral institutions including UJN, UJS, and Swajal work under the policy guidelines
of the Apex Body. The three facilitating agencies are adequately staffed. UJS and UJN
have permanent employees on roll while the Swajal Directorate is managed by officers
from other departments such as Department of Education, Department of Social Welfare,
Department of Medical & Health, and Department of Tourism who are on deputation
and consultants hired on contract basis.
Table 2:8 Summary of the staff requirement and status
Agency Sanctioned
Working Vacant Posts
PMU 350 281 69 UJS 173 173 0
UJN 344 344 0
SWSM 59 38 21
Total 926 836 90 Source: SWSM
Major impacts of the SWAp design are as follows:
• Decentralized decision-making approach at all stages has facilitated improved
participation of the community and beneficiaries. The complaints and problems are solved
at the village level by social gatherings and joint discussions with the community.
• Simpler and easier procedures of lodging complaints with the authorities, paying bills,
bills correction, and obtaining sanctions for new water connections.
• Cost for deploying staff at the government level has also reduced.
• Savings in institutional capital and O&M costs has been observed.
• Due to political economy at the GP level, the cost for construction of schemes has proved
to be unproductive.
• Collection of tariff by UJS may be more efficient, relative to GP, since in the latter case,
inter-personal relations with the Pradhans may act as a hindering factor for collection of
tariff.
35
Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
• Community participation has led to a sense of ownership in the project and improvement
in water use efficiency.
• Delay in funds and decision making have been avoided by eliminating the layers of
bureaucracy.
2.5 Capacity Building
Various capacity-building programmes have been conducted for all the stakeholders of
the project, right from the apex-policy level to the grassroots level. A total of 7,956
training programmes have been developed for UWSSCs, PRIs, UJS, UJN, PMU/DPMU,
SOs, and SAs. The responsibility for design, development, coordination, and
management of capacity development programme for the Programme stakeholders is
with the Water and Sanitation Support Organization (WSSO) Unit.
Two Lead training institutions at State level, one for CB programmers under social &
management category, and the other under the engineering category in RWSS sector,
have been engaged. Lead training Institute is responsible for anchoring overall capacity
building program under the proposed programme. Regional Training Institutions (RTIs)
are engaged for ToTs (Training of Trainers) to support local trainers (Support
Organization), DPMU, functionaries of sector institutions, functionaries at district levels,
and Service Agencies.
Local trainers or Support Organizations are engaged for the capacity building of GPs,
UWSSC, and community members and facilitating the implementation of water supply
and environmental sanitation programmes in the villages. Service Agencies are engaged
to design IEC materials, site appraisals, construction and supervision of quality
monitoring, etc.
Stakeholders involved in the implementation of the rural water supply and sanitation
sector has been classified into four broad categories—a) the apex level; (b) strategic level;
(c) intermediary level; and (d) grass root level.
The capacity building programmes that were planned for the stakeholders, as detailed in
the PAD and Operations manual is listed below:
36
Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
Table 2:9 Capacity building Programmes
Stakeholders Capacity Building Programmes
Apex Level
State Water and Sanitation Mission (SWSM),
elected representatives of the state
(Ministers/MPs/ MLAs/ representatives of PRIs),
policymakers and opinion makers such as
representatives of NGOs
Policy making, Sector planning, Sector monitoring,
Management of Sector Programs, Policy
Implementation, Skill Development, Motivational
Programme, Procurement, Financial management
Strategic Level
(PMU, DPMU, DWSM and ZP)
Programme orientation, programme implementation,
Skill enhancement, motivational needs, experience
sharing, team building and need for exposure to sector
programmes at national and international level,
Financial and accounts management, Procurement,
community development, health and hygiene, project
management, community mobilization
Sector Institutions
(UJN, UJS)
Sector Programme Orientation, Change of Role from
Provider to Facilitator, Success Stories of Community,
Exposure visit to other states, Motivational Courses,
Senior Staff Annual Refresher Course,
Intermediate Level
(PRIs and SOs)
Orientation workshop on Swajal Panch project,
Institutional arrangement, roles and responsibilities
Grass Root level
(Gram Panchayat and UWSSCs, Women SHGs)
GP action plan, Water supply plan, General Trainings,
Workshops, Exposure visit to a Swajal village, Training
on water quality monitoring and surveillance, On site
training programme, Health, hygiene and environment
sanitation awareness programme
The total number of capacity-building programmes and persons trained has been
summarized by analysing the data of SWSM between 2009 to 2015.
Table 2:10 Capacity building programmes conducted
SN Stakeholder Level
No. of Programme Total Person Trained
2009 2015 2009 2015
1 Apex/Policy 5 43 118 1,251
2 Strategic 93 518 2074 12,173
3 Intermediate 11 527 805 21,980
4 Grassroots 4,224 6,868 86,749 17,0248
Total 5,365 7956 1,75,523 2,05,652 Source: SWSM
37
Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
2.5.1.1 Impact of Capacity building activities
• Significant achievements in terms of number of programme (7,956) and total persons
trained (205,652)
• Developed a large pool of resource persons spread across GPs, NGOs, and
communities, that has built the human resources at state, district, and Gram Panchayat
levels.
• Led to the development of a pool of technicians as resource persons, and supported
the Uttarakhand Nainital Academy as a Key Resource Centre of the Ministry of
Drinking Water & Sanitation (MoDWS).
• Total of 6,868 training programmes conducted at the grass roots level have led to
increased capacity and improved local governance at the panchayat level.
• Our interactions have confirmed that the training and capacity building measures
have been effective in achieving its objectives at all levels with high attendance in the
training programmes. The DPMUs, at the district level, are staffed by consultants for
environment and social, health and hygiene, community development, engineering
staff, IT, apart from the project manager and the account manager. Capacity building
programmes at the DPMU level has been quite effective.
• Strengthening of grass root level organization through the training programmes and
awareness workshops for the GPs and the UWSSC members as envisaged under
SWAp.
• Exposure visit, meetings, trainings, and workshops, have been reported to be effective.
2.6 Communication Strategy and IEC
As envisaged in the PAD, the information, education, and communication activities aim
at supporting and facilitating the sector programme by disseminating the relevant
information to all stakeholders. Communication strategy has focussed its efforts at three
levels with the following objectives:
• Creation of an environment for the communities and GPs to lead decision making
• Emphasis on the positive benefits of the programme among all target audiences
• Provide GPs, target communities, and programme functionaries with correct and
complete information on the programme.
• Social mobilization and enhanced people’s participation in implementation and
management.
• Increased participation by women and other vulnerable groups to avail of
opportunities by mainstreaming them in the local-level institutions
38
Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
The table 2.11 provides details of the IEC activities under the URWSSP:
Table 2:11 IEC under URWSSP
Number Media tool Achievement (No)
1 Advertisement in News paper 221
2 Ashardar Tools 923
3 Audio Video Spots 154
4 Banners 531
5 Booklets 43027
6 Demo 6
7 Exhibition 47
8 Fair Participation 11631
9 FGD 292
10 Folk Performances 60
11 Hoardings 42
12 Interpersonal Communication 8157
13 Leaflets 41606
14 Manuals 5352
15 Nukkad Natak 803
16 Personal Communication 9491
17 Posters 6248
18 PRA Tools 314
19 Quiz contest 652
20 Radio Spots 1
21 School Sanitation Rally 298
22 TV shows 13
23 TV spots 1
24 Wall Writings 1881 Source: Swajalsis Website (http://swajalsis.uk.gov.in/Reports/IECReport.aspx )
The overall Impact of the communication and IEC strategy may be summarized as
follows:
• Significant benefits in terms of reach and impact of mass media communication in the
programme.
• Positive impact on personal health and hygiene attributed to the IEC activities.
• Improved awareness on various communicable diseases and prevention, good waste
disposal and management, water conservation, and harvesting technologies.
• Introduction of social media tools to support water and sanitation activities in the
project
o Facebook: Swajal Uttarakhand’s Facebook account “Swajal
Uttarakhand’/’SBM-G Uttarakhand’ is a platform for sharing best practices by
the district units in the field of water and sanitation.
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Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
o WhatsApp Group: It is also being used as a fast correspondence internal tool
between the state and district unit functionaries, to monitor the day-to-day
progress of project implementation in water and sanitation. The SWAJAL and
SBM Uttarakhand group consists of total 70 members of state/district level
officials.
• Strong impact of print media communication due to large coverage and lasting
impact.
• Electronic media such as spots and jingles, Docudrama Series weaved with
information, news and magazines for progressive audience were used to disseminate
various messages.
• Banner, booklets, leaflets, and posters have proved to be effective tools for
communication. These tools were developed both in Hindi and English. Some districts
have had an exceptionally impressive utilization of such tools particularly in Almora,
Dehradun, Pithoragarh, Nainital, Champawat, and Tehri Garhwal.
2.7 Sector Information System, Water Quality Monitoring,
and Source Discharge Measurement Programme
Swajal-Sector Information System (SIS), an online source of information was launched in
July 2009 and is managed by the Swajal-Project Management. SIS is hosted on NIC web
server (http://swajalsis.uk.gov.in). The SIS has online entry of all the physical and
financial progress of the three facilitating agencies and provides broad information on
the project such as:
1. Pre-Feasibility: It includes the summary of all existing schemes, status of covered
habitations and Gram Panchayats.
2. Planning Phase: The results of the healthy home surveys conducted at the
household level, details of UWSSC, and baseline of Gram Panchayat and Multi
Village Scheme Level Committee block wise, district wise, scheme wise and GP
DPR : Block wise, district wise, scheme wise and GP wise details of DPRs
prepared, MVS scheme details, list of target habitations and habitations covered.
3. Implementation: The data of procurement summary for implemented scheme,
data for physical progress, scheme progress details and summary, monitoring
progress report, and the data for MVS District Implementing Agencies.
4. HRD Activities: Detailed information of the number of trainings and IEC activities
undertaken by the project on District level, Block level, and GP level for
increasing awareness and education.
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Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
5. Contract Detail: Contract details of support organizations and support agencies.
6. O&M Phase: The detailed data of implemented schemes according to their
functioning status.
7. Disaster Management: Detailed information on the damage to RWSS
infrastructure, disputed or dropped schemes and damage cost data is available.
The Swajal PMU has supported the other two institutions in launching the online data
entry system. Swajal PMU has 100 per cent track records of the online data entry, while
UJN has 85 per cent data and UJS has entered 93 per cent data. The SIS has been
recognized for transparency and disclosure and was conferred the Right to Information
award in the year 2009 and 2010.
2.7.1 Water Quality Monitoring Programme
The Water Quality Monitoring Programme was launched in February 2006 with the aim
of providing safe water for drinking, cooking, and other domestic needs, on a sustainable
basis to every person in the rural areas. The water for potable use is to meet the Bureau of
Indian Standard (BIS): 10500 and conform to the minimum acceptable standards for other
domestic purposes. The chemical contamination test and potability of water quality are to
be conducted using the water quality testing kit (Field Test Kit) and sanitary inspections.
As detailed in the online Sector Information System, there are 4 trained persons, for each
of the 13 districts and 5 persons in every Gram Panchayat. The Gram Panchayat
representatives from schools, SHGs, and UWSSC members are provided with one Field
Test Kit to test the chemical contamination in water samples on a daily basis. An
additional kit is provided to large GPs. Refill System of Field Test Kits (FTKs) are also
provided to replace expired chemicals.
Water testing is done regularly by ASHA workers. Our field study indicates that there is
considerable improvement in the water quality after implementation of the URWSSP and
specifically due to the water quality monitoring programmes that are undertaken
regularly in most of the regions with the objective of regularly monitoring the quality of
water and adopting reliable and appropriate measures to improve the water quality
accordingly. The beneficiaries of the URWSSP have expressed high satisfaction with the
improvement in the quality of water. In some schemes, the operators have been trained
to use the FTKs themselves and share the results with the DPMU. As per SWSM data,
cumulatively, a total of 2,141 participants from district and block level functionaries and
60,047 participants from GP-level functionaries have been trained for testing of the water
quality during the project. Also, a total of 48,481 sources and 83,919 water samples have
been tested through FTKs and H2Svial. During the FY 2015–16, 140 numbers of refresh
training, benefitting 4,533 persons have been conducted for testing of water quality
against an annual target of 205 training for 7,971 person. Also, 5,216 water samples have
been tested through FTK and H2S vials during the last financial year.
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Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
2.7.2 Environmental Assessment
Various environmental aspects have been successfully mainstreamed into the URWSSP
to address the main environmental concerns of (i) impact on downstream ecosystem and
settlements; (ii) Impact on ecological resources; (iii) impacts on land-use and topography;
and (iv) impact due to inadequate environmental sanitation.
Catchment Area Conservation and Management Plans (CACMP), environmental
sanitation programmes, solid waste management, health and hygiene awareness
promotion and safe disposal of wastewater have been incorporated within the URWSSP.
Since its launch, the URWSSP has installed a total of 3,865 rural water supply schemes,
out of which CACMP work was undertaken in 2,447 schemes as shown in the table 2.12.
Table 2:12 Progress of CACMP activities
Particulars PMU UJS UJN Total
Total W/S Schemes 1,431 1477 928 3,836
Scheme with CACMP 681 1,034 544 2,447
Plantation (No.) 2,09,790 1,68,356 1,23,917 6,77,033
Recharge Pit (No.) 1,338 2,614 5,434 10,092
Contour Trench (RM) 8,385 6,414 5,834 26,847
ChalKhal (No.) 206 445 2,688 4,259
Grass Patches (No.) 103 155 200 458
Check Dam (No.) 1,700 1,198 1,450 6,099
RWHT (No.) 1,330 61 369 3,369
Percolation Pond (No.) 101 211 190 739
Coolie Walling (Cum) 8,505 2,200 3,421 16,752
Source: SWSM
The CACMP activities have exceeded the target in terms of construction of soil and water
conservation structures that included contour trenches, 10,092 recharge pits and 6,099
check dams. Extensive capacity building activities were carried out to enable 2,958
members of 1,405 UWSSCs to monitor water quality as well as other environmental
aspects, to be covered under the project.
Since, forest clearance is mandatory for all schemes located in the forest areas, clearances
of all 89 Swajal schemes and 15 out of 16 UJN schemes were obtained. In the context of 1
scheme, forest clearance is pending.
Environmental Management Framework (EMF) requires preparation of Detailed
Environmental Project Report (DEPR) during the preparation stage of each scheme,
focussing on source protection and its sustainability. Along with EMF Catchment Area
Plan comprising Technical Intervention Plan, Cost Estimation Plan and a Monitoring
42
Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
Plan were prepared. The study has found that DEPR, which is the part of DPR,was not
adequately compiled in some of the scheme.
The DEPR is to include the following components:
i. Mapping of habitation, connectivity, demographic and socio-economic
characteristics.
ii. Physical features (location, topography, climate).
iii. Land use (type and area of forests, agricultural land under irrigation type,
grazing lands, wastelands, residential land, etc.)
iv. Tree cover in catchment and species found (trees, shrubs, and grass varieties).
v. Cooking fuel present and future requirements—wood (tree species) and others
(LPG, kerosene).
vi. Estimation of cattle feed—requirement and availability.
vii. Identification of potential water supply sources, assessment of water availability,
and selection.
viii. Mapping of source and source catchment features.
ix. Checklist-based assessment of source catchment – tree cover assessment, erosion.
Environmental Codes of Practices (ECOPs), promoted through the EMF, have been
adopted under the URWSSP and are manifested in the form of accrued environmental
benefits and enhanced sustainability. The study highlights the status of the project with
the objectives of Environmental Codes of Practices (ECOPs) as detailed below:
1. Identification of Sources of Water Supply: Sources like spring, stream identification
have been found in line of compliance of ECOPs. Discharge measurement has been
done in lpm scale. Water storage tank was made a little away (downhill) from the
source. Water quality has been tested before installation of the scheme, which follows
the safe limits of Bureau of Indian Standards (BIS).
2. Protecting Surface Water Supply Source and Ensuring Sustainability: The suggestion
of leaving minimum discharge downstream to maintain the ecosystem is complied. It
is the normal practice to use a small intake well (locally known as Uttaranchal Koop)
with a perforated large diameter pipe buried in the ground in the sources, and to
which the intake pipe is connected underground. This ensures the clean water flow
into the intake pipe. Few check dams were made in the stream above the collection
point to increase the water soaking which also improved the quality of water.
Catchment area treatment was done.
3. Water Quality Monitoring: Water was tested before finalizing a source to tap for
drinking water in line of the norms stated in Sec. 6.3.1 of EA study report. Water
quality surveillance is being undertaken periodically in line of mitigation measures
43
Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
proposed in the EMF. Chlorinators are provided at all storage tanks for regular
chlorination at storage tanks.
4. Selection of Safe Sanitation Technology Options (Including Drainage) at Individual
Household and Community Levels: Compliance with this ECOP has not met
satisfactory status. Drains are not clean enough and awareness about not throwing
garbage into drains is very less.
5. Selection of Location for Community Toilets is in compliance with prescribed ECOP
6. Safe Sullage Disposal and Organic Waste Management and Safe Solid Waste
Management at Individual Household and Community Levels are inadequate and
requires considerable improvement.
7. As per source discharge measurement programme, the discharge capacity should
meet the minimum discharge limit. The minimum discharge of 0.15 l/sec is considered
to be safe discharge and within permissible limits. The source, measured for three
consecutive years in dry season the minimum discharge so measured, can be
considered as the design discharge of the source. When one year dry season
measurement is available, 0.5 X minimum measured source yield. When two
consecutive years dry season measurements are available, the minimum dry season
source yield is 0.75 X.
8. The water storage facility has improved considerably and in most of the rural areas
water is accessible in maximum time throughout the year. After implementation of
this programme the water is available even in the lean summer months. Also, this
programme helped in controlling the overflow of water. At some places extra tanks
have been installed to stop the overflow of water.
Institutional Capacity for Environmental Management: T h e project has taken a number
of steps to enhance implementation and monitoring capacity of the three agencies
including:
i. Recruitment of five environmental consultants
ii. Standardizing environmental monitoring formats
iii. Providing directions for close coordination of the twelve PMU Swajal
environmental specialists posted at district level
iv. Regular training and IEC activities for the project staff in the field.
The project has also initiated environmental audit exercise as a third party evaluation of
environmental management. Impact of the environmental management activities are
summarized below:
1. Minimized environment externalities due to strict adherence of environmental
standards.
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Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
2. Source sustainability through CACMP.
3. Improvement in water resources with construction of rooftop rainwater harvesting
structures, percolation tanks, check dams.
4. Low consumption of energy: Close to 96 per cent of the 3,836 water supply schemes
commissioned under this project are gravity-based, leading to minimal energy demand.
5. Improvement in Environmental Sanitation in villages: Swajal PMU has initiated SLWM
implementation work in 135 GPs against the target of 200 GPs. Works have been
completed in 5 GPs.
