Abbreviations - RWSSFDB



Approved by a decision of 683rd Board Meetingheld on 2076/09/07 (23 December 2019)4876800244475-9525254000Rural Water Supply and Sanitation Fund Development BoardGuideline of Post Implementation Phase (PIP) forBatch-IX and Batch-X Water and Sanitation SchemesDecember, 2019AbbreviationsACAccountantFBFund BoardGoNGovernment of NepalGRMGrievance Redress MechanismIDAInternational Development AssociationLGLocal GovernmentMISManagement Information SystemNDWQSNational Drinking Water Quality StandardODFOpen Defecation Free O&MOperation and MaintenancePIPPost Implementation PhasePODPlanning and Operation DivisionRWSSIPRural Water Supply and Sanitation Improvement ProjectSAService AgencySOSupport OrganizationTLTeam LeaderTOTechnical OfficerVATValue Added TaxVHPVillage Health Promoter VMWVillage Maintenance WorkerWASHWater, Sanitation and HygieneWASH TWASH TechnicianWSEWater Supply EngineerWSPWater Safety PlanWSSWater Supply and SanitationWSUCsWater and Sanitation User’s CommitteesWSUGWater and Sanitation User’s GroupWTSSWomen Technical Support ServiceTable of Contents TOC \o "1-3" \h \z \u Abbreviations PAGEREF _Toc27746742 \h iTable of Contents PAGEREF _Toc27746743 \h ii1.Introduction PAGEREF _Toc27746744 \h 12.Objective PAGEREF _Toc27746745 \h 13.Approach/Modality PAGEREF _Toc27746746 \h 24.Program Components PAGEREF _Toc27746747 \h 24.1.Water Supply PAGEREF _Toc27746748 \h 24.1.1Existing Status of WSS PAGEREF _Toc27746749 \h 24.1.2Categorization of WSS PAGEREF _Toc27746750 \h 34.1.3Design and Estimate Report PAGEREF _Toc27746751 \h 34.1.4Water Quality PAGEREF _Toc27746752 \h 34.1.5Water Tariff PAGEREF _Toc27746753 \h 44.1.6Record Keeping PAGEREF _Toc27746754 \h 44.2Sanitation PAGEREF _Toc27746755 \h 54.3Orientation PAGEREF _Toc27746756 \h 55Implementation Arrangement PAGEREF _Toc27746757 \h 65.1Identification of schemes PAGEREF _Toc27746758 \h 65.2Selection Criteria and Quota Allocation PAGEREF _Toc27746759 \h 65.3SO Contract PAGEREF _Toc27746760 \h 65.4Field Survey PAGEREF _Toc27746761 \h 66Role of Different Stakeholders PAGEREF _Toc27746762 \h 66.1Role of WSUC PAGEREF _Toc27746763 \h 66.2Role of SO PAGEREF _Toc27746764 \h 76.3Role of Fund Board PAGEREF _Toc27746765 \h 76.4Role of Local Government PAGEREF _Toc27746766 \h 77Human Resources PAGEREF _Toc27746767 \h 77.1Fund Board Staff Arrangement PAGEREF _Toc27746768 \h 87.1.1Post Implementation Phase Unit PAGEREF _Toc27746769 \h 87.1.2Central and Cluster Level Staff PAGEREF _Toc27746770 \h 87.1.3MIS and Office Assistants PAGEREF _Toc27746771 \h 87.2Support Organization staff PAGEREF _Toc27746772 \h 87.2.1Team Leader (1) PAGEREF _Toc27746773 \h 87.2.2Technical Officer (1) PAGEREF _Toc27746774 \h 87.2.3Accountant (1) PAGEREF _Toc27746775 \h 97.2.4Wash Technician PAGEREF _Toc27746776 \h 98Program Implementation PAGEREF _Toc27746777 \h 98.1Reporting PAGEREF _Toc27746778 \h 98.1.1Online Reporting PAGEREF _Toc27746779 \h 98.1.2Work Completion Report PAGEREF _Toc27746780 \h 98.2Mode of Payment PAGEREF _Toc27746781 \h 109Monitoring and Evaluation PAGEREF _Toc27746782 \h 109.1Regular Monitoring by Fund Board PAGEREF _Toc27746783 \h 109.2Joint Monitoring PAGEREF _Toc27746784 \h 1010Scheme Handover PAGEREF _Toc27746785 \h 1011Audit PAGEREF _Toc27746786 \h 1012Study PAGEREF _Toc27746787 \h 1113Price Norms for PIP Program.11Annex-112SO Screening Criteria and quota allocation for PIP ProgramRural Water Supply and Sanitation Fund Development BoardGuideline of Post Implementation Phase (PIP) forBatch-IX and Batch-X Water and Sanitation SchemesIntroductionRural Water Supply and Sanitation Fund Development Board (Fund Board) was established in 1996 (B.S 2052, Chaitra 1) under the Development Board Act 1956 (B.S 2013). From the beginning till date, the Fund Board has implemented more than 3000 water supply and sanitation schemes benefitting about 2.5 million populations. Execution of the scheme completion is carried out in four phases i.e. Pre-development Phase (3-6 months), Development Phase (6-8 months), Implementation Phase (10-12 months) and Post Implementation Phase (24 months) as per Operations Manual generally called scheme cycle of which, Pre-development Phase consists of SO selection, scheme identification and feasibility, Development Phase consists of capacity building and social mobilization, detail survey design and cost estimation and planning and preparatory works for implementation phase and the Implementation Phase mainly focuses on construction works. After the completion of construction works, Post Construction Support (PCS) under Post Implementation Phase (PIP) focuses on sustainability and functionality of the schemes.Post Implementation Phase was conceptualized and initiated in the Second Rural Water Supply and Sanitation Project (RWSSP-II) for post construction support mechanism. Under RWSSP II the PIP was designed for 24 months and implemented upto Batch-VIII. But in RWSSIP