Social Management Framework for Rural Water ... - World Bank
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|Rural Water Supply and Sanitation Project for Low Income States |
|(RWSSP-LIS) |
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|Assam, Bihar, Jharkhand and Uttar Pradesh |
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|Social Management Framework |
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|April 2013 |
|Ministry of Drinking Water and Sanitation, |
|Government of India, New Delhi, India |
Table of Contents
Abbreviations and Acronyms 3
1. Introduction 6
1.1 Background 6
1.2 Project Development Objective 7
1.3 Project Beneficiaries 7
1.4 Key Elements of the RWSS Project for Low Income States 7
1.5 Project Components 8
1.6 Social Assessment 9
1.7 Organisation of the Report 9
2 Approach and Data Base 11
2.1 Approach of the Assignment 11
2.2 Database for Secondary Information Review 13
3 Stakeholder Analysis 14
3.1 Introduction 14
3.2 Key Stakeholders 14
3.3 Stakeholders Analysis 15
3.4 Public Consultations 20
4 Issues, Impacts, risks and assumptions 22
4.1 Issues 22
4.1.1 Top Down Approach 22
4.1.2 Organization Structure for Service Delivery 22
4.1.3 Staff Strength and internal Coordination 22
4.1.4 Ineffective village level user organizations- VWSCs 22
4.1.5 Inclusion 22
4.1.6 Weak PRIs 23
4.1.7 Poor Supply of Power 23
4.1.8 Low Coverage of safe Drinking Water & Latrine 23
4.1.9 Usage of latrine 23
4.2 Impacts 23
4.3 Risks 26
4.4 Assumptions 27
5 Social Management Framework 28
5.1 Social Management Action Plan 28
5.2 Common Management Framework 29
5.2.1 Management Unit 29
5.2.2 Inclusion and Equity 29
5.2.3 Participation 30
5.2.4 Autonomy 30
5.2.5 Decentralization and Subsidiarity 30
5.2.6 Effective Governance and Management 30
5.2.7 Transparency and Accountability 33
5.2.8 Capacity Support 34
5.2.9 Capacity Building 34
5.2.10 Gender Issues 35
5.2.11 Convergence 36
5.3 Common Management Actions - Securing Lands 37
5.4 State Specific Management Action Plans 39
5.4.1 Assam 39
5.4.2 Bihar 44
5.4.3 Jharkhand 47
5.4.4 Uttar Pradesh 50
5.5 Institutional and Implementation Arrangements 52
5.6 Public Disclosure 55
5.6.1 Information to be disclosed 55
6 Grievance Redressal Mechanisms 56
7 Monitoring and Evaluation 60
8 Annexure 63
8.1 Terms of Reference 63
8.2 Stakeholder Analysis - Matrix from all four states 73
8.2.1 Stakeholder Feedback, Assam 73
8.2.2 Stakeholder Feedback, Bihar 77
8.2.3 Stakeholder Feedback, Jharkhand 85
8.2.4 Stakeholder Feedback, UP 88
8.3 Consultation Details – Statewise 92
8.3.1 Assam 92
8.3.2 Bihar 94
8.3.3 Jharkhand 96
8.3.4 Uttar Pradesh 99
8.4 MVS Cycle 103
List of Tables
Table 2.1: State-wise Details of Interviews & Field Consultations 11
Table 2.2: State-wise Secondary Information Database 13
Table 3.1:Key Stakeholders ‘Expectations and their Issues and Concerns 15
Table 4.1: Project Impacts 23
Table 5.1: Scheme Cycle 31
Table 5.2: Tribal areas Vs proposed Project areas 39
Table 5.3: Management actions are summarized in the table below. 40
Table 6.1: Matrix for redressal of grievances 57
Abbreviations and Acronyms
|APL |Above Poverty Line |
|ARWSP |Accelerated Rural Water Supply Programme |
|ASHA |Accredited Social Health Activists |
|BPL |Below Poverty Line |
|CBO |Community Based Organisation |
|CRSP |Central Rural Sanitation Programme |
|DWSC |District Water and Sanitation Committee |
|DWSD |District Water and Sanitation Department |
|DDWS |Department of Drinking Water Supply |
|FC |Fully Covered |
|GoI |Government of India |
|GP |Gram Panchayat |
|GPWSC |Gram Panchayat Water and Sanitation Committee |
|HRD |Human Resource Development |
|IEC |Information, Education and Communication |
|IHHL |Individual Household Latrines |
|JPS |Jal Pradhan Samitis |
|Lpcd |Litres per capita per day |
|M&E |Monitoring and Evaluation |
|MIS |Management Information Systems |
|MODWS |Ministry of Drinking Water and Sanitation |
|NBA |Nirmal Bharat Abhiyan |
|NC |Not Covered |
|NGO |Non-Governmental Organisation |
|NGP |Nirmal Gram Puraskar |
|NSSO |National Sample Survey Organization |
|NRDWP |National Rural Drinking Water Programme |
|O&M |Operation and Maintenance |
|OP |Operation Policy |
|PC |Partially Covered |
|PHE |Public Health Engineering |
|PHED |Public Health and Engineering Department |
|PMGY– RWSP |Pradhan Mantri Gramodaya Jojna Rural Water Supply Programme |
|Ppm |parts per million |
|PRI |Panchayati Raj Institutions |
|RWH |Rainwater Harvesting |
|RWSS |Rural Water Supply and Sanitation |
|RWSSP-LIS |Rural Water Supply and Sanitation Project – Low Income States |
|SC |Scheduled Caste |
|SE |Superintending Engineer |
|SHG |Self Help Groups |
|SLC |Scheme Level Committee |
|SLWM |Solid and Liquid Waste Management |
|ST |Scheduled Tribe |
|SRPP |Sector Reform Pilot Projects |
|SSA |Sarva Shiksha Abhiyan |
|SSHE |School Sanitation and Hygiene Education |
|SWSM |State Water and Sanitation Mission |
|TSC |Total Sanitation Campaign |
|UNICEF |United Nations Children’s Fund |
|UPJN |Uttar Pradesh Jal Nigam |
|VWSC |Village Water and Sanitation Committee |
|WATSAN |Water and Sanitation |
“This report, Social Management Framework (SMF) prepared as a result of the synthesis of Social Assessment (SA) conducted in the four states (Assam, Bihar, Jharkahand and Uttar Pradesh) in the context of preparing the World Bank assisted Rural Water Supply and Sanitation (RWSS) for Low Income States (LIS) has the following objectives: TO (i) support in accomplishing the development objectives of the Project; (ii) integrate social inclusion, equity, cohesion, accountability, safeguards, risk management and sustainability strategies in the structures, institutions and interventions; and (iii) that the project interventions will not cause significant adverse social impacts and that all project activities comply with the laws, regulations and policies of India and the social safeguard policies of the World Bank. The project expects no negative impacts to occur as a result of its interventions. Ample potential exists for positive impacts/ benefits. However, it is a huge challenge in these states to transform the potential to ‘reality’. To this end, SMF lends a supporting hand as it guides the policy, institutional and implementation arrangements. It acts as a tool for implementation, monitoring and supervision of interventions that address social issues and risks, including social safeguard risks. It addresses the needs of the World Bank’s Operational Policy (O.P. 4.10) on ‘Indigenous Peoples’ (or Tribal Peoples, as they are known in India), and identifies the procedures to be followed for community civil works involving land. One of the four states, Jharkhand, has significant tribals and hence in accordance with OP 4.10, a Tribal Development Plan (TDP) has been prepared. . SMF, SAs and TDP have been disclosed on the websites of both the central and state governments. A summary translated into local language has been disseminated across the project districts. Disclosure at community level will take place as a village entry activity with leaflets printed in the local language and distributed. SMF will be reviewed on annual basis and revised as appropriate.”
1. INTRODUCTION
1 Background
The National Rural Drinking Water Programme (NRDWP), a flagship program of the Ministry of Drinking Water and Sanitation (MODWS), Government of India started emphasizing since early 2009 on the involvement of Panchayati Raj Institutions (PRIs) and communities in planning, implementing and managing drinking water supply schemes. States are incentivized to hand over management of their schemes to PRIs. Funds for sustainability of schemes are provided on a 100% Central share basis. A separate component of support activities to fund communication campaign (IEC), HRD, MIS, water quality monitoring and surveillance and other support activities has also been introduced. Recently, as part of the NRDWP, has prepared its long term strategic plan (2011-2022) for ensuring drinking water security to all rural households. The strategic plan aims to cover 90% of households with piped water and at least 80% of households with tap connections during this period. Special focus is planned for what is commonly known as lagging / low income (LI) states.
Low Income States: RWSS service achievements are not uniform throughout India. While states like Kerala, Uttarakhand, Tamil Nadu and Karnataka having higher coverage through piped water supply, states like Bihar, Jharkhand, Assam and UP continue to struggle with minimum provision of services. The eight states that have the lowest coverage of tap water include Bihar (2.6%), Jharkhand (3.7%), Assam (6.8%), Odisha (7.5%), Chhattisgarh (8.8%), Madhya Pradesh (9.9%), West Bengal (11.4%) and UP (20.2%) – collectively referred to as the “Low Income States”. Of these, Bihar, Jharkhand and UP are also significantly lagging in sanitation, with more than 75% of the rural households not having access to latrines within premises, Jharkhand being the lowest amongst all Indian States.
The lagging states in terms of piped water coverage, viz. Assam, Bihar, Chhattisgarh, Jharkhand, Madhya Pradesh, Orissa, Uttar Pradesh and West Bengal suffer for want of institutional and technical capacity at all levels-- State, district, block and GP -- for implementing sustainable rural water supply projects. The constraints are in terms of inadequacies in involving community and Panchayats as well as supporting and implementing the decentralization program. Also, operations and maintenance of existing schemes is not satisfactory, resulting in non-functionality of many schemes. Further, these states face issues of water quality affected habitations that require supply of water from distant safe sources. It is in this background that GOI approached the World Bank for its assistance in launching a rural water supply and sanitation program for the lagging states.
The World Bank is currently engaged with the MoDWS, in preparing and implementing a Rural Water Supply and Sanitation Program for Low Income States (RWSSP- LIs), with Phase I Program for USD 1 billion (USD 500 million IDA and USD 500 million GoI/State counterpart funding). The key objective of the proposed program is to improve piped water coverage integrated with sanitation services through decentralized service delivery systems. This program would be implemented through a special window of assistance under the National Rural Drinking Water Program (NRDWP). Four States (Bihar, UP, Jharkhand, and Assam) are being taken up as part of the Phase I Program. These states rank the lowest in terms of pipe water coverage. The project essentially aims at transforming the current hand pump based rural households into pipe water based household domestic consumption.
2 Project Development Objective
Increase access to improved piped water and sanitation services for selected rural communities in the target states through decentralized delivery systems.
Key PDO level results indicators are the following:
• Direct Project beneficiaries (number), of which female (percentage);
• People provided with access to ‘Improved Water Sources’ under the Project (number);
• New Piped Household Water Connections (number);
• People provided with access to ‘Improved Sanitation Facilities’ under the Project (number);
• ‘Improved latrines’ constructed under the Project (number).
3 Project Beneficiaries
• Project will cover about 16,000 habitations in 33 districts across the four project states—Assam -6; Bihar-11; Jharkhand-6; and Uttar Pradesh- 10.
• Directly will benefit about 7.5 million rural people with improved water supply and sanitation services.
• About 48% of the overall project beneficiaries expected to be women
• Participating States to benefit through improved institutional capacity, processes and procedures, for decentralized RWSS service delivery responsibilities and improving accountability to rural households
• MoDWS to benefit from improved institutional capacity to facilitate and scale-up community-driven, decentralized RWSS service delivery
• Targeted assistance to the tribal populations of 4 districts in Jharkhand, with about 0.4 million expected beneficiaries from tribal populations.
4 Key Elements of the RWSS Project for Low Income States
The RWSS Project for Low Income States will promote decentralized service delivery arrangements with increased Panchayati Raj Institution (PRI) and community participation, improved financial sustainability and enhanced accountability at all levels. A major shift from the business-as-usual will be the decentralization of RWSS service delivery responsibility to the DWSM and the Zila Panchayat (ZP - district PRI) for Multi Village Schemes (MVS) and the GPs for Single Village Schemes (SVS) and the intra-village MVSs. The other major focus is on strengthening policy and planning activities at the state and district levels, with clear accountability to the GPs and the beneficiary communities. The existing SWSMs and the participating DWSMs, ZPs, and GPs will be strengthened and their capacity built to allow them to undertake their respective policy, planning and review functions. An integrated approach to water supply, sanitation and environmental sanitation, along with source sustainability programs, will be supported by the project. The following are the key elements of the RWSS Program:
• Placing Gram Panchayats (GP) and communities in the central role – supported by higher levels of Panchayat Raj Institutions (PRI), by State governments, and by local NGOs and the private sector – for facilitating, planning, implementing, monitoring and providing a range of Operation and Maintenance (O&M) back-up services.
• Using sustainable, community or local government managed models for intra-GP RWSS schemes and using State-PRI partnership models for MVSs.
• Putting water resources security as a core theme of the new model, including increased community management of scarce resources.
• Moving the RWSS sector to achieve the recovery of at least 50 percent of O&M and replacement costs, and initiating contributions to capital costs.
• Integrating water supply and sanitation, with effective sanitation promotion programs for achieving ‘clean villages’.
5 Project Components
The Project comprises the following three main components: (A) Capacity and Sector Development; (B) Infrastructure Development; and (C) Project Implementation Support.
Component A: Capacity and Sector Development (15%): This component will support the building of institutional capacity for implementing, managing and sustaining the project activities, along with sector development studies to inform policy decisions. The main sub-components include: (a) Capacity Building activities for MoDWS; (b) Capacity Building and Training activities for State level institutions, PRIs, and sector stakeholders; (c) Information, Education and Communications (IEC) Program; and (d) Sector Development Studies.
Component B: Infrastructure Development (80%): This component will support investments for improving water supply and sanitation coverage in the project habitations, including construction of new infrastructure or rehabilitation and augmentation of existing schemes, with safe disposal of wastewater. The water supply investments will be made in an integrated manner to include water source strengthening and catchment area protection activities, construction of household latrines, soak-pits, drain and lane improvements, community awareness programs for improving sanitation and hygiene practices, along with incentives for achieving ‘open defecation free’ status.. Most habitations are expected to be served by SVSs using local groundwater sources. The MVSs, mainly relying on surface water sources, will be taken up for habitations where the local source is either not sustainable or not of acceptable quality. The project will support the universal provision of household connections, with meters for bulk water supply in all schemes, and the promotion of household meters, where appropriate.
Component C: Project Management Support (5%): A National Project Management Unit (NPMU) will be set up at the MoDWS level for implementing and managing the entire Project across the four States.. The State level Project Management Unit (SPMU) will be established under the SWSM, assisted by staff in the districts (DPMUs) for implementing and managing the Project in each State.
Project Preparation: Several studies were initiated as a part of the project preparation. One of them is the Social Assessment.
6 Social Assessment
The initial inquiry revealed that project beneficiary profile may not be homogeneous, rather, quite diverse comprising a number of sub-groups identifiable on the basis of their differential endowment, gender, ethnicity, different economic groups and other regional features. Therefore, the challenge lies in addressing the requirements of the all the sub-groups, with special attention towards the rural and tribal poor and other normally socially excluded sub-groups. Besides, there are a large number of stakeholders, some internal and others external to the project, who would have varying degrees of influence and impact on project activities and outcomes. This makes it necessary for the project to provide a framework for participation of all key stakeholder groups and enable solicit their contributions towards project design and delivery mechanisms. To this effect, as a part of the project preparation, it was decided to conduct a consulting assignment, Social Assessment (SA). Four independent initiatives were done deploying separate consultants in each of the four project states. Terms of Reference adopted for SA is presented Annexure 9.1.
The objective of Social Assessment was to better understand and address social development issues, and ensure accomplishing the outcomes – inclusion, cohesion, equity, security and accountability. This was also to enable assessing the social impacts of the proposed project interventions; develop measures to mitigate negative impacts and enhance positive impacts; examine the legal, policy and institutional aspects to enable accomplish the principles underpinning the approach.
Social Assessment comprised: (i) Beneficiary Assessment (BA), (ii) Stakeholder Analysis (SA), (iii) Institutional Analysis; (iv) Impacts Assessments; and (v) Risk Analysis. BA enabled building socio-economic profiles at the national, district, sub-district and village level; the project beneficiaries’ assessment on the current status of research/extension/marketing; and their linkages with governance/management mechanisms. SA resulted in identifying stakeholders at different levels and mapping the key expectations, issues and concerns as related to each stakeholder and the sub-groups thereof. Institutional analysis led to documenting and analyzing the existing institutional arrangements, and formulating inputs into designing of the decentralized extension delivery system in consultation/collaboration with the stakeholders. This was followed by impact assessments and risk analysis. The results helped in designing the delivery system and addressing safeguards, thus ensuring positive and sustainable impacts. Synthesizing the results of these assessments have led to preparing the Social Management Framework.
7 Organisation of the Report
This report has 8 chapters and two annexures. First chapter gives introduction to this report which includes background, a brief description of the RWSSP-LIS, project development objective, project beneficiaries, key elements of RWSSP-LIS, project components, a brief on the social assessment studies conducted, and organization of this Social Management Framework report. Second chapter presents the approach to the assignment and the sources of the secondary information review. Third chapter presents the summary of baseline data, both socio-economic data and RWSS data of the four states, Assam, Bihar, Jharkhand and Uttar Pradesh. Fourth chapter identifies the key stakeholders and presents a stakeholder analysis, their expectations, issues and concerns apart from analyzing the strengths and weaknesses of the key stakeholders. Fifth chapter presents the impacts due to the projects; both positive and negative, projects risks and assumptions made during preparation of the project. Sixth chapter; the Social Management Framework presents the common management framework which details the design elements (Management unit, inclusion and equity, participation, autonomy, decentralization and subsidiarity, effective governance and management, transparency and accountability, capacity support, capacity building, gender issues and convergence), common management actions for securing lands, state specific management plans, institutional and implementation arrangements and public disclosure. Seventh chapter presents the Grievance Redressal Mechanism, institutional arrangements for grievance Redressal and framework (likely grievances, redressal process, time period for redressal and responsibility) for grievance redressal from scheme level to state level. Eighth chapter presents the monitoring and evaluation arrangements which include internal and external monitoring and various indicators to be tracked. There two annexures (terms of reference for Social Assessment and stakeholder analysis of four states) to this report which are given as chapter nine.