6. Improved capacity on environmental management
2.8 Financial management
The financial management system under the
project has been designed to reform the
accounting systems to meet the requirements
of the World Bank financed projects with the
following objectives:
• Timely information
• Transparency and accountability
• Effective and efficient utilization of funds
• Completeness of information
• Data integrity
Figure 2:3 Fund Flow Pattern
As detailed in the Financial Management Manuals, the major institutions for the
provision of funds are World Bank, Central Government, State Government, and
Beneficiaries. The responsibility for fund transfer is with the SWSM. Funds from SWSM
flow to the respective DWSM and each DWSM disburses to DPMU and Divisional
officers of UJS and UJN. Funds for all Single Village Schemes and MVS after clear water
reservoir (CWR) under programmes inside SWAp flow from GOUA to DWSM after
sanction and intimation to SWSM Cell. From DWSM, the fund flows to GP as per the
MOUs with the GP for onward transmission to UWSSC. Funds for reorganization and
rejuvenation of SVS under SWAp programmes flow to UJS.
45
Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
The details on the budgetary support is provided in the table below:
Table 2:13 Component-wise SWAp Budget Share of GoUK as per PAD
Particulars PMU UJS UJN Total
Total W/S Schemes 1,431 1477 928 3,836
Scheme with CACMP 681 1,034 544 2,447
Plantation (No.) 2,09,790 1,68,356 1,23,917 6,77,033
Recharge Pit (No.) 1,338 2,614 5,434 10,092
Contour Trench (RM) 8,385 6,414 5,834 26,847
Chal Khal (No.) 206 445 2,688 4,259
Grass Patches (No.) 103 155 200 458
Check Dam (No.) 1,700 1,198 1,450 6,099
RWHT (No.) 1,330 61 369 3,369
Percolation Pond (No.) 101 211 190 739
Coolie Walling (Cum) 8,505 2,200 3,421 16,752
Out of the total budget, 88 per cent was allocated to Component B, i.e., RWSS
Infrastructure Investments, 10 per cent to sector management, M&E, audit and FM, and
remaining 2 per cent to sector studies, capacity building, and strengthening
programmes, establishment of e-procurement, etc., as given in Figure 2.3.
Figure 2:4 Component-wise budget allocation
RWSS
Development ,
2%
RWSS
Infrastructure
Investments,
8%
Program
Management
Support and
M&E, 10%
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Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
Table 2:14 Budget Allocation Sub Component wise
Particulars PMU UJN UJS Total
Project Provision - Water Supply 1444.65 2096.09 6824.76 10365.50
Expenditure of restoration of water supply up to
month
1181.61 2079.82 4248.45 7509.88
Closing balance at the end of month 263.04 16.27 2576.31 2855.62
Project Provision - Sanitation 952.00 0 0 952.00
Expenditure of restoration of Sanitation facilities
during the month
333.42 0 0 333.42
Cumulative expenditure up to month including
water supply & sanitation
1515.03 2079.82 4248.45 7843.30
The revised project cost was US$258.46 million (equivalent Rs. 121478 lakhs). Year-wise
grants are released from GoUK for EAP since inception amounting to a total of Rs.
83605.87 lakhs.
Figure 2:5 SIA wise funds from GoUA
Source: Consultants’ Analysis
Additional financing under Component D on RWSS Disaster Mitigation Activities, with
a total outlay of US$24 million was added post the 2013 disaster.
2005-06 2006-07 2007-08 2008-09 2009-10 2010-11 2011-12 2012-13 2013-14 2014-15
UJS 0 0 200 1500 2500 3500 2000 5000 2500 4537.75
UJN 0 0 200 4500 1500 6500 4500 3000 3300 2076.83
PMU 0 761 1800 5000 3500 4500 5000 7000 5500 3230.29
0
1000
2000
3000
4000
5000
6000
7000
8000
Rs.
La
kh
s
SIA wise funds recived from GoUA
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Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
Table 2:15 The Financial Progress of Additional Financing Project (upto December, 2015) is
provided below
Particulars PMU UJN UJS Total
Project Provision - Water Supply 1444.65 2096.09 6824.76 10365.50
Expenditure of restoration of water supply 1181.61 2079.82 4248.45 7509.88
up to month
Closing balance at the end of month 263.04 16.27 2576.31 2855.62
Project Provision - Sanitation 952.00 0 0 952.00
Expenditure of restoration of Sanitation 333.42 0 0 333.42
facilities during the month
Cumulative expenditure up to month 1515.03 2079.82 4248.45 7843.30
including water supply & sanitation
Source: SWSM
2.8.1 Observations from Financial Analysis
• The overall Financial Management System for the project is working well and the
FMRs and Audit reports are being submitted on time. However, at the GP level,
improved monitoring of the finances in terms of GP advances and complete
accounts closure for schemes needs are required.
• Financial Powers to the grass root institutions through the UWSSCs has led to
improved financial management of the projects. Majority of the schemes have been
completed at an outlay which is below the DPR cost estimates.
• Timely and adequate fund flows have been observed although, there were some
delays in transfer of funds from the gram Nidhi Account to the UWSSC during the
inception of the programme. These issues were sorted out with improved banking
access and systems in place.
• A robust financial system with proper checks and procedures are in place to avoid
misappropriation of funds.
• Delays in the accounts closure from the UJN and partially from UJS have been
observed.
• There are delays in IPCR completion which has affected the accounts finalization to
a large extent.
• Collection of user fees not done on a regular basis in some cases that may have an
impact on the long-term financial sustainability of the scheme.
• Cost effectiveness noted for the 3,781 (99 per cent) SVS and 36 (1 per cent) MVS
schemes. The completion cost of the SVS and the MVS are much lower than the
costs/ceiling fixed at the appraisal stage and are also well below the state and central
government norms as provided in the table below:
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Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
Particulars PMU UJS UJN
1) Per Capita investment cost ceiling as 7031 7031 7031
per PAD for 2) Per Capita investment cost as per actual 4023 3662 6887
for
3) Per Capita investment cost as per State 12500 12500 12500
government norms for
4) Per Capita investment cost ceiling
per PAD for
Not
5) Per Capita investment cost as per
for
6) Per Capita Investment cost as per Government norms
Table 2:16 Cost Effectiveness of Project Schemes
Source: SWSM
• The average project cost of SVS is Rs. 4,854 per capita compared to appraisal
estimates of Rs. 7,031 per capita, recording a saving of 30 per cent compared to its
own per capita cost targets and 60 cost savings when compared to GoI (NRDWP)
norm of Rs.12,000 per capita cost. Similarly, the project cost for MVS is Rs. 7,972
compared to appraisal estimates of Rs. 10,320 per capita with 22.5 per cent cost
savings and GoI (NRDWP) norms of Rs. 25,000 per capita, and 68 per cent cost
savings. The savings in capital cost may be attributed to the decentralized approach
of the programme.
• The total Capex savings based on the Per Capita Costs savings vis-à-vis the PAD
and the State Government norms could be detailed as under:
Table 2:17 Capex Savings
SVS MVS Total
a) Population Served (Million) 1.50 0.07
b) Cost Saving per Capita vis-à-vis 2277 2348 PAD (Rs)
c) Total Cost Saving vis-à-vis PAD 3415.50 164.36 3579.86
(Rs. Mn)
d) Cost Saving vis-à-vis State 7646 17028
Government Norms (Rs.)
e) Total Cost Savings vis-à-vis State 11469 1191.96 12660.96
Government Norms Source: Consultant’s Analysis
• The total Cost Saving in Capex itself is considerable as compared to the PAD (Rs.
3,580 million) as well as the State Government norms (Rs. 12,661 million).
49
Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
2.9 Procurement
Procurement policy needs to obtain right quality of works, goods or services at
reasonable and competitive prices, giving equal opportunities to those
individuals/companies/ firms/manufacturers/builders who are capable of delivering the
goods, works, and services. As per PAD, this component includes consultancy
assignments for carrying out studies, preparation of standard bidding documents,
provision of necessary equipment and training needs, etc., with a view to strengthening
the capacity in procurement processes of sector institutions and agencies. In this project,
the procurement process is specified at various stakeholders’ level for goods, works,
and services. All three sector agencies are made responsible for undertaking respective
procurements against the procurement rules and guidelines. One of the main
advantages under the SWAp, is reduced corruption.
Figure 2:6 Steps for Procurement of goods
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Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
Table 2:18 Sector Agency wise Procurement
Sector Agencies Procurement Activities
PMU All Procurement activities related to M&E and under Component A
UJS, UJN Procurement of Works, goods and Services for engagement of SO and water supply operations
Review of time series data from SWSM confirm that there are no major procurement
issues in the project. Training on procurement was continuously provided to all the
three agencies.
2.10 Operation and Maintenance
Project cycle states that the Operation and Maintenance (O&M) phase should be of 4
months. PMU/DPMUs provide technical assistance during the 4 months period to the
UWSSCs after commissioning of the water supply schemes to place the O&M system in
order.
The O&M system comprises the technical, financial, and institutional systems. After
establishing a n O&M system in place and completing all the activities stipulated in the
agreement, the DPMUs formally exit from the GP. The environmental sanitation
activities shall start in the planning phase and shall continue up to the (O&M) phase.
(O&M) account is separately maintained by UWSSC. The planning, implementation,
operation, and maintenance of drinking water and sanitation schemes are done by
UWSSC and the same is approved by GP in its open meeting.
Table 2:19 Operation and Maintenance of Swajal-PMU schemes
Swajal Scheme Status No. of Scheme
Total Scheme 1176
Fully Functional 1171
Partially Functional 5
Not Functional 0
Table 2:20 Age-wise Operation and Maintenance Status of Swajal Schemes
S.No. Age in Total Fully Partially Non Years Scheme Functional Functional Functional
1 0-2 141 141 0 0
2 2-4 577 573 4 0
3 4-6 435 434 1 0
4 6-10 45 45 0 0
Total 1198 1193 5 0
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Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
Source: http://swajalsis.uk.gov.in/Reports/ONM/FunctionalitySummary.aspx
Our study has highlighted the following:
• Operation and maintenance activities are being carried out satisfactorily in Swajal-
PMU schemes.
• A wide variation of O&M has been noticed during field visits due to typology of
water supply schemes, size of habitations, and distance of water source from the
habitation, etc.
• In some cases it has been difficult to procure O&M cost as villagers are not willing to
pay any user charges. Handholding support especially focusSing on collection of
O&M by UWSSCs is necessary for long-term sustainability of the project.
• No major issues and default cases have been reported till date.
• Government orders have been issued regarding UJS as the ‘back-stopping agency
for O&M services’.
2.11 Monitoring and Evaluation
The following Monitoring and Evaluation activities (M&E) are being carried out in the
project with the objective of providing comprehensive information on the water supply
and sanitation schemes as per the scheme cycle.
1. Sector M&E system—Consolidation of sector data at the state level to monitor the
progress of the performance indicators with regard to sector policy
implementation and programme outcomes.
2. Periodic review, through targeted process and impact evaluation to learn from
the field experience and suggest strategic inputs for further strengthening of the
programme design and strategies, for effective delivery of inputs at the GP level.
3. Sustainability monitoring and evaluation to track the long-term technical,
financial, institutional, social, and environmental sustainability prospects of the
schemes and assets created during the project life cycle of sample schemes.
4. Community monitoring to help community members track the progress of their
schemes in all the phases of the project, for continuous use after scheme
completion.
The salient features of the M&E activities are:
• PMU is responsible for sector wide M&E system. The outputs of the system depend
on the data sourced from UJN & UJS. Periodic review studies (concurrent
monitoring) are undertaken by the PMU. Data from Swajal PMU schemes is
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Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
available online, but the UJN and UJS have not properly uploaded and need to fully
integrate.
• During the year 2009, two rounds of Concurrent Monitoring of Planning Phase were
undertaken, covering habitations undertaken by all three sector agencies. These
studies highlighted the issues faced by three sector agencies. The study brought
about various deficiencies connected with community mobilization and planning,
especially by UJN and UJS.
• Financial monitoring is done regularly in all the three agencies.
• The project had also developed an online Monitoring and Evaluation system and the
report is available at www.swajalsis.uk.gov.in which is freely accessible.
• Community monitoring data are also available on the SIS website, improving the
transparency of the programme.
• The Swajal Samachar newsletter of the project and other important documents such
as GOs, DPRs, contracts, and agreements are uploaded on the website regularly.
53
3 Impact Analysis at Household L
With the main objective of improving the effectiveness of the rural water supply and
sanitation services through decentralization and increased participation of Panchayati Raj
Institutions and local communities, the project has reached 8,242 habitations in the state of
Uttarakhand, with adequate volumes of improved wa t e r quality and improved sanitation.
This chapter assesses the impact on the eleven parameters as mentioned in table 1.1. Chapter
1, based on the analysis of the primary studies, which were undertaken mainly through
surveys and Focus Group Discussions (FGDs). The findings from the 130 rural water supply
schemes and 1,300 households have thrown light on the positive impact of the Uttarakhand
Rural Water Supply and Sanitation Project, under various facets which are evident from the
high satisfaction levels of the survey respondents as detailed in figure 3.1. As is visible, 89 per
cent of the households surveyed have rated their satisfaction levels as good. Satisfaction
levels have been noted to be particularly high in for the PMU schemes (93 per cent) and
beneficiaries from UJS and UJN schemes reporting 87 per cent satisfaction.
Figure 3:1 Satisfaction levels of survey respondents
3.1 Water Supply Services
The main source of water for the rural water supply schemes implemented under the
URWSSP is SVS Gravity Spring (68 per cent) and SVS Gravity Gadhera (15 per cent).
70%
19%
11%
Satisfaction of survey respondents
Good
Satisfied
Not satisfied due to insufficiency
Not satisfied due to seasonal non
availabillity
54
Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
Figure 3:2 Source of Water
Thus, from the above fig, it is evident that springs and streams are the principal source
of water (93 per cent) of the schemes surveyed.
The entire project region covering the 13 districts of Uttarakhand have benefitted with
the URWSSP with the most important impact of the project to the households being in
terms of improved access to water supply services. Respondents from our survey have
reported that the access has increased from 15 per cent before scheme to 98 per cent after
the implementation. Of the surveyed households reporting improved access to water
supply services, 50 per cent have individual household connections and 48 per cent have
access to stand posts near their houses. This improved access to water has also had a
profound impact on the overall improvement in the quality of life of the people in the
region through reduced distance travelled, availability of water throughout the year as
well as sufficiency of water to these households. The following sections of this chapter
have detailed the positive impact through the improved access through its intense social
and economic impacts (in Chapter 5).
Figure 3:3 Access to water supply services
8%
67%
12%
3%
8% 2%
Before Scheme
Individual connections
in the house
River/Stream/Spring
Gadhera
Handpump
Standpost
Others
50%
2%
48%
After Scheme
Individual connections
in the house
River/Stream/Spring
Standpost
55
Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
The household survey has also thrown light on the improvement in availability of water,
where 93 per cent of the households have reported water available throughout the year
after the implementation of the scheme, while it was only 45 per cent earlier as detailed in
the fig below where the inner pie represents the availability of water to households before the
implementation of the scheme and the outer pie represents after implementation. These
households have reported an improvement in the access to water supply after the
schemes, yet there were some irregularities with the availability, particularly during
summer months.
Figure 3:4 Availability of water
As represented in the figure above, 7 per cent of households have reported issues with
regard to water availability throughout the year even after the implementation of the
rural water supply schemes. These are households that belong to the highlands of the
districts of Bageshwar, Nainital, Rudraprayag, Uttar Kashi, and Pauri Garhwal where
water availability was a major issue all throughout the year before the implementation
of the scheme and the distance travelled and t ime spent for fetching water was very
high. Although, the implementation of URWSSP has led to a drastic improvement in the
overall the scenario the respondents have reported problems with regard to availability,
particularly in summer months.
Improved access to water supply has also meant less distance travelled to fetch water
since it is now available within the households or nearby stand posts, very often within
200m distance. The survey indicates that people reporting less distance travelled has
increased from 15 per cent to 93 per cent. Our surveys and the FGDs have further
thrown light on the reduction in the distance travelled. The benefits, in terms of the
Before Scheme,
45%
55%
93 %
After Scheme,
7%
Availability of Water
Yes No
56
Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
significant reduction of the distance travelled by people to fetch water, are mainly in
terms of reduced drudgery of people involved in fetching of water, mainly women and
young girls, has been detailed in the following section on specific impact on the gender
and accounted in Chapter 4.
Sufficiency of water to meet the basic requirement of cooking, washing, and cleaning
was another aspect captured through the household survey. Drastic improvement in
terms of water sufficiency has also been observed for pre- and post- scheme where only
34 per cent of families reported sufficient water supply before scheme while this number
rose up to 93 per cent after implementation of the URWSSP.
Figure 3:5 Sufficiency of water
Improved access, improved availability and sufficiency of water has also led to another
evident impact in terms of improvement in consumption of water. This was brought out
through our FGDs that report an increase in the household consumption of water,
where majority of the participants reported an increase in consumption from 50–100
liters (pre scheme) to 150–200 liters after the improved access of water to these
households on account of the implementation of rural water supply schemes under the
URWSSP.
Besides, 67 per cent families have reported improved water supply for 24 hours after
the initiation of the scheme, which was only 21 per cent before the scheme came into
practice. Also, the percentage of families who get water only for 2 to 4 hours on daily
basis has been reduced after the scheme to 9 per cent which was 23 per cent before the
scheme. Respondents have also expressed their satisfaction regarding the good quality
water that is provided in terms of improvements in water quality after implementation
34%
Before Scheme
66%
93%
After Scheme
7%
Sufficiency
Yes
No
57
Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
of the project in the context to cleanliness, colour, and taste. While, before the project, 51
per cent households reported clean water, after the implementation of the project, the
score was a perfect 100 per cent.
3.2 Improved Sanitation
Secondary data suggests that there is considerable improvement in sanitation in
Uttarakhand where the percentage of Individual Household Latrines (IHHLs) has
increased from 32 per cent to 73 per cent. Much of the achievement on sanitation front
may be recognized as achievement under the URWSSP project that has worked with the
various Sanitation Initiatives namely the Total Sanitation Campaign (TSC), the Nirmal
Bharat Abhiyan and the recent Swachh Bharat initiative. The survey results and FGDs
have highlighted remarkable improvement in the sanitation scenario of the surveyed
region.
While ownership of IHHL is an important indicator, the usage of the same is even more
crucial and is the key indicator for eradication of open defecation. Our analysis reveals
that there is an increase in both these vital indicators on account of the efforts under the
URWSSP that has put a major thrust on the construction of IHHLs in the region,
supplemented with major campaigns and awareness creation for creating an Open
Defecation Free Uttarakhand. The figure below shows the percentage of type of sanitation
structure at household level in the survey regions before and after the implementation of
URWSSP. Seventy-one per cent respondents have responded that they had no IHHL
before the scheme; this has reduced to 29 per cent after the scheme. In other words, the
percentage of IHHL has increased from 17 per cent to 80 per cent after the implementation
of the project, in surveyed areas, on account of awareness, and construction of structured
IHHLs at the household level.
