Uttarakhand Rural Water Supply and Sanitation Project Final Report Dec-09.pdf · RURAL WATER SUPPLY...

Uttarakhand Rural Water Supply and Sanitation Project

Mid Term Review of the Uttarakhand Rural Water Supply and Sanitation Project

Final Report

November 2009

Wilbur Smith Associates Inc.

Wilbur Smith Associates Inc. Corporate Headquarters 1301 Gervais Street Columbia, SC 29202-0092 United States Tel. 803.758.4500 Fax. 803.251.2064 India Office #8, 2nd Floor, 80 Feet Road, R. T. Nagar Bangalore Karnataka India 560 032 Tel. 91.80. 3918.7500 Fax. 91.80 2363.4097

Mid Term Review of URWSSP - Final Report


Abbreviations

AC : Asbestos Cement AG : Auditor General ARWSP : Accelerated Rural Water Supply Program ATD : Agree - To - Do BC : Benefit Cost BIS Bureau of Indian Standards BPL : Below Poverty Line CACMP : Catchment Areas Conservation and Management Plan CAG : Comptroller and Auditor General CAS : Country Assistance Strategy CAT : Catchment-Area Treatment Study CCDU : Communication Capacity Development Unit CDD : Community-Driven Development CDO : Chief Development Officer CI : Cast Iron CWR : Clear Water Reservoir DDW : Department of Drinking Water DEPR : Detailed Environmental Project Report DI : Ductile Iron DPMU : District Project Management Unit DPR : Detailed Project Report DRA : Demand Responsive Approaches DWSC : District Water and Sanitation Committee DWSM : District Water and Sanitation Mission EA : Environmental Assessment EC : Environment Coordinator ECOP Environment Code of Practices EMF : Environmental Management Framework ERR : Economic Rate of Return FC : Habitation categorized as fully covered by water supply services FD : Forest Department FM : Financial Management FTK : Field Test Kit GI : Galvanized Iron GIS : Geographic Information System GO : Government Order GoI : Government of India GoUK : Government of Uttarakhand



GP : Gram Panchayat GPS : Global Positioning System HDPE : High Density Poly Ethylene HESA : Hygiene and Environmental Sanitation Awareness HRD : Human Resources Department IDA : International Development Association IEC : Information, Education, and Communication IHHL : Individual Household Latrine IPCR : Implementation Phase Completion Report M&E : Monitoring and Evaluation MDG : Millennium Development Goal MIS : Management Information System Mn : Million MoU : Memorandum of Understanding MS : Mild Steel MTP : Medium-Term Program MTR : Mid Term Review MVS : Multi-Village Scheme MVSLC : Multi-Village Scheme-Level Committee NC : Habitation categorized as not covered by water supply services NCB : National Competitive Bidding NDWQMSP : National Drinking Water Quality Monitoring & Surveillance Program NGO : Non - Governmental Organization NGP : Nirmal Gram Panchayat O&M : Operations and Maintenance PAD : Project Appraisal Document PC : Habitations categorized as partially covered by water supply services PCB : Pollution Control Board PCRI : Pollution Control Research Institute PE : Poly Ethylene PMU : Project Management Unit PRA : Participatory Rural Appraisal PRI : Panchayati Raj Institution PVC : Poly Vinyl Chloride RGNDWM : Rajiv Gandhi National Drinking Water Mission Rs : Indian Rupees RTI : Regional Training Institution RWSS : Rural Water Supply and Sanitation SO : Support Organization SARAR : Self-esteem, Associative in strength, Resourcefulness, Action plan, Responsibility



SC : Scheduled Caste SEE : Sustainability Evaluation Exercise SGSY Swarna Jayanthi Gram Swarogar Yojana SHG Self Help Group SIS : Sector Information System SRP : Sector Reforms Project ST : Scheduled Tribe SVS : Single Village Scheme SWAp : Sector-Wide Approach SWSM : State Water and Sanitation Mission TA : Technical Assistance TAC Technical Approval Committee ToR : Terms of Reference TRC : Technical Review Committee TSC : Total Sanitation Campaign UC : Unit Coordinator UJN : Uttarakhand Peyjal Nigam UJS : Uttarakhand Jal Sansthan URWSSP : Uttarakhand Rural Water Supply and Sanitation Project UWSSC : User Water Supply and Sanitation Sub Committee VWSC : Village Water and Sanitation Committee WDI : Women’s Development Initiative WSA : Wilbur Smith Associates WSS : Water Supply System



Contents

I. Executive Summary .................................................................................................................. 1

A. Study Background and Objectives ............................................................................................. 1 1. Component A: RWSS Sector Development. ............................................................................................. 1 2. Component B- RWSS Infrastructure under URWSSP ............................................................................. 3

B. Improvements in DPR Preparation Process ............................................................................... 7 1. Component C: RWSS Program Management Support and M&E ......................................................... 10

C. Financial Projections ................................................................................................................ 12 D. Conclusion ............................................................................................................................... 16

II. INTRODUCTION ................................................................................................................... 19

A. Introduction and Background .................................................................................................. 19 B. Objectives of the Mid Term Review ........................................................................................ 21 C. Scope of Work and Methodology of MTR .............................................................................. 24

1. Methodology and Processes ................................................................................................................... 25

III. RURAL WATER SUPPLY AND SANITATION DEVELOPMENT ................................ 32

A. Capacity-Building and Strengthening Programs as Envisaged by PAD (A1) ......................... 32 1. Apex/ Policy Level .................................................................................................................................. 33 2. Strategic (State Level) ............................................................................................................................ 33 3. Intermediate Level .................................................................................................................................. 34 4. Grassroots Level .................................................................................................................................... 34

B. Communication Strategy and IEC for Sector Wide Approach (SWAp) (A2) ......................... 36 1. Main observations and Recommendations for IEC Materials .............................................................. 40 2. Outreach Plan and its Achievements ..................................................................................................... 41

C. Sector Information System, Water Quality Monitoring Program, and Source Discharge Measurement Program (A3) .............................................................................................................. 43

1. Sector Information System ..................................................................................................................... 43 2. Water Quality Monitoring Program & Source Discharge Measurement Program ............................. 44

D. Modernization of Public Procurement and Procurement Reforms (A4) .................................. 45 E. Sector Studies (A5) .................................................................................................................. 45 F. Institutional Arrangements for Sector Wide Approach (SWAp) -Design for Delivery ........... 46 G. RWSS Policy Comparing Sector Wide Approach Versus Alternative Approaches ................ 51 H. SWAp verses Alternative Approaches ..................................................................................... 52

IV. RURAL WATER SUPPLY AND SANITATION - INFRASTRUCTURE INVESTMENTS ..................................................................................................................... 56

A. Introduction .............................................................................................................................. 56 B. Action Plan for the Remainder of the Project -PMU ............................................................... 59 C. Action Plan for the Remainder of the Project -Uttarakhand Jal Sansthan (UJS) ..................... 60 D. Action Plan for the Remainder of the Project- Uttarakhand Peyjal Nigam (UJN) .................. 61

1. Feedback from the Field ........................................................................................................................ 64 2. Feedback from Individual Household Survey ....................................................................................... 67

E. Status of Environmental Safeguards ........................................................................................ 69 1. Progress on Environmental Management Interventions in Physical Works ........................................ 70 2. Compliance with EMF ........................................................................................................................... 70 3. Compliance of ECOPs ........................................................................................................................... 72

F. Inferences from Household Survey during MTR .................................................................... 73 G. Institutional Issues ................................................................................................................... 73

1. Recommendations ................................................................................................................................... 74



H. Issues with Design of Water Supply Schemes ......................................................................... 75 1. Recommendations ................................................................................................................................... 76

I. Issues in Implementation of Water Supply Schemes ............................................................... 77 J. Planning and Approval Process ............................................................................................... 84 K. Strengths of URWSSP- SWAp Approach -Synthesized during Stakeholder Workshop ......... 85 L. Lessons Learnt as Outcome of the Stakeholder Workshop ..................................................... 85 M. Community Development (B2) ................................................................................................ 86 N. Role of Support Organizations in community mobilization .................................................... 90 O. Role of SOs/ Functions and Deliverables from SOs - Expected and Actual Experience ........ 91 P. Positive Practices in Community Mobilization and Development .......................................... 92 Q. Lessons Learnt in Community Development ........................................................................... 94

1. Recommendations ................................................................................................................................... 96 R. Sanitation (B3) ......................................................................................................................... 97 S. Awards and Recognitions -Nirmal Gram Puraskar Panchayat’s ........................................... 100

1. Role of SOs in achievement of Sanitation ............................................................................................ 101 2. Some Cause for Hope - Innovations and Good Practices ................................................................... 101 3. Difficulties in Achieving Total Sanitation............................................................................................ 101 4. Recommendations ................................................................................................................................. 102

T. Examining the Political Economy of Uttarakhand in the Context of URWSSP .................... 103

V. RURAL WATER SUPPLY AND SANITATION -PROGRAM MANAGEMENT SUPPORT AND M&E.......................................................................................................... 109

A. RWSS Program Management Support and M&E (C1 and C2) ............................................. 109 1. Human Resources ................................................................................................................................. 109 2. Finance ................................................................................................................................................. 112

B. Financial Projection for the Balance Project Period .............................................................. 116 C. Fund Reimbursement Pattern ................................................................................................. 120 D. Revised Fund Flow Pattern .................................................................................................... 120 E. Procurement ........................................................................................................................... 121 F. Economic Analysis ................................................................................................................ 123 G. Benefits from Incremental Demand for Water ...................................................................... 125 H. Health Benefits ...................................................................................................................... 126 I. Quantification of Benefits from Environment and Sanitation ............................................... 127

1. Time Savings from Construction of Latrines and Consequent Open Defecation ............................... 127 J. Results of Economic Analysis ............................................................................................... 129 K. Results of Sensitivity Analysis .............................................................................................. 129

1. Kumaon Region .................................................................................................................................... 130 L. Financial Sustainability .......................................................................................................... 132 M. Conclusion ............................................................................................................................. 132 N. Sector Monitoring and Evaluation (M&E): (C2) ................................................................... 133

VI. GENERAL OBSERVATIONS AND RECOMMENDATIONS ....................................... 135

A. Recommendations under Component A ................................................................................ 138 B. Recommendations under Component B ................................................................................ 139 C. Recommendations under Component C ................................................................................ 142



Tables

Table I-1: Agency wise Target Achievements ......................................................................................................... 3 Table I-2: Status of Habitations- Agency Wise for Completion ............................................................................. 4 Table I-3: User Communities ratings on water services .......................................................................................... 4 Table I-4: Fund Availability in the SWAp Basket ................................................................................................. 12 Table I-5: Financial Expenditure and Projection Summary................................................................................... 13 Table I-6: Projection of Likely Costs for WSS and CAT (B1)............................................................................. 14 Table I-7: Summary of Economic Analysis ........................................................................................................... 15 Table II-1: Study Team for MTR ........................................................................................................................... 24 Table II-2: Consultations with Officials during MTR Process .............................................................................. 26 Table II-3: List of Completed Schemes with Sample Selected ............................................................................. 27 Table II-4 Work Plan for the MTR ......................................................................................................................... 30 Table III-1: Type of Capacity Building Programs as envisaged in the PAD and Operations Manual ................. 32 Table III-2: Apex/ Policy Level -Actual Achievement ......................................................................................... 33 Table III-3: Training Programs at State Level ....................................................................................................... 34 Table III-4: Training Programs at Intermediate Level .......................................................................................... 34 Table III-5: Training Programs at Grassroots Level .............................................................................................. 35 Table III-6: Actual overall achievement in Capacity Building during 2006-2009 ............................................... 35 Table III-7: Status of IEC Produced and Observations: (Print Media) ................................................................. 37 Table III-8: Outreach Plan of IEC & its Achivements .......................................................................................... 41 Table III-9: IEC Activities Conducted under NDWQMSP ................................................................................... 45 Table III-10: Institutional Profile of Sectoral Agencies ........................................................................................ 46 Table III-11: Achievements with Regard to Institutional Reforms at MTR ......................................................... 49 Table III-12: Comparison of Alternative Approaches and Models ....................................................................... 52 Table III-13: Assessment of Constraints in SWAp ............................................................................................... 53 Table IV-1: Revised Targets - Habitations ............................................................................................................. 57 Table IV-2: Revised Targets -Schemes .................................................................................................................. 57 Table IV-3: Sectoral Agency wise Achievement of MTR Targets ....................................................................... 57 Table IV-4: Achievement against Program Targets Agency Wise ........................................................................ 57 Table IV-5: Agency-wise and Year/Quarter-Wise Completion Targets by Sector Agencies .............................. 58 Table IV-6: District wise Status of Habitations across various stages of Implementation -PMU ........................ 59 Table IV-7: District wise and Year wise Physical Plan for Completion of Habitation- UJS- New SVS &

Devolution ....................................................................................................................................................... 61 Table IV-8: District wise physical plan for completion of Habitation -UJN-Devolution ..................................... 62 Table IV-9: District wise physical plan for completion of Habitation -UJN-New SVS ....................................... 63 Table IV-10: Status and Plan for MVS under SWAp -UJN .................................................................................. 64 Table IV-11: Progress of Implementation of CACMP Works (as of July 2009) .................................................. 70 Table IV-12: Time delay in fund transfer (DPMU to UWSSC)- Case I ............................................................... 79 Table IV-13: Time delay in fund transfer (DPMU to UWSSC) - Case II ............................................................. 79 Table IV-14: Summary of UJN MVS schemes cost wise ...................................................................................... 82 Table IV-15: Actual Timeline in Select Schemes against Scheme Cycle ............................................................. 84 Table IV-16: Reasons for Time Delay in Project Implementation ........................................................................ 84 Table IV-17: Status of involvement of Support Organization ............................................................................... 90 Table IV-18: Comparison of Swajal Pilot Phase and URWSSP ........................................................................... 92 Table IV-19: Suggested Revisions in Payment to SOs .......................................................................................... 97 Table IV-20: Details of Panchayati Raj Institutions in Uttarakhand ................................................................... 103 Table IV-21: Details of Involvement of GoU & GoI ........................................................................................... 107 Table IV-22: Details of the Meeting Held Year Wise ......................................................................................... 107 Table V-1: Component wise SWAp Budget- share of GoUK ............................................................................. 112 Table V-2: Year wise Investment Plan ................................................................................................................. 113 Table V-3: SWAp Expenditure and Utilization against MTR and Final Targets ................................................ 114 Table V-4: Status of expenditure and reimbursement from IDA ......................................................................... 116 Table V-5: SWAp- Status of Balance Fund in the Basket ................................................................................... 116 Table V-6: Summary of Financial Projections ..................................................................................................... 118 Table V-7: Financial Projection - WSS and CAT- Component B1 ..................................................................... 119 Table V-8: Financial Projection against Actual Expenditure with possible Utilization of the IDA Loan.......... 119 Table V-9: Details of Completed Schemes considered for Mid Term Review ................................................... 124



Table V-10: Details coverage of MTR Schemes .................................................................................................. 124 Table V-11: Region Wise Average Time Saving in hrs per day per HH ............................................................ 124 Table V-12: Estimate of Time Savings Value – Garhwal Region ....................................................................... 125 Table V-13: Estimate of Incremental Water Value – Garhwal Region ............................................................... 125 Table V-14: Value of Savings in Existing Capital & Recurring Costs -Garhwal Region .................................. 126 Table V-15: Health Exp. Savings for Water Supply & Sanitation – Garhwal Region........................................ 127 Table V-16: Open Defecation Time Savings in minutes - Garhwal Region ....................................................... 128 Table V-17: Open Defecation Time Savings in minutes - Kumaon Region ....................................................... 128 Table V-18: Savings in Time Savings for Open Defecation – Gharwal Region ................................................. 128 Table V-19: Savings in Time Savings for Open Defecation – Kumaon Region ................................................. 128 Table V-20: ERR and BC ratio for the Project ..................................................................................................... 129 Table V-21: Results of the Sensitivity Analysis - Garhwal Region .................................................................... 130 Table V-22: Results of the Sensitivity Analysis – Kumaon Region .................................................................... 131

Appendix Appendix 1: Term of Reference Appendix 2: Stakeholder Workshop Proceedings Appendix 3: Household Survey Questionnaire Appendix 4: Scheme Level Questionnaire Appendix 5: List of Schemes Surveyed Appendix 6: Results Monitoring Indicators Appendix 7: Water Supply Status of Habitations in Uttarakhand Appendix 8: List of Project Documents Available


Wilbur Smith Associates Inc 1

I. EXECUTIVE SUMMARY

A. Study Background and Objectives 1. The pilot phase of the Uttarakhand Rural Water Supply and Sanitation Project (URWSSP)

implemented during 1996-2003, became a sector model in India. Government of Uttarakhand decided to scale it up for improved coverage in the State, adopting a sector-wide approach. Consequently, a scaling up proposal was submitted to the World Bank and was subsequently approved for funding. The scaling up project, now termed as ‘Uttarakhand Rural Water Supply and Sanitation Project’ (URWSSP), also referred to by its acronym, ‘SWAp’ commenced its operations in December 2006.

2. The project covers entire rural areas of the Uttarakhand State. The project is facilitated by

the Department of Drinking Water, GoUK and executed by three agencies namely Uttarakhand Peyjal Nigam (UJN), Uttarakhand Jal Sansthan (UJS) and Project Management Unit (Swajal), International Development Association (IDA)-World Bank, Government of India (GoI), Government of Uttarakhand (GoUK) and Rural Beneficiary Communities jointly fund the project. The project has a total budget of $ 224 million of which the IDA credit is limited to a maximum of $ 120 million. The URWSSP is scheduled to close during year 2012. The project development objective is to improve the effectiveness of Rural Water Supply and Sanitation Services (RWSS) through decentralisation and increased role of Panchyati Raj Institutions (PRIs) and involvement of local communities, along with other associated benefits. The URWSSP has three components; component A: RWSS Sector Development worth $5 million; component B: RWSS Infrastructure Investments worth $197 million; and component C: RWSS Program Management Support and M&E worth $22 million. Government of Uttarakhand decided to conduct a Mid Term Review (MTR) of URWSSP during August -September, 2009.

3. At this MTR stage the project is delivering water supply services through completed 372

schemes benefiting a population of 78,133.

1. Component A: RWSS Sector Development. 4. A1: Capacity Building and Strengthening Programs in relation to SWSM, PMU, DWSM

and DPMUs, Change management of UJN and UJS, PRIs, RTIs, SOs, and SAs: Progress made under this component include- (i) An overall achievement of 5,365 training programs involving 1,75,523 persons and

an output of 1,87,211 person days of training. (ii) As against the PAD target of Rs. 465.6 lakhs for capacity building till MTR, the

actual achievement is to the tune of Rs. 86.4 lakhs and works out to 19% of the target.

5. The achievement under capacity building is good for the grassroots and intermediate level

of Swajal-PMU, while it is very moderate at the strategic and apex level across all partners. Grassroots level training under UJN and UJS supported SVS and Devolution communities need modification and improvement. Post-implementation phase training and handholding support especially focusing on collection of O&M by UWSSCs promoted by all agencies need urgent and immediate attention.



6. A2: Information, Education, and Communications (IEC). Swajal-PMU has printed

booklets, leaflets and posters that provide messages on the project. The samples include booklets on health and hygiene, TSC, technology option in sanitation, use of toilets, Swajal-Sathi kai Karnamai, informal education and leaflets on TSC, SWSM-roles and responsibilities, Leaflet in Hindi and English on the Swajal Project, Swajal program details and posters on hand washing, sanitation models, WDM, hygienic use of sanitation facilities and healthy ways.

(i) The total expenditure against planned budget under IEC is 24% in three years. (ii) IECs used in the implementation of the project include telecasting of TV spots,

advertisements in newspaper, IEC stalls, and advertisement through hoardings. (iii) Wall writing on water and sanitation related slogans are done in schools, individual

beneficiary households, water tanks, and walls of shops and are read by literate community and found effective.

(iv) Hoardings with messages on schemes are displayed in every GP. (v) Most effective use of IEC strategies are those related to interpersonal

communication, direct communication and household/ habitation visits as recollected by people during MTR discussions.

(vi) All future IEC materials, whether in print or electronic media may address sector as a whole with all major sectoral partners finding a mention in them

7. A3: Sector Information System, Water Quality Monitoring Program, and Source

Discharge Measurement Program

(i) Sector Information System: • Online Sector Information System is launched since July 2009. • Online SIS platform is managed by Swajal-PMU. • Swajal-PMU is making better comparative use of SIS at PMU level. • Physical progress regarding schemes can be generated online for PMU.

However, regarding UJS and UJN; SIS based reports now appear in summary and miniscule forms. These needs to be converted into elaborate reports to help the monitoring and tracking process easier.

• Five staff members are exclusively dedicated to man the SIS platform within PMU.

• The online SIS is being used by Swajal -PMU, UJN and UJS. o GP to DPMU data for SIS flows in hard copy. o Hard copy data is entered at district level by DPMU. o UJN and UJS do the data entry at divisional level

Observation: More than one sectoral agency operates in one GP. But only one agency alone is allowed to enter data on behalf of a GP. UJS and UJN are not fully equipped with the operational procedures of SIS. UJS and UJN do not have adequately qualified and full time dedicated staff to take care of the SIS activity. Efforts will have to be made to integrate SIS with M&E, considering SIS as a tool for M&E.



(ii) Water Quality Monitoring Program. • Preparation of a draft report for strengthening of water quality laboratories for

13 districts of the State, taken up in tandem with the Govt. of India new guidelines.

• Water quality testing done for 50 water samples randomly selected from the drinking water sources from across 13 districts at Pollution Control Research Institute, BHEL, Haridwar.

• Trained community based organizations covering 38 blocks through mobilizing the services of 24 NGO’s on in-situ testing of water quality through Field Testing Kits.

(iii) Source Discharge Measurement Program.

• Source discharge measurement is done before start of all schemes. Initiative for a continuous measuring of water source discharge is underway.

8. A4: Modernization of Public Procurement and Procurement Reforms. Training in

procurement process has been provided to all the three sectoral institutions. However, not all those who are trained are available at present to support procurement related tasks in their sectoral institutions. Government of Uttarakhand needs to develop strategic details for modernizing procurement so as to achieve e-procurement as well as reforms in procurement processes.

9. A5: Sector Studies. Two consultancy studies, i.e., a) Impact of catchment area

conservation and management plan and b) Institutional studies are underway.

2. Component B- RWSS Infrastructure under URWSSP 10. B1: Water Supply Schemes and Catchment Area Protection Works. The physical and

financial targets revised for the MTR and achievements against targets by sectoral institutions are as given below.

Table I-1: Agency wise Target Achievements

PMU UJS UJN

Revised MTR target

Achievement

against MTR

% Revised

MTR target

Achievement against

MTR %

Revised MTR target

Achievement against

MTR %

Habs. 203 304 150% 95 189 199% 100 253 253% Schemes 102 179 175% 47 98 209% 50 95 190% Financial (Lakhs) 1,523 3,432 225% 328 652.18 199% 200 494.69 247%

11. All three sector partners exceeded its target in the coverage of schemes, habitations and

financial expenditure against revised MTR target. Taking an overall picture at MTR, the achievement in Component-B is good. Against a total target of 199 schemes, 372 schemes have been completed and thus, the achievement is 187 % of target. In terms of coverage of habitations, the achievement is 746 against 398.



12. Plans for Coverage of Habitations in the Remainder of the Project Period. Against a total target of 199 schemes, 372 schemes have been completed and thus, the achievement is 187% of target. In terms of coverage of habitations, the achievement is 746 against 398. Now, there are another 8,110 habitations for coverage in the balance part of the project period.

Table I-2: Status of Habitations- Agency Wise for Completion 2009 2010 2011 2012 Sep. Dec. Mar. Jun. Sep. Dec. Mar. Jun. Sep. Dec. Mar. Total

PMU

SVS- New 304 21 257 99 99 434 252 134 80 1,182 0 2,862UJS

SVS- New 175 100 116 247 312 354 340 316 321 289 210 2,780Devolution 14 9 9 28 40 46 40 38 37 32 27 320Sub Total 189 109 125 275 352 400 380 354 358 321 237 3100

UJN

SVS New 57 0 0 0 526 270 0 784 0 0 0 1,637SVS -

Devolution 196 0 0 212 0 0 0 194 0 0 0 602

MVS 0 0 7 0 0 100 0 0 0 98 450 655Sub Total 253 0 7 212 526 370 0 978 0 98 450 2,894

Grand Total 746 130 389 586 977 1,204 632 1,466 438 1,601 687 8,856

13. Beneficiary Satisfaction Rating. The User Communities are generally satisfied about the

water supply service in the rural areas. Agency wise satisfaction for functioning water supply schemes as evident from the household survey are as follows.

Table I-3: User Communities ratings on water services Satisfaction Ratings UJN UJS PMU Satisfactory 20% 7% 3% Good 53% 34% 46% Very Good 20% 51% 39% Excellent 6% 8% 12% Combining Good, Very Good and Excellent responses 80% 93% 97%

14. Schemes implemented by all three agencies are generally well appreciated by

communities. PMU is given highest satisfaction rating, followed by UJS and UJN. Household based survey under MTR revealed that improved water supply service have helped women, men and children in substantial time saving for collecting water in their daily routine. Compared to the pre-project situation of 9% of the surveyed households spending less than 30 minutes to collect their daily water requirement, post project situation shows a very impressive picture of 86% households in the less than 30 minutes category. This means that the project has brought about very impressive and positive changes in the lives of the beneficiaries in terms of time and efforts for collecting water.



15. Higher per capita cost in Multi Village Schemes. UJN has prepared DPR for 31 MVS Schemes for covering 655 habitations. The total cost of these schemes is to the tune of Rs. 12,938 lakhs. This works out to Rs. 19.75 lakhs per habitation (average) and an average per capita cost of Rs. 17,000 which is far on the higher side, when compared to Rs.6,500 the original PAD based per capita cost ceiling that was subsequently raised to Rs.10,000. The higher cost is attributed to multi-stage pumping and transmission distance. The above normal per capita costs have blocked the approval process of MVS Schemes.

16. Lengthy approval process of MVS DPRs: DPRs of MVS are prepared at the lower levels of

the department and is forwarded to the appropriate level of authority for approval. Schemes costing less than Rs.50 lakhs are approved by DWSM. Schemes having a cost of Rs. 50 to 100 lakhs are approved by SWSM. Schemes costing above Rs.100 lakhs are approved by the Government of Uttarakhand, going through stages of EFC, TAC and Government of Uttarakhand. The approval of schemes above Rs. 100 lakhs need to be undertaken by Government, as state government needs to examine the future O&M costs burden on the government. However, due to weighty approval process, substantial time delay is resulted. Hence the process of approval of MVS needs to be re-examined and simplified.

17. Issues experienced in Implementation of the Water Supply Schemes:

(i) DPR Approval Process at the District and State Level are Time Consuming. Five stages in the DPR preparation and approval process for schemes below Rs. 50 lakhs and 8 stages for schemes beyond Rs. 50 lakhs in MVS are followed and contribute to delay in implementation of schemes.

(ii) Fund Flow to UWSSC from Gram Nidhi (GP Level) has experienced delays in the range of 4 to 14 weeks, thereby adversely affecting the implementation process.

(iii) Elections and URWSSP. Elections were held, to the Legislative Assembly, the Gram Panchayaths and the Lok Sabha, since the launch of the project. The model code of conduct as part of the electoral process and other political processes attached to the elections adversely affect the fund flows and implementation of water supply projects. The time lost due to elections during the last three years would be more or less equivalent to 9 to 12 months; one third of the total project time elapsed till now.

(iv) Ownership process at GP Political Leadership level especially after local elections. After the elections, new members of the GP Board takes time to understand, appreciate and own up the process relating to the community owned and managed water supply schemes.

(v) Changing role of SO during the Construction Phase. SOs engages personnel with technical, financial and social background and experience during planning phase of the project. However, it does not have a vigorous role during the implementation phase except that of conflict resolution and capacity building, health, hygiene and sanitation. The key component being water supply schemes, there is no agency that virtually replaces the SO during the implementation phase to support the community, UWSSC and the GP and may be contributing to the time overruns in the project cycle. If SOs are not given roles during implementation phase as in the planning phase, necessary steps may be taken to enhance the roles of the GP and the Community Engineer, though it is still not sure whether such arrangements can really replace the institutional backing of SO. However, role play by capacitated SO’s is much essential for success and sustainability of community water supply



schemes as witnessed in similar such projects in Asia region. (vi) Lack of Capacity to Manage Community Procurement Process. The procurement of

materials and works now takes substantial time due to the lengthy process involved in the quotation process and needs simplification.

(vii) Material Testing. Material testing is another activity that is quite time consuming. It was remarked by an Engineer that by the time cement sample test is done and the report comes back to the SO / UWSSC, the strength of the cement purchased already or stored by dealer in the storage somewhere in the village would go down by 20%. The process of the activity is defeating the genuineness of the purpose, hence relaxation in testing may be given to cement procured from BIS marked companies.

(viii) Climate and Terrain Related Issues. The hill districts, especially Tehri, Uttarakashi, Chamoli, Pithoragarh, Bageshwar and Champavat are extremely difficult terrains. The climate also plays a key role in influencing the progress of the project, in terms of time and cost overruns. The peak winter months and the peak monsoon months substantially block the project pace in these difficult areas.

(ix) Menu of Technology Options. Though a menu of options are said to be available, such options are minimally used upon. Multi-village schemes are proposed due to unavailability of adequate water sources for piped water supply across the habitations or villages. Further detailed and focused exercises are needed towards exploring/piloting decentralized run off / rainwater storage based community level water supply options suited to Uttarakhand terrain.

(x) URWSSP. SWAp is based on habitation classification as per 2003 survey by RGNDWM. Several FC habitations as per the 2003 survey have slipped back to PC and there is no provision to cater to the needs of such habitations. This makes the polity as well as the community hostile and critical of the project. Of the 655 habitations planned to be included under MVS, 44% of the habitations are pronounced ‘FC’. Inclusion of such habitations has blocked the processing and clearance of MVS. Classification of habitations based on 2003 survey has become outdated and hence new baseline needs to be established, taking current realities into consideration.

(xi) Issues in Devolution Schemes. For public sector utilities like UJN and UJS, SWAp is a new experience and are not familiar with bottom up planning, community capacity building and in delegating water supply operations to communities. Before transfer of such schemes, necessary “software” support is more needed to prepare the communities to take over, own up and manage the schemes. A separate capacity building module and exclusive scheme cycle needs to be prepared for devolution schemes. Further devolution as practiced now is not a thorough rehabilitation. Devolution is carried out with an expenditure cap not going beyond Rs.2,00,000. The technical rehabilitation of the scheme in a fool proof manner is not practical with this budget.



B. Improvements in DPR Preparation Process 18. DPR’s prepared by sector agencies technical quality is satisfactory, except for devolution

schemes. Most devolution schemes are between 8-12 years old. Some schemes underwent periodic or near recent augmentation/ rehabilitation works. However, this is less likely to enable absolute technical fitness owing to pressure towards devoluting the same to community and owing to cost caps.

(i) Population Projection. For calculating population projection, the practice followed is

based on population from 2001 census projected up-to base year using the Tehsil growth rate arithmetically and thereafter 30% is added to arrive at the design population. However, this may not match with the actual population at present; hence, it is essential to compare with the actual head count obtained as per PFR survey for comparing the population projection.

(ii) Unit Water Demand in Large Rural/ Peri- Urban Communities. When households per habitation are more than a certain level, (say more than 100 households or so), incremental water use per household can be expected within design period itself. Hence, in such habitations, per capita design needs to be incremented from 40 lpcd to 70 lpcd.

(iii) Source Discharge Measurement. As per Technical Manual, the safe discharge needs to be minimum 0.15 l/sec. The source, which has been 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, 0.6 X minimum measured source yield. When two consecutive years dry season measurements are available, 0.75 X minimum dry season source yield. This process needs to be fine tuned and monitored, being critical towards sustainability of the schemes.

(iv) Water Source and Treatment. As per technical manual water purification includes- roughing filter, slow sand filter and auto-wash filter followed by chlorination. Water quality analysis report is not included in many of the reviewed DPR’s. Uttaranchal Koop developed by UJS is proving as a viable solution to address turbidity and biological contamination for SWAp schemes. Change over from surface water collection to sub-surface water collection, results in lower cost, by avoiding necessity for Boulder Filled Galleries and other allied structures. Depending on the site conditions feasibility for sub-surface water collection needs to be promoted.

(v) Pipe Material and Minimum Size. As specified in Technical Manual, for PVC/GI for conveyance main need minimum size 50 mm and PVC/GI for distribution with minimum size 15 mm/20 mm. While GI pipe restricted to crossings, landslide areas and rocky terrain. It is observed, invariably GI with minimum size of 15 mm proposed for distribution and DI/MS for pumping mains and GI with minimum size 32 mm for conveying mains. In practice, PVC/PE can be used for distribution except at rocky stretches, crossings etc. and DI for pumping main and PVC/PE for transmission mains. Using GI has cost implications, besides the type of GI available has smaller service life and its carrying capacity often get reduced soon, despite having a promised life of 30 years. Adopting minimum size of 15 mm in a public system is not advised and needs to be re-examined.

(vi) Adopting Friction Factor (HW-C value). The Technical Manual specifies, for GI/CI -100, AC- 120, PE-PVC- 140, which is followed in DPRs. In practice for RWSS,



the friction factor needs to be - Unlined metal pipe -100, lined metal pipe -140, plastic pipes -145, GI up to 50 mm diameter -100, other GI -55. For GI pipes of diameter less than 50 mm diameter, which is predominant, C value of 100 is taken where as the recommended value is 55. This has resulted in smaller pipe sizes becoming hydraulically feasible. In practice, these small diameters, GI pipes designed with C value of 100 will not yield the calculated residual pressure and this can seriously affect system performance.

(vii) Progress on Environmental Management Interventions. Environmental Management Interventions include construction of appropriate structures for catchment protection and management. A total of 13 items are envisaged as part of The Environmental Management Interventions. Implementation of 4 out of 13 components is yet to start, while the remaining has achieved targets ranging from 4 percent to 100 percent. The overall implementation progress of these components where work is begun is satisfactory.

(viii) Water quality monitoring programme is underway, with testing water samples by the trained local contact persons using field test kits.

(ix) CACMP (Catchment Areas Conservation and Management Programmes) is not given adequate importance in the project as is evident from field survey and examination of project documents. Preparation of Detailed Environmental Project Report (DEPR), which is a requirement of EMF for every scheme, is not complied fully as DEPRs are prepared for very few schemes. Of late, environmental screening format has become integral part of DPR, providing focus for CACMP. Support Organisations are required to prepare CACMP and often SOs do not have qualified personnel who can undertake the job of preparing DEPR.

19. B2: Community Development.

(i) 3,002 UWSSCs are formed and functional under the PMU across 13 districts, spread in 2,644 Gram Panchayaths. SC and ST categories of population also have received adequate representation (30%) in the UWSSCs which is above the limits set by the Government orders.

(ii) The household level survey reveals that SC category consists of 29%, while the STs account for 8 % among the beneficiaries of the project. Considering the social category distribution of population in the State of Uttarakhand, URWSSP has followed an inclusive approach by including more people from the disadvantaged sections of society in the project benefits. The achievement of URWSSP is all the more impressive as the beneficiary profile indicates an inclusion of 60% households from the BPL category.

(iii) The ownership feelings of the community are far more in Swajal schemes. The ownership feelings derive from the involvement of the community in identifying the water source, planning of the water supply scheme, community contracting and procurement process, operation and maintenance. However, the ownership feelings and community satisfaction rating in the case of UJS and UJN schemes are on the lower side when compared to the Swajal PMU.

(iv) Field visits and interactions with the beneficiary community have given the impression that UWSSCs are able to manage their water supply schemes.

(v) Community participation in water supply schemes has resulted in generating a social byproduct in the form of new leaders within habitats, with several members of the



Gram Panchayat emerging from among the UWSSCs. (vi) Role of Support Organizations in mobilizing and capacitating the community is

impressive. SOs has helped reduce leakage of resources in the project by bringing in transparency systems. However, interactions with SOs at several occasions during the MTR revealed that it is not considered an equal partner in the project. It is relegated to the position of junior partner, which is not trusted by larger sectoral institutions or by the Government. About 125 SOs are involved in the Project as on date with PMU. Not more than 30 to 40 % of these SOs are creditworthy in terms of experience, expertise and commitment. DPMU ranking of the SOs show that 55% of SOs is rated poor or satisfactory in their performance. This is a cause of serious concern. SOs generally feels that there is lesser focus on their capacity building in SWAp. This feeling is substantiated by the data on Capacity Building provided by PMU. Also, SOs that are getting selected in the SWAp programme for the first time are neither experienced in rural water sector nor the DPMUs make focused efforts to build the NGO / SO capacities. Therefore, training and skill building of the SOs itself may be brought into focus in the capacity building.

(vii) The SOs are facing difficulty in mobilizing and retaining well qualified and experienced professionals due to insufficient provision for remuneration, long gap between planning and implementation phase and inability of the SOs to support their staff during the gap period.

(viii) SOs has to produce Bank Guarantee to act as Support Organizations in the GPs. The Bank Guarantee is taken on the ground of mistrust and as a precaution against breach of contract provisions. In place of producing Bank Guarantee, alternate options needs to be explored. These instruments are in no way replacements for the trust and commitment which a SO has to invest in mobilizing the community.

(ix) Collection of operation and maintenance (O&M) expenditure from the community yet to gain momentum. UWSSCs have a casual approach in this regard and claim that O&M will be collected in bulk during emergencies that might arise. Regular O&M collection is prevailing only in 43% schemes during survey. Since the schemes are new and due to advance O&M funds being collected, the necessity for regular collection is yet to gain momentum. However, it is necessary to inculcate the habit of O&M collection, however small the amount is. Monthly collection of O&M is found most prominent mode of O&M collection preferred by communities. The survey also reveals that 14% of the surveyed schemes have revised their O&M tariff rates. When water starts flowing through the tap, the stakeholders consider their tasks completed. However, with the availability of water at the tap, only half the task is completed and the new campaign must begin then to create a habit of O&M collection under the leadership of the GP and the VWSC/ UWSSC. This phase of the scheme cycle is getting neglected now.

(x) Post implementation hand holding support is conspicuous by its absence or is very negligible. The UWSSC do not develop a habit of O&M collection, saving funds to meet contingencies and above all do not have a system of O&M collection. This is most likely to affect the long term sustainability of the schemes. When the scheme assets are new, there may not be many problems. But with depreciation and ageing, replacements will have to be made and repairs and maintenance will be more frequent. Community will have to fall back on the reserves which it would have built up by then. Serious thought needs to be given to this aspect by all sectoral institutions and the Government. Post implementation O&M and management is a



key corner stone in new generation drinking water supply schemes. If UWSSCs owning and managing fairly new schemes do not have the practice of O&M collection, it is defeating the purpose of ‘demand driven and community managed schemes’.

20. B3 Sanitation.

(i) 2, 44,037 nos. of Individual Household Latrine units have been constructed since start of the project in the state.

(ii) In the households surveyed during MTR, the pre-project coverage of sanitary latrines was 21%. However, as a result of the project efforts and campaign, the post project coverage of sanitary latrines has gone up to 62%, a difference of 41% achievement as a result of the Project and TSC.

(iii) 282 Gram Panchayaths in Uttarakhand won Nirmal Gram Puraskar (NGP) for achieving 100% sanitation coverage. Going by the trends in the last two years, it is assumed that on an average, about 150 GPs can be declared open defecation free in a year. However, specialized efforts and campaigns are needed to achieve the outcome.

(iv) There are many far flung and hinterland GPs with difficult terrains, climatic and economic features, which have not responded to the TSC in a positive way. TSC will have to redefine its campaign and promotional strategies to touch and influence such GPs/ Communities.

1. Component C: RWSS Program Management Support and M&E 21. C1: Program Management Support.

(i) Human Resource Support for the Project. • Staff vacancies are rampant across all sectoral institutions. • The staff strength in SWSM is only 52% of the sanctioned strength. • The envisaged total strength of PMU is 69 positions. (16 positions are filled

through deputation from the government, 15 nos. on contract from open market and office support staff hired as per directions of the government). During the MTR only 67 % of the positions are filled in PMU. Vacancies are found in the higher positions and most support positions are found filled. Shortage of qualified personnel is found affecting the recruitment process towards filling critical positions under contract and deputation from other government agencies. These positions under contract and deputation are critical towards delivery of the project.

• DPMU is relatively well positioned with staff against designated positions; across all DPMU’s the availability of staff is relatively better at 82% of the sanctioned positions; which is highest amongst the SWAp partner units. However, 5 out of 13 DPMUs does not have full time Project Managers which are now managed by other District Project Mangers through additional charge. The position of Deputy Project Manager is vacant in three Project Districts. These positions being critical, needs to be filled up at the earliest towards timely delivery of the program. Appointment of the UC HRD at PMU needs to be



expedited. • SWSM and UJS falls much short of the designated staff needed for execution of

the program. Both UJN and UJS have appointed Nodal Officers to look after SWAp under URWSSP at the Head Quarters level. However, moving to Divisional/ District level, there is neither a dedicated SWAp official nor SWAp cell. In the absence of dedicated SWAP program staff at the field level, existing staff looks after both SWAp and Non- SWAp works within UJN and UJS. This is further compounded with shortage of staff. While UJN is having 72 % of the sanctioned technical staff, UJS is facing acute shortage of technical staff, especially Assistant Engineers and Junior Engineers.

• SWAp being a community linked program in all respects; the necessity towards having a multi-disciplinary team for field works execution is mandatory. Currently, there is no availability of non-engineering professionals with UJN and UJS. This is found having serious implications with regard to community mobilization efforts, Support Organization management by UJN and UJS. Also both these organizations do not have dedicated staff for IEC, Environment, MIS, etc. Moreover, both with UJS and UJN there is no dedicated Procurement Specialist, which is causing much delay in procurement related tasks. Substantial capacity building is needed for computer and accountancy staff in order to gain acquaintance with SWAp procedures. It is understood that the Public Service Commission is taking steps to recruit officials to UJS. But with regard to UJN, there is uncertainty about recruitment and filling of vacancies.

(ii) Finance. • The entire financial analysis is against the SWAp total budget envisaged as per

PAD amounting $ 224 Million spread over annual flow, together with the actual expenditure till date, which account to $ 22.37 Million till Sept. 09. Against MTR target maximum utilization is noticed in Component C (54.1%) followed by component A (26.8%) and B (19.8%). Sub component wise, maximum utilization is observed in Sanitation (79.2%) and in Program Management Support (75.8%). This also gives rise to a key concern as the burden of meeting administration cost of the project would fall on Government of Uttarakhand towards the end of the project. The budget allocation for administrative expenditure would be exhausted given the current trends. There is minimal expenditure reported under establishment of e-procurement; and for sector studies. The overall financial expenditure is 23.3% of the MTR Target, which is equivalent to 10% of program budget.

• Given the total expenditure at $ 22.36 Million, equivalent to 1,073 Lakhs, 90 % of the SWAp basket is still available for utilization in the next three years.

• Agency wise utilization of funds for investment under Component B is examined sub component wise and the following scenario emerges. During initial three years the combined investment in component B by three implementing agencies works out to 5,073 lakhs ($ 10.57 millions) and the expenditure made by three implementing agencies in the current financial year is Rs. 2,930 Lakhs ($ 6.104 millions1). Thus the total expenditure under component B during MTR stage (Sept. 09) is Rs. 6,262 lakhs ($ 16.67 millions). Of which majority is again expended by PMU, amounting to 77 % while share,

1 1 USD = Rs. 48 taken for all calculations in this Report



UJS with 14% and UJS is only 4%. There is no expenditure under UJN and UJS during the initial years and investment is picking only during last one year.

• While PMU could utilize around 53 % of the budgeted amount till MTR stage, both UJS (14 %) and UJN (4 %) lagged much behind the utilization.

• Budget utilization by UJN and UJS is minimal in the initial two years owing to following major reasons. o There was much delay in take off of SWAp concept by UJN and UJS,

which resulted in delayed implementation. o There was delay in DPR preparation, vetting and approval o There was no institutional framework under SWAp within UJS and UJN o Delay in community mobilization under SWAp mode o Lack of personnel under SWAp mode within UJS and UJN o The procedure for paying out the institutional costs for UJN and UJS

needs to be re-examined and finalized during MTR stage. o Major investment by UJN is envisaged under MVS schemes, majority of

which are currently in various stages of approval process, and hence no significant funds are booked in such large schemes till date.

• SWSM has made 12 claims for reimbursement from IDA equivalent to an

amount of $ 10.04 Million, which is 10% of the loan amount. Notably, the loan claim is gaining momentum only during 2009, while the reimbursement claim was more or less dormant during initial two years. This is largely due to increased physical activity in progress made by three implementing agencies. Also the combined value of last two claims is nearly equal to all the initial 10 claims put together.

• At this MTR stage, the fund availability in the SWAp basket is re-worked and is as below.

Table I-4: Fund Availability in the SWAp Basket $ Million

1 Total SWAp Budget 2242 Funds spent till 31 March 09 15.083 Funds spent in the current Financial year (April- Sept. 09) 7.284 Total expenditure till September 09 22.365 Balance available at present 201.50

C. Financial Projections 22. Financial projection is made for the remaining years three years, given SWAp fund

availability of $ 201.50 Million, (with corresponding IDA balance loan amount of $ 110 Million), around 8,110 habitations2 for physical implementation divided among three implementing agencies.

2 Refer Chapter IV for details, comprised of PMU- 2,558 habitations, UJS-2,911 habitations and UJN 2,641

habitations under various stages of implementation.)



23. The revised financial projections has taken into considerations the existing performance patterns, cost escalations especially with regard to WSS, coverage practically achievable, program execution limitations etc. into consideration. At the end of the program, the total program expenditure is expected to consume up-to 90 % of the SWAp budget, provided shortfalls identified; including shortage of human resources is addressed timely. Details of the expenditure and projections are summarized below against MTR and Program target

Table I-5: Financial Expenditure and Projection Summary

Total Budget

MTR Budget

Utilization till date

Utilization

against Total

Budget

Utilization

against MTR

Target

Balance funds

A. RWSS Development $ Millions

A1 Capacity-building and strengthening programs 2.25 0.97 0.19 8.3% 19.3% 2.06

A2 Information, education, and communication 1.07 0.46 0.13 11.9% 27.7% 0.94

A3 Sector info., water quality, and source programs 1.05 0.45 0.26 24.4% 56.9% 0.79

A4 Establishment of e-procurement at state level 0.12 0.06 0.00 0.0% 0.0% 0.12

A5 Sector studies 0.51 0.22 0.007 1.5% 3.4% 0.50 Subtotal 5.00 2.16 0.58 11.6% 26.8% 4.42

B. Rural Water and Sanitation Investments

B1 Investment in WSS and CAT 172.23 73.67 9.54 5.5% 12.9% 162.69

B2 Community Mobilization and Development Activities 9.60 4.11 2.06 21.5% 50.2% 7.54

B3 Sanitation Program 14.96 6.40 5.072 33.9% 79.2% 9.89 Subtotal 196.79 84.18 16.67 8.5% 19.8% 180.12

C. Program Management Support and M&E

C1 Program management support 15.00 6.42 4.86 32.4% 75.8% 10.14C2 Sector M&E, audit, and FM 7.07 3.03 0.25 3.5% 8.1% 6.82 Subtotal 22.07 9.45 5.11 23.2% 54.1% 16.96 Total 223.86 95.79 22.36 10.0% 23.3% 201.50

24. The revised financial projections has taken into considerations the existing performance

patterns, cost escalations especially with regard to WSS, coverage practically achievable, program execution limitations etc. The main physical works component B1 is calculated against the physical targets prepared by three sector agencies. The costing under each is presented next-



Table I-6: Projection of Likely Costs for WSS and CAT (B1) Agency Likely Cost /

Rs./Habitation 2009-10 2010-11 2011-12 Total

Nos. Cost (Rs.Lakh)

Nos. Cost (Rs.Lakh)

Nos. Cost (Rs.Lakh)

Nos. Cost (Rs.Lakh)

PMU SVS 10,75,000 278 2,989 886 9,525 923 9,922 2087 22,435UJS SVS New 10,75,000 146 1,570 631 6,783 604 6,493 1381 14,846SVS Devolution

3,00,000 88 264 776 2,328 666 1,998 1,530 4,590

UJN SVS New 1,050,000 0 0 796 8,358 784 8,232 1,580 16,590SVS Devolution

3,00,000 0 0 212 636 194 582 406 1,218

MVS New 23,70,485 7 166 100 2,370 548 12,990 655 15,527Total (Lakhs)

519 4,988 3,401 30,000 3,719 40,218 7,639 75,206

25. Procurement.

(i) There is no full time Procurement Specialist in all three agencies, hence the task is delegated to Nodal Officer who is assisted by Executive Engineers in case of UJN and UJS.