Approach and Data base
1 Approach of the Assignment
The broad approach for carrying out the social assessment in the four states has been one of participatory research, action learning, and collaborative strategy development. This entailed widespread stakeholder consultation; participatory needs assessment involving communities, sector institutions, and panchayati raj institutions (PRIs) besides secondary literature survey including desk/web research and a workshop to share the draft report. The following were undertaken to carry out the tasks related to the set of assessment and analysis exercise proposed to be undertaken as part of the assignment:
State level interviews and consultations: In-depth interviews and discussions were held at the State Water & Sanitation Mission (SWSM) and Water & Sanitation Support Organization (WSSO) levels to understand the state perspective on on-going initiatives in the water and sanitation sector and the rationale of the proposed World Bank assisted project.
This also included discussions with engineers from the drinking water and sanitation department. The purpose of this exercise was to map out the perceptions, perspectives, practices and priorities of the key stakeholders from the line department.
Field consultations entailed visits to selected Gram Panchayats (GPs) in the sample districts in each state. These districts were selected through a purposive sampling method and care was taken to ensure that they represented the overall scenario of the state in terms of water availability, sanitation practices, socio-cultural and economic milieu, etc.
Field visits to GPs involved interactions and interviews with PRI members and focus group discussions (FGDs) with community members, particularly women, and their self-help groups (SHGs), as end users of water supply and sanitation services. The purpose of this exercise was to map out the implementation challenges on the ground in ensuring equitable and sustainable water supply and sanitation services. This exercise yielded valuable information, ideas, and insights into sector capacities and constraints at the cutting edge level in providing the services.
This consultation also involved brainstorming for identifying the various elements of a sound strategy to ensure equitable and sustainable water supply to people in the light of available experiences and ground realities, specifically to address already identified concerns.
Table 2.1: State-wise Details of Interviews & Field Consultations
|Assam |Bihar |Jharkhand |Uttar Pradesh |
|State Level Consultations |
|Participants: |Participants: |Participants: |Participants: |
|Chief Engineer, PHED |State Level Project Management |Additional Chief Secretary, DWSD |Chief Engineer, Jal Nigam (Water |
|Mission Director, SWSM |Unit |Engineer-in-Chief, DWSD |Supply Corporation), |
|Director, WSSO, |Bihar Rajya Jal Parishad |Mission Director, SWSM |Mission Director, SWSM |
|Executive Engineers, PHED |Officials of State Water & |Director, WSSO, |Director, WSSO, |
|WASH Specialist, UNICEF |Sanitation Mission |Executive Engineers, DWSD |Executive Engineers, Jal Nigam |
| |Officials of Panchayati Raj at |WASH Specialist, UNICEF | |
| |state level | | |
| |Officials of Public Health | | |
| |Department | | |
| |Officials of Department of PHED | | |
|Field Consultations |
|Participants: |Participants: |Participants: |Participants: |
|Individuals, Womens’ groups, |Panchayati Raj/Village |Individuals, Womens’ groups, |District collectors, Chief and |
|representatives from District |Councillors, Non Government |representatives from District |District Development Officers, |
|Project Management Unit (DPMU), |Organisations/Civil Society, |Project Management Unit (DPMU), |Jal Nigam engineers, District |
|Gram Panchayat level water and |Community, |Gram Panchayat level water and |Panchayati Raj Officers , PRI |
|Sanitation Committee (GPWSC) / |Households from 10 GPs |Sanitation Committee (GPWSC) / |members community members, |
|VWSC, |Spread across 4 districts |VWSC, |particularly women, and their |
|Scheme level user Committee |(Begusarai, Purnia, Patna and |Support Organizations |self-help groups (SHGs), as end |
|(SLUC) / User committee, Support |Banka.) |Location: |users of water supply and |
|Organizations | |60Villages spread across 30 GPs |sanitation services. |
|Location: | |in 5 districts (East Singhbhum, |Location: |
|54Villages spread across 40 GPs | |Khunti |20 GPs spread across 5 districts |
|in 7 districts (Kamrup, Sibsagar,| |Saraikela Kharsawan, Garhwa |(Shrawasti, Kushinagar, Kaushambi|
|Jorhat, Sonitpur, Morigaon, | |and Dumka) |Chandauli and Faizabad) |
|Bongaigaon and | | | |
|Hailakandi) | | | |
The methodological framework for the social assessment followed the simple flow:
[pic]
2 Database for Secondary Information Review
The secondary information review in the four states entailed a review of official documents comprising reports, implementation plans, statistical data, on-line information published on government web-sites, magazine articles, newspaper reports, etc. The summary of the documents reviewed in the four states is presented below.
Table 2.2: State-wise Secondary Information Database
|Assam |Bihar |Jharkhand |Uttar Pradesh |
|Census 2001 and 2011 |Census 2011 |Census 2001 and 2011 |Progress on Drinking Water and Sanitation: |
|Statistical Handbook of the |Department of Drinking |Statistical Handbook of the |2012 Update, WHO/UNICEF Joint Monitoring |
|State, 2011 |Water & Sanitation |State, 2011 |Programme for Water Supply and Sanitation |
|NRDWP Website, |Website |NRDWP Website, |Twelfth Five-Year Plan-2012-2017; Report of|
|District Topographical Maps, |UNDP Human Development |Jharkhand Development Report,2007|the Working Group on Rural Domestic Water |
|RWSSP-LIS Assam Project |Report |Encyclopædia Britannica |and Sanitation |
|Information Sheets |Bihar at Glance 2009 |Online.Encyclopædia Britannica |.in/Tables_Published/HH-|
|UNICEF. 2003. ‘Gender |Statistics of water |Inc., 2012. |series/hh_series_tables_20011.aspx |
|Mainstreaming in Water and |published by Central |IFAD/India-Jharkhand Tribal |census2011.co.in/sexratio.php |
|Sanitation’. |Water Commission in 2010 |Empowerment and Livelihood |census2011.co.in/census/state/uttar+pra|
|.in/tsc/Report/Physical/S|Annual Health Survey |Project Project Design |desh.html |
|tateWisePerAch_OnlyTSC_net.aspx?|2010-11 |Report-Appraisal- Main Report, |
|id=Home |SRS 2009 |2012 |ine-now-lowered-to-rs-28-per-day/240737-3.h|
| | | |
| |ntries/india/maoist/ |.in/tsc/Report/Physical/StateWisePer|
|untries/india/ | |The Constitution of India, DD |Ach_OnlyTSC_net.aspx?id=Home |
|Assam Development Report, | |Basu |RBI Handbook of Statistics on Indian |
|Planning Commission, 2007 | | and Economic Survey of India |
|Integrated Disease Surveillance | |tribal/2004/adivasi-jharkhand.htm|2010-11 |
|Programme Data for Assam, | |) |India Human Development Report 2011, IAMR |
|2012-13 | |Anon; Participatory Development &|and Planning Commission |
| | |Traditional Democratic |Gendering Human Development Indices: |
| | |Institution; Pearl Shramjivi |Recasting the Gender Development Index and |
| | |Unnayan, Ranchi |Gender Empowerment Measure for India, |
| | | of Women and Child Development, |
| | |hand_Fact_Sheet.pdf accessed |GOI |
| | |on February 26, 2013 |Inequality Adjusted Human Development Index|
| | |Role of Marketing in Polio |for India’s States 2011, UNDP |
| | |Eradication, Rahul Goswami |Tendulkar Committee Report 2009 |
| | |UNICEF. 2003. ‘Gender |
| | |Mainstreaming in Water and |nal-poverty-index/mpi-data-methodology |
| | |Sanitation’. |India State Hunger Index 2009, IFPRI |
| | | |Business Standard, Lucknow January 06, 2012|
| | |Integrated Disease Surveillance | |
| | |Programme Data for Jharkhand, | |
| | |2012 | |
stakeholder analysis
1 Introduction
The States’ water and sanitation projects implemented under various programs over the last few decades have been mostly supply driven without any community participation. The water supply projects have been focused on covering more and more villages, mainly through hand pumps. The efforts on sanitation have been restricted only to build latrines without considering the availability of water supply in the toilets. Schools too have been provided with latrines, without regular water supply provision. This supply driven approach has focused more on technical outputs and achieving targets with very little attention given to sustainability. Further, lack of maintenance of these installations has resulted in complete discard of the systems after few years. Thus, to ensure the longevity of structures build under water and sanitation project, involvement of the stakeholders is essential at all stages of project cycle. Keeping the previous externally aided project experiences in mind, it was felt that an all-inclusive stakeholder consultation, participation and involvement in the project are a significant necessity. A detailed stakeholder consultation and analysis was carried out as an important component of this Social Assessment study with the objectives to support the project in evolving an effective project implementation plan and strategy and the requirements for capacity building and developing appropriate IEC materials. These consultations were carried out with various stakeholders at Village, Block, District and State level both with government officials as well as civil society organisations.
2 Key Stakeholders
A comprehensive mapping of the key stakeholders in the planning and provision of rural water supply and sanitation (RWSS) services was carried out as the basis for the stakeholder analyses undertaken as a part of the study. This also entailed an analysis of the differential roles, responsibilities, needs, challenges and expectations of the stakeholders involved.
Communities are undeniably the primary and most important stakeholders in the provision of water supply and sanitation services. Given the current policy focus on decentralization of these services, Panchayati Raj Institutions (PRIs), particularly Gram Panchayats (GPs) are critical stakeholders who are supposed to be actively involved in the planning and management of these services. Water Supply and Sanitation Schemes run by Technical Engineering Departments such as; PHED in Assam and Bihar; DWSD in Jharkhand; and UP Jal Nigam a statutory Board in UP, are being transferred to the GPs for operation and maintenance.
Currently, the Technical Engineering Departments of the four states are responsible for rural water supply activities and are the most important stakeholders on the government side, as they have been mandated to plan, design and build the schemes all these years and carry the required technical expertise to do this.
State Water and Sanitation Mission (SWSM) has been implementing Swajaldhara schemes in the state since its inception in 2002. Water and Sanitation Support Organization (WSSO) is responsible for the Information Education Communication (IEC) activities and water quality monitoring aspects related to these services.
NGOs functioning as support organizations for facilitating the critical interface between community and the government in the context of Sector Reform projects of Government of India have been responsible for community mobilization and their participation in planning and implementation of these schemes.
Panchayati Raj Department in the state is responsible for implementing Nirmal Bharat Abhiyan (NBA), the Government of India’s national sanitation programme.
As identified from preliminary research and reconnaissance, the key or direct stakeholders are as follows:
1. Scheme beneficiaries being partners in the development and management – water supply, usage and its management.
2. Gram Panchayat representatives as well as officials as they will have to shoulder responsibility for the construction of civil works and subsequently undertake the O&M.
3. User Committee viz., VWSCs, to function as a sub-committee of GP.
4. Public Sector Agencies (PSA) --PHED/DWSD/UP Jal Nigam – have to prepare themselves for a change in their role, from being a ‘provider’ to ‘facilitator’.
5. Women and Self Help Groups being household water managers.
6. Poor and other vulnerable households, fear of being excluded.
7. Health Personnel like ICDS workers, ASHA and ANM being co-actors in mitigating the issue of ill health resulting from water and sanitation inadequacies.
The indirect stakeholders will comprise the Teachers & NGOs, Bankers, Traders, related health professionals.
3 Stakeholders Analysis
Different stakeholders are driven by their varying interests, which are often short term and do not result in the common good of people’s access to improved quality of services. Investments do not lead to expected returns, as a large number of schemes end up being dysfunctional and abandoned for lack of ownership and resources to run the schemes constructed. In this context, a stakeholder analysis helps to gauge stakeholders ‘expectations along with issues and concerns. Results of such an analysis is presented in Table 4.1.
Table 3.1:Key Stakeholders ‘Expectations and their Issues and Concerns
|Key Stakeholders |Expectations |Issues/Concerns |
|Scheme beneficiaries |Good quality water. |People are sceptical about the service delivery. |
|Households expected to benefit|Availability in adequate quantity. |People are not willing to share any capital cost for piped|
|out of the project |More number of household connections. |water supply; though they are willing to pay for operation|
| |Uninterrupted service. |and maintenance once the improved services are available. |
| |Good sanitation facilities |Demand generation could be difficult |
| |Hygiene improvement |The users’ feels awareness generation on WATSAN issues is |
| |Overall health improvement |required. |
| | | |
|Women as Sub-Group |Better quality of water |Poor quality of water |
| |Enhanced quantity and equitable distribution |Low quantity of water |
| |Good capacity Over Head Service Reservoir |Limited access and Inequitable distribution of water |
| |(OHSR) |Increase in time spent in fetching water |
| |Water available at an appointed time |Poor storage capacity |
| |House service connections (HSC) |Unreliable water supply |
| |Better management and faster repairs |Continuing open defecation in the villages |
| |Provision of good quality and safe sanitary |Improper location of sanitary facilities |
| |facilities |Lack of privacy |
| |Safe disposal of wastewater |Higher Tariff |
| |Government support and subsidy |Health concerns for self and children |
| |Reduction in time spent in fetching water | |
| |Time savings and productive use of time | |
|Gram Panchayats (GPs) |Uninterrupted water supply and grater |Not aware about the new scheme details, however, ready to |
|Members of the GPWSC/JPS which|coverage. |help and intervene on any local issues and ensure |
|is responsible for handling |GPs expect to be involved in the planning, |availability of land through voluntary donations, if |
|water supply and sanitation |design and implementation of the RWSS |required. |
|issues at the GP level are |schemes. |Inadequate awareness about handing over the scheme to |
|critical stakeholders. |GPs also expect to have on-site training for |Panchayat and role of Panchayat. |
| |the operation and maintenance of the piped |The users’ feels awareness generation on WATSAN issues |
|But members of the village |RWSS schemes before they are transferred to |is required. |
|water supply and sanitation |them. Specifically, Electrician and Plumbing |This project would help bring overall development. |
|committee (VWSC), which |training and training on Maintenance of Books|Ready to help and intervene for any local issues also |
|represents the users, are |of Accounts for User Committee is urgently |ensure availability of land if required. |
|equaqlly important at the GP |required. |There is no space for keeping records at the programme |
|level as they are directly | |area User Committees does not have any office set up. All |
|responsible to the users. | |documents related to user Committee generally maintained |
| | |by PHED. |
| | |They are satisfied with PHE work and have a demand for |
| | |more water (quantity). |
| | |For any breakdown the user committee directly contacts PHE|
| | |and PHE does necessary repairing in 2 days’ time. |
| | |Training required to effectively run the user committee. |
| | |Needs extensive awareness on user committee |
| | |In case of sanitation general opinion is to get sanitation|
| | |system in a subsidized rate. |
|State Water and Sanitation |SWSM expects the SPMU to be fully equipped |Role of SWSM will need to be clearly defined and |
|Mission (SWSM) |and staffed with key professionals. |delineated within the sector space so as to minimise |
|SWSM, being an apex |SWSM/SPMU functionaries expect to be trained |overlapping of roles and responsibilities of other sector |
|institution, having a mandate |on various aspects of project planning and |institutions, mainly Executing Agencies such as; UP Jal |
|for the entire sector |management at premium training institutes in |Nigam, PHED, DWSD and WSSO. |
|throughout the state, it is a |India and abroad, besides having exposure | |
|major stakeholder at the state|visits to successful projects of a similar | |
|level. However, it is a |nature in India and outside. | |
|committee, lacks a | | |
|secretariat. | | |
|Ministry of Drinking Water and|Improved water supply and sanitation |Sustainability of the RWSS services in the selected areas |
|Sanitation (DWS) |situation in all the selected areas of the |beyond the project period. |
| |four state. |Institutional set up of the proposed project |
| |Sustenance of the operations. |Ability of people to contribute for the project |
| |Expects to provide policy based support to |Community participation |
| |project. |Cost contributions |
| |Expects to meet targets on both water and |Subsidies for latrines |
| |sanitation. | |
| |Expects to demonstrate new simple and | |
| |community friendly technologies. | |
|Technical Engineering |UPJN expects to be actively involved in |Handing over of schemes to PRI-s |
|Departments at state and |project planning and management as a major |Accountability of operation and maintenance to be vested |
|District level - UP Jal Nigam |stakeholder and not only as a technical |on GPs |
|(UPJN); PHED, Assam; PHED, |service provider for preparation of DPRs |PHED to handle major maintenance issues and provide |
|Bihar; DWSD, Jharkhand |UPJN expects its senior engineers to be |technical guidance |
| |included in the management teams at SPMU and |People do not pay any attention when PHED repairs the pipe|
| |DPMUs: and if possible, DPMUs to be headed by|later they complain. Even if the user committee is formed |
| |senior and experienced UPJN engineers. |it is usually becomes defunct when the hand holding |
| |There is an expectation of the district level|support is withdrawn. |
| |functionaries of UPJN/PHED/DWSD and PRD to |Cross Subsidy may be one solution for the poor |
| |have adequate incentives and capacities to |They prefer accountability to be on GP while the technical|
| |function as project managers on the ground. |support to be provided by the PHED. |
| |Intensive training for EA engineers | |
| |associated with the project in participatory | |
| |methodologies, community mobilisation tools | |
| |and techniques, community based demand | |
| |responsive RWSS services and supportive | |
| |supervision. | |
|PHED Grassroots Officers |The project will solve the local water |People do not pay any attention during the trainings |
| |crisis. |conducted by PHED on repairs and maintenance of the |
| | |infrastructure, but later they complain. |
| | |Even if the user committee is formed it usually becomes |
| | |defunct when the hand holding support is withdrawn. |
| | |Cross subsidy may be one solution for the poor |
| | |They prefer accountability to be on GP while the technical|
| | |support to be provided by the PHED. |
|Panchayati Raj Department |PRD expects to be included in the project |Convergence procedure to be streamlined through |
|(PRD) |planning and management team at SPMU and DPMU|integration and incorporation in to the Action Plan of the|
|Panchayati Raj Department is |levels. |PHED. |
|critical to the success of the|They expect to be trained in management of | |
|sanitation component of the |participatory project planning and | |
|project |management. | |
|Water and Sanitation Support |WSSO expects to get strategic support under |WSSO’s capacities are limited and need to be considerably |
|Organisation (WSSO) |the project for its internal capacity |enhanced in order to help it perform as expected. WSSO’s |
|WSSO is the biggest capacity |building to be able to anchor the capacity |capacity needs have to be assessed and addressed on a |
|building stakeholder in the |building efforts in the RWSS sector in the |regular basis. |
|sector at the state level |state. | |
|World Bank : will have a major|Expectation is to help poor rural communities|-Weak capacity in these states could impact upon the pace |
|stake in learning in its |in selected districts of all four states have|of progress as well as quality. |
|unique position as a Knowledge|inclusive and equitable access to improved | |
|Bank besides being a lending |piped water supply services. | |
|agency | | |
|Other grass root level |They expect to be immensely benefitted. |No negative impact. |
|workers, including Health, | |Huge Gap in capacity building. |
|ASHA, ICDS workers. | |Awareness campaign from door to door is required for |
| | |common people, local NGOs as well as PHED grass root |
| | |workers and social leaders. |
| | |Sustainability possible through formation of effective |
| | |user committee. PRI should have limited role. |
|SCs / STs |Good quality water. |People are not willing to share any capital cost for piped|
| |Availability in adequate quantity. |water supply; though they are willing to pay for operation|
| |More number of household connections. |and maintenance once the improved services are available. |
| |Uninterrupted service. |Inclusion in the O&M process and user committee. |
| | |Individual latrines. |
|Tribal[1] are critical |To be consulted through their traditional |Some groups (PTGs, SCs, etc.) may be excluded from the |
|stakeholders in the case of |(Pradhan) institutions as well as elected PRI|water and sanitation services. |
|Jharkhand |members in decision making, implementation |Traditional institutions of governance in tribal areas may|
| |and operation and maintenance. |be ignored. They want to be an essential part of design |
| |To be part of Village WCSC so they have their|and implementation. |
| |say as well. |Tribal rights may be ignored while designing the project |
| |Equitable rights or even preferred right over|Exclusion of tribal, PTGs, SCs and other marginalized |
| |water while planning water supply systems. |sections in project related decision making. |
| |To work in the projects initiated in their |Limited access to services |
| |panchayat or village. |Limited technical and managerial skills |
| |To receive training as plumbers and masons. |Exploitative practices and dominance of rich and forward |
| |Government should protect their interests in |communities. |
| |all aspects of Water and Sanitation as they | |
| |are very poor. | |
| |They want their requirements, needs and | |
| |preferences be taking into account while | |
| |designing the systems. | |
| |They look forward to get some work in the | |
| |sub-project either as skilled or unskilled | |
| |labour | |
| |They want to be trained in activities related| |
| |to the operation and maintenance of water | |
| |supply and sanitation facilities. | |
| |They want some petty works be given to them | |
| |as contracts. | |
|Self Help Group (SHG) |Supply of good quality water in sufficient |Presently having limited access and needs awareness |
| |quality. |generation and advocacy for demanding services. |
| | |Capacity building on management of water supply schemes |
| | |for effective contribution. |
|Other Departments |The ICDS functionaries too wants to |Project institution and implementation arrangements. |
| |participate in the project at Gram Panchayat |Funds for participation |
| |and District level. |Coordination at secretary level. |
| |The Education Department wants to participate|Skilled personnel for participation. |
| |in the project by engaging their District | |
| |Literacy Officers in the campaigns for | |
| |sanitation promotion. | |
| |The Tribal Welfare Department, of Jharkhand | |
| |wants to participate in the project in areas | |
| |where there is substantial tribal population | |
| |and try convergence of their programs. | |
| |The Ground Water Department wants to | |
| |participate in the project for measuring | |
| |water levels and water quality in the project| |
| |villages on a regular basis. | |
Further, the stakeholders’ analysis also led to the identification of key strengths which would facilitate the smooth implementation of the project in the four states and some critical weaknesses which needed to be overcome. The key strengths and weaknesses have been summarized below:
2 Key strengths
← All the states are endowed substantially with a good degree of technical capacity.