Figure 3:6 IHHL ownership before and after implementation of URWSSP
As several studies across the country indicate that the existence of IHHL in the house by
itself is not a very strong indicator of improved sanitation, but its usage by all members
is important. S i x t y - n i n e per cent households surveyed reported that they were not
71
29
17
80
2
0
10
20
30
40
50
60
70
80
90
No-toilet Individual toilet Shared with
community
Before Scheme
After Scheme
58
Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
using the IHHLs even though they existed in the house with the main reason for non-
use being non-availability of water for use in the IHHL. Since the scheme led to
considerable improvement in water supply, the availability of water for use in toilets
have also increased, leading to 83 per cent of the surveyed household now reporting
regular use of IHHL by all the family members as detailed in the figure below.
Figure 3:7 Use of IHHL
Availability of water in the IHHL is one of the main factors that deter the usage of
toilets. Before the scheme, 76 per cent respondents reported not having a water
connection in their IHHLs which declined to 23 per cent after the scheme. While only 8
per cent respondents reported having adequate water connection t o IHHLs before the
scheme, 59 per cent have adequate water after URWSSP.
Water Availabillity in IHHL
30%
8%
Before Scheme
15%
76.%
Yes, Adequate
Yes, Not adequate
No
12%
After Scheme,
59%
Figure 3:8 Availability of water for use in IHHL
69
28
3
16
83
1
0
10
20
30
40
50
60
70
80
90
Not used Used by all family
members
Used only by
women
Befpre Scheme
After Scheme
59
The benefits of having an IHHL in terms of time saved is highlighted in the following
section of the chapter where 66 per cent people have reported that they save time that was
earlier spent on walking/going for open defecation. Before the implementation of the
scheme, people would spend around 30 minutes to 1 hour which has now decreased to 14
per cent from 41 per cent.
3.3 Capacity Building
Capacity building of the stakeholders is an important parameter for effective
implementation of the project. A total of 7,956 capacity building programmes were
conducted with an aim to build the capacity of the various stakeholders and beneficiaries,
at the apex, strategic, intermediate, and the grassroots level. Secondary data suggests that
6,868 training programmes have been conducted at the grassroots level, reaching out to
205,652 persons (SWSM data) mainly around the thematic areas of Water Supply &
Sanitation. The impact assessment has also focussed on assessing the reach and effectiveness
of the capacity building programmes, with respect to 130 schemes in 13 districts of
Uttarakhand. During our primary studies, 85 per cent of the surveyed households have
reported that training and awareness programmes related to sanitation, water quality,
operation and maintenance of scheme, waste management, catchment area protection, and
natural resources conservation, were conducted. Further, the findings of the primary
studies have also highlighted representation of the grassroots level organization and
beneficiaries in the programmes. Equity in terms of representation of members from
economically backward sections or members belonging to BPL households as well as
gender equity in terms of adequate participation of women has been observed. Nearly 30–
50 per cent participation of women was also observed in the surveyed schemes. However,
the participation of women from marginalized section (i.e., nearly 0–25 per cent) was less as
compared to other castes. This may be due to prevalence of rigid caste system in some
villages. Regarding the effectiveness of the capacity building programmes, the survey
findings from all the 13 districts showed that the programmes were very effective in
building the capacity of the beneficiaries with almost 100 per cent respondents reporting the
same. Sixty-six per cent of the households have also reported that the project has led to
creation of employment in the village. The average number of persons employed for these
130 schemes was reported to be 2 persons.
60
Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
Case 1. Government Intermediate College, Koti, Banyawala
The coeducation school has around 150 students from the nearby villages studying in
grade 8-12. Our Interviews with student’s teachers and parents have clearly highlighted
positive impact of school sanitation on education. Two toilets each were constructed by
PMU in the year 2009. The school also received drinking water facility in 2012-13.
During the same period the village benefitted from the rural water supply scheme in
Athurwala. Our interactions with the teachers, students and parents have highlighted
the following;
• Improvement in enrolment pattern of girl students
• Improvement in attendance of girl students
• Increased retention of girl students
• Improvement in health and hygiene of the students
Mr. Guraraj Singh Gussain, Teacher at the school, said that existence of separate toilets
in school is one of the main considerations for admission, especially in the case of girls
who are among pubescent-age. Improved awareness and increased education of
parents have made them aware and now demand separate toilets for girl students and
consider it an important need for their daughters’ health, privacy, and safety. Mr. Balbir
Singh Varma, recently appointed as the Head Master of the school was also of the
opinion that the school has improved hygiene practices and better environment which
is a very important factor for maintaining the health of students.
Figure 3:9 Enrolments of girl and boy students in grade VIII
‘It is embarrassing to be defecating in the open, as a little child I used to go in the open
with my mother, but now I myself disapprove of this behaviour as it’s a shame to defecate
in the open and spreads diseases’ said Sonali a student of grade XII
3.4 Education
During the Focus Group Discussions that were undertaken, we observed that in some regions
improved water and sanitation
in the region and specifically
in the schools have led to an
improvement in education. It
was highlighted that children
both boys and girls are now
able to complete their
schooling with improved
water and sanitation and a
general improvement in the
school environment in terms of
hygiene. Many schools both in
Kumaon and Gharwal region
lacked adequate water and
sanitation services that had an
impact on school attendance.
The PMU has constructed
toilets in 3137 schools and 371
Anganwadis across the state of
Uttarakhand. A total of 2059
toilets (girls and boys toilets)
were constructed in Gharwal
region and 1322 in Kumaon
region. Based on our
interaction with PMU officials,
we have selected Government
Intermediate College, Koti,
Banyawala in Dehradun
district and Government
Intermediate College Chanfi of
Nainital District. Time series
data on annual school registrations by sex and grade were analysed and attendance registers
were also assessed. The findings from our study in the schools of both the regions of Kumaon
and Gharwal have highlighted an improvement in enrolment of students as well as
improvement in gender parity in the schools after the toilets were constructed. Increase in
students’ enrolment was attributed to improved access to separate toilets in schools,
improvement in school environment for students through convenience, privacy and pride in
the school and also reduced burden of water collection at the household level. Another
important impact of improved sanitation on education was observed through Improvement
61
Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
in retention of girl students after implementation of school toilets. Thus the Salient findings
from both the case studies highlight;
• Positive impact of sanitation on education, both due to the implementation of improved
sanitation in schools and in the region as a whole
• Increased enrolment of students with improvements in gender parity. Girl students are
able to continue with their studies due to the access of separate toilets in the schools,
reduced burden of water collection at the household level and general improvement in
the school environment for students through convenience, privacy and pride in the
school that have been noticed
• Improvement in retention of girl students after implementation of school toilets
(interviews with teachers and parents)
• Improvement in Attendance: Though the correlation of improved attendance could not
be clearly highlighted quantitatively in this study the qualitative assessments including
interviews with parents suggest reduction in absenteeism and an improvement in
attendance which is a vital factor of academic success for elementary school students.
3.5 Institutional
The URWSSP has brought around a considerable reform in the institutional framework
with SWAp. One of the biggest highlights of this programme is in terms of its impact on the
community through improved participation of the PRIs and UWSSC. The PRIs and the
UWSSC have had their share of decision making, and particularly the responsibility for
investment in the schemes with the support of the project facilitators mainly the PMU, UJS,
and UJN, who have also had a positive role in capacity development of these local
government authorities or the Gram Panchayats.
The URWSS project is based on bottom up approach, wherein the beneficiaries have the most
important role to play in the project planning and implementation. Good participation of
communities in the planning and implementation of the scheme was observed in the surveys
with around 78 per cent respondents reporting participation of the households in the project.
All the 130 schemes surveyed were reported to have community contribution in terms of
either labour or money towards the water supply scheme. The PRIs have also had a key role
in the initiation of the project.
The findings of the primary survey show that the participation of women in planning and
implementation was as high as 25–50 per cent. The survey has also highlighted that the
almost 80 per cent of the schemes are capable of resolving issues pertaining to water supply.
Seventy-eight percent of the households have reported that the maintenance of the water
related infrastructure is adequate. The scheme level surveys and the FGDs have indicated that
more O&M activities are undertaken regularly by the UWSSC and they have been actively
involved in addressing local issues such as repair and maintenance of the rural drinking
water facility.
62
Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
One of the important factors for the sustainability of any rural water supply scheme is the
ability to pay by the users. Our study indicates 70 per cent of the surveyed schemes collect
tariff regularly (majority of the schemes collecting the same on a monthly basis) and 80 per
cent of our households have reported to pay the tariff regularly. During our field visits to
the 130 schemes surveyed we have observed that around 68 per cent of the schemes
maintain records and also main their accounts regularly. Sixty-six per cent of these schemes
have reported to be conducting regular meetings.
Community participation and leadership of the UWSSC has been a key determinant to the
success of the URWSSP. The leadership of the UWSSC in implementation operation and
maintenance in supply of water has been clearly highlighted during the primary studies
3.6 Livelihood and Income
In the state of Uttarakhand, majority of the population is involved in agriculture, livestock,
and tourism for their source of livelihood (Social Assessment Report, 2015). In the selected
study villages also, majority of the population primarily depend on agriculture and allied
activities for their livelihood. Women play an active role in managing agricultural
operations. Apart from agriculture, labour activities (masons, agriculture), petty business,
and service also constitute as an important source of income.
With the URWSSP project, water is made available in the villages and closer to the
habitations and therefore, has offered scope to the communities to get involved in
diversified income generation options and livelihood enhancement activities such as
kitchen gardening (mainly for household consumption), livestock rearing/poultry, etc.
Nearly half of the interviewed households reported that the scheme has enabled them to
engage in productive activities due to the time saved in fetching water. It can be noted from
the figure that 63 per cent of them have taken up some enterprising activity. While the rest
got some extra time to work in their agricultural fields or rear cattle. Some of them even
explored job opportunities in the nearby factories or preferred to work as wage labourers.
Men who worked as wage labourers reported an increase in income of 30 to 40 per cent.
Women preferred undertaking knitting and on an average earned Rs. 2,000/month.
63
Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
Figure 3:9 Engagement in productive economic activities
During discussions with the community, it was also revealed that prior to the scheme, the
households felt restricted to keep more cows and goats at home due to the risk of cattle
being attacked by wild animals while taking them to source of water for drinking and
bathing purposes. Also, another major reason for not being able to buy cattle is the
significant proportion of water that they consume, for example, on an average, a cow
consumes 60 litres of water per day. With the introduction of the scheme and availability of
water at the doorstep, the most visible impact is the increase in the livestock numbers.
Communities have even started rearing better breed of livestock due to availability of water
and in some cases fodder (due to kitchen gardening). Although milk was mainly used for
household consumption, some of the communities reported an increase in income of nearly
20 per cent. This increase in income was mainly utilized by the women folk to meet
household needs. Some of the households also used water for kitchen gardening and
cultivated vegetables such as onion, garlic, chillies, and green leafy vegetables which were
used mainly for household consumption.
In addition, it was noted that employment was generated at the time of implementation of
the scheme for construction of tank and laying of water pipe networks, etc. Every village
has also one person appointed as pump operator with monthly salary of Rs 4,000/month (in
large schemes covering 300 to 400 households in the plains) and Rs 500 to 800/month (in
smaller habitations). Some local masons received training and job opportunities as they
were hired for construction of sanitation facilities, resulting in increased income. Further,
the project generated income for plumbers and labourers on a call basis if there is any fault
or construction required in the water supply network. For instance it was reported that in
Naini Pondar scheme of Rudraprayag district, 4 additional jobs were generated annually,
with an additional increase in income of Rs. 25,000. Similarly, under the Khaat Scheme in
63%11%
5%
21%
After Scheme (%)
Starting a
shop/business
Improving
existing business
Increasing
livestock
Others
64
Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
Rudraprayag district, 10 additional jobs were generated annually, with an additional
increase in income of Rs. 15,000.
3.6.1 Voices from the field
Case 1 - Livelihood activity
Mr Lal Chand, resident of Majri Grant in Doiwala block of district Dehradun is employed as a water
quality analyst in a private sector. He bought two cows after URWSSP (Chandi Plantation scheme) was
implemented in his village in 2009. “Earlier I used to have only one cow as my wife who is a
homemaker had to fetch water from a common well in the village which is quite a tedious task”
expressed Mr. Chand. Although he occasionally helped in fetching water, mostly this responsibility
was shouldered by his wife. He also opined that though he wanted to keep more cows, distance and
the task of fetching water from a well prevented him from doing so. But, after getting individual
connection of water from the scheme, he was motivated to buy more cows and give full credit to the
augment of the water supply scheme for making life easier for his wife and the entire family. His wife
proudly mentioned - “We are able to save almost Rs 1500 a month, which earlier was used to spend on
milk and milk products for the entire family”. Though the family gets some additional milk now, they
don’t want to sell it in the village rather they prefer to share with the neighbours.
Case 2 – Livelihood activity
Kunda village situated in Kot block of Pauri Garhwal is an exemplary example where the water
supply scheme has significantly impacted the lives of the households in the village. Before the
scheme, the village community had to travel long distances to get basic supply of vegetables and
green leafy vegetable like spinach was considered as luxury. A bunch of spinach was
distributed leaf by leaf among every household. Milk was scarce in the village and people used to
consume only black tea, since they did not have the resources (including water) to maintain the
livestock. Now, after the augmentation of water supply scheme, the village community has
become self-sufficient in terms of kitchen garden and cultivates vegetables such as onion, green
leafy vegetables and garlic. Also, the community has started keeping cows and goats which not
only meet their own milk requirements but also help them earn additional income (on an average
- Rs 1000/month) by selling the milk.
In addition to the above positive changes, the village is also fully sanitized and open
defecation free for which it is awarded with “Nirmal Gram Puraskar” (NGP) by the Ministry of
Drinking Water and Sanitation (MoDWS), Government of India.
Main actors responsible for this
• Panchayat - Awareness generation
• UWSSC - Responsible for project implementation (community mobilisation, ensuring adequate
water supply and facilitating construction and usage of toilets)
• Community - Construction of toilets and their use by all the members of the family
65
Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
3.7 Health and Well-being
It is being increasingly recognized that access to safe drinking water, sanitation, and
hygiene has an important positive impact on health. Recognizing the importance of health
and taking into consideration, the Millennium Development Goal (MDG) which states that
by year 2015, the number of people without access to drinking water and basic sanitation
will be reduced by half, the Government of Uttarakhand has prioritized URWSS as a key
area of its development agenda. The government envisages universal coverage of safe and
potable water and sanitation by the end of its Twelfth Plan (2012–17)1. The overall coverage
of habitations with water supply was achieved at 98 per cent against the project end target
and the overall sanitation coverage in the state for Individual Household Sanitary Latrines
(IHHLs) was 93 per cent against the project end target (Sinha, 2015). For the health and
overall well-being, several schemes and announcements were made during the project
phase such as funding to the villages with 90 per cent coverage against open defecation and
introduction of pre-fabricated toilets in village like Devaal of Chamoli district (Swajal
Uttarakhand, 2015).
The most perceived health benefit of the scheme is the considerable reduction in water
borne diseases like, jaundice and diarrhoea particularly among children. It can be noted
from the figure that the percentage of households which reported frequent occurrence of
water borne diseases was just 1 per cent after the project. Also instances of no records of
water borne diseases increased from 38 per cent to 96 per cent. Reduction in diseases was
further corroborated by Accredited Social Health Activist (ASHA) workers during
discussions in some of the villages (Majri Grant and Genwla). Decrease in skin
rashes/diseases and hair loss was also reported by the village community. Reduction in
diseases is mainly attributed to availability of potable water and improved sanitation
facilities. This is an important tangible benefit, considering the challenge of physical access
to health care facilities in Uttarakhand. In the state, among those not accessing government
health facilities, 49 per cent attribute the cause to lack of a nearby government health facility
(NFHS-3, 2005–06). This has also resulted in reduced health care expenditure (almost
negligible for water borne diseases) although the community is not able to exactly say the
amount of money that is saved.
The introduction of the scheme also resulted in the change of frequency of bathing which
has become regular now. During discussions with the community and other stakeholders, it
was highlighted that the use of toilets and other self-hygiene practices like hand washing,
regular bathing, and keeping the toilets and the surrounding area clean had a direct benefit
on the health of the family.
66
Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
Figure 3:10 Status of water borne diseases
3.7.1 Sense of security
Another important benefit noted by the community due to the availability of toilets is an
improvement in sense of security and dignity. It can be noted from the figure that 63 per cent of
the respondents (mainly women and children) indicated a reduction in incidents like snake and
animal attacks, etc., that heightened the sense of security among the villagers.
Figure 3:11 Sense of security
The project has not just resulted in improved water supply services, access, and
improvement in water quality. It has also raised a whole lot of awareness about the
importance of clean sanitation, health, and hygiene. Community is also aware about the
nature of the project in terms of ownership and responsibility and also the role of UWSSC
and community, in general, for the overall operation and maintenance of the scheme. Some
of the behavioural changes that are apparent in the study villages are discussed further
ahead.
31%
63%
6% Sense of Security - After scheme (%)
None
Reduction in
animal attacks,
etc.
4%
58%
38%
Before Scheme (%)
Frequently
Rare
Not recorded
1% 3%
96%
After Scheme (%)
Frequently
Rare
Not recorded
67
Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
3.7.2 Sanitation facilities used by all family members
The household survey clearly indicated the use of individual household toilets by 83 per
cent of the village community after the introduction of the scheme (refer Fig 3.7). Inspection
of households, during the field visits, also indicated that majority of the households kept
their toilets clean and dry. The UWSSC has been prompt in mobilizing the village
community in discontinuing the practice of open defecation and convincing them to build
their own individual household toilets. Although some of them were reluctant about the
need of the wash basin along with the toilet, the demonstration effect convinced most of the
households of the need for a wash basin. Hand washing with soap after defecation is
another important aspect opined by the community.
3.7.3 Payment of user charges
It can be noted from the figure that nearly 78 per cent of the GPs collected water charges
from the users and in majority of the GPs water charges are fixed between Rs. 20–30/month.
Less than 10 per cent of the GPs had fixed water charges of more than Rs. 100/month.
Nearly 15 per cent of the GPs did not have any fixed charges and the UWSSC raise money
from the community as and when there is a requirement for operation and maintenance.
Stakeholders during the work shop indicated that regular payment of water charges has
become part of the household habit. It was also noted that 682 female headed households
pay their water bills regularly.
UWSSCs are playing a crucial role in fixing and collection of water charges; however they
have not introduced any incentives for timely payments or penalties for late payments. The
GPs which did not fix any water charges use money from the GP funds to fix any water
related maintenance issues. During the stakeholder workshop, it was clearly indicated that
the GPs, where water charges are not fixed, have decided to fix between Rs. 50 to 100 in the
next 2 to 3 months.