(ii) In PMU the procurement procedures are undertaken by a team comprising of Finance Controller and Manager Accounts in PMU with assistance of respective UCs.

(iii) Senior level personnel from UJS, UJN and PMU have received trainings towards undertaking World Bank procurement procedures. The trainings are not just sufficient given the enormous procurement tasks underway at District and GP Level. These factors result in delayed procurement planning, procurement documentation and procurement execution.

(iv) No mis-procurement seems to have occurred till date. In the absence of full time Procurement Specialist and other support staff in DPMU (also due to work load) sufficient capacity building of UWSSC and GPs is not achieved which is found to be major reason for time delay.

(v) As envisaged, bulk of the works contract is related to MVS water supply schemes, which is undertaken by UJN. Major constraint faced by UJN is towards finding contractors with sufficient technical qualification and financial capacity to undertake such contracts in Uttarakhand region, despite the fact that the average tender value of those released till date is only Rs. 49.6 lakhs. UJN has so far released eight NCB bid advertisements, for which five packages did not attract not even a single bidder. Even in the bid which received three bidders, during evaluation only one bidder was found technically qualified. Thus out of eight tender calls, seven packages is currently under re-tendering process.

(vi) Suggestions from sector agencies moot for separate labour contracts and while materials supply to be contracted separated by respective sector agency. The segregation of labour and works contract cannot be a realistic solution to the issues, and the success is not guaranteed at this stage. Hence a detailed examination is needed towards envisaging an appropriate works contracting procedure under



SWAp. Transparency in dealings is one of the key underlying principles of SWAp and how this is going to be ensured in the event of centralised procurement of materials is also to be reflected by all concerned.

(vii) Being Global First project where three sector agencies are gradually aiming for unified procedures in all aspects related to RWSS and given the initial three years experience drawn, it is essential to evolve a revised procurement guidelines, meeting the World Bank objectives, and at the same time, well suited and practical to the ground realities in Uttarakhand. Unless drastic and urgent steps by way of adopting different procedures are not adopted for procurement, the implementation of MVS in all likely will get delayed.

26. Economic Analysis. Time saved in water collection due to improved water supply,

(i) The time savings experienced is in the range of 1.6 to 1.9 hrs/ household/ day which is less than the expected time savings of 2.9 hrs/ household/ day as calculated during the pre-project evaluation.

(ii) Benefits of Incremental Increase in Water Supply. Value of incremental water is calculated as Rs. 20.53 lakh / year / scheme.

(iii) Money Saved on Recurring and Capital Cost. After the implementation of the scheme, the O & M expenses incurred on the existing water supply scheme is considered as the recurring cost saved. The annual savings in existing capital & recurring costs is to the tune of Rs. 0.77 lakh/scheme.

(iv) ERR and BC Ratio for the Project. Summary of the economic analysis is presented in the table next-

Table I-7: Summary of Economic Analysis Region Technology No. of

Completed Schemes Covered

for Review

Economic Internal Rate of Return

(EIRR) in %

Economic Net Present Value

(ENPV) @ 12%

(Rs. In Lakhs)

Benefit – Cost Ratio

(BCR)

Garhwal Region

Gravity & Hand pump 37 32.15% 421.08 2.72

Kumaon Region Gravity 42 35.67 487.30 3.07

Combined Gravity & Hand pump 79 33.89 908.37 2.89

(v) Time Saved due to Construction and Use of Latrines. Time savings due to the

construction of latrines and hence, avoidance of open defecation is calculated as equivalent to 18 minutes in the Garhwal and 33 minutes in the Kumaon region. On an average the time savings per person is estimated as 25 minutes per day. The time, thus, saved is converted into opportunity cost and it is estimated that Garhwal accounts for Rs. 7.27 lakhs and Kumaon accounts for Rs.14.11 lakhs. Thus, the average opportunity cost in terms of time saved for the surveyed households is to the tune of Rs. 3,563 per household per year.

On the basis of the cost benefit analysis, it can be concluded that completed project



is economically feasible and financially sustainable. Also, economic feasibility level for the completed schemes had improved considerably to the pre-project level assessment due to the following main reasons: • Reduction in project cost • Timely completion of projects • Considerable increase in the wage rate from the pre-assessment stage

27. Subcomponent C2. Sector Monitoring and Evaluation (M&E): The following are the M&E

systems carried out by the M&E unit in PMU. (i) Sector wide M&E System- physical and financial progress in delivery (ii) Periodic review to learn from field experience and provide strategic inputs. (iii) Sustainability M&E to track the long-term technical, financial, institutional, social

and environmental sustainability prospects of the schemes. (iv) Community monitoring to the help community members tracks the progress of their

schemes in all the phases of the project.

28. Review meetings is the most common form of mid course examination and correctional practice adopted by all sector agencies.

29. Referring to sector wide M&E system, for which PMU is responsible, the output depends

on the data sourced from UJN and UJS, which in most cases are not timely and delayed. Periodic review studies (Concurrent Monitoring) have to be undertaken by the PMU, making it applicable even to UJN and UJS schemes.

30. At the headquarter level, PMU has a dedicated team of five technical personnel for

undertaking and updating MIS, while this is limited to one- two data entry operators within UJN and UJS.

31. In order to strengthen the MIS process, the SIS platform needs to be streamlined among

UJS and UJN, which could be under the guidance and supervision of PMU, than having three separate entities. Also, the district level functionaries within UJN and UJS needs to be sufficiently trained in realizing need for timely information and in making adequate and accurate data entries.

32. During year 2009, two rounds of Concurrent Monitoring of Planning Phase were

undertaken covering habitations undertaken by all three sector agencies. The study highlights the grassroots issues faced by three sector agency habitations studied. The study brought about various deficiencies connected with community mobilization and planning especially by UJN and UJS. Financial monitoring is relatively well off with three agencies, though the process is hampered by lower availability of staffing with UJN and UJS.

D. Conclusion 33. Uttarakhand is the first state adopting sector wide approach in WATSAN in the whole of

India. Commencing in 2006 in an atmosphere of uncertainties, the URWSSP has attained lot more maturity today. The project has overcome some of the initial hiccups, sailing through three years of hard clime and delicate balancing between sectoral partners. Government directions, interventions and orders have provided the legal framework for



carrying forward SWAp. The URWSSP is receiving good support from the Government, especially at the Secretary and cabinet level. The stand of the political executive and larger polity in its support to URWSSP and SWAp is unequivocal and strong.

34. Considering SWAp as a first time development experiment, it has shocked and challenged

public water utilities out of their comfort zone. UJS and UJN were not part of Swajal pilot phase. For them, the SWAp is the first experience in a major change management process and did not have any experience with regard to facilitating community managed and demand driven water supply schemes. It takes time to bring personnel and institutions itself on board to accept changes. Apex and Policy levels of the Government of Uttarakhand has played constructive roles in carrying forward the process of SWAp through mediation, reviewing, monitoring and using good offices of the government. The role played by Secretary, Drinking Water, GoUK during the last one year plus in this regard is commendable.

35. The demand for the state of Uttarakhand was based on the urge to integrate three ‘J’s- Jal,

Jungle and Jameen. In the context of URWSSP, there is scope for adding another ‘J’ to the three already stated. The fourth ‘J’ is for Janatha. Thus, the political economy of the State in governing the water sector needs to integrate, water, forests, land and people, for which sectoral institutions have been formed. Necessary government orders have been issued and policy frameworks are prepared for facilitating the implementation of Sector Wide Approach. There is an overall policy environment for implementing the SWAp. To this must be added strategies to help the public sector utilities to change mindsets, attitudes and roles into that of a facilitator. SWSM needs to become an active institutional stakeholder in bringing about this change. The GoUK also needs to facilitate the process of political and economic decentralisation to create a larger favorable environment for realizing the changes anticipated in the SWAp.

36. The targets set at MTR stage is achieved by the sectoral partners. This achievement is only

around 10 to 15% in terms of physical and financial aspects. But there is a general feeling of optimism at SWSM, UJN, UJS and PMU and they express the hope that the targets set for them can be met. But beyond that hope of self confidence, UJN and UJS have to give a thought to how it can be achieved and what are the hurdles on the way. Detailed planning, work breakdown responsibilities need to be done against strict time frames. Impulsive and spasmodic management tendencies are prominent in both the UJN and UJS. PMU is a shade better, but needs more enhancements of capacities at the DPMU level, which is the cutting edge in their operational implementation. However, the general sense of commitment that prevails in the organization is praiseworthy.

37. The main strengths of SWAp- URWSSP are Transparency, Grassroots Democracy -

through community decision making, Community Procurement - Less Leakages and Corruption, Fund and Finance Management by Users, Improved Involvement of PRIs especially GPs, Involvement of NGOs and a Demystification of development experience, Technology and Management. Far from being a project that provides water, it is a radical experiment in deepening the democratic experience.

38. At the grassroots level, the community has proved that it is capable of participating in the

planning, designing, implementing and post-operational management of water supply schemes. The role of GP in this experiment is better today than Swajal pilot phase, but still needs drastic improvement. This improvement will depend up on two aspects: first, the personal strength, education, confidence and leadership qualities of the GP Pradhan and his board; second the political and economic decentralisation, the GoUK is ready to



introduce in the PRIs, giving it resources, powers and personnel. Where the first aspect, the personal capabilities and political will already exist, there it is already contributing to the efficient functioning of water supply schemes and their governance. The project receives lot of informal political support at the Block level. There is a working arrangement at the district level with frequent interactions between major players through formal and informal ways. The formal ways are the TRC, DWSC and the DWSM, facilitated by the DPMU Project Manager. Secretary, DDW has through his intervention brought about an informal institutional interaction on a weekly basis at the district / divisional level between UJN, UJS and DPMU. This has proved to be an extremely useful step in inter-institutional ice-breaking. At the State level, the integration between the sectoral institutions is still informal and nominal and in a way weak, when compared to the district level engagements. This needs strengthening and strong facilitation skills on the part of the head of the department of drinking water at the cabinet and bureaucratic levels. This is in a way a political will and commitment to reforms. Unless it is sustained over several years, the desired change at the level of key sectoral players will not become part of their behavior, thinking, mind set and attitudes. To put it in brief the forming and storming of SWAp are more or less complete. Norming and transforming have to take place now to go into full fledged institutional and sectoral reforms in the water sector.

39. Recommendations are provided in Chapter VI of this Report.



II. INTRODUCTION “Only when taps run dry, are those who live in the industrialized world reminded how

critical access to water is to all aspects of life. In less prosperous countries millions of people, most of them women, need no such reminder. They walk miles each day to find the water they need and carry it home.” Robert Engelman and Pamela LeRoy in “Population and the Future of Renewable Water Supplies”

A. Introduction and Background 40. 1980s was observed as the International Drinking Water Supply and Sanitation Decade by

the community of nations. Since then Governments, communities and non-governmental organizations began to pay focused attention to the provision of water supply and sanitation services in rural areas all over the world. India also is no exception to this. Significant evolution in thinking on rural water supply and sanitation has taken place in India since 1999, the year in which representatives of Government of India and several States met at Cochin, and made, what subsequently became popular as the ‘Cochin declaration’. The decade since 1999 witnessed significant evolution of thinking about water and sanitation services in rural areas. During this decade, ‘community demand-responsive development approaches’ to rural water supply and sanitation service provision were tested and demonstrated and proven superior to the erstwhile centralized, supply-driven, engineering focused approaches, especially in the search for sustainability of investments and service delivery systems.

41. Parallel to this, Indian States were witnessing political and economic decentralisation

efforts though in varying degrees of success following the historic 73rd and 74th amendment to the constitution. This made the local government a critical party to the management of water supply services. The establishment of Rajiv Gandhi National Drinking Water Mission 2003, (RGNDWM) gave further fillip to rural water supply and sanitation services in India. Besides this, the Government of India began to demonstrate a higher level of political commitment to the water and sanitation sector, especially in the rural areas. Since the RGNDWM days, the focus of the hitherto supply driven mode began to give way to focused attention to the issues relating to O&M, cost recovery, community participation, water resource management, water quality and delivery mechanisms. With this, there was a growing realization on the part of the Government of India that the needs of the poor and marginalized in schemes of water supply and sanitation deserved better and focused attention. In the case of sanitation sector, from the mere construction of latrines as physical structures, there was a shift in focus to bring about behavior change in sanitation.

42. Consequently, the ARWSP- Accelerated Rural Water Supply Program under the Rural

Development Ministry of Government of India was revamped and was rechristened into Sector Reforms Program (SRP). This major paradigm shift in thinking and policy, launched in 1999 incorporated the principles of (a) adoption of demand responsive approaches based empowerment, to ensure full participation in decision making, control, and management by communities, (b) shifting the role of governments from direct service provider to that of a facilitator in planning, policy formulation, monitoring and evaluation, and partial financial support, and (c) partial capital cost sharing, in either cash or kind or both, and 100 per cent responsibility of O & M by users. Sector Reforms was initially



undertaken in 67 districts across the country, and later scaled up country-wide as the new GoI-supported ‘Swajaldhara’ program. In parallel, the GoI-assisted Central Rural Sanitation Program (CRSP) was recast, using lessons from education and health campaigns, into a demand-driven ‘Total Sanitation Campaign’ (TSC) with behavioural change and demand generation, and reducing subsidies for physical provision, as key elements. The Tenth Plan envisaged 100 per cent coverage of rural and urban population with safe drinking water following a demand-responsive and PRI-centric approach. It also stressed on water management and source regeneration, water quality, cost-effective O & M strategies, and reorientation of RWSS agencies to ensure sustainability.

43. The GoI instituted a Memorandum of Understanding (MoU), to be signed between the

Union and State Governments with regard to central assistance for drinking water supply services and sanitation. Under this MoU, the state governments were required to clearly articulate a state-wide program of reforms in the RWSS sector to access Central Government funding, following water and sanitation sector reform principles. The GoI sought to incentivize the MoU process by (i) committing that by 2006, all RWSS funding will be channeled through Swajaldhara (the scaled-up successor of the SRP) and the TSC programs (ii) the MoU is a pre-condition to access loans for the RWSS sector as well as to access external assistance.

44. The contribution of the NGO sector to community mobilization and participation

methodologies was recognized since 1990s. There was an increasing trend of applying the participatory methodologies to development programs which attracted the attention of the world bodies and national governments. The role of the government began to be looked at from different perspectives from that of a supplier –provider to that of a facilitator, focusing more on policymaking, regulation, training, and monitoring, in a wide spectrum of development, including that of water supply and sanitation. Under this new approach, the national and regional governments would create a congenial atmosphere for development, while providing for an enhanced role for the local governments and community-based organizations.

45. The World Bank has been a significant institutional partner in the Indian efforts to reorient

the rural water supply and sanitation sector here. Commencing in the mid 1990s, a few Indian States such as Uttar Pradesh, Uttarakhand, Kerala, Maharashtra and Karnataka experimented with rural water supply and sanitation projects that are founded on the principles of ‘Demand Responsive Approaches (DRA) and Community Driven Development (CDD)’. One of the first such Rural Water Supply and Sanitation Projects was planned and implemented in the State of Uttar Pradesh and subsequently with the bifurcation of the State, in Uttarakhand. The project covered 12 districts of Kumaon and Garhwal regions and seven districts in Bundelkhand region of the undivided Uttar Pradesh. This project covered 325 villages. Commencing the project in 1996, it concluded after six years in 2002. Meanwhile, in the year, 2000, the districts of Kumaon and Garhwal regions were carved out of Uttar Pradesh to form the State of Uttranchal, subsequently rechristened as ‘Uttarakhand’ in 2007. The State of Uttarakhand continued the ‘Swajal’ project and completed it in 2003. However, after the bifurcation of the State in 2000, a separate autonomous society by name "Uttaranchal Rural Water Supply and Environmental Sanitation (Swajal) Society" was registered under the Societies Registration Act (SRA-1860) on 5th March, 2001 for the management of Swajal Project in the Uttarakhand State. This Society, most commonly referred to easy popular acronyms like ‘Swajal’ and ‘PMU’ is a Special Purpose Vehicle under the Department of Drinking Water Supply, Govt. of Uttarakhand. The State level Coordination Unit of the Society is called Project Management Unit (PMU) and there are thirteen district level District Project



Management Units (DPMUs) located at Dehradun, Uttarkashi, Srinagar (Pauri), Chamoli, Haridwar, Bhimtal (Nainital), Almora, Bageshwar, Pithoragarh, Udham Singh Nagar, Rudraprayag, Champawat and Tehri.

46. The Implementation Completion Report (ICR) of the Swajal Project was prepared by the

India Country Office of the World Bank in 2003. As per the ICR, “the rating for the Rural Water Supply and Environmental Sanitation Project for Uttar Pradesh and Uttarakhand were as follows: the outcome was satisfactory; the sustainability was likely, the institutional development impact was substantial, and the Bank and borrower performance were both satisfactory. The lessons learnt indicate that in order to facilitate progress monitoring and measuring of the Project objective achievements, it is crucial to formulate the development objectives clearly. The objectives should be simple, focusing on the Project's principal outcomes that are direct results of the activities financed by the Project. The Project achieved satisfactory and sustainable outcomes primarily because it empowered the communities and women stakeholders through making them the decision makers and operators of the infrastructure schemes. Such empowerment efforts have led to the choice of more affordable and appropriate technological options that are better suited to the needs of the villages, reduction of drudgery, and increase in the villagers' ownership and motivation to perform Operation and Maintenance (O&M) of the schemes. Government of Uttaranchal plans to scale up the Swajal concept throughout the state”.

47. After closure of Swajal pilot phase, the GoUK took a decision that the PMU and eight

DPMUs established under the pilot phase will continue with the funding from State Government. Given the success and lessons learned from the pilot phase, the GoUK approached the World Bank for a follow-on project for Swajal. Accordingly a project proposal was prepared and submitted to the World Bank through GoI. Uttarakhand Rural Water Supply and Sanitation Project (URWSSP), the follow on program is actually known as Sector Wide Approach (SWAp) in the Rural Water Supply and Sanitation Sector of Uttarakhand and is jointly implemented by PMU, Uttarakhand Jal Sansthan (UJS) and Uttarakhand Peyjal Nigam (UJN). SWAp is jointly financed by the World Bank, Govt. of India, Government of Uttarakhand and the beneficiary community based User Groups. Though the negotiations of SWAp reached final concluding stages by early April, 2006, it could be signed only on 16th October, 2006. The credit for SWAp became effective from 30th November, 2006, providing for retrospective reimbursable financing conditions for the period the between 1st January, 2006 to 15th October, 2006. ‘SWAp’ completes three years in October, 2009.

48. The URWSSP on behalf of GoUK has decided to conduct a Mid Term Review (MTR) of

the Sector Wide Approach (SWAp). The task of facilitating the processes and preparing the MTR Report has been entrusted to Wilbur Smith Associates, a firm based in Bangalore. This report results from the MTR of ‘SWAp’ conducted by Wilbur Smith Associates.

B. Objectives of the Mid Term Review 49. Main Objective. The main objective of the MTR was to analyze the project

implementation experience and advice regarding the design of the remainder period of the project. Taking into consideration the Project Appraisal Document (PAD) and the baseline situation, the proposed study reviewed the project’s implementation progress with respect to physical achievements, policy and institutional aspects. MTR used a combination of available data with the three implementing agencies along with a specially designed



sample scheme and household survey, for assessing the achievements so far and future direction for the project. Key stakeholders, including implementing agencies and concerned GoUK officials, Panchayati Raj Institutions, Support Organizations, Communities and beneficiary households were consulted during all stages of the analysis.

50. The attainment of the overall objective was verified by the following key indicators

(i) Behavior change among stakeholders (ii) Timely completion of the program (iii) Cost effectiveness and sustainability of the service provisions. (iv) Increase in the number of population having access to improved water supply

services. (v) Level of satisfaction among participating communities. (vi) Increase in the number of households adopting improved hygiene and sanitation

practices in the state. (vii) Improved financial performance of the water supply schemes (viii) O&M cost recovery through tariffs in SVS.

51. The Mid-Term Review assessed the following separate issues:

(i) The general relevance, effectiveness, efficiency and impact of URWSSP including the extent to which the benefits of URWSSP are likely to be sustainable in the medium and long term, coming up with recommendations on possible changes and revisions in the approaches, objectives, organization, management systems, activities and expected results to be implemented during the remaining time of the project and for a possible second phase of the project.

(ii) Analysis of policy environment, financial sustainability, institutional sustainability, socio-cultural sensitivity and sustainability, participation and ownership, and gender issue.

(iii) MTR also looked at the relevance, effectiveness and efficiency of the URWSSP. (iv) The relevance and validity of project objectives, expected results, approach and

scope and the extent to which they need to be revised in relation to the GoI’s national policies and GoUK’s development plans.

(v) Examined changes in the project’s external and internal environment and how it has affected the relevance of the project since the approval of the Project Document and the onset of the implementation.

(vi) Examined how the work plans have been adequately adapted to new situation and decisions taken accordingly through the proper decision making system of the project.

(vii) Examined how the needs and aspirations of the relevant project actors been taken into consideration in the planning and implementation of project activities.

(vii) Further to assess the extent to which the project has contributed to the achievement of the defined objectives and the progress from the beginning of URWSSP towards its defined purpose and expected results.

(ix) To assess and forecast whether the project is likely to achieve its objectives/ purpose during its life time.

(x) To identify the factors (if any) which have facilitated or impeded the progress of the project in achieving the intended objectives, results and impacts and the major



obstacles preventing the attainment of objectives (xi) To ascertain the attitude and views of the various beneficiaries and other interest

groups with regard to the progress made in the project and its up-to-date achievements.

(xii) To assess tangible results at policy or strategic or practical level towards fulfillment of project objectives.

(xiii) To assess the efficiency, i.e. how cost-effectively the available financial and other means have been converted into results.

(xiv) To examine whether the quantity and quality of the project’s results justify the quantity and quality of the means, assets and resources used for their achievement?

(xv) To assess whether the local and external human, material and financial resources, which have been made available for the project, been appropriate in terms of quantity and quality of achievement?

(xvi) To assess whether the time and resources that have been allocated to the various project components and activities in a planned, balanced and justified manner.

52. Major Tasks of the Mid Term Review. Following major tasks have been included in the

scope of the MTR. ToR is attached as Appendix 1. (i) Physical Progress and Achievements. An assessment of the achievements,

implementation problems, areas of concern and possible solutions for improving rural water supply and sanitation services by the three implementing agencies.

(ii) Technical Design Aspects. A sample check of representative schemes was carried out to provide an independent assessment of the technical design aspects including functionality and sustainability of schemes. The study also recommends measures that can be taken up to improve the scheme design and performance.

(iii) Institutional Design for Service Delivery. The institutions at the State, district, and village levels are reviewed and recommendations made for strengthening and improving these institutions.

(iv) RWSS Policy. The on-going SWAp vs. alternative approaches was considered for informing any changes in the design of the project. The policies for capital cost contributions and O&M contributions, including their efficacy and weaknesses are examined and recommendations made for improvements.

(v) Project Planning, Appraisal and Approval Processes. Existing practices will be reviewed and recommendations made on how these can be strengthened.

(vi) Fund Flow. The existing fund flow verses alternative arrangements were analyzed for future directions.

(vii) Financial Management. Financial Management processes, including budgeting, accounting and auditing processes are reviewed and recommendations made on how to make these more efficient.

(viii) Procurement. The project procurement arrangements was reviewed to assess whether they are in line with the agreed procedures for improving transparency, competiveness and efficiency, and recommendations made for further improvements.

(ix) Environmental and Sanitation Aspects. Environment and sanitation aspects including source sustainability, safe disposal of wastewater, household sanitation and hygiene aspects, and solid and liquid waste management at the village level



were reviewed and recommendations made on how to improve these. (x) Social Assessment. Social Assessment, including an assessment of the stakeholders,

major beneficiaries, and inclusive of stakeholder’s gender related issues, to provide a better understanding of who are benefiting from improved services and whether the services are equitable.

(xi) Capacity Building Activities. Capacity Building Activities are reviewed, including quality and effectiveness of the programs and training modules.

(xii) Communication Strategy. Communication strategy was reviewed and recommendation made on how to improve IEC tools and programs.

(xiii) Monitoring and Evaluation. Data and M&E formats will be reviewed to recommend improvements.

(xiv) Beneficiary Satisfaction /Social Audits. An independent survey of 600 households was undertaken to provide an assessment of the beneficiary satisfaction. To the extent possible, the scheme and household survey was coordinated for analyzing the supply and demand side information for each scheme.

(xv) Political Economy and Other Constraints. Political economy and other constraints are examined with recommendations for stakeholders analysis solving problems at all levels.

(xvi) Economic Analysis / ERR.

C. Scope of Work and Methodology of MTR 53. 60 representative habitations where devolution of existing and construction of new Single

Village Schemes (SVS) have been carried out under Sector Program were visited and data collected to arrive at conclusions and recommendations at MTR stage. The study covered 10 habitations of Jal Sansthan, 8 habitations of UJN and 42 habitations of PMU-Swajal. The household survey conducted in the above habitations covered 600 representative beneficiary households.

54. Overall, this study provides a comprehensive documentation of the implementation

progress of the project, till date. Measures to be adopted to strengthen the project activities for improving effectiveness are suggested. The MTR has analysed the general project progress, organizational, financial and institutional set up and practical project management by the stakeholders. The Study Team for the MTR are given below.

Table II-1: Study Team for MTR Name of Team Member Firm Area of Expertise Position Kurian, P.K. WSA Rural Water Supply and Sanitation

Specialist Team Leader

Jayakumar D. WSA Civil Engineer Water Supply and Sanitation Specialist

Meera, M. WSA Community Development Social Scientist Boominathan, M WSA Economist and Financial Analysis Economist Indulal, K.V. WSA Environmental & Solid Waste

Management Environmental Expert

Sachin, N WSA Financial & Accounting Financial Analyst 55. Besides other professionals include - Terry Thomas, Hariprasad, A.M, Satyasai Tata,

V.N.K., Achyutha Rao Aleti, Jonwal, B.L., who assisted in various capacities.



1. Methodology and Processes 56. As illustrated below, the methodology of the MTR can be categorized into four major

steps. These include

i) Preparation of study design ii) Consultations and field level enquiries iii) Analysis of data iv) Drawing findings, learning’s and conclude into Final Report.

57. Preparation of Study Design: The design of MTR was prepared through a series of

processes, which among other things consisted of the following;

(i) Review of Secondary Information. The WSA Team collected preliminary and project related technical information furnished by the client and other departments. This included temporal and spatial unit wise data on the progress of the Project.

Preparatory Processes & Study

Design

Review of Secondary Information

Reconnaissance Survey

Workshop with Project Managers and Key Staff of

PMU

Consultations with Key Stakeholders in the SWAp

Framework

Detailed consultation with SWSM, UJN and UJS

Finalizing the Study Design

Designing the Tools and methods and pretesting

Inception Report Report on Stakeholder Workshop

Draft Final Report

Final Report

Feedback Sessions -Individual and Group

Drawing Findings, Learning’s and

Reporting

Team Reflections

Presentation of DFR

Feedback from Stakeholders

Analysis of Data

Analysis of Structure andInstitutional Framework

Analysis of M&E Systems

Analysis of Physical Progress

Analysis of Financial Progress

Economic Analysis

Analysis of Processes and Methods

Household Survey & Village Transects

Stakeholder Workshop

Consultations and Field Level Enquiries

Technical Audit

Environmental Audit

Key Informant Interview

Focus Group Discussion s



WSA Team also referred to the relevant and readily available Census/secondary information, which among other things included demographic, socio-economic, health, education and infrastructure related information.

(ii) Reconnaissance Survey. At the inception stage, the WSA Team conducted reconnaissance survey in sample habilitations to understand the field level situations and to interact with the operating staff and the community so as to use the insights in designing the study and preparing apt methods for the study.

(iii) Workshop with Project Managers and Key Staff of PMU. A workshop was organized at PMU with Project Managers from the DPMUs and key staff members of PMU to analyse the strengths and weaknesses of Swajal project as well as take stock of the project progress and make a projection of achievement for the remaining outputs in the project plan. The workshop was held on 26th August, 2009 at Conference Hall, PMU

(iv) Consultations with Key Stakeholders in the SWAp Framework. Consultations with the following officials were conducted during the MTR process.

Table II-2: Consultations with Officials during MTR Process Sr. No Name Designation Organization

1 Mr. M.H. Khan IAS Secretary- DDW GoUK 2 Mr. Amit Negi IAS Addl.-Secretary DDW GoUK 3 Mr. Kapil Lall IFS Director PMU 4 Er. H.P. Uniyal Chief General Manager UJS 5 Er. R. N. Verma Managing Director UJN 6 Er. J.S. Kushwaha Chief Engineer SWSM 7 Er. V. K.Sinha General Manager UJS 8 Mr. B. K. Das Finance Controller PMU 9 Er. P. C. Kimothi Secretary Appraisal UJS 10 Er. S. K. Semwal General Manager SWAp UJN 11 Er. C.M. Dimri Superintendent Engineer UJN 12 Mr. S. K. Gupta Director -Administration UJS 13 Mr. K.B. Shah Unit Coordinator M& E PMU 14 Mr. Anil Purohit Manager Accounts PMU 15 Mr. Ramesh Singh Chauhan M & E Specialist PMU 16 Mr. Suresh Khanduri Environmental Specialist PMU 17 Mr. R.S. Bhandari Social Development Specialist PMU 18 Er. Dilip Agarwal Technical Consultant DPMU Dehradun 19 Er. Kishan Singh Rawat Project Manager DPMU DPMU Dehradun 20 Mr. Birendra Bhatt Social Development Specialist DPMU Dehradun 21 Mr. B.C. Ramola Project Manager DPMU Tehri 22 Mr. P.K. Gupta Accounts Officer UJS 23 Er. R. P. Pujari Asst. Executive Engineer UJN 24 Mr. Muninder Badoni Environmental Specialist DPMU Rudraprayag 25 Mr. R. K. Rejwar UC-Technical PMU 26 Mr. S.A.Murugeshan IAS Chief Development Officer Tehri Garhwal 27 Er. Rajeswar Prasad Superintendent Engineer UJN 28 Er. R.K. Sangal Executive Engineer UJN 29 Dr.Ramesh Badola Environmental Specialist DPMU Chamoli

(v) Designing the Tools and Methods and Pretesting. Draft questionnaire schedules

were prepared and pretested in the field before finalizing them. The WSA Team



picked up two random sample habitations to undertake pilot survey. All professional staff and support staff were involved in this survey. WSA made necessary modification and changes on the basis of pretesting and feedback and finalized survey formats in discussion with the Client. The study used a mix of qualitative and quantitative methods to collect data. The data collection was based on participatory approaches throughout the study process. PRA tools like direct observation, household level interaction, focus group discussions, transect study tours and key informant interviews were conducted in the study process.

(vi) Finalizing the Study Design. The design of the study mainly focused on selection of samples in the survey for households and water supply schemes. A total of 60 water supply schemes and 600 beneficiary households were surveyed under the MTR. 67% of the water supply schemes and households were from the PMU-Swajal, while UJN and UJS together accounted for 33% of the households and schemes. Beneficiary households were selected through Random Sample Selection method. The list of total schemes commissioned and the sample is presented below-

Table II-3: List of Completed Schemes with Sample Selected Sr. No District Sample Selected

PMU UJN UJS Total District 1 Almora 3 1 42 Bageshwar 5 1 3 93 Chamoli 9 1 104 Champawat 3 35 Dehradun 5 2 76 Nainital 4 2 2 87 Pauri Garhwal 2 28 Pithoragarh 3 1 49 Rudra Prayag 2 210 Tehri Garhwal 3 3 1 711 U S Nagar 1 112 Uttarkashi 2 1 313 Haridwar - - - - Total 42 10 8 60

(vii) WSA employed trained and dedicated as well as competent staff conversant with

local language and culture to carry out the field survey. The survey team consisted of both men and women. The survey team also had investigators from technical side (civil engineering) who have sufficient understanding of the water and sanitation related aspects, especially relating to planning, estimation, construction, operation and maintenance of schemes. The WSA provided rigorous training program for the survey team in various aspects of survey. This included training them in conducting the survey as well as getting them acquainted with the hardware component of the project. The training was held at indoors for the theoretical and conceptual issues and on field for practical demonstration. Team Leader guided the training programs with the help of other professional and support staff of WSA.

(viii) An Inception Report containing the methodology and work plan was prepared and

presented at the end of the “Preparation of Study Design” stage.



(ix) Consultations and Field Level Enquiries (Stage -II). After finalizing the tools for the study and the study design, WSA Team administered the field enquiries and consultations. The field enquiry consisted of household level survey, focus group discussions and Key Informant Interviews. Households enjoying water supply service from any of the three service providers were visited and their feedback to questions forming part of the survey schedule was collected. The WSA Team undertook a village transects to understand the physical layout of the scheme and the distance of water supply points from the households. Good manners in social survey were always consciously maintained throughout the household and village surveys.

(x) The Technical Team conducted a technical audit of the sample scheme parallel to the social survey of the households. DPRs, technical details, designs, functionality and sustainability of the water supply schemes at sample locations were examined by the Technical Team. This audit considered aspects such as ‘Infrastructure functioning and use: engineering designs, quantity, quality, reliability, and equitable access and user perceptions, among other things. The survey teams met the Gram Pradhan, Village Water and Sanitation Committee, office bearers of the UWSSC to hold focus group discussions and key informant interviews to develop indepth understanding of the water supply schemes and the behaviour of the beneficiary households to the same.

(xi) Environmental Specialist of the WSA Team conducted an environmental audit of the environment management aspects related to the water supply schemes. Environmental Audit compared provisions provided into the PAD, revised targets and objectives of the project to arrive at conclusions and recommendations with regard to the Environmental aspects.

(xii) A Stakeholder Workshop was organized on 16th September, 2009 at ‘Manthan’- Conference facility of the Forest Department at Dehradun. A total of 119 persons participated in the Stakeholder Workshop representing the stakeholder segments depicted below. The Stakeholder Workshop ensured active participation of stakeholder interests especially from the grassroots level along with other sectoral representation. There were two key Group Discussions in the Stakeholder Workshop. The first Group Discussion was a general assessment of the actors and factors responsible for the success of the project. It also reviewed the obstacles faced by stakeholders in the process of implementing the project. This was followed by a second group discussion in the world café model and this exclusively focused on the inter-stakeholder relations in the context of SWAp. The summary of contents and the processes of the group discussion were presented in a plenary session. Mr. M.H. Khan, IAS, Secretary, Department of Drinking Water addressed the opening session of the Stakeholder workshop. He also made it a point to interact with the Gram Pradhans and representatives of UWSSCs and Support Organizations in the workshop.



Participation of various stakeholders in the workshop (nos)

3025

17 16 15

8

1

PMU UWSSC NGO UJS GP UJN SWSM

(xiii) A special interactive discussion was held with Mr. M.H. Khan IAS and Mr. Amit Negi IAS, Secretary and Additional Secretary, Department of Drinking Water GoUK on 17th September, 2009 at PMU. Chief Engineer- SWSM, Director PMU, Nodal Officer- UJN, Additional Project Director - PMU, Finance Controller- PMU, and other unit coordinators also participated in this discussion. Policy level issues and factors of the SWAp program were discussed in detail with the Secretary, DDW.

(xiv) Analysis of Data (Stage -III). The third stage in the MTR was the analysis of data and information from field level surveys and interactions with groups and individuals. As part of the analysis, we also undertook an analysis of the Structure and Institutional Framework under URWSSP and its various sectoral partners besides looking analytically at the M&E Systems used in the project. The WSA Team used computerized packages for data entry and analysis. Qualitative and non-tangible entries are rightly judged and tagged with respective quantitative values in consultation with the core task members. Data analysis at various levels, household, GP, District and finally at State level have been undertaken and comparative assessment made. The Team cross linked the project schedules prepared and analysed the same against the actual delivery processes. The assessment examined the procedure adopted at large across the program in financial management and procedures followed. This included an overall assessment of the financial management information system in place. Economic analysis was conducted to understand the project benefits by an expert member in the team. The Team reviewed the project structure and institutional framework against the PAD and prepared the evaluation matrix which formed the basis for the stakeholder assessment. The Team reviewed the monitoring, evaluation and the internal learning mechanisms in place and prepared a matrix which highlights the status as on date. Social compliance aspects of URWSSP was analysed and this mainly focused on equitable access of Project to various groups and communities with special emphasis on women’s and marginalized household’s access to improved services.

(xv) Arriving at Findings, Learnings and Report - (Stage -IV). The key methods and processes at the fourth stage included Team Reflections, Feedback Sessions from Individuals and Group Workshops, Presentation of DFR, Feedback from Stakeholders and Submission of Final Report. The WSA Team which conducted and facilitated the MTR held number of team reflection sessions after each micro milestone in the process of MTR. Team reflections helped in developing insights and drawing learnings on the MTR exercise. Draft report and conclusions drawn out of the MTR



process was shared with the key sectoral institutional actors and their feedback was collected before finalizing the report. One of the key feedback inputs came from the combined stakeholder meeting consisting of the representatives of the World Bank, UJN, UJS, PMU and SWSM. Useful feedback on the draft MTR was given by this combined stakeholder review meeting. On the basis of the total feedback and team reflections, the WSA Team finalised the MTR, compiling data and analysis in areas of institutional, financial, physical assessment to prepare final report on Mid Term Review of Uttarakhand Rural Water Supply and Sanitation Project. The report provides insights on current operational performance of various schemes, issues in implementation, operation, and community participation, perception and satisfaction levels for service levels for various income groups, institutional and financial performance of the project.

58. Structure of the Report. Chapter I and II provide Executive Summary and Introduction

respectively, and content in subsequent chapters is depicted below- (i) Chapter III presents RWSS Development, which among other things includes

Capacity building, IEC, Sector information and related aspects. (iii) Chapter IV analyses the details of RWSS Infrastructure and related aspects. (iv) Chapter V presents an overview of RWSS Program Management Support and

M&E. (v) Chapter VI summarizes the conclusions, observations and recommendations of the

MTR.

59. Period of the Study. The MTR process began on 18 August 2009 and concluded in October, 2009. The table given below provides details of the work plan with regard to the MTR.

Table II-4 Work Plan for the MTR Main Activities and Sub-Activities

Wee

k 1

Wee

k 2

Wee

k 3

Wee

k 4

Wee

k 5

Wee

k 6

Wee

k 7

Stakeholder consultations Submission of work plan to Swajal Collection & Review of Information from SWAJAL,UJN,UJS

SWSM level consultations SWAJAL PMU level consultations, incl. internal review UJN Consultations & Review UJS Consultations & Review DPMU, DWSM Level Review

Analysis of the Institutional Framework Analysis of Project Structure and Institutional Framework

Analysis of the project financial structure Analyzes of project implementation and Monitoring and Evaluation Mechanism

Surveys, Investigation and Analysis Undertake Sample Screening and Selection Design Survey Questionnaires and Protocol Selection and Training of Survey Team



Main Activities and Sub-Activities

Wee

k 1

Wee

k 2

Wee

k 3

Wee

k 4

Wee

k 5

Wee

k 6

Wee

k 7

Conduct Household Survey and other data collection Conduct SVS/ MVS operational assessment survey Conduct Technical Audit of Sample Schemes Data Analysis

Environmental and Social Compliance Examination of environmental safe guards and social compliance

Economic and Financial Analysis Financial and economical analysis

Reporting Inception Report Stakeholder Workshop Draft Final Report Final Report



III. RURAL WATER SUPPLY AND SANITATION DEVELOPMENT

A. Capacity-Building and Strengthening Programs as Envisaged by PAD (A1) 60. The success of SWAp in the rural water sector depends to a great extent on the capacity of

the project partners from the lower to the higher level. The PAD and the Operations Manual envisages four broad categories of stakeholders under capacity building. These are stakeholders at (a) Apex level, (b) Strategic level, (c) Intermediary level and (d) Grass root level as given in the table below-

Table III-1: Type of Capacity Building Programs as envisaged in the PAD and Operations

Manual Sr. No

Stakeholder Categories

Stakeholder Group Type of Programs Planned

1 Apex Ministers MLAs MPs Officials -Policy making SWSM Officials

-Policy making, -Sector planning, -Sector monitoring, -Management of Sector Programs, -Policy implementation, -Skill development, -Motivational programmes, -Procurement, -Financial management.

2 Strategic Level

PMU UJN UJS DWSM DWSC ZP DPMU Lead Training Institutions (LTIs)

-Programme orientation, -Programme implementation, -Skill Enhancement, -Motivational Programmes, -Experience sharing, -Team Building, -Planning of Water Supply Scheme, -Implementation of Water Supply Scheme, -Financial & accounts management, -Procurement, -Community development, -Health and hygiene, -Project management. -Change management -Demand-driven and participatory approach, -Community mobilization.

3 Intermediate Level

Pramukh - KP Up Pramukh - KP Gram Prdhans BDO - KP ADO - KP Regional Training Institutions (RTIs) Support Organizations

-Institutional arrangement, roles and responsibilities.

4 Grass Root Level

GP UWSSC Women SHGs

-GP Action Plan, -Water supply plan -Community cash and labour contribution plan,



Sr. No


Stakeholder Group Type of Programs Planned

MIPG

-O&M -M&E plan for WSS -Environmental Sanitation Plan -M&E plan (latrine, compost, garbage & soak pit) -Catchment Area Management Plan (tech) - CEP, WDI, MDIP, SCDIP

61. Thus the distribution of capacity building programmes between various stakeholder groups

at different levels is well envisaged and included in the key documents of the programme. However, when it comes to an assessment of the capacity building initiatives at various levels it is found that the achievements in this regard is not balanced between various sectoral institutions and category of stakeholders. The actual achievement in capacity building is captured under each of the above segment is summarised and presented here.

1. Apex/ Policy Level 62. Apex and Policy level stakeholders provide conceptual leadership and are involved in

policy making at the state water sector. Though this is the ideal situation, the number of capacity building programs addressed to this group is far less. No programs of any sort are organized for the Ministers of the State Cabinet, Members of Parliament and Members of the Legislative Assembly. However, it is seen that an orientation program in SWAp and yet another program in Change Management are provided to the officials at the higher level. The total achievement in terms of persons trained and person days of training are provided below.

Table III-2: Apex/ Policy Level -Actual Achievement

63. The program in change management has been mainly organized for the officials of public

water utilities such as UJN UJS at the Lal Bahdur Shastri Academy of Administration-Mussorie.

2. Strategic (State Level) 64. A total of 92 training programs were held at the State Strategic level, of which the PMU

Sr. No


Programs Title No. of Programs

No. of Participants

Total Person Days Achieved

1 Ministers - Nil 2 MPs - Nil 3 MLAs - Nil 4 Officials - Policy

making -Orientation in SWAp -Change Management -Procurement Procedures

5 118 215

5 SWSM - 1 1 1 Total 6 119 216



officials exclusively participated in 56 programs, while PMU officials attended 4 programs jointly organised for PMU, UJN and UJS. UJN officials attended 7 programs exclusively and 20 programmes with UJS and 4 programmes with PMU and UJS. UJS Officials attended 5 programmes exclusively and 20 programmes with UJN and 4 programmes with UJN and PMU. The total number of participants and person days of training achieved is depicted in table next. Participation of sectoral institutions in capacity building shows that PMU has participated in 65% of the capacity building programmes, while the participation of UJN and UJS in this regard is comparatively less.

Table III-3: Training Programs at State Level

Sr. No Stakeholder Category

No. of programs No. of Participants

Total Person Days achieved

1 PMU 56 2 UJN 27 2,074 2,289 3 UJS 22

3. Intermediate Level 65. Eleven programs were organized for the Intermediate sector of stakeholders. Four of these

were exposure visits to other States such as Kerala and Maharashtra, which were implementing rural water sector programs that belong to the new generation mode. A group of 20 Gram Pradhans visited the State of Maharashtra in the month of June and September, 2007, while the Presidents of Zilla Parishads visited the World Bank aided Jalanidhi Project in Kerala. Details of the achievement in training at Intermediate level are given below.

Table III-4: Training Programs at Intermediate Level

4. Grassroots Level 66. Largest number of programmes was conducted at the grassroots level, which totaled 4,224

programmes, 86,749 persons and 94,904 person days. The participants in these programmes hailed from User Groups, Support Organisations, Panchayathi Raj Institutions, Anganwadies and other junior level technical personnel.

Stakeholders Type of Programs Conducted

No. of Programs No. of Participants


ZP Chairpersons, Block Panchayat Pramukhs, Gram Pradhans ect.

Exposure Visits and Class Room Trainings

11 805 1,514



Table III-5: Training Programs at Grassroots Level

67. An overall assessment of the achievements in capacity building reveal that there is a

concentration of programmes and events at the grassroots level, while it is far less at the Intermediate, Strategic and Apex levels. The following table summarizes the total achievement in capacity building under the SWAp since 2006 till date.

Table III-6: Actual overall achievement in Capacity Building during 2006-2009

68. Financial Achievement in Capacity-Building and Strengthening Programs. A total of

Rs.465.6 lakhs was budgeted for capacity building until MTR. Against this target, the actual achievement is only to the tune of Rs. 86.4 lakhs and works out to 19 % of the budgeted target.

69. Observations.

(i) There is tremendous scope for providing more training/ capacity building programmes at apex and policy, strategic and intermediate levels.

(ii) The achievement under capacity building is good for the grassroots and intermediate level of Swajal-PMU, while it is very moderate at the strategic and apex level across all partners.

(iii) Grassroots level training under UJN and UJS supported SVS and Devolution communities need thorough modification and improvement.

70. Suggestions and Recommendations.

(i) The Calendar for Capacity Building may be modified and rationalized on the basis of the experience gained in the last three years and capacities built. It is desirable to modify the Master Training Calendar and make a planning for the remainder of the project period. An experience sharing workshop may be held with the participation of GPs, SOs, DPMUs, UJN and UJS for assessing the experience and preparing a rationalized training plan.

