ABSTRACT
2.1 The pilot phase of the Rural Water Supply
and Sanitation Project of Uttar Pradesh inclusive of Uttarakhand (Popularly
known as Swajal Project) implemented during 1996-2003, became a sector model in
India
2.2 The
project covers entire rural areas of the Uttarakhand State
2.3 The case study attempts to: (i)
describe the project in brief. (ii) identify some unique characteristics of the
project. (iii) share experiences and good practices under the project,
including their applicability and efficacy in improving sustainable service for
the rural communities and. (iv) lessons learnt for better working and planning
with communities.
3. INTRODUCTION
3.1 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.
3.2 The current project design is such that
it moves 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 include 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.
3.3 The unique features of the project have
benefited / are benefiting rural communities in several ways. Admittedly, the
culture of dependence on outsiders for a basic necessity like water supply has
been considerably reduced by the empowered User Water and Sanitation Committee
(UWSSC) as regards to quality, quantity, service level and system reliability
of the water supply scheme. The benefits accrued to communities due to
sustainable operation and maintenance of water supply scheme by the VWSC
include (i) reduction in coping cost as well as more availability of house hold
space due to elimination of storing water in larger containers (ii) elimination
of travel time and travel cost in lodging no-water complaints, making payment
of bills/getting corrections in wrong bills and getting sanction of new water
connection (iii) improvement in Mean Time Between Failure (MTBF) due to better
quality of repairs and strict control/supervision by the community and (iv)
most importantly, reduced bureaucracy.
4. BACKGROUND
4.1 The water scarcity in hilly
region is a major issue being faced by the state Data from existing water
supply schemes indicated that nearly 30 percent of the schemes suffered from a
decrease in the availability of water, especially during the summer months,
because of depletion of water sources. This also caused some of the villagers
to spend considerable amount of time collecting water for domestic use,
averaging one to three hours per day; even more time is spent in hilly
locations. The problem was aggravated by water supply systems which had
outlived their design life, and inadequate O&M.
4.2 It
is widely recognized that supply driven rural water supply and sanitation
(RWSS) service delivery does not adequately serve the requirements of user
communities as they are often located at sites without consideration of
community needs or preference. Planning of RWSS services also takes place
without due attention to resource availability or quality, and the schemes are
rarely financially viable. The end result is a government-dominated and
target-driven service that has become unsustainable.
4.3 The current project
significantly differs from previous efforts to supply water. The tenets of the current
project include the following (i) a community led participatory program which
aimed to provide drinking water facilities in rural areas with minimum provision
of 40 lpcd (ii) adoption of a demand-responsive, adaptable approach along with
community participation based on empowerment of villagers to ensure their full
participation in the project through a decision making role in the choice of
the drinking water scheme, planning, design, implementation, control of
finances and management arrangements; (iii) full ownership of drinking water
assets with Users Water and Sanitation Committee; (iv) communities to have the
powers to plan, implement, operate, maintain and manage all water supply and sanitation
schemes, (v) partial capital cost sharing either in cash or kind including
labour or both, 100% responsibility of operation and maintenance (O&M) by
the users; (vi) an integrated service delivery mechanism; (vii) taking up of
conservation measures through rain water harvesting and ground water recharge
systems for sustained drinking water supply; and (viii) shifting the role of
Government from direct service delivery to that of planning, policy
formulation, monitoring and evaluation, and partial financial support.
5. OBJECTIVES
AND STRATEGIES
5.1 OBJECTIVES :
The project’s
development objective is to improve the effectiveness of RWSS services through
decentralization and increased role of PRIs and involvement of local
communities in the state of Uttaranchal. The project is also expected to bring
associated benefits, including improved health resulting from reduced
water-borne diseases, environmental sustainability through protection and
management of water source catchment areas, time savings in fetching water
would enhance the rural population, especially women. The project envisages
upgrading no or partial coverage of water supply to full coverage with
sustainable service, benefiting at least 1.2 million people, or 20% of the
rural population. The project will also improve sanitation in about 30% of
rural communities, to be declared free of open defecation.