68
Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
Figure 3:12 Collection of water charges
3.7.4 Disposal of waste
Safe disposal of waste is another important outcome of the project. It can be noted from the
figure that more than 49 per cent of the households safely disposed solid waste at home and
surroundings by collection and heaping at marked location. Liquid waste is also disposed
in soak pits.
Figure 3:13 Disposal of waste
0
0.05
0.1
0.15
0.2
0.25
0.3
Water charges / month (Rs)
5%
46%40%
9% Disposal of waste - after scheme (%)
Poor
Average
Good
Very Good
69
Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
The Support Organizations (SO) have undertaken the task of providing training to
UWSSC and Women Self-Help Groups on subjects like self-hygiene and sanitation
(hand washing, regular bathing, usage of latrines and its benefits, etc.), role of women in
community development and trainings such as tree plantation and animal husbandry.
UWSSC and the GPs have also played an important role in popularizing the booklets
containing information on use of toilets and safe disposal of infant feces.
It is evident from the figure below that overall, the village community seems to be
satisfied with the project. They are also confident about the ownership and the long
term operation and maintenance of the system. Some of the major reasons stated for
overall satisfaction are as follows:
• Adequacy of water supply—to meet the household domestic needs (70 per cent of
the respondents have mentioned that water is available all the time).
• Decrease in water-borne diseases, particularly among children.
• Improved sanitation—Individual toilets + wash basin—used by all family members.
• Increased leisure time—socialising, perusing hobbies like knitting.
• Active functioning of UWSSC—ensuring water supply, maintenance, and collection
of charges.
Figure 3:14 Overall satisfaction with the scheme
3.8 Gender
1
12
19
57
11
7 6
13
55
19
1
6
25
53
15
10
20
30
40
50
60
Very Poor Poor Satisfactory Good Very Good
UJN UJS PMU
70
Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
In Uttarakhand, agriculture, livestock, and tourism are the major sources of livelihood.
The large proportion of male population migrates to other cities for employment leaving
women to manage agriculture and household affairs. The project which is implemented
through the rural local government, in partnership with rural communities, also has a
women development initiative which aims to empower women through provision of
water and sanitation facilities and enhance their capacities through involvement in local
institutions.
It can be seen from the figure below that after the introduction of the scheme, water is
available to the majority of the households (93 per cent) at a distance less than 200
minutes. Availability of water has helped the community, especially the women folk in
terms of reduced time and distance in fetching water and an overall reduction in
drudgery.
Figure 3:15 Distance to water source
With water available at less than 200 minutes, it can be noticed from the figure below that
the time taken to fetch water also reduced considerably after the introduction of the
project. Around 93 per cent of the households reported that they take less than 30 minutes
to fetch water for domestic purposes. Likewise, it can be noticed from figure 3.16, that
time is also saved due to improved sanitation facilities at home. With the introduction of
individual household toilets, majority of the households (86 per cent) take less than 30
minutes to attend to nature’s call. Hence, it was stated by the community that on an
average, time saving per households is nearly two hours per day
12
37 4
2
10
93
5 3 0
0
10
20
30
40
50
60
70
80
90
100
Less than 200m 200-500 m 500m-1km More than 1km
Distance travelled to water source (%)
Before scheme After scheme
71
Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
Figure 3:16 Time taken for water collection per day
Figure 3:17 Time saved due to improved sanitation facility
During discussion with the community, it was clearly opined that the project has led to
tangible benefits like time saved in fetching water, reduced drudgery, and increased
time for leisure and socializing, mainly for the women folk. With the introduction of the
scheme, the school attendance has improved and also the children get more study time.
Women have also started attending to children and their school work. During the Focus
Group Discussion (FGD) in the village of Kunda in Pauri Garhwal, a woman quoted the
problem of hair loss due to carrying of water pot on their head has stopped post
initiation of the scheme.
10
47
30
11
1
93
4 2 0 0
0
10
20
30
40
50
60
70
80
90
100
Less than 30
minutes
Half an hour to
one hour
1 to 2 hours 2 to 3 hours More than 3
hours
Time taken for water collection per day (%)
Before scheme After scheme
12%
49%
37%
2%
Before Scheme (%)
Less than 15
minutes15-30
minutes30 minutes
to 1 hours72%
14%
13% 1%
After Scheme (%)
Less than
15
minutes15-30
minutes
72
In addition, the UWSSC gave due importance for inclusion of women representatives
and scheduled caste members. The UWSSC comprised of 8 to 12 members and in 80
per cent of the surveyed villages it was observed th a t there are 2 to 4 women
members. During discussions, it was clearly opined that women, when heading the
committee, are active in taking decisions regarding identifying water points, tariff
fixation, utilization of funds, accounts management, and community contributions.
They are also active in taking care of operation and maintenance of the scheme.
During stakeholder discussions it was mentioned that in Fatepur and Sapera Basti
GPs, women members have been trained by UWSC to carry out the maintenance
work and account keeping (plumbing and collection of user charges). This has led to
the visibility of women as technicians.
Figure 3:18 Role of women Pradhan
During stakeholder workshop it was highlighted that in majority of the GPs (around 64
per cent) women are Pradhans and it can be noted from the figure that women Pradhan
(86 per cent) played an important role in decision making or planning or implementation
of the project. Further, they are playing an active role in generating awareness about
sanitation and cleanliness, assigning responsibilities to ward members to keep their
wards clean and water quality monitoring. Also, during stakeholder workshop it was
mentioned that in many GPs, women representatives constitute more than the mandated
30 per cent and are increasingly playing a major role in the decision making. They are no
longer accompanied by their husbands/male members of the family for the meetings.
Moreover, when women is a Pradhan there is a greater interaction with the women folk
in the community since they are more comfortable in discussing development issues and
at times, even personal problems
Athoorwala GP headed by a woman pradhan was the among the first recipients of
Nirmal
86%
14% Role of women pradhans
Decision making /
planning /
implementation
73
Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
Gram Puraskar (NGP) in the state. The main reasons attributed were -
o Social mobilization under the project and proactive initiative by the
Pradhan on water and sanitation awareness.
o The stewardship of the woman Pradhan—The GP has fixed deposits and
the cash balance of Rs 18.5 lakhs.
o The woman Pradhan was elected thrice which reflects the confidence of
the community in efficient women candidates
3.9 Local Environment
Although the main outputs of the interventions were in the areas of provision of
improved drinking water, various trainings related to sanitation and hygiene have
led to an overall improvement in the environment. The communities in which these
schemes were implemented mainly in hilly and often very tough terrain have
brought about an improvement in the local environment of the region, mainly
through the provision/promotion of IHHL for households in the region. Improved
access to toilets and improved availability of water for use in these toilets has led to
increased use of toilets. This has led to a considerable reduction in open defecation
which in turn has had a positive impact on the local environment as well as the
health and well-being of the local population, in addition to an improvement in
local aesthetics. With improved sanitation, reduction in open defecation and
improved water quality by scheme, has led to an improvement in health status of
the people in the region and a reduction in the occurrence of disease (water-borne
diseases particularly diarrhoea, particularly in children, as highlighted in the
previous sections. The capacity building and awareness programmes conducted
under the URWSSP have also led to a significant improvement in the local
environment that has helped the households to keep surroundings clean. Some
communities were provided the training regarding the solid waste treatment,
which has led to considerable improvement in the local aesthetics and also
enhanced the local environment. Moreover, the households were provided with
soak pits for dumping wastewater generated from kitchen and toilet, which in turn
leads to a healthy environment. Overall, the schemes mark the expectations in
improving water quality, sanitation, and creating a healthy environment in the
communities.
74
4 Economic Analysis
4.1 Introduction
Improved access to clean drinking water and sanitation facilities through the Uttarakhand
Rural Water Supply and Sanitation Project has resulted in a number of direct and indirect
benefits for people in the intervention areas of the State. Greater and more convenient
access to safe drinking water and sanitation has directly benefitted the health of the people,
while reducing the drudgery associated with water collection. The project has also had
several positive spinoffs—it has enabled higher school enrolment, especially amongst girl
children, augmented productive opportunities for people presumably both due to the use of
water as an input and by releasing time and energy from water collection or periods of
illness, and in general, improved the quality of life of the project beneficiaries.
Some of the specific benefits that have emerged from the impact assessment surveys are as
follows:
1. Time saved on water collection and reduced drudgery, especially for women and
children due to improved access to water
2. Time saved and enhanced sense of security and dignity due to improved access to
household toilets
3. Increased access to water services
4. Reduction in water-borne diseases
5. Higher enrolment and retention of girl students, especially post puberty
6. Increase in livelihood opportunities both directly under the project (e.g. employment
during construction and maintenance) and due to greater availability of water and
time (e.g. beneficiaries were able to keep more livestock or start small businesses)
7. Decentralization and empowerment of Panchayati Raj Institutions (PRIs), resulting in
enhanced local capacity, greater community ownership of projects, and higher
overall efficiency in service delivery
8. Higher cost effectiveness in the construction and maintenance of schemes due to
decentralization which has also freed up public monies for the provision of other
infrastructure and services
9. Regular payment of tariffs by users resulting in financial savings for many UWSSCs
10. Greater reliance on local and more environmentally sustainable gravity-based
sources of water
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Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
The economic analysis aims at valuing some of these benefits in order to enable a
comparative assessment of the benefits and costs of the intervention. The analysis draws
on the impact assessment surveys and makes use of data and information from several
sources, including:
• questionnaire-based surveys at the household level and scheme level
• field observations
• semi-structured focus group discussions
• interviews with officials of the three facilitating agencies at multiple levels (state,
division/district, and scheme levels)
• review of secondary information (other research studies, detailed project reports-
DPRs, implementation phase complete reports—IPCRs, village/scheme profiles) and
information available on the Sector Information System
(http://swajalsis.uk.gov.in/Reports/Default.aspx)
The project supported gravity-based technologies that use water from local springs and
gadheras (small stream of water flowing downwards from top of the hill) and pumping-
based technologies (tubewell pumping and surface pumping). The distribution of schemes
by the major technologies and facilitating agencies is summarized in Table 1.1 The economic
analysis is based on 3,590 gravity and pumping (tubewell and surface) schemes, of which
close to 96 per cent were gravity-based.
Table Table 1: Number of schemes by technology and agency
Gravity Gadhera
& Spring
Pumping
Tubewell
Surface
Pumping Total
1 Swajal 1321 72 3 1396
2 UJS 1396 5 1 1402
3 UJN (3a+3b) 722 27 43 792
3a MVS 25 10 1 36
3b SVS 697 17 42 756
Total (1+2+3) 3439 104 47 3590
*UJS: Uttarakhand Jal Sansthan, UJN: Uttarakhand Jal Nigam, SVS: Single Village Scheme, MVS:
Multi Village Scheme
Source: SWSM, Dehradun and Sector Information System (http://swajalsis.uk.gov.in/)
This chapter is structured as follows: section 2 discusses the quantification and valuation of
project benefits; section 3 discusses the estimation of capital and operations and
maintenance costs; section 4 presents the results of the economic analysis and the sensitivity
analysis.
1 The SIS provided detailed scheme level information for 3,590 gravity and pumping schemes (against a total of 3,817 schemes on ground, which also include rainwater harvesting schemes not considered in this analysis).
76
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Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
4.2 Quantifying and valuing the benefits of the project
As discussed earlier, the project has benefitted the population in the intervention areas in
several ways. The following benefits were identified for reliable quantification:
• Time saved due to improved access to water
• Increased access to water
• Reduction in water-borne diseases (diarrhea)
An important component of the project was its contribution to the State’s implementation of the
Total Sanitation Campaign through collective behavior change. To this end, IEC (information,
education and communication) activities were an integral and important part of the project.
The project, thus, illustrates the benefits of an integrated approach to water and sanitation.
In the economic analysis, the conjoint benefits of water and sanitation are captured through
the reduction in water-borne diseases (diarrhea) in the intervention area. Other benefits,
such as direct and indirect employment opportunities created by the schemes and higher
school enrolment were difficult to measure and extrapolate at the project level.2 The
estimates derived here, thus, should be seen as conservative. The methodology adopted for
valuation is elaborated below:
4.2.1 Value of time saved
The household surveys conducted by the Academy of Management Studies, Lucknow,
revealed that on an average, each household saved 2 hours each day due to improved access
to water supply. This saving in time was valued at 30 per cent of the minimum wage rate
stipulated in MNREGA (i.e., Rs 161 per day).3 This was done since water collection activities
are usually undertaken in the non-working time and can be timed flexibly along with wage
earning agricultural activities.
4.2.2 Incremental water supply
All households surveyed stated that they had access to additional water as compared to pre-
scheme. The new schemes are designed for an average supply of 55 lpcd while it is
estimated that pre-scheme, households used about 10–15 lpcd of water (SWSM data). Thus,
the project has led to per capita daily incremental water use of at least 40 litres. This
incremental water supply was valued at its opportunity cost in terms of the average per litre
cost (capital and O&M) of water supply under the present scheme. This cost was estimated
at Rs 17.64/Kl of water as the ratio of (annualized) capital and O&M cost to annual water
provision under the project (assuming 55 lpcd supply of water for the beneficiary
population).
2 About 47 per cent of the survey respondents indicated an increase in income (average of about Rs 450 per month per household) due to new opportunities, such as higher livestock and small businesses, made possible by improved access to drinking water
3 Ministry of Rural Development, Government of India.
http://nrega.nic.in/netnrega/writereaddata/Circulars/1025MGNREGS_wage_notification_2015_16.pdf. The
Ministry has stipulated the minimum wage rates according for each state. These wage rates came into effect from
1st April, 2015
77
Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
4.2.3 Health benefits
Many life-threatening diarrheal diseases are waterborne, so that improving water quality in
terms of microbiological contamination is one of the most important contributions of
improved water supply to public health. In addition, various non-infectious disorders of the
musculoskeletal system resulting from the prolonged carrying of heavy weights, especially
during childhood, can be significant (WHO 2011). In addition to better quality of water,
improved access—and the resulting increase in the availability of water or time used for
hygiene—are major determining factors of health benefits as shown by studies in a number
of low-income countries (WHO 2011).
This analysis considers changes in the incidence of diarrhea as a most conservative estimate
of health benefits. About 88 per cent of diarrheal cases, globally, are attributed to water,
sanitation and hygiene (WASH) (Pruss-Ustun et al. 2004). This is a conservative approach
since malnutrition induced by sanitation-related diseases also increases the incidence of
other illnesses such as acute lower respiratory infections (ALRI), measles, and malaria. The
benefits of the intervention in terms of reduction in the incidence of diarrhea due to
improved water supply and sanitation were captured through the following:
1. Reduction in morbidity captured by disability adjusted life years (DALYs)4
2. Reduction in treatment-related expenses
3. Reduction in loss of person days, measured as the opportunity cost of time lost in
sickness (in the case of diarrhea in adults) or in care giving (in the case of diarrhea in
children)
Data from household surveys and Primary Health Care Centers was not found to be
consistent and reliable enough for the economic assessment. Hence, the analysis relied on
secondary data to estimate the change in the incidence of diarrhea. Data from the National
Family Health Survey (NFHS)-3 (2005/06) was used for the baseline year, while current
incidence was based on the findings of the Annual Health Survey 2012/13.5
Following World Bank (2013), annual episodes of diarrhea per child under 5 years of age
were estimated by multiplying the two-week prevalence rate by 52/2.5. The underlying
assumption here is that the average duration of diarrheal illness is about 3–4 days, and thus
the two-week prevalence captures a quarter of the diarrheal prevalence in the week prior to
and a quarter in the week after the two-week prevalence period. Annual episodes per child
were multiplied by the number of children under-5 years in the project intervention areas.
The NFHS and AHS do not provide information separately for adults and children. Based
4 One DALY can be thought of as one lost year of ‘healthy’ life. The sum of DALYs across the population, or the
burden of disease, is used globally as a measure of the gap between current health status and an ideal health
situation where the entire population lives to an advanced age, free of disease and disability.
http://www.who.int/healthinfo/global_burden_disease/metrics_daly/en/ Accessed on 12 December 2015
5 The Annual Health Survey of the Ministry of Health & Family Welfare was carried out annually between
2010/11 and 2012/13 in 284 districts (as per 2001 Census) of the 8 Empowered Action Group States (Bihar,
Jharkhand, Uttar Pradesh, Uttarakhand, Madhya Pradesh, Chhattisgarh, Odisha, and Rajasthan) and Assam for a
three year period starting from 2010–11. The findings of the survey indicate a sizeable drop in the incidence of
the diarrheal morbidity both amongst children and the general population in recent years.
78
78
Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
on international experience, it was assumed that diarrheal incidence in the above 5 years age
group was 20–30 per cent of that in children under 5 years (World Bank 2013). These
estimates of morbidity were converted into the DALYs and valued in terms of the per capita
income of Uttarakhand, i.e., per capita NSDP was thought of as a proxy for the willingness
to play for one additional year of life in the State. The cost of treatment was based on
estimates of the share of the population seeking medical attention and the average cost of
treatment (see Table 2).
The key assumptions and data sources used in the economic estimation of the project
benefits are provided in Table 2 below.
Table 2 Basic assumptions for valuation of benefits of URWSSP
Assumption Source Comments
Time saved due to improved access to water
Time saved per
household per
day due to
improved access
2 hours Based on household
surveys conducted
by the Academy of
Management
Studies, Lucknow
As per information shared by
SWSM
Value of time Rs 161 per day (or Rs
20.13 per hour) -
minimum wage rate for
Uttarakhand stipulated
in MNREGA with effect
from 1st April, 2015
Ministry of Rural
Development,
Government of
India.
http://nrega.nic.in/n
etnrega/writereadda
ta/Circulars/1025MG
NREGS_wage_notifi
cation_2015_16.pdf.
30 per cent of the minimum wage
rate (i.e. Rs 6.00/hour) was used to
value the time saved on water
collection, the rationale being that
water collection is usually
undertaken in the non-working
time and can be timed flexibly
with wage earning agricultural
activities
Increased access to water
Incremental
water supply
40 lpcd based on the difference
between pre project (15 lpcd)
and post project (55lpcd)
consumption/supply
SWSM
Value of water
Rs 17.64/Kl
Estimated Opportunity cost of water in
terms of the ratio of (annualized)
capital and O&M cost to annual
water provision by the project
(assuming 55 lpcd supply to
beneficiary population)
79
Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
Assumption Source Comments
Reduction in water-borne diseases (diarrhea)
Diarrheal 2-week prevalence
in children below 5 2005/06: 12.9%
2012/13: 6.25%
National Family
Health Survey (3):
2005/06 (for Rural
Uttarakhand)6
Estimated from
Annual Health
Survey 2012/13 (for
Rural Uttarakhand)7
NFHS provides diarrheal
incidence for children by
age upto 5 years while
AHS reports total
incidence for children
upto 3 years. For
comparability, the ratio of
incidence by age in
2012/13 was assumed to be
the same as in 2005/06.