(ii) An Inter-State project sharing of experience workshop may be organised for the MLAs/ MPs/ ZPPs, Ministers and Policy level officials on new generation drinking

Sr. No


Type of Programs Conducted

No. of Programs

No. of Participants


1 UWSSC

Exposure Visits and Class Room Trainings

4,224 86,749 94,904

2 SO 3 PRI members 4 Junior Engineers 5 Anganwadi

Workers

Sr. No

Stakeholder Level No. of Programs No. of Participants Total Person Days achieved

1 Apex/Policy 5 118 1182 Strategic 93 2074 2,2893 Intermediate 11 805 1,5144 Grassroots 4,224 86,749 94,9045 General 1,032 85,777 88,386

Total 5,365 1,75,523 1,87,211



water supply schemes, with Swajal and SWAp in focus. (iii) Officials at the Strategic level may be oriented and exposed to Project Planning &

Management, Change and Conflict Management, Case Study Building and Knowledge generation.

(iv) A media workshop may be organised, taking select group of Journalists to villages that have successfully implemented and maintaining a community water supply scheme/s, a direct interactive meeting with the villagers/ community arranged and resultant stories published in print and electronic media with prominence for a week.

(v) A Master Training Calendar, focusing on the project cycle events and commensurate capacity building and rationalizing requirements may be prepared for the remainder of the project. A major input proposed in the master training calendar is to include experience sharing by users, UWSSCs, Gram Pradhans, SO Team Leaders etc.

B. Communication Strategy and IEC for Sector Wide Approach (SWAp) (A2) 71. As per PAD, IEC aims at supporting and facilitating the sector program by disseminating

the relevant information amongst all stakeholders. Under this subcomponent, the communication outreach was developed during project preparation. Specific activities in the IEC include activities based on electronic media such as Radio and TV, print media events and other printed materials. Specific activities under IEC have the following objectives;

(i) IEC dedicated to promoting behavioral changes among all stakeholders toward

improved sanitation and hygiene practices. (ii) IEC aimed at empowering the rural poor in their interactions with partnering

institutions in the development process under a decentralized environment and Institutional strengthening

(iii) Development of manuals, handbooks, field books, etc., on scheme cycles and non-

negotiables, incorporating lessons learned from earlier batches. (iv) Biannual newsletter will be produced in Hindi and English to report the program

activities in the villages to all stakeholders, and annual water and sanitation fairs will be organized.

72. The Communication and Capacity Development Unit (CCDU) established at PMU is

managing all IEC and capacity building related activities within SWAp. This applies to activities related to Total Sanitation Campaign as well. An overall review on the IEC materials is depicted below. Overall list of project related documents is given in Appendix 8



Table III-7: Status of IEC Produced and Observations: (Print Media) Sr. No

Item Message Target group Observation Sample

1. Booklet on health and hygiene

Safe handling of portable water, cleanliness near stand post and its maintenance

UWSSC, SHG, School Children

-Pictorial and story based

-Effective amongst local groups

-Effective line drawings

2. Booklet on TSC

TSC guideline, implementation procedures, roles & responsibilities of various stakeholders, technical guideline, options for construction of toilets, successful case studies, etc.

Trainers, SOs, Officials

-Compilation of several messages in one booklet

-Need to separate slogans, successful case studies, and NGP achievements in separate publications

-Make a technical guideline for trainers and officials

3. Leaflet Information of TSC

Stakeholders, Gram Pradhan, Visitors, SO’s

-Improvement in design layout is suggested to make it more attractive

-Need to revise the contents within leaflet: details of DMPU, table on batch-wise details etc.

-Information on taskforce is only from Dehradun.

-Text in table can be written in brief along with components.



Sr. No


4. Leaflet Details of SWSM: roles and responsibilities

Stakeholders, Officials, Visitors.


5. Leaflet in Hindi and English

PMU: The Swajal Project

As above -Improvement in design layout is suggested to make it more attractive

-Swajal/SWAp is an integrated approach. But material is named after PMU: the Swajal project. Change in heading is suggested and to make it more comprehensive

-Revision in contents is suggested.

-Information on UJN, UJS to be included

6. Booklet Informal education

Manual for trainers, Local groups

-Published in Swajal pilot phase and having less relevance for its use in SWAp/URWSSP.



Sr. No


7. Booklet Technology option in sanitation, use of toilets,

UWSSC, Masons, Trainers

-Messages on use of toilets, appeal and safe disposal of infant feces to be separated from this booklet.

8. Leaflet TSC Stakeholders, Visitors


-Content restructuring is suggested

9. Leaflet SWAJAL Program details

Stakeholders,visitors

-Cover page is attractive

-Uttranchal rajya mai…..written in all publication can be reframed as mission/vision statement

-Restructuring in contents is suggested

-Include information of role of UJS and UJN

10. Booklet SWAJAL Sathi ke Karnamai

UWWSSC, SHG, others groups

-Pictorial story based,

-Effective amongst local groups

-Effective line drawings



Sr. No


11. Posters

(8 nos.)

Hand washing, sanitation models, hygienic use of sanitation facilities, healthy ways

UWSSC, School,

trainers

-Some of the posters are having same type of messages especially related to hand washing in different styles

-Improvement in design layout to be improved and simplified which is catchy and attractive.

1. Main observations and Recommendations for IEC Materials

(i) Improvement in design and layouts are desirable to make the leaflets, booklets and posters very attractive and appealing.

(ii) Content on SWAp details in leaflets and booklets does not include roles of UJN and UJS. Its gives an impression as if SWAp does not include other important implementing agencies. The information may be made relevant for all sectoral partners.

(iii) Contents of IEC materials may be made more comprehensive. Information on main achievements, successful case studies from technical guidelines, or leaflets on program detail are testimonies.

(iv) There is a need to plan IECs as per status and nature of groups within the GPs. The IEC sample collected from DPMU shows that most of IECs produced are meant for its dissemination at group and stakeholders level. Less IEC materials are produced for use as interesting tools for facilitating interpersonal communications. The only such tool seen and found effective is SARAR tool.

(v) Topics suggested for further development of IEC materials segment wise include – • Policy makers/Stakeholders/Visitors:

o Abridged version of Annual Report reflecting status of program developments, success stories and achievements may be published.

• UWSSC: Booklets: Pictorial with some text booklets reflecting messages on: o Effective operation and maintenance of water supply schemes (repairs,

chlorination, and cleanliness of water supply schemes) o Importance of UWSSC, and its roles and responsibilities o Conservation of water source and its rehabilitation o Water conservation: its importance and simple ways of conserving water,

rain water harvesting and its use, o Proposed emerging role of new leaders required for overall development

of UWSSC to ensure sustainability o Effective solid waste management: do’s and do-nots



• SHG: Posters/Booklet/Flash cards with messages reflecting-

o Important role of women in SWAp and their active participation in UWSSC

o Importance of SHG and possible livelihood opportunity o Pictorial guideline on effective functioning of SHG o Health and hygiene related to women in particular like leuchoria (white

discharge)

• School Children: Posters or flash cards/games and exercises with messages concerning WATSAN: o Water and life, wastage or use of water (how and why), water travel, o School sanitation, team work, health and environment impact of open

defecation o Effective solid waste management

2. Outreach Plan and its Achievements 73. The CCDU has taken support of SOs for use and dissemination of produced IEC materials.

Some of the IECs like preparation of audio-visual programs, audio programs, design and contents of posters, brochures, and other print materials, street plays were outsourced for its production. Some of the IEC materials are planned and prepared on the basis of experiences of Swajal pilot phase and other development projects. The following table depicts the outreach plan of IEC and its achievements:

Table III-8: Outreach Plan of IEC & its Achivements Sr. No

Item Target (nos.)

Proposed budget (Rs.)

Achievements (nos.)

Expenditure (Rs.)

Electronic Media 1 Production /telecasting of

TV spots/ jingles 3 43,56,000 8 2,27,770

2 Production /telecasting radio jingles/spots

2 24,62,000 1 48,084

3 Sponsorship programs 8 64,000 1 40,449 4 Production /telecasting of

documentary film 2 8,03,000 1 1,10,000

5 Audio visual CD 2 4,00,000 1 -

Print Media 6 Advertisement in

newspaper 18 5,04,000 36 1,32,160

7 Calendars 20,000 5,00,000 - - 8 Hoardings 285 38,47,500 5 1,34,000 9 Bus panels 390 5,65,500 - - 10 Quarterly Newsletter 36,000 9,00,000 - - 11 Stickers 78,000 3,90,000 - - 12 Brochures/ Leaflet 90,000 5,40,000 1,74,201 21,01,202 13 SARAR tool kit 5 kits /

district 1,30,000 - -



Sr. No

Item Target (nos.)

Proposed budget (Rs.)

Achievements (nos.)

Expenditure (Rs.)

Folk Media 14 Nukkad Natak 475 23,75,000 40 2,00,000

Awareness Workshops and others 15 Quiz On

going10,14,000 - -

16 IEC stalls As per event

3,90,000 135 6,75,000

17 HESA/door to door visits 8,55,000 - - 18 Awareness workshops for

social leaders 11,40,000 - -

19 Awareness workshops at habitat/GP level

58,50,000 - -

Total 2,70,86,000 36,68,665 74. The followings are the main observations:

(i) The total expenditure against planned budget is only 13.5% in three years. Most of the IECs are used in production and telecasting of TV spots, advertisements in newspaper, IEC stalls, and advertisement through hoardings. These mass media communication strategies used helps in promoting and publishing the Swajal. Less effort were done to use IEC strategies related to interpersonal communication like SARAR tools, HESA, for making group discussions more attractive, interesting and facilitate adult learning process.

(ii) During field visits it was observed that, wall slogan writing on water and sanitation were done in schools, individual beneficiary households, water tanks, and walls of shops. These were reported to be read by literate community members and found to be effective.

(iii) Standard design of hoarding which have messages on schemes details were displayed in every GP.

(iv) It was informed that, some of the IEC materials published in Swajal pilot phase are still used in URWSSP like booklet on ‘Sankalp hamara rogo sai chutkara’, SARAR tools, and ‘Swajal sathi ke karnami’. It was informed, that the SOs associated with the program in pilot phase have these tool kits and using it accordingly. But, newly associated SOs is not having these kits with them.

(v) Beneficiary general travel 3-4 km to reach main market in GP for purchase of daily household items. Thus, hoarding displayed and bus with Swajal/SWAp message is not frequently seen by general community at large. Thus, it is suggested to minimize the expenditure on advertisement through bus panels and hoardings.

(vi) A substantial amount of expenditure is done on designing and printing of booklet and brochures. These were generally distributed amongst participants during workshops/training programs, IEC stalls.

(vii) Expenditure against awareness workshops with social leaders at GP and habitat is not reported.

(viii) During field visits it was observed that, habitats in hilly areas are facing problems relating to power failures. Thus, most of the beneficiaries are unable to see TV irrespective of the availability of the facilities. However, it may be observed that nearly 52% of the households surveyed possess TV, whereas only 9% households



possess radios. It would be more effective if less expenditure is done on advertisement through TV and radio as compared to tools relating to interpersonal communications.

C. Sector Information System, Water Quality Monitoring Program, and Source Discharge Measurement Program (A3)

1. Sector Information System 75. Computerized sector management information system is now under way which is

envisaged for monitoring of sector status including physical aspects of schemes, the service provision, water quality, and other indicators and parameters of all schemes in the state. The progress under sub-component - SIS is as follows; (i) Online Sector Information System is launched since July 2009. (ii) Online SIS platform is managed by Swajal - PMU. (iii) Swajal PMU is making better comparative use of SIS at PMU level. (iv) Physical progress regarding schemes can be generated online for PMU. However,

MTR Team could not use the facility to generate any meaningful reports from sectoral partners like UJN & UJS.

(v) 5 staff members are exclusively dedicated to operate SIS platform with PMU. (vi) The Online SIS is being used by Swajal -PMU, UJN and UJS. (vii) GP to DPMU data for SIS flows in hard copy. (viii) Hard copy data is entered at district level by DPMU. (viii) UJN and UJS do the data entry at divisional level

76. The scope of information covered under the SIS developed include the follows- (i) Rajiv Gandhi National Drinking Water Mission Survey of Habitation 2003 listing

habitations category (NC, PC, FC) (ii) List of Districts, Blocks, Gram Panchayats, Villages, habitations with various

category wise population and key institutional details. (iii) Health and hygiene status (iv) List of existing Single Village Schemes and Multi Village Schemes completed and

under construction of Swajal, Jal Nigam & Jal Sansthan with the information regarding Gram Panchayats coverage of habitations, year of constitution, expenditure on repairing and Operation & Maintenance methods.

(v) List of Gram Panchayat covered under Total Sanitation Coverage till Jan, 07. - Year wise, District wise & Block wise.

(vi) List of schemes to be covered outside SWAp of Jal Sansthan & Jal Nigam. (vii) Details of established offices of Jal Nigam, Jal Sansthan and Swajal. (vii) Action Plans for various activities of the program

77. Observation. More than one sectoral agency operates in one GP. But only one agency

alone is allowed to enter data on behalf of a GP. UJS and UJN are neither fully aware nor



equipped with the operational procedures of SIS. UJS and UJN do not have adequately qualified and full time dedicated staff to take care of the SIS activity. At the same time, it is observed that UJN and UJS personnel have been trained in SIS, besides availability of a lucid manual prepared in-house regarding SIS operational procedures. At least in the case of UJN, the key officer who was trained in SIS was subsequently transferred from the SWAp Cell and therefore his services are not available to the organisation at the moment. There prevails ambiguity between SIS and M&E at Swajal-PMU as well. Efforts will have to be made to integrate SIS with M&E, considering SIS as a tool for M&E.

2. Water Quality Monitoring Program & Source Discharge Measurement Program 78. As per PAD, a state-level water quality monitoring program needs to be developed to

ensure safe water to the population of Uttarakhand, and include statewide orthotolidine testing of all drinking water sources and subsequent follow-up measures as well as user-friendly water quality testing kits and training programs developed to provide to schools, Mahila Mangal Dals, and UWSSC members at the GP level to check the residual chlorine in water samples on a daily basis. Progress till date include- (i) Preparation of a draft report for strengthening of water quality laboratories for 13

districts of the state. (ii) Water quality testing of 50 water samples randomly selected from the drinking

water sources from across 13 districts at Pollution control Research Institute, BHEL, Haridwar.

(iii) Trained community based organizations covering 38 Blocks through mobilizing the services of 24 NGO’s on in-situ testing of water quality through Field Testing Kits and water quality surveillance through PRI’s done.

79. Source discharge measurement is done before start of all schemes. Initiative for a

concurrent GIS/ GPS enabled water source discharge measurement and mapping is underway with assistance of Government of India. Water quality has been identified as one of the important aspect of the program. Water quality monitoring is conducted for the sector under the National Drinking Water Quality Monitoring & Surveillance Program of Government of India. Under this program, besides monitoring of water quality, IEC activities and sanitation surveys are also being conducted. Field Test Kits (FTK) have been provided to various GPs under the program. Training on the use of FTKs at various levels (district, block and GP) has been organized by the PMU. At GP level, five persons from each GP have been trained (these included Gram Pradhan, Anganwadi Workers, School Teachers, members of UWSSC, ANM, etc). Under this water quality and surveillance program, samples from each source are analyzed quarterly (four times in a year) at GP level for 10 essential parameters. 30 percent of the samples collected at GP level are verified at district level laboratory (for 14 parameters), and of which 10 percent samples are re-verified at a state-level laboratory (PCRI) for all 28 drinking water parameters. GPs where FTK are not provided, H2S strips are supplied under the SWAp Program to monitor the bacteriological contamination. Under this program from April-2006 to July-2009, of the total 18,563 sources in the State, only about 8 percent are tested and brought under surveillance. Of the sources tested, 5.5 percent are identified as polluted (35 percent with turbidity, 23 percent coliforms and 31 percent others).

80. Besides, for the schemes implemented under SWAp, as required by EMF, water quality

monitoring was conducted for every identified source for physico-chemical parameters and it was ensured that the source water quality meets BIS standards for tapping for the



schemes. Quality tests were conducted at existing laboratories of UJS at various towns, State PCB Labs at Dehradun and Haldwani and at PCRI in Dehradun. Although it was suggested to develop laboratory facilities at every district headquarter, this is yet to be implemented. Due to non-availability of laboratory facilities at district headquarters, the time lag between the collection and analysis of samples ranges from 24-48 hours, in some cases it is said to be as high as 96 hours. Also, the samples, as suggested by EMF, are not acidified immediately after collection.

81. A variety of IEC and other activities were conducted as part of the National Drinking

Water Quality Monitoring & Surveillance Program. These are indicated in the following Table III-9.

Table III-9: IEC Activities Conducted under NDWQMSP Sr. No Component Nos.

1 Grass-root level awareness camps conducted 4722 GPs where inter personal communications campaigns in progress 5363 Mass Media campaigns 8374 Audio Visual programs conducted 1475 Printed documents/ pamphlets 21,4706 GPs where sanitary surveys done 4137 GPs where immediate rectifying measures taken up after sanitary survey 82

D. Modernization of Public Procurement and Procurement Reforms (A4) 82. 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.

83. Training in procurement process has been provided to all the three sectoral institutions.

However, not all those who are trained thus are available at present to support procurement related tasks. Government of Uttarakhand needs to develop strategic details for modernizing procurement so as to achieve e-procurement as well as reforms in procurement processes.

E. Sector Studies (A5) 84. This includes technical and economical sector studies intended to better support the state-

level efforts toward sector development. Not much progress is made under this sub-component, only two consultancy studies are underway recently as below- (i) Impact of catchment area conservation and management plan (ii) Institutional analysis and human resources development needs across sector

partners.



F. Institutional Arrangements for Sector Wide Approach (SWAp) -Design for Delivery

85. Department of Drinking Water is responsible for looking after the water supply and

provision services in the State of Uttarakhand. Headed by a Minister in the State Council of Ministers, the department has chiefly three State level players to look after the water supply arrangements. These three institutions are Uttarakhand Peyjal Nigam (UJN), Uttarakhand Jal Sansathan (UJS) and Swajal Directorate. The first two institutions have been founded through an act of the Government (The Uttaranchal/ Uttar Pradesh Water Supply and Sewerage Act, 1975, Adaptation and Modification Order 2002). The Swajal Directorate on the other hand is a registered charitable society, registered under the Societies Registration Act 1860. The UJN is largely responsible for construction of drinking water supply facilities and assets, while the UJS is responsible for operation and maintenance of drinking water supply facilities. Swajal directorate is a special purpose vehicle meant to pilot, test and scale up water sector reforms, by facilitating demand responsive and community driven water supply arrangements in the rural areas of the State. The constitution of the Board of Directors of these three bodies is given below-

Table III-10: Institutional Profile of Sectoral Agencies Sr. No

Designation UJN UJS Swajal-Directorate

1 Chairman Secretary, Dept of Drinking Water, GoUK

Secretary, Dept of Drinking Water, GoUK

Chief Secretary- GoUK

2 Vice Chairman Secretary, Dept of Drinking Water-GoUK

3 Member Managing Director Chief General Manager Secretary, Finance GoUK

4 Member Secretary, Finance GoUK

Secretary, Finance GoUK

Secretary, Planning, GoUK

5 Member Secretary, Planning, GoUK

Secretary, Planning, GoUK

Secretary Rural Development and PRI, GoUK

6 Member Secretary, Urban Development, GoUK

Secretary, Urban Development, GoUK

Secretary, Forests Department, GoUK

7 Member Director General- Medical and Health Services

Director General- Medical and Health services

Commissioner/ Director- RD & PRI, GoUK

8 Member Director -Finance Director -Finance MD- UJN 9 Member Three elected heads of

local bodies, nominated by GoUK

Three elected heads of local bodies

CGM- UJS

10 Member One elected head of a Nagar Nigam nominated by GoUK

One elected head of a Nagar Nigam

Director General- Medical and Health services

11 Member/ Member Secretary

Chief General Manager- UJS

Managing Director- UJN

Director -Swajal/ PMU

86. Sector Wide Approach (SWAp) was adopted by Government of Uttarakhand in 2006 and

was attached to URWSSP. All the three sector institutions were allotted funds under the URWSSP. At the same time, institutional changes and reforms were proposed, in the implementation of the URWSSP. The institutional arrangements proposed under the



SWAp are at the State, District and local levels is depicted in the illustration below.

Institutional Arrangements under the SWAP 87. SWSM-State Water and Sanitation Mission is the highest policy-making body in the

Watsan sector and is chaired by the Honorable Chief Minister. The Minister in charge of the Department of Drinking Water (DDW) is the Vice Chairman. Its total membership is 28. SWSM has representation of the departments of Finance, Social Welfare, Forests, Rural Development, Health, Medical Services, Drinking water, Education, Panchayathi Raj, Irrigation, Minor Irrigation, Urban Development, Planning, Project Management Unit, UJN, UJS, Information and Public Relation, Education, RGNDWM, Pollution Control Board, Ministry of Rural Development GOI, Support Organizations (SO). Besides the above, there are two representatives each of the MLAs and the Presidents of the Zilla Parishads in the State.

88. Role and responsibilities of SWSM include developing policy guidelines for the entire

water supply and sanitation sector. The committee is expected to issue directions for coordination between various departments in the state and take policy decision for planning, designing, implementation and operation and maintenance of works as per the principles of sector reforms in the water supply and sanitation sector. The SWSM is required to meet at least once every year. It is also envisaged to have a SWSM Cell whose main roles are as follows. (i) Overseeing the implementation of the policy decisions by SWSM, dissemination of

the policy decisions of the SWSM and monitoring the implementation of the policy decisions by various Programme partners.

(ii) Organize meetings of the SWSM as per the norms and whenever needed. (iii) Implementation of the Uttarakhand Rural Water Supply & Sanitation Medium Term

Development Programme (2006-2011). (iv) Monitoring of the physical and financial progress of the various schemes as per the

State level

DWSM

Local level

SWSM SWSC

District level TRC DWSC

GP VWSC UWSSC

UJNUJS PMU- SWAJAL

UJN – Circles & Divisions

UJS – Circles & Divisions

DPMU- SWAJAL

UJN - Local Functionaries

UJS - Local Functionaries



Medium Term Development Programme (2006-2011) (v) Facilitating applications of reform principles in the whole sector gradually and

ensuring progressively switch over from the existing supply driven mode of functioning to demand driven approach.

(vi) Monitoring the fund flow arrangements for the Sector Programme and the various programmes as per the Medium Term Development Programme.

(vii) Collecting the fiscal data of the Programme and utilization certificates from the various Sector Programme partners and send those to the Govt. of India.

(viii) Submitting the reimbursement claims to the World Bank. 89. Institutional Arrangements at the District Level. It is envisaged to have three institutional

platforms at the district so as to facilitate the trickling down of the SWAp. These three bodies are the DWSM- District Water and Sanitation Mission, DWSC- District Water and Sanitation Committee and the TRC- Technical Review Committee.

90. DWSM. The DWSM is chaired by the President of the ZP and is envisaged to have 20

members and all MLAs of the District. Thus the membership in the DWSM could be around 25. It has representation of the District Project Management Unit, UJN, UJS, departments of Education, Panchayaths, Health, Medical Services, Social Welfare, District Watershed Projects, Forests, Irrigation and Minor Irrigation. Besides the above, all MLAs of the district and the Member of Parliament are members of the DWSM. Its chief functions include implementation of the policy decisions of the State Government and the SWSM. DWSM is required to guide the DWSC and approve the annual budget for the water and sanitation sector in the district. DWSM is empowered to review the progress and implementation of schemes under the water and sanitation sector. DWSM can also support institutional arrangements at the local level.

91. DWSC. DWSC is a smaller body with 12 members. The CDO or the CEO of the ZP acts as

the chairperson of the DWSC. Its chief functions include implementation of the policy decisions taken by SWSM and DWSM. DWSC is expected to support in the selection of GPs for Swajaldhara and TSC. NGOs acting as support organisations for SWAP, Swajaldhara and TSC are selected by the DWSC. It is also expected to monitor and supervise works under Swajaldhara and TSC. The DWSC is expected to meet at least once in three months.

92. Technical Review Committee (TRC). The third institutional platform at the district level is

district level Technical Review Committee (TRC): The TRC is constituted including engineers from UJN/UJS/PMU and representative of PRIs. Technical Review Committee consists of the following members. 1. Chief Development Officer (CDO)-Chairman 2. Executive Engineers of the District, UJN -Members 3. Executive Engineers of district of UJS -Members 4. Project Managers of DPMU -Member Secretary 5. Representative of PRIs -2 nos to be nominated by Chairman, ZP.

93. Roles of TRC. Chief functions of the TRC include; (1) Review of the technological option

proposed by various users Group, (2) Analysis for justification of SVS/MVS and (3) Finalization of Scheme Identification plan for SVS/MVS.



Table III-11: Achievements with Regard to Institutional Reforms at MTR Sr. No

Reforms envisaged as per PAD

Achievement at MTR Remarks if any

1. The SWSM cell will be manned by senior officers recruited from the sector institutions.

SWSM Cell is formed. Requisite positions are not filled in. Two senior level officers, a Chief Engineer and a Finance Controller function at SWSM Cell. Senior Officers from Sector Institutions have not been recruited or transferred or placed at the cell

SWSM Cell is partially functional. Routine functions of the SWSM Cell include Preparation of Agenda Notes, Sharing/ Dissemination of Information among the Sector players, Monitoring Progress against targets and Financial Coordination. Functions at the policy facilitation and policy coordination are yet to emerge.

2. The program will be initiated with the existing structure of PMUs and DPMUs.

Programme initiated with the structure and facilities of PMU and DPMU. Institutional platforms at the district level such as DWSM, DWSC, TRC are formed and functional

Approval process of proposals at the district level has cumbersome, delayed and has adversely affected the progress of the URWSSP.

3. The capacity development program for the sector institution staff shall be initiated regarding their changing roles and responsibilities for implementing demand-responsive RWSS schemes.

Capacity development programme for the sector institution staff initiated. Training provided in change management, financial management etc.

Changing roles and responsibilities by the sector institution staff has made some progress, though it is still not at desirable levels.

4. 50 percent of the DPMUs will be headed by senior engineers of the sector institutions. These DPMUs will also be manned by the employees of sector institutions.

There are 13 DPMUs. 11 DPMUs have full time Project Managers. None of the Project Managers is from sector institutions.

This is a serious factor in sectoral integration. Retired officers from the sector institutions have taken employment at the DPMUs. None from those who are in the service have opted to work with DPMUs.

5. The capacity of at least 50 percent of the engineering staff shall be built on the principles of demand-responsive and community-managed RWSS systems.

26 programmes covering 768 personnel from UJN and UJS have been trained in various aspects of SWAp in Uttarakhand.

The trainings have definitely contributed to the capacity of the Engineering and Accounts Staff of the sister sectoral institutions.

6. The transfer of sector institution staff to the appropriate level of PRIs shall be initiated. The capacity-development program for this transferred staff shall be initiated.

Not done At MTR, it looks a far fetched dream. This cannot be achieved in isolation and has to be achieved parallel and concurrently with the full realization of the decentralization.

7. UWSSCs shall be formed for all SVSs under consideration.

Achieved



Sr. No

Reforms envisaged as per PAD

Achievement at MTR Remarks if any

8. The capacity-development program for the PRI staff shall be initiated regarding their perceived roles and responsibilities in the RWSS sector.

Achieved

9. Transfer of 50 percent of sector institution staff to the appropriate level of PRIs shall be done, after appropriate training to this staff.

Not done Many key officials in the PMU as well as in the Government are not aware of the provision and nor are they convinced of the relevance and need of this step.

10. The capacity-development program for the PRI staff will be continued as per the numbers of GPs taken up in the sector program.

Achieved

94. Assessment of Institutional Arrangements for the SWAp. There is unanimity of opinion at

the apex and policy levels of the Government that sector wide approach is necessary and will do well to the sector. This has received political support from the State as major political parties are supportive to SWAp. As a result of this, the systems and institutional platforms have been established, by promulgating appropriate government orders. This has resulted in the creation of State Water and Sanitation Mission (SWSM) headed by the Chief Minister and the SWSC- State Water and Sanitation Committee headed by the Chief Secretary. At the district level, three institutional platforms have been set up. These are DWSM (District Water and Sanitation Mission) headed by the President- Zilla Parishad, DWSC (District Water and Sanitation Committee) headed by the Chief Development Officer (CDO) and the Technical Review Committee (TRC). The Project Manager of DPMU in the respective district acts as the convener and member secretary of the district level committees. The GP board is the focal point SWAp institution at the local level. Village Water and Sanitation Committee and its sub-committee User Water Supply and Sanitation Committee are the institutional arrangements at the grassroots level.

95. Though formed several months back, the SWSM has not met even once yet. A formal

institutional body has been formed, but it has not been made adequately functional. The SWSC is functional, but its respectability among the sectoral players is very moderate and is far below the expected levels. As a lead institution, the SWSC does not command respect from among the sectoral players. Another key observation about the SWSM is that it consists of 28 members. As a huge body, it is not easy to convene a meeting of the body, ensuring adequate representation of the departments and members in the SWSM.

96. The District level bodies like DWSM, DWSC and the TRC are functional. Their meetings

are regular. These district level bodies have exhibited that these are functional and working systems. The DWSM has to as per statutory provisions meet once every six months. This body can also meet more times during a year. The leadership provided by the Project Manager to make the district level bodies is commendable. There is even a steering committee consisting of the Executive Engineers of UJN and UJS as well as the Project Manager- DPMU. This steering committee meets every week to enhance mutual trust, credibility and to sort out outstanding issues. This step has been extremely useful in melting the ice of mutual disrespect and suspicion between sectoral institutions. The



district level bodies take decisions with regard to the choice of villages/ habitations for the involvement of any of the three sectoral agencies. Approval for Detailed Project Reports prepared by/ through UJN, UJS and DPMU is given by the DWSM.

97. The following recommendations are made for activating and strengthening the SWAp

institutions. (i) Revamp and strengthen SWSM through regular meetings, regular monitoring of

financial and physical progress across sectoral agencies. A similar arrangement as exists at the district level may be replicated at the State level as well, with meetings of the heads of PMU, UJN and UJS be made regular and informal in the beginning and subsequently made regular and formal.

(ii) Functional duplication at the District level between TRC, DWSC and DWSM causes delay at the moment in approval of DPRs. At least two of the three approval gates can be closed, keeping DWSM alone open and active.

(iii) It looks a farfetched dream now that the lower level functionaries of UJN and UJS are suggested to be made answerable to GP. This can take place in a larger political environment attuned to decentralisation of funds, functions and functionaries. Until this is achieved, it is recommended that lower level functionaries of UJN and UJS parallel keep the GPs informed of their involvement in the GPs, while retaining the reporting hierarchy with their departments as earlier until there is a favorable environment for political decentralisation.

(iv) Institutional recharging for enhancing the capacity of lower level community platforms in operational management, knowledge generation, data analysis, diagnosis of problems.

G. RWSS Policy Comparing Sector Wide Approach Versus Alternative Approaches 98. Government of Uttarakhand successfully implemented the first major rural water supply

project based on demand driven and community participation principles during 1996-2003. This project, now famous by its acronym, ‘Swajal’ was appreciated by stakeholders at all levels. An attempt was made by Government of Uttarakhand to scale up the learning’s and model of ‘Swajal’. The scaling up model sought to adopt approaches beyond the mere scaling up of the project. On the other hand, the scaling up process has taken shape as a sector wide approach in the rural water and sanitation sector. Known now as ‘URWSSP’ and essentially represents an approach wherein “most significant public funding for the sector supports a uniform sector policy and expenditure program, under government leadership, adopting common approaches across the sector….” In simple terms, ‘SWAp’ is a state investment program to achieve the vision goals for RWSS for the next five years. All funds set apart for the rural watsan sector including the IDA loan is put under the same policy framework as well as operational rules for project cycle, procurement and disbursement.

99. Government of Uttarakhand has adopted a sectoral vision by name, ‘VISION 2012’ for the

Rural Drinking Water & Sanitation Sector. According to this vision, ‘The rural local government in partnership with rural communities; shall plan, design, construct, operate and maintain their water supply and sanitation schemes; so that they get potable water and attain health and hygiene benefits; the Government of Uttarakhand and its sector institutions shall act as supporter, facilitator and co-financier and as per need shall provide technical assistance, training and cater for bigger construction works and sectoral contingencies”. The State’s comprehensive sector investment programme, also



called, ‘MTP’ - Medium Term Programme is envisaged for a period of 5 years, from 2006 to 2011.

100. The chief features of ‘SWAp’ are;

(i) Single Policy for the Rural Water Sector (ii) Pooling of resources from multiple sources, 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 sectoral players under the SWAp umbrella (vii) Considering water as a social and economic good, providing for minimum essential

payment for services by the users/ consumers. (viii) New Institutional Arrangements at the State, District and Local level 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 District and State level

H. SWAp verses Alternative Approaches 101. As the SWAp programme completes three years, it is opportune to reflect on the approach

itself and make a comparison with other alternative approaches and models. Following alternative approaches and models are compared with SWAp to arrive at the strengths and merits of the model currently in progress.

Table III-12: Comparison of Alternative Approaches and Models Sr. No

Alternative Model

Consequences / Reasons for Rejection

1 Repeater Project, as continuation of Swajal pilot phase

• Successful islands of community based drinking water supply schemes get established and function.

• PRIs not involved in it • Fundamental sector reforms not promoted • Long term sustainability not ensured.

2 Promotion of SVS and leaving MVS

• Studies revealed that almost 80 percent of the schemes involved more than one village;

• It would have postponed full-scale reform for a second phase. In this context, piloting of some urban water schemes was considered but rejected due to the difference in the nature of reforms and institutional arrangements; and

• The complexity of involving additional implementing agencies. 3 Support for a

larger and more • The capacity of the implementing agencies • Historical trends in sector expenditures;



Sr. No

Alternative Model

Consequences / Reasons for Rejection

ambitious MTP size using GoUA’s original projections of $600 million was considered.

• Limited IDA envelope; and • Lessons learned from other RWSS projects that experience slow

disbursement in the initial years due to the time-consuming nature of the demand-driven community. However, the projected program size was reduced to $350 million to better reflect: participatory approach.

4 Supply driven projects against demand from Community or Political Parties

• Inefficient capital use • Wastage of resources • Leakage and corruption • Inefficient service delivery and systems

5 Private Water Supply Schemes/ Private Water Market

• Driven by profit motive, • Water as a common resource is exploited for private profits • Monopolistic tendencies and accompanying evils prevail.

6 PRI managed Water supply schemes

• PRIs not yet capable of planning, implementing, maintaining, operating water supply schemes.

7 Unaided Community Water Supply Schemes

• Informal (unregistered group based on understandings, practices, habits and traditions) or formal manner (through registered societies, with rules of behaviour

• Water supply problem solved. • Resource and institutional sustainability issues not addressed. • No regulatory mechanisms in force.

102. Compared to the above models and approaches, it can be said without doubt that the

SWAp programme is what befits the State of Uttarakhand much more than anything else. The major constraints and weaknesses of the SWAp as it is practiced in the State can be summarized as under;

Table III-13: Assessment of Constraints in SWAp Sr. No

Constraints to project development objective as in PAD

Constraint mitigation measures proposed in PAD

Current status

1. Slow progress in sector restructuring due to UJN and UJS’ reluctance to change from a provider to a facilitator.

Upfront work in designing the new institutional setup and establishing a realistic timeframe and ways to cope with the transition requirements, including: • Consultation with UJN and

UJS; • TA for change management

and community development training; and

• Covenant to phase out the ongoing scheme construction following the supply driven mode over five years.

• Sectoral restructuring started late.

• The middle and lower level functionaries of UJN and UJS are still resisting change.

• State level institutional frameworks are made but functionally these have not become effective and efficient.

• Contractor lobby is active to sabotage the SWAp.



Sr. No

Constraints to project development objective as in PAD

Constraint mitigation measures proposed in PAD

Current status

2. Weak compliance of SWAp principles and failure to fully introduce new institutional modalities in MVS due to lack of experience or proven institutional modalities for MVS.

• Development of proper investment guidelines and appraisal procedures;

• Periodic review and close monitoring of the first batches, to learn lessons for the future batches;

• Significant capacity building for the sector institutions to implement SWAp;

• Broad marketing of the SWAp principles and concepts to sector stakeholders;

• Thorough affordability study carried out for development of cost-sharing policy; and

• Establishment of a proper M&E system.

• Proper investment guidelines developed.

• First batches across all SWAP partners delayed from SWAJAL to UJN/UJS.

• Capacity building efforts made, but needs to persist with it focusing at all levels.

• M&E system of UJN and UJS very weak

• Mutual sharing of SIS platforms still not simple and easy.

3. Slow implementation in initial years due to capacity constraints of DWSMs, source disputes, or the time it takes to carry out community mobilization and consultation activities, etc.

• Larger MVSs to be implemented by UJN in initial years, with the district-level sector institutions reporting to DWSM;

• Significant capacity building; batch one preparation prior to initiation of the MTP to speed up implementation in the initial years; and

• Conservative disbursement estimates for the initial years.

• District level sectoral institutional set up is one successful result of SWAp. But there are too many institutional platforms and structures at the district level. This causes delay in sanctioning schemes etc.

• Capacity building programmes undertaken especially for the UJN and UJS.

• Slow financial and physical progress.

4. Inadequate fund flows from GoI

• Legal document includes a clause to mitigate the risk of slowing down the implementation of MTP in case of problems with GoI fund flows.

-

5. Source depletion or scheme breakdown due to natural calamities

• Catchment-area protection and management will be fully integrated with the WSS scheme construction;

• Coordination will be ensured with watershed and forest directorate; and

• Insurance against natural calamities.

• Reduction in discharge rate / Drying up of sources experienced.

• Coordination with watershed and forest directorate is weak and compartmentalized

• Insurance against natural calamities needs to be strengthened.



103. Other general issues (i) As per PAD, by March 31, 2009, the staff of the UJN and UJS engaged in rural

water supply schemes should have been reporting to the relevant PRI; - This has not happened till date.

(ii) An assessment is carried out on the progress of the funds flow for all project-financed MVS carried out under the project and such assessment sets forth appropriate recommendations on the progress of the flow of funds through the relevant DWSM up to an amount of Rs. 50 lakhs. Schemes costing up to Rs. 50 lakhs are cleared by DWSM.

(iii) Institutional mergers of (a) the PMU with the SWSM and (b) the DPMUs with the relevant DWSMs will be implemented by the end of the project period. Institutional mergers yet to take place at the State level and District level. However, there is greater collaboration at the District level than at the State level.



IV. RURAL WATER SUPPLY AND SANITATION - INFRASTRUCTURE INVESTMENTS

A. Introduction 104. Component ‘B’- RWSS infrastructure under URWSSP aims to improve service and

sustainable access to rural water supply services by financing the infrastructure and software investments. All new water supply investments would be made in an integrated manner, with catchment-area management, health, and hygiene awareness promotion, and incentives for construction of individual household latrines. The new investments would include building or rehabilitating water supply facilities, including source-strengthening measures, which the communities plan, implement, and manage by themselves. In the case of large MVSs, O&M responsibility of the communities would be only for intra-village distribution. The inter-village facilities would be constructed by UJN and operated by UJS according to the MoU signed by the Multi-Village Scheme-Level Committee (MVSLC), sector institution, and the relevant implementing agency. Expenditures eligible for Bank reimbursement would comprise works, goods, and services.

105. The sub-component on Water Supply Schemes and Catchment-Area Protection Works

would include all new investments, including rehabilitation and reorganization of existing schemes, WSS to rural public institutions, and micro catchment-area protection. The investments were grouped in the following three categories: (i) SVSs and simple MVSs that are technically and institutionally feasible to be carried out by DWSM; ii) larger MVSs to be carried out by UJN and some MVSs requiring reorganization by UJS; and (iii) devolution of existing schemes (mostly SVS) currently under UJS and UJN to the PRI.

106. Under this component the focus is towards building physical infrastructure for rural

community level water and sanitation services and associated software components, by all three stakeholders- PMU, UJS and UJN. Key physical outputs mainly include water supply system, catchment area management intervention and construction of individual household latrines through target community participation. The post operational responsibilities are entirely to be managed by the respective user committees.

107. The State of Uttarakhand has a total of 39,967 habitations, of which 20,355 habitations are

fully covered as per statistics of the RGNDWM, based on their 2003 survey. This leaves a balance of 19,612 habitations to be covered to ensure drinking water facility to all in the State. The PAD for URWSSP estimated to cover 17,741 habitations through 7,328 new water supply schemes. The financial allocation for the Uttarakhand Rural Water Supply and Sanitation project was to the tune of US $ 224 million. Out of this, US $ 197 was set apart for the Component B-RWSS Infrastructure Investments.

108. However, after a review by the Third Implementation Support Mission from the World

Bank (13-26 October-2008) of the progress achieved and on the basis of consultations with the Government of Uttarakhand, its water provider public utilities, it was decided to scale down the targets in water supply as follows



Table IV-1: Revised Targets - Habitations PMU UJS UJN Total

No. of Habitations PAD Revised PAD Revised PAD Revised PAD Revised 8,440 2,348 4,864 3,100 572 2,822 17,741 8,270

109. The ground for revising the targets is as follows

(i) Implementation capacity of SWAp agencies (ii) Price hike of materials like cement, steel and pipes

110. Similarly, the total number of water supply schemes proposed in PAD also underwent

modifications. The modified targets for the schemes are as follows

Table IV-2: Revised Targets -Schemes PMU UJS UJN Total

No. of Schemes PAD Revised PAD Revised PAD Revised PAD Revised 4,221 1,176 2,433 1,551 674 1,152 7,328 3,879

111. The achievement against the revised MTR target and the revised program targets is

presented in tables next.

Table IV-3: Sectoral Agency wise Achievement of MTR Targets

PMU UJS UJN

Revised MTR target

Achievement

against MTR

% Achievement

Revised MTR target

Achievement

against MTR

% Achievement

Revised MTR target

Achievement

against MTR

% Achieve

ment

Habs. 203 304 150% 95 189 199% 100 253 253% Schemes 102 179 175% 47 98 209% 50 95 190% Financial (Lakhs)

1,523 3,432 225% 328 652.18 199% 200 494.69 247%

Table IV-4: Achievement against Program Targets Agency Wise Agency Program Target

(nos) Achievement

till MTR (nos)

% Achievement against Final Target

Balance Habitations (nos)

PMU 2,862 304 10.6% 2,558 UJS 3,100 189 6.1% 2,911 UJN 2,827 253 8.7% 2,641 Total 8,856 746 8.4% 8,110

112. All three sector partners exceeded its target in the coverage of schemes, habitations and

financial expenditure against revised MTR target. At this MTR stage the project is delivering water supply services through 372 schemes3 benefiting a population of 78,133 people. Details regarding results monitoring indicators are listed in Appendix 6.

3 PMU 179 nos., UJS 98 nos. and UJN 95 nos.



113. Taking an overall picture at MTR, the achievement in Component-B, the achievement is

good. Against a total target of 199 schemes, 372 schemes have been completed and thus the achievement is 187% of target. In terms of coverage of habitations, the achievement is 746 against 398. Now there are another 8,110 habitations for coverage in the balance part of the project period.

114. All the three agencies partnering URWSSP have been approached and discussions held in

detail regarding their status of progress and preparations for achieving the revised target during the remainder of the project period due to end in 2012. The following table gives overall breakup of the completion targets that they have set for themselves during the MTR discussion process.

Table IV-5: Agency-wise and Year/Quarter-Wise Completion Targets by Sector Agencies 2009 2010 2011 2012 Sep. Dec. Mar. Jun. Sep. Dec. Mar. Jun. Sep. Dec. Mar. Total

PMU

SVS- New 304 21 257 99 99 434 252 134 80 1,182 0 2,862UJS

SVS- New 175 100 116 247 312 354 340 316 321 289 210 2,780Devolution 14 9 9 28 40 46 40 38 37 32 27 320Sub Total 189 109 125 275 352 400 380 354 358 321 237 3100

UJN

SVS New 57 0 0 0 526 270 0 784 0 0 0 1,637SVS -

Devolution 196 0 0 212 0 0 0 194 0 0 0 602

MVS 0 0 7 0 0 100 0 0 0 98 450 655Sub Total 253 0 7 212 526 370 0 978 0 98 450 2,894

Grand Total

746 130 389 586 977 1,204 632 1,466 438 1,601 687 8,856

115. Several rounds of discussions were held with the concerned agencies implementing SWAp

during the course of the MTR. The category wise quarterly breakup of targets has been arrived at as a result of these discussions. Accordingly, 876 habitations will be covered in 2009, while 3,156 habitations will be covered in 2010, and 4,137 habitations will be covered in 2011. As per present trends, on the assumption that those MVS schemes, for which permission is pending with the government of Uttarakhand, it is assumed those 687 habitations can be covered only by 2012. This is on the assumption that those MVS schemes now before the Government are cleared with immediate effect as well as some schemes of UJS also will get carried over to 2012. Considering the cost and time overruns with regard to MVS, GoUK needs to take an urgent decision in this regard. The habitations that are proposed to be covered by the three agencies work out to a total of 8,856 against the revised target of 8,270. While it is commendable to achieve greater than the targets, it is also observed that the final revised targets allocated to partner agencies match perfectly with their plans.



Year wise and Sectoral Agency wise completion targets ( Nos. of Habitations)

325889

1648

2981152

1413

237

253 11151076

450

2009 2010 2011 2012

PMU UJS UJN

116. District wise Coverage of Schemes and Habitations across Districts. District-wise

coverage of habitations gives sharper micro pictures. The district-wise coverage of habitations was taken for all three agencies.

B. Action Plan for the Remainder of the Project -PMU 117. The PMU appears confident to complete 100% of its target within the stipulated project

period. The issues relating to the target and achievement were discussed with the Project Managers of DPMU on 27th August, 2009 at Dehradun. The following table provides details of the information provided by the Project Managers for their respective DPMUs.

Table IV-6: District wise Status of Habitations across various stages of Implementation -PMU District Completed

Habitations Implementation Phase-

Habitations

Start Date

(Implementation Phase)

Expected Time of completi

on

Planning Phase-

Habitations

End Date (Exit)

Pre Feasibility Stage -Habitati

ons

Total Habitati

ons

Chamoli 54 61 Aug.-09 Mar.10 140 Mar.-11 140 395Rudra Prayag

11 77 Mar.-10 Dec.-10 114 Mar.-11 0 204

Tehri 20 45 Jan.-10 Dec.-10 73 Dec.-11 0 134Dehradun 46 43 Oct.-09 Mar.10 149 Dec.-11 0 225Pauri Garhwal

8 35 Oct.-09 Mar.-10 114 June-11 0 161

Haridwar 0 21 Nov.-09 Dec.-09 4 Dec.-11 0 25Uttarkashi 13 13 Oct.-09 Mar.-10 66 Dec.-10 77 165Pithoragarh 29 72 Nov.-09 Mar.-10 80 Dec.-10 339 516Bageshwar 31 145 Aug.-09 Oct.-10 80 Aug.-11 0 257Champawat 29 99 Dec.-09 Jun.-10 12 Dec.-10 0 134Nainital 15 25 Mar.10 Mar.-10 20 June-11 390 448



District Completed Habitations

Implementation Phase-

Habitations

Start Date

(Implementation Phase)

Expected Time of completi

on

Planning Phase-

Habitations

End Date (Exit)

Pre Feasibility Stage -Habitati

ons

Total Habitati

ons

Almora 42 99 Nov.-09 July-10 9 Dec.-10 0 134U.S. Nagar 6 8 - Jan.-10 0 - 48 63Total 304 743 861 994 2,862

118. The schedule prepared by the joint meeting of the Project Managers and key staff of PMU-

came out with an action plan, that envisages completing their target of 2,8624 habitations by December, 2011. It seems realistic to achieve this target, given the experience, skills and commitment of the team. Currently, 304 habitations have been provided with water from SVS schemes and work is in progress in another 743 habitations. Both these make 1,047 habitations. Planning phase activities are completed in 861 habitations. The action plan of sounds fine and it is possible for them to achieve their targets. The graph below summarizes the overall status of the total PMU habitation under various stages.