← External bi- and multi-lateral agencies are also working in these states.
← Major livelihood programs from other major financing agencies as well as NGOs and SHGs are currently under progress. J
← Legislative back up provisions are available to enable decentralization.
← Ministry of Drinking Water and Sanitation at the national level is keen on effecting reforms in the sector.
3 Key weaknesses
← The current institutional structure of the SWSM does not fully subscribe to the principles of the demand driven approach that the state is contemplating to scale up.
← At present, the management is driven entirely by top-down approaches by technical bureaucracy without any scope for community participation.
← Decision making is highly centralized and PRIs have little say in decision making. Devolution of powers to Zilla Parishad and Panchayat has not happened as desired.
← Further to this, it was also seen that DWSM consultants are not placed at DWSC/DWSM level which is hindering the soft component / IEC activities under the project (NRDWP & NBA)
← Lack of coordination between the mechanical and civil wings at district and sub-divisional level; this generally end up resulting delay in project delivery.
← VWSCs/GPWSC are not formed thus, involvement of panchayats remains limited in planning, implementation, operation & maintenance of the schemes.
← Presently, all four states are mostly covered by hand pumps and very less number of completed schemes is available.
← Currently under the World Bank program, the state is planning an extensive network of rural water supply infrastructure mostly piped water scheme and up to 10 meter Household connection. However, availability of electricity and undulating terrain remains a concern towards fulfilling this desire.
← The Village Health Nutrition and Sanitation Committees formed under NRHM do not have the mandate of looking at issues related to water thus, are not in a position to take up the responsibility of O&M.
← Convergence of RWSS with other programmes like MGNREGS, NRHM of the Panchayat and Rural Development Department and Health Department respectively, is inadequate.
4 Public Consultations
The development of the SMF is based on a consultative process that engaged key stakeholders at the national, state, and local levels and sought their feedback. Key government agencies have been consulted at the various levels to obtain their consent on the SMF in general and specially on the tribal development plan in case of Jharkhand. Representatives of the State Nodal Agencies facilitated the public consultation meetings.
Public Consultations were concluded by the SA teams in all four states during the assessment study. The consultations were held in few selected villages of the state which will be covered under the project. These consultations were attended by representatives of Key stakeholders from different levels, national, state, district and villages. Based on the same, implications, both positive and negative, were duly disclosed to all the members present at the time of consultation. After the disclosure, discussions were held on the key existing issues related to Rural Water Supply and Sanitation. Anticipated impacts of the project under the World Bank funded schemes were noted from the discussions. The following issues have emerged during the consultations held in the villages, the various village level consultation/ disclosure workshops and the state level consultation/ disclosure workshop.
• There were enquiries as to how the GPs will be prioritized to take up sub-projects. Villagers were curious to know how the project would prioritize the GPs for implementation.
• There were complaints of frequent drying up of groundwater sources due to shallow bore wells.
• There were requests that the water supply systems be built in a robust manner; as the villagers have apprehensions based on their experiences of Over Head Service Reservoirs (OHSR) leaking, pipes being buried at shallow depths and thereby leaking and bursting, frequently burning motors, etc.
• People were complaining of wastage of water from public taps during supply hours as there were no taps or valves to control the flow.
• Villagers were complaining of irregular cleaning of OHSRs.
• There were complaints that chlorination of water is not done though the systems have provision for chlorination.
• There were requests that the drainage systems be built-in a technically correct manner as their experience shows that the flow is not proper and accumulation of wastewater at different places in the system.
• Villagers apprehend that the subsidy for building latrines may not reach the real BPL and the needy households.
• The villagers as well as the tribals[2] apprehend that the VWSC may be dominated by the rich, powerful and forward community members and may serve only their interests.
• The villagers apprehend that improper siting of facilities could lead to inter-village/ inter-community conflicts and may vitiate the village atmosphere.
• During the discussion it was noticed that the villagers in general have some kind of low awareness about sanitation, but are not adequately motivated to practice. This is not on the top of their agenda.
• Presently in the villages, there is no convergence of activities related to water, sanitation, health, hygiene, nutrition, education, etc. Villagers request such convergence to save their time.
• Presently in most villages, the VWSC/GPWSC is not actively functional.
ISSUES, iMPACTS, risks and assumptions
This chapter summarizes issues identified during the social assessment and elaborates on the anticipated impacts and the associated risks and assumptions.
1 Issues
1 Top Down Approach
Currently, top-down supply driven approach is followed in planning, implementing and operation and maintenance of the schemes. Thus, PHED is totally responsible for service delivery. Though, there is initiation of devolution of power to ZP and GP but it has not happened due to issues in capacity of PRIs and also lack of supervision from PHED. Public sector agencies (PSA) are at the helm of the affairs, with full control over resources and decision making.
2 Organization Structure for Service Delivery
PSA’s organizational set up flows down mostly only up to district level. . The activities at Block and GP level too are managed by the district offices.
3 Staff Strength and internal Coordination
Significant shortage of manpower was observed at the level of Assistant Engineers, Junior Engineers, Pipe Inspectors, Khalasi, Plumber, Mistry and Operators affecting project formulation, implementation, monitoring and repair of schemes in almost all the states. The field level staff, who interface with the communities are not oriented systematically for effecting consumer oriented service delivery. augmentation of soft skills for better service delivery could be adopted.
Mechanical and civil are the major wings providing technical service. Construction is being taken up by the civil wing while Mechanical wing looks after operations like getting electricity connection and operation of machines. Both wings are headed by technically expert groups however, lack of coordination is quite common among them at district and sub-divisional level which generally leads to delay in project delivery.
4 Ineffective village level user organizations- VWSCs
Formal provisions are available for mobilizing local communities into user groups i.e., VWSCs, But in many cases, they are either not existing or non-functional. In Assam, there are different user groups but with no legitimacy from the concerned department. In Jharkhand, PRIs are in their infancy as the elections were held for the first time in 2010. Thus PRIs, and in turn, communities lack technical capacity. This situation renders limited participation of the local communities in planning, implementation, operation & maintenance of the schemes. Very few schemes have been devolved to panchayats. It was also observed that gram panchayats are not adequately equipped with requisite resources to handle Operation & Maintenance of the schemes.
5 Inclusion
Since a Panchayat is quite large and spread out comprising as many as 11 to 12 habitations. Hence, one single user group at the level of GP does not suffice in providing for due representation to all the habitations. Moreover, all the households are clustered according to the caste. Many a times the core village (i.e the panchayat village) is dominated by economically sound section of the society and the distance village which is majorly dominated by poor families and Maha-dalits lacks infrastructure facility related to water and sanitation. Thus, elite capture and exclusion are quite common.
6 Weak PRIs
Though the PRIs have been given mandate of operation of water supply (hand pumps) and sanitation but no funds are made available to them to discharge this responsibility. Too much politics and casteism involved as Mukhiya or a member of the dominant caste (powerful) decides who will get what benefit. Participation by women, in general, and even women representatives of PRI, is quite low. .
7 Poor Supply of Power
Supply of water depends on the availability and quality of electricity in the villages, though more than 90 percent of the households were found having electric connection in their household (mostly illegal connections) however, electric supply was found very erratic in covered villages. Due to irregular electric connection operation of water pumps and supply remains stalled. It could be seen that water comes to many of the PWS villages once in a week. This has serious implications on enhancing coverage viz., generating a demand for pipe water supplies which invariably require for pumping.
8 Low Coverage of safe Drinking Water & Latrine
At present most households depend upon hand pumps for water. Not only , it is time consuming but also results in serious drudgery for women and children. Above all, water availability is quite low.. A significant number of households (for example in Bihar -82.6%) using hand pump spend 1 to 2 hrs daily for collecting water for various household purposes such as drinking, cooking, cleaning, washing & bathing purposes. As against a required 50 Further, latrine coverage is very inadequate- only 17.5 percent of contacted households had individual household latrine in sampled GPs. Dispensation of subsidy for household latrine has been a subject of serious debate and discussions thoruhgout all the states.
9 Usage of latrine
During Participatory Rural Appraisal, it was reported that despite having toilets in some of the houses, the males are still practicing open defecation. They think that productivity of land will reduce if they do not use their own agricultural land for open defecation.
2 Impacts
During the consultations and focus group discussions in the villages, the stakeholders perceived that the project may not have sizeable negative impacts on them due to the nature, type and size of the works. However, the following social impacts, both positive and negative, could possibly arise if the project is not managed as planned. The project impacts are listed below in Table 5.1:
Table 4.1: Project Impacts
|Stakeholder Groups |Positive Impacts |Negative Impacts |
|Women as Sub-group |Availability of quality water for a duration required and at a time|Health Hazards, due to stagnation of water |
| |wanted by all |leading to mosquito breeding and public health |
| |Reduced drudgery of carrying water from long distances |problems |
| |Reduced disease burden due to reduction in water borne and water |Spread of AIDS at construction sites |
| |related diseases |Surface water pollution and groundwater |
| |Reduced health expenses and thereby savings |pollution |
| |Productive use of time |Higher Tariffs |
| |Less suffering during monsoons and adverse climatic conditions |Control by Male members of the VWSC/ GP |
| |Improved safety | |
| |Opportunities for social interaction | |
| |Improvements in quality of life and dignity | |
|All Users |Availability of quality water for a duration required and at a time|Health Hazards, due to stagnation of water |
| |wanted by all |leading to mosquito breeding and public health |
| |Health and Environmental improvements |problems |
| |Reduced health expenses and thereby savings | |
| |Productive use of time |Surface water pollution and groundwater |
| |Improvements in income patterns |pollution |
| |Reduced nuisance of open defecation due to increased coverage of |Higher Tariffs |
| |individual sanitary latrines |Social issues such as, social disruption in the|
| |Less suffering during monsoons and adverse climatic conditions |area of construction, social unrest issues on |
| |Improved public safety |construction sites and regional labour issues |
| |Better infrastructure facilities | |
| |Improved access to services | |
| |Opportunities for social interaction | |
| |Improved community participation and sense of ownership | |
| |Capacity Building | |
| |Improvements in quality of life and human dignity | |
|VWSC Members |Increase in the number of members |Chances of VWSC overruling the villagers needs |
| |Representation of all section of people in the VWSC |and views of the villagers |
| |Timely and regular meeting of VWSCs |VWSC might become another bureaucratic setup |
| |Well defined norms and procedures for empowering VWSC |for the villagers |
| |Increase in the level of involvement of VWSC members for generating|VWSC might overlook PRI and may land in |
| |10% contribution (financial & non-financial) from villagers |troubles |
| |Active involvement of VWSC members in community mobilization for | |
| |operation & maintenance of water and sanitation systems | |
| |Reduced incidence of conflicts over the distribution and use of | |
| |water | |
| |Well maintained records and books related to accounts | |
| |Reduced influence or control by the rich and powerful | |
|Scheduled Tribes and |Availability of quality water for a duration required and at a time|Higher Tariffs |
|Scheduled Castes |wanted by all |Control by rich and forward caste members of |
|Groups |Scope for having water points near their houses |the VWSC/ GP |
| |Reduced drudgery of carrying water from long distances | |
| |Reduced disease burden due to reduction in water borne and water | |
| |related diseases | |
| |Reduced health expenses and thereby savings | |
| |Productive use of time | |
| |Less suffering during monsoons and adverse climatic conditions | |
| |Improved safety | |
| |Opportunities for social interaction | |
| |Capacity building | |
| |Improvements in quality of life and dignity | |
|Gram Panchayat |Opportunity for provision of reliable water and sanitation services|Inability to maintain the schemes due to poor |
| |Winning the confidence of the people |technical and financial position |
| |Scope for capacity building |Contributions may not come up |
| |Scope for revenue generation |Threat of VWSC sidelining the PRI |
| |Opportunity to handle finances |Competition with SHGs and CBOs |
| | |Possibility of water and sanitation revenue |
| | |being used for other purposes |
|Zilla Panchayat |Opportunity for provision of reliable water and sanitation services|Limited functional devolution - dependent on |
| |Winning the confidence of the people |PHED/ DWSD/ UPJN in many aspects |
| |Scope for capacity building |PHED/ DWSD/ UPJN might focus on GPs and VWSCs |
| |Scope for revenue generation |GPs and VWSCs may side line GP |
| |Opportunity to handle finances |MVS may become a maintenance problem |
| |Financial support from project |Conflicts may arise within MVS villages |
| |Can Complete the district sanitation agenda through the project | |
| |Expects to realize district water and sanitation targets and goals | |
| |through project | |
|JE/ AE, PHED/ DWSD/ |Opportunity to provide water and sanitation services to rural areas|May get side lined with the induction of |
|UPJN |Opportunities for skill development and capacity improvement |consultants at every stage |
| | |Unable to collect community contributions |
|EE/ SE, PHED/ DWSD/ |Opportunity to prepare projects in a technologically sound manner |Institutional set up new but yet procedural |
|UPJN |Opportunities for skill development and capacity improvements |Political pressure in selection and |
| |Increase in financial powers |implementation |
|CE/ EiC, PHED/ DWSD/ |Opportunity to prepare projects in a technologically sound manner |Project funds may not suffice to cover all Not |
|UPJN |Opportunities for skill development and capacity improvements |Covered villages and villages with quality |
| |Increase in financial powers |problems. |
| |Project funds for complete augmentation or new water and sanitation|Failure of sources to provide water due to |
| |systems |recurrent drought conditions |
| | |Political Pressure |
|SWSM |Sustainable water and sanitation operations |SWSM may have only a minor role to play. |
| |Policies benefiting people can be made |PHED/ DWSD/ UPJN may dominate and sideline SWSM|
| |Meet all state water and sanitation goals |Community participation may not be effective |
| |Demonstrate new simple and community friendly technologies |Subsidies for latrines may result in unused |
| | |latrines |
|Contractors |Early and timely start of projects |Improper procurement systems |
| |Price escalation clauses in the contracts |Delay in payments |
| |Community cooperating in the villages |Delays in land procurement |
| |Land procured before project start |Low Profit margins |
| |Timely payments and reasonable profit margins |Skilled labour unavailable |
| | |Interference from community |
|Labourers/ Daily Wage|Employment Opportunities during implementation and sometimes during|Migrant labour brought in by the contractors |
|Earners |maintenance. |Possibility of contacting AIDS |
| |Likely Increased wages |Clashes and social unrest |
| |Opportunities for working with skilled persons and learning new |Possibility of using child labour |
| |skills |Possibility of not paying equal wages to women |
| |Likely equal wages for women | |
|Local Skilled Labour/|Employment Opportunities during implementation and sometimes during|Migrant labour brought in by the contractors |
|Tradesmen |maintenance. |Possibility of contacting AIDS |
| |Likely Increased wages |Clashes and social unrest |
| |Likely equal wages for women |Possibility of not paying equal wages to women |
|Other Departments |Opportunity to participate in the water, sanitation, health and |Funds may not be transferred |
| |hygiene related activities of the project. |Differences with PHED/ DWSD/ UPJN |
| |Funds from project | |
| |Capacity building of personnel | |
3 Risks
▪ The project may not get support from the beneficiaries (especially from poor and backward communities) if proper measures are not initiated towards capital cost contributions.