the PIP is designed for 6 months with a probable extension of 3 months covering the Batch-IX (Retroactive) and Batch-X (Completed) schemes. Batch-X completed means final payment should be done and implementation contract should also be closed. PIP contract shall be done in two phases. Phase I contract shall be done for Batch-IX (Retroactive) and Batch-X completed schemes by December 2019. If time of project is extended then II phase PIP can be done for those schemes which is completed by March 2020. Post Implementation Phase will cover the Gravity, Surface lift and Ground lift (OHT) type Water Supply Schemes.It was assumed that Water Supply and Sanitation User Committee/Group (WSUC/G) takes the ownership of the completed schemes and carries out operation and maintenance, regular monitoring and follow up and reporting based on Government and World Bank proxy indicators on its own.ObjectiveThe main objective of PIP is to improve the long-term functionality and sustainability of the rural drinking water supply schemes that have been constructed under Batch-IX and Batch-X of the Rural Water Supply and Sanitation Fund Development Board (‘Fund Board’) with the assistance of World Bank and Government of Nepal. Specific objectives are as follows;Capacity enhancement of WSUC/G including financial management, cost recovery, processes and procedures and technical capacity.Strengthening coordination and linkage with local government for close monitoring of completed water supply schemes for sustainability.Providing regular technical capacity to WSUC/G and carrying out minor repairs if and when needed and outsource/seek support for major repairs.Approach/ModalityPost Implementation Phase (PIP) Support, focuses on institutional capacity building of WSUC, financial and technical sustainability for long term functionality of the schemes including environmental and social concerns. The contract duration for PIP will be six months and would be extended for three months according to the needs of the scheme. In doing so, the SOs will work in close coordination with the Water Supply and Sanitation Users Committee (WSUC) and the local government under the guideline of the Fund Board.At the start of the assignment, the SO will be responsible for the sustainability and functionality of the water supply scheme will sign off on the technical integrity of the scheme after inspection by the Local Government and will ensure that the scheme is included in the asset register of the Local Government. At the end of the assignment, the SO, responsible for the PIP, will formally hand-over the scheme following due process to the Local Government.Program ComponentsWater SupplyThe main objective of the water supply component is to make water supply schemes fully functional and sustainable by backstopping the WSUC/G for proper operation & maintenance of water supply system.About 50% of completed schemes can be called sub-or non-functional, needing corrective actions, with 25% of schemes needing major and urgent corrective action. Similarly, 25% are recently completed schemes with major technical problems that the SO could not properly address and that are increasingly affect sustainability and functionality. Sometimes problems originate from the development or implementation phase, sometimes from weak WSUCs or weak O&M financing mechanisms, but just as often external causes like an earthquake, landslide or drying up of a source disrupt the scheme. (FCG report 2017).Therefore, functionality can be improved through a collaborative effort of donor agencies, WSUC and local level government. In PIP program, the SO will be deputed to establish the linkage between major stakeholders and assist the community to implement the program.If the water supply scheme requires major rehabilitation works, the amount of estimated cost for repair of scheme as per the Fund Board norms will be made available to the community through SO. The procurement of the non-local construction material will be done by the community as per procurement guideline of the Fund Board and similarly the construction norms of the Fund Board will be followed for rehabilitation works. The following effort will be carried out under this program towards better functionality and sustainability of the water supply scheme.Existing Status of WSSImmediately after the contract, support organization (SO) will carry out quick survey as per checklist provided by the Fund Board to get information of existing status of WSS Schemes. The SO engineer will conduct survey by using checklist for an inspection of structure from source (Intake) to tap stand. Before conducting the survey, the engineer will organize a community meeting with maximum participation of beneficiaries. Based on the survey data and findings of the meeting, the engineer will prepare a report which will confirm the status and requirement of the particular water supply