DALYs per 100 thousand
cases of diarrhea in persons
>5 years
115 World Bank 20138 Distribution of the
beneficiary population by
age was based on the 2011
Census
DALYs per 100 thousand
cases of diarrhea in children
under 5 years
70 World Bank 2013
Percent of diarrheal cases
attributable to water,
sanitation and hygiene
88% Pruss-Ustun et al.,
20049
Value of each DALY Per capita NSDP of
Uttarakhand
(2014/15) –
Rs 115,632
Ministry of Statistics
and Programme
Implementation
(http://mospi.nic.in/
Mospi_New/site/inn
er.aspx?status=3&m
enu_id=82)
6 NFHS-3. National Family Health Survey Uttarakhand 2005/06, International Institute for Population Sciences,
Ministry of Health and Family Welfare, Government of India. http://www.rchiips.org/nfhs/index.shtml 7 AHS. 2012/13. Annual Health Survey, Uttarakhand, Office of the Registrar General & Census Commissioner, Ministry of Home Affairs, Government of India. http://censusindia.gov.in/2011-common/AHSurvey.html 8 World Bank. 2013. India: Diagnostic assessment of select environmental challenges; Economic growth and
environmental sustainability: What are the tradeoffs? Volume II, June 5, 2013. Report No. 70004-IN. Disaster
Management and Climate Change Unit, Sustainable Development Department, South Asia Region, The World
Bank. 9 Pruss-Ustun, A., Kay, D., Fewtrell, L., and Bartram, J. (2004). Unsafe water, sanitation and hygiene. In: Ezzati, M. et
al. (eds): Comparative quantification of health risks: global and regional burden of disease attributable to selected
major risk factors. World Health Organization. Geneva
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Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
Assumption Source Comments
Percent of diarrheal cases
given ORS. (children < 5
years)
85.30%
AHS 12/13 (for rural
Uttarakhand)
Percent of diarrheal cases
treated with antibiotic and
other drugs (children < 5
years)
45%
NFHS-3 (for rural
Uttarakhand)
The percent of diarrheal
cases (children < 5 years)
taken to a health provider
(excluding pharmacy,
shop, and traditional
practitioner. in rural
Uttarakhand was higher at
58.6 per cent (NFHS-3)
Percent of diarrheal cases
treated at medical facilities
(population >5)
40% World Bank 2013
Average cost of doctor visit
and treatment per episode of
diarrhea
Rs 400 Estimated from
World Bank 2013
Average cost of ORS per
diarrheal case in children
below 5 years (Rs.)
Rs 15 World Bank 2013
Average duration of diarrheal
illness (adults and children)
5 days World Bank 2013
Hours per day of care giving
per case of diarrhea in
children; and hours per day
lost to illness per case of
diarrhea in adults
2 hours World Bank 2013
Value of time spent in care
giving (for diarrhea in
children) or in sickness (for
diarrhea in adults)
Rs 20.13/hour
Based on Minimum
wage rate for
Uttarakhand as per
MNREGA
See above (row 2) for the
estimation of value of time
4.2.4 Number of beneficiaries
The number of project beneficiaries was estimated for 3,590 schemes for which data was
available from the Sector Information System (Table 3); beneficiaries were aggregated by
81
Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
technology (gravity, pumping), type (SVS vs MVS), and year of completion of project
(2007/08–2014/15).
4.3 Cost of the project
Capital costs were taken from the Sector Information System (final cost estimates in IPCR
reports) for the 3,590 schemes for which data was available (refer Table 1 earlier). Costs were
aggregated by technology (gravity, pumping), type (SVS vs MVS), and year of completion of
project (2007/08–2014/15). All projects completed post 2014/15 or shown as ongoing were
clubbed under 2014/15. All costs were uniformly converted into to 2014/15 prices and
adjusted for tax and subsidy components (to derive economic costs) by using a factor of 0.9.
For schemes (some non-PMU SVS) for which costs were not available from SIS, technology-
and agency-specific average scheme costs estimated from SIS data were used.
The following assumptions were used in estimating O&M costs, in consultation with the
project facilitating agencies10:
• For Swajal/PMU schemes, O&M cost (as percentage of capital costs) norms were
estimated from scheme-level DPRs as reported on SIS
• O&M estimates were not available on SIS for non-PMU schemes. Based on
consultation with SWSM, UJN, and UJS, annual O&M costs were estimated at 3 per
cent of capital costs for gravity-based SVS and 5 per cent for pumping-based SVS
under UJS and UJN; annual O&M costs for MVS were estimated at 5 per cent for
gravity-based schemes and 7 per cent for pumping schemes
O&M cost estimates were found to be much lower for Swajal/PMU schemes (under 1 per
cent of capital costs for gravity-based schemes and 2–3 per cent for pumping schemes) as
compared to the norms used for UJS and UJN.
The following additional assumptions were made for the economic analysis:
• The life of each scheme was taken to be 20 years
• The rate of discount was taken to be 5 per cent (for the Base Case) as per World Bank
guidelines
4.4 Sensitivity analysis
A sensitivity analysis was carried out to study the effects on project benefita and costs of
possible inaccuracies in assessment, risks, and uncertainties around key variables on the
benefit side (time saved and incremental water supply) and changes in the rate of
discount. One of the main benefits of the schemes is the evident improvement in cost
effectiveness in the delivery of water services. The average capital cost for each single
village scheme is Rs 4,854 per capita, as compared to appraisal estimates for Rs 7,301 per
capita. Thus, the project has recorded a saving of 30 per cent compared to its own per-
10 O&M of the schemes is primarily the responsibility of the UJS and the Gram Panchayats once the schemes are handed over. We had to rely on these assumptions since the scheme-level survey did not yield consistent estimates for O&M costs.
82
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Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
capita cost targets and 60 per cent when compared to the norm of Rs 12,000 per capita of
Government of India’s National Rural Drinking Water Programme (NRDWP). Similarly,
the average project cost for a multi-village scheme is Rs 7,972 per capita, which is
equivalent to a saving of 22.75 per cent as compared to appraisal estimates (Rs 10,320)
and 68 per cent as compared to NRDWP norms (Rs 25,000). In order to capture the ‘cost
effectiveness’ of schemes, a separate scenario analysis was undertaken to compare the
estimated BCR (benefit cost ratio) using appraisal-stage cost norms and NRDWP cost
norms with the ‘Base Case’, the latter being based on actual project costs.
The following scenarios were considered for the sensitivity analysis:
• Base Case:
o Rate of discount: 5 per cent;
o Incremental supply assuming post-project supply of 55 lpcd and pre project
of 15 lpcd;
o Time saved in water collection: 2 hours;
o Health benefits: (avoided) DALYs, medical expenditure, and loss of time
based on the change in the incidence of diarrhea reported by government
household surveys
• S1:
o Rate of discount: 5 per cent;
o Incremental supply assuming post-project supply of 40 lpcd and pre project
of 15 lpcd;
o Time saved in water collection: 75 per cent of base case;
o Health benefits: (avoided) DALYs, medical expenditure, and loss of time
based on the change in the incidence of diarrhea reported by government
household surveys
• S2
o Same as Base Case but with 12 per cent rate of discount
• S3
o Same as S1 but with 12 per cent rate of discount
• S4
o Same as Base Case but with scheme costs as per project appraisal norms (Rs
7,031 per capita for SVS and Rs 10,320 per capita for MVS). These cost norms
were provided by SWSM.
• S5
o Same as Base Case but with scheme costs as per NRDWP per capita cost
norms Rs 12,000 per capita for SVS and Rs 25,000 per capita for MVS). These
cost norms were provided by SWSM.
83
Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
4.5 Results
The results of the analysis are summarized in Table 4:
Table Table 4: Results of the economic analysis
Scenario Economic Internal
Rate of Return (%)
Net Present Value
(Rs lakh)
Benefit Cost
Ratio
Base case 35.68 134,088 3.53
SI 26.38 89,561 2.69
S2 35.68 45,397 2.29
S3 26.38 26,185 1.74
S4 16.95 87,263 1.87
S5 6.29 11,134 1.06
Even with a limit set of benefits, the project yields an overall BCR (Benefit Cost Ratio) of
3.53, with a high ERR (Economic Rate of Return) of close to 36 per cent. Further, as can
be seen from Figure 1, the project shows a positive and increasing cumulative NPV from
the ninth year onwards. The estimated economic rate of return of the project is higher
than that (20 per cent) envisaged by the Project Appraisal Document (2006).
Figure 1 Cost-benefit analysis of the project
The sensitivity analysis of the project shows that the benefit-cost ratio remains more
than one, even in scenarios with reduced benefits (S1 and S3). Further, a comparison of
alternative cost scenarios (S4 and S5), with the Base Case clearly show that the BCR of
the project is higher as compared to scenarios based on cost norms envisaged at the time
of project appraisal or those considered by the Government of India under the NRDWP.
(40,000)
(20,000)
0
20,000
40,000
60,000
80,000
1,00,000
1,20,000
1,40,000
1,60,000
1 2 3 4 5 6 7 8 9 1011121314151617181920212223242526272829
Va
lue
(R
s la
kh
)
Year
Present Value of Benefits ( Rs lakh)
Present Value of Costs (Rs lakh)
Cumulative Net Present Value ( Rs lakh)
84
84
Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
. The sensitivity analysis also reveals that the project can absorb substantial negative
impacts yet yield a positive NPV. For example, a decrease of about 70 per cent in total
benefits still yields a positive NPV for the project. Thus, overall the economic analysis
supports the economically viability of the project.
85
Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
5 Summary and Conclusion
Improved access to water supply and sanitation under the URWSSP has had
considerable positive impacts on the rural households and the entire state of
Uttarakhand. The project has been rated to be highly satisfactory by its beneficiaries in
terms of service provision. The project has achieved the primary objective of bringing
about improvement in rural water supply and sanitation services through
decentralization, increased role of the Panchayati Raj Institutions, and the involvement
of local communities in the state of Uttarakhand. As detailed in Chapters 2 & 3, the
project has substantial positive impacts envisaged as well as some unexpected impacts
that have led to an overall improvement in the quality of lives of the people of rural
Uttarakhand. Our impact assessment study highlights strong evidence of the URWSSP
in improvement of health and other social and economic indicators.
Our study finds that all schemes covered under the survey are functional providing
adequate service delivery that has led to improvement in access, increase in availability
throughout the year, 24 hours supply across seasons in most regions and improvement
in sufficiency to meet the household requirements. There is an improvement in the
quality of water in terms of taste, odour, and colour. Water quality testing and
chlorination are regularly carried out in most of the schemes visited. However, the
frequency of testing water in maximum schemes has reduced in the recent years for
some schemes.
With the increase in percentage of households using improved sanitation facilities that
are now made accessible to the rural households under the URWSSP, a drastic
improvement in health and psychological well-being has been observed. The impact of
several Information Education and Communication activities under the project has led
to increased awareness of communities on health and hygiene benefits of sanitation
which has led to behaviour change. The main visible impact of improved sanitation has
been reduction in the occurrence of diseases with these rural beneficiaries witnessing an
overall improvement in health, improved dignity and status, women’s security,
children’s safety, and comfort.
The promising results of URWSSP in terms of reduced drudgery, time saved,
opportunities for livelihood as highlighted in this study support the argument of a
strong causal relation between access to improved water & sanitation and economic
growth. An average of 2 hours saved by each household due to improved water and
sanitation services has encouraged households to take up income diversification
opportunities and in some cases, spend more hours on the existing economic activity of
the households. Availability of sufficient water has also facilitated households to initiate
cattle rearing, kitchen garden, eco-tourism activities, etc., that have led to better
livelihood opportunities and increase in economic growth of the region.
86
Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
Considerable resources allocated and continuous efforts of the URWSSP towards
capacity building have led to tremendous impact on human resources at the grassroots,
intermediate and apex levels. The acquired capacity by the GPs and the UWSSCs is
noteworthy in the implementation of the URWSSP as well as other service delivery of
community led programmes. The project achieved a high level of success in increasing
awareness about the sanitation among the people living in rural areas. Various slogans,
notices, cartoons, posters, wall paintings and other sensitization programmes have led
to considerable desired improvements in the areas of health and hygiene. Our field
studies have indicated that the rural communities are increasingly being aware of the
issues related to sanitation, personal health and hygiene, waste management, etc.,
although indiscriminate dumping of solid waste and burning of household waste in
open is practiced in some regions, there is improvement in behaviour in terms of
various other aspects as well.
The study has also documented positive impact on education through increased
enrolment of students with improvements in gender parity in schools, improvement in
retention of girl students after implementation of school toilets as well as improvement
in attendance of students.
The URWSSP has built capacities of women and helped mainstream them in
participation of village development activities. The positive benefits of the project has
not only contributed to an improvement in their health and quality of lives, but also
strengthened livelihood capacities of women in the region in few cases have also led
towards development of ‘Women entrepreneurs’. URWSSP has also thrown light on the
effective leadership of women by showcasing examples of women-headed committees
that have actively taken vital decisions of project planning and implementation.
The overwhelming economic benefits of the URWSSP indicate that the benefits
outweigh the economic costs despite all social benefits not being economically
quantified. The project has a strong economic viability with high Internal Rate of
Returns and Benefit Cost Ratio. The sensitivity analysis, conducted as a part of this
study, also reveals that the project can absorb substantial negative impacts yet yield
positive Net Present Value.
The Project has been enormously successful in demonstrating the SWAp model, and
thus argues for the grassroots level participation for the implementation of water and
sanitation programmes to achieve maximum benefits. The state has led the example for
the bottoms up approach that has proved to be better than the centrally managed
approach. The decentralized approach followed, in the project, has led to the
empowerment of grassroots level organizations, and enhanced their capacities for
87
Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
decision-making process, procurement and financial management of all projects at the
village level. High levels of participation of communities through contributions from
beneficiaries were also observed under the SWAp during all phases starting from
planning, construction, and implementation and exit. SWAp has also facilitated good
participation by the community and the project has laid thrust on social and gender
equity in terms of inclusiveness of women, socially and economically backward
community members in decision making, implementation and O&M have been
observed. Thus, the success of the SWAp in Uttarakhand may be highlighted as a good
case for decentralization of rural water supply service delivery for other regions. High
level of participation of communities and beneficiaries in the project has led to a sense of
ownership in the project which has also had a positive impact on improving water use
efficiency. Integration of the players at the state, district, and GP level was well-defined
and has worked effectively.
A Balanced Score Card Approach for developing performance measures and assessing
the institutional effectiveness of the URWSSP has been carried out. The five main
indicators and the respective sub indicators assessed in the development of the Balanced
Score Card is provided in the table below:
Table 5:1 Indicators assessed for development of the Balanced score card
Indicators Sub Indicators
Cost Effectiveness of Service
Provisions
Regular collection of water tariff
Fully Functional Schemes
Source discharge of schemes is sustainable
Users satisfaction in service provision
Time Completion of the
Scheme
Timely Completion of SVS
Timely Completion of MVS
Improvement in Rural Sanitation (% ODF free GPs)
Habitations covered through CACMP - 3
Effective community
participation
Participation of PRIs in Planning and implementation
Equity in UWSSC Composition
Active involvement in O&M
Community Contribution
Behaviour Change among
Stakeholders
Behavior Change at Community Level-7.68
Behavior Change at GP/UWSSC level 5.76
Behavior Change at Facilitating Agency Level - 3
Behavior Change at GoUK level
Capacity Enhancement and
Growth
Complaint Resolution in time in hrs
Stakeholders trained at apex, strategic and intermediate levels
Grassroots level persons trained
Time Saved
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Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
Each overall performance indicator identified was assessed on sub indicators for data on
the baseline and actual target achieved. The indicators included cost effectiveness,
timely completion, community participation, behaviour change and capacity
enhancement. The balanced score-card analysis provides a comprehensive overview of
the ‘institutional effectiveness’ based on data from independent technical and social
audits and SIS data.
Timely
Completion
of the
program 20.0
Capacity
Enhanceme
nt and
Growth
Effective
Community
Participatio
n
Total Score
19.0
18.0
17.0
16.0
Cost
effective &
sustainable
service Behaviour
Change
(among
stakeholder
s)
Achieved Score
Figure 5:1 Balanced Score Card for Institutional Assessment of URWSSP
89
As detailed in the figure above, the results of the Balance Score Card Analysis indicate a
strong evidence of institutional effectiveness with a high performance score of 96 per
cent.
90
References
AHS. Various years. Annual Health Survey, Office of the Registrar General & Census
Commissioner, Ministry of Home Affairs, Government of India.
http://censusindia.gov.in/2011-common/AHSurvey.html
NFHS-3. National Family Health Survey Uttarakhand 2005/06, International Institute for
Population Sciences, Ministry of Health and Family Welfare, Government of India.
http://www.rchiips.org/nfhs/index.shtml
Pruss-Ustun, A., Kay, D., Fewtrell, L., and Bartram, J. (2004). Unsafe water, sanitation
and hygiene. In: Ezzati, M. et al. (eds): Comparative quantification of health risks: global
and regional burden of disease attributable to selected major risk factors. World Health
Organization. Geneva
World Bank. 2013. India: Diagnostic assessment of select environmental challenges; Economic growth and environmental sustainability: What are the tradeoffs? Volume II, June
5, 2013. Report No. 70004-IN. Disaster Management and Climate Change Unit, Sustainable
Development Department, South Asia Region, The World Bank. 39 pp
World health Organization (2011) Valuing Water, Valuing Livelihoods: Guidance on Social Cost-benefit Analysis of Drinking-water Interventions, with special reference to Small
Community Water Supplies. Edited by Cameron J, Hunter P, Jagals P and Pond K. ublished on behalf of the World Health Organization by IWA Publishing, pp 248
91
Annexure 1.1 Data Collection Formats/
Questionnaires
IMPACT ANALYSIS OF UTTARAKHAND RURAL WATER SUPPLY & SANITATION PROJECT
(URWSSP)
HOUSEHOLD LEVEL QUESTIONNAIRE
PLEASE REMEMBER TO REPORT VERBATIM WHEREVER RESPODENT
CHOOSES THE “OTHER” OPTION FOR A QUESTION
DISTRICT AND BLOCK
SCHEME NAME (VILLAGE)
GRAM PANCHAYAT
TYPE OF SCHEME
SVS-Gravity- Spring ........................... ………….. 1
SVS-Gravity-Gadhera (GG)…………………………… 2
SVS-Tube well (including OHT TW/ pumping)……… 3
SVS-Hand Pump ................................. ………… 4
SVS-Mixed Technology (Hand Pump & Gadhera;
Tube well and HP; GG and Pumping) ………… 5
MVS-Gravity-Gadhera ....................... ………… 6
MVS-Tube Well (including OHT TW/ pumping)……. 7
Name of District Implementing Agency: (UJN, UJS, PMU) ------------------------------
COORDINATES
( BY USING OWN MOBILE PHONE)
SECTION 1 – PERSONAL INFORMATION
1.1 Name of Respondent Mr./Ms.
1.2 Name of the Head of family
1.3 Since when the family
resides in that house/location
_____________________ YEARS
1.4 Sex of the respondent
Female 1
Male 2
Others 3
1.5 Mob. No.
1.6 House No.
92
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Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
1.7 Category of the Household General 1
SC 2
ST 3
OBC 4
1.8 Occupation of the head of
Family
Agriculture on own land 1
Agriculture on leased land 2
Agricultural Labour 3
Other Labour 4
Skilled Work 5
Services 6
Business 7
Others (please specify) 8
1.9 Economic Status of the
Household
BPL 1
APL 2
SECTION 2 – SOURCES OF WATER
Q.