Status of Habitations under various stages of implementation by PMU

(No. of Habitations)

307

697861 994

Implementationcompleted

Implementation Phaseongoing

Planning Phaseongoing

Pre-feasibilitycompleted

C. Action Plan for the Remainder of the Project -Uttarakhand Jal Sansthan (UJS) 119. Uttarakhand Jal Sansthan (UJS) has prepared district wise plans for completing the

remainder of the target allocated to it. Originally, it had a target of 3,100 habitations, of which 1,500 are under SVS and 1,600 under devolution5.

4PMU is having excess number of habitations against the target given. While the target is 2,348 habitations,

PMU is having nearly 2,862 habitations, where PFR is already undertaken. 5 During the World Bank MTR visit the number of Devolution schemes got reduced to 320 and increased

number of new SVS to 2,780. However, there is no change in total target of 3,100 habitations.



Table IV-7: District wise and Year wise Physical Plan for Completion of Habitation- UJS- New SVS & Devolution

No. District 2009 2010 2011 2012 Sep. Dec. Mar. Jun. Sep. Dec. Mar. Jun. Sep. Dec. Mar. Total

1 Dehradun 0 0 11 0 17 25 30 20 19 21 17 1602 Pauri 34 5 17 9 34 46 43 42 43 40 27 3403 Chamoli 18 23 45 62 55 64 58 56 57 58 54 5504 Rudraprayag 0 12 23 5 20 24 24 17 22 19 14 1805 Tehri 28 40 7 77 78 80 83 76 79 66 46 6606 Uttarkashi 45 3 0 12 30 36 32 35 26 24 17 2607 Nainital 10 5 10 15 17 22 16 11 16 11 7 1408 Almora 18 10 0 44 46 46 42 46 44 44 30 3709 Bageshwar 22 6 0 33 13 16 14 17 17 12 10 160

10 Pithrograh 14 5 12 18 23 23 22 22 18 15 8 18011 Champawat 0 0 0 0 19 18 16 12 17 11 7 100

Total 189 109 125 275 352 400 380 354 358 321 237 3,100 120. It is commendable that UJS has made a plan for year wise and district wise coverage of

SVS schemes, keeping in view what is already achieved and what remains to be completed for the remainder of the project period. What they need to draw up now is a Project Management Plan (PMP) for achieving this target. The PMP should include the total scheme cycle events with start and end dates, responsibility for the events, work break down structures, resource requirement and fund flow arrangements and accompanied by a monitoring plan.

121. Particular matter of concern is the project management aspects of devolution schemes by

UJS. It was reported from the field that Devolution schemes have lesser acceptability than new SVS of any agency. The community is aware of the merits and shortfalls of the existing scheme which is going to be devolved to the GP/ Community. It is suggested hence to frame up a Separate Scheme Cycle for the devolution schemes and implement it, considering its special requirements.

D. Action Plan for the Remainder of the Project- Uttarakhand Peyjal Nigam (UJN) 122. UJN has three types of schemes that fall under the SWAp. These include devolution of

existing schemes, construction of new Single Village Schemes (SVS) and Multi-Village Schemes (MVS). UJN has made some progress in devolving schemes as well as constructing new single village schemes. However, its achievement with regard to the MVS is unimpressive. UJN can’t be entirely blamed for this predicament as scheme plans and estimates submitted by them are pending with the government of Uttarakhand for approval. The approval process itself has got delayed on two grounds; the proposed MVS projects also covers some FC habitations and the per-capita cost of the MVS proposed are well above agreed per capita cost options. It has to be borne in mind that at least 3 years (three summer seasons) are required to complete a MVS. Even if approvals are assumed to come in the next couple of months, it is almost certain that MVS will get dragged into 2012 or even beyond.

123. On the other hand, devolution schemes account for 572 habitations under UJN. Devolution

of schemes is fairly a simple process for UJN as the duration for devolution is only 6



months. During this period, the UJN requires the support of a Support Organisation (SO) to take care of the community mobilization, facilitate the handing over process and the confidence building in the community to take over and manage the water supply schemes. The district wise plans of UJN devolution are as given in the table next.

Table IV-8: District wise physical plan for completion of Habitation -UJN-Devolution Completed To be devolved Planning to

start Total

Devolution Devolution Devolution No District Schemes Hab. Schemes Hab. Schemes Hab. Schemes Hab. 1 Dehradun 4 5 25 50 0 11 29 662 Chamoli 15 45 0 0 0 7 15 523 Rudraprayag 0 0 6 12 0 12 6 244 Tehri 35 71 5 10 0 9 40 905 Uttarkashi 8 10 10 20 0 24 18 546 Pauri 0 0 16 33 0 49 16 827 Haridwar 0 0 0 0 0 0 0 08 Pithoragarh 0 0 4 30 0 32 4 629 Champawat 0 0 2 2 0 28 2 3010 Nainital 8 8 10 20 0 6 18 3411 Almora 5 12 10 25 0 15 15 5212 Bageshwar 2 15 4 10 0 1 6 2613 U.S. Nagar 0 0 0 0 0 0 0 0 Total 77 196 92 166 0 194 169 572

Start Date Completed Completion Date Completed June.2010' June.2011'

124. The SVS under UJN totals 1,600 habitations, while the Devolutions schemes account for

572 habitations. Multi Village Schemes for which progress is still not impressive account for 743 habitations. The districts of Haridwar and Udam Singh Nagar do not have any schemes under UJN. It is estimated that the SVSs will get completed by December 2011.



Table IV-9: District wise physical plan for completion of Habitation -UJN-New SVS Completed Implementing

phase Schemes Prepared

Schemes in Planning

Schemes / planning to

start

Total

SVS SVS SVS SVS SVS SVS No District Sch. Hab. Sch. Hab. Sch. Hab. Sch. Hab. Sch. Hab. Sch. Hab. 1 Dehradun 0 0 10 21 14 35 10 15 0 13 34 84 2 Chamoli 0 0 6 9 17 34 18 28 0 139 41 210 3 Rudraprayag 0 0 2 2 14 30 5 13 0 32 21 77 4 Tehri 3 7 43 136 15 30 10 24 0 16 71 213 5 Uttarkashi 0 4 7 30 40 2 2 0 0 36 49 6 Pauri 0 25 51 25 58 8 20 0 71 58 200 7 Haridwar 0 0 0 0 0 0 0 0 0 0 0 0 8 Pithoragarh 0 0 12 52 4 10 25 50 0 92 41 204 9 Champawat 5 13 13 63 5 13 3 8 0 6 26 103

10 Nainital 0 0 21 45 0 0 10 25 0 16 31 86 11 Almora 0 0 23 69 6 15 40 80 0 70 69 234 12 Bageshwar 0 0 16 71 2 5 5 13 0 51 23 140 13 U.S. Nagar 0 0 0 0 0 0 0 0 0 0 0 0

Total 8 20 175 526 132 270 136 278 0 506 451 1,600 Start date Completed Started October,

2009 June, 2010'

Completion date

Completed September. 2010'

December, 2010'

June 2011' June 2011'

125. MVSs are prepared for such habitations and villages which do not have easily accessible

water sources. When a MVS is planned for a habitation, as such it comes to mean that it is an acute water scarce area. However, the average per capita cost and per habitation cost is much higher for MVS when compared to SVS and devolution schemes. Further due to the higher per capita cost estimates, these schemes are sent upwards to the Expenditure Finance Committee (EFC) for clearance. Since EFC is not a technical body, it still takes long time to clear the proposals. Even with regard to the schemes now before the EFC and TAC, UJN is not very sure when they will be cleared and work can start on them. This makes the planning and implementation process more complicated even under the SWAp approach.



Table IV-10: Status and Plan for MVS under SWAp -UJN

Completed Implementing phase

Schemes Approved

Schemes Pending

approval by TAC

Schemes Pending approval by EFC

Total

MVS MVS MVS MVS MVS MVS No District Sch. Hab. Sch. Hab. Sch. Hab. Sch. Hab. Sch. Hab. Sch. Hab.1 Dehradun 0 0 0 0 0 0 1 7 1 74 2 812 Chamoli 0 0 0 0 0 0 0 0 0 0 0 03 Rudraprayag 0 0 0 0 0 0 0 0 1 96 1 964 Tehri 0 0 0 0 5 30 1 16 1 90 7 1365 Uttarkashi 0 0 0 0 0 0 0 0 0 0 0 06 Pauri 0 0 0 0 2 6 1 8 0 0 3 147 Haridwar 0 0 0 0 0 0 0 0 0 0 0 08 Pithoragarh 0 0 0 0 0 0 0 0 0 0 0 09 Champawat 0 0 0 0 0 0 0 0 0 0 0 010 Nainital 0 0 1 7 0 0 3 41 0 0 4 4811 Almora 0 0 0 0 10 64 2 26 2 190 14 28012 Bageshwar 0 0 0 0 0 0 0 0 0 0 0 013 U.S. Nagar 0 0 0 0 0 0 0 0 0 0 0 0

Total 0 0 1 7 17 100 8 98 5 450 31 655Start Date Completed Started October, 2009 Dec., 2009' October,

2010.

Completion Date Completed March. 2010' December, 2010'

Dec., 2011' December' 2012

126. The Uttarakhand Peyjal Nigam (UJN) has prepared plans for the remainder part of the

project period, taking into account New SVS, Devolution of existing SVS and construction of new MVS. However, MVS is causing heart burns now to UJN as the plans already prepared include some of the FC habitations that have slipped back into PC. Besides this, the per capita cost and per household cost proposed in the MVS do not match with the figures approved by the Government of Uttarakhand and the World Bank. Unless these two issues are sorted out the MVS cannot take off at all. When it is approved, another issue that is likely to crop up is the issue of procurement of goods and services, as the tender calls for NCB contracts failed to attract sufficient response from prospective bidders. Further details in these aspects are discussed under procurement. Necessity for a strong action plan is needed for execution of UJN schemes.

1. Feedback from the Field 127. An independent survey of 60 Rural Water Supply Schemes and 600 beneficiary

households from these 60 schemes has been surveyed to make an assessment of the beneficiary satisfaction and other details. The feedback resulting from the scheme and household level survey is explained here. Questionnaires developed in consultation with stakeholders for household and scheme level survey is can be referred in Appendix 3 and Appendix 4 respectively.



Schemes types surveyed

SVS Hand pump2%

SVS Tube well2%

SVS Gravity Gadhera

25%

SVS-Gravity- Spring

71%

128. Source Types. Springs and streams are the most predominant sources (96%) of the

schemes surveyed as given in the graph above. Completed schemes were taken up for survey, which included only Single Village Schemes, belonging to all three agencies. List of schemes surveyed is listed in Appendix 5. What is most pertinent with regard to the water source of the schemes is the type of physical environment around the source. If the source is environed by good quality forest vegetation, then there appears no immediate threat to the sustainability of the source. 93% of the schemes answer in the affirmative that their source is adequate for year round supply of water. Three schemes are not optimistic about the capacity of the source to supply water round the year, while one scheme was not sure about the perenniality. Both these categories pose a threat to the sustainability of the scheme.

Household size in surveyed schemes

69%

16%

15%

Up to 50 households

51-100 households

Above 100households

129. One of the blessings of the schemes constructed under URWSSP is its small size of

community to which the scheme caters. Over 69% of the schemes have a household size of less than 50 households as depicted in the graph above. Around 16% of the schemes support 51 to 100 households, while 15% of the schemes support more than 100 households. The larger the number of households drawing water from a single source based water supply scheme, the greater will be its threat in terms of sustainability to the source and the social institutional base. Important information with regard to the sustainability of the sources is that 41% of the schemes have informed that they have not



undertaken any catchment protection or recharge measures in their schemes. Only 59% of the schemes have responded positively that they have undertaken one or the other catchment protection or other recharge measures.

130. Being small community based water supply schemes which mostly supply water through

Public Stand Posts (PSPs), the only way to check misuse of water is through community control. Only 36% of the schemes have responded positively, saying that there exist measures to prevent misuse of water. Theoretically, even if one contents that the sources are perennial and water is available 24 hours a day, lack of self and community discipline in frugal use of water can be disastrous in the long run. What is needed at this juncture is that this issue needs to be studied in depth by the community and discussed in the community meetings, converting the information into knowledge rather than addressing it emotionally.

131. Aspects relating to the System. By system, we mean the distribution arrangements of the

water supply scheme in the context of the study. 80% of the schemes have not experienced any systemic failures after their commissioning, while 20% of the schemes have experienced system breakdowns after commissioning, which in most cases resolved locally. An important function of the system is that all household members of the scheme receive water in more or less equitable quantities and that there should be more or less equal pressure at the tap points. The survey gives good results for this aspect as 88% of the schemes have reported that they receive water in more or less equal quantity and pressure. Another very positive aspect of the scheme system is that the community has answered that 90% of the problems affecting the scheme are sorted out in a short period of time. The Operator of the scheme is able to manage the technical issues in 78% of the schemes, while in 15% of the schemes; they need an external support to sort out the problems.

132. Aspects relating to Water Quality. Over 90 % of the schemes have answered that the

community is happy with the quality of water supplied through their schemes. This is triangulated by the question about the people using the water supplied by the scheme for drinking and cooking purposes. 93% of the schemes vouch for the fact that water supplied through the schemes is used for drinking purpose. This fact vastly justifies the investment made by the Government and other stakeholders in the rural water supply sector, because the people use the water for the highest of their needs, i.e., for drinking and cooking. 92% of the schemes opine that their scheme is not under any kind of pollution threat or other possible contamination. However, only 31% of the schemes have taken any measures to prevent potential source pollution, while 69% of the schemes have not undertaken any measures to prevent source pollution. Further to support the aspect of water quality, 34% of the schemes have replied that as a result of the availability of good quality drinking water, the incidence of water borne diseases are less now than prior to the project. But this is not a majority with regard to the number of schemes visited and responded. It can also mean that 66% of the schemes / population have not probably experienced serious water borne diseases and hence the answer in the negative about reduction in the incidence of water borne diseases. The schemes which have answered in the negative to this question may be approached through the SOs/ DPMUs again for a triangulation of the above answer.

133. Aspects relating to Financial and Institutional Sustainability. 80% of the scheme

management considers that the scheme will be able to raise sufficient finances/ funds to meet the regular expenses relating to the O&M of the scheme. When it comes to the question of the regular practice in place for the collection of tariff, only 69% of the schemes respond positively. The regularity in cash collection is low also owing to advance



O&M collected during the project implementation process. The UWSSCs consider in an overwhelming majority of 97% cases that the GP will be able to resolve most issues relating to the water supply scheme. Similarly, there is regular communication channel between the UWSSC and the Community with regard to information sharing, be it about threats or other issues. This is a very healthy sign with regard to the vibrancy of the democratic systems functioning in the UWSSCs. The women involvement in running the schemes is impressive as women involve actively in 92% of the schemes. Similarly, the GP and the VWSC also regularly involve in the management of the water supply scheme. However there are two serious issues under institutional / financial sustainability aspects. Books of account are maintained in 55% of the schemes. Similarly, the next and perhaps a more serious threat to the institutional and financial sustainability is the fact that only 43% of the schemes regularly collect O&M charges. Even if the schemes do not incur much expense in the initial years, it is necessary to inculcate the habit of O&M collection, however small the amount is. The periodicity of collection can be monthly, quarterly or even half yearly, as long as such collection/ payment is part of the habit of the household. Monthly collection of O&M is found most prominent mode of O&M collection preferred by communities. The survey also reveals that 14% of the surveyed schemes have revised their O&M tariff rate, while in 86% of the schemes, there has been no revision of the tariff rates.

134. Concerns arising from the Scheme Surveys and Analysis. The analysis from the scheme

level survey indicates good feedback in general. However, there are three aspects that need to be focused on an urgent basis by the sectoral institutions. These are as follows (i) No catchment protection or recharge measures implemented in 41 % of the schemes (ii) 65 % schemes report lack of community control in preventing misuse of water. (iii) 57 % of the schemes do not collect any amount towards O&M.

135. These are issues that will threaten the sustainability of the schemes and may be given

immediate attention by the sectoral institutions.

2. Feedback from Individual Household Survey 136. Type of Water Connection under URWSSP. 85% of the individual households which draw

water from the project sponsored water supply scheme draw water from a PSP near their home and only 15% of the households have a private household connection.

137. Inclusion of Communities. Inclusion of population is the first and foremost strength of URWSSP as is shown by the Individual Household survey by the MTR. The State of Uttarakhand has a total of 84.89 million by 2001 census, of which 17.87% belong to SC and 3 % belongs to ST. However, URWSSP has included 29% SC and 8% ST in their drinking water supply schemes, thereby proving that a Government sponsored project can be sensitive to the disadvantaged section of society and include them in greater number and percentage in the project benefit net as presented below-



Relative coverage of SC/ST and Genral population in URWSSP

29%

8%

63%

17.87%3.01%

79.12%

SC ST General

URWSSP Uttarakhand

138. Another noteworthy feature of inclusion is with regard to the economic category. The

project has included 60% from the BPL category and 40% from the APL category. This is very striking as the project has succeeded in including lot of people from the disadvantaged- both in terms of social and economic categories, into the benefit net of the project and shows its humane face.

139. Changes in distance for Water Collection before and after Project. URWSSP has

substantially brought down the distance traveled by people to fetch water. As is clear from the chart next, people have largely ‘migrated’ into the ‘less than 50 meter category’ after the project thus reducing the distance they have to negotiate to fetch water home. Living in Uttarakhand, the habitations are located on hills and slopes. This means that the people have to climb steep slopes from home to the water point and back with water. The survey reveals that 73 % of the population now gets water at a flat terrain location. The percentage of population negotiating very steep slope has come down from 57 % to 12 % after the project. In the place of just 10 % of the people accessing water in less than 30 minutes prior to the project, it has become 89 % after the project has been completed. Thus the people are able to save time substantially as a result of implementing the project.

Change in Distance travelled for water collection before and after URWSSP

7%21% 25%

47%

92%

4% 3% 2%

Less than 50meters

51-100 meters 100- 200 meters More than 200meters.

Before After



140. Changes in Consumption Pattern of Water before and after Project. Another striking benefit of the project is with regard to the quantity of water available after the project as presented above. Most of the people belonged to the ‘less 100 liters per day per household category’ before the project. But after the project, most of the people have migrated to the 150 liters+ category. Today, 82% of the people receive more than 150 liters of water as a result of the project. It may be recalled here that the URWSSP offers 40 lpcd under the rural norms and the project has achieved this norm. Thus, the URWSSP has succeeded in reducing the time taken for collecting the daily need of water, the distance to the water point and it has also done away with the steep slope climb to the water point. It has also enhanced the quantity of water available per capita as well as per household.

Change in Water Quantity used before and after URWSSP

13%

25%33%

17%9%

3%0%7%

11%

30%25% 27%

< 50 liters/HH

51-100 liters/HH

101-150liters /HH

151-200liters /HH

201-300liters /HH

More than300 liters

/HH

Before After

141. It may also be noted that 85% of people responded that there was no incidence of money

cost in bringing the water before the project. This means that the people, especially the women were giving their physical labour for meeting the water needs of the home. This has come down. The average cost currently incurred by households for water services is Rs. 9.21 per household per month.

142. General Satisfaction Rating. A general satisfaction rating was done as part of the MTR

with regard to the quality of water supply service provided by the three sector institutions. A total of 60 schemes were surveyed to arrive at this conclusion. All sector institutions are rated 80% or above as good in their service provision. Among the sector institutions, PMU is rated with 97% opining good, very good or excellent about their water supply service, while it is 93% for UJS and 80% for UJN.

E. Status of Environmental Safeguards 143. Uttarakhand Rural Water Supply and Sanitation Project under the Sector-Wide Approach

(SWAp) triggered two of the World Bank’s safeguard policies: (i) Environmental Assessment (OP/BP/GP 4.01), and (ii) Forests (OP/BP 4.36). As per the Bank’s safeguard policy on Environmental Assessment, this Project under the Sector-Wide Approach has been classified as Category B (potential adverse environmental impacts on human populations or environmentally important areas are less adverse than those of Category A projects). As per the Bank’s normal procedures, during the project preparation stage, Environmental Analysis of the project was conducted and based on which Environmental Management Framework for SWAp has been developed for compliance during the project



implementation. As nearly 2/3rd of land area of the state is under forests, the majority of the water sources would lie in reserve forest areas. Recognizing operational implications of proposed interventions in forest areas, and the project implementation model premising on community participation, various options were suggested. Although there is land requirement under the project for development of infrastructure like water source, water treatment plants, water storage tanks and pipeline/drains, etc, the project under SWAp was formulated in such a way that it will not trigger the Bank’s safeguard policy on Involuntary Resettlement (OP/BP 4.12). To ensure this, certain key principles were identified and suitable options were suggested for compliance during implementation. Status and compliance of various EMF provisions are presented in the following sections.

1. Progress on Environmental Management Interventions in Physical Works 144. In line with the Environmental Analysis, suggested measures and ECOPs, various

interventions are proposed to address the identified environmental issues. These interventions include construction of appropriate structures for catchment protection and management, where required. Table IV-11 shows the status of implementation as in July 2009. As presented, while implementation of 4 of the 13 components is yet to be started, the remaining items have achieved targets ranging from 4-100 %. Notable progress achieved in the components of Percolation Ponds, Coolie walling, RWHT, Plantation and Check dams.

Table IV-11: Progress of Implementation of CACMP Works (as of July 2009) Sr. No Component Unit Proposed Achieved % Achieved

1 Compost Pit Nos 614 - -2 Soak Pit Nos 1,010 41 4%3 Garbage Pit Nos 1,041 - -4 Recharge Pit Nos 1,176 579 49%5 RWHT Nos 712 199 28%6 Counter Trench Nos 8,752 1050 12%7 Drainage M 100 - -8 Percolation Pond Nos 32 - -9 Plantation Nos 205,822 66,790 32%10 Grass Patch Nos 10,052 3 -11 Check Dam Nos 1,241 175 14%12 Coolie Walling Cum 4,487 1,867 42%13 Dug Pond Nos 352 42 12%

145. Under the total sanitation component, the physical progress of the works, as of July 2009,

is as follows: IHHL (41 %), Sanitation Complex (11%), School Toilets (54%), Anganwadi Toilets (18%) and Rural Sanitary Mart (13%).

146. Hence, the overall implementation is satisfactory, considering the total progress of the

project in terms of coverage of schemes/ habitations is around 10%.

2. Compliance with EMF 147. The Environment Management Framework (EMF) shows how the key environmental

issues should be identified, assessed, managed and monitored by the Program Implementing Agencies for incorporation of environmental management measures into the



main program planning, execution, operation & maintenance. The Environmental Analysis identified source sustainability, water quality, and environmental sanitation as the key environmental issues that warrant due attention and management. Based on the sample schemes taken up review, the following sections present various aspects of implementation compliance with EMF.

148. Preparation of Detailed Environmental Project Report. Source protection and its

sustainability has been identified as a priority area of intervention under the environment component of this project, accordingly EMF provided a detailed account of this component with extensive mitigation measures for integration into the implementation. EMF requires preparation DEPR during the preparation stage of each scheme focusing on source protection and its sustainability. This shall inter-alia include a source centered Catchment Area Plan comprising Technical Intervention Plan, Cost Estimation Plan and a Monitoring Plan. During the planning phase it is required that agreement is signed between Support Organization/GP, DPMU and UWSSC, clearly defining the description of activities to be performed during the planning phase, and will have provisions for source catchment assessment, problem identification, catchment area identification and zonation. The Plan Formulation and Source Centered Catchment Area Conservation and Management Programme are to be depicted in the DEPR. In response to the above provisions of EAF, the following activities are preformed in preparation of schemes under the SWAp. (i) Mapping of catchment area (ii) Assessment of Catchment area for tree cover, erosion and sanitation practices

through easy-to-use checklists and identification of need for catchment areas conservation and management plan (CACMP)

(iii) Preparation of CACM Plan with identification of measures, locations and costing 149. During MTR, it appears based on the discussions and available information that there is

limited focus on Catchment Areas Conservation and Management Programmes. Preparation of DEPR, which is a requirement of EMF for every scheme, is not complied fully as DEPRs are prepared for very few schemes. Of late, environmental screening format has become integral part of DPR, providing focus for CACMP.

150. A review of available DEPRs reveals that they are generally well prepared, and contain

necessary elements. DEPRs included the following: (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, waste lands, residential 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



assessment, solid & liquid waste generation and disposal. This checklist based assessment is source-specific.

151. Based on the above assessment, the need for various catchment improvement measures are

identified with locations and estimated costs included in the project cost for implementation

3. Compliance of ECOPs 152. ECOPs on Identification of Source Water Supply. Suggested ECOPs for both springs and

stream sources are observed to be complied in implementation in most-satisfactory to satisfactory level. The measures for source sustainability and down stream impacts are well considered in implementation. It is understood that this has been usual practice in most of the areas in the state to leave sufficient water downstream. Discharge measurements are taken at regular intervals (with bucket method or using a V-notch), and the safe discharge is considered for design. However, in some cases, the measurement of flow during pre and post monsoon as suggested by EMF is not complied - this is mainly due to six months planning period. All measures suggested for site location is complied. Although catchments with vegetated areas are preferred, in some cases it was not possible due to limited sources. Most of the sources are located in forest areas, not easily accessible and have no or very less anthropogenic interferences. For source used for multipurpose, care has been taken in locating the intake at far upstream where there is no competing uses. Water quality testing was conducted for every source for all necessary physico-chemical parameters at recognized laboratories. Sources selected for schemes satisfied Indian drinking water standards.

153. ECOPs on Protecting Surface Water Supply Source (Streams and springs) and Ensuring

Sustainability. As stated above, the suggestion of leaving minimum discharge downstream to maintain the ecosystem is complied. The suggested code to collect good water by providing an appropriate arrangement is also 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. As most of the sources are located in forest/not easily accessible areas, and have least anthropogenic interferences, the suggested fencing on the upstream side of source appears not provided. Check dams and other catchment treatment works are implemented based on the requirement to protect the source. Suggested measures for protection and visibility of spring sources are not implemented satisfactorily. Although chambers were constructed around the sites, no fencing is provided in some cases. With reference to various suggested measures for long term sustainability, creating awareness about the catchment in the community is most satisfactory. Nearly 90 percent (as per the household survey conducted in the MTR) of the users recognize their catchment, and SOs are able to generate awareness among them about preventing free grazing, social fencing, discouraging open defecation, raising plantations, long-rotation crops, organic farming, contour based working of land, erosion control measures, sub soil recharge measures, etc.

154. ECOPs on Water Quality Monitoring. As suggested, complying with the ECOP, the

source of water of all schemes have been tested for necessary physico-chemical parameters before finalizing sources to tap water. It was ensured in all cases that the water source meets the drinking water standards. Sources of contamination, if any, are identified, but these cases are almost nil as most of the proposed sources are located in forest and not



easily accessible areas with no anthropogenic interferences. The suggested measure of acidification of water sample immediately after collection is not practiced. Depending on the availability of laboratory, the time lag between the collection and testing varies from 24-48 hours. Chlorinators are provided at all storage tanks for regular chlorination at storage tanks. The chlorinators are provided with adjustment to dose the chlorine at required levels (0.2 ppm for spring sources and 0.5 ppm for Gadhera sources). Awareness generation programs have been conducted at habitation level to sensitize people to prevent open defecation and locating problematic facilities like toilets, compost pits near the source.

155. ECOPs on Selection of Safe Sanitation Technology Options (including drainage) at

Individual Household and Community Level. The measure to provide proper drainage facilities near the common stand post and at the household connection point were not implemented satisfactorily. Although awareness generating camps are conducted, the actual implementation of practices like not throwing garbage into the drains, garbage pits etc is yet to be practiced. Overall the compliance this ECOP needs to be improved.

ECOPs on selection of location for community toilets. No community toilets were constructed in the project.

156. Guidelines/ ECOPs on Safe Sullage Disposal and Organic Waste Management. No major

works related to sullage and waste management are implemented under the project. At this stage, awareness programs were conducted at habitation level, to sensitize the people about the necessity of safe practices.

157. Guidelines/ ECOPs on Safe Solid Waste Management at Individual Household and

Community Level. Under the project no solid waste disposal facilities like compost pits are constructed. Awareness programs were conducted at habitation level, including on the safe solid waste management at community and household level. However, these are yet to be implemented and practiced by community.

F. Inferences from Household Survey during MTR 158. Following are the results of survey conducted:

(i) 63 percent are using wood as cooking fuel, putting stress on the catchment areas (ii) 38 percent have no latrines, may be resorting to open defecation (iii) 91 percent of the respondents have indicated that the quality of water supplied by

schemes implemented under SWAp is good/very good. (iv) Almost all households are receiving water above the prescribed rate of 40 lpcd.

G. Institutional Issues

(i) Preparation of DEPR along with the DPR is the responsibility of SOs. However, this is not complied in many cases. The reason is said to be limited planning period (six months), in which SOs are only able to concentrate on actual scheme preparation. Due to lack of awareness, the community at large is also mostly focused on completing the schemes, and environmental issues are considered secondary. However, the above reason appears not completely correct. There is no dedicated or competent staff to deal with environmental issues available with SOs. Although



PMU provides training to SOs, staff with basic understanding of forests/environment/ecology is a must for preparation of DEPR. Moreover, as there is no dedicated staff, the priority is also undermined. In some cases, although CACMP technical plan is prepared the costing is not prepared by the engineering consultant, and finally not included in the project.

(ii) Environmental Specialist (ES) of DPMU plays a very crucial role in successful implementation of the project as well as in complying with the EMF at ground level. Although role of ES is clearly defined, due to various reasons they are overloaded with the other administrative and technical aspects. Accessibility of habitation and schemes is another important issue for regular review and monitoring by ES.

(iii) Environmental Specialists are not available with all DPMUs. Review and approval of DEPR/EMP of each scheme and compliance monitoring is the prime responsibility of ES of DPMU.

(iv) Comparatively, compliance with the EMF in the schemes implemented UJN/UJS is not satisfactory. DEPRs are not prepared, environmental issues not reviewed. As such, neither an Environmental Specialist is available with UJN/UJS nor there is involvement of Environmental Specialist of DPMUs in the schemes implements by UJN/UJS.

(v) Coordinating on environmental issues and compliance with EMF under SWAp at the state-level is the responsibility of Environment Specialist (Coordinator) with the PMU. Due to no direct institutional mechanism to deal with the UJS/UJN schemes, there is no effective coordination and EMF compliance review of schemes implemented by UJS/UJN.

(vi) The PMU has taken initiation to coordinate with the UJN/UJS and organized training programs for UJN and UJS engineers on SWAp, CACMP and NDWQM&SP.

(vii) For the schemes transferred by UJN/UJS to GP under the SWAp, it is necessary to ascertain source sustainability vis-à-vis necessity of CACMP.

(viii) Delay in forest land conversion is stated to be a reason for delay in implementation of works. Nearly 20 percent schemes required forest land conversion. In few cases, the total time taken to obtain forest land clearance is said to be as high as 2 years.

(ix) There is no land acquisition or involuntary resettlement involved in any of the schemes implemented so far. This complies with underlying principles of the program to avoid involuntary resettlement.

(x) An impact assessment study of Batch 1-A under the PMU is initiated to assess the contribution of catchment area activities since August 2009. Preparation of report on compliance of EMF codes of practices for each scheme is yet to be initiated.

1. Recommendations (i) Include provision for an Environmental Specialist in the SO team or train the

Community Engineer thoroughly in preparation of DEPR and CACMP. (ii) Accord priority to DEPR and CACMP, considering it a priority. No projects must be

cleared by the DPMU/ Divisional offices of UJN/ UJS unless the DEPR and CACMP are prepared and included.

(iii) DWSMs may be directed by SWSM that unless the DPRs prepared and forwarded to DWSM for approval contain the DEPR and CACMP, and non-compliance of this



aspect must be a ground for rejection of schemes and should be applicable to all sectoral institutions including UJN and UJS.

(iv) Necessary steps may be initiated to appoint or hire services of an Environmental Specialist at UJN/UJS

H. Issues with Design of Water Supply Schemes

159. Reviewing the DPR’s prepared by sector agencies technical quality is satisafactory, except for devolution schemes. Most devolution schemes are between 8-12 years old. Some schemes underwent periodic or near recent augmentation/ rehabilitation works. However, this is does not near absolute technical fitness owing to pressure towards devoluting the same to community and owing to cost caps.

160. However, devolution schemes under UJN are more or less recent in origin, and the issue is

not of much prominence, except in few cases. (i) Population Projection. As specified in the technical manual, standard demographic

methods is used for projecting population based on the designer’s discretion. The practice followed is based on population from 2001 census projected up-to base year using the tehsil growth rate arithmetically and thereafter 30% is added to arrive at the design population. However, suited demographic methods are not used for projection of population. In one of the reviewed schemes, based on the above mentioned approach, the base year population arrived using tehsil growth rate of 3.84%, is 62 whereas an actual headcount show (as part of PFR) this population as 79. If this is taken as base, with a projection of 2% per annum arithmetically produce a design population, of 103 persons. Here, if the existing mentioned method is used without actual headcount, the projected value will be 81 only. This indicates some refinement in population projection is required.

(ii) Unit Water Demand in Large Rural /Peri- Urban Communities. When households

per habitation are more than a certain level, (say more than 100 households per habitation), incremental water use per household can be expected within design period itself, given physical and economic changes. Hence, in such habitations, per capita design needs to be incremented from 40 lpcd to 70 lpcd.

(iii) Source Discharge. As per Technical Manual, the safe discharge needs to be

minimum 0.15 l/sec. The source, which has been 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, 0.75 X minimum dry season source yield. Though the reviewed DPR’s indicate measured value for 1 to 3 years, there is no authentic report of such measurements as to when and by whom the measurements were made. For tube wells all report mentions 1,000 lpm yield, this also has no background detail. Having dependable source, yield information is critical for success of whole program.



(iv) Water Source and Treatment. As per technical manual water purification includes- roughing filter, slow sand filter and auto-wash filter followed by chlorination. Water quality analysis report is not included in many of the reviewed DPR’s. However, interaction with designers show that there is no major quality problem as the water available in the upper stretch is generally clean and has no major anthropological interventions. Uttaranchal Koop developed by UJS is proving as a viable solution to address turbidity and biological contamination for SWAp schemes. Also it is noticed, the frequency of chlorination is not much popular among user communities, hence tapping of sub-surface water from springs and gadhera’s needs promotion. Change over from surface water collection to sub-surface water collection, results in lower cost, by avoiding necessity for Boulder Filled Galleries and other allied structures.

(v) Peak Factor. Technical Manual specifies 1.25 for conveyance mains and 3.0 for

distribution. In the DPR’s reviewed, it is taken 1.0 for conveyance mains and 2.4 for distribution system, which is low. For smaller communities with homogeneous group, a higher peak factor is to be adopted. For population less than 50,000 persons, the suggested value is 3.

(vi) Pipe Material and Minimum Size. As specified in Technical Manual, for PVC/GI

for conveyance main need minimum size 50 mm and PVC/GI for distribution with minimum size 15mm/20mm. While GI pipe restricted to crossings, landslide areas and rocky terrain. It is observed, invariably GI with minimum size of 15 mm proposed for distribution and DI/MS for pumping mains and GI with minimum size 32 mm for conveying mains. In practice, PVC/PE can be used for distribution except at rocky stretches, crossings etc. and DI for pumping main and PVC/PE for transmission mains. Using GI has cost implications, besides the type of GI available has smaller service life and its carrying capacity often get reduced soon, despite having a promised life span of 30 years. Adopting minimum size of 15 mm in a public system is not advised and needs to be re-examined.

(vii) Adopting Friction Factor (HW-C value). The Technical Manual specifies, for GI/CI

-100, AC- 120, PE-PVC- 140, which is followed in DPRs. In practice for RWSS, the friction factor needs to be - Unlined metal pipe -100, lined metal pipe -140, plastic pipes -145, GI up to 50 mm diameter -100, other GI -55. For GI pipes of diameter less than 50 mm diameter, which is predominant, C value of 100 is taken where as the recommended value is 55. This has resulted in smaller pipe sizes becoming hydraulically feasible. In practice, these small diameters, GI pipes designed with C value of 100 will not yield the calculated residual pressure and this can seriously affect system performance.

1. Recommendations (i) As habitat wise census population is not available, the historic population of either

the village or gram panchayat unit which is available in census data has to be used for fitting a trend line. Using this trend line equation the latest population has to be projected to design period. This needs to be cross checked with actual head count which is generally available in most habitations.



(ii) It is vital to have a dependable source study for all the schemes. The report should clearly indicate the procedure, the time, the persons involved and a certification by a competent person validating the discharge observation. Alternatively a separate study can be done for identifying and ascertaining yield of all potential sources.

(iii) Promotion of Uttranchal Koop, for taping sub surface water flow, designed by UJS needs more promotion, as the same is found effective in addressing turbidity and lowering biological contamination.

(iv) The peak factor for water supply need be 1.0 for conveyance mains and 3.0 for distribution shall be adopted.

(v) 32 mm GI/40 mm PVC-PE can be considered as the minimum size. 15/20 mm shall be adopted for providing individual house service connections. Wherever feasible, use of PVC can considerably reduce the cost of scheme.

(vi) For achieving uniform pressure, distribution network designs should be produced using free software such as LOOP or EPANET. Wherever the distribution network length (>15 km) a standardized computer aided design has to be adopted to fix the correct sizes, class and pressure, especially in MVS.

(vii) Redesign all the designed but not executed systems with a C value of 55 for GI pipes less than 50 mm diameter; adopt minimum GI diameter as 32 mm and PVC diameter as 40mm.

(viii) Increasing design water demand from 40 lpcd to 70 lpcd in large habitations with likelihood to progress into peri-urban settlements within design period.

I. Issues in Implementation of Water Supply Schemes 161. Some of the issues that the project implementing partners have faced since the inception of

URWSSP are listed. Most of these issues have contributed to the time overruns and the consequent cost overruns in the project. Some of these are given below with recommendations/ suggestions to overcome the issues.

(i) DPR Approval Process. There are five stages in the DPR preparation and approval

process for schemes below Rs.50 lakhs. These are as follows There is some amount of duplication at the district level and 1 to 3 months are lost

to some schemes in the verification and approval process at the district level. Therefore the recommendation in this regard is that the DPR may be vetted at the DPMU / Divisional offices level and directly send to DWSM for its approval. The DWSM may conduct one sitting every month for the consideration of DPRs. Its quorum etc may be modified and its meeting can be considered valid if the technical

DPR approval process at

present

Step 4

Step 5

Preparation of DPR by the SO/AE

Vetting of DPR by Executive Engineer / Asst. Exe. Engineer

Verification of DPR by TRC

Recommendation by DWSC

Approval by DWSM

Step 3

Step 2

Step 1



members and the Chairman of the DWSM are present, for the purpose of approving the DPRs.

(ii) Scheme Approval Process for MVS. There are up to eight stages in the DPR

preparation and approval process for schemes above Rs.50 lakhs. • DPR is prepared by the Asst. Exe. Engineer - UJN • DPR is vetted and checked at the Divisional Office by the EE/SE. • DPR verified and checked by the Technical Review Committee- District level. • Recommendation of the DPR by the DWSC, chaired by the Chief Development

Officer (CDO) • DPR Recommendation by the DWSM • Schemes forwarded to SWSM/ Approval if between Rs. 50 to 100 lakhs • Schemes forwarded to TAC of GoUK if between Rs.100 to 500 lakhs • Schemes forwarded to EFC if more than Rs. 500 lakhs.

o Through Minister Drinking Water Supply o Through EFC o To Chief Minister

The proposals sent by UJN to GoUK with regard to MVS have experienced delays

in clearance on the basis of the mandatory approval and clearance process as well. It is recommended that MVS schemes under SWAp/ URWSSP may be cleared at the level of the SWSM itself or simply the higher level approval procedures.

(iii) Role of SO during the Construction Phase. There is no provision for the Junior

Engineer and the Accountant to continue their services in the GP during the implementation phase. The Junior Engineer who played a key role in preparing the DPR leaves and is generally not available to supervise the construction during implementation phase. Even if a Community Engineer is appointed and placed at the GP level, it unnecessarily brings in confusion. The GP may not be able to manage these personnel properly and ensure the availability of services of the Engineer. Similar is the case with the Community Accountant. Both these positions may be retained under the SO during implementation phase so that there is no turnover of personnel between planning and implementation phases.

(iv) Fund Flow and Account Operation at the GP Level. Fund from the SWAp basket is

diverted to the UWSSC through the Gram Nidhi, which is operated by GP Secretary. It is understood that one GP Secretary holds parallel charge in 8 to 10

DPR approval process recommended Step 2

Step 3

Preparation of DPR by the SO/AE

Vetting of DPR by Executive Committee

Approval by DWSM

Step 1



GPs. The GP Secretary is not available in time to sign the cheques and release money to the UWSSC. Hence, this is causing serious delay for the completion of the projects. Given below is a case study from Dehradun DPMU giving details of the fund flow arrangements.

Table IV-12: Time delay in fund transfer (DPMU to UWSSC)- Case I Installments of Fund Release Thaleen Kashnu Kandoli Gauhrimafi DPMU to UWSSC 1st 71 61 53 65DPMU to UWSSC 2nd 26 27 29 8DPMU to UWSSC 3rd 7 No transfer 46 6

As shown above in the case study of four selected schemes from DPMU Dehradun,

the time for transit of funds from DPMU to the UWSSCs range from 6 to 65 days and this is mainly due to the un/availability of GP Secretaries at the respective GP Offices. We also examined the case of some fund flow arrangements with regard to DPMU Tehri. The evidence suggested by the data is not different. There is inordinate delay in the transit process. It is nearly two to three months in some cases for the UWSSC to realize the funds released by the DPMU. Details of these are provided in the table given below.

Table IV-13: Time delay in fund transfer (DPMU to UWSSC) - Case II Scheme Name Batch Release

Amount by

DPMU (Rs.)

Release Date by DPMU

Amount credited

in GP account

Date on which

Cheque issued by

GP to UWSSC

Time in days from

DPMU to GP

for fund transfer

Time in days

from GP to

UWSSC for fund transfer

Tishriyada 1B 11,81,037 5/11/2008 23/12/2008 7/1/2009 48 63 Gadoda Pungda 1B 2,98,458 1/11/2008 30/01/2009 11/2/2009 91 102 Belya Sain 1B 2,00,497 1/11/2008 30/01/2009 11/2/2009 91 102Pasar Kyark 1B 3,63,463 5/11/2008 28/11/2008 30/12/2008 23 55 Dhaigla 1B 3,62,969 5/11/2008 28/11/2008 1/1/2009 23 56 Talai Talli 1B 3,86,592 5/11/2008 28/11/2008 18/12/2008 23 43 Dandasari 1B 1,51,845 5/11/2008 28/11/2008 22/12/2008 23 47 Pungarh 1B 2,86,272 5/11/2008 28/11/2008 5/12/2008 23 30

DPMU to UWSSC – First Installment (Days)

DPMU to UWSSC – Second Installment (Days)

DPMU to UWSSC – Third Installment (Days)



Some alternatives are suggested instead of the current arrangement. The project account may be opened and operated by GP Pradhan and UWSSC Treasurer, as illustrated below-

If their needs a third party involvement in this, the account could be operated by GP

Pradhan, SO Team Leader and UWSSC Treasurer. The third option is to take actions at the Government level to appoint one GP Secretary for each GP, so that the availability or presence of GP Secretary increases at the GP Office and bottlenecks in fund flow can be overcome to a certain extent.

(v) The Impact of Electoral Process on URWSSP. There were three major elections

ever since the launch of the URWSSP in Uttarakhand. During April-May, 2007, the general elections to the State Legislative Assembly took place. The GPs were dissolved in February 2008 and thereafter the electoral issue was dragged into the court. The elections to the local bodies concluded by September 2008, the whole process including the dissolution taking nearly 6 months. Thereafter, during 2009, the Lok Sabha elections were around. Though elections are the vibrant part of the democracy, it causes a delay to time bound projects such as URWSSP, as due to model code of conduct, absence of GP Pradhans from offices and officials being given other duties, the project becomes a casualty in terms of time. How best the electoral period can be used for non-implementation and fund transfer related activities will have to be researched into, coming up with an alternative method of utilizing the time during elections. It is anticipated that the next legislative Assembly Elections will again take place before the closure of the project. In all it is roughly estimated that something like 9 to 12 months delay would have occurred to the project due to elections. This is visible from the fund transfer details available from the DPMUs.

(vi) The Procurement Process. The procurement of materials now takes substantial time

due to the cumbersome quotation process. The quotation process may be simplified so as to save time.

(vii) Material Testing. Material testing is another activity that is quite time consuming. It

was remarked by an Engineer that by the time cement sample test is done and the report comes back to the SO/ UWSSC, the strength of the cement purchased already and kept in the storage somewhere in the village would go down by 20%. The process of the activity is defeating the genuineness of the purpose. Reports for cement tested at the laboratory facilities of the manufacturer would be sufficient as a record in this case. Date of manufacturing can be taken as another indicator of

Current arrangement in Fund flow

Alternate Fund flow Arrangement

GP Releases funds to UWSSC

Funds released by DPMU to Gram Nidhi Operated by Pradhan and Secretary

Funds released by DPMU to Special Project Account jointly operated by Pradhan and UWSSC Treasurer.



quality. Some of these measures may be adopted and cement testing in approved quality control labs may be given up to save time and cost overruns. Also it may be examined to avoid testing of cement bearing BIS certification.

(viii) GP Elections and Change of PRI Representatives. Elections to the GP Board take

place once every five years. Due to political campaigning and imposition of model code of conduct, there is a near lack of presence of the GP Pradhan at the GP office for several weeks during the electioneering process. After the elections, new members of the GP Board takes time to understand the process and own up the process relating to the community owned and managed water supply schemes. There are instances where new Pradhans and members refuse to own up the project. The scheme cycle of the project may be suitably adjusted to accommodate delays due to elections as it is possible to forecast the elections. Intensive handholding and training support may be provided to the newly elected GP Board after each local body elections on the Project so that they appreciate the spirit of the project

(ix) Climate and Terrain Related Issues. The hill districts, especially Tehri, Uttarakashi,

Chamoli, Pithoragarh, Bageshwar and Champavat are extremely difficult terrains. The climate also plays a key role in influencing the progress of the project, in terms of time and cost overruns. The peak winter months and the peak monsoon months substantially block the project pace in the difficult areas. A possible solution to this could be found by providing additional man months and extended scheme cycle for tough terrain.

(x) Menu of Technology Options. Though a menu of options are said to be available,

such options are minimally used upon. Multi-village schemes are proposed due to unavailability of adequate water sources for piped water supply across the habitations or villages. Further detailed and focused exercises are needed towards exploring/piloting decentralized run off / rainwater storage based community level water supply options suited to Uttarakhand terrain.