▪ The project may face conflict between those who take up house service connection and those who depend on public stand posts, if equity and inclusion issues are not addressed during the design stage.
▪ The project may face strong opposition from those who in elevated areas in the villages with the fear that they may not get enough water with proper pressure.
▪ The project may face serious objections from the villagers if the petty works are not given to the village contractors/ institutions
▪ The operation and maintenance may land in difficulties, if the operation and maintenance is given to outside private contractors, instead of local organizations/ contractors.
▪ The project may face opposition from interest groups if the project tries to fill up the VWSC with influential people instead of including representatives from all sections of the village.
▪ The project may not achieve its objectives within the stipulated time period if more time is consumed in redefining systems and addressing policy level issues for effective convergence of various government departments.
▪ The wastewater generated due to good water supply can cause environmental pollution if not tackled early and properly.
▪ The leech pit toilets can cause groundwater contamination, if proper measures are not taken to prevent this.
4 Assumptions
▪ It is assumed that safe and sustainable sources will be identified for sustainable water supply, but in practice it is very difficult to find safe and sustainable sources, unless measures are taken to prevent and avoid over exploitation of these sources.
▪ It is assumed that villagers in quality affected villages will use the treated water, but they may go back to their old sources if supply fails.
▪ It is assumed that the land is procured within reasonable time, but it may get delayed thereby delaying the project implementation process if the land is not procured on time.
▪ It is assumed that the VWSC will initiate measures towards prevention of open defecation, but the villagers may not obey these measures, if the VWSC does not gain their confidence.
Social Management Framework
1 Social Management Action Plan
Project interventions promise a huge potential for positive health and environmental as well as social benefits through supply of 'safe' drinking water and creation of sanitary conditions in the village. However, given the extensive diverse conditions –physical as well as socio-economic and cultural – it will be a challenge to translate the potential into reality. Success of the project depends upon the project’s efforts at mobilizing local communities to participate in the development of water supply and sanitation facilities and enable them shoulder responsibility for the operation and maintenance and derive benefits on a sustained basis. The communities, however, are quite diverse in many ways – social (scheduled castes, others), economic (landless, small, marginal, and large farmers), ethnic (scheduled tribe, others), gender (female headed households) and geographical setting (hills, plains, forests, flood prone). A good number of regions are also suffering from poor water quality due to high content of fluoride, arsenic iron and other minerals which compels searching for water from long distances. Gram Panchayats, local self-governments, are still in their infancy. Added to these are other dimensions such as those areas characteristically Conflict Affected, infested by Naxalites and other Extremist Groups, rendering accessibility highly difficult. Additionally, WATSAN sector mainly rests with the Government Departments who have been traditionally following top-down and hierarchical decision making with hardly any accountability to the communities.
Given this setting, the project identifies the following as key social development issues:
• participation;
• ensuring inclusion and enhancing equity;
• decentralizing service delivery underpinned by the principle of subsidiarity;
• customer base and demand generation – marketing the program and deriving home the health and hygiene benefits; and
• human and institutional development.
The other important issues are enabling participation, especially of women; GP Strengthening; change management initiatives for changing the role of Government from ‘provider’ to a ‘facilitator’ to ensure; improving accountability and transparency; and information, education and communication (IEC) campaign along with capacity building programs. The project will need to not only build the capacity of, but also provide capacity support to, the participating communities, local self -governments and strengthen the existing and/or new institutions at the grassroots level to enable local communities participate in planning and construction of rural water supply and sanitation facilities and subsequently operate and maintain the systems on their own. Besides these key issues, there are many others specific to each state. Additionally, the issues identified in each state have also helped in enlisting certain principles which should underpin the project management. Operationalizing these elements forms the purview of the SMAP. Further, given that each state is distinctly unique, and for the purpose of operational convenience, management measures are presented separately for each state.
Key Elements: The following key Community Driven Development (CDD) principles are being operationalized as a part of the Social Management Action Plan:
|Autonomy, Decentralization and Subsidiarity |Gender mainstreaming |
|Governance, Accountability and Transparency |Capacity support and capacity building |
|Self-Selection and demand driven |Securing lands |
|Participation, Inclusion and Equity |Tribal Development |
|Cohesion and security |Information, Education and Communication |
The design elements and approach attempt addressing significant project issues. While the project recognizes that each state is unique and would require different approach/ methods, for addressing these issues, a common framework would serve as an over-arching guidance-contrivance. Hence, further presentations are under two different heads: one, Common Management Framework; and two, State-Specific Management Action Plans.
2 Common Management Framework
1 Management Unit
The villages in these states are heterogeneous both in terms of settlement pattern as well as socio-economic and cultural aspects. First, in some cases, the villages are nucleated in the sense that there is close aggregation or crowding of the houses. In some other cases, the village is quite wide spread where the hamlets are spread out, one of them being the central or core village. The tribal villages are more scattered and the terrain is most often undulated. This feature of physical distance has implication of coverage of the water supply and sanitation provision. Second, the villagers are not only divided on caste basis (Forward Castes, Other Backward Castes, Scheduled Castes and Scheduled Tribes) but they also live maintaining social distance and identity of the group. Often times, the social and physical distance go together, particularly in case of SCs and STs, who generally live away from others. This feature has implication not only physical coverage but also equity, participation in decision making by way of representation, articulating their fears and concerns or their points of view and maintenance of the program. Hence depending upon the location, settlement pattern, demography, and socio-economic and cultural composition, decision has to be taken on the Unit of Management. In general, it is advised to consider a ‘habitation’ as a Primary Management Unit.
2 Inclusion and Equity
Selection of villages for sub-projects is the major issues before the project. The selection has to be in such a way that the un-served are served and the most marginalized population gets the maximum benefit out of the investments proposed under the project. Keeping this in view, criteria for prioritization in the selection of a village selection has been agreed. The criteria chiefly relate to quantity, quality and pipe water coverage.
• Quantity: The project will prioritize the implementation of sub-projects on need basis. The NC category will be given first priority and the NSS category second priority. PC habitation will be the next priority. Improvements to FC category will be the last priority.
• Quality: The villages which have quality problems such as Brackish, Fluoride, etc. need to be given preference. For these villages more time need to be allotted for investigations and design. It would be better if few pilots are taken up in these villages to test the technology that is going to be used.
• PWS Coverage: As the project’s key purpose is to increase pipe water coverage, the villages with high hand pump coverage will get a priority.
3 Participation
The biggest challenge before the project is, how to include and equitably benefit the most marginalized sections of the populations (belonging to diverse socio-economic background e.g. ST, SC, landless, women, poor, the un-served, etc.) in the sub-project. The project will mobilize households for group action through a Village Water and Sanitation Committees (VWSC) at the GP level. There will be participation of all SC, ST, Women, poor, etc. in the VWSC through membership. They will not only have control over resources but also in decision making. Participation of STs in the Scheduled Areas will be in accordance with the constitutional provision and that of PESA. All VWSCs will be constituted as a sub-committee of the respective GP to ensure legitimacy and enable draw upon other resources.
4 Autonomy
The project adopts self-selection and a demand driven approach duly giving autonomy to the GPs. Each habitation/ village can express an interest in participating in the project through GP. Each such expression shall be associated with an undertaking thereby agreeing to adopt the project’s rules of engagement including contributing to capital costs and operation and maintenance.
5 Decentralization and Subsidiarity
Project’s strategy is chiefly underpinned by decentralization, both in governance and operations. The basic idea behind this is to adopt a need based implementation mechanism instead of going for a top-down approach of implementing a project. The project proposes initiating a bottom-up planning process. The whole idea in this is to first start with village level planning. These village level plans will be scrutinized by the DPMU and will be sent for approval to SPMU. As a result of this bottom-up planning process, the exact needs of people can be identified based on which the project can plan appropriate initiatives to fulfil those needs. Under the project the GPs will have complete control and independence in decision making in case of SVS. In case of MVS, adopting the principle of subsidiarity, the ZP/ DWSM will have control over the common facilities of the MVS and the GP/ VWSCs will have control over the inter GP facilities. ZP/DWSM will give technical advice to the GPs with regard to planning, implementation and O&M.
6 Effective Governance and Management
The project’s management structure has been designed such as to bifurcate the functions governance distinctly different from that of operations. A three tier project operational structure viz. State level, District level, and Village level has been proposed for project implementation.[3] In order to separate the governance function form the operation function, the State Water and Sanitation Mission (SWSM) and District Water and Sanitation Mission (DWSM) established at state/ district level, comprising representatives from government, non-government and PRI institutions, will function as apex bodies, with a Project Management Unit (PMU) attached to them, comprising staff drawn from government and market, will serve as a secretariat for them. The regular department will shoulder operational responsibilities. Similarly, at the village level, while GP will be over-see the entire service delivery, VWSCs will undertake operations. This functional separation will aid in effective governance and management. These apart, Support Organizatins (SO)- design consultants, NGOs, SHGs, chartered accountants – will also be deployed to provide capacity support to VWSCs and DPMUs. Role and responsibility of different partners are detailed in a specially prepared Scheme Cycle.
Table 5.1: Scheme Cycle[4]
|S. No. |Activity |Social Management Actions |Responsibility |
| | | | |
|I |SVS Schemes | | |
|A |Pre-planning phase | | |
|1 |Project kicks off- curtain raiser- with a | |DWSM/ DPMU |
| |district workshop |District wide IEC campaign launched | |
|2 |Selection of Service Agency/Consultant for |Orientation of GP/Villages |DWSM/ DPMU |
| |initial IEC and Support Organisation (SO) | | |
| |in the Program villages | | |
|3 |Village level IEC campaign |Door-to-door/ Ward/ Village/ GP level campaigns on |GP/ SO |
| | |water and sanitation | |
|4 |Resolving to participate |GP passes resolution and expresses interest to |GP/ SO |
| | |participate in the project | |
|5 |Selecting GP/ Villages |Prioritization based on selection criteria done |DWSM/DPMU |
|6 |GP/ Village selected |GP/ villages are informed of the selection |DWSM/DPMU |
| | | | |
|B |Planning phase | | |
|1 |Identification of user groups and |Motivation and Awareness to ensure inclusion |SO |
| |formation-cum-constitution of the VWSC | | |
|2 |GP resolution recognizing VWSC/ HWSC |Meeting of VWSC/ HWSC |ZP/DPMU/ DWSM, SO, |
| | | |GP/VWSC |
|3 |Capacity building of GPs/ VWSC/ HWSC |Orientation, training and capacity building of GP/VWSC|ZP/DPMU/ DWSM, SO, |
| |members |supported by Support Organizations |GP/VWSC |
|4 |Preparation of “Devolution Action Plan |Preparation of DAP, as appropriate, by GP/ Village/ |GP/ VWSC, SO |
| |(DAP) (as appropriate)” by GPs/ Villages |Habitation | |
|5 |Opening of bank account |Socio-economic Survey (socio-cultural resource mapping|SO |
| | |and infrastructural survey) for preparing | |
| | |socio-economic baseline | |
|6 |Mobilization of communities, participatory |Lane/ Ward/ Habitation/ Village/ GP Level meetings |SO, GP/VWSC |
| |planning and use of appropriate tools, |for mobilization, using PRA and documentation of these| |
| |problem investigation and analysis |activities | |
|7 |Participatory WATSAN situation analysis |Preparation WATSAN Baseline for Habitation/ Village/ |SO, GP/VWSC |
| | |GP | |
|8 |Identifying technology options, conducting |Agreement arrived at with regard to technology |ZP/DPMU/ DWSM, SO, |
| |feasibility analysis and Agree-To-Do |options, location of facilities, etc. |GP/VWSC |
| |meeting for separate user groups | | |
|9 |Tripartite MoU signed among GP, VWSC and |Redressal of objections/ complaints and considering |SO, GP/VWSC |
| |DWSM |suggestions regarding scheme interventions | |
|10 |Collecting part community contribution, |Mobilizing and sensitizing communities for |SO, GP/VWSC |
| |based on a pre-determined % |contributions | |
|11 |Preparation of Detailed Project Reports |Discussion about DPR and scheme facilities in GP/ VWSC|DWSM/ DPMU, SO, GP/VWSC |
| |(DPR)-Water supply |Meeting Gram Sabha & Zilla Parishad Approval and | |
| | |Consultation incase of Scheduled Areas | |
| | |Submission of proposal to Gram Sabha & Zilla Parishad | |
| | |Suggestions from community members incorporated when | |
| | |appropriate | |
| | |Documentation of approval | |
|12 |Obtaining technical sanction for DPR-water |Approval communicated to community members |DPMU |
| |supply | | |
|13 |Awareness on hygiene and environmental |Awareness creation activities at household/ ward level|GP/VWSC, SO |
| |sanitation | | |
|14 |Preparing Sanitation and Drainage Plans |GP/ VWSC Meetings for preparation of plans at ward |GP/VWSC, SO |
| | |level and collating them into GP/ Village/ Habitation | |
| | |plan | |
|15 |Obtaining technical sanction for Sanitation|Approval communicated to community members |DPMU |
| |and Drainage Plans | | |
| |Preparation of Community Action Plans (CAP)|GP/ VWSC Meetings for preparation of CAP at ward level|GP/VWSC, SO |
|16 |for GP/ Village/ Habitation |and collating them into GP/ Village/ Habitation plan | |
|17 |Obtaining technical sanction for CAP |Approval communicated to community members |DPMU |
|18 |Preparation of implementation phase |Agreement sighing by GP/ VWSC |ZP/DWSM/ DPMU, GP/VWSC, |
| |proposals and Implementation Phase | |SO |
| |Tripartite Agreement (IPTA) | | |
|19 |Implementation phase proposals and IPTA | | |
|C |Implementation phase (depending on the type|Monitoring by GP/VWSC |GP/VWSC, SO |
| |of technology chosen) | | |
|1 |Preparation and sale of bid documents |Preparation of bid documents and selling to interested|DPMU, SO |
| | |parties | |
|2 |Collecting balance cash contribution from |Mobilizing and sensitizing communities for |GP/VWSC, SO |
| |communities |contributions and collecting contributions | |
|3 |100% of community contribution mobilized |Mobilizing and sensitizing communities for |GP/VWSC, SO |
| | |contributions and collecting contributions | |
|4 |Signing of Memorandum of Understanding |Agreement sighing by GP/ VWSC |GP/VWSC, DPMU, Contractor|
| |(MoU) between the GPs / GPWSCs and the | | |
| |selected contractor | | |
|5 |Construction of water supply schemes, |Progress and Quality Monitoring by GP/ VWSC |GP/VWSC, DPMU, Contractor|
| |environmental sanitation works and | | |
| |catchments area protection works | | |
|6 |Periodic monitoring by VWSC / GP and RWSS |Progress and Quality Monitoring by GP/ VWSC |GP/VWSC, Contractor |
|7 |Technical approval of bills |Check appropriateness of bills and advise DPMU |GP/ VWSC |
|8 |Releasing payments to contractors |Release payments on the advice of DPMU |GP/ VWSC, DPMU |
|9 |Preparation of the Implementation Phase |GP/ Village/ Habitation level reports prepared |GP/VWSC, SO |
| |Completion Reports (IPCRs) | | |
|10 |Submitting utilization certificates |GP/ VWSC submits certificates |GP/VWSC, SO |
|11 |Commissioning of schemes |Joint Inspection done. Trail runs completed. Ensure |ZP/ DWSM/DPMU, GP/VWSC |
| | |that all components are functioning properly and | |
| | |services cover all households. | |
|12 |Water supply, drainage / sanitation |Systems functioning properly |ZP/DWSM/DPM, GP/VWSC, SO |
| |infrastructure successfully commissioned | | |
|13 |Implementation completion reports including|Scheme Evaluation (general project evaluation) |SWSM/SPM, DWSM/ DPMU |
| |statement of accounts finalized | | |
|D |Operations & maintenance phase | | |
|1 |Prepare an O&M Plan and Budget |Discussions with community members on O&M plan and |DPMU, GP/ VWSC |
| | |budget | |
|2 |Fixing user fees |Conduct GP/ VWSC meeting to fix user fees in a |GP/VWSC, DPMU |
| | |participative manner. | |
|3 |Decide on the subsidy, if need be |Proposal on subsidy will be submitted by DPMU. |DPMU, GP/VWSC, SPMU |
| | |Decision on subsidy be made by the concerned Secretary| |
| | |to the Government | |
|1 |Appointing operators / contractors |Identify and appoint contractors |GP/VWSC, DPMU |
|4 |Collecting user fees |Appointed operator/assistant collects user fees |GP/VWSC |
|5 |Facilities functioning successfully |Ensure sufficient spares are available and village |DWSM/DPM, GP/VWSC |
| | |resource persons are trained in O&M | |
|6 |Sustainability Monitoring and Evaluation |Conduct an SME exercise after three months of |DPMU, GP/ VWSC |
| | |commissioning with participation of community. | |
7 Transparency and Accountability
In order to achieve transparency and accountability, each VWSC at the sub-project level prepares Village Water & Sanitation Plan (VWSP). Implementation support for this will be provided by the Support Organizations (SO). The plan is prepared using PRA approaches. This plan will form an attachment to a Memorandum of Understanding signed by the three principal actors; VWSC, GP and ZP/ DPMU. Once approved by signatures, this will not only be the basis for implementation but also would enable comparative assessments in future. The elements of such a plan will include:
• Community Mobilization: This includes (i) Social Mobilization details relating to GVWSC formation as well as registration and opening of the bank account, and (ii) Socio-economic survey for social mapping, (iii) water sources mapping and (iv) superimposing social map on water resources map, on a topo sheet, to depict the existing situation and identity gaps (if any) and (v) computing situational index.