scheme.Categorization of WSSBased on the survey report, the engineer will categorize the water supply scheme whether the scheme requires a major or minor rehabilitation work. The criteria of major and minor rehabilitation will be provided by the Fund Board. The Fund Board will support financially only for implementation of major rehabilitation works.The Fund Board will not provide support financially for rehabilitation works of those water supply schemes which are damaged/disturbed due to road construction or any other human interruption. In such cases, the communities are advised to claim to the authority or person whoever has caused for damages.The Fund Board will provide support for the rehabilitation work only of those water supply schemes operating and maintaining as per the Fund Board guideline (raising regular water tariff, appointment of VMW, maintaining O&M fund) if not then the WSUC should commit to develop O&M mechanism as per Fund Board Guideline first. The Fund Board will provide financial support to only those schemes where the damages are caused by the following reason.Damages due to natural calamities like rain, flood, landslide, fire, earthquake and storm Dry up of existing source.Major maintenance should be completed within three months and amount should be in between NRs. 75,000 and NRs. 500,000. But this barrier is not applicable for the damages due to natural calamities. Design and Estimate ReportThose water supply schemes, which require major rehabilitation works, the SO engineer needs to conduct survey work with coordination of the community and prepare the design & cost estimate report. During preparation of cost estimate, the approved District/Municipality/Rural Municipality rate of material and labor will be followed. If the rate of material is not available in the approved District/Municipality/Rural Municipality rate list then, the Fund Board approved rate for the particular material will be referred. The SO will submit the status report including design & estimate of rehabilitation work. The Fund Board will carry out the field verification for the rehabilitation work. As per field verification report, the Fund Board will amend the contract of SO to carry out rehabilitation work.Water QualitySafe drinking water is the most basic of human needs. Access to water and sanitation plays a crucial role in the overall social and economic development of the community subsequently of the country as a whole. The constitution of Federal Democratic Republic of Nepal 2015 has declared that “Every citizen shall have the right of access to clean and safe drinking water and sanitation”. National Drinking Water Quality Standard and its Directives was made in 2005 which consider needs and important of drinking water. National drinking Water Quality Standard was approved by the Government of Nepal in 2006. The implementation directives 2005 makes mandatory to all service providers for carrying out the water quality monitoring and applying necessary control measures for consistently complying with quality criteria as described in NDWQS.As per provision of the Fund Board water quality test (Physical, Chemical and Biological Parameter) of the proposed water sources have been carried out three times in the scheme cycle during pre–feasibility, development phase and after implementation of the scheme to ensure the delivery of portable water of acceptable quality to the communities. Therefore, the Fund Board shall continue the program Water quality testing and monitoring in PIP for Batch-IX and Batch-X schemes in the following ways. Batch-IX and Batch-X Schemes-Support Organizations (SOs) will support WSUC in the preparation of Water Safety Plan (WSP) and WSP team formation.WSP committee will regularly monitor water quality in scheme and if it is found contaminated then community manageable cost-effective treatment system/Disinfection unit will be recommended and installed. Additionally, The Fund Board shall provide the water quality test kit to each Water Safety Plan Committee to ensure the supply of safe water to the communities and WSP committee will be oriented about their responsibility and regularly monitor the WSP.Water TariffWater and sanitation are also economic goods. There is a need to get a balance of these two aspects of water. Pricing water fairly and equally is an important to sustain and extend the water and sanitation system. In many schemes, communities pay water tariff charges too little for water services. Revenue from water charges does not even cover operation and maintenance of water utilities.Therefore, the revenue management system is an important aspect of any Water Supply System as it governs the financial sustainability to it. SO should raise the awareness to the community about importance of water tariff charges during preparation of operation and maintenance plan for Batch-IX and Batch-X schemes. Board has adopted yard