5.2 STRATEGIES:
5.2.1 Policy Decisions- Recognizing
the need for scaling up reforms, the GoUK issued its RWSS sector policy. The
key elements of the policy included: (i) decentralized service delivery through
devolution of administrative, executive, and financial powers to the three-tier
PRI institutions; (ii) establishment of the SWSM and DWSMs, to oversee the
policy and planning for the sector; and (iii) adoption of the integrated
approach to service delivery, linking water supply, sanitation, health and
hygiene, catchment-area conservation, and community-development initiatives.
5.2.2 Pro activeness of Top political
leadership and committed
bureaucracy, willingness to implement reforms at the senior level and a broad
consensus of priorities created momentum and legitimacy to drive SWAp Program.
The progress of SWAp has been made an integral part of Annual
Confidential Reports.
5.2.3 Introduction of uniform computerized accounting system: It was recognised that the timely
reimbursement of project cost is dependent on timely preparation of
consolidated financial statement. Therefore, a computerized accounting system
having ‘account code classification system’ was operationalized in the all the
implementing agencies offices.
5.2.4
Adequate
Change Management:
Appropriate change management efforts to shift the mindset of the sector
institutions from service provider to a facilitator were whole-heartedly taken
up by engaging reputed training institutes.
5.2.5 Manuals such
as Operations Manual, Procurement Manual, Financial Management Manual and
Technical Manual for implementation of the project were prepared and agreed
with the World Bank before embarking on actual implementation.
5.2.6 Information, Education, and
Communications (IEC):
The project printed booklets, leaflets, and posters that provided messages on
the project, including use of toilets, health and hygiene aspects, A
documentary film depicting detailed processes for implementation of the project
was prepared.
6. DESCRIPTION OF THE WATER SUPPLY SCHEME:
The case study does not highlight the case of
a particular water supply scheme but dwells on essential features of the URWSS
project as a whole. The implementation of the project is being done by adopting
following strategies etc.
6.1
RESOURCES :
6.1.1 RWSS
Institutions: The execution of program is envisaged through three
line agencies (Project Management Unit Swajal, Uttarakhand Jal Sansthan (UJS)
and Uttarakhand Peyjal Nigam (UJN)). SWSM and DWSM are constituted towards
overseeing the activities of three line agencies at the State and district
level. All decisions for planning, design, implementation and maintenance are
decentralized at the district and village level. The village User Water &
Sanitation Committee (UWSSC) under the Gram Panchayat is fully responsible for
the intra-village scheme design, procurement, implementation and management.
UJS and UJN are responsible for bulk water supply under multi-village
schemes.
6.1.2 Community
Development Support: The Support Organizations (SOs) are contracted
for community development and technical support to the UWSSCs. The SO is contracted by district implementing
agency, based on a district specific short list of applicants, as per
procurement guidelines.
6.1.3 Community
Mobilization: The project puts up efforts at mobilizing households
for group action through the UWSSC, a sub-committee of the GP. The composition
of the UWSSC is interesting as the rural women constitute 30%, with an equally
good number from Scheduled Caste and Scheduled Tribe households. Communities
have shown tremendous interest and enthusiasm in shouldering responsibilities,
including procurement and financial management activities.
6.1.4 Financial Resource : The
total water sector investment committed is $224 million for the SWAp. Partners
for the SWAp pool ($224 million) include Government of India (31%), Government
of Uttarakhand (67%); and the User Communities (3%) financial share. The
International Development Agency will reimburse the Government of Uttarakhand
share of SWAp basket up to $120 Million, against an annually varying reimbursement
pattern, agreed in the PAD. The three sub-components and percentage share by
GoUK is given below.
Table 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
|
103.40
|
53%
|
C
|
Program Management
Support and M&E
|
22.09
|
11.60
|
52%
|
Total
|
224.00
|
120.00
|
54%
|
|
6.2 PROCESS FOLLOWED :
The following Project Cycle is followed to
go through the cycle of detailed planning, implementation and O&M :
Project Cycle for Single Village
Each scheme cycle includes four phases,
including pre-planning (2 months),
planning (3-6 months), implementation (6-18
months), and operation and
maintenance phase (4 months). The duration of each
phase depends on the
scheme size, technology type and the time it takes to
mobilize the
communities.