• Community Contribution Mobilization Plan: This details the household wise cash and labour shares
• Detailed Technical Project Report (DPR): This DPR details the choices considered and the discussions thereof as well as the cost particulars related to water supply
• Operation and Management (O&M) Plan: This includes likely staff, income and expenses for O&M.
• Sanitation and Hygiene Promotion Plan: This details the objectives, inputs, scheduling and the likely outputs. Results of the baseline Healthy Home Surveys will also be an integral part of this module.
• Women Development Initiatives (WDI): This will spell out how women have been mobilized, the process of their deciding on the choice of activities, financing mechanism, expected outputs and the NGO support.
• Environmental Management Plan: This outlines the measures to address the environmental issues including those related to sanitation.
• Capacity Building Initiatives: This will include the programs planned, class room/ lecture mode as well as field based, likely participants, scheduling, NGO support implementation arrangements, the post-implementation follow-up, etc.
• Implementation Schedule: This includes schedule for delivery of inputs and services, schedule for monitoring progress, success indicators and capacity enhancements.
• Community Monitoring: Besides implementation, benefits likely to accrue to different sub-groups as well as to the community as a whole will be monitored by the community. Simple indicators, as identified and articulated by the community themselves, will be used for the purpose.
• Mutual Obligations and Responsibilities: The obligations and responsibilities, on the part of the three signatories, GPWSC, GP and DPMU, will be detailed out in respect of each of the activity in the schemes cycle.
VWSP approved by the VWSC will be submitted to GP for further processing.
In case of MVS, it would comprise essentially two-tier setup: (i) all in-GP activities will be in the hands of the individual VWSC; and (ii) an apex body (Scheme Level Committee) comprising representatives of different VWSCs will bear the responsibility of common or inter-GP activities. These activities will be taken up by the ZP/DPMU. Alternatives towards inviting private sector participation in operation and maintenance of common facilities will be explored.
8 Capacity Support
The project has planned for provision of capacity support to the VWSCs by appointing Support Organizations (SOs). These SOs will do assist the VWSCs in VWSP preparation including community mobilization and contribution and collection. The SO will be present during the planning and implementation phase and into the initial O&M phase. The SO will assist the VWSC throughout these phases. SO provides the basic orientation and training to the VWSC and community as well on project related issues. Apart from this, DPMUs will arrange for apex level capacity building efforts such as cross visits, mass campaigns etc.
9 Capacity Building
The project has planned for various capacity building initiatives for effective implementation of the project in order to achieve the designed project outcomes. The project will take up the following capacity building measures at the community level.[5]
• Orientation and Sensitization of VWSC and other key community members about the project.
• Participatory Planning skills and ability to assess own problems and priorities
• Formation, Functioning and Management of VWSC
• Technical skills for community members in taking up operation and maintenance of water supply and sanitation systems
• Community mobilization skills for generation of community contribution
• Negotiation skills for negotiating project benefits, services and access
• Conflict Resolution skills for resolving inter and intra stakeholders’ conflicts and personal differences
• Advocacy skills for creating demand for services
The appointed SOs will provide support at village/ sub-project level on community mobilization, skill building, facilitation of linkages between community with various government departments, etc.
10 Gender Issues
The project recognizes that adequacy and accessibility of resources like water,sanitation, cooking fuel and domestic lighting are critical issues for women. The inadequacy of these sources affects women severely, mainly because women have been the primary providers of these basic needs. Low accesses to or shortage of water means women will have to walk longer to fetch water. The richer households can hire people to fetch water providing relief to their womenfolk. However, women from poorer households cannot afford such service and will be subject to severe hardships. The absence of household latrines has a gendered impact in that women are constrained to perform their ablutions at prescribed times which might affect their health adversely. Accesses to a resource without control will impact negatively on women, especially those belonging to poor and SC/ ST households, than men. The project is well aware that its successes largely depends upon women’s accesses, adequacy and control over resources, which in turn depends upon how well intra- and inter-gender issues are identified and addressed. Towards this end, as a first step, the women’s role needs to be emphasized and supported. Further, the project will ensure full participation of women in the sub-project activities at the village level and in project activities at district and state level. Capacity building initiatives will underpin gender and development as one of the major themes. To ensure effective mobilization of, and participation by women, a separate women development initiative (WDI) component has been planned. The focus would be on: (i) social mobilization and participation; (ii) skill up-gradation; and (iii) operational activities. The measures initiated are:
o One-third of the VWSC members should be women
o The support organizations appointed should deploy at least one-third women staff.
o The women committee of the GP should approve the VWSP
o The petty contracts arising out of the sub-project should considered entrusting to SHGs on community contract basis
o While selecting community members for training at leaset one-third of them should be women.
o During O&M, women groups should be considered for tariff collection, maintenance, etc.
o Gender balance shall govern recruitment of the staff from the private sector in DPMU and SPMU.
o Due representation of women shall be ensured on all governance bodies at all the levels.
o Specialized gender programs will be developed to build the capacity of all the project staff including that of the SOs.
11 Convergence
Specific emphasis has been laid in this project to achieve inter departmental coordination so that an integrated development approach can be adopted under the project by effective channelization of funds and resources. The plans that have already been made in this regard are as follows:
• Taking support of Panchayat Raj department for effective engagement of PRIs in both schedule and non-schedule areas especially in terms of mobilizing community, establishment of VWSCs, dovetailing with other activities such as NREGA, developing community level, monitoring and supervision, etc.
• Taking support of Health department for involvement their field staff in sanitation and hygiene awareness campaigns.
• Taking the support of the National Livelihood program functionaries in mobilizing people for promoting individual sanitary latrines and creating awareness about health, hygiene and nutrition.
• The project aims to channelize support from Groundwater department, Water resources department, etc.
3 Common Management Actions - Securing Lands
“No lands will be acquired/ purchased involuntarily and hence Operational Policy (OP) 4.12- Involuntary Resettlement- is not triggered. The program, however, does need lands and mechanisms of securing the same are detailed below.”
Land requirement arises for four purposes: FOR (i) water source; (ii) water treatment plants; (iii) construction of ground level or overhead tanks (G/OHT) or cisterns; and (iv) Water transmission and distribution pipelines as well as sullage/ storm water drains. Water sources could be either ground water or based on surface sources, chiefly, rivers and canals. The ground water sources do require ‘land’ and so is the case with WTPs. In the case of tanks, if they are constructed in a place other than that of the ‘source, separate land will be essential. Transmission and distribution lines are laid mostly in public land or along public streets and no land needs are to be secured. In a few cases, pipelines may have to pass through private agriculture fields. Since the pipeline are laid at least 90 cms below ground elevation, no land acquisition is needed, but permission from the land owner is taken. If such permission is not forthcoming, then alternative pipe routing is used, even if it is more expensive to do so. This means, lands are required for Sl No (i), (ii) and (iii).
When plots of lands are to be acquired for project installations, their ownership could be either public or private. While it is easier to access public land, arrangements will have to be made for securing privately owned land. The prevailing normal practice in the state is obtain such land plots either through voluntary donation or by outright purchase. The discussions with the communities and experts as well as the past experiences reveal that :most villages do have sufficient public/Panchayat lands; and (ii) in case, it becomes inevitable, the local community will secure lands either through voluntary donations or outright purchase.
1 Rules of taking possession of land
It has been agreed with the participating states that the project will not resort to any involuntary land acquisition. All donations and purchases will be voluntary. Mechanisms developed will be such as to not only ensure voluntariness, but also that it will not involve any significant adverse impacts upon incomes or physical displacement. All voluntary land transactions will meet the following criteria:
i. The land in question will be free of squatters, encroachers or other claims of encumbrances;
ii. Lands will be chosen (by the community) after ensuring that water indeed will be available in that particular piece of land;
iii. Verification of the voluntary nature of land donations in each case;
iv. Land transfers will be completed -- land title will be vested in the community (GP/VWSC) through registered sale deed or MOU;
v. Lands will not be accepted from such land owners whose holding will be less than the minimum economical viable stipulated size (2.5 acres);
vi. Not more than 10% of the total land holding will be accepted; and
vii. A provision will be made for redressal of grievances (ROG). DPMU will arrange for an examination of all land transactions by an independent agency before according the approval. Detailed record of all transactions will be maintained as per an agreed format and will form a part of the overall M&E arrangements.
4 State Specific Management Action Plans
1 Assam
Assam is often regarded as the melting pot of a large number of ethnic tribes and races. It actually has the largest number of tribes or races in the whole of India. The main communities of the region include the Aryans and the non-Aryans i.e. Mongoloids and Indo-Iranians. Apart from that, Bodos (or Kachari), Karbi, Kosh-Rajbanshi, Miri, Mishimi and Rabha are the other tribes that have been infused in the rich cultural tapestry of Assam.
In Assam three areas – Bodoland Territorial Council, Karbi Anglong Autonomous Council and Dima Hasao Autonomous District Council are under the Sixth Schedule (Article 244(2)) of the Constitution designated as Scheduled Tribal Areas. Bodoland is the gateway to the beautiful North Eastern Region of India, which was created very recently by curving out some area of eight districts of Assam namely Kokrajhar, Dhubri, Bongaigaon, Barpeta, Nalbari, Kamrup, Darang and Sonitpur within the state of Assam. However, the entire area covered under the BTC has been recognized with Kokrjhar as original district and forming other new district like Chirang, Baska and Udalguri.
Scheduled Tribe constitutes 12% in Assam. Yet, OP 4.10 is not triggered as the project villages do not have ‘tribals’. Reasons for this are explained in the paragraphs below.
Assam is blended with hills and plains. Topographically it can be divided into three distinct zones: the Brahmaputra valley or the Brahmaputra plains in the north; the Karbi Anglong and the North Cachar Hills in the middle; and the Barak valley or the Barak plain in the south. The Constitution order of 1950 was amended in 1976 wherein the Scheduled Tribes of Assam were re-categorised as Scheduled Tribes (Hills) and Scheduled Tribes (Plains).The Assam Administrative Reforms Commission report, 2005 categories the total tribal people as below:
a) ST (Plains): 2727179 (10.23% of State Population)
b) ST (Hills): 581391(2.18% of State Population)
-- ST Plains are further divided into Tea Tribes and Non-Tea Tribes.
Out of the total districts, two districts viz.Karbi Anglong and North Cachar Hills districts are hills districts. These find a place in the Sixth Schedule Areas. It is true that these two hills are predominantly inhabited by 'tribals'. These, however, are not covered by the project.
Project covers seven districts, all of which are in Plains -- Kamrup, Hailakandi, Sibsagar, Jorhat, Sonitpur, Bongaigaon, and Moraigaon. These districts do have certain 'tribal' pockets. However, when we overlay the project villages with that of these pockets, it is clear there are no 'tribals' in the project villages. Following table provides the details:
Table 5.2: Tribal areas Vs proposed Project areas
|Name of District |Project Blocks |Tribal Blocks/Belts in|% of Tribal |Name of GPs included in the |% of tribal In |
| | |the District |Population in the |project area with common areas |the project |
| | | |district |in Tribal Blocks/ |area |
| | | | |T Belts | |
|Bongaingaon |Tapatari, Srejangram, |Bijni TB |12.23 |Not included |0.0% |
| |Boitaman | | | | |
|Kamrup |Chandrapur, Dimoria |Rani-Chaygaon TBelt* |9.93 |Tetelia, |5.74% |
| | |Kherti-Sonapur TBelt | |Sonapur | |
| | |Borpathar TB** | | | |
| | |Jamadani TB | | | |
| | |BorongoniTB | | | |
| | |Changana TB | | | |
| | |Tetelia TB | | | |
| | |Gobha TB | | | |
| | |RhulaguriTB | | | |
| | |BagariguriTB | | | |
| | |Bhulukjari TB | | | |
|Sonitpur |Chaiduar, Pub Chaiduar |Gohpur TB |11.60 |Gohpur |2.34% |
| | |Balipara TBelt | | | |
|Sibsagar |Amguri, Gaurisagar |No TB |3.95 |Not Applicable |0.0% |
|Hailakandi |Hailakandi and Algapur |No TB |0.15 |Not Applicable |0.0% |
|Morigaon |Mayang, Bhurbondah |No TB |15.55 |Not Applicable |0.0% |
|Jorhat |Jorhat, Jorhat Central |No TB |12.32 |Not Applicable |0.0% |
| |and Jorhat North West | | | | |
*Tbelt: Tribal Belt, **TB: Tribal Block
A brief about the institutional and implementation arrangements as well as monitoring and evaluation design is presented in a separate chapter.
Thus, it is evident that there are no tribals in as many as 5 of the 7 project districts. In respect of the remaining two which comprise the capital of Guwahati and surroundings, a significant (if not 100%) percentage of ST population are 'urban' enmeshed fully with other sections of the society. Situation is quite complex as the areas are becoming more and more cosmopolitan, so, provisions of OP 4.10 is not relevant.
1 Management measures.
Table 5.3: Management actions are summarized in the table below.