(xi) MVS Schemes and DPRs under Preparation. UJN has identified about 44 MVS

schemes of which 31 schemes have completed DPR’s, of which majority were reviewed in detail. These 31 schemes with an outlay of Rs. 12,939 lakhs, is envisaged to cover 655 habitations, which forms bulk of the habitations with UJN’s target. Also around 290 habitations are categorized as FC, as per past survey, but majority are now said to have slipped back to PC/NC category. Only 16 schemes are approved for execution, and the approval for the remaining is awaited. There are cases where the per capita cost is exorbitant in the case of some MVS, especially those schemes with multi stage pumping. An overall view of MVS scheme DPR’s is presented in Table IV-14.



Table IV-14: Summary of UJN MVS schemes cost wise Proposed MVS category Average

Scheme Cost Average No.

of Habitations

covered

Average No. of

Households

Unit cost per Habitation

Rs. Lakhs Nos. Nos. Rs. MVS- with DPR cost less than

Rs. 50-lakhs. 29 4 75 801,058

MVS- DPR cost between-Rs.50-100 lakhs

85 6 341 2,085,114

MVS- With DPR cost less than Rs. 100-500 lakhs.

267 12 784 2,324,244

MVS- With DPR cost more than Rs. 500 lakhs.

2,136 94 3,728 2,298,786

Overall average 629 29 1,232 1,877,300 Action is needed to speed up the technical vetting and approval of MVS schemes,

else substantial delay will result. (xii) Role of the Support Organisation (SO) in Facilitating URWSSP. There is substantial

difference between the status of the SO in URWSSP-II when compared to - Phase –I. Interactive discussions with officials and SO personnel revealed that while SO was considered a partner based on mutual trust in the earlier phase, it is now reduced to that of a sub-contractor which is expected to be utmost truthful and honest, while surviving with minimum remuneration. The partnership status of the SO has been reduced to that of contractor with legally binding agreement, bank guarantee provisions and making it difficult for SOs to work in the new project. At the same time, as the number of SOs engaged in the project has increased, the quality of SOs available for selection as well as the quality of selection itself have suffered damaging changes. It is a good thing to continue to engage SOs as a facilitation agency in the project. A comparison of the remuneration paid to the SO and the quantity of work taken from them also reveal wide gaps. The remuneration has decreased while the work has increased. The number of personnel has decreased while there is no commensurate reduction in work. There is a widespread fear among the officials that the quality of output and services provided by the SOs is deteriorating. The terms of engagement of the SOs itself would be a limiting factor, which contributes to this deterioration in quality. Capacity building of the SOs cannot be assumed to be safe. It has to be addressed in right earnest as well. SOs strengthened and capacitated would ultimately benefit the State of Uttarakhand and would enhance the social capital of the State.

(xiii) Role of SO during the Construction Phase. There is no provision for the Junior

Engineer and the Accountant to continue their services in the GP during the implementation phase. The Junior Engineer who played a key role in preparing the DPR leaves and is generally not available to supervise the construction during implementation phase. Even if a community engineer is appointed and placed at the GP level, unnecessarily brings in confusion. The GP may not be able to manage these personnel properly and ensure the availability of services of the Engineer.



Similar is the case with the Community Accountant. Both these positions may be retained under the SO during implementation phase so that there is no turnover of personnel between planning and implementation phases. SOs are now selected at the District level. Officials reveal that there is political pressure on them to select SOs without adequate capacities. This will also affect their performance and that of the project.

The following recommendations are made with regard to the selection of SOs, their

capacity building, use of their services and the terms of reference of services and remuneration package for the SOs • SOs may be given partner status in the program • Short listing of SOs may be done at the State level, for which status enquiry,

recommendations etc can come from the District level. Selection of SOs may be based on exclusive merits, capacities and credibility of the SO prior to their engagement.

• A detailed comparative assessment of SOs may be done across the state by PMU with regard to their performance, remuneration package, rapport with the community, GP and DPMU, assessing overall efficiency, good practices and innovations. Care may be taken to look at the comparative assessment of small/ local/ large/ State-wide SOs and come up with conclusions on the impact of such parameters on the project.



J. Planning and Approval Process 162. A summary of the scheme cycle processes followed in planning community water supply

schemes under URWSSP was analyzed across four cost categories. Analyzing the actual experience of four selected schemes in Batch 1A and 1B each on time overruns indicate the delay points as given below.

Table IV-15: Actual Timeline in Select Schemes against Scheme Cycle Name of activity in the Scheme Cycle

Batch 1 A- Dehradun DPMU Thaleen WSS Kashnu WSS Kandoli WSS Gauhrimafi

WSS Days Days Days Days

Time over runs during Pre-Planning (days)

20 20 20 20

Time over runs during Planning Phase (days)

221 221 221 221

Cumulative time overruns until the end of Planning Phase (days)

241 241 241 241

Time over runs in the Implementation Period (days)

408 408 408 760

Cumulative time overruns (days)

649 649 649 1,001

Cumulative time over runs in months

21 21 21 33

163. The planning process as designed in principle is suitable and there are several provisions

for community participation in every activity envisaged in the planning phase. However, the project stakeholders do not generally perceive any risk factor in implementing a project and that has caused considerable delays in implementation. Some of these factors are beyond the control of the project stakeholders themselves. During the Stakeholder Workshop, an attempt was made by all stakeholder groups to map the constraints faced by them. Major constraints as identified by the stakeholders are given below.

Table IV-16: Reasons for Time Delay in Project Implementation Sr. No

Constraints Score out of 6

1. Delay in fund transfer from Gram Nidhi to UWSSC. GP Secretary is not available and he does not give time to the UWSSC.

4

2. Difference between RGNDWM Survey 2003 and field realities. 4 3. Time Constraints- delay - less time for Implementation- Gap between

planning and implementation phase, delay in preparing IPCR 4

4. Forest Land Transfer- Complicated Process and causes delay. 3 5. Insufficient availability of Technical Staff at GP and DPMU. 3 6. Lack of experienced NGO 2 7. Delays due to Elections 2 8. Complicated Quotation process 2



K. Strengths of URWSSP- SWAp Approach -Synthesized during Stakeholder Workshop

(i) Strongly demand driven (ii) Enabling community participation and ownership (iii) Development of local institutions and their capacities (iv) Infusing transparency as a key value in development interventions. (v) Integrated strategy -source -catchment protection- water quality- behaviour change. (vi) Development of Social Capital - GP- UWSSC leadership building -UWSSC leaders

emerging as new local leaders- They participate in GP elections-other development activities initiated by them.

(vii) Resolution of conflicts at local level - Capacities to resolve conflicts. (viii) Empowerment of PRIs - strengthening local democracy- developing local

democratic institutions (ix) Community contracting as a confidence building measure- Through community

contracting, they not only procure goods and services, but they also learn how to procure and thus adding to the community confidence.

(x) Deepening of democratic experience - Rules and regulations favour the participation of Women, SC, ST and Grassroots Democratic process is strengthened through community decision making.

(xi) Improved water supply providing good health, time saving and economic improvement.

(xii) Capacity building of GP -PRI centric and contributing to decentralisation. (xiii) Less leakage of resources and corruption in development works (xiv) Fund and finance management by Users (xv) Improved involvement of PRIs especially GPs (xvi) Involvement of NGOs as a check and balancing force in local development (xvii) Demystification of technology, management and development dynamics (xiii) Immense scope for the government to replicate this model of success into other

sectors of development in the State.

L. Lessons Learnt as Outcome of the Stakeholder Workshop

(i) The beneficiary and non-beneficiary community have accepted Swajal project as a feasible development model.

(ii) Swajal shifted the development trend from creation to management of assets (iii) Management of the project by the UWSSC makes the people/ conscious of

contingencies/ creating /maintaining cash surplus (iv) Demand in place for improved service from members within the beneficiary

institution. (v) Swajal has developed credibility among the people as a result of its work. (vi) Capacity to make rules and regulations to manage WSS including prevention of

misuse of water, impose sanctions against those who misuse, fix and collect water



cess, determine and collect penal charges. (vii) Able to take decisions and become empowered through decision making and

appreciating why the community has taken the decisions it has taken. (viii) Swajal introduces a consensus on Water / Politics of Development (ix) Increased women comfort - Time comfort for social activities, leisure, engaging in

income generation activities and entertainment/ Health comfort / Mental peace enhanced / Physical drudgery less

(x) Enhanced community pride through water supply - Water supply through yard taps even in the ordinary households/farm labourers/ BPL/ SC/ ST/ - a matter of pride for the households. This section of the community never dreamed of such facilities which they believed can only be enjoyed by the people of the upper echelons of the society. Therefore, reaching the benefits of development to a category of population that has been untouched directly till date by a development project touch their very lives.

(xi) Emerging mainstream political consensus at the grassroots level (xii) Swajal is about building habits, modifying behaviors and attitudes- going beyond

the construction of assets (xiii) Swajal creates a social capital base in the GP: Swajal became a platform for using

the social capital of the Grama Panchayat. (xiv) Community capital can be as efficient as Private Capital (xv) Swajal takes decentralization further down to the bottom-line from the

“Decentralization and devolution of powers up to me and not beyond me’ syndrome. (xvi) Swajal seems to have ushered in a model which ensures sustainability of

investments in water sector and proving that a development crisis can be ended. (xvii) Swajal model is a radical development experiment which deepened the practice of

democracy in the State, a project that made a difference in the lives of the ones who participated in it, socially and politically.

M. Community Development (B2) 164. UWSSC becomes a platform for community mobilization, community development, and

capacity building at the village level. This subcomponent would support such activities, including establishment and operationalization of User Water Supply and Sanitation Committees (UWSSC) and MVSLCs, as well as related workshops, information campaigns, health and hygiene, women development initiative (WDI), and participatory community action planning training, etc. In order to ensure the aforesaid, efforts were made to form committee at each Gram Panchayat level with support from local support organization. The following is the present status of the groups formed:

165. Currently around 3,002 UWSSC’s are formed in 2,644 Gram Panchayats. The number of

UWSSCs actually depends upon the number of habitats in a Gram Panchayat. In general one committee comprises of 7 to 12 members. Participation from all sections of the society is ensured within the UWSS Committee. On the basis of survey conducted on households under SWAp, it was found that the SC category of beneficiaries consists of 29%, while the STs account for 8%. Considering the social category distribution of population in the State of Uttarakhand, / SWAp has followed an inclusive approach by including more people from the disadvantaged sections of society in the project benefits. It may be noted that the



State of Uttarakhand has 18% of SC population and the project has included 29% of SCs as beneficiaries. The achievement of SWAp is all the more impressive as the beneficiary profile indicates an inclusion of 56% households from the BPL category.

166. MTR collected information on proxy wealth ranking aspects of the individual beneficiary

households to triangulate the APL - BPL beneficiary divide commonly accepted in the official dealings. We selected a list of wealth and wellbeing indicators such as 1) Type of Roof of the house, 2) Electrification status of the household, 3) Road access to the household 4) Type of Fuel used at home 5) Extent of Land Owned, 6) Types of Vehicles owned by the Household, 7) Audio-visual entertainment gadgets at home, and 8) Mobile phones used at home. All the 600 respondent households were scored and ranked on the basis of the above well being criteria and the resultant scores / data as below-

Relative Wealth Ranking- Percentage Households

2%

40%

31%

24%

3%

Poor Lower Middle Middle Higher Middle Wealthy

167. URWSSP- SWAp program has benefited people who mostly belong to lower income

groups. This is another point in favor of the project and substantiates the standard categorization of BPL -APL mentioned earlier.

168. In general, households in one habitat are from same caste or clan and are thus

homogenous. This factor helps in avoiding social conflicts amongst the group members. Field visits and interactions with the beneficiary community have given the impression that UWSSCs are able to manage their water supply schemes. However, representatives of UJN and UJS who took part in the Stakeholder Workshop opined that the communities still need to enhance their capacities for managing pumping and gravity based water supply schemes.

169. Women SHGs were also formed within habitats coming under the project. In addition to

this, networking and coordination with existing women SHGs formed within SGSY or other schemes were done under the program. Household based survey conducted as part of MTR revealed that improved water supply service at closer proximity to the habitation/ household have brought time saving for women, men and children.



Change in Time needed for water collection before and after URWSSP

9%

46%30%

12%3%4% 4% 5% 1%

86%

Less than 30minutes

Half an hour toone hour

1 to 2 hours 2 to 3 hours More than 3hours

Before After

170. The question of time and distance savings with regard to URWSSP has been examined.

Detailed data regarding time and distance savings from Swajal- PMU schemes were collected on a second round to cross check the veracity of claims with regard to savings in time and distance as a result of providing water. It is found that households under PMU- Swajal schemes travel on an average 149 meters of elevated terrain per trip to collect water. Average number of trips per household during a day is calculated as 4.8. Thus the total distance saved is 715 meters per day. Those households maintaining domestic animals make an additional 3.7 trips to the water source to fetch water for the animals, and are equivalent to 551 meters. Together these two account for a distance of 1,267 meters per day per household. Thus the average distance saved per household per day is equivalent to 1,267 meters. As a result of implementing the project, households now spend less than half an hour per day to fetch their water requirement.

171. The ownership feelings of the community is far more in Swajal/ SWAp, due to their

involvement in identifying the water source, planning of the water supply scheme, community contracting and procurement process, operation and maintenance. Support Organizations facilitating the SWAp programme as well as DPMUs observed during the Stakeholder Workshop that community participation in water supply schemes have resulted in generating a social byproduct in the form of new leaders within the habitat. Such ‘new generation’ leaders generally take interest in village development activities. In this way, the skill of available human resources also gets enhanced through capacity building initiatives and giving opportunity at local level.

CASE I: Khandoli WSS Mr. Veer Singh, Operator of Khandoli Water Supply Scheme was initially doing plumbing jobs in Dehradun town. He had to travel 15 km one way daily to get to work locations in town. He claimed to be getting an approximate monthly income of Rs. 6,000 from his employment in the city limits. He had to spend half his income in travel, in addition to the time he spent in traveling to his work place and back home after work. When the Kandoli Water Supply Scheme was implemented, the local Gram Panchayath and the community requested him to take responsibility for operating and maintaining the water scheme, to which he readily agreed. Veer Singh is on the job since November 2008. He receives a remuneration of Rs. 3000 per month from the UWSSC. He has been given required equipment and tool kit for effective operation and maintenance of the scheme. The DPMU has also trained him in the O&M of the scheme. Thus, he has succeeded in retaining his skill and expertise in the village for his own as well as that of the community’s benefit.



172. SOs support the Gram Pradhan and committee members to coordinate with other departments like Forest department and neighboring Gram Panchayats for availing No Objection Certificate (NOC) in case the scheme is located or pass through forest land or other GPs. This is a crucial aspect in the water supply scheme and the community as well as the GP learns to resolve and manage conflicts at local level.

173. Communities are involved in decision making for site selection of stand post and labor

contribution for digging trench. They also actively participate in the Agree-To-Do (ATD) meeting. Participation in planning and implementing a local supply scheme help the community to develop positive behaviors and team spirit.

174. The program officials have ensured the transparency by disseminating program related

information through wall writing, interpersonal communication, display of program details on hoardings, sharing of information on work progress and expenditures during meetings. Such transparency in information sharing is a key feature of URWSS Project.

175. Processes in Community Mobilization. Of the three partners in the SWAp, PMU/DPMU

has hired the services of Support Organisations to mobilize the communities. Experience with the implementation of the project spreading three years and three batches have given ample precedents to arrive at a standard set of processes in the mobilization of the communities. The processes followed in mobilization of the communities are as given below.

• Mobilization of communities,

o General base line of the habitation o Visit to the habitation by SO o Cluster level meetings in the presence of Pradhan and GP Members o Base line survey to identify the status of water resource availability o Water resource mapping. o Problem investigation and analysis. o Awareness creation on water resources- new scheme types o Contact with existing social capital and social groups – SHGs etc o Identification of user groups depending on the number of the water supply

schemes to be implemented o Formation of the User Water and Sanitation Sub Committees (UWSSCs). o Conduct Agree-To-Do (ATD) meeting o Participatory planning and use of SARAR Tools and PRA.

• Trainings on community development, health, feasibility and design of Water Supply Schemes , catchment area protection, accounting etc. for GP/UWSSCs members/SHG

• Identifying technology options, conducting feasibility analysis and Agree-To-Do meeting for separate User Groups.

• Preparation of Detailed Project Reports (DPR) and Community Action Plans (CAP) for each of the UWSSCs

• Collecting 50% upfront cash contribution and 50% annual O&M community contribution for water supply, sanitation and catchment area protection works.

• Preparation of implementation phase proposals.



176. However, a caution to be sounded here is with regard to the habitations covered by UJN

and UJS. If these two agencies are to succeed in achieving their targets in terms of schemes and habitations, they would have to use the services of Support Organisations’ in mobilising the communities. These two agencies do not have such expertise readily available with them as yet. Therefore the process of SO linkage with UJN and UJS may be expedited if the targets are to be achieved.

N. Role of Support Organizations in community mobilization 177. Support Organizations are identified by DPMU on the basis of selection criteria and

application procedures. The regular monitoring of SOs was done by DPMU based on performance indicators and ranking to the agencies were done accordingly. The following are the main observations:

(i) 26 out of 55 support organizations are performing well in their respective project

areas. (ii) UJN and UJS also can place SOs to support them in community mobilization and

related capacity building works. However, there is a general dearth of committed and professional SOs in the State.

(iii) PMU has developed a system of performance assessment SOs. Such assessments

have shown that even same NGO working in different districts are not giving standard performance throughout the Districts. This is due to the fact that the SO is not able to procure and place experienced and good teams in various districts. SOs working in Almora, Uttarkashi and Tehri Garwal are performing better than organizations in other districts. The Project Managers working in these districts are working with the project since last 10 years and having clear understanding of project processes and management of SOs. It is possible that there is a linkage between the leadership qualities of DPMU and the SO performance. A summary of the rapid assessment made by DPMUs about SOs is given below.

Table IV-17: Status of involvement of Support Organization Sr. No

District No. of SOs Rank

Very Good Good Moderate Poor 1 Nainital 10 10% 20% 20% 50%2 Uttarkashi 7 42% 29% 29% 0%3 Almora 8 0% 50% 13% 37%4 U S. Nagar 2 0% 50% 0% 50%5 Haridwar 7 14% 28% 14% 44%6 Tehri Garhwal 17 18% 35% 35% 12%7 Dehradun 4 0% 25% 75% 0%

Total 55 12% 34% 27% 28%Source: PMU/DPMU



O. Role of SOs/ Functions and Deliverables from SOs - Expected and Actual Experience

178. A meeting with support organizations was organized in DPMU office on 5 Sept. 09. This

meeting was attended by Team Leaders of HIHT, HIFEED, and Kripal Sikshak Sansthan. All the SOs participating in the meeting was from the Dehradun district. During this meeting, issues regarding selection criteria, role of SO during pre-planning, planning and implementation phase, issues regarding community mobilization, capacity building, sufficiency of budget available and sustainability etc. were discussed. The following were the main observations: (i) The SOs are selected by DPMU on the basis of selection criteria. The minimum

essential criteria for selection of SOs are; (1) minimum three years of working experience after registration (2) working experience in the field of health, hygiene, community mobilization, IEC activities.

(ii) The SOs are facing difficulty in mobilizing and retaining well qualified and experienced professionals due to • Insufficient provision for remuneration of key professionals, • Average six months gap in planning and implementation phase, where by the

SOs are not able to support their staff during this period. • Due to administrative delays there is a gap in initiating the process of

community mobilization from one Gram Panchayat to another. As a result, there are drop outs of experienced staff at SO level. It further delays the

appointment and capacity building process of fresh professionals. (iii) SOs generally feels that there is not much focus on the capacity building of SOs in

SWAp as in the Swajal pilot phase. SOs that were involved in the pilot phase still retain the capacity to mobilize community and build their capacities. But SOs that are getting selected in the SWAp Programme for the first time are neither experienced in rural water sector nor the DPMUs make focused efforts to build the NGO / SO capacities.

(iv) It is observed that SOs keep one Community Organizer incharge of more than two or three GPs. Thus, one Community Organizer on an average coordinates around 20 schemes for planning and implementation at village level, spread in two to three GPs. The services of these CO’s are not available to the communities in time and thus cause delay in project planning and implementation.

(v) The time duration scheduled for planning phase is six months and for implementation phase it is six to eighteen months depending upon the technical options and cost of the schemes selected by the committee. The available staff is finding it difficult to facilitate and coordinate field level activities effectively due to limited time available and long distance travel from one habitat to another. Maximum time of the staff is consumed if identified water source is in another Gram Panchayat, forest land etc. It takes time to complete the official formalities for seeking ‘no objection certificate’. This delays the overall procedure, construction and implementation of the scheme.

(vi) There is a mismatch between the payment and the expected work from the SOs. Support Organisations make a comparison of their status, remuneration for service and status and conclude that they are having worse off conditions in SWAp than during Swajal pilot phase.



Table IV-18: Comparison of Swajal Pilot Phase and URWSSP Sr. No Comparison Criteria Swajal Pilot Phase URWSSP

1 Selection of NGOs -District level. -Criteria based

-District level -Criteria based

2 NGO/ SO Status -Treated as a partner. -Mutual Trust based

-Lesser Partner -Less Trust- Bank Guarantee taken -More legal frames -SO Treated as a sub-contractor -Govt. has no trust on NGOs

3 Remuneration to NGO Rs.1.42 lakhs per Revenue Village

Rs.80,000 per Gram Panchayat

4 Bank Guarantee -No. -Based on trust

-Yes -Less trust -Increased legal formalities

It is also observed that due to increased volume of work under SWAp, large number

of SOs is taken to act as Support Organisations. But not all of them have the requisite experience and expertise nor the management and professional capacity to manage a project of this sort. This has also contributed to the delay in project progress. It is also expressed by some SOs that local influence and political pressures act in the selection of SOs than merit and experience, which ultimately affects the performance of the project.

P. Positive Practices in Community Mobilization and Development

(i) Formation of habitat-wise users committee in addition to UWSSC makes functioning of the scheme easier. One habitat consists of average 20 households. A committee at the habitation level makes the operation and maintenance of the water supply scheme easier. This results in fewer conflicts at various levels and facilitate in ensuring effective water and sanitation facilities at individual and ward level.

(ii) Mediating with existing social platforms: It was observed that new self help groups were formed only as per need and demand from local community. These groups are 6-9 months old. As part of strategy the SOs were expected to make use of the existing local groups already formed at village level by other departments and agencies under SGSY, facilitate group discussions and internal loaning etc. These existing groups are 3-5 years old. The existing platforms were used to initiate discussions on various project related issues without wasting time and manpower in formation of new groups. In this process, within short period of time project was at least successful in ensuring women participation in various program activities like membership in UWSSC, selection of sites etc.

(iii) Utilization existing skills in operation and maintenance of water supply schemes: There is a scarcity of water in villages and thus, people fetching water from long distance actually understand the importance of the facility provided within the village by Jal Sansthan and Jal Nigam. In the past also, villagers were taking care of water supply schemes within the village from their own resources and local skills without any outside support. Now, the villagers are organized, made aware about the various aspects of operation and maintenance, enhanced the skills of fitters and plumbers for minor repairs. In this program, the skills already available with the



villagers are meaningfully utilized in operation and maintenance of the schemes. This further supports the sustainability of the schemes.

(iv) Participation of Women in Users Committee. It was observed that, around 30-50% women are members of the users committee (i.e. 30% reservation and 20% for SC and ST). Depending upon the literacy status women have started raising their opinion and decisions in committee level meetings. It was also observed that, young and literate women are coming forward as Gram Pradhan and elected ward members. This actually helps to facilitate implementation of various project related activities at different level especially construction of sanitation facilities, cleanliness around stand post and hand pump etc. Women in general have also started raising issues like status of health and hygiene of children attending Aganwadi and quality of food given to school children in the available social forums.

(iv) Utilization of Waste Water for Developing Kitchen Garden. It was encouraging to observe the effective use of waste water of public stand post for developing kitchen garden. The family residing near the stand post grows vegetables for daily consumption purpose which otherwise they were buying from the market. This now improves the nutritional status and reduces the daily expenditure.

(vi) Utilization of Internal Loaning within SHG for Dairying. In general, it was observed

that, the women SHG members have taken internal loans for purchasing cows and buffalos. The daily milk production is only consumed at household level. At present members are paying loan amount from their own sources. There is a need to explore possibilities of undertaking cooperative dairy business, collection of herbs, medical plants, seeds, fruits etc and other activities that suit local needs and requirements. This has to be seen together with the excess time available for women due to availability of water at home or home premises.

(vii) Local Ways of Handling Solid Waste. In general households are having their individual pits to dump kitchen waste which is further used as manure in agriculture fields. The plastic and other food packets or wrappers are burnt so that animals do not consume the same.

CASE II: Fatehpur village, Jeewanwala Gram Panchayat, Gorkha Basti: In Ghorkha Basti there are around 28 households and most of the residents came from outside and settled there. There are 11 members in the users committee (3 female and 8 men). This habitat is having scheme for 6 hand pumps. Initially, the households had to travel around two Kms to fetch water and now in Gorkha Basti there is one hand pump for 13 households. Most of the families are doing labor work. Mr. Bheem Bhadur member of UWSSC informed that, boring for hand pump within the sector scheme was done in 2007, hand pump was installed in 2008 and the water table went down during summer in 2009. As a result, beneficiaries again faced water problems due to decreased water table. The depth of the bore well was 170 feet and pipe was laid only up-to 100 feet. Due to scarcity of water, one day villagers decided to open the hand pump. They disentangled the hand pump parts with support from local resources available and measured the depth and found water table at 120 feet. The group members informed the representative from support organization, HIHT and officials from concerned department about the problems and requested for the support. As they did not receive support, they assembled the hand pump after inserting the pipe to 120 feet depth. Now, they are getting water on a regular basis. The users of the hand pump even decided to collect money for repair work and installation of pipe if no support was given by the concerned department. At present, beneficiaries are not collecting monthly user’s charge of Rs.10 but ensured to collect the payment required during maintenance of hand pump.



(viii) Sense of Ownership. It was reported by most of the users committee that improved water supply facilities within the village will be maintained by the villagers. The support organizations engaged under sector program involved community for sharing of project related information, selection of village level water supply scheme, verification of base line etc. As a result, community is well informed about project details, roles and responsibilities of committee etc. The same was not observed under various schemes undertaken by Jal Sansthan and Jal Nigam.

179. One difficulty experienced by the program is with regard to the availability of land to

construct CWR. The beneficiaries are expected to provide land required for construction of CWR free of cost. Program officials are finding it difficult to get the land and this adds to the delay in the construction process.

180. SWAp program has brought about more order and knowledge based selection of schemes

rather than being decided by political elements. Consequently, SWAp has helped in speeding up the process of approval and implementation of schemes.

181. Gram Pradhans, UWSSC and SO Groups have informed that, there are delays in transfer

of fund from Gram Nidhi to UWSSC fund. This further delays the process of implementation of schemes. The Stakeholder Workshop has made a strong recommendation to the effect that the effective start date of implementation should be considered from the date of UWSSC receiving funds in their account.

182. UWSSCs face problems related to the following

(i) No qualified accountant to maintain accounts, (ii) Delay in preparation of IPCR and consequent delay in payment, (iii) Delay in getting the last 20% of funds (final installment) (iv) Complicated quotation process, (v) GP secretary either absent from GP or not giving time, (vi) Delays in ensuring revisions in DPR by SOs, (vii) Problems in laying pipes through roads and drainages which is difficult to repair

later, (viii) Lack of technical capacities to handle water supply scheme, (ix) Difficulty in getting voluntary labour, (x) Delay in release of payment after valuation and account checking, (xi) Lack of provision for insurance of schemes.

183. Gram Panchayat is facing problems with SOs in implementation due to less trained and

technical staff, timely capacity building of samithies is not done, lack of staff at local level for monitoring of implemented schemes, delay in preparation of statement and DPR etc.

Q. Lessons Learnt in Community Development 184. The following are the main lessons learnt in community development initiatives:

(i) In recent Panchayat elections educated young men and women were elected to GP



as Ward Members or Gram Pradhan. The newly elected Ward Members Mr. Mukesh, a graduate, Mr. Devendra, a graduate, Mrs. Guddi, from Bisanpur village of Khanduri Gram Panchayat, during discussions shared that they feel: • Confident to raise issues of their wards/divisions during Gram Panchayat

meetings and make all efforts to convince the senior members of the UWSSC • Senior ward members who are into politics since long feels that, newly elected

young ward members does not understand the dynamics within the village and so sometimes try to avoid consultations with the young ward members.

• Feel confident in handling group activities at ward level with greater understanding on various issues.

• They also support in collecting information from concerned department and support documentation of group activities.

• Also Ms. Kamlesh, Gram Pradhan who is a postgraduate has taken all initiatives to make her area free from open defecation, arrangements for safe disposal of solid waste by keeping dustbins on appropriate places, plantation, renovation of open drains, street light, cleanliness of village street etc. Efforts were made by her to document the whole process and achievements done so far.

(ii) The documents prepared by Gram Pradhan, their understanding on Program details, facilitation of scheme at village level even without SO support etc. were discussed during field visits. During discussions with Mr. Yogendra Bhist, Gram Pradhan, Goghul, it was observed that, they have started taking ownerships for the improved facilities being provided within sector program. It was informed, that now the scheme is handed over to the Gram Panchayat and during his tenure he is interested to serve for the benefit of his Panchayat people. During field visit to Fatehpur scheme in Simlat and Suryadhar habitats, it was observed that, the scheme was implemented by Jal Nigam but still committee was formed by the efforts of the GP Pradhan. This effort made people aware about the scheme and their roles and responsibilities.

(iii) The average duration of six months scheduled for planning phase which is inclusive of awareness generation, base line surveys, identification and preparation of schemes is relatively less to achieve the desired outcome. This is mainly because community awareness and related capacity building is a lengthy process and requires regular interventions and follow-ups at various levels.

(iv) As a result of program interventions, the community at large is informed about the project. The objective of the project is to hand over the scheme to community for its proper operation and maintenance to ensure community managed water supply scheme. Today, the community is aware but not properly developed and oriented to take up issues related to operation and maintenance of schemes. Compared to the time given during planning phase and post implementation hand holding phase, it is felt that sufficient care and attention is not given during the post implementation period. Therefore, the UWSSC does not have clear ideas on the ‘way forward…… about the status of committee/groups in future’. This is now necessary to develop approach and mechanism for well informed and sustained groups for overall community development ‘a step forward from community awareness and participation to community development’.



1. Recommendations 185. The following are some of the recommendations:

(i) The URWSSP may revisit the terms of reference for SOs vis-à-vis the remuneration structure for them so as to resolve grievances.

(ii) It is suggested to incorporate few more topics in capacity building initiatives. Some of them could be development of schemes/project proposal, skill development regarding HESA educational tools and techniques, orientation on roles and responsibilities of key SO professionals, details of operation and maintenance, concept on mother and child health, and livelihood opportunities.

(iii) The number of Community Organizers may be increased from one to two as per the number of UWSSCs, the area of the GP, the number of habitats and distance, so as to enable the Community Organisers to visit the habitations more frequently.

(iv) The SOs are expected to ensure the implementation of base line collection of data and its verification, identification of source, 2-3 times measurement of water source, check the availability of water in identified water source, etc. during planning phase. SOs has to wait for the lean period of water to do the measurements. In some places the water sources are inaccessible and at long distance. These activities are scheduled to be completed in 6 months of planning phase. It was learnt that aforesaid mentioned activities takes longer time than expected. Thus, it is suggested to increase the time duration of planning phase by another three months.

(v) The SOs should be given staff according to number of habitation during planning phase and number of identified schemes during implementation phase.

(vi) There is a felt need to maintain the accountability, transparency, and control over fund transfer by the project to Gram Panchayat. Thus, it is essential to include representatives from SO as co-signatories along with Pradhan and Treasurer during implementation phase.

(vii) After contract agreement between the client and the SOs and submission of bank guarantee by SO, the client pay 20% as advance. Thereafter, the SOs are expected to implement activities like collection of base line data, cluster and Gram Panchayat level meetings, agree to do meetings, capacity building of UWSSC on roles and responsibilities, water supply related assets assessment etc. The implementation of these activities takes time and accordingly there is a gap in release of second payment. SOs finds it difficult to meet required expenditures within limited 20% amount given at the time of agreement signing. Thus, there is a need to reduce financial burden on implementing agencies to facilitate timely implementation of desired activities, enhance cordial relationship and sense of ownership between the client and the SOs. Payment to SOs may be revised as given below-



Table IV-19: Suggested Revisions in Payment to SOs Present Mode of Payment Proposed Mode of Payment

1. 20% payment to SO after signing of agreement 2. 30% to SO as second payment 3. 30% to SO as third payment 4. 20% to SO as last payment

1. 40% payment to SO after signing of agreement 2. 30% to SO as second payment 3. 30% to SO as last payment

(viii) During planning phase the designing of the water supply scheme is done by the SOs

Engineer where as construction is supervised by Engineer of Gram Panchayat during implementation phase. As a result, there is a gap between planning and implementation because SOs is not having any provision to keep Engineer and Accountant to monitor and control the progress of construction work. In order to ensure proper implementation it is suggested that SOs may be allowed to retain the Community Engineer during implementation phase as well.

(ix) At present the role of SOs are not envisaged after implementation phase by the project officials. It was expected that during planning and implementation phase the initiatives undertaken will be sufficient enough to sustain the group efforts in a continuous manner without any hand holding support from time to time as per project requirements. There is a need to strictly observe hand holding support during post implementation phase, so as to ensure that the community develops their sense of ownership, start collecting O&M payment regularly and continue to take care of the catchment protection needs.

(x) There is a need to develop a coordination mechanism between UWSSC, Education Department, ICDS, etc. which facilitate to improve the existing sanitation status of the school children.

R. Sanitation (B3) 186. Strategy for Scaling Up Sanitation as Envisaged in PAD. Adopt a total concept of

sanitation (Solid waste management, drainage, excreta disposal, hygiene, and safe handling of water) but focus on highest health risk first. A sustainable approach to sanitation will need to go beyond a focus on ‘sanitation as latrines,’ to a more comprehensive understanding of the linkages between individual and communal waste and the impact of this on our environment. It was observed that, community was aware about the importance of having latrine. They have constructed toilets mainly for safety and security purpose. At present, they do not understand its health and environment impact and it is even too early to assess the health impact of sanitation facilities. The base line data regarding present incidence of water and sanitation borne diseases would later help to understand the reduction in diseases.

187. The sector wide approach promotes implementation of total concept of sanitation. This is

inclusive of solid waste management, drainage, excreta disposal, hygiene, and safe handling of water. The program is implemented under TSC and ensures 100% coverage



within habitat. As per PAD the initial target set was to cover 30% percent households. 188. Actual Process of Sanitation Campaign. The following steps were followed to facilitate

the implementation of total concept of sanitation: (i) Base line survey to identify the status of sanitation within a habitat. The community

identifies the sanitation indicators, conducts transect walk and undertakes mapping of community sanitation.

(ii) Awareness campaign regarding personal hygiene, domestic hygiene, and environmental sanitation related issues and proposed scheme within TSC are discussed. The techniques used to create awareness are focus group discussions, interpersonal communication, wall writing, secret ballot method and SARAR technique. These techniques are used at household level or in small groups.

(iii) Implementation of clean up campaigns with support from members of UWSSC, SHG, youth groups and Parent Teachers Associations.

(iv) Identification of the number of latrines to be constructed (Households, school, Anganwadi or community toilets), drains, soak-pits, garbage pits and compost pits.

(v) The proposal on sanitation is then discussed openly during Agree-To-Do (ATD) Meeting. During this meeting the beneficiaries discuss the findings of the data collected and finalize the details of construction work. The community also resolves any conflict (if any) during this meeting.

(vi) Implementation of WATSAN related issues (personal hygiene, water handling practices, importance of latrine, nutrition, diarrhea, etc.) are discussed with school children and women as per need and situation within habitat.

(vii) Construction of demonstration latrine is done in the house of an interested beneficiary. The mason is trained at the time of construction of demo latrine.

(viii) During TSC program, the pan and trap is given to the beneficiary household. The BPL families are given subsidy of Rs. 2,700 in hilly areas and Rs. 2,200 in plain areas. The beneficiary contribution of Rs. 300 is adjusted against voluntary labor for pit digging

189. The PAD focuses on stopping open defecation rather than building latrines. The

sustainability of the approach is higher if the program focus is directed to the desired outcome to deliver (and measure) behavior change rather than the sanitary outputs. In this context, it is critical to make people realize the adverse effects of open defecation and its implication for others. Behavior change is a slow process. At present, people are slowly developing habit of using sanitation facilities thus; change in behavior practices is also assessed.

190. Sanitation Behaviour at Home as Revealed by the Household Survey under MTR.

URWSSP focuses on water supply and sanitation aspects. The sanitation component under the project does not merely begin and end with the construction of a toilet, but in realizing improved sanitation behaviour. Of the 600 households surveyed, it is found that 62 % have sanitary toilets, while 8 % have non-sanitary type and 30% of the households do not yet have a toilet in their homes. Now looking at the behaviour of the owner households with regard to their latrines at home, it is found that all family members at large use the toilet facilities. To conclude, it would mean that it is not sufficient to build toilets, but it must be accompanied by commensurate change of behaviour among the user population, through continuous IEC efforts. With regard to the management of liquid waste, it is found that 56% of the households have diverted their liquid waste into their soak pits, while a



cesspool of waste water stagnate around 44% of the households. But with regard to the handling of solid waste, burning is the predominant behaviour resorted to by 64% of the households and 16% of the households safely dispose the solid waste, either by converting into compost or by depositing in a pit. Yet another 20% carelessly throw the waste materials around the house.

Coverage of Toilets in surveyed Households

Sanitary Toilet57%

Non- Sanitary

Toilet8%

No Toilet 35%

191. Triggering behavior change at a community level is more likely to establish an

environment to sustain improved sanitation outcomes. The need to internalize the public good dimension of private behavior makes the involvement of the community central to the approach. The importance of education and awareness creation emerge as critical ingredients for successful sanitation outcomes. As per the PFR baseline, the coverage of toilets was only 21 %, which is now risen to 62 % As a result of creating awareness amongst general community, the program was successful in constructing 41 % sanitation facilities.

(i) Strategic approach to IEC: The development of a strategic decentralized

community-responsive approach to IEC should enable an identification of ‘what key messages should be delivered to what community.’ The intention here is to: (a) train local NGOs and government functionaries to ascertain ‘what are the triggers for sanitation’; (b) ‘at what level these triggers should be targeted’ within respective villages; and (c) utilize a series of participatory means to trigger the desired behavioral change.

(ii) Sustainability is higher if fiscal incentives are directed to rewarding community outcomes rather than subsidizing outputs at the individual level. The self-realization of individuals and communities is enhanced when an onus is placed on them to discover and deliver certain outcomes. Subsidies directed at individual level are often difficult to administer and do not meet the desired objective. Financial and non-financial rewards at all tiers (including a state-level competition for environmental sanitation) for these achievements support the process and motivates communities and agencies for achieving the public good outcomes and leveraging existing national reward schemes like Nirmal Gram Puraskar.

(iii) Greater PRI involvement with focus on the GP for implementation. The sustainability of local institutions of self-government is well recognized in both



Yearwise construction of IHHL (nos)

64,95175,801

98,884

42,491

2006-07 2007-08 2008-09 2009-10

theory and Government of India policies. Carving out a central role for the GP and a facilitation role for the higher level PRIs is a central tenant of embedding and sustaining the deliverables.

192. During the project period a total of 2, 44,037 individual household latrines are constructed

year wise depicted above. On the basis of the achievement, projection is made for the construction of latrines for the years 2009-10 to 2011-2012. Considering the achievement of past years, the annual average achievement of latrines constructed in the State of Uttarakhand works out to 63,925 units. Based on this average figure, it is assumed that a total of 27,315 units would be realistic to reach a total of for the year 2009-10. An

incremental achievement of 10% is assumed for the years in 2010-11 and 2011-12. Therefore, it is assumed that a total of 1, 74,982 (rounded to 1, 75,000) latrines would be achieved until the end of the project period. It is assumed that by 2011-12, the State’s total rural sanitation coverage would be to the tune of 4, 81,128.

S. Awards and Recognitions -Nirmal Gram Puraskar Panchayat’s

NGP GPs

13

109

160

2005-2006 2006-2007 2007-2008

193. Gram Panchayaths in Uttarakhand won Nirmal Gram Puraskar for achieving 100%

sanitation coverage. As shown above, 282 GPs have won NGP so far. This works out to 3.73% of the total GPs in the State.



1. Role of SOs in achievement of Sanitation 194. The following responsibilities are expected from SOs in creating awareness amongst

general community: (i) Conduct base line survey for collection of information regarding sanitation facilities

by using secret ballot method (ii) Wall painting with slogans (like messages on health hazards of open field

defecation, social security of women and children, health benefits) display of posters on Panchayat office, schools and aganwadi etc.

(iii) Promotion of school sanitation related activities like rallies, competitions, discussions on WATSAN as per need and situation within habitat.

(iv) Discussion with users committee and women SHG by using SARAR techniques to initiate discussions amongst good behavior practices, health and hygiene etc.

(v) Facilitate construction of demonstration toilet in interested beneficiary households with support from local mason. This helps the villagers to understand different options available on sanitation facilities and realize the importance of having low cost sanitation at household level, simultaneously train the local mason etc.

(vi) Facilitate in providing minimum amount required for procurement of basic materials, promotion of voluntary labors for digging of pits, coordination with Gram Panchayat for pan, trap and subsidy amount of BPL families etc.

2. Some Cause for Hope - Innovations and Good Practices (i) Gram Panchayaths have taken initiative to use rules and regulations to support the

total sanitation campaign. Some Gram Panchayat’s has introduced punitive fine of Rs. 50 to individuals resorting to open field defecation.

(ii) Government of India promotes 100% coverage on sanitation through Nirmal Gram Puraskar.

3. Difficulties in Achieving Total Sanitation (i) Promotion of twin pits latrines but beneficiaries are generally opting for single pit

latrines. SO representative are informing community about future use of dry faeces as fertilizers in agriculture fields but still the beneficiaries are having apprehensions about its further use. Most of the constructed pits are new and it is still not possible to make any observations on this issue.

(ii) Promotion of local resources for making superstructures of low cost sanitation facilities like side walls, roof etc. This actually motivates beneficiaries to at least construct the facilities and later improve upon the superstructure as per requirements.

(iii) On job training of the local mason were given by the SOs for construction of low cost sanitation facilities. It was observed that, most of the BPL families try to construct the facilities with the available skills and materials whereas APL families invite the trained mason for the construction purpose. This resulted in increasing mason’s personal skills and the monthly income.



(iv) The community toilets are constructed in densely populated areas. The toilet is constructed in an area which belongs to household of same families or kin group (homogenous group). Thus, it is maintained by users without imposing any extra charges for its use. The proper maintenance without additional cost may not be possible with heterogeneous group.

(v) Thanoli GP of Chamoli District is far flung and is located in the deep hinterlands. The people are very poor and none of the households in the Panchayath have toilets. Even with a subsidy, the local community finds it difficult to construct and maintain latrines.

4. Recommendations (i) There is a need to create awareness especially amongst school children regarding

values relating to water and sanitation and related issues in a campaign mode. It would be more effective if such issues are promoted by education department as part of a regular session/circula within school. This will help to develop better hygiene behavior practices within school children from the very beginning as VALUES for having better hygienic behaviors. Coordination with education department is desirable.

(ii) It would be more effective if awareness drive is launched in a campaign mode instead of undertaking IEC activities in the form of event or activities like competitions, rallies, observance of world toilet day, wall writing etc. Such campaigns need to be coordinated with various line departments at village level, like education departments, ICDS and Panchayat.

(iii) There is a need to develop appropriate sanitation technology including urinal for

children especially attending Aganwadies and primary schools in the absence of which, the small children are not able to use the facilities properly and spoil the seats or use open field in case of emergency. Coordination with education department and ICDS is required especially in cases where both the centre are within same campus regarding proper use and maintenance of the improved facilities.



T. Examining the Political Economy of Uttarakhand in the Context of URWSSP 195. Government and Administration. Uttarakhand6 has a unicameral legislature with 90

members. Two elections have been held to the State Legislative Assembly since the creation of the State, i.e., in 2002 and 2007. The Indian National Congress formed the Government in 2002 and the Bharatiya Janata Party (BJP) formed the government in 2007. Both BJP, INC have strong political base in the State, followed by the BSP and the Uttarakhand Kranti Dal, a regional political party in Uttarakhand. Uttarakhand politics features a combination of major national parties working in close union with some of the regional parties of the state.

196. Panchayati Raj Institutions in Uttarakhand. The historic 73rd and 74th amendment to the

Indian Constitution subsequently paved way for the creation of a three tier Panchayathi Raj Institutional structure in Uttarakhand. The details substantiating the PRI system in Uttarakhand is given below.

Table IV-20: Details of Panchayati Raj Institutions in Uttarakhand Districts 13Tehsils 49Development Blocks 95Nyay Panchayats 671Gram Panchayats 7,541Maal Gaon 16,828Van Panchayats 346Corporations 1Nagar Palika 31Nagar Panchayats 32No. of Zilla Panchayat Wards 360No. of Keshtrya Panchayat Wards 3,152No. of GP wards 46,734

197. The Success in Decentralisation. The State of Uttarakhand has created sub-state

institutions at the district, block and village level. About 14 subjects of power also have been transferred to these local governments. But to be successful, there must be funds, functions and functionaries under the local bodies. Actual sharing of power with the PRIs

6 The Uttarakhand Kranti Dal (UKD) was established in 1979 to fight for a separate state composed of the hill districts of

Uttar Pradesh. The Uttarakhand Kranti Dal was founded on 25 July, 1979, under the chairmanship of the then Vice-Chancellor of Kumaon University, Shri D.D. Pant. It concretized the demand for a separate state for Uttarakhand and this demand was achieved with the creation of Uttaranchal state in 2000. It bills itself as the only regional party of the Uttarakhand Himalayas, in contrast to the national parties that dominate the region's politics. Though the UKD gave pioneering leadership to formulate, articulate and vigorously pursue the concept of a separate hill state, it did not fare well in electoral battles. For UKD, the creation of Uttaranchal was only a partial success as it got discredited in the electoral struggles. The people of the State also disregarded UKD as a movement that helped conceives the idea of a separate hill state for Uttarakhand. In 1980, the Jaswant Singh Bisht opened the party's account by winning the UKD's first legislative assembly seat. In 1985, Kashi Singh Airi won in Pithoragarh, becoming the party's longest serving member, winning again in the new Uttaranchal state assembly elections of 2002. In 1994, the party helped successfully steer an anti-reservation stir into a massive movement for a separate hill state, the only way to address the region's development issues specific to its rugged highland geography. Political and cultural marginalization within Uttar Pradesh eventually culminated into a mass movement for a separate hill state in 1994. Six years later, this “Uttarakhand Andolan” achieved partial success with the creation of the then named “Uttaranchal” yet balanced development for the highlands, the principal demand of this movement, continues to represent an uphill challenge.



has not gone beyond tokenism. Some changes have taken place with regard to political decentralisation, while economic decentralisation is yet to take shape, thereby making the local bodies toothless. The local bodies must be able to prepare economic development plans at the local level and have the power and resources for the execution of such plans. The existing socio-economic attributes in Uttarakhand, suggest an ideal condition for the process of decentralized development in the new state. During the course of past two decades, literacy and educational levels in Uttarakhand have recorded dramatic achievements. The state today ranks among the top Ten Indian States in terms of higher literacy rates, which is to the tune of 72.28 % as per Census 2001. In the state 84 % of males and 60.26 % females are literates. Similarly, the tremendous potential of natural resources could be transformed into wealth by the touch of a highly disciplined and educated human labour force in the economy of the state. The sturdy, healthy, well educated, and laborious hill women are undisputedly accepted as the practical work force in the area. In this regard, it may be mentioned that one of the most noteworthy features of the PRIs in Uttarakhand is the enhanced role given to women especially with regard to the women’s participation and representation in the PRI bodies. Women are given 50 % reservation in the Panchayath leadership and membership positions in Uttarakhand.