(a) Pre-planning phase:
Major outputs of the
pre-planning phase include:
(i)
selection of support organization and (ii) collection of baseline data. Since
GP is not a homogenous unit, most of the information is collected from each of
the habitation of the GP to understand the access of different socio-economic
groups to water and sanitation facilities and (iii) selection of GP/habitations
(b)
Planning Phase: Following activities are under taken during
Planning Phase:-(i) Mobilization of communities, participatory planning, and use of SARAR
tools, problem investigation, analysis and solving. (ii) Formation of the User
Water and Sanitation Committees (UWSSC). (iii) Selection of water supply &
sanitation technology by the users in community wide meeting. (iv) Capacity
building on community development, health, feasibility and design of water
supply schemes, catchment area protection, accounting, etc. for SO/GP/UWSSCs
members. (v) Preparation of detailed project reports and community action plan
for each of the UWSSCs (vi) Collecting upfront cash and O&M community
contribution for water supply, sanitation, and catchment area protection works.
(vii) Involvement of women and marginal section of community in the whole
planning phase.
(c)
Implementation Phase: The
outputs of this phase include: (i) Preparation of Implementation Phase
proposal, Construction of water supply schemes, environmental sanitation works
and catchment area protection works by GP/UWSSC through community engineer
contracted out by District Implementing Agency (DIA) (ii) Independent third
party construction supervision by Service Agency (SA) and facilitation and
monitoring by DIA, contracted out by SWSM. (iii) Collecting balance cash/labor
and O&M community contribution for water supply, sanitation, and catchment
area protection works (iv) Training on community development, health, women’s
development initiatives, book keeping, O&M (technical, institutional,
financial) etc. for GP/UWSSCs members. These activities are carried out by the
SO of the planning phase and (v) Preparation of the Implementation Phase
Completion Reports.
(d)
Operation and Maintenance Phase : DIA provides technical
assistance to the UWSSCs after commissioning of the water supply schemes to
place the O&M system in order. Trainings at the GP/UWSSC level are
conducted by DIA. The O&M system comprises the technical, financial, and
the institutional systems. After establishing O&M system and completing all
the activities stipulated in the agreement, the DIA formally exits from the GP.
Thereafter the scheme maintenance continues to be carried out by the
UWSSC. However, the sector agencies
continue to monitor and support the GPs on O&M issues, including large
repairs, which cannot be undertaken at GP level.
6.2.1
Support Organizations and Service Agencies:
Non Governmental
Organizations and Community based organizations are involved in the Sector
Program as a link between the beneficiary communities and the district
implementing agencies. Acting as catalysts in the process, they are involved in
the scheme cycle activities in motivating and mobilizing the communities and
building their capacities towards their envisaged roles and responsibilities in
the management of their WATSAN schemes.
6.3 PROBLEMS ENCOUNTERED :
6.3.1 The challenges before the project were to develop a system, which
embodies the philosophy of demand responsive approach, and provide an alternative
to supply driven services delivery mechanism. The challenges before the
implementing agency were to act as a facilitator and co financer (to provide
assistance at appropriate time and ensure capital cost sharing by the
community), as a monitor (the process and the progress) and as an agency to
ensure the standards of construction, accounts and community development
activities. The innovations and interventions at various levels are discussed
in following paragraphs.
6.3.2 Appropriate change management efforts to shift the mindset of the
sector institutions- from service provider to a facilitator were
whole-heartedly taken up by engaging reputed training institutes.
6.3.3 Steps had to be initiated
for focusing on operations and maintenance aspects for sustainability of
schemes in addition to the training programs on the design and implementation
of RWSS schemes. How and where to interact with district level formal
institutions had to be focused during capacity building in order to cover the
eventualities of major repair works.
6.3.4 The Project Appraisal
Document (PAD) and Operations Manual provide that the SWAp principles have to
be followed for all new investments. It was recognized that in ‘exceptional
situations’ the principles of ‘demand’ responsive community participation may
not be practical. Examples of such exceptional situations include: damages due
to natural calamities; damages due to road construction activities, water
supply schemes for tourists en route pilgrimage sites; and emergencies like
flood, drought, epidemics etc. The policy exceptions were sought from the World
Bank.