|Issues |Mitigation Measures |
|Beneficiary preparedness |
|The beneficiaries are willing to accept the proposed piped |Since the beneficiary preparedness exists, the commissioning of the schemes |
|water schemes and are ready to pay for improved service |should be done as early as possible in ensuring water security addressing the|
|However, they seem to be less aware of the scheme details |issues of quantity quality and regularity. At the least, time frame should be|
|including site of the project and other details. |shared with the communities so as not to lose their interest and enthusiasm. |
|Communities are apprehensive about reaching piped water to |Project details to be displayed (proactive disclosure) in a permanent board |
|the farthest point |to ensure awareness of the scheme among all stakeholders. |
| | |
| |There has to be district-wide awareness, through mass communication and inter|
| |personal communication on the project benefits to create a demand in the |
| |community, particularly for pipe water household connections. |
| | |
| |Contour of the land to be considered prior to laying of pipe line. No false |
| |promises/ assurances should be made on ensuring water supply connections to |
| |each and every household. |
|Institutional preparedness |
|State level SPMU is in place but at the sub optimal |Strengthening of SPMU with engagement of staff and definition of work roles. |
|functional level. |Regular capacity building through training programmes and exposure visits. |
|PHED functionaries , although technically proficient , need |DPMU to be commissioned and made functional through engagement of specialists|
|orientation on Community Driven Development Approaches, |The existing staff in the DPMU needs to be geared towards the World Bank |
|administrative and management issues related to MVS |Project provisions. |
|District level DPMUs are yet to be commissioned | |
|At Anchal level, APWSC is yet to be commissioned although |APWSC should be oriented towards handling Multi Village Projects covering |
|notification exits. However multi-level village schemes as |more than one GP |
|planned under RWSS programme, which would cut across several| |
|GPs will required active role of APWSCs. |GP level committees dealing with water and sanitation including VWSC should |
|VWSC at the GP level looks after mainly sanitation issues. |be oriented and trained to be able to handle multi-village schemes with |
|Since water supply schemes are not handed over, they yet not|larger coverage. |
|prepared mentally and technically to takeover multi-village |Provision should be made for establishing a scheme level committee comprising|
|schemes. |representatives of all the participating villages for advisory and overseeing|
|AT the GP level all the committees dealing with water and |the scheme. |
|sanitation seem to be dormant as water supply schemes are |Work closely with Panchayat Raj Institutions in ensuring legitimacy for all |
|yet to be handed over to the PRIs. With the new project with|the users’ committees. |
|larger coverage and handing over the schemes to the PRI, | |
|PRI stakeholders and committee stakeholders needs to be |Adequate staff with technical capabilities have to be deployed. |
|capacitated for effective management of such schemes | |
| |Leadership and Motivational trainings should be designed for GP |
|SLUC are functional in most of the cases, but they work |functionaries. |
|under the direct supervision and guidance of PHED bypassing | |
|the PRIs. | |
|SLUC s are generally handled by one or two office bearers- |Capacity building through trainings of SLUC members on statutory obligations |
|the President and the Secretary/ Treasurer. The other |for managing SLUCs and book keeping required |
|members are not involved in the management. All members need|There should be a reporting mechanism for SLUC at the GP level |
|orientation, motivation trainings and also capacity building|All SLUC Executive Committee members need to be trained on technical, |
|on management issues including financial management |organisational and financial management issues |
|SLUCs do not have adequate capacity in community |Capacitating the SLUC members on information dissemination seems to be |
|mobilisation and information dissemination |required. Local NGO-s and a local resource person can work towards capacity |
|There is lack of integration between VWSC and SLUC |building of SLUC-s who would in turn carry out the functions in their |
| |catchments areas. Activation of the Block Resource Centres are a must in this|
| |context. |
| | |
| |VWSC as the standing committee at the GP level will provide guidance to |
| |SLUCs. There should be a reporting arrangement of SLUC-s to the VWSC for |
| |integration. |
|Inter Departmental Convergence |
|Convergence of programmes and schemes are not yet |Taking support of ASHA in the NBA program functionaries in mobilizing people|
|streamlined for which program benefits are either duplicated|for promoting individual sanitary latrines and creating awareness about |
|or resources not optimally utilised. |health, hygiene and nutrition |
| | |
| |SHG-s under the Rural Livelihood Mission to be integrated with User |
| |committees |
| | |
| |MGNREGA programme to be utilised for infrastructure creation under RWSS. With|
| |adequate rainfall in Assam, rainwater harvesting structures could be created |
| |and this activity could be converged with MNREGS programme effectively. |
| | |
| |Yearly Action Plans needs to be developed for such convergence programmes. |
| |With the PHE Engineers having technical knowledge on this activity, such |
| |schemes could be easily implemented |
|Further issues detailed |Mitigation Measure |
|Lack of ownership of the constructed schemes by Gram |PRI members engaged in implementation phase ‘as and when’ required basis, |
|Panchayats (GPs) |this has to be streamlined and a detailed planning to be done staring from |
| |planning to handing over of the scheme involving PRI stakeholders |
| |Handing over process needs to be streamlined and capacitating all the PRI |
| |stakeholders concerned needs to be done |
| |The committees constituted for looking after the issues needs to be |
| |strengthened with designated power and execution of the power |
|District and Block ( Anchal ) Level staff may not be |There has to be a detailed orientation on the roles and responsibilities of |
|comfortable with the new project as it entrusts greater |the different government and PRI functionaries indicating the advantages of |
|responsibility on PRI |such involvement- |
| |Exposure visit and success story sharing could be a viable method |
|Additional responsibility on PHED Engineers at State and |The SPMU and DPMU needs to be strengthened with adequate staff |
|District may lead to over burdening on staff capacities |There should be a provision for dedicated technical expert at DPMU level |
|Women as a stakeholder may remain excluded |The women participation has to be ensured through appropriate orientation and|
| |sensitization |
| |Women organization and community level stakeholders i.e. women SHGs, ASHA |
| |activists, AWWs are seem to be active in all the study districts, they needs |
| |to be engaged for various grassroots community interactions and advocacy |
| |related to WATSAN |
| |Gender awareness training for project staff and participating support |
| |organizations are to be planned. |
|Lack of accountability |Re-defining the role and responsibilities for all the stakeholders at |
| |different level and a mechanism to track the same essential. |
| |Re-articulating their respective roles and responsibilities, if needed, in |
| |the context of the WB supported project |
|Slip back of commissioned schemes |Creating demand for improved piped water supply services |
| |Payment of user charges on a regular basis is a practice at Assam, it needs |
| |to be sustained with introduction of new scheme |
| |Subsidy to be minimized in water supply with provision of community system |
| |for poor and needy and that has to be the responsibility of respective SLUC. |
|There could be procedural conflicts in integrating water |Orientation of members at all levels |
|with sanitation under the same committee |Procedural streamlining for integration |
|Lack of convergence may lead to duplication of work and |Coordination meetings to be organized on a regular basis for sharing of |
|resource use |projects proposals |
| | |
| |Judicious allocation of funds for the purpose through strategic planning |
To sum up the best possible ways to address the issues and/ or mitigate the risks is to capacitate the stakeholders including, community at a large, using various communication tools and most importantly ensure adoption of the desired practices.
2 Bihar
1 Social Management issues
Community participation:-The activities of the project may not get community participation due to following reasons:
• Lack of education and awareness among the community.
• Socially backward groups are also economically not too sound and thus, they may not be able to pay for the capital cost.
• Caste dominant divisions and political alignment thereof, which may not augur well for group action.
• Highly inadequate women participation, situation of women is poor; illiteracy, empowerment, no say in decision making nor exercise any control over resources.
Equity and inclusion: Currently the villages dominated by socially backward groups has comparatively less functional infrastructure (water & sanitation). They are also economically backward thus cannot afford construction and maintenance of the infrastructure.
Lands: though ample land is available with panchayats, they may not make available the same easily due to the local level socio-political dynamics. Planned external efforts will be required to bring all sections on a common platform and convince them to strive for long term common interests. Measures will have to be deployed to ensure voluntary securing of lands.
Regular water Supply: since community having piped water supply was not found very much satisfied with the water supply timings and pressure of water supply, community may not like to take connections provided the condition of water supply is improved. So, demand for pipe water supply may not be forthcoming unless massive IEC efforts are made and facilities delivered as promised.
Power Supply: since supply of power is an issue in Bihar thus, it could be a potential risk for power based schemes. Due to irregular electric connection operation of water pumps and supply may remain stalled and money invested for construction will go waste. If the water supply fails then community will again go back to their old water sauces and this could be fatal in case of villages with water contamination (fluoride and arsenic)
Weak PRIs and non-existing/ non-functional VWSCs: the operation and maintenance of the schemes may be an issue if the dedicated structure is not established at grass root level.
Political influence:- looking into the importance of VWSCs, it is possible that political and economically dominated groups hijack VWSCs. This can also initiate a conflict between VWSCs and Gram Panchayat, particularly in the constituencies reserved for socially backward groups.
Delay in project delivery:- since the lack of coordination and capability gaps are observed among the different wings of Department of PHED thus, it may happen that the project fails to deliver its objective within its stipulated time.
Contamination of Ground Water:- leech pit toilets with deep pits (as reported by the households having toilet) and distance of water sources for toilet pit can lead to groundwater contamination, if proper measures are not taken on urgent basis.
2 Management Actions
|Issues |Mitigation Measures |
|Lack of Community |Multiple round of stakeholder consultations should be held prior to conceptualizing and during preparation|
|participation |of the project. Each sub project should have a local level communication office with a grievance redressal|
| |officer. The activity of each sub project should be further overseen by a high level coordination |
| |committee (at state level.). |
| |Establishing Village Level Structure i.e VWSCs |
| |It is important that each village VWSC is participated by all the respective sections of the society of |
| |the village and their members are trained for supporting W&S service delivery. |
| |Revisiting the existing legislative stipulations to this end is essential. |
| |Capacity building of PRIs andVWSC members is critical. |
| |Ensuring women participation |
| |One-third of the VWSCs members should be women and they should be provided training mandatorily |
| |The social mobilization agency should deploy women members to get women’s participation |
| |Women should also be contacted by the Anganwadis and schools through their wards and motivated |
| |Women education and empowerment programmes should be reinforced |
| |Women groups organised by Mahila Samakhya could be involved for active participation in W&S related issues|
| |In the model of Mahila Samakhya, similar groups could be developed at village level for active |
| |participation in W&S related issues |
| |Women could be trained for providing services related to W&S, may be through rural sanitary marts |
| |Establishment of bottom up approach and involvement of PRIs and community in O&M of W&S programmes |
| |Capacity support to be arranged from experienced Support Organizations for community mobilization and |
| |technical aspects. |
|Equity and inclusion |Pro poor policy comprising the following be adopted: |
| |provide concessions to rural poor in the matter of water connections and tarif. |
| |Waive the normal one time connection deposit for such rural poor and to collect only the cost of providing|
| |meters (to be fixed by the PRIs themselves), to inculcate the sense of ownership; |
| |Fix a life line supply of 7,200 litres per household (considering 40 lpcd for 6 member household) per |
| |month for rural poor, at a concessional rate (to be fixed by the PRIs themselves). |
| |Consultations be held on the location of public stand posts. |
| |Simplify procedures of taking connection and any proof of residence such as ration cards and ID cards |
| |would be considered sufficient to provide a connection. |
| |Provide water free of charge through public kiosks / cisterns / taps to vulnerable sections such as |
| |nomads, destitute, homeless poor, etc. who cannot afford to pay anything. |
| |Promote structured participation of NGOs and CBOs in organizing the vulnerable sections for managing free |
| |water supply through public kiosks. |
| |Signing off on the Detailed Project Reports by GP/ VWSCs is a must before civil works are contracted. |
| |All civil works payment be made after due presentation of the progress made and accounts to the Gram |
| |Sabhas. |
|Lands |Work closely with community. |
| |Involve panchayat and VWSCs in decision making. |
|Regular water Supply |Work out the most feasible way of water supply, appropriate with duration, time, quality, and quantity. |
| |Alternative arrangements are required for restoring regular water supply which could be solar based |
| |systems. |
|Weak PRIs and non-availability|PRIs should be empowered and mandatorily be members of VWSCs and other respective committees at different |
|of VWSCs |levels. The whole idea will be initiating planning from village level through involvement of community |
| |especially PRIs and VWSCs which will be scrutinized by the DWSM and will be sent for approval to SWSM. |
| |Further they should be involved in following activities; |
| |In motivating community for taking part in water and sanitation management for sustainability of service |
| |delivery so that financial viability of the schemes is not affected. |
| |Should be trained in participatory development models |
| |They should play an active role in the planning, implementation and management of W&S services including |
| |domestic waste disposal. |
| |They also need to be involved in dialogue with the community for ensuring piped water connections, |
| |timely payment of tariff and support in management. |
| |Thus, it is important that each village VWSCs and PRIs have their adequate participation and they are also|
| |trained for supporting service delivery. Appropriate and regular IEC will also be equally important. |
|Strong Political influence |Community mobilisation and empowerment so that they are able to identify the requirements related to |
| |water, sanitation, health, and hygiene and not come under any such influence. |
|Delay in project delivery |Project Management Unit is to establish good rapport with the Government of India and State PHED for |
| |timely release of funds and sanctioning of contracts respectively. |
| |Project delivery in Mission mode so that Project management Unit has a complete structure up to the level |
| |of panchayat and able to monitor the project closely. |
|Contamination of Ground Water |Capacity building of PHED officials on soft skills so that communication on technical aspects could be |
| |delivered to the community. |
| |Hiring of professional agencies for developing and implementing communication strategy for sanitation, |
| |hygiene, and conjunctive use of water. |
4 Jharkhand
1 Social Management actions
|Issues/ risks |Management Actions |
|The beneficiaries are willing to accept the proposed piped water |Since the beneficiary preparedness exists, the commissioning of the |
|schemes and are ready to pay for improved service |schemes should be done as early as possible in ensuring water |
|They seem to be less aware of the scheme details including site |security addressing the issues of quantity quality and regularity. |
|of the project and other details. |Project details to be displayed (proactive disclosure) in a permanent|
|Beneficiaries apprehensive regarding the reach of piped water to |board to ensure awareness of the scheme among all stakeholders. |
|the farthest point. |Contour of the land to be considered prior to laying of pipe line. |
|Stakeholder preparedness |
|State level SPMU is in place but at the sub optimal functional |Strengthening of SPMU with engagement of staff and definition of work|
|level. |roles. |
|District level DPMUs proposed and establishment in progress |DPMU to be made functional at the earliest through engagement of |
|VWSC at the GP level looks after works related to hand-pumps, |specialists. The existing staff in the DWSD (Who are also a part of |
|repairing, IHHL and IEC activities. Since overall O&M of Water |SPMU) needs to be geared towards the World Bank Project provisions. |
|Supply and Sanitation are to be handed over to them, they are yet|GP level committees dealing with water and sanitation including VWSC |
|not prepared mentally and technically to takeover multi-village |should be oriented and trained to be able to handle multi-village |
|schemes. |schemes with larger coverage. Adequate staff with technical |
|AT the GP level there is no separate institutional arrangement in|capabilities has to be mobilized. |
|managing Rural Water & Sanitation. The new project under RWSS |Capacitating the VWSC members on information dissemination seems to |
|will be handed over to the PRI, stakeholders and committee |be required. Local NGOs and a local resource person can work towards |
|stakeholders, who thus will be needed to be capacitated for |capacity building of VWSCs who would in turn carry out the functions |
|effective management of such schemes. |in their catchment areas. Activation of the Block Resource Centers |
|Jalsahiyas are functional in most of the cases, but they work |are a must in this context. |
|under the direct supervision and guidance of VWSC, who at present| |
|are incapable of technical monitoring of the existing schemes | |
|such as water quality checks, leakages in the system, maintenance| |
|of infrastructure, etc. | |
|VWSCs are generally handled by few members and headed by the GP | |
|Mukhiya. The other PRI members are not involved in the | |
|management. All members need orientation, motivation trainings | |
|and also capacity building on management issues including | |
|financial management | |
|Jalsahiyas do not have adequate capacity in community | |
|mobilization, information dissemination, monitoring and book | |
|keeping. | |
|There is a dominance of influential groups in VWSC. |Capacity building of Jalsahiyas[6] on community mobilization, |
|Convergence of programmes and schemes are not yet streamlined for|information dissemination, monitoring and book keeping. |
|which program benefits are either duplicated or resources not | |
|optimally utilized. | |
| |Convergence issues need to be dealt in an integrated way at every |
| |level through coordination meetings were strategic plans under each |
| |programme could be shared for identifying areas of convergence. |
|Community is more or less geared up to pay for water but there |Water security and sustainability issues should be taken care of |
|are some instances where they stopped paying if water is not |through appropriate GPWSC and VWSC strengthening. There should be a |
|available or grievances are not addressed. |streamlined system of Grievance Redress at the VWSC levels. |
|Subsidy in sanitation sector has a negative impact and community |Water supply connection should not be given at free of cost as there|
|is not maintaining the sanitation system as it comes in a |is already a habit of paying for getting water and the present Act |
|subsidized rate . |also has such provision. |
| |If any subsidized rate to be thought for inclusion of poor and |
| |marginalized section such as; PTGs, this should be handled by GPWSCs.|
| | |
| |Issue of subsidy in sanitation needs to be revisited. |
|Community not particularly sensitive to women issues in the |Gender sensitization to be done through appropriate IEC mechanisms. |
|context of water and sanitation. Women’s role conceived as |The mandatory provision of women participation in VWSC Executive |
|passive in water management. |Committee to be increased from 30% to 50% or more. At least one |
| |position among the President, Secretary and Treasurer should be help |
| |by women. (All women member VWSC could also be tried out as an |
| |innovative model). |
| |The petty contracts arising out of the sub-project should considered |
| |entrusting to the existing women groups on community contract basis |
| |in the context of operation and maintenance. |
|Some beneficiaries living in elevated or far off habitations may |Tribal Development Plan, ensuring their inclusion in the best |
|be neglected. |possible way. |
|Also, since tribal population is scattered they are likely to get|Ensuring, to the extent possible, the accrual of project benefits to |
|excluded from the proposed schemes under Water and Sanitation. |the traditionally marginalized communities-more specifically, the |
| |PTGs under the project area |
|Issues/ Risks |Mitigation Measure |
|Lack of ownership of the constructed |PRI members engaged in implementation phase ‘as and when’ required basis, this has to be |
|schemes by Gram Panchayats (GPs) |streamlined and a detailed planning to be done staring from planning to handing over of |
| |the scheme involving PRI stakeholders. |
| |Handing over process needs to be streamlined and capacitating all the PRI stakeholders |
| |concerned needs to be done |
| |The committees constituted for looking after the issues needs to be strengthened with |
| |designated power and execution of the power |
|District and Block Level staff may not be |There has to be a detailed orientation on the roles and responsibilities of the different |
|comfortable with the new project as it |government and PRI functionaries indicating the advantages of such involvement. |
|entrusts greater responsibility on PRI |Exposure visit and success story sharing could be a viable method. |
|Additional responsibility on DWSD Engineers|The SPMU and DPMU needs to be strengthened with adequate staff. |
|at State and District may lead to over |There should be a provision for dedicated technical expert especially in social, |
|burdening on staff capacities |environment and procurement sectors, at DPMU level. |
|Women as a stakeholder may remain excluded |The women participation has to be ensured through appropriate orientation and |
| |sensitization. |
| |Women organization and community level stakeholders i.e. women SHGs, ASHA activists, AWWs |
| |do not seem to be very active in all the study districts, they needs to be engaged for |
| |various grassroots community interactions and advocacy related to WATSAN. |
|Lack of accountability |Re-defining the functional at all level of stakeholders. |
| |Re-articulating their respective roles and responsibilities in the context of the WB |
| |supported project. |
|Slip back of commissioned schemes |Creating demand for improved piped water supply services. |
| |Subsidy to be minimized in water supply with provision of community system for poor and |
| |needy and that has to be the responsibility of respective VWSCs preferably not to be |
| |decided at the Apex level. However, in case of tribal population covered under the |
| |project, Social welfare department in mutual agreement with the VWSC (having tribal |
| |representatives as members) can decide on the respective subsidies, under the project. |
|There could be procedural conflicts in |Orientation of members at all levels. |
|integrating water with sanitation under the|Procedural streamlining for integration. |
|same committee. | |
|Lack of convergence may lead to duplication|Coordination meetings to be organized on a regular basis for sharing of projects proposals|
|of work and resource use | |
| |Judicious allocation of funds for the purpose through strategic planning. |
|Left Wing Extremism is a challenge in most |Generating grass roots demand for services and mobilizing community influencers to elicit |
|of the project areas and may lead to delays|the community’s support in the project areas may reduce such risks. |
|in implementation. | |
|Exclusion of marginalized, particularly the|Inclusion of all targeted habitations without any discrimination arising out of cost or |
|Tribals, SCs, OBCs |technology. |
|Conflict may arise if petty works are not |Preference to be given to local contractors and laborers. |
|given to local contractor | |
|Conflict may arise in VWSC if it is not |Democratic process to be ensured in the formation of VWSC. |
|represented by all sections of the village | |
5 Uttar Pradesh
1 Social Management actions
|S.N. |Issues/Risks |Management Measures |
|1 |A routine supply driven construction |Creating demand for improved piped water supply services with innovative communication |
| |program of water supply and sanitation |campaigns involving the use of participatory methodologies such as Participatory Rural |
| |facilities without effective demand |Appraisal (PRA), Participatory Learning and Action (PLA), Community Led Total |
| |from user communities for improved |Sanitation (CLTS) and Community Led Action for Sanitary Surveillance (CLASS) |
| |services |Re-defining the functional goals and strategies of key sector institutions of SWSM, Jal|
| | |Nigam, Panchayati Raj and WSSO. |
| | |Re-articulating their respective roles and responsibilities in the context of the WB |
| | |supported project in Eastern UP |
|2 |Lack of ownership of the constructed |Ensuring the substantive involvement of GPs at all stages of project planning and |
| |schemes by Gram Panchayats (GPs) |implementation beginning from the feasibility study stage itself |
| | |Training the GP members in general and Jal Prabandhan Samiti (JPS) members in |
| | |particular about the project design, scheme cycle and the implementation strategy and |
| | |plan along with their roles and functions in all of these |
|3 |Exclusion of the poor and the extremely|Ensuring substantive, rather than the notional, involvement of the extremely |
| |marginalised, SCs, poor and women, from|marginalised (such as the Musahars), other SCs, poor and women in project planning and|
| |project processes |implementation by ensuring their active involvement in taking key decisions related to |
| | |project planning and implementation on the ground. |
| | |Engaging community based organisations such as self-help groups (SHGs) of women and |
| | |joint liability groups (JLGs) of men for various project related tasks such as |
| | |feasibility study, site selection, determining the service level, fixing up the user |
| | |charges etc. |
|4 |Lack of transparency in project |All the key decisions related to the size of the scheme, villages/GPs to be involved, |
| |planning and implementation |service level, payment of user charges are taken in community wide meetings called Gram|
| | |Sabhas, and not by the executive body of the GP |
| | |Details about project expenses are subject to periodic social audit, which is carried |
| | |out in community wide meetings/Gram Sabhas |
|5 |Lack of accountability in case of time |Processes for preparation and approval of detailed project reports (DPRs) are designed |
| |and cost over runs of the schemes |so as to minimise the delay without compromising on the quality of the end outcome |
| | |Responsibility, authority, and accountability are located strategically and evenly |
| | |Capacities of all the institutional and individual stakeholders are built through |
| | |training and re-training throughout the project cycle |
| | |Training programs are designed in view of clearly identified training needs of various |
| | |stakeholders at different stages of the scheme cycle. |
|6 |Sanitation remains a poor add on to the|Safe sanitation in terms of open defecation free (ODF) communities/GPs is made into an |
| |overall project with its primary focus |incentive for improved water supply services |
| |on water supply: and as a result, water|Water supply and safe sanitation are offered as an integrated service with emphasis on |
| |supply and safe sanitation do not get |communication and capacity building for effective sanitation and hygiene behaviour |
| |addressed as an integrated issue having|change at the community level. |
| |a major bearing on the quality of water| |
| |and the resultant health status of | |
| |people | |
In view of the above, it is clear that the possible ways to mitigate these risks is to invest in large scale and intensive communication and capacity building of stakeholders, particularly of user communities and GPs. These are detailed in separate sections under Social Assessment.
