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
|
Box-1: Uttarakhand
At a Glance
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2. BACKGROUND:
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:
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).
5.3 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.
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.
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
Contact No.
0135-2733455, 0135-2733380
e. mail- pmu_uttaranchal@rediffmail.com
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