No.
Water used for Sources of water Before
scheme
After
scheme
2.1 Drinking and
cooking
Individual connections in the house 1
River/stream/spring 2
Gadhera 3
Handpump 4
Standpost 5
Others (please specify) 6
2.2 Washing
clothes/cleaning
Individual connections in the house 1
River/stream/spring 2
Gadhera 3
Handpump 4
Standpost 5
Others (please specify) 6
2.3 Bathing Individual connections in the house 1
River/stream/spring 2
Gadhera 3
Handpump 4
Standpost 5
Others (please specify) 6
2.4 Toilet use Individual connections in the house 1
River/stream/spring 2
Gadhera 3
Handpump 4
Standpost 5
Others (please specify) 6
2.5 Animal use Individual connections in the house 1
River/stream/spring 2
Gadhera 3
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Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
Q.
No.
Water used for Sources of water Before
scheme
After
scheme
Handpump 4
Standpost 5
Others (please specify) 6
2.6 When the water supply scheme was made available to the house? Specify the date
Month Year
SECTION 3 – QUANTITY OF WATER USED
Q.No. Question Options Before
scheme
After
scheme
3.1 Is water available
throughout the year?
Yes 1
No 2
3.2 Do you get sufficient
water for all your
consumption on a daily
basis (Minimum 40
lit/day/person (approx. 4
small buckets)) in
summer?
Yes 1
No 2
3.3 Frequency of water supply
in summer (March to
June)
Available all the time
1
Daily (4 to 8 hours)
2
Daily (2 to 4 hours)
3
Daily (< 2 hours)
4
Once in 2 days
5
Infrequently (once in 3 or more days)
6
3.4 Quantity of water used
(baalti per household per
day) for all domestic uses?
- Summer
- Monsoon
Please select size and provide
number
Size of baalti- small (hint – 10 ltr)…..1
Size of baalti- big (hint – 20 ltr)……..2
Size No Size No
1
2
1
2
1
2
1
2
1
2
1
2
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Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
- Winter
3.5 Amount spent each month
for water supply
Nil 0
Less than Rs.10 1
Rs. 10-50 2
Rs. 51-150 3
More than Rs.150 4
SECTION 4 – QUALITY OF WATER
Q.No. Question Options Before
scheme
After
scheme
4.1 Quality of water
for domestic use
Clean
Yes, it is clean 1
No, it is not clean 2
Taste
a) Good 1
b) Not Good 2
Colour
a) Colorless 1
b) Colored 2
Hardness
a) Not hard/Soft/Soap lathers 1
b) Hard/ Soap does not lather 2
Smell
a) No smell 1
b) Smelly 2
Others (please specify)
4.2 How is the water
treated for
drinking?
No Treatment at all 1
Boiling 2
Chlorination at household level 3
Chlorination at CWR of water
supply scheme 4
Strain it through a cloth 5
Let it stand and settle 6
Water filter 7
SECTION 5 – DRUDGERY
Q.No. Question Options Before
scheme
After
scheme
5.1 If the source of water is not within
the premises, then, what is the
Less than 200m 1
200-500 m 2
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Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
distance to the water collection /
availability / distribution point
500m – 1km 3
More than 1km 4
5.2 Who is responsible for fetching of
drinking water?
(Multiple Response Possible)
Women 1
Men 2
Children 3
All 4
5.3 How difficult is the terrain till the
source of water
Very difficult 1
Difficult 2
Not difficult 3
5.4 Total time needed for all the
members of the household for
requisite water collection per day
Less than 30 minutes
1
Half an hour to one
hour 2
1 to 2 hours
3
2 to 3 hours
4
More than 3 hours
5
5.5 What are the common problems
associated with fetching and carrying
water?
Muscle strain
1
Blisters
2
Heat stroke
3
Back pain
4
Violence (attacks and
assaults)
5
Animal attacks
6
None
7
SECTION 6 – PRODUCTIVE GAINS FROM WATER
Q.No. Question Options Before
scheme
After
scheme
6.1 Has the scheme
enabled you to
engage in other
productive economic
activities?
Yes 1
No 2
Don’t
fill here
6.2 What kind of Starting a shop/business 1 Don’t
96
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Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
economic activities
has this led to?
(Multiple Answers
Possible)
Improving existing business 2
Increasing livestock 3
Others (please specify 4
fill here
6.2a Have the above
activities led to an
increase in income?
Yes 1
No 2
Don’t
fill here
6.2b IF YES, by how
much per year?:
Change in annual income (in Rs)
Don’t
fill here
6.3 Other than time
spent on economic
activities, how do
you utilize the time
saved due to
availability of water
and sanitation
services?
None 0
Engage in other household
chores 1
Increased time for leisure/rest 2
Time for socializing 3
Studying (especially if children
are involved in water collection)
4
Others (please specify) 5
Don’t
fill here
97
Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
SECTION 7 – SANITATION
Q.No. Question Options Before
scheme
After
scheme
7.1 Type of Sanitation
structure at the
household
No-toilet 1
Jugaad toilet
a. Individual toilet 2
b. Shared with
community members
3
Proper toilet ( Latrine)
a. Individual toilet 4
b. Shared with community
members 5
7.2 If toilet exists, what is
its usage in the
household
Not used 1
Used by all family members 2
Used only by women 3
Others (elderly etc.) – please
specify 4
7.3 If there is no toilet
facility, time spent in
walking/going for open
defecation each day
per member on
average?
Less than 15 minutes 1
15 – 30 minutes 2
30 minutes to 1 hours 3
1 – 1.5 hours 4
More than 1.5 hours 5
7.4 Is there working water
connection in the toilet
Yes, Adequate 1
Yes, Not adequate 2
No 3
7.5 How has availability of
sanitation increased
your sense of security?
None 0
Reduction in violence 1
Reduction in animal attacks 2
Others (please specify) 3
Please do
not fill here
7.6 Incidence of water borne diseases-
No. Water borne
Diseases
Options Before
schem
e
After
Scheme
A Water borne
diseases such as
Diarrhea/Cholera
1) Frequently 1
2) Rare 2
3) Not recorded 3
98
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Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
7.7 Details of water borne diseases that have occurred in the last 6 months (at the household level)
No. Diseases No instance Number
of
episodes
(males >10
Number of
episodes
(females
>10 years)
Number of
episodes in
children
A Diarrhea
B Cholera
C Jaundice
D Typhoid
E Others
(specify)
7.8 Details of cost incurred in the treatment of water borne diseases per episode in the last 6 months
(in Rs.)
No. Diseases Consultation Transportatio
n
Medicines Others
(specify)
A Diarrhea 1 2 3 4 5 1 2 3 4 5 1 2 3 4 5
B Cholera 1 2 3 4 5 1 2 3 4 5 1 2 3 4 5 1 2 3 4 5
C Jaundice 1 2 3 4 5 1 2 3 4 5 1 2 3 4 5 1 2 3 4 5
D Typhoid 1 2 3 4 5 1 2 3 4 5 1 2 3 4 5 1 2 3 4 5
E Others (specify) 1 2 3 4 5 1 2 3 4 5 1 2 3 4 5 1 2 3 4 5
Options: 1. Nil; 2. Less than Rs.100; 3. Rs.101-500; 4. Rs.501-1000; 5. More than Rs.1000
7.9 Details of Improved Sanitation behaviour practices
No. Behaviours Options Before
scheme
After
Scheme
A Hand washing
with soap, etc.
after defecation
No washing with soap etc. 1
Hand washing with soap done after
defecation 2
Others (specify) 3
B Handling of liquid
waste at home
A cesspool of liquid waste adjacent to the
house 1
Liquid waste diverted to a soak pit
2
Others (specify) 3
C Handling of solid
waste at home and
surroundings
Carelessly thrown and spread around
1
Burn the solid waste 2
Safely disposed by collection and heaping
at a near-marked location
3
Converted into compost 4
Others (specify) 5
99
Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
SECTION 8 – GENERAL
8.1 Overall Satisfaction
A Overall Satisfaction rating about the
Water Supply and sanitation
Scheme
Very Poor 1
Poor 2
Satisfactory 3
Good 4
Very Good 5
8.2 Information and awareness
A Have you been made aware of ways
to maintain cleanliness of drinking
water (including proper storage)
and basic hygiene?
Yes 1
No 2
B How were you made aware? Posters 1
Brochures 2
Group discussions 3
One-to-One conversation with a volunteer 4
Others (specify)
5
8.3 Demographic details of the Household
Number of people in the family ___________
No. Name Sex
M F
Age Relationship
with the
respondent
Level of
education
Main
Occupation
A 1 2
B 1 2
C 1 2
D 1 2
E 1 2
F 1 2
G 1 2
H 1 2
I 1 2
J 1 2
8.4 Economic Indicators of the Household:
A Roof Plastic/Thatch/Literoof
1
Asbestos /Tile 2
100
100
Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
Concrete 3
Combination (1/2/3) 4
B Electricity Not Electrified 1
Wiring done –waiting for electrification
2
Electrified 3
C Road access Footpath 1
Two wheeler path 2
Four Wheeler Road 3
D Fuel used
(Main Source)
(SINGLE RESPONSE)
Fuel Wood / Crop Residue 1
Kerosene 2
Biogas 3
LPG 4
Combination 5
E Land Owned None 1
1-5 naali 2
6-10 naali 3
More than 10 naali 4
F Vehicles
(MORE THAN ONE
ANSWER POSSIBLE)
None 1
Bicycle 2
Two wheeler 3
Three wheeler 4
Four Wheeler 5
G Livestock
(MORE THAN ONE
ANSWER POSSIBLE)
Cow 1
Goat 2
Sheep 3
Chicken 4
Buffaloes 5
Others (please specify) 6
SECTION 9 – OBSERVATIONS BY THE SURVEYOR
Other Observations by the surveyor (The options given below are rated according to the
given details). 1=Very Poor, 2=Poor, 3=Average, 4 =Good, 5=Very Good
Very
Poor
1
Poor
2
Average
3
Good
4
Very
Good
5
9.1 Dumping of waste in/near the premises
of the house
9.2 Water logging in/near the premises of
the house
9.3 Awareness observed (posters,
brochures, etc.)
9.4 Level of cleanliness of the household
9.5 Sanitation/toilet availability
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Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
9.6 Sanitation/toilet cleanliness
9.7 Soaps availability in the Toilets
9.8 Frequency of water supply ( 24/7 or few
hrs/day)
9.9 Water continuity (hrs/day or
days/week)
9.10 Storage of water (how many buckets /
vessels)
9.11 How is drinking water being taken out
from matka (Pot)
9.12 Exposure of the family members to IEC
material on the scheme
102
Annexure 1.2 Impact Analysis of Uttarakhand
Rural Water Supply & Sanitation Project
(URWSSP)
SCHEME LEVEL QUESTIONNAIRE
PLEASE REMEMBER TO REPORT VERBATIM WHEREVER RESPODENT
CHOOSES THE “OTHER” OPTION FOR A QUESTION
Name of the Scheme: _________________________________________________
Name of District Implementing Agency: (UJN, UJS, PMU) --------------------------
Project milestones:
SECTION 1: GENERAL INFORMATION
Q No Question Coding Category
1.1 Start date of Pre Planning Phase
Month Year
1.2 Start date of Planning Phase
Month Year
1.3 Start date of Implementation
Phase
Month Year
1.4 Date of Commissioning
Month Year
1.5 Type of scheme
SVS-Gravity- Spring ................................. 1
SVS-Gravity-Gadhera (GG) ...................... 2
SVS-Tube well (including OHT TW/
pumping) ................................................... 3
SVS-Hand Pump ....................................... 4
SVS-Mixed Technology (Hand Pump
&Gadhera; Tube well and HP; GG and
Pumping) ................................................... 5
MVS-Gravity-Gadhera ............................. 6
MVS-Tube Well (including OHT TW/
pumping) ................................................... 7
1.6 Cost of the scheme
Capital cost (in rupees) Year wise
…………………(Cost Rs) ………………(year)
…………………(Cost Rs) ………………(year)
…………………(Cost Rs) ………………(year)
O&M (annual in rupees) Last 3 years-
Year 1 ......................................................... 4
Year 2………………………………………5
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Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
Q No Question Coding Category
Year 3………………………………………6
1.7 Total actual expenses paid per
annum Rs. ………
Water operator salary_______________
Electricity________________
Quality testing expenses________________
Repair and maintenance________________
Any other (specify)___________________
Any other (specify)_______________________
1.8 Total number of households in
the habitation
Headed by Men________________
Headed by Women________________
1.9 Total households currently
drawing water from the scheme
________________
1.10 No. of days being non-
operational since
commissioning (Average per
year for last 3 years)
________________
1.11 Total households currently
served with water supply (Pvt.
connection
________________
1.12 Number of additional water
points in addition to domestic,
private connection
________________
1.13 Level of average water
consumption per inhabitant,
per day
________________ Lts
1.14 No. of households added after
commissioning
________________
1.15 No. of households that left the
scheme after commissioning
________________
1.16 Percentage of poor households
benefiting from subsidized
connection
______________%
1.17 No. of women heads of
household who pay their water
bills regularly
________________
1.18 No. of additional subsidized
connections
________________
1.19 What is the Role of women
Pradhan in O&M?
*Decision Making 1
*Planning 2
*Implementation 3
*Others 4
1.20 What is the Role of women
leaders/PRl members in social
movements?
*Decision Making 1
*Planning 2
*Implementation 3
*Others 4
1.21 What is the water charge/tarrif /
104
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Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
Q No Question Coding Category
connection / month? Rs.________________
1.22 Have Water charges been
revised after commissioning
Yes .............................................................. 1
No ............................................................. 2If
yes, revised from ________(amount )
_________(Year) to __________(amount)
__________(Year)
1.23 Total tariff collected per
annum–
Rs.________________
1.24 Frequency of paying water
charges
Regular practice
Annually .................................................... 1
Half Yearly (Once in 6 months) ............... 2
Quarterly (Once in 3 months) .................. 3
Monthly ..................................................... 4
Never ......................................................... 5
Advance Payment
Annual Advance ...................................... 1
Half Yearly advance ................................. 2
Quarterly advance .................................... 3
Never ........................................................ 4
1.25 Are there any households
defaulting payment of water
charges (3 months or more
only)
________________(mention number of
households defaulting payment)
SECTION 2: WATER SOURCE
Q
No
Question Coding Category
2.1 What is the designed capacity of
the scheme? (in KL)
(in KL)
2.2 Is the water source adequate for
year round supply?
Yes .............................................................. 1
No .............................................................. 2
Don’t Know ............................................. 3
2.3 Is there any catchment protection
or other recharge measures
undertaken at the water source?
Yes .............................................................. 1
No .............................................................. 2
Don’t Know ............................................. 3
2.4 If yes, What kind of measures
undertaken?(RECORD
VERBATIM)
2.5 Catchment area details? River .......................................................... 1
Reservoir ................................................... 2
Tube well ................................................... 3
Water stream ............................................. 4
Others ........................................................ 5
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Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
SECTION 3: WATER DISTRIBUTION SYSTEM IN PLACE
Q
No
Question Coding Category
3.1 Has there been a break down in
water supply last year for any
reasons due to system failure?
Yes .............................................................. 1
No .............................................................. 2
Don’t Know ............................................. 3
3.2 What kind of break down was it? Pipe burst/leakage .................................... 1
No water at source .................................... 2
Pump failure (Overhead tank supply) .... 3
Natural Calamities/Disaster ..................... 4
Other (technical faults)etc ........................ 5
3.3 Is the water supply operator
capable of handling major and
minor issues (repairing pumps and
other equipments, cleaning)?
Yes .............................................................. 1
No .............................................................. 2
Don’t Know ............................................. 3
3.4 Is the UWSSC prompt in
addressing issues or problems
Prompt ....................................................... 1
Slow ........................................................... 2
No Direct Experience ................................ 3
3.5 What is the frequency of disruption
of water supply? (in a month)
Never ......................................................... 1
1-2 times a month ...................................... 2
3-5 times a month ...................................... 3
6-10 times a month .................................... 4
More than 10 times a month .................... 5
SECTION 4: QUALITY OF WATER SUPPLIED
Q
No
Question Coding Category
4.1 Is water supplied used for drinking
needs?
Yes .............................................................. 1
No .............................................................. 2
Don’t Know ............................................. 3
4.2 Is the water source under threat
from pollution or other
contaminations?
Yes .............................................................. 1
No .............................................................. 2
Don’t Know ............................................. 3
4.3 Are there any measures undertaken
to prevent source pollution?
Yes .............................................................. 1
No .............................................................. 2
Don’t Know ............................................. 3
4.3.a IF YES in Q403, PLEASE SPECIFY
Report verbatim
4.4 Is there a change in the incidence of
water borne diseases after the
scheme?
Increase ...................................................... 1
Decrease .................................................... 2
Same ......................................................... 3
Don’t know .............................................. 4
4.5 Is the water treated at scheme
level? If yes, please specify
(Roughing filter, slow sand filter
and auto wash filter followed by
chlorination )- please specify
Yes .............................................................. 1
No .............................................................. 2
Don’t Know ............................................. 3
If yes, please specify here:
106
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Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
Q
No
Question Coding Category
4.6 Is there any sanitation program
implemented?
Yes .............................................................. 1
No .............................................................. 2
4.6a If yes, Total no. Of Individual
Household Latrines constructed till
date?
___________________________(No. Of IHL)
4.7a Who checks water quality of the
water source in your village?
________________
4.7b Is the person who collects water
samples trained as per the
protocol?
Yes .............................................................. 1
No .............................................................. 2
Don’t Know ............................................. 3
4.7c What is the frequency of testing of
water samples?
Not observed ............................................. 1
Monthly ..................................................... 2
Quarterly ................................................... 3
Half yearly ................................................. 4
Annually .................................................... 5
4.8 Who checks and maintains field
testing kit?
Aanganwadi .............................................. 1
Operator .................................................... 2
NGOs ......................................................... 3
Others ........................................................ 4
4.9 Who does the replacement of the
field testing kit?
Swajal ......................................................... 1
UWSSC ...................................................... 2
DPMU ........................................................ 3
Others ........................................................ 4
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Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
SECTION 5: FINANCIAL SYSTEM
Q No Question Coding Category
5.1 What have been the major fund
sources for the initial capital?
Mention Sources
...................................................................
...................................................................
...................................................................
5.2 What are the major fund sources
for the O&M?
Mention Sources
...................................................................
...................................................................
5.3 Are the financial resources
provided for the scheme
adequate?