198. The hill society has a prolonged tradition of close community living and harmony with its

natural environment. Traditional village Panchayats and forest Panchayats have performed well in bringing social welfare and delivering justice to the people. Law and order even today is managed in the rural areas of the mountainous part by combining revenue and police administration. The people belonging to the area are trusted everywhere for their honesty, hard work, communal harmony, and tradition of community living. In case of social hierarchy of rich and poor, asset distribution with regard to land, class-gaps do not exist as sharply as is the case in other sates of India. Only about 13 percent of the total geographical area is under cultivation, owned by the individual households. The peculiar geophysical features, widely scattered natural resources, village habitations and varying ecosystem of Uttarakhand also necessitate devolution of power to the people for managing the economy according to local needs and resist evils of globalisation.

199. Only after ascertaining the property rights under the law in case of jal, jangal, jamin the

new state could make the system of democratic governance and development a reality. 200. Political Economy in Uttarakhand. Water and forest rights remain at the core of daily

needs in villages across Uttarakhand, reflected in the struggle for Uttarakhand representing also a struggle for local control over local natural resources. Jal, Jungle and Jameen (Water, Forests and Land) and their ownership, management and control remain the core issues in Uttarakhand. The arable land is just 13% of the total area, roughly around 7000km2, the average household land holding coming around 40 cents of land. The steep slope of land in the hills makes cultivation and habitation tough. So is the case with water resources. Of the total 39,967 habitations in State, 20,355 habitations are considered (FC) fully covered as per statistics of the RGNDWM, based on their 2003 survey. This leaves a balance of 19612 habitations to be covered to ensure drinking water facility to all in the State. The PAD for URWSSP estimated to cover 17,741. However, after a review by the third Implementation Support Mission from the World Bank (13-26 October-2008) of the progress achieved and on the basis of consultations with the Government of Uttarakhand, its water provider public utilities, it was decided to scale down the targets in water supply to cover 8,270 in place of 17,741 habitations as mentioned in the PAD. However, the State also has large river systems and umpteen streams, springs and small rivers. The issues in the water front can be considered to be one of distribution, bringing it from where it is available and distributing it where it is scarce. It is in this context that large number of



the water sources from which water is tapped by communities, UJS and UJN are located in the forestlands or forest catchments. When the forest dies, so does the water source. Therefore, there is a growing demand in public thinking in the State that water, forests and land must be seen as a resource continuum and must be managed by the local polity rather than bureaucratic departments. The forests cover about 67% of the land area and this must be sustained without any further damage so that the water sources are protected. The State has a burgeoning tourist trade. Leisure, adventure, and religious tourism play a prominent role in Uttarakhand's economy, with the Corbett National Park and Tiger Reserve and the nearby hill-stations of Nainital, Mussorie, Almora, Kausani, Bhimtal and Ranikhet being amongst the most frequented destinations of India. Development, the battle cry of the Uttarakhand Andholan, cannot mean the indiscriminate exploitation of natural resources, the abrogation of people’s rights, or following the tired-old model of development that has plundered the hills for 150 years.

201. This was the context in which pilot phase of URWSSP was experimented in Uttarakhand.

It became instantaneously successful in proving that the community will contribute to capital cost sharing in building water supply schemes, operate and maintain it wholly on the community costs. Such practices also revealed that the community ownership was much more than in any other mode of development projects. The model was scaled up in to policy and practice by Government of India through Swajaldhara programme. The programme ran parallel to the decentralisation experiment in the State of Uttarakhand. Though implemented in a project mode, it showed some hopeful signs of community empowerment and the real practice of grassroots level democracy in the hill state. On several occasions, there is a strong sense of feeling at the GP level that the GP Member is the be all and end all of all decentralization and devolution of powers; ‘up to me and not beyond me’ sort of feeling is running strong. On the other hand, URWSSP (UWSSCs and VWSCs) has taken the spirit of decentralisation beyond and much below the institutional limits of the GP in to the micro grassroots level. It can very well be said that the model was a radical development experiment which deepened the practice of democracy. It has shown the possibilities which participatory approaches can bring about resulting in creation of and management of assets, formation of institutional arrangements, and above all empowerment of communities through generation of local knowledge and science about micro level life situations. The Communities and Grama Panchayaths have proved that it is possible to become launching pads of such revolutionary development practice.

202. The Sector Wide Approach (SWAp) in URWSSP followed from this experiment. If

Swajal Pilot Phase proved the community ownership, involvement and participation in rural water supply programme, URWSSP attempted to scale up the experiment, so that water sectoral reforms became an outcome. However, the governance of the sector wide approach ran into rough weather, following resistance from the part of the partnering institutions and political deficit. Institutional platforms were created at the State, District and local level to facilitate the sectoral reforms. At district level, it has worked though with some problems. It has faced rough weather at the State and grassroots level. A diagrammatic representation of the SWAp experiment is provided below.



The Community- Primary Level proves that it can meaningfully participate in the programme and make it successful and sustainable in service provision and investment.

The GP & SO prove that they can facilitate, partner & participate in community led projects. But the GP is still not strong enough to command required respect. The lower level functionaries of UJN and UJS do not report to GP. Govt. has not provided with sufficient funds, functions and functionaries to the GP to implement URWSSP without substantial delay.

The Strategic -District Level consisting of DWSM, DWSC and TRC, along with the Zila Parishad provide space for political and administrative convergence for governance, though the multiple platforms at district level slow down the processes, it gives representation to political, administrative and technical interests.

Strategic – State Level consisting of UJN, UJS, Swajal-PMU and the SWSM- state level cutting edge in carrying forward sectoral reforms. The Public Utility Partners have to realize the full potential of SWAp, work towards emotional integration, effectiveness and efficiency in managing and sustaining resources.

The Apex / Policy Level consisting of Government of Uttarakhand- The Political Executive, the Legislature and the Bureaucracy provide support to SWAp and politically committed to it. It needs to support political and economic decentralisation.

VWSC & UWSSC

Strategic District Level

GP & SOs Intermediary players

Policy/Apex

Strategic State Level

203. In the pre-project institutional framework, there were three key players; the UJN which is

expected to construct assets in water supply and transfer the same to UJS for O & M; the UJS, which is expected to operate and maintain the schemes transferred to it by UJN; thirdly, there was the DPMU-PMU combine experimenting the new generation approach in drinking water supply services. In the final pre-project situation, both the public utilities were constructing and both were maintaining water supply schemes and the Government was accepting the defacto status. The SWAp- Sector Wide Approach attempts to integrate sectoral actors, programmes and activities under a single policy framework for investments in water sector irrespective of the source of funds. It follows a flexible and learning approach. Beginning the Sector Wide Approach in 2006, it is three years with the new experiment in the State of Uttarakhand. There were a lot of passive resistances to SWAp from the Public Utilities in the beginning of this programme. Quite of bit of changes in the mindset and approaches have taken place and the SWAp has been carried forward. The role played by the Apex and Policy level leadership of the Government of Uttarakhand is commendable in bringing about this change of mindset.

204. Details of the involvement of the Government of Uttarakhand and Government of India



was collected from the office of the Secretary, Department of Drinking Water as below table-

Table IV-21: Details of Involvement of GoU & GoI Code Designation No. of

Meetings CM Chief Minister 2 M Minister - Drinking water 19 CS Chief Secretary 14 PS Principal Secretary - Externally Aided Projects 2 S Secretary - DDW 30 GOI GOI- Monthly Review 10 WBM World Bank Mission 5 Total 82

205. A total of 82 meetings have been held since August 2008 and the details of the meetings

are provided in the table below. As per details available, GoUK has taken special efforts to closely monitor the URWSS project during the last 18 months. This has yielded results in the form of better achievement from the sectoral institutions.

Table IV-22: Details of the Meeting Held Year Wise 2008 2009 CM M CS PS S SWSM WBM GOI CM M CS PS S WBM SWSM GOI Dates Not Known

3 5 2 1 1 2 2

January 1 1 2 February 1 2 4 2 1March 3 1 April 2 1 May 1 1 3 June 2 1 3 2 1 July 1 1 3 August 2 1 1 2 September 1 1 2 1 October 2 November 2 1 2 December 5 1 2 Total 0 10 7 0 6 1 1 4 2 9 7 2 23 4 0 6

No. of Meetings

2

1914

2

30

105

Chief Minister Minister -Drinking water

ChiefSecretary

PrincipalSecretary-Externally

Aided Projects

Secretary -DDW

GOI- MonthlyReview

World BankMission



206. Another important point in the context of political economy is that the sectoral institutions

must be self driven in realizing its objectives. The self driven initiatives can only happen when it is supported by institutional convictions.

207. As mentioned above, the demand for the state of Uttarakhand was based on the urge to

integrate three ‘J’s- Jal, Jungle and Jameen. In the context of URWSSP, there is scope for adding another ‘J’ to the three already stated. The fourth ‘J’ is for Janatha. Thus the political economy of the State in governing the water sector in Uttarakhand State needs to integrate, water, forests, land and people, for which sectoral institutions have been formed. Necessary government orders have been issued and policy frameworks are prepared for facilitating the implementation of SWAp. There is an overall policy environment for implementing the SWAp. To this must be added strategies to help the public sector utilities to change mindsets, attitudes and roles into that of a facilitator. SWSM needs to become an active institutional stakeholder in bringing about this change. The GoUK also needs to facilitate the process of political and economic decentralization to create a larger favorable environment for realizing the changes anticipated in the SWAp.



V. RURAL WATER SUPPLY AND SANITATION -PROGRAM MANAGEMENT SUPPORT AND M&E

A. RWSS Program Management Support and M&E (C1 and C2) 208. The component C contains two sub components - Program Management Support (C1) and

Monitoring and evaluation (C2). The objective is to support SWAp program implementation costs for the period 2006-07 to 2011-12. It would finance operational and administrative costs for the implementation of SWAp, associated with the SWSM/PMU, UJN, UJS, and DWSMs/DPMUs. These would include staff compensation, PMU/DPMU offices, equipment, vehicle rental, and traveling allowances. Compensation would include salaries and benefits for the staff and local consultants for PMU, UJN, UJS, and 13 DPMUs. This chapter is divided into following sub- headings to include- Human Resources, Finance, Procurement, Economic outcomes.

1. Human Resources 209. The execution of program is envisaged through three line agencies (Swajal-PMU, UJS and

UJS. SWSM is constituted towards overseeing the activities of three line agencies. The critical staff strength availability against the sanctioned positions across all SWAp agencies is presented below-

Staff position across SWAp Partners

72%

53%

31%

82%

67%

DPMU UJN(Technical

only)

PMU SWSM UJS(Technical

only)

Staff positions filled

210. DPMU is relatively well positioned with staff against designated positions, however,

SWSM and UJS falls much short of the designated staff needed for execution of the program.

211. SWSM is provided with only 52% of the sanctioned strength. The envisaged total strength

of PMU is 69 positions of which 16 positions are filled through deputation from the government, 15 nos. on contract from open market and office support staff hired as per directions of the government. During the MTR only 67 % of the positions are filled in PMU. Few amongst the vacant positions are in advanced stages of recruitment and expected to get deployed soon. While most support positions are found filled; shortage of



qualified personnel is found affecting the recruitment process towards filling critical positions under contract and deputation from other government agencies. These positions under contract and deputation are critical towards delivery of the project. The current status of the PMU staff is depicted below.

Status of PMU Staff

16 15

38

69

46

33

76

Deputation Staff Contract Staff Hired Basis(Support Staff)

Total Staff

Sanctioned positionsStaff in position

212. Across all DPMU’s the availability of staff is relatively better at 82% of the sanctioned

positions; which is highest amongst the SWAp partner units. However, 5 out of 13 DPMUs does not have full time Project Managers which are now managed by other District Project Mangers through additional charge. Also the position of Deputy Project Manager is remaining vacant in three project Districts. These positions being critical, needs to be filled up at the earliest towards timely delivery of the program. Appointment of the UC HRD at PMU needs to be expedited.

Status of DPMU Staff

39

88104

231

30

7089

189

Deputation Staff Contract Staff Hired Basis(Support Staff)

Total Staff

Sanctioned positionsStaff in position

213. Besides the above, the program had originally envisaged certain positions at the Block

level, which includes Block Coordinators (30 positions), Data Entry Operators (30 nos) and Support Staff (30 nos). These positions are partly filled (26%). However, PMU is now of the view to transfer these positions across DPMU’s and PMU towards achieving better utilization.



214. Both UJN and UJS have appointed Nodal Officers to look after SWAp under URWSSP at

the HQ level. However, moving to divisional/ district level, there is neither dedicated SWAp officials nor SWAp cell. In the absence of dedicated SWAP program staff at the field level, existing staff looks after both SWAp and Non- SWAp works within UJN and UJS. This is further compounded with shortage of staff. While UJN is having 72 % of the sanctioned technical staff, UJS is facing acute shortage of technical staff, especially Assistant Engineers and Junior Engineers.

215. SWAp being a community linked program in all respects; the necessity towards having a

multi-disciplinary team for field works execution is mandatory. Currently, there is no availability of non-engineering professionals with UJN and UJS. This is found having serious implications with regard to enabling community mobilization and in supervising SOs by UJN and UJS. Also both these organizations do not have dedicated staff for IEC, Environment, MIS, etc. Moreover, both with UJS and UJN there is no dedicated Procurement Specialist, which is causing much delay in procurement related tasks. Substantial capacity building is needed for computer and accountancy staff in order to gain acquaintance with SWAp procedures.

216. It is understood that the Public Service Commission is taking steps to recruit officials to

UJS. But with regard to UJN, there is uncertainty about recruitment and filling of vacancies. The office space and facilities like computers are needed to take care of SWAp related work at UJN and UJS.

217. Based on discussions held with SWAP Nodal Officers in UJN and UJS, towards meeting

the project targets, it is urgently necessary to provide additional staff support both engineering and non-engineering stream, provide capacity building and improvement in the physical infrastructure facilities. The additional specialist requirement includes – an MIS Specialist, Community Development Specialist, Environmental Specialist, Procurement Specialist, Engineering Consultant and Accountant, separate for both agencies, exclusively.

218. Moreover, in this regard PMU is in process to depute an agency to undertake institutional

analysis and drawing recommendations for HRD, Financial and Administrative reforms for the RWSS.

219. UJN and UJS being new in the SWAp mode needs strong support from PMU Swajal

towards enabling capacity building of the existing staff and also for the new recruitments. Hence, PMU should be delegated with the task of capacitating the specialist staff before deployment in respective sector agencies. Moreover, PMU should be functioning as a bridge between UJN and UJS in all non-technical aspects of SWAp.

220. There is neither financial allocation nor an institutional structure towards program

management covering key sectoral partners-UJN and UJS. This resulted in relatively lower appreciation for SWAp among UJN and UJS. However, over the last one year, even with the physical and materials limitations, these agencies did make substantial efforts to gain momentum in SWAp execution. Also during the last two years substantial “demystification” on SWAp principles has happened, which resulted in at least a few “change processes”. Hence the scenario towards acceptance of SWAp is much on a positive note than at the start of the program. This change towards delivery by UJS and UJN now needs to be mainstreamed further, which calls for induction of technical personnel (Community Water Supply Support Specialists), together with rigorous capacity



building initiatives in all aspects towards meeting the challenging goal for achieving the project target and sustainability.

2. Finance 221. URWSSP envisaged under sector wide approach is committed with financial back up till

2012, during its preparation stage itself. The total water sector investment committed in total is $350 million (inclusive of SWAp and Non-SWAp). Of this investment $224 million (64 %) is set aside for new investments under the SWAp basket, and remaining $126 million (36 %) will be towards ongoing investments that fall outside of the SWAp basket.

222. Partners for the SWAp pool ($224 million) include Government of India (31%),

Government of Uttarakhand (67%); and the User Communities (3%) financial share. 223. The International Development Agency will reimburse the Government of Uttarakhand’s

share of SWAp basket up to $120 Million, against an annually varying reimbursement pattern, agreed in the PAD. The total commitment from the International Development Agency will be a maximum of 78%. The Swajal MTP is divided into three sub-components and percentage share by GoUK is given below.

Table V-1: Component wise SWAp Budget- share of GoUK

SWAp Program Components Total

Budget GoU share % IDA

Reimbursement Million $ % A RWSS Development 5.02 5.02 100%B RWSS Infrastructure Investments 196.78 103.4 53%C Program Management Support and M&E 22.09 11.6 52% 224 120 54%



224. The investment plan under three components and sub-components wise and year wise break up under SWAp is given below-

Table V-2: Year wise Investment Plan SWAp cost Component Wise 2006-

07 2007-

08 2008-

09 2009-

10 2010-

11 2011-

12 Total

Million $ A. RWSS Development A1 Capacity-building and

strengthening programs 0.14 0.34 0.49 0.66 0.57 0.07 2.27

A2 Information, education, and communication

0.07 0.16 0.23 0.31 0.27 0.03 1.07

A3 Sector info., water quality, and source programs

0.06 0.16 0.23 0.3 0.26 0.03 1.04

A4 Establishment of e-procurement at state level

0.01 0.02 0.03 0.03 0.03 0 0.12

A5 Sector studies 0.03 0.08 0.11 0.15 0.13 0.02 0.52

Subtotal 0.31 0.76 1.09 1.45 1.26 0.15 5.02B. Rural Water Supply and Sanitation Investments B1 Investment in WSS and CAT 10.46 25.71 37.5 50.18 43.24 5.13 172.22B2 Community Mobilization and

Development Activities 0.59 1.43 2.09 2.79 2.41 0.28 9.59

B3 Sanitation and hygiene program

0.91 2.23 3.26 4.36 3.76 0.45 14.97

Subtotal 11.96 29.37 42.85 57.33 49.41 5.86 196.78C. Program Management Support and M&E C1 Program management support 0.91 2.24 3.27 4.37 3.77 0.45 15.01C2 Sector M&E, audit, and FM 0.43 1.06 1.54 2.06 1.78 0.21 7.08 Subtotal 1.34 3.3 4.81 6.43 5.55 0.66 22.09 Grand Total 13.61 33.43 48.75 65.21 56.22 6.67 224 Percentage disbursement 6% 15% 22% 29% 25% 3% 100%

225. The proposed investment of $224 million is shared among three implementation agencies -

PMU, UJN and UJS. Among the sectoral agencies, UJN is bestowed with maximum share of $ 109.58 million followed by PMU ($ 82.40 million) and UJS ($ 31.21 millions).

226. The entire financial analysis is against the SWAp total budget envisaged as per PAD

amounting $ 224 Million spread over annual flow, together with the actual expenditure till date, which account $ 22.37 Million till Sept. 09.



Table V-3: SWAp Expenditure and Utilization against MTR and Final Targets

Total Budget

MTR Budget

Utilization till date

Utilization

against Total

Budget

Utilization

against MTR

Target

Balance funds

A. RWSS Development $ Millions

A1 Capacity-building and strengthening programs

2.25 0.97 0.19 8.3% 19.3% 2.06

A2 Information, education, and communication

1.07 0.46 0.13 11.9% 27.7% 0.94

A3 Sector info., water quality, and source programs

1.05 0.45 0.26 24.4% 56.9% 0.79

A4 Establishment of e-procurement at state level

0.12 0.06 0.00 0.0% 0.0% 0.12

A5 Sector studies 0.51 0.22 0.007 1.5% 3.4% 0.50 Subtotal 5.00 2.16 0.58 11.6% 26.8% 4.42

B. Rural Water and Sanitation Investments

B1 Investment in WSS and CAT 172.23 73.67 9.54 5.5% 12.9% 162.69

B2 Community Mobilization and Development Activities

9.60 4.11 2.06 21.5% 50.2% 7.54

B3 Sanitation Program 14.96 6.40 5.072 33.9% 79.2% 9.89 Subtotal 196.79 84.18 16.67 8.5% 19.8% 180.12


C1 Program management support 15.00 6.42 4.86 32.4% 75.8% 10.14C2 Sector M&E, audit, and FM 7.07 3.03 0.25 3.5% 8.1% 6.82 Subtotal 22.07 9.45 5.11 23.2% 54.1% 16.96 Total 223.86 95.79 22.36 10.0% 23.3% 201.50

227. Against MTR target maximum utilization is noticed in Component C (54.1%) followed by

component A (26.8%) and B (19.8%). Examining the sub-components, maximum utilization is observed in Sanitation (79.2%) and in Program Management Support (75.8%). This also gives rise to a key concern as the burden of meeting administration cost of the project would fall on Government of Uttarakhand towards the end of the project. The budget allocation for administrative expenditure would be exhausted given the current trends. There are no expenditures incurred under establishment of e-procurement till date. The overall financial expenditure is 23.3% of the MTR Target, which is equivalent to 10% of program budget.

228. Adding expenditure till date the total disbursements is around $ 22.36 Millions, equivalent

to 107.3 Cores. Thus 90 % of the SWAp basket is still available for utilization in the next three years. Accordingly financial projections against achievable targets are given later in this chapter.

229. As per PAD the single largest sub component is investment in Water Supply System

(WSS) and for Catchment Area Treatment (CAT) is Rs. 4,579 lakhs.



230. Agency wise utilization of funds for investment under Component B is examined sub component wise and the following scenario emerges. During initial three years the combined investment in component B by three implementing agencies works out to 5,073 lakhs ($ 10.57 millions) and the expenditure made by three implementing agencies in the current year is Rs. 2,930 Lakhs ($ 6.104 millions7). Thus, the total expenditure under component B during MTR stage (Sept. 09) is Rs. 6,262 lakhs ($ 16.67 millions). Of which majority is again expended by PMU, amounting to 77 % while share, UJS with 14% and UJS is only 4%. There is no expenditure under UJN and UJS during the initial years and investment is picking only during last one year.

231. The expenditure by three agencies is reviewed separately, against quantum of allocation

till MTR stage, and the following graph depicts the scenario. The SWAp budget till MTR is $ 95.79 millions, is divided proportionately among PMU, UJS and UJN. While PMU could utilize around 53 % of the budget at MTR stage, both UJS (14 %) and UJN (4 %) lagged much behind the utilization as below-

82

3518.5

3113

1.90

110

47

1.93

224

96

22.4

PMU UJS UJN Total

SWAP Budget Agency wise and utilisation at MTR stage ($ Millions)

Total SWAp Budget agency wise

SWAp Budget at MTR stage agencywiseSWAP Budget Utilisation at MTRstage agency wise (till 30 Sept. 09)

232. Budget utilization by UJN and UJS is minimal in the initial two years owing to following

major reasons. (i) There was much delay in take off of SWAp concept by UJN and UJS, which

resulted in delayed implementation. (ii) There was delay in DPR preparation, vetting and approval (iii) There was no institutional framework under SWAp within UJS and UJN (iv) Delay in community mobilization under SWAp mode (v) Lack of personnel under SWAp mode within UJS and UJN (vi) There is no clarity even now regarding booking of institutional costs/ program

management expenses by UJN and UJS. This needs to be re-examined during MTR. (vii) Major investment by UJN is envisaged under MVS schemes, majority of which are

currently in various stages of approval process, and hence no significant funds are booked in such large schemes till date.

233. Against the financial expenditure SWSM prepares statement for reimbursement from the

IDA. This is depicted below together with the actual reimbursement from IDA till last

7 1 US$ = Rs. 48 taken for all calculations



financial year (Claims under pipeline is also taken into consideration. Table V-4: Status of expenditure and reimbursement from IDA

B. Financial Projection for the Balance Project Period 234. At this MTR stage, the fund availability in the SWAp basket is re-worked and given as

below.

Table V-5: SWAp- Status of Balance Fund in the Basket $ Million1 Total SWAp Budget 224 2 Funds spent till 31 March 09 15.083 Funds spent in the current Financial year (April- June 09) 7.284 Total expenditure till 30 June 09 22.36 5 Balance available at present 201.50

235. Hence, the projection for balance period is based on a SWAp fund availability of $ 201.50

Million, (with corresponding IDA balance loan amount of $ 110 Million), around 8,110 habitations10 for physical implementation and three years time, among three implementing agencies.

236. Against the above, the likely financial expenditures during the remaining project period

are calculated together with inputs from all three implementing agencies. The summary of the financial projection is presented in Table V-6.

237. The revised financial projections has taken into considerations the existing performance

patterns, cost escalations especially with regard to WSS, coverage practically achievable, program execution limitations etc. into consideration. At the end of the program, the total

8 Expenses during current financial year till 30 Sept. 09 9 Accounted till June 2009, including value of claims submitted and yet to release by IDA. 10 Refer Chapter IV for details, comprised of PMU- 2,558 habitations, UJS-2,911 habitations and UJN 2,641

habitations under various stages of implementation.

2006-07 2007-08 2008-09 2009-10 2010-11 2011-12 Total

Million $ Total SWAP Budget (All components)

13.61 33.43 48.75 65.21 56.22 6.67 224

Actual SWAp expenditure

2.80 3.50 8.78 7.288 - - 22.36

Reimbursement budgeted from IDA

7.5 23.6 35.9 29.8

Actual Reimbursement

1.74 1.94 4.45 1.829

Cumulative reimbursement against total loan amount

1.74 3.68 8.21 10.04



program expenditure is expected to consume up-to 90 % of the SWAp budget, provided shortfalls identified; including shortage of human resources is addressed timely. Of this budget 78 % is devoted towards component B1- Investment in WSS and CAT. The break up of the financial projection pertaining to B1 agency wise and year wise is presented Table V-7.

238. Similarly financial projection against actual expenditure is prepared for the

implementation partners, including possible utilization of the IDA loan by end of the project (Table V-8).



Table V-6: Summary of Financial Projections

Program Components

Financial Expenditure (2006-09) Financial Projection (2009-2012)

Total Budget

Total Expenditure -

30 Sept 09

Total Utilization against MTR till

30 Sept. 09

Balance available in the SWAp

basket

Anticipated expenditure projected

Gross Expenses Projected

A. RWSS Development $ Millions $ Millions % $ Millions $ Millions $ Millions

A1 Capacity-building and strengthening programs 2.25 0.187 19% 2.06 1.38 1.57

A2 Information, education, and communication 1.07 0.127 28% 0.94 0.45 0.58

A3 Sector info., water quality, and source programs 1.05 0.256 57% 0.79 0.45 0.71

A4 Establishment of e-procurement at state level 0.12 0.000 0% 0.12 0.06 0.06

A5 Sector studies 0.51 0.007 3% 0.50 0.25 0.26

Sub total 5.00 0.578 27% 4.42 2.59 3.17 63% of Comp A B. Rural Water and Sanitation Investments

B1 Investment in WSS and CAT 172.23 9.539 13% 162.69 156.68 166.22

B2 Community Mobilization and Development Activities 9.60 2.063 50% 7.54 3.18 5.24

B3 Sanitation Program 14.96 5.072 79% 9.89 9.87 14.95

Sub total 196.79 16.674 20% 180.12 169.73 186.41 95% of Comp. B


C1 Program management support 15.00 4.864 76% 10.14 6.38 11.25

C2 Sector M&E, audit, and FM 7.07 0.247 8% 6.82 0.42 0.67

Sub total 22.07 5.111 54% 16.96 6.81 11.92 54% of Comp. C

Grand Total 223.86 22.36 23.3% 201.50 179.13 201.49 90% of SWAP Budget



Table V-7: Financial Projection - WSS and CAT- Component B1

Likely Unit Cost

/Habitation 2009-10 2010-11 2011-12 Total

No. Agency Rs. Per Hab. Hab. Rs in

Lakhs) Hab. Rs in Lakhs Hab.

Rs in Lakhs Hab.

Rs in Lakhs

PMU 1 SVS 1,075,000 278 2,989 886 9,525 923 9,922 2,087 22,435 UJS 2 SVS New 1,075,000 146 1,570 631 6,783 604 6,493 1,381 14,846 3 SVS Devolution 300,000 88 264 776 2,328 666 1,998 1,530 4,590 UJN 4 SVS New 1,050,000 0 0 796 8,358 784 8,232 1,580 16,5905 SVS Devolution 300,000 0 0 212 636 194 582 406 1218 6 MVS New 2,370,485 7 166 100 2,370 548 12,990 655 15,527

Lakhs Rupees Total 519 4,988 3,401 30,000 3,719 40,218 7,639 75,206

10.39 62.50 83.79 156.68 $ Millions

Table V-8: Financial Projection against Actual Expenditure with possible Utilization of the IDA Loan

Program Components

Financial Projection (2009-2012) Balance available

in the SWAp basket

Anticipated expenditure

projected

Gross Expenses Projected

$ Millions $ Millions $ Millions

Projected Total Total 5 years Govt. of India 63.26 55.26 61.10 88%

Government of Uttarakhand 137.54 119.21 130.67 88%Community Contribution 5.01 4.66 5.45 94%

Total SWAP Allocation 201.50 179.13 198.68 89%World Bank 109.97 102.20 112.23 94% of IDA loan



C. Fund Reimbursement Pattern 239. Fund reimbursement from IDA with a total outlay of $ 120 Million is reviewed.

SWSM/PMU has so far submitted 12 quarterly based claims for re-imbursement from IDA; of which 10 nos. are released and remaining two are under processing.

240. The total claim amount made by the project is Rs. 4,820 lakhs ($10 Million) till date of

which Rs.2, 424 lakhs ($ 5.1 Million) is released by IDA so far. Remaining Rs.2, 390 lakhs ($ 5 Million) is awaiting disbursement shortly. Taking into consideration the claims under application to be effective shortly, the total re-imbursement to SWAP amounting $10.3 Million is equivalent to 12 % of the MTR target ($ 67 Million) only. The graph below depicts the pattern of quarterly disbursement from IDA against the claims submitted by SWSM/ PMU.

Quarterly Re-imbursement from IDA ($ Millions)

0.73

0.280.45

0.280.44 0.41

0.60 0.49 0.56

1.82

3.16

0.81

2006-07Q1

2006-07Q2

2006-07Q3

2006-07Q4

2007-08Q1

2007-08Q2

2007-08Q3

2007-08Q4

2008-09Q2

2008-09Q3

2008-09Q4

2009-10Q1

(Last two claims are yet to be released by IDA)

241. Notably, the loan claim is gaining momentum only during year 2009, which the claim

amount was more or less dormant during initial two years. This is largely due to increased pace of physical activities made by three implementing agencies just before MTR. Also the combined value of last two claims is nearly equal to all the initial 10 claims put together.

D. Revised Fund Flow Pattern 242. As per Financial Management Manual, the responsibility for fund transfer for the program

was with SWSM. Fund from SWSM will flow to respective DWSM and each DWSM will disburse to DPMU and divisional offices of UJS and UJN. However, since start of the project this channel of fund flow was revised effecting direct flow to sector partners from Govt. of Uttarakhand. Funds for all Single Village Schemes and MVS after clear water reservoir (CWR) under programs inside SWAp will flow from Govt. of Uttarakhand to UJS, UJN and PMU. From UJN, UJS and PMU the fund would flow to GP as per the MoUs with the GP for onward transmission to UWSSC through District/Division offices of respective implementing agencies. All the State funds will follow the same fund flow arrangement which is currently being followed as depicted in Fund Flow Chart presented next.



E. Procurement 243. The procurement envisaged for the SWAp at various levels includes works, goods and

services. All three sector agencies are made responsible for undertaking respective procurements against the procurement rules and guidelines. However, all procurement activities related to M&E and under Component A falls under the preview of PMU. Procurement of works, goods and services under UJN and UJS is mainly for engagement of SO and water supply operations. As stated earlier, there is no full time Procurement Specialist in all three agencies, hence the task is delegated to Nodal Officer who is assisted by Executive Engineers in case of UJN and UJS. In PMU the procurement procedures are

Govt. of Uttarakhand

PMU* UJS* UJN*

DPMU* District Implementation Agency Division- UJS *

District Implementation Agency Division- UJN *

Gram Panchayat* Gram Panchayat*

SVS MVS

Gram Panchayat*

(Up-to CWR) DIA

(Post CWR) GP

UWSSC* UWSSC* UWSSC* UWSSC*

* Points where separate accounts are maintained



undertaken by a team comprising of Finance Controller and Manager-Accounts in PMU together with assistance from 2-3 respective Unit Coordinators. Senior level personnel from UJS, UJN and PMU have received trainings towards undertaking World Bank procurement procedures. The trainings are not just sufficient given the enormous procurement tasks underway at District and GP Level. These factors result in delayed procurement planning, procurement documentation and procurement execution. Besides procurement trainings at state level was imparted with assistance from World Bank covering DPMU, UJN, UJS and SO Team Leaders. Such orientations have enabled to a certain extent in gaining exposure to modern procurement procedures. It is also notable, that no mis-procurement has occurred till date. In the absence of full time Procurement Specialist and other support staff in DPMU (also due to work load) sufficient capacity building of UWSSC and GPs is not achieved which is found to be major reason for time delay. There is minimum facility in place for cross consultations between sector agencies specific to procurement matters.

244. As envisaged, bulk of the works contract is related to MVS water supply schemes, which

is undertaken by UJN. Major constraint faced by UJN is towards finding contractors with sufficient technical qualification and financial capacity to undertake such contracts in Uttarakhand region, despite the fact that the average tender value of those released till date is only Rs. 49.6 lakhs. UJN has so far released eight NCB bid advertisements, for which five packages did not attract not even a single bidder. Even in the bid which received three bidders, during evaluation only one bidder turned qualified technically. Thus out of eight Tender calls, seven Tenders are currently under re-tendering process.

245. For example, in Lassi MVS scheme, Tender Notice for works contract of value Rs. 57.67

lakhs was issued during June 2009 and found no responses, except for one bidder, who later did not qualify technically. Re-advertisement is issued during August 2009 and according to UJN till date no bidder has bought the forms. The reason cited for poor response is due to combination of materials and labour, which hikes the tender value. Traditionally UJN and UJS Tenders are limited to labour component; and materials being supplied by the respective agency either UJN or UJS as applicable. When works and labour is combined in a single contract (approximate 60% is for materials alone) together results in higher financial qualification value. In the Uttarakhand region, contractors having capacity towards undertaking works combing labour and materials supply is limited and results in poor participation in Tenders issued so far.

246. Suggestions from sector agencies moot for separate labour contracts and while materials

supply to be contracted separated by respective sector agency. Though segregation of labour and works contract cannot be a realistic solution to the issues, and the success is not guaranteed at this stage. Hence a detailed examination is needed towards envisaging an appropriate works contracting procedure under SWAp. Transparency in dealings is one of the key underlying principles of SWAp and how this is going to be ensured in the event of centralised procurement of materials is also to be reflected by all concerned. It is also suggested that URWSSP may look at the experience of Jalanidhi in Kerala and Jalaswarajya in Maharashtra as to how they have managed the issue of contracting, bidding and procurement of goods and services with regard to Multi-GP and Multi-BG schemes, so as to draw lessons from parallel world bank aided projects in rural water supply sector in the country.

247. Being Global First project where three sector agencies are gradually aiming for unified

procedures in all aspects related to RWSS and given the initial three years experience drawn, it is essential to evolve a revised procurement guidelines, meeting the World Bank



objectives, and at the same time, well suited and practical to the ground realities in Uttarakhand.

F. Economic Analysis 248. Economic viability of the completed SWAp projects were undertaken so that project cost

and the benefits could be quantified and compared with the situation, as it would be without the project. The main purpose of the economic analysis is to estimate the contribution of the project to the economy and to establish that the contribution is adequate to justify investments. An efficient and effective plan has been formulated for collection of primary & secondary information, analysis of data and report preparation. The approach for this section of the assignment focused on three critical aspects, viz,

(i) Identification of Financial and Economic Benefits. Project cost for the completed

projects, as provided by PIU, is the input data for the analysis. With SCF of 0.9, the available financial cost is converted to economic cost so as to remove the tax and subsidy components. The analysis is limited to schemes where Implementation Phase Completion Report has been undertaken. This process was available only in PMU projects. Hence the economic analysis is limited to completed projects under PMU and does not include any projects under taken by UJN and UJS.

(ii) Quantification of Benefits. As followed during the pre-project analysis, in the completed project, the directly quantifiable benefits include time and other resources saved by the beneficiary households, incremental water availability and health benefits from the improved water supply and sanitation services. The qualitative benefits of the project related to health, environment and institutional strengthening are reviewed and efforts have been made to quantify them. The present project would have the following quantifiable/economic benefits: • Time saved in water collection due to improved water supply, • Benefits of incremental increase in water supply • Money saved on recurring and capital cost (costs incurred to maintain the

existing supply of water without project situation) • Time saved due to construction and use of latrines • Health Benefits from reduction of gastroenteritis and diarrhoea.

(iii) Economic Analysis. Using stream of economic benefits, the economic analysis of

the project has been undertaken. The important economic indicators like Economic Internal Rate of Return (EIRR), Net Present Value (NPV) and Cost Benefit(C&B) Ratios have been worked out. For working out NPV and C&B ratio, the opportunity cost of capital has been taken as 12%. The analysis is carried out for the available completed schemes representing technology option and region level separately and aggregated across the project according to the most likely mix of scheme.

According to PAD, though there are seven technology types/ clusters which are

proposed to be implemented, the completed schemes considered for MTR consist of SVS Gravity (Spring & Gadhera) and SVS Handpump (Table V-9).



Table V-9: Details of Completed Schemes considered for Mid Term Review Details Garhwal Region Kumaon Region

Gravity Hand pump

Total Gravity Hand pump

Total

No. of completed schemes 36 1 37 42 0 42DPR Cost i) DPR Cost (Total Cost) Rs. Lakhs 283.65 9 292.65 308.99 308.99ii) DPR Cost (Average Cost / Scheme) Rs. Lakhs

7.88 9 7.91 7.36 7.36

Completed Cost i) Completed Cost (Total Cost) Rs. Lakhs

276.02 11.41 287.43 277.04 277.04

ii) Completed Cost (Average Cost / Scheme) Rs. Lakhs

7.67 11.41 7.77 6.6 6.60

Total Households serviced 1,353 48 1,401 1,447 0 1,447 (i) Of the total 79 completed schemes, 78 are with gravity technology and only one is

with hand-pump technology. (ii) With regard to region, 37 schemes are from Garhwal and 42 are from Kumaon

Regions. (iii) All the 79 completed schemes are implemented by Swajal. (iv) Based on the data availability for MTR, only region based schemes could be

considered for grouping for economic analysis, as technology option wise and sector agency wise grouping could not be considered for economic analysis.

79 schemes completed are considered for MTR have total coverage of 2,848

households in which Garhwal Region has a share of 49% and Kumaon region with 51% as shown in Table V-10.

Table V-10: Details coverage of MTR Schemes Region No. of households

covered No. of households

covered %

Garhwal 1,401 7,663 49.19% Kumaon 1,447 7,915 50.81%

Total 2,848 15,578 100.00% 249. The time savings experienced is in the range of 1.6 to 1.9 hours per day per household

which is less than the expected time savings is 2.9 hrs/ household/ day after the project during the pre-project evaluation. The scheme wise average time saving in hrs per day per household is given in Table V-11. Sample details of estimate with regard to the value of time savings are given in Table V-12.

Table V-11: Region Wise Average Time Saving in hrs per day per HH Details Garhwal Region Garhwal Region

HH Domestic Connections

Public Stand Posts

HH Domestic Connections

Public Stand Posts

Average Time Saving in hrs per day per HH 1.89 1.66 1.58 1.57



Table V-12: Estimate of Time Savings Value – Garhwal Region Time Savings in Water Collection - Garhwal RegionNo. of HHs benefited (@100% of total HHs) - 2009 c/ 1,401% of HHs having House Connections a/ 19%% of HHs using Public Stand Posts a/ 81%Time value/hour a/ b/ 6.08Average Time Savings for Domestic Connections - Hour a/ 1.89Average Time Savings for HHs using PSPs - Hour a/ 1.66Savings on Water Collection by HHs/Year - Domestic Connections (Rs Lakh) 11.23Savings on Water Collection by HHs/Year - PSPs (Rs Lakh) 41.68Total Savings on Water Collection by HHs/Year (Rs Lakh) 52.92Note: a/ as per Household MTR Survey 2009 b. / Value of time during the non-working time is taken as 30% of the wage rate. (Kenneth M Gwilliam, ‘The Value of Time in Economic Evaluation of Transport Projects: Lessons from recent Research’). Accordingly, the annualized factor of the wage rate is considered for economic analysis. This is with the assumption that WS related activities are flexible with the wage earning agricultural work activities. c/ Based on the data available for completed SWAJAL Schemes

G. Benefits from Incremental Demand for Water 250. After implementation of the scheme, the increase in water consumption by the households

is obvious. For working out incremental consumption of water the present average level of consumption after completion of the project (arrived from the household survey) is compared with the previous consumption before the scheme. The incremental consumption of water is valued at the previous cost of the water collection (accounting for time and other resources) or the present costs (O&M and fixed costs). The average of the two is taken for the estimation of economic value of the incremental water used. Appropriate weightage is given to different seasons for arriving at the volume.

251. The benefit of various sampled completed schemes is aggregated for the project

considering likely mix of schemes in the project. The project envisaged a supply of 40 lpcd to the domestic connection holders and 40 lpcd to the public stand post. However, achieved supply level are found to be 40 lpcd for Garhwal Region and 44 lpcd for Kumaon Region from the HH Survey and the pre-project supply level were found to be 21 lpcd for Garhwal Region and 25 lpcd for Kumaon Region. Incremental water quantity in a particular year is considered as difference of available quantity of water available after completion of the project in lpcd and average p water consumption without project worked out in lpcd based on the sample data (Table V-13).

Table V-13: Estimate of Incremental Water Value – Garhwal Region Value of Incremental Water Value Pre-project Percapita Water Supply/Consumption (Lpcd) b/ 21.7Pre-project Monthly User fee & Resource Cost (Rs.) 0.00Pre Project Water Supply Rate (Rs. / KL) a/ 76.00Post-project Percapita Water Supply (Lpcd) b/ 40.0Post-project Monthly User fee (Rs.) b/ 17Post Project Water Supply Rate (Rs. / KL) 14.97



252. Money Saved on Recurring and Capital Cost (costs Incurred to maintain the existing

supply of water in a without project situation) 253. After the implementation of the scheme, the O & M expenses incurred on the existing

water supply scheme is considered as the recurring cost saved. 254. In order to maintain the current level of water supply to increased population, intermediate

capital investment would be required which would be otherwise avoided with this scheme. The saving of this cost is taken as saving in capital cost in the present analysis. The least cost option of water supply scheme (hand pump) is considered throughout as the existing scheme to be replaced. This investment needs to be made every 10 years. Therefore the cost has been considered in every 4th and 14th year. Details of the estimate for Garhwal Region are given in Table V-14.

Table V-14: Value of Savings in Existing Capital & Recurring Costs -Garhwal Region No. of HHs covered under the Scheme 1,401% of HHs having own facilities for water supply (other than Domestic Connections) 5%No. of HHs having own facilities for water supply (other than Domestic Connections) 70Average Capital cost (Rs.) -Hand pump a/ 500Average Annual O&M Cost (Rs.) 100NPV of Capital Replacement & 15 year O&M Cost ( Rs./ HH) 1,101 Annual Savings in Existing Capital & Recurring Costs (Rs. Lakh) 0.77

Note: a/ Assumed that hand pumps will be replaced during 4th and 14th year.

H. Health Benefits 255. The health benefits from water supply and sanitation are quantified as health benefits due

to reduction in Diarrhea and Gastroenteritis.

(i) Expenditure Incurred on Medication. As the details on the incidence of diseases (diarrhea and gastroenteritis) from the MTR Household Survey could not be reliable, macro level approach is resorted to estimate the project related health benefits. Under this approach, household level medical expenditure on the identified waterborne diseases through water supply and sanitation deficiencies was worked out. 90% of this health expenditure is assumed to be avoided due to the project development and considered as savings to households.

(ii) Indirect Person Days Lost. Based on the inputs from the village doctors, private practitioners and Sub Centre, the morbidity rate of diarrhea and gastroenteritis has

Cost of future Water Supply (Rs. /KL)b/ 49.92Annual incremental Water (KL/Head) 5.89Value of Incremental water ( Rs. / KL) 45.49Value of Incremental water ( Rs. / Year / Head) 267.86Total No. of Beneficiaries 7663Value of Incremental water ( Rs. Lakh / Year / Scheme) 20.53a/ Economic Analysis of SWAP (SWAJAL Project Phase II), Feb 2006 b/ MTR Household Survey, 2009



been determined. It was reported that the diseases are more prevalent during the monsoon season. Based on the inputs from the doctors during field survey, the number of indirect person days lost has been determined. It was reported that indirect man days lost are 4 days for gastroenteritis and 2 days for diarrhea per incidence of disease. For economic analysis purpose, the reduction in indirect person days lost is valued at the labour opportunity cost.

Table V-15: Health Exp. Savings for Water Supply & Sanitation – Garhwal Region Details HHs Annual HH income a/ 43,149% of Income for Health Exp. b/ 6.0%Annual Health Exp. / HHs 2,606Annual Sanitation related health Exp./ HHs (10%) g/ (Rs.) 261Annual Health exp. due to Water Supply (Rs) - 45%/HH d/ 117Annual Health exp. due to Sanitation (Rs) - 40%/HH d/ 104Annual Health exp. avoidance due to the completed WS & Sanitation (Rs) -90%/HH c/ f/

143

Total Annual earning lost during sick days e/ (Rs.). 709Annual Savings in earning lost during sick days due to WS & Sanitation (@ of 85% of earning lost) (Rs.)

433

Total Health Benefits /HH (Rs.) 576No. of HHs benefited - Water Supply (@100% of total HHs) - 2009 a/ 1,401No. of HHs benefited - Sanitation (@40% of total HHs) - 2009 a/ 560Annual Savings in Health Expenditure (Rs lakh) 8.07

a/ as per Household Survey (Mid Term Review Survey) , 2009 b/ National Sample Survey on Consumption Expenditure, 50 th round, 55th round & 61st Round c/ Out of the estimated health expenditure estimated due to WS & Sanitation, only 90% is assumed as savings

due to the project. d/ Assumed based on the procedures followed in similar studies in India e/ @ 6 days lost due to sanitation related diseases with the estimated opportunity cost for the wage rates arrived

from the HH Survey f/ 100% coverage of HHs for Water Supply and 40% of HHs coverage for Sanitation are considered for benefit

calculations. g/ Based on DALY analysis from ‘Economic Analysis of SWAP (SWAJAL Project Phase - II)’, February 2006.

The total DALY for India’s population for 1990 is 2927890002. The share of DALYs due to Diarrhoeal diseases is 9.6% of the total DALY for India’s population.