5 Institutional and Implementation Arrangements
The Project will support progressive decentralization, with a much higher role and responsibility to the PRIs at the district and village level for designing and implementing the schemes, and to the SWSM and DWSM for policy and oversight aspects. The responsibility of planning, implementing, and maintaining small SVS will be fully devolved to the GP, assisted by the District Project Management Units (DPMUs) and Support Organizations (SOs). Rural communities will participate in the scheme cycle through the GP committees (GP-WSC for SVS and MVS committees for MVSs) for ensuring that demands are met, both intra-village and bulk-water supply across villages and habitations. Contractual arrangements will be made between the bulk-water provider, the PHED/JN, and the scheme level committees for small and large MVSs. This will be accompanied by significant capacity building of the PRIs and sector institutions to take on such responsibilities. Public Private Partnerships (PPPs), including Design-Build-Operate (DBO) models will be piloted for large MVSs. Following are main institutional and implementation arrangements.
a) National Level: National Project Management Unit, Technical Advisory Group, Water & Sanitation Management Resource Centre, National RWSS Institute. The Project will be implemented through a special window of assistance under the on-going NRDWP. A National PMU (NPMU) will be established to assist MoDWS in implementing the project. The NPMU will comprise a specially constituted Technical Advisory Group (TAG) with the primary responsibility to review the implementation of the project in each of the target states and guide the states in their respective project activities and capacity building and institutional strengthening programs. The TAG will also be responsible for preparing the project implementation review documents for Bank supervision missions. A Water and Sanitation Management and Resource Centre (WASMARC) will be set up for providing technical and policy advice and assisting the MoDWS in managing the RWSS programs. The NPMU will converge with WASMARC during the project implementation period. Its initial mandate will be to focus on the target states, but will gradually expand its reach and coverage to the entire country. A National RWSS Institute (NRWASI), as a ‘state of the art’ training and research institute, will be established with linkages with other national and international technical institutions.
b) State Level: State Water & Sanitation Mission, Water & Sanitation Management Organization, Public Health Engineering Department/Jal Nigam, State Rural Water and Sanitation Institutes, State Project Management Unit. The State Water & Sanitation Mission (SWSM) under the RWSS Minister, is already in existence in the four states and is responsible for overall policy guidance for the RWSS Sector Program. The Executive Committee of the SWSM, headed by the RWSS Secretary is assisting SWSM in all its responsibilities, including planning and policy formulation, capacity building, fund flow, approval of the annual plan and budget allocation, and monitoring and evaluation of the Sector and District Programs. The project will strengthen the SWSM with the establishment of the Water and Sanitation Management Organization (WASMO) as a dedicated unit for managing, monitoring and approval functions, including guiding and building capacity of the district implementing agencies. The State Technical Departments such as PHED/DWSD, or Jal Nigam (in UP), will work primarily as the ‘facilitator’ for all aspects of the district programs, including technical support, capacity building, and training programs. Their role in large schemes (MVS and SLWM) would be to plan and implement the schemes, with involvement of GP-WSCs for intra-village works and operations. The project will set-up and/or strengthen the State Rural Water and Sanitation Institutes (State RWASIs) for training and research, including Vishwa in Jharkhand and Pranjal in Bihar. The State Project Management Unit (SPMU) has been set-up in the SWSM, with sector specialists for preparing and implementing the project. The SPMU will be responsible for assisting the SWSM in all aspects of design and implementation of the RWSS district-wide programs, including approvals, monitoring and review functions. The SPMU will converge with WASMO during the project implementation period.
c) District level: District Water & Sanitation Mission, District Water & Sanitation Committee, Public Health Engineering Department/Jal Nigam (District Technical Divisions), Multi Village Scheme-Water & Sanitation Committee, District Project Management Unit. The DWSM, headed by the ZP Chairperson and DWSC headed by the District Collector (DC) will be strengthened by the project for receiving policy guidance from the SWSM and translating into district-level programs. The DWSC will be responsible for providing administrative approvals of SHS/SGS/SLWM, along with overall monitoring and management of the district program. DWSCs, apart from supporting DWSMs, will also select GPs based on the criteria laid down by the SWSM, identify and engage Support Organisations (SOs) and release funds to GP/GP-WSC for SHS/ SGS/ MVS (intra village) schemes and SLWM schemes, and release funds to PHED/ DWSD/ UPJN for MVSs and large SLWM schemes. The Technical Divisions of PHED/Jal Nigam at the district levels will be responsible for designing and implementing the MVSs and large SLWM schemes in partnership with the participating GP/GP-WSCs, and facilitating the GP-WSCs in designing and implementing the SVSs. They will also be the technical back-stopping agency for all schemes during designing, construction and O&M cycles. The MVS-WSC at the district level will be a representative committee of the group of GPs for MVS and will endorse and sign off the scheme design and implementation phase payments. All Project districts will have fully staffed DPMUs for supporting the implementation of the Project and policies, including communications, capacity building, monitoring and evaluation programs.
d) Village Level: Gram Panchayat, Gram Panchayat Water & Sanitation Committee, Support Organization. The GP and GP-WSC will be the key institution for all RWSS activities. The GP will be responsible for taking all important decisions through resolutions at the Gram Sabha meeting, including tariff fixation, within the overall guidelines given by the SWSM and DWSM. The GP-WSC as the statutory sub-committee of the GP, will be responsible for design and implementation of the SVS, intra-village component of MVS, and SLWM activities, along with IEC/BCC programs for sanitation and hygiene promotion activities. The GP-WSC will work closely with their counterpart health and education committees at the village level. The SOs will be appointed by the DPMU to assist the GP and GP-WSC in designing and implementing the schemes as per scheme cycle. SOs will also be responsible for community mobilization and IEC/BCC activities at the village level.
e) Staffing -Social and Environment Specialists: National, State and District PMUs will include Environment and Social Development Specialists as key staff who will be entrusted with the overall responsibility of ensuring the implementation of the environmental and social aspects. Roles and responsibilities of these specialists have been detailed out. While the national and state level specialists will have an apex role, district specialists will be responsible for providing capacity support and building the capacity of grassroots project partners-PRIs and communities. At the village level, the awareness and capacity for environmental and social management in the local VWSC and SO would be enhanced through a targeted training and capacity building program.
f) The social and environmental management will form an integral part of the overall scheme cycle. Each detailed scheme report shall contain environmental/ social checklist highlighting the issues and mitigation measures. Scheme appraisals will take due note of this and shall guide in decision making. Grassroots/village level checklist preparation will rest with the concerned Junior Engineer and the Support Organization. Implementation monitoring will rest chiefly with the VWSC who will be capacitated and supported for this by PHED/DWSD/UPJN. The post implementation supervision (including water quality) would be integrated with the overall monitoring of performance indicators. Training and information, education, communication (IEC) activities are planned to build the capacity of community institutions as well as project staff for effective integration of safeguards measures into the scheme-based activities.
6 Public Disclosure
The development of the SMF is based on a consultative process that engaged key stakeholders at the national, state, and local levels and sought their feedback. In order to facilitate meaningful consultations and also effective participation of the stakeholders in the project, all the project related information will be shared with the likely Project-Affected Groups or Project Affected Population (PAP) and local NGOs, in a timely manner and in a form and language that are understandable and accessible to the groups being consulted.
The mechanism of information dissemination should be simple and be accessible to all. Two of the important means that are followed until now, include briefing material and organization of community consultation sessions. The briefing material (prepared in local languages of the four state) can be in the form of (a) brochures (including project information and assistance to be given to the PAPs) that can be kept in the offices of local self-government (technical engineering departments and gram panchayat office) and EA; (b) posters to be displayed at prominent locations and (c) leaflets that can be distributed in the project zone. Disclosure of information will enhance governance and accountability specifically with respect to strengthening of monitoring indicators to help RWSS program.
1 Information to be disclosed
The following information shall also be displayed / disseminated, wherever applicable.
1. Project specific information need to be made available at project GPs through public information kiosk which can be a part of Gram Panchyat office or Anganwadi or school.
2. Project Information brochures shall be made available at all the district level executing agency (such, District PHED office) as well as the office of implementation agency and the office of Engineer in charge who will ensure the availability of these brochures at the GP level.
3. Reports and publications, as deemed fit, shall be expressly prepared for public dissemination e.g., English versions of the SA, TDP (wherever applicable) and EA and Executive Summary of SA, TDP and EA in local language.
4. All information will be translated into local language and will be disclosed to the public through the Panchayat, District Magistrate’s office, concerned project offices, websites of PHED, DWSD, UP Jal Nigam and the World Bank. In sum, document will be translated into local language and disclosed locally and through the Bank’s Info-shop.
The public consultation and disclosure process will continue during project implementation and the same disclosure process will be followed.
Grievance Redressal Mechanisms
1 Mechanism and Institutional Arrangements
1 Implementation of the Project
Given the diversity of social groups and sub-groups in rural communities across all the four project states and the resultant likelihood of public grievances, a robust grievance redressal mechanism needs to be devised and put in place. This will be required mainly in terms of implementation of the project at the scheme level, especially for the grievances related to poor and vulnerable (like SC, ST, women) households. Some of the grievances that are likely to emerge for redressal are as follows:
• The poor and vulnerable could get excluded from other communities / groups in participating in the decision making process including finding a position in VWSCs. They could also be given inadequate representation especially in the Executive Body of the VWSCs and thus remain marginalized in the decision making process.
• Conduction of Gram Sabha meetings properly and effectively.
• Disputes and grievances related to the technology and site selections.
• Selecting the service level and the related cost sharing
• Fixing up of user fees and the periodicity of their collection
• Issues related to the equitable distribution of water.
• Issues related to the non-functioning of the scheme for a longer period due not attendance to the breakdown of the machineries.
• Selection of households and release of subsidy for household latrines.
• Quality related issues during implementation.
• Issues related to the transparency for effective implementation of the project including issues related to procurement and finance management.
• Deploying staff for O&M, training of the staff, tariff collection and maintenance of the accounts.
The above mentioned issues are pre-empted, but there could be other grievances as well that may emerge in the course of implementation of the project on the ground. The suggested mechanism should be able to address all the grievances at any stage during project planning and implementation.
2 Overall framework for redressal of Grievances at appropriate levels of the project implementation structures
1 Scheme Level
Resolving disputes related to the participation, selection of sites, selection of service level and technology option, fixing up of user fees, availability of water and its proper distribution, inclusion of members of all communities especially marginalized and vulnerable groups, work related to the operation and maintenance of the scheme, maintaining transparency for the fund collected as water tax will be the primary responsibility of the VWSC under the guidance of the Chairperson of the concerned Gram Panchayat. Documentation of all decisions and verdicts and maintenance of records will be sole responsibility of the VWSC. GP would play the role of an arbitrator for all issues falling within the purview of its jurisdiction. If it is beyond its scope/capacity, it will escalate it to sub-division or district level project offices.
2 Sub-divisional Level
The sub-divisional Project Unit headed by the Assistant Engineer will be vested with the maximum responsibility, authority and resources for addressing grievances. The sub-divisional unit maintains a direct link and relation for the interest of the scheme with VWSCs, Gram Panchyat and the Block Panchayat as appropriate.
3 District Project Management Unit Level
The District Project Unit (DPMU) shall regularly review and register grievances, progress on redressal and timely dispensing of issues. The issues which are beyond the control of the sub-divisional Project Unit, in that case the District Project Unit will establish convergence with District level agencies / departments for issues related to dove-tailing and co-ordination with existing structures for redressal of grievances of the people, is a part of the tasks of the DPU. The District Level Project Implementation Committee will review the progress of work regularly and monitor the whole process. DPMUs will also establish a help line for direct access to village households.
4 State Project Management Unit Level
The State Project Unit (SPMU) will function as a supervisory body in the process of grievance redressal. The primary responsibility of addressing grievances rests with the sub-divisional level and District Project unit level. The SPU will play an active role in facilitating grievances redressal for tribal community in the state. The issue of transparency, judicious and timely actions with respect to addressing grievances will be regulated by the SPU.
The matrix for redressal of grievances is given in Table 7.1 below.