connection policy in all schemes of Batch-X in which there is provision of one household and one metered tap. The proper billing system and collection of revenue pay an important part to fix a tariff structure.The WSUC will fix the water tariff taking into account the ability of the system to meet the expenditure on the following heads: Maintenance Cost (Replacement of fittings, tools, leakage repair etc.)Remuneration of VMW and administrative staff Electricity charge for lift schemes.If water treatment system is available then related charges (Electricity, necessary chemicals and other required materials)To main operation and maintenance cost the water tariff structure should be revised annually.Record KeepingRecord keeping is very important tool to run long term of any system/organization. WSUC will update the record with the help of Support Organization. In PIP program WSUC will be trained for record keeping through SO. The following record keeping system is required for the effective implementation of PIP.Meeting minutes (dates, agenda and decisions).Income and expenditure by date and amount (Income from water tariff, financial support from any organization/individual and the expenditure for staff remuneration, material procurement, transportation, office consumables etc.Store book keeping (store entry of procured material or donation by date and quantity if any and expenditure in scheme rehabilitation by date and quantity).Water meter reading for individual consumer by date and number of meter reading.SanitationNepal has been declared Open Defecation Free (ODF) country on September 30, 2019. Now the country has entered into the post ODF phase. The post ODF phase includes all arrangements leading to sustainable hygiene and sanitation facilities and behaviors. Therefore, now the country has challenges towards maintaining the Total Sanitation. The following indicators are suggested to ensure that a Total Sanitation situation is achieved in the given area.Five key hygiene and sanitation behaviors ? Use of toilets by all;? Practice of hand washing with soap or cleaning agent at critical junctures; ? Safe handling and treatment of drinking water (e.g. Point of Use treatment) at household level; ? Maintenance of personal hygiene (regular nail cutting, bathing, cloth washing, daily combing, tooth brushing etc.), and? Proper solid and liquid waste management in and out of the home.OrientationOrientation will enhance the capacity of concern stakeholders. The following orientation will be conducted for the WSUC/G, SO staff and Local Level Government:Sr. No.DescriptionFacilitation AgencyDuration/DaysRemarks1Orientation to Local Government representative on PIP Fund Board1 DayLocal GON representatives2Orientation to SO Staff on PIP Fund Board2 DaysSupport Organizations3Orientation on ESMP and Water Safety Plan to SO staff (WASH Technician/Motivator)Fund Board3 DaysSupport Organizations4Orientation on PIP Activities to WSUC, VMW, VHP, Jagaran Committee including local Government Support Organization3 DaysCommunity level Training5Orientation on Jagaran Activities (Social Accountability) including GRM to Jagaran Committee, WSUC, Jeevika/WTSS Group, Local Government)Support Organization2 DayCommunity level TrainingImplementation ArrangementPlanning and Operation Division (POD) of the Fund Board will implement and perform all PIP activities in close coordination with concerned division (Technical, Human Resources, Monitoring and Evaluation and Administration). Selected SOs will carry out the scheme status survey through checklist and categorized into two categories namely minor and major damage scheme based on Fund Board set criteria. After categorization of scheme, design and cost estimate will be prepared by SO and submitted to the Fund Board. The Fund Board will provide the fund for maintenance work to WSUC through SOs for the major damaged schemes only. SO will provide the technical support to the communities and the community will be responsible for the entire implementation of maintenance work including procurement of materials. The implementation steps for PIP work will be as follows:Identification of SchemesThe list of completed schemes under Batch-IX and Batch-X will be prepared by the Fund Board and provide the list of schemes to the selected SOs for field survey, design and cost estimate for work under PIP program. In first phase, schemes completed before December 30, 2019 will be implemented for PIP Program. Similarly, for second phase, schemes completed before March 30, 2020 will be included to implement PIP Program. Selection Criteria and Quota AllocationThe Fund Board will develop the SO selection and quota allocation as per Annex-I. In case of joint venture and associate, only lead SO will responsible to implement the PIP program. SO ContractAfter receiving proposal from the Support organization, the SO will be contracted for implementation