I. Quantification of Benefits from Environment and Sanitation 256. The time saving from defecation has been considered for quantification of benefits from

improved environment and sanitation conditions.

1. Time Savings from Construction of Latrines and Consequent Open Defecation 257. The data on time spent for open defecation was collected during the field survey from

those households who have household toilets through the project sanitation component at present both for pre and post project situations scenarios. The timing for defecation was recorded for sampled households spread across the project area covering all the districts. Considering these region wise time savings on open defecation are worked out as shown below.



Table V-16: Open Defecation Time Savings in minutes - Garhwal Region Details < 30 min. 31-60 min 61-120 min 121-180 min >180 min Weighted

Average Before 28% 61% 8% 3% 0% 43.4After 72% 24% 3% 1% 0% 25.8Savings 17.6

Table V-17: Open Defecation Time Savings in minutes - Kumaon Region Details < 30 min. 31-60 min. 61-120 min. 121-180 min. >180 min. Weighted

Average Before 6% 71% 23% 0% 0% 53.8After 91% 3% 7% 0% 0% 20.9Savings 33.0

258. The data was further filtered to include persons in the working age group between 15 to 60

years (two persons per household), who have been assumed to have opportunity cost for the time saved. The time saved by the households due to availability of household toilets was aggregated in each village based on the data of actual number of toilets to be built in the villages (40% of the total beneficiaries who were covered under sanitation program) and multiplied by the relevant wage rates to derive the value of time saved from defecation in the village. Further it is assumed that a person can be gainfully employed for 250 days out of 365 days in a year. Therefore, annualized factor 68% (250 working days in a year) is taken for economic calculations.

259. The estimated time savings is in the range of 0.3 to 0.6 hrs/ household/ day after the

project. Region wise estimate of value on average time saving on defection is given in Table V-18 and Table V-19.

Table V-18: Savings in Time Savings for Open Defecation – Gharwal Region No. of HHs covered under the Scheme 1,401% of HHs covered under Sanitation Program 40%Beneficiaries of earning members / HH 2Beneficiaries of earning members / Scheme 1,121Average Time Savings / Beneficiary / Day (Hour) 0.29Average Time Value ( Rs. / Hour) 6.08Annual Time Savings in Time for Open Defecation (Rs. Lakh) 7.27

Table V-19: Savings in Time Savings for Open Defecation – Kumaon Region No. of HHs covered under the Scheme 1,447% of HHs covered under Sanitation Program 40%Beneficiaries of earning members / HH 2Beneficiaries of earning members / Scheme 1,158Average Time Savings / Beneficiary / Day (Hour) 0.55Average Time Value ( Rs. / Hour) 6.08Annual Time Savings in Time for Open Defecation (Rs. Lakh) 14.11



J. Results of Economic Analysis 260. The total quantifiable economic benefits which have been considered include the time

saved in base consumption in terms of wage rate, incremental water in terms of wage units and time saved from household toilets in terms of wage rates. The Benefit Cost Ratio (BC ratio) has been derived on the discounted benefits and costs. The BC ratio has been calculated at a discounted rate of 12%. The overall project ERR is 33.89% and the BC ratio is 2.89 as given in Table V-20.

Table V-20: ERR and BC ratio for the Project Region Technology No. of

Completed Schemes Covered

for Review

Economic Internal Rate of Return

(EIRR) in %

Economic Net Present Value

(ENPV) @ 12%

(Rs. In Lakhs)

Benefit – Cost Ratio

(BCR)

Garhwal Region

Gravity & Hand pump a/

37 32.15% 421.08 2.72

Kumaon Region

Gravity 42 35.67 487.30 3.07

Combined Gravity & Hand pump

79 33.89 908.37 2.89

Note: a/ Only one scheme is with Hand pump Technology and all the remaining completed schemes are under Gravity Technology.

K. Results of Sensitivity Analysis 261. Sensitivity analysis was carried out to their economic feasibility results for the following

scenarios: (i) Increase in Capital and O&M cost (ii) Decrease in Total Project Benefits (iii) Combined Increase in the Total Costs and Decrease in Total Benefits (iv) Reduction in Time Saving (v) Changes in Opportunity Cost for wage rate (vi) Decrease in Water Supply related benefits (vii) Part of the Schemes Failing after 10 years (viii) Delay in Benefits

262. Sensitivity tests, based on assessed risks, indicate the project is able to absorb substantial

negative impacts, yet generate positive ERRs. For example, the project can sustain: Garhwal Region

(i) Significant decreases in benefits or increases in total costs: A 172% increase in total costs or a 63% decrease in total benefits, or a combined 46% increase in total costs and decrease in total benefits reduce the project ERR to 12%

(ii) Implementation delays which would delay benefits: If benefits are delayed by 4 years, the ERR falls to 17.89%

(iii) Large reduction in time saving from water collection and household latrines: If all villages were able to realize only 107% of time saving from water collection and households latrines, the project ERR would fall to 12. %

(iv) 50% of water supply schemes fails after 10 years reduces the ERR to 31.11%



1. Kumaon Region (i) Significant decreases in benefits or increases in total costs: A 207% increase in total

costs or a 67% decrease in total benefits, or a combined 50% increase in total costs and decrease in total benefits reduce the project ERR to 12%

(ii) Implementation delays which would delay benefits: If benefits are delayed by 4 years, the ERR falls to 19.33%

(iii) Large reduction in time saving from water collection and household latrines: If all villages were able to realize only 129% of time saving from water collection and households latrines, the project ERR would fall to 12%

(iv) 50% of water supply schemes fails after 10 years reduces the ERR to 34.80% 263. Region wise results of the sensitivity analysis for the proposed project are summarized

below. Of the considered sensitivity scenarios, reduced beneficiaries are the most vulnerable to EIRR, followed cost overrun. Considering the more sensitiveness of these variables, following implementation arrangements need to be focused more so as minimize the project risk:

(i) Ensuring adequate project coverage of beneficiaries through advance commitment

from HHs for individual connections or making mandatory for all individual connections through project design;

(ii) Timely implementation of the project through appropriate procurement method in which incentive for early completion may be included;

Table V-21: Results of the Sensitivity Analysis - Garhwal Region Criteria ERR (%) Switching Value

Base Case Value 32.15% Increase in Costs 10% increase in total cost 29.56% 20% increase in total cost 27.35% 30% increase in total cost 25.44% Switching Value : 178% increase 172.00%Decrease in Benefits 10% decreases in total benefits 29.29% 20% decrease in total benefits 26.36% 30% decrease in total benefits 23.33% Switching Value : 64% decrease -63.00%Combined Increase in the Total Costs and Decrease in Total Benefits Increase in the Costs and Decrease in Benefits by 5% 29.43% Increase in the Costs and Decrease in Benefits by 10% 26.90% Increase in the Costs and Decrease in Benefits by 15% 24.53% Increase in the Costs and Decrease in Benefits by 20% 22.29% Switching Value : Increase in the Costs and Decrease in Benefits by 46.00%Reduction in Time Saving 10% Reduction in Time Saving 30.47% 20% Reduction in Time Saving 28.77%



Criteria ERR (%) Switching Value 30% Reduction in Time Saving 27.04% Switching Value: Reduction in Time Saving -107%Changes in Opportunity Cost No. of Days of gainful employment considered 200 days 27.80% No. of Days of gainful employment considered 150 days 23.33% Water Supply Benefits Decrease in Benefits by 5% 30.85% Decrease in Benefits by 10% 29.53% Decrease in Benefits by 15% 28.20% Decrease in Benefits by 20% 26.84% Switching value: Decrease in Benefits by -69% Part of the Schemes Failing after 10 years 10% of Scheme fails after 10 years 31.95% 20% of Scheme fails after 10 years 31.75% 30% of Scheme fails after 10 years 31.55% 40% of Scheme fails after 10 years 31.33% 50% of Scheme fails after 10 years 31.11% Delay in Benefits Benefits are delayed by 1 year 26.44% Benefits are delayed by 2 years 22.73% Benefits are delayed by 3 years 20.00% Benefits are delayed by 4 years 17.89%

Table V-22: Results of the Sensitivity Analysis – Kumaon Region Criteria ERR (%) Switching Value

Base Case Value 35.67% Increase in Costs 10% increase in total cost 32.84% 20% increase in total cost 30.42% 30% increase in total cost 28.33% Switching Value : 178% increase 207.00%Decrease in Benefits 10% decreases in total benefits 32.55% 20% decrease in total benefits 29.34% 30% decrease in total benefits 26.03% Switching Value : 64% decrease -67.00%Combined Increase in the Total Costs and Decrease in Total Benefits Increase in the Costs and Decrease in Benefits by 5% 32.70% Increase in the Costs and Decrease in Benefits by 10% 29.93% Increase in the Costs and Decrease in Benefits by 15% 27.34% Increase in the Costs and Decrease in Benefits by 20% 24.90% Switching Value : Increase in the Costs and Decrease in Benefits by 50.00% Reduction in Time Saving 10% Reduction in Time Saving 34.06% 20% Reduction in Time Saving 32.42% 30% Reduction in Time Saving 30.76%



Criteria ERR (%) Switching Value Switching Value: Reduction in Time Saving -129%Changes in Opportunity Cost No. of Days of gainful employment considered 200 days 30.99% No. of Days of gainful employment considered 150 days 26.18% Water Supply Benefits Decrease in Benefits by 5% 34.35% Decrease in Benefits by 10% 33.01% Decrease in Benefits by 15% 31.65% Decrease in Benefits by 20% 30.28% Switching value: Decrease in Benefits by -78% Part of the Schemes Failing after 10 years 10% of Scheme fails after 10 years 35.51% 20% of Scheme fails after 10 years 35.34% 30% of Scheme fails after 10 years 35.16% 40% of Scheme fails after 10 years 34.98% 50% of Scheme fails after 10 years 34.80% Delay in Benefits Benefits are delayed by 1 year 28.94% Benefits are delayed by 2 years 24.70% Benefits are delayed by 3 years 21.67% Benefits are delayed by 4 years 19.33%

L. Financial Sustainability 264. The completed water supply schemes will be owned and managed by the beneficiaries/

UWSSC and the GP. To successfully sustain the project the expenses incurred in operating the scheme should be covered by the water charges collected by respective committees.

265. Based on the information on average monthly income levels collected during the survey, it

is observed that an average user charge of Rs 17 per household is paid towards the maintenance of the project. As this observed user charge is found to be much less to the paying capacity of beneficiaries assessed during the pre-project assessment, beneficiaries support to the project in terms of user fee contribution for the O&M will be significant. This underlines the sustainability to the completed projects.

M. Conclusion 266. On the basis of the cost benefit analysis, it can be concluded that completed project is

economically feasible and financially sustainable. Also economic feasibility level for the completed schemes had improved considerably to the pre-project level assessment due to the following main reasons: (i) Reduction in project cost (ii) Timely completion of projects (iii) Considerable increase in the wage rate from the pre-assessment stage



N. Sector Monitoring and Evaluation (M&E): (C2) 267. This subcomponent is to support the development, establishment, and operation of the

Financial Management (FM) system and the M&E system for the sector program. The FM system would be for administering all funds and expenses of the program. The FM system would be linked to the sector information system supported under component A. It was envisaged to be used for monitoring the achievement of sector goals and objectives, as well as impact of sector program. M&E of the sector program through (i) periodic review; (ii) sustainability monitoring and evaluation exercise; and (iii) community monitoring. Against the same the following are the M&E systems carried out by the M&E unit in PMU.

(i) Sector wide M&E System- physical and financial progress in delivery (ii) Periodic review through various evaluations to learn from the field experience and

suggest the strategic inputs. (iii) Sustainability M&E to track the long-term technical, financial, institutional, social

and environmental sustainability prospects of the schemes. (iv) Community monitoring to the help community members tracks the progress of their

schemes in all the phases of the project. 268. With reference to M&E process at sector agency level, the major works are undertaken by

the PMU. The Monitoring and Evaluation process at the PMU is adequately staffed and well capacitated in tracking the changes through effective coordination with all DPMU offices. However, the same level of preparedness is not prevailing in UJN and UJS. Notably, as UJN and UJS does not receive any program management support, they do not get professional services of specialists of MIS and M&E. Currently, the existing technical officials carry out the tasks of M&E together with routine work. Together with lack of adequate system at divisional/ district offices level, the flow of data from GP to UJS and UJN HQ is slow and hamper concurrent monitoring of progress. Though SIS is in place, much streamlining is needed within UJS and UJN to make it operationalised and used on a day to day basis. The online SIS covers the following sector initiatives currently- (i) URWSS Project (ii) Swajaldhara (iii) Total Sanitation Campaign (iv) Accelerated Rural Water Supply Programme (ARWSP) (v) National Rural Drinking Water Quality Monitoring & Surveillance Programme

(NRDWQM&SP) (vi) Minimum Common Programme (vii) Bharat Nirman (viii) Communication & Capacity Development Unit

269. Review meetings is the most common form of mid course examination and correctional

practice adopted by all sector agencies. 270. Referring to sector wide M&E system, for which PMU is responsible, the output depends

on the data sourced from UJN and UJS, which in most cases are not timely and delayed. Periodic review studies (Concurrent Monitoring) was undertaken by the PMU, making it applicable even to UJN and UJS schemes.



271. Sustainability monitoring is too early at this stage, given the smaller number of schemes

that are commissioned and operational. The emphasis on community monitoring is yet to gain deeper penetration in UJS and UJN habitations.

272. At the headquarter level, PMU has a dedicated team of five technical personnel for

undertaking and updating MIS, while this is limited to one- two data entry operators within UJN and UJS.

273. In order to strengthen the MIS process, the SIS platform needs to be streamlined among

UJS and UJN, which could be under the guidance and supervision of PMU, than having three separate entities. Also the district level functionaries within UJN and UJS needs to be sufficiently trained in realizing need for timely information and in making adequate and accurate data entries.

274. During year 2009, two rounds of Concurrent Monitoring of Planning Phase were

undertaken covering habitations undertaken by all three sector agencies. The broad objective of the assignment is to study and assess the quality, effectiveness and efficiency of participatory planning process carried out at the community level during planning phase of scheme cycle for selected habitations. The study highlights the grassroots issues faced by three sector agency habitations studied. The study brought about various deficiencies connected with community mobilization and planning especially by UJN and UJS. It has highlighted necessary action points that need to be adopted to improve the SWAp execution efficiency.

275. Financial monitoring is relatively well off with three agencies, though the process is

hampered by lower availability of staffing with UJN and UJS.



VI. GENERAL OBSERVATIONS AND RECOMMENDATIONS 276. Uttarakhand is the first state adopting sector wide approach in WATSAN in the whole of

India. Commencing in 2006 in an atmosphere of uncertainties, the URWSSP has attained lot more maturity today. The project has overcome some of the initial hiccups, sailing through three years of hard clime and delicate balancing between sectoral partners. Government directions, interventions and orders have provided the legal framework for carrying forward SWAp. Fund stressed as GoUK is, SWAp is a wonderful opportunity for finding soft loan funds and further saving itself from the trouble of operations and maintenance expenses after the commissioning of schemes. The URWSSP is receiving good support from the Government, especially at the Secretary and cabinet level. The stand of the political executive and larger polity in its support to URWSSP and SWAP is unequivocal and strong.

277. Considering SWAp as a first time development experiment, challenged the public water

utilities out of their comfort zone and the reactions that Uttarakhand has witnessed in the last three years are nothing but normal. UJS and UJN were not part of Swajal pilot phase project. For them, the SWAp is the first experience in a major change management process and they had to build experience with regard to facilitating community managed and demand driven water supply schemes. UJN and UJS were initially unwilling partners into the SWAp alliance with unsharpened skills for community mobilisation, demand generation, IEC activities, GP and SO facilitation. Three years of SWAp experience has made a lot of difference in these sectoral institutions. There are lot of supporters for SWAp as a concept in UJN and UJS today. UJN and UJS have to internalize the dynamics of SWAp and its praxis. Working modalities of SWAp at the intra- institutional level of UJN and UJS is yet to emerge fully. It takes time to bring people in institutions and institutions itself on board to accept changes. However a pilot level SWAp planning, implementation and operation arrangement would have created a better environment for change process in future such initiatives.

278. Apex and Policy levels of the GoUK has played constructive roles in carrying forward the

process of SWAp through mediation, reviewing, monitoring and using good offices of the government. The role played by Secretary, Drinking Water, GoUK during the last one year plus in this regard is commendable.

279. Details of the involvement of the GoUK and GoI were collected from the office of the

Secretary, Department of Drinking Water. Since August 2008, 82 meetings have been held in which the progress of the SWAp/ URWSSP was reviewed and reflected. While in 2008 and 2009, 29 and 53 meetings were held at various levels respecively. The monthly analysis of the data regarding meetings shows that the project is being closely monitored by the Government at various levels. Probably this monitoring has come a bit late. “Had it happened since the early beginning of the project the scenario could have been much better today?” Another important point in the context of political economy is that the sectoral institutions must be self driven in realizing its objectives. The self driven initiatives can only happen when it is supported by institutional convictions. That is probably where the project has to move now from being pushed by the State Government closely.

280. The demand for the State of Uttarakhand was based on the urge to integrate three ‘J’s- Jal,

Jungle and Jameen. In the context of URWSSP, there is scope for adding another ‘J’ to the



three already stated. The fourth ‘J’ is for Janatha. Thus the political economy of the State in governing the water sector in Uttarakhand State needs to integrate, water, forests, land and people, for which sectoral institutions have been formed. Necessary government orders have been issued and policy frameworks are prepared for facilitating the implementation of Sector Wide Approach. There is an overall policy environment for implementing the SWAp. There must be added strategies to help the public sector utilities to change mindsets, attitudes and roles into that of a facilitator. SWSM needs to become an active institutional stakeholder in bringing about this change. The GoUK also needs to facilitate the process of political and economic decentralisation to create a larger favourable environment for realizing the changes anticipated in the SWAp.

281. Hon’ble Minister for Drinking Water, Government of Uttarakhand and Secretary,

department of drinking water have made frequent interactions and reviews with heads of institutions and even direct communicating with the divisional and circle level officers in UJN and UJS. SWSM at the State level, DWSM at the District level and the Gram Panchayath at the local level are expected to play key roles in carrying forward the reforms in the water sector. Proactive intervention from SWSM is a need of the hour. SWSM also needs to meet as required by the legal provisions and its Secretariat- SWSC needs to be strengthened so as to enable to give the kind of managerial and technical leadership that is expected of it in the sector. The district level systems and arrangements are functional. At the same time there is lot of complexity at the district level as DPR proposals have to go through various stages for receiving approval. Though it is good for projects to be subjected to scrutiny by administrative, technical and political levels of government, it has had a serious role in causing delay in project approval and execution.

282. At the grassroots level, it is the GP that is in active role. The leadership qualities of the

Pradhan is a key factor at this level in making things happen. The administrative set up of the GP is yet to be steady with a dedicated secretary for each GP. Also, though it was expected that the junior technical staff of the UJN and UJS were to report to the Pradhan as envisaged in the PAD, it is still a long way to go in achieving this provision. Decentralisation process of the State itself is responsible for the weakness at the local level. There are several overlapping areas and factors in the reform process and water sector reforms cannot be seen in isolation from the total decentralisation environment. That is to say, unless there is a strong political will exercised by the entire polity of Uttarakhand, the local self governing institutions can not be empowered. To expect that water sector reforms by itself can bring about reforms is a far fetched dream.

283. Another gap with regard to the PAD provisions is that at least half of the DPMUs were to

be manned by Engineers from UJN and UJS at MTR. This has not happened. There is acute scarcity of staff at UJN and UJS to make this happen. Yet, if done, this would go a long way in bringing about emotional integration between the sectoral players. It would enhance the pace of reforms if deputation of personnel and experience with technical and social background can become practical between UJN, UJS and PMU.

284. The targets set at MTR stage is achieved by the sectoral partners. This achievement is only

around 10 to 15% in terms of physical and financial aspects. But there is a general feeling of optimism at SWSM, UJN, UJS and PMU and they express the hope that the targets set for them can be met. But beyond that hope of self confidence, UJN and UJS have to give a thought to how it can be achieved and what are the hurdles on the way. Detailed planning, work breakdown responsibilities need to be done against strict time frames. Impulsive and spasmodic management tendencies are prominent in both the UJN and UJS. PMU is a shade better, but needs more enhancements of capacities at the DPMU level, which is the



cutting edge in their operational implementation. However, the general sense of commitment that prevails in the organisation is praiseworthy.

285. The main strengths of SWAp- URWSSP are Transparency, Grassroots Democracy -

through community decision making, Community Procurement - Less Leakages and Corruption, Fund and Finance Management by Users, Improved Involvement of PRIs especially GPs, Involvement of NGOs and a demystification of development experience, Technology and Management. Far from being a project that provides water, it is a radical experiment in deepening the democratic experience. It is also opportune to observe here that Swajal PMU is honoured by the Government of Uttarakhand with the Right to Information (RTI) Award in October 2009, for demonstrating good governance and transparency practices in the project. A system is in place to handle comments, suggestions and grievances at Swajal PMU level that includes maintaining a project log and filing to monitor status of follow up of each received comments, suggestions and grievances. The Swajal part of the URWSSP has demonstrated how regulatory mechanisms can be incorporated into its functioning through the incorporation of RTI. The ground situation with regard to SWAp today can be graphically presented as given below.

SWAp Ground Situation at Present- An Illustration

286. At the grassroots level, the community has proved that it is capable of participating in the

planning, designing, implementing and post -operational management of water supply schemes. The role of GP in this experiment is better today than Swajal pilot phase, but still needs drastic improvement. This improvement will depend up on two aspects: first, the personal strength, education, confidence and leadership qualities of the GP Pradhan and his board; second the political and economic decentralisation, the GoUK is ready to introduce in the PRIs, giving it resources, powers and personnel. Where the first aspect, the personal capabilities and political will already exist, there it is already contributing to the efficient functioning of water supply schemes and their governance.

287. The project receives lot of informal political support at the block level. There is a working

arrangement at the district level with frequent interactions between major players through formal and informal ways. The formal ways are the TRC, DWSC and the DWSM,

Informal and Nominal

Good to Heavy

Informal

Good GP

State

District

Block

Level of Authority

Extent of Operations

National



facilitated by the DPMU Project Manager. Secretary, DDW has through his intervention brought about an informal institutional interaction on a weekly basis at the District / Divisional level between UN, UJS and DPMU. This has proved to be an extremely useful step in inter-institutional ice-breaking.

288. At the State level, the integration between the sectoral institutions is still informal and

nominal in comparison to district level engagements. This needs strengthening and strong facilitation skills on the part of the head of the department of drinking water at the cabinet and bureaucratic levels. This is in a way a political will and commitment to reforms. Unless it is sustained over several years, the desired change at the level of key sectoral players will not become part of their behavior, thinking, mind set and attitudes.

289. To put it in brief the “forming and storming” of SWAp are more or less complete.

“Norming and transforming” have to take place now to go into full fledged institutional and sectoral reforms in the water sector. Also, it needs to be kept in mind by all concerned that parallelism of schemes in villages is sending a wrong message about URWSSP and SWAp. This needs to be overcome by all means. Inconsistency in database and information management also needs improvement.

A. Recommendations under Component A

(i) Strengthen the SWAp- SWSM platform by filling vacant posts with dedicated staff (ii) Branding URWSSP so as to be known by a common name across the State and

Sectoral institutions unlike Swajal or SWAp. All the IEC materials should bear the common brand. ‘Swajal’ is a powerful and popularly accepted term in this regard and the water sector reforms in Uttarakhand is known in the name of ‘Swajal’ both nationally and globally.

(iii) Establish dedicated SWAp Cells within UJN and UJS, with sufficient staff, infrastructure and fund support for administrative functioning.

(iv) Modified Master Calendar for Training and Capacity Building taking into consideration the needs of sectoral agencies and partners at all levels. Special focus may be given to UJN and UJS to get their capacities built to cater to the demand driven community based projects.

(v) Give focused training to new SOs/ NGOs joining to support the Project. (vi) Train a Water and Sanitation Volunteer Corps- about 100 in a Batch, for two months

in essential technical, social, conceptual and environmental aspects of Water and Sanitation. Their services can be used to supplement the works of SOs and can be deputed to GPs, to support UJN and UJS. Members of the Corps shall be as far as possible from identified GPs/ Habitations and may belong to 18-30 age group, either sex, with minimum educational background of high school. The presence of such trained and certified pool of barefoot experts will add to the sectoral capacity.

(vii) Some of the training programmes may be organized as residential programmes. (viii) Stakeholder interactions and reflections shall be organized at-least twice a year at

the District level. (Learning exercise for the sectoral agencies and views from the field are articulated) and once every year at the State level.

(ix) PMU and DPMUs are strongly recommended to hold staff retreats and motivational programmes. This may also be planned and organized for Officers of UJS and UJN subsequently.



(x) Internal knowledge generation by preparing case studies, documenting good practices and sharing documented experiences must be made part of the staff assessment criteria. This will do immense good for the sector and institutions.

(xi) Water source discharge monitoring must be made part of the post –implementation monitoring exercise.

(xii) Build capacities of newly elected GP Pradhans and Members after the next two GP elections, with regard to Swajal; so as to ensure support from the GPs and make the schemes sustainable.

(xiii) Back up support to the community to handhold them in the immediate post operational period in an improved and enhanced manner than at the moment.

(xiv) SIS- A team of Operators, are needed to manage SIS at UJN and UJS. (xv) The successes achieved at grassroots level in community run projects have to be

documented, shelved and marketed with MLAs and MPs of the State through organised field visits, media exposures and documentation, inauguration programmes of completed schemes and experience sharing workshops between beneficiary community members and MLAs. The calendar for capacity building may be modified and rationalized on the basis of the experience gained in the last three years. A Master Training Calendar may be made for the remainder of the project period, separately for PMU, UJN and UJS. A Separate training calendar is required for devolution schemes.

(xvi) Sectoral branding, including the names of Swajal-PMU, UJN and UJS in the SWAp IEC are needed. Direct house visit during post operational period and inter-personal communication are likely to bring more effect. Using the platforms of SHGs of men and women will be another effective communication method.

(xvii) UJN and UJS must be facilitated to enter data on the SIS and use it for planning and monitoring. Their capacities may be enhanced to achieve this end. On their part, UJN and UJS must consider SIS as a transparency system and adopt it, deputing personnel to operate it regularly.

B. Recommendations under Component B

(i) SWSM is strongly recommended to prepare an anticipated calendar of electoral events in the State that might occur in the remainder period of the project, assessing the delay it is likely to cause to project and come up with a managerial response to this meaningfully utilizing the time during electoral process and include it into the scheme cycle.

(ii) Prepare special scheme cycle and training calendar for the Devolution schemes. Prepare devolution guidelines. Community takes more time to own up the devolution schemes than new SVS. Parallel existence of schemes in the same village should be avoided by all means.

(iii) DPMUs shall prepare a Batch wise scheme cycle event calendar, using it for monitoring, data generation and review

(iv) Consistent targets in terms of habitations and schemes may be prepared by UJN, UJS and PMU, emphasizing consistency of data regarding targets.

(v) As habitat wise census population is not available, the historic population of either the village or gram panchayat unit which is available in census data has to be used



for fitting a trend line. Using this trend line equation the latest population has to be projected to design period. This needs to be cross checked with actual head count which is generally available in most habitations.

(vi) It is vital to have a dependable source study for all the schemes. The report should clearly indicate the procedure, the time, the persons involved and a certification by a competent person validating the discharge observation. Alternatively a separate study can be done for identifying and ascertaining yield of all potential sources.

(vii) Promotion of Uttaranchal Koop, for taping sub surface water flow, designed by UJS needs more promotion, as the same is found effective in addressing turbidity and lowering biological contamination.

(viii) The peak factor for water supply need be 1.0 for conveyance mains and 3.0 for distribution shall be adopted.

(ix) 32 mm GI/40 mm PVC-PE can be considered as the minimum size. 15/20 mm shall be adopted for providing individual house service connections. Wherever feasible, use of PVC can considerably reduce the cost of scheme.

(x) For achieving uniform pressure, distribution network designs should be produced using free software such as LOOP or EPANET. Wherever the distribution network length (>15 km) a standardized computer aided design has to be adopted to fix the correct sizes, class and pressure, especially in MVS.

(xi) Redesign all the designed but not executed systems with a C value of 55 for GI pipes less than 50 mm diameter; adopt minimum GI diameter as 32 mm and PVC diameter as 40mm.

(xii) Increasing design water demand from 40 lpcd to 70 lpcd in large habitations with likelihood to progress into peri-urban settlements within design period.

(xiii) DPR approval process to be simplified; DPRs may be directly sent to DWSM for final approval. DWSM may refer proposals to the TRC if there is a need for a thorough technical review.

(xiv) MVS proposals may be approved at DWSM level if the habitation cost is below the prescribed limit. For MVS schemes having a higher cost above the prescribed limit may be sent to SWSM for final approval. Complex approval processes for MVS may be simplified.

(xv) Plans may be made to integrate catchment protection and treatment with other running projects, schemes and NREGA. Make a plan for 3 to 4 years so as to ensure source sustainability. Make an action plan for 3 to 4 years. Enhance the allotment for catchment protection if there is a need for more funds. Gramya project should be linked to URWSSP villages/ habitations.

(xvi) Material testing time takes 30 to 120 days, which needs to be reduced. If such period is taken to test the material strength, such testing itself may be a reason for fall in quality of materials like cement. Material Testing may be exempted in the case of cement. The cost of material testing also should be brought down. Random sampling in testing may be sufficient.

(xvii) To ensure source sustainability, Water discharge monitoring should be done unfailingly.

(xviii) SOs may be given enhanced role to facilitate the implementation phase. (xix) Fund flow to the UWSSC may be simplified. Recommended fund flow is as

follows- DPMU may release the funds to a joint account operated by GP Pradhan



and UWSSC Treasurer. Routing funds through Gram Nidhi does not provide any added value to the cause of decentralisation in the present context and in the absence of wide ranging political and economic decentralisation and reforms. The start of implementation phase at the UWSSC level shall be calculated from the date on which they receive funds into their account.

(xx) Procurement processes at GP/ UWSSC level may be simplified. (xxi) Separate project scheme cycle may be prepared and followed for all the difficult and

hilly terrain districts of the State. (xxii) Surface storage based rain water harvesting systems for community may be tried/

examined as an alternative for the MVS with multi-stage pumping. (xxiii) Performance of the UWSSCs may be accessed through participatory SEE. (xxiv) Intensive residential induction training may be given for the SO officials. (xxv) Bank Guarantee provisions for the SOs may be removed. (xxvi) UJN and UJS may be given staff from the stream of social, community accounting

and environmental streams, sourced from open market on contract basis until the end of the project. Alternatively, Swajal-PMU may be given the responsibility to mobilize community, organise UWSSCs and train them as well as the GP, while UJN and UJS may be made responsible for preparation of DPR and implementation of the same through community participation.

(xxvii) Services of SOs may be arranged to support the habitations covered by UJN and UJS. If these two agencies are to succeed in achieving their targets in terms of schemes and habitations, they would have to use the services of support organisations in mobilising the communities. Therefore, the process of SO linkage with UJN and UJS needs to be expedited if the targets are to be achieved.

(xxviii) Post-Implementation hand holding support is needed. URWSSP should be different as it should adopt a method of Build-Operate-Maintain-Manage sustainably rather than Build-Neglect-Abandon-Rebuild strategy. In the later, the focus is on building assets and in the former, the focus is on sustainable management of assets. SWAp and URWSSP are all about sustainable management of assets and institutions and hence post implementation handholding may be revisited thoroughly and come up with processes and methods to make schemes sustainable.

(xxix) Fresh baseline data on FC, PC, NC status of habitations in Uttarakhand may be prepared under a joint initiative of the sectoral institutions in the State under the guidance of SWSM and Department of Drinking Water, GoUK.

(xxx) Include provision for an Environmental Specialist in the SO team or train the Community engineer thoroughly in preparation of DEPR and CACMP.

(xxxi) Accord priority to DEPR and CACMP, considering it a priority. No Projects must be cleared by the DPMU/ Divisional offices of UJN/ UJS unless the DEPR and CACMP are prepared and included.

(xxxii)DWSMs may be directed by SWSM that unless the DPRs prepared and forwarded to DWSM for approval contain the DEPR and CACMP, and non-compliance of this aspect must be a ground for rejection of schemes and should be applicable to all sectoral institutions including UJN and UJS.

(xxxiii) Necessary steps may be initiated to appoint or hire services of an Environmental Specialist at UJN/UJS.



C. Recommendations under Component C

(i) Staff vacancy positions may be filled up immediately. If PMU- Swajal cannot attract sufficient officers from government departments, preference may be given to open market recruitment to fill in the posts at PMU and DPMU, throwing open positions of Deputy Project Manager and Manager-Accounts to the candidates chosen from private sector.

(ii) UJN and UJS do not have dedicated staff for their social mobilisation, procurement, M&E – SIS and capacity building. It would be desirable to transfer some experienced and committed officials recruited through the open market to UJN and UJS to help them to tide over the deficiency in such staff positions.

(iii) Work allocation responsibilities under SWAp will have to be made to proactive and reform oriented officers in UJN and UJS.

(iv) Government of Uttarakhand may provide advances to UJN and UJS to carry out their work related to implementation of schemes. Similarly the operational cost for UJN and UJS under Program Management has to be reimbursed to UJN and UJS.

(v) Administrative expenditure towards, dedicated staff, overheads and travel etc may be given to UJN and UJS.

(vi) Secretary - Drinking Water Department may take proactive steps to transfer Engineers from UJN and UJS to Swajal/ SWAp institutions.

(vii) Efficient and committed people from open market may be considered for appointment as Deputy Project Manager and Manager -Accounts. Private sector people are appointed managers in similar World Bank supported projects in Uttarakhand.

(viii) Panchayat Secretary should be sensitized by Panchayat Department about his role in the URWSSP, if there is not going to be any change in the present fund flow arrangement. The CDOs may be requested to intervene to solve fund transfer delays if the current fund flow pattern continues.

END

Annexure 1- Terms of Reference

ANNEXURE 1

Terms of Reference for the Mid Term Review of the Uttarakhand Rural Water Supply and Sanitation Project

1. Background:

Uttar Pradesh and Uttarakhand Rural Water Supply and Environmental Sanitation (Swajal ) Project, a pilot project for the governments of UP and Uttarakhand supported by the World Bank during 1996-2003, became the model for the Government of India’s Rural Water Supply and Sanitation Programme. The Swajal Project broke away from past practice by involving villagers in the planning, construction and operation of their water delivery systems. This participatory model has since been scaled up into a national programme Swajaldhara.

Demonstrated success of the Swajal Project has contributed to design of the present ‘Global First’ project- Uttarakhand Rural Water Supply and Sanitation Project (URWSSP) based on the principles of Sector Wide Approach (SWAp). SWAp essentially means “ all significant funding of the sector supports a single sector policy and expenditure programme, under government leadership, adopting common approaches across the sector and progressing toward relying on government procedures to disburse and account for all public expenditure, however, funded”.’ The project covers entire rural areas of the Uttarakhand State spread over 13 districts. The project is facilitated by the Ministry of Drinking Water, Government of Uttarakhand and executed by three agencies namely Uttarakhand Peyjal Nigam (UJN), Uttarakhand Jal Sansthan (UJS) and Project Management Unit (Swajal).The Project Management Unit (PMU) is registered under Societies Registration Act, 1860 whereas UJS and UJN are institutions created under Water Supply and Sewerage Act, 1975. The PMU is supported by the District Project Management Units (DPMU) at the district level. UJN and UJS are also supported by their district level offices. The DPMU is the district nodal agency between different nodal stakeholders.

The actual implementers are Gram Panchayats (GPs) and User Water and Sanitation Sub Committees (UWSSCS). The project covers a period of five years from December 2006 to June 2012. There are four financing partners namely, International Development Association (IDA), Government of India (GoI), Government of Uttarakhand (GoUK) and Communities. The budget of the project is 224 Million US Dollars from which the contribution of the IDA is 120 Million US Dollars.

According to the Project Document, the project development objective is to improve the effectiveness of Rural Water Supply and Sanitation Services (RWSS) through decentralisation and increased role of Panchyati Raj Institutions (PRIs) and involvement of local communities. The project is also expected to bring associated benefits, including improved health resulting from reduced borne diseases, environmental sustainability through protection and management of water catchment areas. The project will also improve sanitation in about 30% of rural communities, to be declared free of open defecation.

Project description Component A: RWSS Sector Development (US$5 million) will 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 subcomponents: (i) capacity-building and strengthening programs; (ii) information, education, and communication; (iii) sector information system, water quality, and water source discharge monitoring programs; (iv) modernization of public procurement and procurement reforms; and (v) sector studies.

Annexure 1 1


Component B: RWSS Infrastructure Investments (US$197 million) aims to improve service and sustainable access to RWSS services by financing the following investments: (i) new investments in water supply schemes and catchment-area protection works; (ii) community mobilization and development activities; and (iii) sanitation programs.

Component C: RWSS Program Management Support and M&E (US$22 million) will support: (i) operational and administrative costs associated with the implementation of the sector-wide approach basket of the state's medium-term sector program; and (ii) monitoring and evaluation.

2. Main Objective and major tasks of the Mid Term Review Study:

The main objective of the proposed activity is to analyze the project implementation experience and inform the design of the remainder project as well as other RWSS Projects in the country. Taking into consideration the Project Appraisal Document (PAD) and the baseline situation, the proposed activity will review the project’s implementation progress with respect to physical achievements, policy and institutional aspects, and provide recommendations for improvements. It will use a combination of available data with the three implementing agencies along with a specially designed sample scheme and household survey, for assessing the achievements so far and future direction for the project. Key stakeholders, including implementing agencies and concerned GoUK officials, Panchayati Raj Institutions, support organizations, communities and beneficiary households will be consulted during all stages of the analysis. This will include workshops and meetings to get feed-back from the key stakeholders. The draft reports at various stages will be presented to the GoUK and World Bank for their review.

The attainment of the overall objective will be verified by the following key indicators

Evidence of institutional effectiveness in the sector (via reports from independent technical and social audit teams), such as the following (this is an indicative list only) : o the behavior change among stakeholder o timely completion of the program and o the cost effectiveness and sustainability of the service provision. o Increase in the number of population having access to improved water supply services. o High satisfaction level in participating communities. o Increase in the number of households adopting improved hygiene and sanitation practices in the

state. o Improved financial performance of the water supply schemes o SVS: 100% O&M cost recovery through tariffs o Multi Village Schemes (MVS): in accordance with ’s cost-sharing policy for RWSS sector.

[A detailed list of indicators will be prepared as part of the Inception Report, in consultation with the SWSM, PMU Swajal, UJN and UJS].

The Mid-Term Review shall assess the following separate issues:

• The general relevance, effectiveness, efficiency and impact of URWSSP including the extent to which the benefits of URWSSP are likely to be sustainable in the medium and long term. In the review report, the team shall propose possible changes and revisions in the approaches, objectives, organization, management systems, activities and expected results to be implemented during the remaining time of the project and for a possible second phase of the project.

Annexure 1 2


• At least the following factors should be considered in the analysis: policy environment, financial sustainability, institutional sustainability, socio-cultural sensitivity and sustainability, participation and ownership, and gender issue.

• More specifically, the analysis should address, but not necessarily be limited to, the issues described in the following.

On relevance

Are project objectives, expected results, approach and scope still valid and relevant, or would they necessitate a revision in relation to the GoI’s national policies and GoUK’s development plans?

How have the changes in the project’s external and internal environment affected the relevance of the project since the approval of the Project Document and the onset of the implementation?

Have the work plans been adequately adapted to new situation and have decisions been taken accordingly through the proper decision making system of the project?

How the needs and aspirations of the relevant project actors been taken into consideration in the planning and implementation of project activities?

On effectiveness:

To what extent has the project contributed to the achievement of the define objectives? What is the progress from the beginning of URWSSP towards its defined purpose and expected results? To what extent is the project likely to achieve its objectives/purpose during its life time?

What are the factors (if any) which have facilitated or impeded the progress of the project in achieving the intended objectives, results and impacts? What are the major obstacles preventing the attainment of objectives and for what reasons, if any?

Attitude and views of the various beneficiaries and other interest groups with regard to the progress made in the project and its up-to-date achievements?

Any tangible results at policy or strategic or practical level towards fulfilment of project objectives?

On efficiency:

The MTR study should assess the efficiency, i.e. how cost-effectively the available financial and other means have been converted into results.

Do the quantity and quality of the project’s results justify the quantity and quality of the means, assets and resources used for their achievement?

Have the local and external human, material and financial resources, which have been made available for the project, been appropriate in terms of quantity and quality of achievement?

Have time and resources been allocated to the various project components and activities in a planned, balanced and justified manner?

3. Detailed Scope of Work/Specific subjects to be addressed:

The study shall be conducted in 60 representative habitations where devolution of water Single Village Schemes (SVS) and Multi Village Schemes (MVS) works have been carried out under Sector Program. The study will be conducted in 10 habitations of Jal Nigam and Jal Sansthan each and 40 habitations of PMU, Swajal. The household survey shall be conducted in above habitations for atleast 600 representative benificiaries.

Annexure 1 3


The proposed activity will provide insights on the existing situation, effectiveness of project design and interventions, and future course of action. This activity will review the implementation progress of the project, specifically focusing on:

(i) Physical Progress and Achievements. This will include an assessment of the achievements, implementation problems, areas of concern and possible solutions for improving rural water supply and sanitation services by the three implementing agencies.

(ii) Technical Design Aspects. A sample check of about 50 representative schemes will be carried out to provide an independent assessment of the technical design aspects including functionality and sustainability of schemes. The study will recommend measures that can be taken up to improve the scheme design and performance.

(iii) Institutional Design for Service Delivery. The institutions at the State, district, and village levels will be reviewed and recommendations made for strengthening and improving these institutions.

(iv) RWSS Policy. The on-going SWAp vs. alternative approaches will be considered for informing any changes in the design of the project. The policies for capital cost contributions and O&M contributions, including their efficacy and weaknesses will be examined and recommendations made for improvements.

(v) Project planning, appraisal and approval processes. Existing practices will be reviewed and recommendations made on how these can be strengthened.

(vi) Fund Flow. The existing fund flow vs alternative arrangements will be analyzed for future directions.

(vii) Financial Management Financial Management processes, including budgeting, accounting and auditing processes will be reviewed and recommendations made on how to make these more efficient.

(viii) Procurement: The project procurement arrangements will be reviewed to assess whether they are in line with the agreed procedures for improving transparency, competiveness and efficiency, and recommendations made for further improvements.

(ix) Environmental and Sanitation aspects, including source sustainability, safe disposal of waste-water, household sanitation and hygiene aspects, and solid and liquid waste management at the village level will be reviewed and recommendations made on how to improve these.

(x) Social Assessment, including an assessment of the stakeholders, major beneficiaries, and inclusive of stakeholders gender related issues, to provide a better understanding of who are benefiting from improved services and whether the services are equitable.

(xi) Capacity Building Activities will be reviewed, including quality and effectiveness of the programs, training modules.

(xii) Communication strategy will be reviewed and recommendation made on how to improve IEC tools and programs.

(xiii) Monitoring and Evaluation: Data and M&E formats will be reviewed to recommend improvements. The outputs from project interventions will be analyzed using available baseline data for all three agencies.

(xiv) Beneficiary satisfaction /social audits: An independent survey of at least 600 households will be undertaken to provide an assessment of the beneficiary satisfaction. To the extent possible, the scheme and household survey will be co-ordinated for analyzing the supply and demand side information for each scheme.

(xv) Political Economy and other constraints will be examined with recommendations for stakeholders analysis solving problems at all levels

(xvi) Economic Analysis or ERR.

Overall, this study will provide a complete documentation of the implementation progress of the project, so far, and measures to be adopted to strengthen the project activities for improving effectiveness. The Consultant will analyse the general project progress, organizational, financial

Annexure 1 4


and institutional sit up and practical project management by the stakeholders. The Consultant will address the following subjects-

o Assess the appropriateness of the current fund flow of the investment funds. o Provide with guidelines how the remaining period of the Project implementation should be

redirected, if necessary, in order to meet the set objectives of the Project and / or if there is need and possibility to extend the project. As project redirection and extension would require the decision of competent authorities the recommendations and guidelines need to be justified, sound, clear and convincing.

o Assess the capacity of PRIs and UWSSCs to complement the project activities. o Assess the capacity of NGOs to work as Support Organisations for mobilising the community

for group actions. o Assess the GoUKs capacity to mobilize staff to project implementation. o Assess the capacity of the GoUK to continue the implementation of the Project without

external assistance o Assess whether the project has adequately planned and put into practice the cross cutting

issues like governance, gender and social inclusion into all operational levels of the project. To put it explicitly, special attention shall be paid to gender sensitivity and inclusion of the most disadvantaged groups, community participation and good governance.

o Assess the project approach to take into consideration the challenges to the implementation caused by remoteness, accessibility and transportation in terms of personnel, investment, time and other costs.

o Assess the direction of the project approach to use of partnerships in implementation. The key outcome indicators for this activity will be: • Improved data-base and understanding of institutional effectiveness in the sector (via score

cards based on reports from independent technical and social audits), including behavior change among stakeholders.

• Improved understanding about cost effectiveness and sustainability of the service provision. • Enhanced data base on number of population having access to improved water supply

services. • Better understanding about level of satisfaction in participating communities. • Better understanding about number of households adopting improved hygiene and

sanitation practices in the state. • Better understanding of the financial performance of water supply schemes (SVS, MVS), in

accordance with GoUK’s cost-sharing policy for RWSS sector).

4. SCHEDULE FOR COMPLETION OF TASKS

The duration of the assignment is eight weeks, starting in June and ending in July 2009

July 2009 - Bid Invitation announcement Aug 2009 - Deadline for submission of bids and opening of

bids Aug 2009 - Notification of award decision Aug 2009 - Signing of contract Aug 2009 - Submission of Inception Reports Aug 2009 - Workshop with stakeholders Aug 2009 - Submission of draft report Sep 2009 Submission of final report

Annexure 1 5


5. DATA, SERVICES AND FACILITIES TO BE PROVIDED BY THE CLIENT

The SWSM, Uttarakhand through PMU/UJN/UJS would supervise the implementation and facilitate interaction and exchange of information between the Consultants and concerned GOUK department officials and Panchayat Raj Institutions; all relevant programme documentation will also be made available to the Consultants. The PMU/UJN/UJS officials may join the Consultant team during selected field visits. The District level officials of PMU/UJN/UJS shall facilitate and monitor all process during the field visit, wherever necessary.

6. FINAL OUTPUTS (i.e., REPORTS, DRAWINGS, etc.) THAT WILL BE REQUIRED OF THE CONSULTANT

The Inception Report at the start of the consultancy should include details on the processes and procedures to be adopted for the preparation of the MTR assessment, including technical and social audits to be carried out. Prior to the fieldwork, documentation review is to be undertaken by the Consultant in order to understand the essential ingredients of the project. The field work will be based on substantive in-depth interviews in project area in districts, NGOs, GPs, UWSSCs and communities. In-depth discussions, observation and use of participatory methods should be utilized in the work in the project areas. The study would use both quantitative and qualitative methods.