7. EVIDENCE OF PERFORMANCE:
7.1 The
Sixth Implementation Support Mission
Key Project Data
|
Current
Ratings and Flags
|
|||
 |
Effectiveness Date
|
11/30/2006
|
Development Objectives
|
Satisfactory
|
|
Closing Date
|
06/30/2012
|
Implementation Progress
|
Moderately Satisfactory
|
|
Project Age
|
3.4 years
|
Problem Flags
|
None
|
|
%
Disbursed
|
21
|
||
7.2 The Uttarakhand RWSS SWAp (first global RWSS SWAp) is being implemented
following uniform policies and institutional arrangements across the
State. Schemes covering more than 1800 habitations have already laid a solid
foundation for the SWAp program in Uttarakhand.
7.3 The decentralized institutional arrangements, processes and procedures
are established and fully operational in all the 13 districts. The Gram
Panchayat through the User Water Supply & Sanitation Committee (UWSSC) is
fully responsible for Single Village Scheme (SVS) and intra-village Multi
Village Scheme (MVS). The sector institutions are responsible for bulk water
supply under the MVS.
7.4 The water supply schemes are integrated with catchment area programs,
household and village environmental sanitation programs, solid waste management
and health and hygiene awareness promotion programs, in order to maximize water
supply and health benefits to the communities.
7.5 Compared
to the pre-project household coverage of sanitary latrines at 21%, the existing
Project coverage has gone up to 71%, a difference of 50% achievement as a
result of the Project efforts and the GoI Total Sanitation Campaign. The GoI
Nirmal Gram Puruskar (NGP) award for clean villages has been received by 25%
GPs (418 GPs) against the MTR target of 15% GPs.
7.6 While independent monitoring and social
audits are in-built in the project design, the implementing agencies have
started signing-off, providing quality assurance for the completed schemes.
Also, continuous supervision has been introduced during the operations and
maintenance stage to ensure technical and financial support to the Gram
Panchayats (GPs).
7.7 The district schedule of rates for
various engineering items/ works/materials (local and non local) are jointly
prepared by all the three implementing agencies based on the existing analysis
of rates and are approved by the DWSM. This schedule of rates is updated on
yearly basis or as and when needed. Thus there is a single set of schedule of
rates for each district and for all the implementing agencies.
7.8 Culture of dependence on outsiders for a
basic necessity like water is showing a diminishing trend leading to a positive
indication of Gram Swarajya (Village Self Rule). In other words ‘community
pride and community control’
7.9 Robust
monitoring is followed to monitor processes, inputs, outputs and outcomes,
including indicators of change under the project.
7.10 Governance
and accountability measures have been adopted as an integral part of the
project design and implementation. The
Swajal Project Management Unit has consecutively received the Right to
Information (RTI) award 2009&2010 for transparency and good governance practices,
which include independent quality checks, community monitoring, grievance
redressal measures, social audits, robust M&E and Sector-wide Information
System (SIS), for information disclosure and tracking progress of the RWSS
schemes in all phases of the project.
8. FACTORS
OF SUCCESS:
8.1 Capacity building of all stakeholders: Capacity
Building
8.2 Information,
Education, and Communications (IEC): The project has printed booklets,
leaflets and posters that provide messages on the project, including health and
hygiene, Total Sanitation Campaign, technology options for sanitation, use of
toilets, good practice case studies, informal education, along with roles and
responsibilities at the state, district and village levels. IEC activities,
mainly to promote the decentralization agenda and SWAp program, have been
carried out through workshops, cross-visits, competitions, IEC stalls, TV
programs, etc. A couple of short documentary films have been prepared on the
good practices currently being implemented under the project.
8.3 Governance and Accountability Processes
Adopted : Independent reviews
are an integral part of the project processes, including Concurrent Monitoring
during the scheme planning phase, Third Party Construction Quality Checks,
Technical Audits, Social Audits and Grievance Redressal Measures during the
scheme implementation phase. The Project
clearly defines the roles and responsibilities of the beneficiary communities
and community based organizations, NGOs, independent reviewers, PRIs, SWSM and
the Implementing Agencies.
8.4 PRI and Community Mobilization: Project
has made a commendable effort in identifying, prioritizing and selecting
GPs/villages/habitations for intervention. Subsequently, households in the
selected habitations have been mobilized into a User Water Supply and
Sanitation Committee (UWSSC), a sub-committee of the GP, which has proved to be
an effective vehicle of community participation. The SOs have contributed significantly
towards mobilizing as well as capacitating the local communities. User surveys
confirm full acceptance and satisfaction by the communities for water supply
and sanitation schemes implemented under the project. Since it was recognized that the SOs would play the key role in
achieving effective community participation, efforts were made to ensure that
they would be selected and trained in an appropriate manner.
