Friday 3 July 2015

RAWALSERA: A Classic Example Of Sustainable O & M Of A Community Managed PWS.

Abstract

Rawalsera (Dwarahat Block) District Almora is a small village with 59 households and around 440 residents situated about 160 Km from nearest railway station Kathgodam and 70 Km from district headquarter-Almora. There was no piped water supply system (PWS) in village up to the year 1997. All the residents of the village were dependent on traditional water sources (NAULA & DHARA) for their drinking water requirements. Travel distance from the centre of the village to the water sources was about 500 metres. This necessitated a new piped water supply scheme to cope up with potable water  requirement. On the basis of request of the community for inclusion in World Bank assisted  Rural Water Supply and Environmental Sanitation Project (Swajal), the village was selected as a pilot project in the year 1997. The local rural community showed demand responsiveness with willingness to share 10% of the total water supply cost and 100% of the O&M cost. The scheme was completed by the Village Water & Sanitation Committee (VWSC) in the year 2000 at the cost of F 8.27 Lakhs including water supply and sanitation. There is sound financial management system in place. The VWSC has been controlling a cost recovery system in an efficient way for the last 13 years. Since then the VWSC has been operating and maintaining the water supply scheme from self generated revenues without any support- technical, financial, institutional etc. from the state government.

The delivery of sustainable rural water supply and sanitation service is an issue of considerable concern among policy planners and water sector managers of the country. The case study is intended for managers and planners who are concerned with the challenging problem of how to deliver sustainable water supply and sanitation services in the rural areas. Evidence exists to support that sustainable delivery of water supply and sanitation services encompasses not only technical issues, but also managerial, social, financial and institutional issues.

This case study is interesting as it qualifies as good practice by providing the villagers with safe, reliable, affordable and sustainable delivery of water supply. This case study attempts to prove that the village communities can efficiently and effectively manage operation and maintenance (O&M) responsibilities of rural water supply schemes.

1. INTRODUCTION:

Uttarakhand is one of the most recent states on the political map of India (November, 2000) and due to its geographic and strategic location, it has been given ‘Special Category Status’ by Union of India. Uttarakand borders China in the north-east and Nepal to the south-east, while its neighbouring states are Himanchal Pradesh and Uttar Pradesh. The topography of Uttarakhand is characterised by hill terrain, rugged and rocky mountains, deep valleys, high peaks, sharp stream and rivulets, rapid soil erosion, frequent landslides and widely scattered habitation. Uttarakhand embarked in 1996 on a significant reform program in the rural water supply and sanitation (RWSS) sector in recognition of the need to move away from a target based supply driven model to a demand based approach through a World Bank assisted pilot project called “Uttarakhand Rural Water Supply and Environmental Sanitation Project”- popularly known as Swajal Project. The case study of Rawalsera rural water supply scheme is a classic example of efficient and effective O&M by the villagers where users get the service they want and are willing to pay for. This example signifies a positive indication of Gram Swarjaya (Village Self Rule).
Box-1: Uttarakhand At a Glance


  • Total district 13; Total Pop: 10 Mn; Rural Pop: 7 Mn;
  • Area 53,483 Sq Km.; Pop. Density: 159 persons Per Sq. Km.
  • Hilly terrain: Altitudes varying between 100 meters and 7800 meters.
  • Limiting factors for timely completion of infrastructure in RWSS:
  • frequent landslides;
  • excessive rain, cloud burst;
  • temperature below freezing point;
  • inhospitable terrain;
  • in adequate transport accessibility;
  • dispersed rural communities;
  • remoteness