Yes ............................................................. 1
No .............................................................. 2
Don’t Know ............................................ 3
5.4 Is the scheme able to raise
enough finances for meeting the
regular expenses?
Yes ............................................................. 1
No .............................................................. 2
Don’t Know ............................................ 3
5.5 Are the accounts maintained
regularly?
Yes ............................................................. 1
No .............................................................. 2
Don’t Know ............................................ 3
5.6 Is there a regular practice in place
for collection of tariff?
Yes ............................................................. 1
No .............................................................. 2
Don’t Know ............................................ 3
5.7 Is there any process in place for
meeting any unexpected
expenditures?
Yes ............................................................. 1
No .............................................................. 2
Don’t Know ............................................ 3
5.8 Is there timely flow of funds?
Yes ............................................................. 1
No .............................................................. 2
Don’t Know ............................................ 3
SECTION 6: INSTITUTIONAL ARRANGEMENTS
Q No Question Coding Category
6.1 Was the PRI involved in the
planning phase of the scheme?
Yes ............................................................. 1
No .............................................................. 2
6.1a If yes, what was the role of PRIs Specify)
6.2 What has been the role of UWSC? ________________________ (mention)
6.3 How many members are appointed
in this committee? Specify the
following
Gender Codes:
Male 1 Female 2
Name Gender
1 1 2
2 1 2
3 1 2
4 1 2
5 1 2
6 1 2
7 1 2
6.4 Do regular meetings take place? Yes ............................................................. 1
No .............................................................. 2
108
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Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
Q No Question Coding Category
Rare ........................................................... 3
6.5 No. of meetings organised per
month
________________
6.6 Is GP/committee able to resolve
most issues pertaining to water
supply scheme?
Yes ............................................................. 1
No .............................................................. 2
Don’t Know ............................................. 3
6.7 Does the GP/Committee carry out a
regular maintenance of drinking
water scheme?
Yes ............................................................. 1
No .............................................................. 2
Rare ........................................................... 3
6.8 How many women members are
appointed in the committee?
________________
6.9 Is there a mechanism where the
users are informed of the decisions
and outcome by the managing
committee?
Yes ............................................................. 1
No .............................................................. 2
Rare ........................................................... 3
6.10 Performance of GP/ VWSC
involvement in managing the water
supply scheme.
Good-Regular............................................ 1
Moderate- Irregular .................................. 2
Poor-No involvement ............................... 3
SECTION 7: CAPACITY BUILDING
Q
No
Question Coding Category
7.1 How many programmes have been organized since the start of the scheme (in
numbers)
Panchayat
Representative
SO/NGO DPMU/PMU Community Others
(specify)
Sanitation
Awareness
regarding quality of
water
Awareness
regarding general
hygiene
Capacity on O&M
issues
Others, specify
________________
7.2 Number of women represented in -
UWSSC
MVSWSSC
APL …………………
BPL …………………
APL …………………
BPL …………………
7.3 How many Training programmes
are organised on scheme
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Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
Q
No
Question Coding Category
management ? –time frame?
…………………Total
………………… For Women
7.4 Number of women involved to
participate in the information
delivery as motivators/ community
leaders –
Individual
Group
…………………
…………………
7.5 Number of women consulted in the
choice of technology and the project
site on the construction of additional
facilities (such as: low cost sanitation
system, proper wastewater
treatment)
7.6 Was the programme effective in
building capacity in your view
Yes .............................................................. ............
No .............................................................. ............
Rare ........................................................................
7.7 Has the scheme created any new
employment in the village?
Yes .............................................................. ............
No .............................................................. ............
7.8 If yes, how many people have been
newly employed under your
scheme?
________________(Total Number)
________________(Women employed)
7.7 Were any skill development
trainings provided?
Yes .............................................................. ............
No .............................................................. ............
7.7a If yes, how many such trained
persons are there in the village
.................................................................... (total
no.)
.................................................................... (no.
Of women)
7.7b What kind of trainings? (eg. Masons
etc)
Specify type of training
SECTION 8: Details of Registers at the UWSSC
Q
No
Question Coding Category Skip
8.1 Minutes Book Available but not maintained .................. 1
Maintained and up-to-date ...................... 2
Not available ……………………………….3
8.2 Cash Book Available but not maintained .................. 1
Maintained and up-to-date ...................... 2
Not available ……………………………….3
8.3 Ledger Book Available but not maintained .................. 1
Maintained and up-to-date ...................... 2
Not available ……………………………….3
8.4 Member’s Pass Book Available but not maintained .................. 1
Maintained and up-to-date ...................... 2
110
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Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
Q
No
Question Coding Category Skip
Not available ……………………………….3
8.5 Application form/ Membership
Register
Available but not maintained .................. 1
Maintained and up-to-date ...................... 2
Not available ……………………………….3
8.6 Log Book Available but not maintained .................. 1
Maintained and up-to-date ...................... 2
Not available ……………………………….3
8.7 Visitor’s Register Available but not maintained .................. 1
Maintained and up-to-date ...................... 2
Not available ……………………………….3
SECTION 9: IMPACT AND IMPLEMENTATION
Q
No
Question Coding Category Skip
9.1 Was this scheme affected by the
2013 disaster?
Yes ............................................................. 1
No .............................................................. 2
Q905
9.2
________________
9.3 In how many villages was the water
scheme affected?
________________
9.4 What was the cost incurred to
repair each affected schemes? (Rs)
9.5 What are the factors which have
aided the implementation of the
scheme?
Yes No
Community
cooperation
1 2
Timely flow of fund 1 2
Technical adequacy 1 2
Others (please
specify)
9.6 What are the factors that have
hindered the implementation of the
scheme?
Yes No
Availability of fund 1 2
Any other (please
specify)
1 2
9.7.a Are there any other services/ gains
that habitation is getting through
beneficiary group? (PLEASE
SPECIFY)
9.7.b Present Savings under the Schemes
– annually (e.g. fixed deposit)
(PLEASE SPECIFY)`
9.8 Name and phone number of any
scheme representative:
Name: _________________________________
Phone No.: ______________________
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Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
Additional Comments
....................................................................................................................................................................................
....................................................................................................................................................................................
....................................................................................................................................................................................
....................................................................................................................................................................................
THANKS AND CLOSE
_______________________
Signature of the Surveyor Date of Survey:
_____/____/_________
Name of the Surveyor: ___________________________ Phone
Number:____________________
Details of water borne diseases reported (This should be collected from nearest primary
health centre): Average number of reported cases annually
No. Diseases Number of
episodes (males
>10 years)
Number of
episodes (females
>10 years)
Number of episodes in
children
Before
Scheme
After
Scheme
Before
Scheme
After
Scheme
Before
Scheme
After Scheme
A Diarrhea
B Cholera
C Jaundice
D Typhoid
E Others
(specify)
112
Annexure 1.3 List of schemes under URWSSP &
AF for Impact Analysis study
Garwal Region: List of schemes under URWSSP & AF for Impact Analysis Study
S.No District Block GP Scheme Name DIA Project
1 Chamoli Karanprayag Nalgoon Nalgoon PMU Parent
2 Chamoli Karanprayag Sindrawani Sindrawani PMU Parent
3 Chamoli Karanprayag Chhatoli Chhatoli PMU Parent
4 Rudraprayag Augustamuni Naini Pondar Naini Pondar PMU Parent
5 Rudraprayag Augustamuni Khankara Fatepur PMU Parent
6 Rudraprayag Augustmuni Chamak Chamak UJN Parent
7 Rudraprayag Augustmuni Chamswara Chamswara UJN Parent
8 Rudraprayag Ukhimath Bhet Jarani Bhet Sem UJN Parent
9 Rudraprayag Ukhimath Khat Khat UJN Parent
10 Rudraprayag Ukhimath Tulanga Tulanga UJS Parent
11 Rudraprayag Ukhimath Uthind Uthind UJS Parent
12 Tehri
Garhwal Chamba Chopdiyali Chopdiyali PMU Parent
13 Tehri
Garhwal Chamba Palam PALAM UJN Parent
14 Tehri
Garhwal Chamba Palas Kholi Khusnau UJN Parent
15 Tehri
Garhwal Chamba Saur JADIPANI UJN Parent
16 Tehri
Garhwal Chamba Than Hanswan Gaon UJN Parent
17 Tehri
Garhwal
Thauldhar Raindoni UPLA BAGI UJS
Parent
18 Tehri
Garhwal
Thauldhar Sanau Darogi UJS
Parent
19 Tehri
Garhwal
Thauldhar Sanau Saino UJS
Parent
20 Uttarkashi Bhatwari Syaba Madogad PMU Parent
21 Uttarkashi Bhatwari Bhankoli Bhankoli UJS Parent
22 Uttarkashi Bhatwari Bonga Bhailura UJS Parent
23 Uttarkashi Bhatwari Jaudaw Jaudaw UJS AF
24 Uttarkashi Dunda Manol Ludrka PMU Parent
25 Uttarkashi Dunda Huldiyan Chaundhri PMU Parent
26 Uttarkashi Dunda Bhatwari
Digthol Sari Name PMU Parent
27 Uttarkashi Dunda Bhaint Bhatwara PMU Parent
28 Uttarkashi Dunda Bharangaon Khadku Dayara PMU Parent
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Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
29 Uttarkashi Dunda Baun Patisour UJN Parent
30 Uttarkashi Dunda Dang Talla-wall UJN Parent
31 Uttarkashi Dunda Genwla Varuna Tok UJN Parent
32 Uttarkashi Dunda Juguldi Kimlaadi Tok UJN Parent
33 Dehradun Doiwala Athoorwala Athoorwala-I PMU Parent
34 Dehradun Doiwala Athoorwala Athoorwala-II PMU Parent
35 Dehradun Doiwala Majri Grant Chandi Plantation UJS Parent
36 Dehradun Doiwala Majri Grant Shergarh Jakhan UJS Parent
37
Dehradun
Doiwala Khandgaon
Visthapit
Khandgaon
Visthapit
UJS
Parent
38 Dehradun Doiwala Bullawala Bullawala UJS Parent
39
Dehradun Sahaspur
Hariyawala
Khurd
Ghanghoda
Chandmari PMU Parent
40
Dehradun Sahaspur
Hariyawala
Kalan Dhaulas PMU Parent
41 Dehradun Sahaspur Ghanghoda Ghanghoda UJS AF
42 Dehradun Vikasnagar Pashta Pashta Pipalsar PMU Parent
43
Dehradun
Vikasnagar
Pashta
Aamwala
Mallawala PMU Parent
44 Dehradun Vikasnagar Samet Samet UJN AF
45 Dehradun Vikasnagar Matak Majri Matak Majri UJS AF
46 Dehradun Vikasnagar Devthala Devthala UJS AF
47
Dehradun Raipur
Kheriman
Singh Pustari PMU AF
48
Dehradun Raipur
Ramnagar
Danda Ramnagar Danda PMU AF
49 Dehradun Raipur Silla Singlidhar UJS Parent
50 Dehradun Raipur Sindhwal Gaon Kerwan Gaon UJS Parent
51 Dehradun Kalsi Badnu badnu UJN Parent
52 Dehradun Kalsi Bado bado hb UJN Parent
53 Dehradun Kalsi Dagura Marlau Kofti UJN Parent
54 Dehradun Kalsi Jishau Danda Chhani UJN Parent
55
Dehradun Kalsi
Baagi Kheda
Koti SVS UJN AF
56 Dehradun Kalsi Badanu SVS UJN AF
57
Dehradun
Kalsi Kaha Nehra
Punah
Kaha Nehra Punah UJS AF
58 Dehradun Kalsi Dilau sainj Dilau sainj UJS AF
59 Pauri
Garhwal Duggada Kholkandi Shyal gad UJN Parent
60 Pauri
Garhwal Duggada Koligaon Koligaon UJN Parent
61 Pauri
Garhwal
Kot Kanda Kanda Khalsa
PMU Parent
114
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Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
Kumaon Region: List of schemes under URWSSP & AF for Impact Analysis Study
S.No District Block GP Scheme Name DIA Project
1 Almora Dhauladevi Aati Suring UJS Parent
2 Almora Dhauladevi Bhagar Tola Bhagar Tola UJS Parent
3 Almora Dhauladevi Chalthi Chon Chalthi UJS Parent
4 Almora Dhauladevi Cham Tola Chamto bana UJS Parent
5 Almora Dhauladevi bhanoli New Basti PMU AF
6 Almora Dhauladevi Chausala Dhar PMU AF
7 Almora Dhauladevi Nainoli Paidhar PMU AF
8 Almora Bhasiyachana Sheel Sheel PMU Parent
9 Almora Bhasiyachana Punakot Pataldev PMU Parent
10 Bageshwar Bageshwar Mana Digoli Mana PMU Parent
11 Bageshwar Bageshwar Mana Digoli Machhiyakot PMU Parent
12 Bageshwar Bageshwar Binsar Anwali Gad PMU Parent
13 Bageshwar
Bageshwar
Bhairu
Chaubatta Simayal UJN Parent
14 Bageshwar Bageshwar Bijori Jhal Bijorijhal UJN Parent
15 Bageshwar Bageshwar Tuneda Udera UJS Parent
16 Bageshwar Bageshwar Udal Gaon Anersa I UJS Parent
17 Bageshwar Bageshwar Walna Khaina UJS Parent
18 Bageshwar Garur Manyura Manyura PMU Parent
19 Bageshwar Garur Manyura Ksherapal PMU Parent
20 Bageshwar Garur Lakhani Lakhani PMU Parent
21 Bageshwar Garur Kafaldunga Kafaldunga PMU Parent
22 Bageshwar Garur Dhaina Badpyar Dhaina UJN Parent
23 Bageshwar Garur Gairlekh Gairlekh UJN Parent
24 Bageshwar Garur Naugaon Athrao UJN Parent
25 Bageshwar Garur Rowliyar Rowliyar UJN Parent
26 Bageshwar Garur Simkhet Simkhet UJN Parent
27 Champawat Champawat Aeri Guroli Taani Kholi PMU AF
28 Champawat Champawat Digdai Khunari PMU AF
29 Champawat Champawat Ghurchum KotaJamrari PMU AF
30 Champawat Champawat Need Talli Talli Need PMU AF
31 Champawat Champawat Swala Swala PMU AF
32 Champawat Lohaghat Densali Tolawan PMU Parent
33 Champawat Lohaghat Forti Khark Roop Tok PMU Parent
34 Nainital Bhimtal Pandey Gaon Pandey Gaon UJS Parent
35 Nainital Bhimtal Paniya Bor Ganrad UJS Parent
36 Nainital Bhimtal Aalukhet W/S SVS UJN AF
37 Nainital Okhalkanda Patrani Mehla Malla UJN Parent
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Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
38 Nainital Okhalkanda Takura Syonari Malli UJN Parent
39 Nainital Ramgarh Jhutiya Chaukhani UJN Parent
40 Nainital Ramgarh Lodh Dik Toke UJN Parent
41 Nainital Ramgarh Mauna Kalsim UJN Parent
42 Nainital Ramgarh Naikana MVS UJS AF
43 Nainital Ramgarh Chheemi MVS UJS AF
44 Nainital Ramgarh Soopi Kaphali MVS UJS AF
45 Nainital Ramgarh Koolgarh MVS UJS AF
46 Nainital Ramgarh Kuleti Pumping MVS UJS AF
47 Nainital Dhari Babiyad Babiyad PMU AF
48 Nainital Dhari Lamgher w/s SVS UJN AF
49 Nainital
Dhari
Pataliya tok
W/s SVS UJN AF
50 U.S.Nagar Jaspur Baberkherda Shyamnagar PMU Parent
51 U.S.Nagar Kashipur Hempur
Ismaile
Hempur Ismaile
PMU Parent
52 Pithoragarh Berinag Barsayat Dhaulkatiya UJN Parent
53 Pithoragarh
Berinag
Bhatigaon
Pungrau Bhattigaon Pungrau UJN Parent
54 Pithoragarh Munakot Rueena Jugapani PMU Parent
55 Pithoragarh Munakot Mankatiya Lamdungiri PMU Parent
56 Pithoragarh Pithoragarh Bishar Bishar PMU Parent
57 Pithoragarh Didihat Nanpapo Nanpapo 2 UJS Parent
58 Pithoragarh Didihat Pamsayari Pamsayari UJS Parent
59 Pithoragarh Didihat Sitoli Lohar gaon UJS Parent
60 Pithoragarh Didihat Talla Mirthi Singarkhali UJS Parent
61 Pithoragarh Didihat Dauli Kauli Pamtodi PMU AF
62 Pithoragarh Didihat Khetar Kanyal Khetar Bhandari PMU AF
63 Pithoragarh Gangolihat Malla Garkha Nausa Bagi UJN Parent
64 Pithoragarh
Gangolihat
Pokhari
Aathigaon Pokhari Atti Gaon UJN Parent
65 Pithoragarh Gangolihat Pokhari Bhairag Pokhari Bherang UJN Parent
66 Pithoragarh Munsyari Bans Bagar Bans Bagar UJS Parent
67 Pithoragarh Munsyari Bata Bata umdada UJS Parent
68 Pithoragarh Munsyari Bora Gaon TIMTIYA UJS Parent
69 Pithoragarh Munsyari Burfu Birjue UJS Parent
Total Parent Project Schemes 50
Total Additional Financing Schemes 19
116
Annexure 1.4 Stakholder Workshop
TERI & Sycom organised a half day workshop to disseminate and discuss the results of the
Impact Assessment Study of Uttarakahand rural water supply and Sanitation Project on December, 19 2015 at State Water and Sanitation Mission Office, Dehradun.
Background The URWSS project is implemented with the main aim of improving the effectiveness of
RWSS services through decentralization, increased role of PRIs and involvement of local communities. The project covers entire rural areas of Uttarakhand spread over 13 districts
is facilitated by the Department of Drinking Water, GoUK, and executed by three agencies-
Uttarakhand Peyjal Nigam (UJN), Uttarakhand Jal Sansthan (UJS) and the Project
Management Unit (PMU or Swajal). The project is jointly funded by the International Development Association (IDA) – World Bank, Government of India (GoI), Government of
Uttarakhand (GoUK) and the rural beneficiaries. To measure the impact of the project and plan an exit the Uttrakhand State Water and Sanitation Mission(SWSM) has appointed TERI
in association with Sycom Projects Consultants Private Limited as consultants for
conducting the “Impact Analysis of Uttarakhand Rural Water Supply & Sanitation Project
(URWSSP)”. Thus an Impact Analysis study was carried out with a strong focus on the impact of the study at the Household level. The study has thus highlighted various social
and economic impacts in addition to the institutional impacts that was detailed through a presentation that was made by the study team. The presentation was followed by
brainstorming session and a detailed group discussions facilitated by TERI and Sycom.