Time Schedule/ Weeks Benchmarks (Reports) For each

stage/ report From date of

commissioning

Inception report 2 weeks 2 weeks

Workshop with stakeholders 1 weeks 3 weeks

Draft Final Report 3 weeks 6 weeks

Final Report 2 weeks 8 weeks

7. Review Committee to monitor Consultant’s work

The review committee consisting of following officers will review all reports and suggest any modifications/changes considered necessary within 15 days of the receipt.

a. Secretary, Drinking Water, GoUK b. Director, PMU, SWAJAL PROJECT c. Chief General Manager, UJS d. Managing Director, UJN e. Finance Controller, SWSM

8. PROCEDURE FOR REVIEW OF PROGRESS REPORTS, INCEPTION, STATUS, FINAL DRAFT AND FINAL REPORTS

The Inception Report at the start of the consultancy should include details on the processes and procedures to be adopted for the preparation of the MTR assessment, including technical and social audits to be carried out. Prior to the fieldwork, documentation review is to be undertaken by the Consultant in order to understand the essential ingredients of the project. At the end of the field work a wrap-up workshop with major stakeholders will be organized in Dehradun. A wrap-up meeting in Dehradun will be undertaken by the Team Leader after delivery of the Draft Report. The study will be carried out in close cooperation with the State Government and UJN, UJS & PMU authorities at the State, district and local levels. The draft report will be submitted to the SWSM, PMU, UJS &UJN for correction and comments. These organisations will give their comments and corrections within 2 weeks after receiving the draft report. Finalization of the draft MTR report should be completed within one week after receiving the comments.

Annexure 1 6


The final report shall be submitted to the SWSM in twenty printed originals and one CD using latest MS-Office programs. The costs of the printing shall be paid by the consultant. After receiving the report the SWSM will send the report to Deptt. of Drinking Water, GoUK for onward transmission to the Ministry of Rural Development, Deptt. of Water Supply, Govt. of India, Ministry of Finance, Deptt. Of Economic Affairs, Govt. of India, and the World Bank. they shall distribute the report to all relevant project stakeholders.

The Consultant is expected and entitled to discuss with relevant project stakeholders, GoUK’s authorities, local authorities, NGOs and individuals relevant to the assignment. The Consultant is not, however, authorised to make any commitments on behalf of Governments of India, Uttarakhand and World Bank or represent him or herself as representative of the Governments of India, Uttarakhand and World Bank.

9. LIST OF KEY PROFESSIONAL POSITIONS WHOSE CV AND EXPERIENCE WOULD BE EVALUATED.

The evaluation team shall consist of six evaluation experts with relevant experience and background for this evaluation. Members of the evaluation team should have substantial knowledge of India, especially Uttarakhand, and its rural water and sanitation sector and ample experience from working in India. Members of the evaluation team should furthermore have expertise in the fields of development evaluation, education, financial tracking and public administration. The composition of the evaluation team should as far as possible reflect a balance between international and national consultants and should as far as possible be gender balanced. The Team Leader should document to proven record of successful team leading of similar evaluations.

S. No. Key Position Area of Specific Expertise

desired Minimum Qualification and

Professional Experience desired

1 Team Leader (Institutional Expert)

Experience of institutional studies and institutional planning in water and sanitation sector

MBA/Master in Public Administration (or equivalent) with 20 years experience

2 Water Supply and Sanitation Specialist

Rural Water Supply and Sanitation Sector

Post Graduate in Civil Engineering with specialization in Public Health Engineering with 20 years experience

3 Social Scientist Community development specialization

Post Graduate in Sociology/ Social Work/Human Resource Development with 15 years experience

4 Economist Corporate finance/corporate planning/ financial restructuring

MA (Economics or Commerce)/CA with 10 years experience

5. Environmental Expert

Environmental issues expert Post Graduate degree in forestry / Environmental Engineering/ Environmental Science with 20 years experience

6. Financial Analyst

Specialization in finance Chartered Accountant or MBA with 10 years experience.

Annexure 1 7


Annexure 1 8

The Consultant will include following working days:

Invoicing days Team Total Desk Work Field Work Reporting Updation

1 Team Leader 30 5 18 5 2 2 Second Expert 23 2 18 3 0 3 Third Expert 23 2 18 3 0 4 Fourth Expert 23 2 18 3 0 5 Fifth Expert 20 2 16 2 0 6 Sixth Expert 20 2 16 2 0 Total 139 15 104 18 2

The Consultant will be assisted by requisite field and support staff for carrying out the assignment.

Annexure 2- Stakeholder Workshop Proceedings

ANNEXURE 2 Proceedings of the Stakeholder Workshop as part of the Mid Term Review of URWSSP was held on 16th September, 2009 at Manthan Conference Room at the Forest Headquarters, Rajpur Road, Dehradun.

The Stakeholder Workshop held on consisted of the following sessions and methods:

(i) Opening Session (ii) Thematic Group Discussion - I (iii) Group Discussion - II a modified version of the World Cafe Conversation

A. Opening Session 1. The Stakeholder Workshop was organised by State Water and Sanitation Mission (SWSM). The

purpose of the workshop was to arrange a platform of interaction for various stakeholders of the sector wide approach in drinking water sector now being implemented in the State of Uttarakhand. MTR provides an opportunity for the stakeholders to reflect on the achievements and shortfalls in the SWAp and arrive at definite steps for the way forward till the end of the project. The Opening session of the Stakeholder Workshop concluded at 12.00 noon.

B. Thematic Group Discussion- I 2. Mr. Suresh Khanduri facilitated the Group formation. The participants were then grouped into the

following focus groups.

(i) PMU – Project Management Unit – SWAJAL; (ii) DPMU- District Project Management Unit – SWAJAL; (iii) SO- Support Organizations; (iv) Gram Pradhans; (v) UWSSC- User Water Supply and Sanitation Committee; (vi) UJN- Uttarakhand Peyjal Nigam; and (vii) UJS- Uttarakhand Jal Sansathan

3. Mr. P.K. Kurian, Team Leader MTR- WSA presented the issues and topics for group discussion.

The questions/ Issues for Group Discussion are as follows:

(i) Is Swajal - II under Sector Wide Approach successful? If the answer is yes, what are the justifications? (Why is it a success)? What are the factors and actors which have facilitated progress of the project in achieving the intended objectives, results and impacts?

(ii) If the answer is no, why is it a failure? What are the factors and actors which have impeded the progress of the project in achieving the intended objectives, results and impacts?

(iii) What are the major obstacles preventing the attainment of objectives and for what reasons, if any?

(iv) As a partner in the Swajal- II, what are the issues, problems that is bothering your

Annexure 2

1


group/department/ division? Have you tried to sort out the issues? If yes, what is the result? How can the issues be sorted out?

The output of the group discussions which was very active and involved participation of group members are given below.

Summary of Discussion by DPMU Group Factors and Reasons for Success Main Obstacles Solutions

• Demand Driven • Community Participation • Transparency • Community based scheme • Integrated strategy • Timeliness of the Project. • Sense of Ownership • Development of human resources • Equal participation of all sections of

society • Resolution of conflicts at local level • Coordination between concerned

departments • Participation of People’s representatives ,

SO and Govt Departments • Empowerment of PRIs • Demand driven • Community Participation • Transparency • Community based schemes • Integrated strategy • Timeliness

• Delay in fund transfer from Gram Nidhi to UWSSC.

• Forest Land Transfer- Complicated Process.

• Difference between RGNDWM Survey 2003 and field conditions.

• Insufficient availability of Technical Staff at GP and DPMU.

• Percapita cost is not matching difficulties in hilly regions

• Responsibilities other than SWAJAL from the side of the Govt.

• Conflicts based on Groups loyal to various parties, interests etc. resolved through general community meetings.

• Water source conflict is resolved using the good offices of local bodies/GPs.

• Exposure visit, meetings, trainings, workshops to orient the staff.

• Unavailability of land for construction of tank- Community is not able to give land free of cost.

Summary of Discussion by Support Organisation Group Factors/ Actors and Reasons for

Success Main Obstacles Solutions

• Scheme development by community

• Community directly implementing the scheme – source selection and survey of pipe line etc.

• Community Procurement • Transparency- through trainings,

procurement, exposure visit, wall writing, regular meetings

• Cash & labour contribution ensuring community participation

• Sense of ownership- scheme with GP/ UWSSC.- collection of fund for O&M.

• Partnership based work among stakeholders.

• Duration of Planning phase is less.- 3 to 6 months increase needed in the hills

• Insufficient fund provisions for the planning and implementation phase.- ToR of SOs in phase –I is retained in Phase –II with reduced budget and increased operational area.

• Delay in fund transfer from Gram Nidhi to UWSSC.

• Delay in payment to SO for construction of latrines under TSC.

• Delay in getting NOC from Forests for land transfer.

• First installment of funds is given to UWSSC before market survey.

• GP elections and change of

• Conflicts based on Groups loyal to various parties, interests etc. resolved through general community meetings.

• Source conflict is resolved using the good offices of local bodies/GPs.

• Exposure visit, meetings, trainings, workshops to orient the staff.

Annexure 2

2


Summary of Discussion by Support Organisation Group Factors/ Actors and Reasons for

Success Main Obstacles Solutions

• UWSSC leaders emerging as new local leaders- They participate in GP elections and other development activities

• Rules and regulations in favor enabling participation of Women, SC, ST etc.

• Improved water supply provides good health, time saving and economic improvement.

• Demand Driven • Community Participation • Transparency • PRI-centric / strengthening • Integrated strategy - Coordination

between stakeholders • Capacity building of community • Representation of each section of

the community. • Development of local institutions

and their capacities • Supply of Good quality water and

improved environment.

leadership- training etc has to be repeated. Change in ownership etc.

• Difference between field realities and RGNDWM report on habitation coverage.

• Quality testing of materials causes delay.

• No software staff in UJN and UJS. • Role of SO is not clear in

implementation phase – especially related to technical and financial issues.

• Do away with Bank Guarantee system from the part of the SOs.

• Gap between Planning and Implementation phase – difficulty in maintaining SO Staff.

Summary of Discussion by Gram Pradhan Group Factor and Reasons for Success Main Obstacles Solutions

• Yes, Successful • Source selection in General Meeting • Procurement of material decided by

community meetings. • Implementation through Samithies. • Participation of all sections of society

in scheme. • Habitation and need based project. • Schemes selected by villagers • Formation of Samithy under GP • Selection of Samithy members in open

community meetings and through consensus.

• Community participation • Selection of source and technology on

the basis of the community decisions • O&M of scheme is the responsibility

of the Community

• Funds transferred to Gram Nidhi

• Less time for Implementation phase.

• Administrative cost of UWSSC is less

• Less focus on the conservation of sources.

• Delay in preparation of IPCR- and consequent delay in payment.

• Funds to be transferred directly to Samithy account.

• Give more time (6 to 9 months) to implementation phase.

• Increase Administrative cost of UWSSC

• More focus on the conservation of sources and schemes for ground water recharge- protection of environment.

• IPCR be prepared immediately after implementation phase.

• Insurance of scheme to be ensured.

• Capacity building of Samithy members

Annexure 2

3


Summary of Discussion by Gram Pradhan Group Factor and Reasons for Success Main Obstacles Solutions

• Effective date of the start of Implementation phase to be calculated from the date of accruing cash in the UWSSC account.

Summary of Discussion by UWSSC Group Factor for Success Main Obstacles Solutions

• Need based planning and implementation of schemes

• Community participation in implementation.

• Operation and Maintenance by the beneficiaries

• Transparency in scheme development • Work on sanitation and water

simultaneously. • Improved water quality- supplied. • Sustainability of water sources through

check dams and afforestation – There is provision for these.

• Development of scheme through common consensus

• Conflict resolution at community level. • Easiness in maintenance of schemes • Realisation of the provisions in the

constitution for PRI strengthening. • Empowerment of PRIs • Decentralisation of power • Development of sense of ownership and

responsibility

• Delay in fund flow from Gram Nidhi to UWSSC.

• Quotation process is complicated.

• GP Secretary is not giving time

• GP does not have good quality staff - Accountant to maintain accounts.

• Forest land based sources is a problem.

• Delay in preparation of IPCR- and consequent delay in payment.

• Delay in releasing the last installment of 20%.

• Changes and revisions in DPR is not timely made.

• Problems in laying pipes through roads and drainages- difficult to repair later.

• Difficulty in getting voluntary labour

• Lack of technical capacities

• Insurance facilities not available for the scheme.

• Timely release of payment after valuation and account checking.

• Make provisions for repair of roads after cutting roads for laying pipes.

• Training for GP and UWSSC from time to time with exposure visits.

• GP should see that the scheme is insured during O&M phase.

Annexure 2

4


Summary of Discussion by UJN Group

Factor for Success Main Obstacles Solutions • Partially successful • Participation of

beneficiaries • Demand driven

programme • Sense of ownership

• Difficult for the Samities to look after pumping and gravity Schemes

• RGNDWM -base line of habitation is not correct and out dated.

• Peri-urban water requirement is as good as the urban need and cannot be given water at rural standards.

• Per capita cost is less in MVS schemes • Approval process for MVS schemes is

very complicated and takes time. • Groupism and individual conflicts delay

project. • Lack of experienced NGOs to support

Swajal.

• IEC should be made to support SWAp.

• Increase Per capita cost. • Capacity building of

non-technical staff in online data maintenance

• Have good accounting staff in the project

• Responsibility of UWSSC is to be fixed to ensure community participation.

Summary of Discussion by UJS Group Factor for Success Main Obstacles Solutions

• Less political interference • Development and implementation of

schemes by GPs • Capacity building of GP • Focus on approach for complete sanitation • Availability of sufficient funds • Development of schemes by beneficiary

households • Demand driven

• Per capita cost is less • Cost of devolution of less • RGNDWM – base line of

habitation is not correct. • Lack of experienced

NGOs to support • Less planning phase • Responsibility of other

water supply schemes other than SWAP so less time available for SWAP

• Mindset of government and department for accepting and implementing SWAP

• Data entered by DPMU about any GP cannot take any feeding of data thereafter thus progress of UJS does not reflect positively

• Establishment of SWAP cell and availability of appropriate budget for its implementation

• Increment in devolution cost

C. Modified World Café Conversation 4. The Second Group Discussion began immediately. Modalities for the Group discussion were

explained by Mr. Khanduri and subsequently supplemented by Mr. Kapil Lall, Director, PMU. The Same groups as in the morning session was retained. Following questions were given for group discussion.

Annexure 2

5


Question I - Our Difficulties in implementing SWAJL-II at the moment with you? Question II - What will we do to solve these difficulties; and Question III - What would we like you to solve these difficulties.

5. A modified method of World Café conversation was adopted for the Group Discussion. Each

Group was to discuss the above questions about another partner group and send two of their representatives to the other group to report the gist of discussions and vice verse. The following table gives details of the groups formed and the host groups.

Group Pair - 1 SO discussing their relations with GP and vice versa Group Pair - 2 DPMU discussing its relation with UJN and vice verse Group Pair - 3 UJS discussing its relation with PMU and vice verse Group Pair - 4 UWSSC discussion their relations with SO and GP. 6. The gist of discussions and presentations to each other became very lively and generated lot of

interest. The group discussions concluded at 3.30 pm. Summary of Group Discussions are given below.

D. Second group discussions:

DPMU- discussions about UJN Question - 1 Quesestion-2

• No SWAP cell at divisional level • Unavailability of MPR on time • Ineffective implementation of planning phase • Allotment of GP to support organization is more

than their existing capacities • Allotment of works to SOs which are not

selected by DWSM or which comes under low grading

• Ineffective implementation of TSC Program • Selection of GPs are not done on time • NC/PC habitat are shown as FC without

information

• Establishment of SWAP cell at divisional level

• Ensure submission of MPR on time • Implementation of all activities

scheduled under planning phase • Allotment of GP to SO should be done

as per their capacity • Selection of SOs to be done as per list

of DWSM only • Status of sanitation and HHs data to be

provided after implementation of TSC program

UJN -discussions about DPMU Question - 1 Question-2

• Irregular coordination meeting by DMPU at district level

• Less capacity building of staff by DPMU at district level

• Member Secretary of DPMU prepare plan for the scheme only and not plan for entire GP in a broader perspective

• Meeting to be called once in two months in place of 6 months

• Cell to be establish for technical valuation of the schemes

• GP to be selected as per scheduled selection process

• Capacity building of officials to be done by DPMU

• UJN engineers should be involved during planning phase

Annexure 2

6


GP- discussions about SOs Question-1 Question-2

• Problems with NGOs • Less trained and technical staff in NGOs • Timely capacity building of samities are not

done by SOs • Lack of staff at local level for monitoring of

implemented schemes • Delay in preparation of statement and DPR • Problems with DPMUs • Delay in payment • Delay in approval of DPR and IPCR

• Staff to be trained before its placement at village level

• Capacity building of UWSSC members from time to time

• IEC activities to be done in a broader way

• Placement of technical staff • DPR to be prepared before completion

of planning phase

SO-Discussions about GP Question-1 Question-2

• Sparing sufficient time during training programs • Lack of full presence of gram panchayat during

decision making process • Lack of transparency in other village

development scheme at panchayat level • Pradhan gives more priority to his/her habitat as

compare to other habitats • Engineer and accountant appointed by GP is

less available in field • Regular supervision and monitoring is not done

by social audit committee

• GP to give priority to attend training programs

• Agenda of the meeting to be given well in advance

• More activities regarding IEC, exposure visits and conflict resolution to be implemented

• In place of Pradhan the beneficiary of particular habitat should be made as President

• Roster of JE/Accounts to be prepared or to be appointed by SO/DPMU

• Dissemination of clear information during PFR to ensure more community participation

• Give priority to SWAP program • Supportive role of GP to be ensured

within the program provision

UJS- discussing about PMU Question-1 Question-2

• Non acceptance of SWAP approach as a result, M&E, CACMP and progress related data is not available

• Lack or participation during capacity building or presence of person not related to the activity

• Low priority and interest towards capacity building progress

• Lack of trained and skilled staff • Nomination of ineffective SWAP nodal officer • Community procurement is not done as per

process/rules • IPP not prepared on time • Delay in fund transfer from GP to UWSSC

• Acceptance of SWAP approach as now government guideline are also within same approach

• Undertake TNA and demand for training program accordingly. Support of SWSM, CCDU is expected

• Active participation in capacity building programs

• Guideline and officials orders to reach at divisional level

• Establishment of nodal division at state and division level for effective monitoring of activities

• Prioritizing work related to CACMP

Annexure 2

7


Annexure 2

8

PMU discussions about UJS Question-1 Question-2

• Lack of proper structure for UJS • Provision of NC/PC – why? • PMU responsibility was to provide SOs and this

was not provided • Capacity building of staff not done • Cost of devolution is less •

• Establishment of SWAP cell • Resolve the ceiling limit of devolution

cost • Provision for better infrastructure and

facilities, experts, staff • Direct contact of PMU to DIA • Limit of devolution cost to be increased

from present limit of 2 to 8 lakhs. The House sat in for the plenary session at 3.30pm. The Plenary was chaired by Mr. Kapil Lall IFS, Director, PMU. Additional Project Director, PMU, Mr. V. K. Sinha clarified issues relating to the following:

(i) Time duration for implementation of schemes has been enhanced from 6 to 9 months;

(ii) Effective date of the implementation phase can be calculated from the date the funds are actually received at the account of the UWSSC;

(iii) Software will be modified and corrected so as to include data from UJN and UJS;

(iv) Modify the M&E formats;

(v) Per-capita cost;

(vi) Cross visit;

(vii) Recruitment /placement of new personnel for UJN and UJS; and

(viii) GoUk has cleared MVS proposals worth Rs.18 Cores this week.

1

ANNEXURE 3

SWAJAL UTTARAKHAND RURAL WATER SUPPLY AND SANITATION PROJECT

Scheme Level Survey as part of the Mid Term Review - 2009

Covering Panchayati Raj Institutions / VWSCs/ Users Water and Sanitation Sub Committee (UWSSC) as applicable through SSI

Name of the scheme : District : Implementing agency : SWAJAL PMU / UJS/ UJN Project milestones -

1. Start date of Pre Planning Phase -______________Month ________Year 2. Start date of Planning Phase -______________Month ________Year 3. Start date of Implementation Phase -______________Month ________Year 4. Date of Commissioning -______________Month ________Year 5. Type of scheme (a) SVS-Gravity- Spring

(b) SVS-Gravity-Gadhera (GG) (c) SVS-Tube well (including OHT TW/ pumping) (d) SVS-Hand Pump

(e) SVS-Mixed Technology (Hand Pump & Gadhera; Tube well and HP; GG and Pumping)

(f) MVS-Gravity-Gadhera (g) MVS-Tube Well (including OHT TW/ pumping)

6. Total households currently drawing water - 7. No. of days being non-operation since commissioning – 8. Total households currently served with water supply - 9. Total number of households in the habitation - 10. No. of households added after commissioning - 11. No. of households left the scheme after commissioning - 12. Total income as per tariff per month - 13. Total income actually collected - 14. Total actual expenses 15. Total actual expenses paid 15.1 No. of households defaulting payment of water charges (3 months or more only) 15.2 Is Water charges revised after commissioning – Yes/ No

a. If yes, state whether increased or decreased------------------------------ 15.4 Frequency of paying water charges

4 3 2 1 A Regular practice Annually Half Yearly Once in 3 months Monthly B Advance Payment Annual

advance Half Yearly

Advance Quarterly advance

2

Sustainability indicators related to Source, System, Quality, Financial and Institutional aspects as below -

16. Water Source 16.1 Is the water source adequate for year round supply?

2 1 0 Yes No Don’t Know

16.2 Is the water supply exceeding the recommended level?


16.3 Is there any measure / devices to record the water use?


16.4 Is there any catchment protection or other recharge measures undertaken?


16.5 Is there any measure in place to avoid mis-use of water supplied?


17. Water Distribution System in place

17.1 Is there break down in water supply for any reasons due to system failure? 2 1 0

Yes No Don’t Know 17.2 Are all households receiving water in more or less equated quantities?


17.3 Is the UWSSC able to repair/ set right problems within short period?


17.4 Is the water supply operator capable of handling the issues?


18. Quality of water Supplied 18.1 Is the community at large happy with the water quality supplied?


3

18.2 Is water supplied used for drinking needs?


18.3 Is the water source under threat from pollution or other contaminations?


18.4 Is there any measures undertaken to prevent source pollution? \


18.5 Is there a change in the incidence of water borne diseases?


19. Financial System

19.1 Financial - Is the scheme able to raise finances enough for meeting the regular expenses?


19.2 Is the accounts maintained regularly


19.3 Is there a regular practice in place for collection of tariff


19.4 Is there any process in place for meeting any unexpected expenditures


20 Institutional arrangements

20.1 Is the GP/ Committee able to resolve most issues pertaining to water supply scheme 2 1 0

Yes No Don’t Know

20.2 Is there a mechanism where the users are informed the decisions and outcome by the managing committee


20.3 What percentage of the user households are actively participating in the operations?

2 1 0 More than 75% 50-75% Less than 50%

20.4 What percentage of the user households are satisfied with the overall functioning of the water supply scheme

2 1 0

More than 75% 50-75% Less than 50%

20.5 Rate the women involvement in managing the water supply scheme 2 1 0

Good Moderate Poor

20.6 Rate the GP/ VWSC involvement in managing the water supply scheme 2 1 0

Good-Regular Moderate- Irregular Poor-No involvement

20.7 Details of Registers at the UWSSC

A B No Name of Register Available

but not maintained

Maintained and up-to-

date 1 Minutes Book 2 Cash Book 3 Ledger Book 4 Members Pass book 5 Application form/

Membership Register

6 Log Book 7 Visitors’ Register 8 9

10 21 Use Separate sheets for recording Good Practices and success stories

22 Other Observations of the Surveyor 23. Name and phone number of any scheme representative Signature of the Surveyor Date of Survey Name of the Surveyor Phone Number

4

Annexure 4-Household level Questionairre

ANNEXURE 4

SWAJAL UTTARAKHAND RURAL WATER SUPPLY AND SANITATION PROJECT

Household level Survey as part of the Mid Term Review - 2009

1. Name of Head of Household (1a) Sex (1b) House No 2. Name of Habitation/ Hamlet (2a) Village (2b) Gram Panchayath 2.1 Category of the Household (1) SC (2) ST (3) General 2.2 Wealth Status of the Household (1) BPL (2) APL (3) nil/ others 3. Tehsil / Taluk 4 District 5. Wealth Indicators of the Household 5.1 Roof

(1) Plastic/Thatch/Literoof (2) Asbestos /Tile. (3) Combination (1/2/3/ 4) (4) Concrete. 5.2 Electricity

(0) Not Electrified. (1) Wiring done –waiting for electrification (2) Electrified 5.3 Road Access (1) Footpath (2) Two wheeler path (3) Four Wheeler Road 5.4 Fuel used. (1) Fuel Wood / Crop Residue. (2) Kerosene. (3) Biogas (4) LPG (5)

Combination 5.6 Land Owned (0) Landless (1) 1-25 cents (2) 26-50 cents (3) 51-100 Cents (4) 100 cents +. 5.7 Latrine -(0) No Latrine. (1) Single deep pit (2) Two pit latrine (3) Septic `Tank Latrine. 5.8 Vehicles (0) None. (1) Bicycle (2) Two wheeler (3) Three wheeler (4) Four Wheeler 5.9 TV/ Radio at home. (0) None (1) Radio (2) TV (3) Radio and TV 5.10 Mobile Phones at Home (0) None (1) One (2) More than One. 6. Date/ Month in which water supply scheme was made available to the House --------------- 7. Water Availability and Drudgery reduction as a result of water availability from Swajal

Characteristics (i) Before Swajal (ii) After Swajal A Distance to the water collection /

availability / distribution point

B Slope of the area reflecting the water carriage track (steep, flat terrain factor)

C Purpose for which water is fetched D Time needed for requisite water

collection

E Quality of water (in relation to the type of water use at House hold)

F Quantity of water used (liters per household)

G Amount spent each month for water supply

H Incidence of major water borne diseases

Annexure 4 1


I Time spent in going/walking to toilet/defecation place

Before construction of Household latrine ( )

After construction of Household latrine ( )

A. (1) Less than 50 meters (2) 51-100 meters (3) 100- 200 meters (4) More than 200 meters. B. (1) Very steep slope (2) Moderate slope (3) flat terrain C. (1) Drinking & Cooking (2)Washing clothes (3)Bathing (4) Toilet use (5) Animals (6) Almost all D. (1) Less than 30 minutes, (2) Half an hour to one hour (3) 1 to 2 hours (4) 2 to 3 hours (5) More than 3 hours E. (1) Very Poor (2) Poor (3) Moderate/ Average (4) Good (5) Very Good F. (1) < 50 litres (2) 51-100 (3) 101-150 (4) 151-200 (5) 201-300 (6) More than 300 liters G. (0) nil (1) Rs. < 10 (2) Rs. 11-20 (3) Rs. 21-30 (4) Rs. 31-40 (5) Rs.41-50 (6) >Rs.50

H. (1) No disease (2) One incidence (2) 2-5 incidence (3) 5-10 incidence (4) More than 10 incidence.

I. (1) Less than 30 minutes, (2) Half an hour to one hour (3) 1 to 2 hours (4) More than 2 hours 8. Regularity of water availability across most months of the year

6 5 4 3 2 1 Available all time

Daily (3 to 6 hrs) Daily 1-2 hrs Daily < 1 hour

Once in 2 days

Once in 3 days/ +

9. Quality of Water (household perception based) Characteristics 1 2

A Taste Not Good Good B Colour Coloured Colourless C Smell Foul Smell No Smell D Hardness Hard/ Soap does not lather Not Hard/ Soft/ Soap lathers

10. How is the water treated for drinking?

4 3 2 1 Boiling before drinking Regular Chlorination Chlorination once in a week No Treatment

at all 11. Type of Water Connection to the Household

1 2 Public Stand Post Household Connection

12. Type of Sanitation structure at the household

1 2 3 Completed sanitary toilet Non-sanitary toilet No- toilet

13. Usage of Sanitation structure at the household

1 2 3 Used by all family members Used by women/ some family

members Not used

13.A Details of water borne diseases that has occurred in the last one year

1 2 3 4 Disease No instance in

the last one Affected Male Members only

Affected Female

Affected Entire Family

Annexure 4 2


year Members only A Diarrhea B Cholera C Jaundice D Typhoid E Others (specify)

13.1Approximate cost incurred towards treatment of above diseases

0 1 2 3 4 nil <100 101-500 501-1000 >1000

13.2 Details of Improved Sanitation behaviour practices

Behaviours 1 2 3 4 A Hand washing with

soap etc after defecation

No difference in behaviour- no

washing with soap etc

Other practices followed

Hand washing with soap done after defecation

B Handling of liquid waste at home

A cesspool of liquid waste adjacent to

the house

Liquid waste diverted to a

soak pit

C Handling of solid waste at home and surroundings

Carelessly thrown and spread around

Burn the solid waste

Safely disposed by collection and

heaping at a suitable location

Converted into compost

14. Daily Wages prevalent in the village/ neighbouring villages per day

1 2 3 4 5 < 25 26-50 51-75 76-100 100+

A Men B Women

15. Time Saved by the Family due to availability of Water

1 2 3 4 5 Less than ½

hour ½ hour to one hour

One hour to two hours

Two hours to Three hours

More than three hours

A Men B Women C Girls

(Children)

D Boys (Children)

16. Demographic details of the Household

A B C D E No.

Name Sex Age Main Occupation

If Student class

1 2

Annexure 4 3


Annexure 4 4

3 4 5 6 7 8 9

10 17. Overall Satisfaction rating about Swajal Water Supply

1 2 3 4 5 6 Very Poor Poor Satisfactory Good Very Good Excellent

18 Other Observations of the Surveyor

Signature of the Surveyor Date of Survey Name of the Surveyor Phone Number

Annexure 5-List of Schemes covered during the Survey

Annexure 5 1

No

Region Name of the scheme District Implementing agency Type of Scheme

1 Garhwal Thalla Malla Pauri SWAJAL SVS-Gravity- Spring 2 Garhwal Bandar Mali Chamoli SWAJAL SVS-Gravity- Spring 3 Garhwal Sanji Chamoli UJN SVS-Gravity- Spring 4 Garhwal Kauriya Chamoli SWAJAL SVS-Gravity- Spring 5 Garhwal Bunga Chamoli SWAJAL SVS-Gravity- Spring 6 Garhwal Dungri Chamoli SWAJAL SVS-Gravity- Spring 7 Garhwal Virkholi Chamoli SWAJAL SVS-Gravity- Spring 8 Garhwal Golabung Chamoli SWAJAL SVS-Gravity- Spring 9 Garhwal Kamedi Chamoli SWAJAL SVS-Gravity- Spring

10 Garhwal Brahmas Kands Rudraprayag SWAJAL SVS-Gravity- Spring 11 Garhwal Danda Pungri Chamoli SWAJAL SVS-Gravity- Spring 12 Garhwal Dewarwalla Chamoli SWAJAL SVS-Gravity- Spring 13 Garhwal Khet Chamoli SWAJAL SVS-Gravity- Spring 14 Garhwal Guptara Chamoli SWAJAL SVS-Gravity- Spring 15 Garhwal Budogi Tehri UJN SVS-Gravity-Gadhera 16 Garhwal Fatehpur Dehradun SWAJAL SVS-Hand Pump 17 Garhwal Dangu Koti Tehri UJS SVS-Gravity- Spring 18 Garhwal Chuna Baguli Tehri SWAJAL SVS-Gravity- Spring 19 Garhwal Godhmu Tehri SWAJAL SVS-Gravity- Spring 20 Garhwal Thalin Dehradun SWAJAL SVS-Gravity- Spring 21 Garhwal Bizgadera Uttarkashi SWAJAL SVS-Gravity- Spring 22 Garhwal Gharchal Uttarkashi UJN SVS-Gravity-Gadhera 23 Garhwal Thalda Thalla Pouri SWAJAL SVS-Gravity-Gadhera 24 Garhwal Kandoli Dehradun SWAJAL SVS-Gravity- Spring 25 Garhwal Badeth Rudraprayag SWAJAL SVS-Gravity- Spring 26 Garhwal Chamolgaon Tehri UJS SVS-Gravity- Spring 27 Garhwal Dounk Tehri SWAJAL SVS-Gravity- Spring 28 Garhwal Soni Saroli Tehri UJS SVS-Gravity- Spring 29 Garhwal Kwata Uttarkashi SWAJAL SVS-Gravity- Spring 30 Garhwal Tilara Dehradun SWAJAL SVS-Gravity- Spring 31 Garhwal Badhath Dehradun SWAJAL SVS-Gravity- Spring 32 Kumaon Satarkot Bageshwar UJN SVS-Gravity- Spring 33 Kumaon Vandogra Bageshwar UJS SVS-Gravity- Spring 34 Kumaon Pauri Bageshwar UJS SVS-Gravity- Spring 35 Kumaon Chanalgaon Sthalidunga Bageshwar SWAJAL SVS-Gravity-Gadhera 36 Kumaon Kafoli Bageshwar UJS SVS-Gravity- Spring 37 Kumaon Meharkhali Bageshwar SWAJAL SVS-Gravity-Gadhera 38 Kumaon Rankundi Bageshwar SWAJAL SVS-Gravity-Gadhera 39 Kumaon Kafaldunga Bageshwar SWAJAL SVS-Gravity-Gadhera

List of Schemes visited agency and district wise during Mid Term Review

ANNEXURE 5

Annexure 5-List of Schemes covered during the Survey

Annexure 5 2

No Region Name of the scheme District Implementing agency Type of Scheme

40 Kumaon Malla Hartapa Nainital UJN SVS-Gravity- Spring 41 Kumaon Kotla Nainital UJS SVS-Gravity-Gadhera 42 Kumaon Katna Nainital UJS SVS-Gravity-Gadhera 43 Kumaon Chopta Lupani Nainital SWAJAL SVS-Gravity- Spring 44 Kumaon Bhediya Nainital SWAJAL SVS-Gravity-Gadhera 45 Kumaon Dubon Nainital SWAJAL SVS-Gravity-Gadhera 46 Kumaon Doliya Nainital SWAJAL SVS-Gravity-Gadhera 47 Kumaon Matyula Pittoragarh SWAJAL SVS-Gravity- Spring 48 Kumaon Khitkiri Pittoragarh SWAJAL SVS-Gravity- Spring 49 Kumaon Jhuni (Rithigad) Pittoragarh SWAJAL SVS-Gravity- Spring 50 Kumaon Jajurali Pittoragarh UJS SVS-Gravity- Spring 51 Kumaon Diyartoli Champawat SWAJAL SVS-Gravity-Gadhera 52 Kumaon Quaralikandey Champawat SWAJAL SVS-Gravity-Gadhera 53 Kumaon Mehri Pinana Champawat SWAJAL SVS-Gravity- Spring 54 Kumaon Hempur Smile US Nagar SWAJAL SVS-Tube well 55 Kumaon Hediya Almora SWAJAL SVS-Gravity- Spring 56 Kumaon Dob Almora SWAJAL SVS-Gravity- Spring 57 Kumaon Kaflikhan Almora UJS SVS-Gravity-Gadhera 58 Garhwal Suryadhar Dehradun UJN SVS-Gravity- Spring 59 Garhwal Simlat Dehradun UJN SVS-Gravity- Spring 60 Garhwal Kaneri Nainital UJN SVS-Gravity- Spring

Annexure 6 -Results Monitoring Indicators

1

Results Monitoring Indicators No. Outcome Indicators Baseline Mid-term

review- Target Mid Term- Actual End of Project Remarks at MTR

1 Indicator 1: Institutional effectiveness evident in the sector: • Behavior change

among stakeholders • Timely completion of

the program (as per plan)

• Service provision is cost effective and sustainable

No evidence

Some evidence

Good evidence of decentralized service delivery (1) PMU-. Progressive, Previous experience stood in good stead. Still needs extra staff -Physical achievement (Habitations) 12.9 %* (2) UJS- Late in internalizing the concept. But now showing active interest in SWAp. About 69% shortage in field and supervisory positions. Showing Improvement based on past two years’ experience. Overall satisfactory -Physical achievement (Habitations) 6.1 %** (3) UJN - Late starter in internalizing the concept. But now showing active interest in SWAp. 28% shortage in technical staff. Substantial efforts done in preparing MVS DPRs. Needs improvement. Overall Satisfactory. -Physical achievement (Habitations) 8.97%***

Strong evidence

* Swajal PMU -Project Target is 2,348 Habitations, of which 304 completed and other schemes in various stages of commissioning. ** UJS- Project Target is 3,100 Habitations, of which 189 completed ***UJN-Project Target is 2,827 Habitations, of which 253 completed

2 Indicator 2: Increase in the number people having access to improved water supply service delivery

None

0.4 million people

UJN- 2,170 people UJS- 25,383 people PMU- 50,580 people Total 78,133 people

1.2 million people Target was 0.4 Million (approx. 20 % the target achieved)

3 Indicator 3: High satisfaction level in participating communities.

Not available

Some

• 95 % households satisfied with the quantity & quality of water supplied

• Quantity of water use increased from NC/PC

status to FC category, with around 55 lpcd supply.

High

All values based on Household survey conducted as part of the MTR Sample size was 600 households from 60 Schemes


2

No. Outcome Indicators Baseline Mid-term review- Target

Mid Term- Actual End of Project Remarks at MTR

4 Indicator 4: Increase in the number of households adopting improved hygiene and sanitation practices in the state. **

No evidence

Some evidence

Good evidence of adoption of improved hygiene and sanitation practices. • Additional 2,44,037 IHHL constructed • Coverage of IHHL increased to 62 %

households. • General and personal hygiene is on the rise due

to IEC efforts. • 282 GPs declared ODF.

Strong evidence

All values based on Household survey conducted as part of the MTR Sample size was 600 households from 60 Schemes

5 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

No evidence

Some evidence

SVS -100 % devolved to GPs MVS- Not commissioned till date

Strong evidence

Assessed during MTR

6 Component One: Indicator 1: The envisaged decentralized institutional framework (for UJN,UJS, SWSM, DWSMs, and PRIs) is achieved and operational.

UJN and UJS are the main service providers.

Sector institutional framework operational for all new schemes.

Operational since beginning of the project

Sector institutional framework operational for all schemes in the sector.

Assessed during MTR

7 Indicator 2: SWSM and DWSM are established and their cells are fully staffed and functional.

SWSM and DWSM fully staffed

SWSM and DWSM fully staffed and functional.

SWSM established and DWSM functional in all 13 Districts.

SWSM and DWSM fully functional and district RWSS offices of UJN & UJS merged with DWSM.

Assessed during MTR

8 Indicator 3: Sector information system, water quality monitoring program, and source measurement programs are implemented.

Implementation Plan developed

Implementation initiated

• Good work on SIS and M&E done. • State wide water quality monitoring system

is in place • Random samples tested satisfactory. Trained

CBOs in 38 blocks through 24 NGO’s on in-situ testing of water quality through Field Testing Kits.

• 3. Source measurement done before start of all schemes.

Implementation competed

Continuous source discharge measurement yet to get launched.


3

No. Outcome Indicators Baseline Mid-term review- Target

Mid Term- Actual End of Project Remarks at MTR

9 Indicator 4: SWAp principles demonstrated to work successfully and could be replicated as a tested approach to RWSS service delivery in India.

No evidence

Some evidence • Good evidence emerging from existing model.

• UAWSSP SVS provide model for

replication.

Strong evidence

10 Component Two: Indicator 1: Number of SVSs constructed and operating according to SWAp principles.

None

2000 schemes

Total SVS Schemes commissioned - 372 nos. PMU- 179 nos UJS- 98 nos UJN- 95 nos

6300 schemes

Target- 3,810 schemes

11 Indicator 2: Number of MVS schemes constructed and operating according to SWAp principles.

None

600 schemes

Under implementation, no, schemes commissioned yet. - DPR prepared for total 31 Schemes prepared -18 schemes approved -Work underway in one scheme

3200 schemes

Target- 65 schemes

12 Indicator 3: Percentage of habitations under: (a) Fully Covered (FC) category (b) Partially Covered (PC) category (c) Not Covered (NC) category

(a) 50% (b) 38% (c) 12%

(a) 61% (b) 30% (c) 9%

MTR targets exceeded (a) 68% (Coverage increased by 18%) (b) 23% (reduced by 15%) (a) 7% (reduced by 5 %) As per data from UJN -Annexure 7

(a) 72%

(b) 21%

(c) 7%

a) target was 61% (b) target was 30% (b) target was 9%

13 Indicator 4: Percentage of GPs and habitations that are declared open-defecation free.

0%

15%

Exceeded Target 282 GPs or (17 % of Project GPs)

30%

Target was 15% of project GPs (1,654 GPs)

14 Component Three: Indicator 1: Comprehensive M&E system is established and functional for the sector.

Implementation plan prepared

Implementation initiated

Comprehensive M&E since July 2009. Managed by Swajal PMU with five staff members and all agencies utilizing the services.

Implementation completed

Excellent data available for Swajal PMU M&E based reports of UJS and UJN appear in summary and miniscule forms, requiring further improvement.

15 Indicator 2: Expenditures of supply driven schemes as a percentage of total sector expenditures.

72%

40%

80% of Non SWAp expenditure is already spent.

0%

Annexure 7- Water Supply status of Habitations in Uttarakhand

As per survey 2003 Summary details of balance habitats

No Gram Panchayat Pre Project Status - April 2004 Status as on April 2009

Non

Revenue FC PC NC Total Non Revenue FC PC NC total

1 Chamoli 38

851

1,594

772 3,255 38

1,374

1,244

599

3,255

2 Rudraprayag 3

719

897

93 1,712 3

1,102

570

37

1,712

3 Tehri 44

2,983

1,551

935 5,513 44

3,891

1,034

544

5,513

4 Dehradun -

1,707

700

337 2,744 -

2,148

398

198

2,744

5 Pauri 218

2,518

2,040

220 4,996 218

3,186

1,475

117

4,996

6 Uttarkashi -

1,173

85

406 1,664 -

1,357

38

269

1,664

7 Haridwar 126

548

65 - 739 126

591

22 -

739

Total Garhwal 429

10,499

6,932

2,763 20,623 429

13,649

4,781

1,764

20,623

8 Pittoragarh 99

2,561

1,878

396 4,934 99

3,303

1,283

249

4,934

9 Champawat 51

1,101

772

377 2,301 51

1,566

457

227

2,301

10 Almorah 114

2,522

2,377

327 5,340 114

3,333

1,685

208

5,340

11 Bageshwar 38

1,099

1,169

559 2,865 38

1,704

770

349

2,865

12 Nainital 56

1,691

762

302 2,811 56

2,197

410

148

2,811

13 Udaham Singh Ngr -

882

201

10 1,093 -

1,076

14

3

1,093

Total Kumoan 358

9,856

7,159

1,971 19,344 358

13,179

4,623

1,184

19,344

Grand Total 787

20,355

14,091

4,734 39,967 787

26,828

9,404

2,948

39,967 Source - Office of Managing Director, Uttarakhand Jal Nigam

Annexure 8

Annexure 8 1

Annex 8: URWSSP -List of Project Documents at MTR Stage Project Printed Material Type Level Year of printing

1. Attendance Register (Hindi) Register District and State level 2006-07, 07-08, 08-09, 09-10

2. Register for O&M Phase (Hindi) Register District and State level 2006-07, 07-08, 08-09, 09-10

3. Procurement Manual (GP Level) (Hindi) Booklet GP Level 2006-07, 08-09

4. Community Procurement Manual (Hindi) Booklet District Level 2006-07, 08-09

5. Compilation of SWAp related GO’s (Hindi) Booklet District and State level 2006-07

6. Technical Manual (English) Booklet District and State level 2006-07

7. Simplified PAD (English) Booklet District and State level 2006-07

8. Project Management Unit, Swajal (Hindi) Pamphlet GP, District and State

level

2006-07, 09-10

9. Project Management Unit, Swajal (English) Pamphlet District and State level 2006-07, 2007-08

10. CCDU, Uttarakhand (Hindi) Pamphlet District and State level 2007-08

11. Sector Program Environmental Management Aspects.(Hindi) Pamphlet GP, District and State

level

2006-07, 08-09

12. Uttarakhand Rural Water Supply & sanitation program an

Overview (English)

Brochure District and State level 2006-07, 08-09

13. Sampoorna Swachata Abhiyan (Total Sanitation Campaign)

(Hindi)

Pamphlet GP, District and State

level

2006-07, 08-09

14. Total Sanitation Campaign (Guidelines) Booklet

(Hindi)

District and State level 2006-07, 07-08, 09-10

15. Uttarakhand Rural Water Supply & Sanitation Program an

Overview (Hindi)

Brochure District and State level 2007-08, 09-10

16. Sanitation Related Phumplets (Hindi) Pamphlets District and State level 2006-07, 07-08, 09-10

17. Financial Management Manual (English) Booklet District and State level 2007-08, 2008-09

18. Procurement Manual (English) Booklet District and State level 2007-08, 2008-09

19. Operational Manual (Hindi) Booklet District and State level 2007-08, 2008-09

20. CACMP Manual (Hindi) Booklet GP Level 2008-09

21. CACMP Scheme Cycle (Hindi) Wall Calendar

Type

GP, District and State

level

2008-09

22. Water Quality Monitoring and Servailance (Training Manual)

(Hindi)

Booklet District level 2008-09

23. Water Quality Monitoring and Servailance (Training Manual)

(Hindi)

Booklet GP level 2008-09

24. Good Practices of Swajal (Swajal Sathi Ke Karname) (Hindi) Booklet GP Level 2009-10

25. Tara Tai Booklet GP Level 2009-10

26. Innovative poster (Hindi) Booklet GP Level 2009-10

27. Swajal News (Samachar) (Hindi) News Letter GP, District and State

level

2009-10

28. Annual Action Plan (AIP) – Total Sanitation Campaign Booklet

(English)

District and State level 2009-10

29. CACMP (English) Pamphlet District and State level 2009-10

30. Good Practice Cases (Safalta ki Kahaniya) (Hindi and English) Booklet District and State level 2009-10

31. Roles & Responsibilities of Stakeholders (English ) Booklet District and State level 2009-10

Annexure 8

Annexure 8 2

Project Printed Material Type Level Year of printing

32. Sector Karykram Pustika (Abhiyantriki) Booklet District and State level 2009-10

33. Gramin Samuday Peyjal Yojana Nirman Sambandhi

Margdarshika (Guidelines for Village Schemes)

Booklet District and State level 2009-10

34. Samuday Adharit Peyjal Gunwatta Parikshan evam Anuswaran

Pustika

Booklet District and State level 2009-10

35. SIS User’s Manual (English) Booklet District and State level 2009-10

36. Pre-feasibility (English) Format District and State level 2009-10

37. Planning Phase (English) Format District and State level 2009-10

38. NGO Contract detail (English) Format District and State level 2009-10

39. Implementation Phase – Hardware Activities (English) Format District and State level 2009-10

40. Sustainability Evaluation Exercise (SEE) (English) Format District and State level 2009-10

41. Monitoring and Evaluation Booklet (Hindi) Booklet District 2009-10

42. Community Contribution Booklet (English) Booklet District 2009-10

43. Sector Coordination Booklet (Hindi) Booklet District 2009-10

44. SARAL Tool Kit (Simple tool-kit for RWSS schemes) Pictorial District 2009-10

Uttarakhand Rural Water Supply and Sanitation Project Final Report Dec-09.pdf · RURAL WATER SUPPLY...

Documents

Transcript of Uttarakhand Rural Water Supply and Sanitation Project Final Report Dec-09.pdf · RURAL WATER SUPPLY...