2. BACKGROUND: 


The Uttar Pradesh Rural Water Supply and Environmental Sanitation Project (Swajal Project) inclusive of Uttarakhand with the financial assistance of the World Bank was executed in 857 villages of Uttarakhand during 1996 to 2003 in four batches. The project objectives were : (i) to deliver sustainable health & hygiene benefits to the rural population, through improvement in water supply and environmental sanitation services, and (ii) to promote the long term sustainability of the rural water supply and sanitation sector by providing assistance to State Governments to identify and implement an appropriate policy framework and strategic plan.
This was the first time in U.P. that rural communities with the assistance of Non Governmental Organizations (NGOs: called Support Organization in the project) were themselves planning implementing and maintaining their water supply and sanitation systems. Till the advent of the Swajal, providing safe drinking water was considered as an end in itself .The project made successful attempt to integrate construction of drinking water supply and environmental sanitation services with health and hygiene awareness. Based on specific local conditions, the project implemented diverse technical water supply options in the project villages, which were technically feasible and economically acceptable to the community. The village Rawalsera (Dwarahat Block, District Almora) was selected as a pilot project in Batch 2 in the year 1997. The inclusion of the village in the World Bank assisted Swajal Project was on the request from the community manifested by upfront community contribution towards capital cost of the scheme.

3. OBJECTIVES :


Uttar Pradesh (UP) and Uttarakhand (UK) Rural Water Supply and Environmental Sanitation Project was commonly called “Swajal” which signifies “one’s own water” in Hindi and had two main objectives: (i) deliver sustainable health and hygiene benefits to the rural population through improvements in water supply and environmental sanitation services which will increase rural incomes through time savings and income opportunities for women, test an alternative to the current supply driven service delivery mechanism and promote sanitation and gender awareness; and (ii) promote the long-term sustainability of the rural water supply and sanitation sector by providing assistance to Government of Uttar Pradesh (GOUP) to identify and implement an appropriate policy framework and strategic plan. 

4. STRATEGIES:


The project design was such that it moved away from target based, supply driven model to a demand based approach where users get the service they want and are willing to pay for across the rural area of the state, i.e., across the sector . The basic principles for reform in the RWSS sector included community participation in the planning, implementation, operation, and maintenance (O&M) for the schemes of its choice, and the changing role of the government from that of a service provider to a facilitator.

The Swajal Project for the first time introduced a Community Contracting model, which enabled the user communities to procure the construction materials, services and works with the assistance of SO. The management of investment funds by the community was a great leap towards the concept of community management of RWSS schemes. The representative of Village Water & Sanitation Committee (VWSC) & SO operated the Joint Account for all the construction and community development activities during implementation phase. The VWSC and community independently operated O&M accounts from the very beginning of Implementation Phase. The project also facilitated insurance to cover damages to structures during the post-implementation phase, as a sustainability initiative which would help the communities to protect investments in the event of natural disasters, which are quite common in many parts of Uttarakhand. In short, the role of government in the project villages changed from that of a service provider to a facilitator. 

5.  DESCRIPTION OF THE WATER SUPPLY SCHEME:

In the hills of Uttarakhand, small streams (gadheras) normally flowing at a steep gradient are used as source of water for gravity water supply schemes. The traditional method of intercepting sub surface shallow water capillaries in the form of naulas served people quite well. However, for a variety of reasons like increasing population, denudation of tree cover etc, the traditional naulas are not being able to supply sufficient quantities of water, especially over past three decades. In view of this, the NGO - PAN HIMALAYAN GRASSROOTS DEVELOPMENT FOUNDATION (PGDF) introduced an appropriate technology application conceptualised and developed by Dr. Tim Rees - through the location of potential sites with in the village for the construction of infiltration wells.

The planning phase was carried during 1997-98. The NGO - PGDF Ranikhet was engaged for community mobilization in Planning Phase and Implementation Phase. The Village Water & Sanitation Committee (VWSC) comprising 9 members was constituted in 1998 including 3 women and three SC/ST members. The Implementation Phase was started in April, 1999 and commissioned in October, 2000. The community of Rawalsera was actively involved in the choice of technical option, planning, design, implementation control of finances and management arrangements. 

An infiltration well is usually about twenty- five feet deep – much deeper than the naulas of four to six feet, which implies interception of subterranean water termed as soil body and permits harvesting of larger volumes of water on a continuing basis. At the same time it prevents contamination of drinking water sources through various wastes generated on ground level. The technology used in this particular scheme was infiltration well fitted with a 10 horse power submersible pumping plant to lift water to an overhead storage tank. More specifically, the infiltration well can be viewed as a protected intake structure for drinking water systems. Infiltration wells can be constructed on hill slopes at different elevations, in saddles and valleys as well as near stream beds (gadheras) or water logged patches (simar).