The main objectives of the workshop were: � To disseminate results of the impact assessment study conducted
� To draw inputs form various stakeholders involved in URWSSP
The methodology of the workshops was as follows;
� Presentation on findings of the Impact assessment study
� Brainstorming session � Discussion based on the themes provided by facilitators
Stakeholder Workshop on Impact Assessment of Uttarakhand Rural
Water Supply and Sanitation Project held on December 19, 2015
117
Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
Figure 1 Participant details
See tables in Annexure I b for detailed participant list
The workshop started with a detailed presentation by TERI/Sycom professionals on the
subjects the results of the Impact Assessment Study. This was followed by a brainstorming
session on the following main topics
URWSSP Impact
i. What are the main impacts of the project in terms of water
supply?
� Access to water
� Incremental water supply/use (in lpcd after implementation
of URWSSP?
� Improvement in Quality of water
� Time saved in fetching water per day – Livelihood
opportunities – increase in income
ii. What are the main of sanitation interventions?
iii. What are the health benefits of the program?
iv. Do you think there is adequate participation/ownership of
PRIs and UWSSC?
v. What according to you is the basis for tariff fixation?
vi. What do you think are the overall experiences of the
URWSSP Project?
vii. Strengths/ weaknesses of the Swap?
The key questions that
triggered discussions
facilitated by TERI and
Sycom
Figure 2. Main themes for
discussion in the
workshop
SN Organisation Participants
1 State Water
Sanitation
Mission
3
2 PMU/Swajal 8
3 UJS 7
4 UJN 3
5 PRI members 12
6 TERI and
SYCOM
2
Total 35
118
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Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
Detailed below are the main aspects discussed after the detailed presentation on the impacts of the URWSSP ;
Water supply and sanitation
• Improvement in access to water: Majority of PRI members reported100% coverage in
their GPs (Majri Grant, Athoorwala, Dhara Haat etc.) with the impact visible even in
remote areas
• Improvement in Availability of water: The PRI members opined that the water availability has gone up by 200% from the pre scheme period SWSM officials
indicated that there is an increase of water supply from 10 lpcd to 55 lpcd after project implementation
• Improvement of water quality in some regions. The participants reported that there
has been an improvement in water quality. Some regions there water quality was
poor in terms of color and the clothes would turn yellow after the implementation of the project the water quality has improved in terms of colour as well as taste. Some
regions where people had hard water (Khara pani) soft water is now available. This has led people from nearby village who are not covered under the scheme also to
come and fetch water from the villages where the scheme is implemented
• Time Saving as the main benefit of improved access to water: While all members of
the households have benefitted from increased access to water supply, the main beneficiaries are women as they have saved time (almost 2 hrs) due to water and
sanitation facilities. Time saved has offered scope for additional livelihood activities that has led to an improvement in income. Additional livelihood activities
undertaken are mainly in terms of livestock rearing, kitchen gardening, additional
agriculture activities and in some cases women have taken up knitting and tailoring
activities that generate income to the household. • Behavioural Change: Improved sanitation and behavioural change in terms of its use
was noted as a visible impact of the project. There is also improvement in hygiene
practices (mainly washing hands) observed. • Increased Awareness – The project has led to increased awareness about source
protection and cleanliness of sources
Institutional
• Water Tariff: The tariff is generally fixed in consultation with the community
depending on their capability and willingness to pay. Some GPs have not yet fixed water charges are planning to fix it around Rs. 50 - 100 /month. It was noted that
people pay water bills regularly. Some issues with water tarrif were raised. o In some GPs, electricity for pumping water is charged on commercial rates by
the electricity board, whereas the water is used only for domestic purposes
which reported to create an additional financial burden on the households.
The issue has been raised earlier and SWSM is now intervening to sort out the same
o Demand for free water supply: Residents of Athoorwals GP mainly comprise of rehabilitated people form Tehri Dam project and have been promised free
water and electricity under the Hanumantha Rao committee, under the SWaP
model even these rehabilitated communities are obligated to pay user
charges
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Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
o Community Ownership: The physical structures are owned and protected by the community and the institutions
Scope for improvement under SWAP
o Need for simplified procedure to tap the water source: Currently major water
sources are located in the forest areas, getting requisite clearances from the
forest department involve stringent protocols and paper work that calls for
policy intervention. o Overlapping of the institutions: In some GPs there are issue with multiple
institutions implementing water supply schemes over a period of time resulting not only in duplicity of work but also the communities having to
pay tariff for water to multiple agencies/institutions
o Capacity building requirement: Although some formal capacity building
measures and training programs have been conducted, the stakeholders requested additional hand holding for record keeping, accounts etc.
Gender
� Leadership: Women Pradhans are active in planning, implementation and
operation of the project. Around 64% of the pradhans are women. The case of
Athoorwala GP was discussed in detail to elicit the stweardhip of women
particularly in the role of Pradhan. Athoorwala GP was the among the first recipients of Nirmal Gram Puraskar (NGP) in the state which was mainly due the
social mobilization under the project and proactive initiative by the Pradhan on water and sanitation awareness. The stewardship of the woman Pradhan was
also highlighted in terms of the high level of fixed deposits and the cash balance
of the GP (18.5 lakhs). The women Pradhan was elected thrice that reflects the confidence of the community in efficient women candidates
� Participation: Women members in the UWSSC are active in decision making
(identifying water points, fixing water charges and user contributions). In many
GPs, women PRI representatives constitute more than the mandated 30% and are increasingly playing a major role in the decision making. They are no longer
accompanied by their husbands/male members of the family while attending GP meetings. It was noted that women Pradhan have better interaction with the
women in the community since they are more comfortable in discussing
development issues and at times even personal problems
� Enhanced Capacity of Women: In Fatepur and Sapera Basti GPs, women members have been trained by UWSCC to carry out the maintenance work and
account keeping (plumbing and collection of user charges). The women technicians here have become popular for the vital role in maintenance work.
The main aspects that have emerged from the feedback received from the participants are
detailed below;
• Current situation of the Schemes implemented:
o Most schemes are being operated well.
o Schemes supported by PMU/Swajal were particularly reported to be working
in very good conditions o High satisfaction levels of benefiacries a good indicator of good working
conditions
120
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Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
• Suggestions for improvement of
o Regular meetings of UVWSSC and discussions for O&M related activities
o Further training to technical staff and UVWSSC members for O&M
o simplified procedure to tap the water source
o Water conservation measures may be adopted in all schemes
o Collection of tariff in all schemes necessary for meeting the O&M costs: Schemes having higher collection and maximum tariff be rewarded
o Apply Domestic Electricity bill
• Build every UWSSC
• Every member should be Literate • Give responsibility of meetings to village development officer
• Give reward to GP which are collecting O & M • Focus the Scheme Where O&M is not collecting
• To operate and maintain the Scheme properly held proper meeting to improve
skills, capabilities and awareness of members and SMW
• On water Supply source we should do plantation, Chack dam (soil and moisture conservation) chaal khaal (water resuming structure )etc work and aware people
for water purity. • Pay special attention to water source security and cleanliness.
• Promote this scheme so that our society is not left behind because of a lack of
water and reduce migration of hilly area people. People are now paying attention
to irrigation so that their land should not remain barren and their income from irrigation should be increase. Because of shortage of water people do not left their
farming and mountain (Uttarakhandi) people should also move forward in race
of development.
121
Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
122
122
Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
123
Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
124
Annexure 2.1 Status of IEC produced and
observations
Status of IEC produced and observations
SN
1.
Wall
Paintings
Project
Management
Unit- Swajal
• Slogans on water
conservation,
cleanliness and safe
drinking
2.
Wall
Paintings
Project
Management
Unit- Swajal
• List of UWSSC
members
• Cost of DPR. IPCR
• Slogans on water
conservation,
cleanliness and safe
drinking
• Account number of
Scheme
3.
Wall
Painting
Project
Management
Unit- Swajal
• List of UWSSC
members
• Account number of
Scheme
125
Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
4.
Wall
Paintings
Project
Management
Unit- Swajal
• Account number of
Scheme
5.
Wall
Paintings
Project
Management
Unit- Swajal
• List of UWSSC
members
• Account number of
Scheme
6. Wall
Paintings
Project
Management
Unit- Swajal
• List of UWSSC
members
• Account number of
Scheme
• List of members Social
Audit Committee
• List of members of
Joint Inspection
Committe
7.
Wall
Paintings
Project
Management
Unit- Swajal
• Slogan on cleanliness of
village
• Nirmal Gram Abhiyan
126
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Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
8. Brochure Complete
Sanitation
Program
Project
Management
Unit- Swajal
• Information on
workshops
• Awarenes generation
through wall paintings
• IEC activites in village,
block and state level
• Uttarakhand Jal
Sansthan (UJS)
• Uttarakhand Peyjal
Nigam (UJN)
9.
Wall
Paintings
Project
Management
Unit- Swajal
•
• List of UWSSC
members
• Cost of DPR. IPCR
10.
Wall
Paintings
Project
Management
Unit- Swajal
• Good sanitation
practices
• Slogans on usage of
IHL
127
Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
11. Brochure Project
Management
Unit Swajal
• Objectives of
Swajaldhara project
• Roles of N.G.O.
• Roles of Panchayati
Raj Institutions
• Communication and
Strategy development
program
12.
Brochure
State Water and
Sanitation
Mission
(SWSM)
Dehradun
• SWSM
• Roles and
Responsibilities
• Secretariat of SWSM
13.
Brochure
Sector
Programme and
Water and
Sanitation
Support
Organisation
(WSSO)
• Enhancinig the
communication and
technical skills of
participants
• Information on State
Level Technical
Institutes
• Information on issues
like rain water
harvesting, water
catchment
• Complete sanitation
• Involvement of
women in technical
works
128
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Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
14.
Brochure
Sector
Programme and
Communication
and Capacity
Development
Unit
(CCDU)Water
and Sanitation
Support
Organisation
(WSSO)
• Enhancinig the
communication and
technical skills of
participants
• Information on State
Level Technical
Institutes
• Information on issues
like rain water
harvesting, water
catchment
• Complete sanitation
• Involvement of
women in technical
works
15.
Brochure
Diistrict Project
Management
Unit- Nainital
and Swacch
Bharat Mission
Gramin-
Nainital
• Water Quality
measurement
• Disease due to
contaminated water
and their symptoms
• Sources of
contamination of
water
• Refresher Training on
usage of FTKs
16.
Brochure
Management
Measures for
Critical
Environmental
Concerns in
URWSS
• Water Quantity and
Management issues
• Proper water
Management
• Water Quality and
Management
• Poor Rural Hygine
• Forest Land Transfer
• Impact on
downstream
ecosystem and
settlements
• Catchment Area
129
Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
Conservation and
Management Program
(CACMP)
17. Brochure
Uttarakhand
Rural Water
Supply and
Sanitation
Program
Sector Program
• SWAp
• Objectives of
programme
• Objectives of sector
program
• Roles of N.G.O.s, Gram
Panchayats
• Stages of Program
• Selection of Gram
Panchayats for schemes
18.
Poster Swacch Bharat
Mission
(Gramin)
• Solid and Liquid Waste
Management
• Water and Sanitation
• Good sanitation
practices
• Nirmal Gram Award
• Individual Household
Latrines (IHL)
• Waste management
19. Pamphlet
s
District Project
Management
Unit(DPMU)
and Swacch
Bharat Mission
Gramin
• Personal Hygiene
• Environmental issues
• Water management
• Sanitation
• Grants for construction
of IHL
130
Annexure 4.1 Persons suffering
Table Persons suffering from acute illness (per 100,000 population) - Diarrhoea/ Dysentery:
Rural areas only
2010/11 2011/12 2012/13
Uttarakhand 767 428 351
Almora 446 217 166 Bageshwar 401 415 216
Chamoli 1569 233 69 Champawat 1390 296 161
Dehradun 401 411 369
Haridwar 687 545 602
Nainital 407 357 326 Pauri Garhwal 317 363 374
Pithoragarh 1055 438 217 Rudraprayag 1091 341 44
Tehri Grahwal 356 315 290
Udham Singh Nagar 1141 328 189
Uttarkashi 1681 1504 1343
Incidence of diarrhea amongst children (%): Rural areas only
2010/11 2011/12 2012/13
Uttarakhand 10.6 6.6 6.5 Almora 5.2 5 2.7
Bageshwar 2 4.8 5.3
Chamoli 9.7 3.2 1.2
Champawat 8.6 5.7 3.2 Dehradun 8.5 8.6 11.3
Haridwar 15.4 4.9 12.8
Nainital 9.6 7 4.2 Pauri Garhwal 6.7 9.5 7.6
Pithoragarh 5.3 3.5 4.8 Rudraprayag 8.3 5.7 1.3
Tehri Grahwal 5.5 6.4 6.4
Udham Singh
Nagar
16.5 9.5 5.2
Uttarkashi 22.6 9.8 9.3
131
Annexure 5.1 Balanced Score Card for Assessment of Institutional
Effectiveness of the URWSSP Project
Object
ives
Indicators Total
Marks
Weight
age in
%age
Performance Scores (Criterian Value) Pre-
project
Score
Actual
Achieveme
nt of
Project
Weighted
Score
Source
20 40 60 80 100
Poor Average Good Very
Good
Excellent
Tim
ely
Co
mp
leti
on
of
the
pro
gra
m (
as p
er
Pla
n)
Timely
Completion
of SVS
schemes (%)
7.00 35 <=50% 51-60% 61-70% 71-80% 81-100% 0 100% 7.00 SIS data - 8243
habitations under SVS
and 307 habitations
under MVS - i.e. Total
8550 habitations
achieved against target
of 8270 habitations
Timely
Completion
of MVS
schemes (%)
3.00 15 <=50% 51-60% 61-70% 71-80% 81-100% 0 100% 3.00
Improvement
in Rural
Sanitation -
Declaration of
ODF status
for 30% of
rural
communities
in the state
7.00 35 up to
14%
15-19% 20-24% 25-29% >=30% 0 100% 7.00 MIS data indicates 145
% achievement (689
GPs achieved ODF
Status against target of
475 GPs)
Habitations
covered
through
CACMP
3.00 15 0-5% 6-11% 12-17% 18-23% >23% 0 100% 3.00 Independent reivew
"Sustainability
Evaluation Exercise" by
M/s E & Y for the study
Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
activities
against PAD
target of 25%
indicates 35% coverge
while the target as per
PAD was only 25%
habitations coverage
Sub Total 20 100 (Mini
mal
eviden
ce)
20.00
Se
rvic
e p
rov
isio
n i
s co
st e
ffec
tiv
e a
nd
su
stai
nab
le
Regular
Collection of
Water Tariff
(per month
per
household for
all schemes)
5 25 >=75 74-60 59-45 44-30 <30 0 On an
average Rs
35 per
month per
household
4.00 Sector Information /
M&E data, Tariff
notification of UJS and
Independent reviews,
Fully
functional
schemes (%)
5 25 1-50% >60% >70% >80% > 90% 0 98% 4.90 Independent review on
‘Sustainability
Evaluation Exercise’
conducted by M/s.
Ernst & Young , New
Delhi
Source
discharge of
scheme is
Sustainable
and equal to
the discharge
of the source
during
scheme
commissionin
g (%)
5 25 10-25% 26-40% 41-60% 61-80% 80-100% 0 86% 4.30
Users
satisfaction in
service
5 25 up to
55%
55-65% 65-75% 75-85% <85% 0 89% 4.45 Independent review
(‘Impact Evaluation’
conducted by TERI,
Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
provision New Delhi)
Sub Total 20 100 0 (No
eviden
ce)
17.65
Be
hav
iou
r C
ha
ng
e (a
mo
ng
sta
keh
old
ers
)
Behaviour
Change at
community
level
8.0 40 up to
30%
31-50% 51-60% 61-80% 81-100% 0 96% 7.68 Various Independent
reviews including
‘Healthy Home Survey'
conducted by
M/s.Academy of
Management Studies,
Lucknow
Behaviour
change at GP/
UWSSC level
6.0 30 up to
40%
41-60% 61-70% 71-80% 81-100% 0 96% 5.76
Behaviour
change at
Facillitating
Agencies
level-
Willingness
to implement
the scheme as
per Project
Appraisal
Document
(PAD)
3.00 15 up to
50%
51-70% 71-80% 81-90% 91-100% 0 100% 3.00 Sector Information /
M&E data and
Independent reviews
Behaviour
change at
GoUK level-
assisted
facilitating
agencies in
providing
3.00 15 up to
50%
51-70% 71-80% 81-90% 91-100% 0 100% 3.00 Sector Information /
M&E data, Govt. Order
issued and
Independent reviews,
Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
enabling
environment
through
timely release
of funds and
policy issues
for successful
implementati
on
Sub Total 20 100 0 19.44
Eff
ect
ive
Co
mm
un
ity
Pa
rtic
ipat
ion
Participation
of PRIs in
Planning and
Implementati
on
6 30 up to
50%
61-70% 71-80% 81-90% 91-100% 0 85% 5 Independent reviews
Equity in
UVWSSC
composition
(Gender
Equity
interms of
participation
of women
and
composition
of all
categories in
the UWSSC))
5 25 up to
30%
31-40% 41-50% 51-60% 61-100% 0 95% 5 Sustainabillity and
Impact Assessment
Studies (36%
participation of women
in UWSSCs and around
75 % of backward
communities)
Active
involvement
in O&M
4 20 up to
40%
41-60% 61-70% 71-80% above
80%
0 98% 4 Sustainabillity and
Impact Assessment
Studies (36%
Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
(addressal of
complaints
and
participation
in
maintenance)
participation of women
in UWSSCs
Community
Contribution
(financial and
Time) in
terms of % of
beneficiary
households
who have
contributed
5 25 upto
40%
41-60% 61-70% 71-80% above
80%
0 98% 5 Sustainabillity and
Impact Assessment
Studies (95%
households have
contributed towards
the project)
Sub Total 20 100 0 (No
eviden
ce)
18.67
Cap
aci
ty E
nh
ance
men
t a
nd
Gro
wth
Complaint
resolution
time in hours
8 40 >72 71-48 47-24 23- 8 <8 0 <8 8.00
Percentage of
stakeholders
trained at
apex,
strategic and
Intermediate
levels
4 20 up to
20%
21-40% 41-60% 61-80% above
80%
0 100% 4.00 SIS data validated
through independent
review indicate 1088
trainings for 35404
participants
Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)
Persons
trained at
grass-root
level
4 20 up to
20%
21-40% 41-60% 61-80% above
80%
0 100% 4.00 SIS data validated
through independent
reviews indicate 170248
trainigns for approx.
54810 members of
UWSSC & grassroot
level stakeholders
Time-saved
(Future
growth)
4 20 no time
saved
saved
more
than
half an
hour
saved
more
than 1
hour
saved
more
than 1.5
hours
saved
more
than 2
hours
0 On an
average 2
hours
saved
4.00 ICR studies incidate an
average of 1-3 hours
saved to collect water
as compared to pre
project phase
20 100 0 (No
eviden
ce)
20.00
Grand Total 100 500 0 95.76
Observation: Strong evidence of Institutional Effectiveness of the URWSSSP performance score is more than 90%