of PIP for Batch-IX (Retroactive Schemes) and Batch-X completed schemes. Bilateral contract between SO and Fund Board will be done. Initially the contract period will be six months and can be extended for three months on need basis.Field SurveyAfter PIP contract, the SO will visit the all contracted schemes and fill up the checklist prepared by the Fund Board and submit within 30 days from the contract for releasing the first payment.Role of Different StakeholdersRole of WSUCContract signing for PIP. Registration/renewal of WSUCRecord keepingDispute and GRM managementPreparation and implementation of Operation and Maintenance planCollection of Water tariff for all routine repairs and maintenance Conduct business/periodic meetings and reporting Transparency in Procurement, accounting and finance managementAct as a two-way link between local government and beneficiary householdsRole of SOContract signing for PIP.Support WSUC to implement PIP activities Preparation of scheme status report Support to WSUC for revision of tariff plan, criteria and tariff collection and meteringSustainability monitoring and reporting to WSUC-LG and FBTechnical backstopping Capacity development of WSUC- VMW-Jagaran Committee Water quality monitoring and surveillance Support/update the asset register of LGs all schemes are included in asset registerSupport to WSUC on Post ODF activitiesSubmit final PIP completion report to Fund Board/LGRole of Fund BoardSelection of SO following due process and transparent criteriaMonitor, track and release payments Develop strategies for making all schemes functional and complete handover processPrepare plan for rehabilitation of Rural water supply schemes for handing over to LGsConduct orientation to SO, sharing workshop for LG representative.Prepare all required documents and provide to SOs (format for asset register, format for Hand over scheme, necessary manual and guideline, Receipt bill, Water tariff card and all necessary documents) Role of Local GovernmentUpdate and incorporate all schemes in the asset register of LGsConduct regular monitoring and supervision of different activities of PIPAssets takeover of Water Supply and Sanitation SchemeHuman ResourcesEffective Human Resources Management or HRM is a vital area of any business and key to improving organizational performance. Concerning the importance of Human resource in program operation and implementation the Board has planning to place following Human Resources in the Post Implementation Phase here are as follows:Fund Board Staff ArrangementPost Implementation Phase UnitPlanning and Operation Division (POD) of the Rural Water Supply and Sanitation Fund Development Board will implement and perform all Post Implementation Phase activities in close coordination with concerned division (Technical, Human Resources, Monitoring and Evaluation and Administration) and also will be responsible for contract management, supervision and close monitoring of all water supply and sanitation schemes contracted under PIP program. POD will also perform Staff mobilization of SOs, update progress of Scheme, Finalization of Payment memo of SOs and WSUC and monitoring and reporting of the activities under PIP program.Central and Cluster Level Staff Those Portfolio Managers who have reduced work load of Batch-X will support the PIP program and they will be primary responsible to keep, maintain and provide to the management all relevant information pertaining to SO and their respective scheme. They will be also responsible for supervision and close monitoring work of PIP Program. In addition to this, required professional level staff (Engineers and Sociologist) will be assigned to perform the regular work of PIP program. According to the requirement of program, some of them will be deputed at field based in cluster level and at central level. Portfolio Managers and other professional staff (Engineers and Sociologist) will be fully responsible to assist SO and communities for performing the work and also monitor the whole activities (Technical and social) of the program. These officers will also be responsible for day to day work of PIP activities and assist the Chief of the Program and Operation Division (POD) to complete the PIP work within time. MIS and Office AssistantsThere will be required office assistants including MIS assistant under PIP unit will be deputed. These staff will support regularly to Post Implementation Phase program and if necessary, they will also support others program of the Fund Board. Support Organization staffThe Fund Board will depute the following human resources under the SO level to support, assist and facilitate the WSUC/G, LG and other stakeholders towards implementing the PIP program. The designated SO staff is supposed to deliver the services as per their job description and requirement of Fund Board for the PIP program. For the implementation of the PIP work