5.1 MOBILIZATION OF RESOURCES:


Sufficient resources had been allocated. Proper monitoring tools had been developed and designed and embedded in the village specific project to minimize identified risks. The total completion cost of the water supply scheme including drainage and environmental sanitation was R 8.272 Lakh. The villagers deposited 1% up front cash contribution amounting to R 8272/- and contributed R 53441/- as voluntary labour component. Thus total community contribution was R 61713/- and the World Bank share was R 765495/-. The project also financed procurement of one stand-by submersible pumping plant of similar capacity and duty as that of installed pumping plant. So that if installed pumping plant goes out of order then immediately stand-by pumping plant can be installed with minimum disruption of water supply to the users. During O&M phase, the VWSC on its own constructed one additional clear water reservoir of 30 Kl capacity to supply water to the near by market area (Bagwali Pokhar) comprising 16 non domestic users. The VWSC is charging R 100.00 per month from non domestic users as compared to R 70.00 per month from domestic users. The water supply scheme of this village was originally designed to supply water through public stand posts without any provision for private water connections. Subsequently, the VWSC decided to remove all public stand posts and supply water through private water connections. The new scheme made it mandatory to install 1000 litre capacity storage tank at consumer end so that there is equal distribution of water to each house.  

5.3 PROBLEMS ENCOUNTERED :

The major challenge before the project implementing agency was to take into confidence various stake holders especially communities. The limiting factors for the participation of the community included : (i) Poor creditability: (ii) lack of self confidence; (iii) resistance to change; (iv) fear of the financial consequence which a new project would bring; (v) lack of experience in dealing with institutions; and (iv) weak capacity of problem solving and planning methodologies. The project authorities had poor perception of community problems and lack of knowledge- how to integrate the social aspects with the technical aspects.

5.2 PROCESSES FOLLOWED:  

Participatory Rural Appraisal (PRA) process was used to help rural communities to organize their knowledge, identify and prioritize local development needs, and develop along term action plans. The advantage of PRA included: (i) full participation of communities right from the start; (ii) plans reflect a field reality; (iii) establishment of good working relationships and (iv) communication lines between authorities and the community. Following the confirmation of the village community to participate in the project, the project cycle was followed to go through the cycle of detailed planning, implementation and O&M. Each scheme cycle included four phases, including pre-planning (01 month), planning (12 months), implementation (06-18 months) and operation and maintenance (06 months). The duration of implementation phase depended on the scheme size and technology type. During pre-planning selection of the support organization and collection of base line data were done. In the planning phase mobilization of the community, formation of Village Water and Sanitation Committee (VWSC), collection of the community contribution and preparation of detailed project report (DPR) were done. During implementation phase the village community in association with VWSC and NGO executed the water supply scheme. During implementation all the funds were handled by the VWSC and NGO including purchase of materials. The NGO was responsible for capacity building of the community during all the phases of the scheme cycle.

6. EVIDENCE OF PERFORMANCE

·The VWSC has been catering to the increased demand for drinking water corresponding to increase in population and in number of households (See Box-1).
·Since the date of commissioning of the water supply scheme the villagers of this village have been getting safe potable drinking water at the rate of 40 lpcd.
·The village got sanitation award from the project fund for achieving substantial sanitation coverage during implementation phase.
·The Gram panchayat Rawalsera also received Nirmal Gram Puraskar from Govt. of India in the year 2005-06.
·       
·The VWSC has designed tariff structure giving due weightage to equity, affordability and willingness to pay.The VWSC regularly meets once in a month for addressing the problems and implementing strategies for ensuring sustainability of the scheme.
·Users and household have been classified in to two categories (domestic & non domestic) based on estimated difference in water use and income. Domestic users & non Domestic users are being charged at the rate F 70.00 per month and F 110 per month respectively.
·Originally, the water supply schemed was designed only for public standposts. There was no provision for private water connections. Later on, the VWSC decided to construct/install 1000 litre storage tank at each household for ensuring equal water distribution to each households and abandoned all public standposts. Thus, all the households have private water connections.
·The present status of book keeping and maintenance of proper and updated records is quite satisfactory. All basic records are regularly and properly maintained by the treasurer of the VWSC. This, in turn, means that adequate training was provided during implementation phase.
·Financial records are updated and maintained in proper order. Annual statement of income and expenditure are prepared every year and shared in community wide gram panchayat meeting.
·The annual income & expenditure statement for last four years is given  below