8.5 Social audit
committee: This committee is constituted in each water supply
scheme. The Social Audit Committee performs the following functions : (i)
Ensure that all the committees follow Procurement Manual. (ii) Report any
violation or deviation of rules to Gram Panchayat. (iii) Monitor the adherence
of project principles and rules in selection of beneficiaries, implementation
of sub projects and all decisions of UWSSC.
8.6 Grievance redressel
mechanism : The Project provides
for complete decentralization In the Pre Planning, Planning, Procurement,
Construction & O & M of water supply schemes at grass root level where
in decisions are taken by the concerned UWSSC with assistance of GP and
facilitation by the SO and DIA. Grievance redressal at UWSSC Level : On receipt
of a grievance the UWSSC convenes a community wide meeting and it is put up
before the members of the UWSSC and the community. This process is facilitated
by DIA and the representatives of the SO and the GP. It is note worthy to
mention here that 146 out of total 154 grievances relating to various
categories stand already attended to the satisfaction of the complainant since
the inception of the project.
9 SUSTAINABILITY OF THE PROJECT: All steps are being taken during
design, implementation and maintenance stages to ensure sustainability of
schemes. The project is currently
on-going and a periodic review will be carried out to monitor sustainability. The
project has designed a Sustainability Evaluation Exercise (SEE) to assess the
sustainability of completed schemes which are more than one year old. Indian
Institute of Public Administration has been engaged to conduct the independent
study on sustainability perspectives. The study would be completed by March
2011.
10. REPLICABILITY OF THE PROJECT: This project has been a trend setter in
the rural water supply and sanitation sector adopting sector wide approach. The
Punjab project has been designed on the
principles of the sector wide approach. The GoI’s rural water supply policies
are also similar to policies and principles being followed in this project.
Example : NRDWP.
11. LESSONS LEARNED:
11.1 The effective and efficient functioning of implementing
agencies has reinforced the hypothesis, that proper orientation and training, a
mix of skills, experience and gender can work in tandem to achieve positive
results;
11.2 It has been proved that the partnership between
village communities, NGOs and the government, where the government takes the
role of facilitation and co-financing, has worked successfully;
11.3 The project has demonstrated that the communities can
efficiently and effectively handle dispute resolutions, material procurement,
financial transactions and record/ book keeping in a satisfactory manner, when
properly trained;
11.4 Catchment Area Protection Works and water supply
scheme construction works should be implemented simultaneously so that the
sustainability of the tapped water source could be monitored during the project
period itself;
11.5 The project has largely demonstrated that as long
demand responsive approach is adopted, the communities are willing to
contribute towards capital cost and plan implement, operate and maintain their
own schemes;
11.6 The project has demonstrated that the alternative
delivery system vis-à-vis the present top down government-dominated system is
not only desirable but also feasible in the sector;
11.7 The capacity of the communities and the NGOs has been
upgraded to such a degree that, the methodology of the project can be
successfully carried over to other development areas;
11.8 A gender balance approach is important to ensure that
both women and men have the same opportunities to influence and control the new
services and share its benefits;
11.9 Observation Study Tour and Exposure visits have been
found to be an effective tool in creating necessary awareness and in changing
mindset of policy makers;
11.10 The possibility of misappropriating and misusing the
funds is minimal if transparency at each stage is adhered to and monitored;
11.11 Irrespective of source of funding there should be
uniform policy as regards to capital cost sharing as well as operation and
maintenance. Otherwise the current systems are unsustainable.
12 ILLUSTRATIONS: attached
13 REFERENCES: Monthly
Progress Reports, Third Party Construction Supervision Agency Reports,
Concurrent Monitoring Reports, Mid-Term Evaluation Report, Aide-Memories,
Project Appraisal Documents, Operations Manual, Financial Management Manual.
14 ATTRIBUTION: This case study is based on inputs given by
the empowered village communities where the schemes have been completed or
being implemented. Thanks to the empowered community for keeping the SWAp
philosophy and program on the path to success!
15 AUTHOR: (i) Kapil Lall, Ex. Director, Project Management
Unit, Uttarakhand Rural Water Supply & Sanitation Project, Dehradun.
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