the following staff will be hired:Team Leader (1)Team Leader will be responsible for mobilizing, organizing and overall implementation of the contract. S/he will also be responsible to carry out sanitation activities of the contract including social mobilization as well as co-ordination with Local Government. The TL will also be responsible for reporting to the Fund Board.Technical Officer (1)Technical Officer will be overall responsible for providing technical inputs to WASH Motivator/Technician for successful implementation of the PIP work under contract in each scheme. S/he is also responsible for survey, design and cost estimate of scheme including supervision of construction works as per contract.Accountant (1)Accountant will be responsible for book keeping of SO accounts and support community treasurer for record keeping and book keeping of joint account.Wash Technician (1)WASH Technician will be overall responsible for the implementation of PIP activities ensuring quality of construction work. S/he will also support community in the procurement of non-local materials, repair and maintenance work and also a part of social activities s/he should perform during the work tenure. Details of required qualifications, experiences and skills of SO staff will be as per SO Staff Price Norms of the FB.Program ImplementationPost Implementation phase focus on institutional capacity building of WSUC, financial and technical sustainability for long term functionality of the schemes including environmental and social concerns.The program will cover Batch-IX retroactive schemes and Batch-X completed schemes. The WSUCs are fully responsible for the procurement of all construction materials with technical support of SO’s technical person. Then, the SOs and community /WSUCs will be responsible for the completion of repair and maintenance work of schemes and finally scheme will be handed over to Local Government/ municipality. The fund Board will supervise and the overall quality and quantity of work as per technical norms and guidelines. ReportingOnline ReportingPost Implementation Phase Team Leader will submit monthly work progress report through online systems of mobile application / software to Fund Board. The report will verify by FDB managers.Work Completion ReportThe post implementation phase, work completion report shall be submitted to the Fund Board after completion of repair, maintenance work of schemes, maintained asset registered and hand over to Local Government/ municipality within the contract duration. The concern support organization will be responsible to prepare work completion report as per prescribed format of the Fund Board and each scheme shall be handed over to the Local Government/ municipality. In addition to this, the completion report shall be certified from the local government it will be mandatory to include in completion report. Based on the Work Completion Report, Fund Board staff / Firm/Individual Consultant will verify milestones and progress of the particular scheme and accordingly recommend to the Fund Board for final payment of the scheme. Mode of PaymentSO payment of PIP includes staff cost, training and other cost, overhead cost and will be released in two installments in SO account. The first installment will be released to the SO account upon submission of payment request letter along with the following documents;Checklist of Scheme;Bio data and certificate of proposed staff; andAppointment Letter of the proposed staff.Bank Account Number including Name and AddressVAT billThe second installment will be released to the SO upon submission of scheme work completion report and Joint monitoring report subject to satisfactory verification of PIP work as per contract by assigned Fund Board staff/Firm/Individual Consultant.The proportion of various costs that will be included in the installment will be as follows: Sr.No.DescriptionFirst InstallmentSecond Installment1Staff cost70%30%2Miscellaneous cost (Transportation, Communication, Reporting and Joint Monitoring)100%3Community level orientation100%4Overhead cost100%Note: If the scheme requires major maintenance work, the contract will be amended and payment will be released as per contract.Monitoring and EvaluationRegular Monitoring by Fund BoardThe Firm/Individual Consultant will carry out scheme-wise one-time monitoring and evaluation of schemes based on the Work Completion Report submitted by WSUC/SO.Joint MonitoringThe SO will carry out joint monitoring by WSUC/G and Local Level Government.Scheme HandoverAfter successful completion of PIP, the SO will prepare handing over memorandum and facilitate scheme transfer to Local Level Government and also support to update the asset register to LGs.AuditAfter completion of PIP work the SO account will be audited by Fund Board through Firm/Individual consultant. ................
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