FY
Income
Expenditure Heads
Surplus/
Deficit
Total
Remuneration
Electricity
Repairs
2009-10
F 82894.00
F 75484.00
F 42000.00
F 10057.00
F 23427.00
F 7410.00
2010-11
F 106181.00
F 92455.00
F 47500.00
F 15027.00
F 29928.00
F 13726.00
2011-12
F 153760.00
F 89538.00
F 48000.00
F 13594.00
F 27944.00
F 64222.00
2012-13
F 242174.00
F 93712.00
F 52000.00
F 22934.00
F 18778.00
F 148462.00
Total
F 585009.00
F 351189.00
F 189500.00
F 61612.00
F 100077.00
F 233820.00
Apart from above, VWSC has invested F 130000.00 in fixed deposit with a nationalized bank.

  • The Annual Income & Expenditure reveals the following remarkable points
1.It is encouraging to find that every year the average revenue exceeds the average expenditure there by leading to positive financial balances accumulating in the account. Thus, the financial health of the water supply scheme seems quite satisfactory and the scheme is financially viable.
2.The VWSC is setting aside a portion of the surpluses to meet unexpected expenditures.
3.The VWSC is regularly paying its electricity dues whereas in supply driven water supply schemes budgetary support is given by the state government for payment of electricity bills.
4.Needless to mention that satisfactory level of service including regular maintenance of private water connections and timely redressal of consumers complaints are the contributing factors for very good financial health of the water supply scheme.  
· The user’s fees cover all costs (remuneration, tools & spare parts, all repairs, extension, rehabilitation, power supply bills etc,)
·The VWSC has procured a computer from its financial resources and appointed a Data Entry Operator cum Accountant for upkeep of records.
· The VWSC has its own office including a meeting hall equipped with furniture etc.

7. FACTORS OF SUCCESS :

·The main strength of this project village had been transparency right from the Pre-feasibility stage to O&M stage transparency in dealings and dissemination of maximum information through all modes and mediums.
·The continuous acute shortage of water in the village during pre project compelled the elders of the village to think differently for reliable and adequate quantity of potable water especially during summer season. In other words, there was an effective demand and need for potable water implying the fulfillment of eligibility criteria under community driven approach.
·Non Governmental Organization (NGO) was involved as a link between the beneficiary community and the implementing agency. Acting as a catalyst in the process, the NGO assisted in motivating and mobilizing the community. The capacity building of the community towards their envisaged roles and responsibilities in the planning, execution and management of the water supply scheme was taken up in a big way by the NGO.
·Information Education & Communication (IEC) activities, mainly to promote the ownership and decentralization agenda were carried out by the project authorities on a massive scale  through workshops, cross visits, competitions, electronic and print media.
·The community was involved in all phases of the project – Pre Planning, Planning, Implementation and Operation and Maintenance.
·A menu of technical options was presented before the community by the project authorities for their choice suiting their affordability and convenience of operation and maintenance.
·Partial capital cost sharing (either in cash or kind including labor or both) and 100% responsibility of O & M by the community have developed a sense of belongingness and ownership among the community leading to sustainable delivery of water supply and sanitation service.
·An innovative measure – ‘Insurance Coverage’ of water supply scheme assets after construction phase initially for a period of 3 years from the date of commissioning has largely contributed for O & M of the scheme without further government intervention.

8. SUSTAINABILITY OF THE PROJECT

·The provision of water supply and sanitation service in this village is sustainable because all the conventional notions of sustainability of the water sector are being focused namely (i) it functions and is being used; (ii) it is able to deliver an appropriate level of benefits (quality, quantity, convenience, comfort, continuity, affordability, efficiency, equity, reliability, health); (iii) Its management is institutionalized; and  (iv) Most importantly, its operation, maintenance, administrative and replacement costs are covered at local level through user fees.
·The water supply scheme of this village – Rawalsera has been in operation since October, 2000 without further government support due to the active involvement of the empowered village community.
·There is ample evidence to suggest that the water supply scheme of this village will remain sustainable for years to come. The evidence include (i) timely revision of tariff to keep pace with increasing O & M expenditure; (ii) minimal operating costs; (iii) surplus revenue generation after meeting yearly expenses in all years of operation; (iv) regular preventive maintenance activities including water quality monitoring; and (v) established  management capacity of the VWSC to sustain adequate services to keep pace with rates of population growth.

9. REPLICABILITY OF THE PROJECT:

The project is replicable in all other situations of the country provided the essential pre requisites of demand driven approach are adhered to. These include (i) effective demand from the community for the water supply service; (ii) positive response of the facilitating agency; (iii) linking technology choice with O & M aspects; (iv) participation of the community in all phases of the project; (v) gender balance; (vi) adequate dissemination of policies at the village level; (vii) empowering community as well as NGOs by extensive capacity building; and (viii) identification of agency for providing technical assistance in case of major repairs and emergencies during post implementation period. 

10. LESSONS LEARNED

·The involvement of the community and empowering them as decision maker, improved training, a focus on operation and maintenance issues early on during the project cycle, and the use of appropriate technology all have contributed to successful O & M for such a long period of 13 years.
·It has been proved that the community show tremendous interest and enthusiasm in shouldering responsibilities, including procurement and financial management activities, when properly empowered.
·The success story of this village demonstrates that the alternative delivery system – community management vis a vis the present top down government system is not only desirable but also feasible in the rural water supply and sanitation sector especially in case of single village gravity based water supply schemes.
·The case study of this village also reveals that the partnership between village community, NGO and the Government, where the Government takes the role of facilitation and co financing, can work successfully. 
·The prime reason for sustainable O & M in this particular village is that there is an effective demand from the community for the water supply service and the community was properly trained to efficiently and effectively handle dispute resolutions, material procurement, financial transactions and record/ book keeping in a satisfactory manner,
·The demand by, and the participation of the community are key elements that influence the community’s willingness to assume financial responsibility for the system
·Appropriate technology selection is a key factor in sustainable cost recovery. Communities should be aware of the financial implications of choosing particular technology. 
·Experience has shown that a good plan is based on a participatory assessment of the situation, which reflects the realities in the field and can be a way of involving communities, right from the start, in their future responsibilities.
·Spare parts provision (cost, accessibility) should be one of the deciding factors in technology especially in remote rural areas.
·Technical skills for operation and repairs should be available in the community or with in reach of the community to provide uninterrupted water supply to the users.

11. REFERENCES: (i) Borrower’s Evaluation Report of UP Water Supply and Environmental Sanitation (Swajal) Project; (ii) Implementation Phase Completion Report of the Rawalsera Water Supply Scheme; (iii) Records of District Project Management Unit, Almora and (iv) Annual Income & Expenditure statement of  Rawalsera VWSC.

12. ATTRIBUTION: The author would like to thank the empowered community for keeping the demand responsive approach philosophy and program on the path to success. The author would also like to recognize the contribution of Support Organization & team of Project Management Unit, Swajal for satisfactory implementation of the water supply scheme in Rawalsera village.


13. AUTHOR:
Kapil Lall (IFS),
Ex. Director,
Project Management Unit, Uttarakhand Rural Water Supply & Sanitation Project, Mussoorie Diversion Road, Makkawala, Dehradun
Contact No. 0135-2733455, 0135-2733380

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