Table 6.1: Matrix for redressal of grievances
|Issues likely to emerge |Process for redressal |Time period for redressal of |Responsibility |
| | |Grievances | |
|Inadequate |Ensuring adequate |7 days of time, starting from|AE / Secretary of the GP hold primary responsibility.|
|representation and |representation during |the date of registration of | |
|decision making power in|elections and giving decision|grievances to redressal of |Pradhan of village Panchayat and representative of |
|VWSCs |making power to tribal |grievances. |Sabhapati of Panchayat Samiti facilitate the process.|
| |community as well. | | |
| | | |DPU ensures tribal communities have been adequately |
| |Conducting elections and | |represented in WUA. |
| |avoidance of nominations | | |
| |based upon preferences. | | |
|Disputes related to the |Provision be made for Gram |5 days of time, starting from|AE & EE of DPMU/ Department hold primary |
|technology or pinpoint |Sabha consultations |the date of registration of |responsibility. |
|site selection of the | |grievances to redressal of | |
|scheme |Thorough primary survey |grievances. |Pradhan of Gram Panchayat and Secretary should be |
| |should be made before | |taken into confidence for making the judicious |
| |selection of pinpoint site so| |decision. |
| |that a judicious decision can| | |
| |be made. | |DPMU ensures that the grievances community has |
| | | |properly been redressed. |
| | | | |
| | | |DMU will document and upload it on the website all |
| | | |the details. |
|Issues related to |Provision be made for Gram |Within 10 days of |AE & EE of DPMU/ Department hold primary |
|selection of service |Sabha consultations |registration of grievances |responsibility. |
|level and related cost | | | |
|sharing |Issue to be resolved in a | |Pradhan of Gram Panchayat and Secretary should be |
| |community wide meeting. | |taken into confidence for making the judicious |
| | | |decision. |
| | | | |
| | | |DPMU ensures that the grievances community has |
| | | |properly been redressed. |
| | | | |
| | | |DMU will document and upload all the details on the |
| | | |website. |
|Issues related to fixing|Provision to be made for Gram|Within 10 days of |AE & EE of DPMU/ Department hold primary |
|up of user fees |Sabha consultations |registration of grievances |responsibility. |
| | | | |
| |Issue to be resolved in a | |Pradhan of Gram Panchayat and Secretary should be |
| |community wide meeting. | |taken into confidence for making the judicious |
| | | |decision. |
| | | | |
| | | |DPMU ensures that the grievances community has |
| | | |properly been redressed. |
| | | | |
| | | |DMU will document and upload all the details on the |
| | | |website. |
|Quality during |VWSCs to register complaint |15 days |DPMU/ SPMU will take up the issue with the contractor|
|construction |with DPMU/ SPMU | |and resolve. All aspects to be informed to the VWSCs |
| | | |and uploaded on the website. |
|Equitable distribution |Ensuring equitable water |2 days of time, starting from|VWSC has the primary responsibility to regulate water|
|of water |distribution through |the date of registration of |distribution and check the unwanted interference and |
| |practices of management and |grievances to redressal of |dominance of certain powerful / resourceful sections |
| |efficient use of water |grievances. |like influential farmers, interest groups etc. |
| | | |GP to be an apex body. |
| | | | |
| | | |DPMU to regulate the process through the AE of |
| | | |sub-divisional level and review the functioning of |
| | | |VWSC |
|Non-functioning of the |Ensuring immediate actions to|2 days of time, starting from|VWSC has the primary responsibility to remove the |
|scheme due to break down|repair the machineries or to |the date of registration of |hardness. |
|if the machineries or |remove the other reasons |grievances to redressal of | |
|any other reasons |which made the scheme idle. |grievances. |In case of major fault / breakdown VWSC will approach|
| | | |GP/ AE/ DPMU/ Department.. |
| | | | |
| | | |All the PRI institutions be involved in decision |
| | | |making so as to channelize required resources. |
| | | | |
| | | |SPMU & DPMU monitor the process through |
| | | |sub-divisional level strictly and ensures that the |
| | | |scheme is rail immediately. |
| | | | |
| | | |SPMU / Department also to maintain a helpline at the |
| | | |state level. |
|Selection of benefitting|Households to complain to GP/|15 days |GP/ DPMU has to provide a written explanation to the |
|households and release |DPMU/ SPMU | |respective household. |
|of subsidy for | | | |
|sanitation | | | |
|Transparency issues |Ensuring transparency and |7 days of time, starting from|Responsibility of the VWSC to maintain the account of|
| |accountability in practice at|the date of registration of |water rate collected from the farmers, timely deposit|
| |all levels. |grievances to redressal of |the same to Bank account, maintain the |
| | |grievances. |correspondences made with the GP and departments. |
| | | | |
| | | |Pradhan of village Panchayat also has responsibility |
| | | |to ensure that transparency has been maintained in |
| | | |the entire process of operation and management of the|
| | | |scheme. |
| | | | |
| | | |SPMU and DPMU monitor the process through the |
| | | |sub-divisional level so that the beneficiaries |
| | | |receive project benefits. |
|Water tariff fixation, |GP/ DPMU to prepare proposal |One month |ENC with directive from the Secretry of the |
|subsidy, outsourcing of |to forward it to the state | |department will act on it as appropriate. |
|O&M. |government | | |
Monitoring and Evaluation
Project Monitoring and Evaluation framework has been designed to facilitate: (i) learning and process enhancement (through process monitoring by participatory methods, involving group self-ratings, reviews, score cards, satisfaction surveys, etc); and (ii) impact evaluation (involving use of appropriate baseline and controls). . The project monitoring will serve the following purposes:
• Status Reporting
• Implementation performance
• Data generation and sharing with partners
• Dissemination for cross learning
• Accountability
• Intermediate correction in programme implementation
• Service delivery (water & sanitation)
• Use of toilet and sustainability of the structures
1 M&E Activities
M&E activities would include: baseline study; regular performance tracking of inputs and outputs by concerned implementing agencies; concurrent performance monitoring (on a sample basis) by external M&E agency; systematic (“panel data” type) analysis of project impacts through repeated monitoring of the same sample set of households through project lifetime; mid-term and final impact evaluations; and continuous participatory M&E by beneficiary groups at various levels. Reports from these M&E activities will be generated in agreed format according to a set schedule.
2 Implementation Arrangements
The SPMU, through its dedicated M&E unit which would include one M&E expert, will have overall responsibility for planning and coordinating M&E activities. In this role, the SPMU will coordinate M&E activities of the three sets of entities that will undertake the bulk of the data collection and analysis work: (i) the implementing departments/agencies at the state and district levels; (ii) an external M&E agency (to be engaged as consultants for the duration of the project); and (iii) beneficiaries, primarily VWSCs and various project-supported interest groups. The process of participatory M&E by beneficiaries will be facilitated by SOs, by the external M&E agency and SPSU/ DPMU as appropriate. The SPMU will have overall responsibility for developing systems and procedures for appropriate analysis and presentation of the collected M&E data to ensure appropriate use of the indicators for project management and learning.
3 Internal & External Monitoring
Two types of monitoring, as proposed under the project are:
Internal Monitoring: This could be undertaken at each of the levels like VWSC, DWSM and SWSM. At each level, participatory monitoring will with representatives of VWSCs, NGOs and other stakeholders using a pre-tested checklist. Essentially, this involves tracking the scheme cycle on a real time basis and making available results continuously to the managements at district/ state levels. This will be internal to the ‘project’ and will form an integral part of the overall M&E system being developed under the project. This will also help in preparing progress reports on a regular basis.
External Monitoring: SPMU appoints consultants to monitor the implementation performance on a batch wise basis. A TOR to this effect will be prepared during the first six months after the commencement of the project. In addition, an impact evaluation will be conducted twice during the project, first half way through and second at credit closure.
4 Indicators
Following indicators will be used for monitoring purpose.
|Indicators |
|Human Resources |
|Ratio of posts created and staffs appointed as per norms of NBA and NRDWP |
|At least 1 graduate engineer is available for 1,00,000/- population |
|At least 5 DWSM consultants in each district |
|At least 2 BRCs at block level |
|Proportion of habitations prioritized based on Region and caste |
|All project staff trained both in general and specialized aspects, including gender sensitization |
|All staff of Support Organizations and Design Consultants under-go project orientation programs |
|Decentralization |
|Number of existing water supply schemes devolved to PRIs |
|VWSC/ SLC formed and Bank accounts opened |
|Agreed CAPEX contribution mobilized in all the participating villages |
|Number of schemes constructed by VWSCs or HWSCs vis-a-vis those constructed by the government agencies |
|Proportion of VWSCs having one third women members |
|Proportion of VWSCs having SC/ST representation as agreed |
|Proportion of active SLCs |
|Proportion of VWSCs having involvement of Schools and Anganwadis in VWSC |
|WATSAN delivery |
|Number of households as a proportion of total households having household water supply connections |
|Number of BPL/SC/ST households having household water connections |
|Number of Households depending upon pumps / public stand-posts |
|O&M plan prepared, tariff fixed |
|Collection of user charges |
|Proportion of VWSCs actively participating in/managing O&M |
|Capacity Support/ Building |
|Appointment of social mobilization Support Organization/ Agency |
|The agency has at least one fifth of their staff as women |
|The agency has Tribal/Community Development trained professionals |
|Training of at least 5 VWSC members in each village done |
|Training of all women members of VWSC done |
|Capacity building of all the relevant stakeholders built as per the plan |
|Performance – Water Supply |
|% of rural households having water supply systems functional at the time of spot checks |
|% of rural piped water supply systems privately managed |
|% of rural population within 100 m of an improved water source |
|% of BPL/ SC/ST households with household water supply connections |
|% of Tribal households with water supply connections. |
|Reduction in time spent in fetching water- general/ SC/ST households |
|Type of storage for water (specify) contamination observed in drinking water |
|Proportion of Households using deflurode units/filters |
|Proportion of GPs having water quality testing facility |
|O&M cost recovery from user charges. |
|Performance - Sanitation |
|% of households with improved latrines |
|% of BPL/ SC/ST households with improved latrines. |
|% of Tribal households with improved latrines. |
|% of HHLs being used vis-à-vis constructed |
|% of schools in the project areas with latrines as per standards |
|% of schools having functional toilet |
|% of schools having hand washing facility |
|% schools having drinking water facility |
|% of Anganwadis having functional water and toilet facilities |
|% of Open defecation free GPs |
|Lands: |
|% of schemes using government lands |
|% of schemes using Panchayat lands |
|% of schemes using private lands |
|Status note about the owners who parted with lands voluntarily. |
6 Social Audit
Social Audit system shall be adopted for assessing qualitative indicators through beneficiary participation. This shall be done at least twice during the scheme cycle – once, while moving from planning to implementation; and second, at the time of completion and commissioning. All the relevant stakeholder representatives will be mobilized into a team and conduct an audit and sign off on the status as well as the actions thereof. Social Audit procedures prepared under the other Bank assisted projects will serve as base material.
Annexure
1 Terms of Reference
Social Assessment, Capacity Building and Communications
Background
The National Rural Drinking Water Programme (NRDWP) guidelines that came into effect from April 2009, seek to correct this situation by emphasizing the involvement of Panchayati Raj Institutions and communities in planning, implementing and managing drinking water supply schemes. States are incentivized to hand over management of their schemes to PRIs. Funds for sustainability of schemes are provided on a 100% Central share basis. A separate component of support activities to fund IEC, HRD, MIS, Water Quality Monitoring and Surveillance and other support activities has been introduced. Recently, as part of the NRDWP, the DDWS has prepared its long term strategic plan (2011-2022) for ensuring drinking water security to all rural households. The strategic plan aims to cover 90% of households with piped water and at least 80% of households with tap connections during this period. This forward looking strategy supports the creation of an enabling environment for the Panchayati Raj Institutions and local communities to manage rural drinking water sources and systems. The strategy emphasizes achieving water security through decentralized governance with oversight and regulation, participatory planning and implementation of sources and schemes. Capacity building programs will be required for communities to monitor and prudently use their water resources. Sustainable service delivery mechanisms are a central feature of the program, with State institutions or Zilla Panchayats implementing and managing large multi-village schemes, delivering bulk water to villages in water stressed areas, and GPs implementing and managing in-village and intra-Panchayat schemes. The strategy highlights source sustainability measures, water quality safety, monitoring and surveillance, service agreements with operators, convergence of different development programs, and building professional capacity at all levels.
The lagging States in terms of piped water coverage, viz. Assam, Bihar, Jharkhand, and Uttar Pradesh also face constraints in institutional and technical capacity at the State, district, block and GP levels for implementing sustainable rural water supply projects. The constraints are in terms of institutional capacity for involving community and Panchayats in planning, implementing and managing their own drinking water supply schemes, and technical capacity of the State Rural Water Supply Depts for supporting and implementing the decentralization program. Also, operations and maintenance of existing schemes is not satisfactory, resulting in non-functionality of many schemes. Further, the States face issues of water quality affected habitations that require supply of water from distant safe sources.
Key Elements of the RWSS Program for Lagging States are:
The program will be a separate component of NRDWP focusing on lagging states with different allocation criteria and funding components, but implemented within the framework of NRDWP, supporting the following key elements of the reform program:
➢ Placing GPs and communities in the central role, supported by higher levels of PRIs, the State government and the local non-governmental and private sector, for facilitating, planning, implementing, monitoring and providing a range of O&M back-up services.
➢ Using sustainable, community or local government managed models for intra-GP RWSS schemes and using State-PRI partnership models for multi-GP schemes.
➢ Putting water resources security as a core theme of the new model, including increased community management of scarce resources.
➢ Moving the RWSS sector to recovery of at least 50% O&M and replacement costs and initiating contribution to capital costs keeping affordability and inclusiveness in mind. .
➢ Moving towards metered household connections, with 24/7 water supply where feasible, as a basic level of service.
➢ Promoting professionalized service provision management models, and/or back-up support functions, for the different market segments (simple/small single village/GP schemes; large single village/GP schemes; multi village/GP schemes).
➢ Integrating water supply and sanitation, with effective sanitation promotion programs for achieving “clean villages”.
➢ Establishing M&E systems with independent reviews and social audits.
Objectives of the Proposed Study
The objective of the study is to conduct a Social Assessment study, chiefly, to better understand and address social development issues, and ensure accomplishing the outcomes – inclusion, cohesion, equity, security and accountability. This would also enable assessing the social impacts of the proposed project interventions; develop measures to mitigate negative impacts and enhance positive impacts; examine the legal, policy and institutional aspects to enable accomplish the principles underpinning the approach.
The initial inquiry reveals that project beneficiary profile may not be homogeneous, rather, quite diverse comprising a number of sub-groups identifiable on the basis of their differential endowment, gender, ethnicity, different economic groups and other regional features. Therefore, the challenge lies in addressing the requirements of the all the sub-groups, with special attention towards the rural and tribal poor and other normally socially excluded sub-groups. Besides, there are a large number of stakeholders, some internal and others external to the project, who would have varying degrees of influence and impact on project activities and outcomes. This makes it necessary for the project to provide a framework for participation of all key stakeholder groups and enable solicit their contributions towards project design and delivery mechanisms. To this effect, as a part of the project preparation, it is intended to conduct this consulting assignment, Social Assessment (SA). Broad elements of the study shall include beneficiary assessment, stakeholder analysis, social impacts, institutional assessments and risks analysis. The assessment would be carried out consistent with GOI and the World Bank safeguard requirements, policies, regulations and guidelines. Scope of the study is however little larger to cover aspects related to capacity building and communications strategy in general and PRI in particular.
Outline of the Tasks to be carried out
Part A: Social Assessment
Beneficiary Assessment -- comprising socioeconomic profiles at state, district and village level; the project beneficiaries' assessment on the current status of RWSS management and services; and the linkages thereof with governance mechanisms and PRI functioning.
Stakeholder Analyses -- Identify stakeholders at different levels. Map Key Expectations, Impacts, Issues and Concerns as related to each stakeholder and the subgroups thereof.
Impact Assessments -- identify positive and negative social impacts likely to occur for different sub-groups or beneficiaries as a result of project interventions; assess and prioritize impacts based on their significance; and suggest measures to minimize negative impacts and derive the maximum from positive impacts;
Institutional Analysis – document the existing institutional and implementation arrangements, covering all key actors – government departments, sector institutions (such as PHED, Jal Nigam, UP Agro), and Panchayat Raj Institutions (PRIs). Work flow chart be prepared along with fund flow arrangements so as to lead to a SWOT exercise. The analyses ultimately should lead to recommendations on institutional and implementation arrangements for each of the investment streams.
Ascertain and analyze key social risks, internal and external, to the project and measures to address them;
Build the elements of a Community Driven Development (CDD) approach -- List issues and the suggestive measures towards building CDD approach.
Rules for securing lands. The project would require land for rehabilitation/construction activities. Drawing up plans for securing lands would include: (i) document the practices commonly adopted in the state; (ii) conduct a SWOT exercise of the current practice; and (iii) identify issues that need to be taken into account, particularly, relative to the respective State Policy on Resettlement and the Bank’s OP 4.12. Based on the above, formulate a methodology for securing lands for the proposed project. This would essentially involve developing a generic framework by which project could secure lands including mitigation measures (such as resettlement action plan). Generic principles underpinning estimating replacement values (land, structure, and livelihoods) also need to be drawn.
Indigenous Peoples Development Plan (IPDP). The project is likely to cover some of the Scheduled Tribe (ST) areas in at least one state (Jharkhand) and therefore it is important to address the issues related to tribals, mainly to enhance their participation in the project and to ensure that the project benefits are focused on them. The consultant would define principles and develop a framework (complying with Bank OP 4.10) to address tribal issues up-front and provide culturally compatible benefits and promote transparent consultations for informed decision making. To this extent, the consultant will prepare a generic framework in accordance with the Bank’s OP 4.10.
Generation of a baseline data.
Identify and assess the settlement pattern in each state.
Map the existing water supply and sanitation systems and the pattern of usage and the related knowledge, attitude and practices. This should lead to a status note on of the current water supply / usage, environmental sanitation and health & hygiene status which will include the following:-
• Socio economics: sub-groups identifications, habitation, housing and household amenities (space for bathing, defecation, cattle etc) family structure / size, occupation, income , literacy, gender spread, land ownership and use, water supply, hygiene and sanitation, common ailment and medical expenses, relationship between tribal habitations and main villages and gram Panchayats, political representation, special attention to women, reactions to project rules and regulations.
• Water use (optimal): Number and characteristics; sources and availability (quantity, quality); reasons for preferences, if any; reliability (continuum of supply); distance to source; time taken in fetching water, general aspects of water use; water requirement by purposes such as cooking, drinking, bathing, vessels and washing clothes, cattle etc, time allocation (share of household members), focused on women, management aspects such as source protection, method of distribution, ownership of water sources, accessibility tariffs and general maintenance.
• Water use (hygienic): Personal habits in relationship to using water. Water quality at home (drawing, caring, storage and drinking). Water collection, transport and storage practices (condition of containers and ladles, presence of covers and degree of exposure, place of storage including child / animal access, contact with hands and other objects); and practices, if any, to improve water quality.
• Personal hygienic practices: Hand cleansing practices. Disposal of household refuse. Disposals of animal and farm residues. Defecation and ablution. Status of latrine, if any including the type / technology, construction details etc.
• Water sanitation-health relationship: Knowledge about the causes of some water-borne / washed / based / related diseases, extent of disease prevalence, spatial / temporal spread and remedies practiced. Concepts regarding good health and illness. Try and build a cause and effect relationship matrix. Special focus will be on ascertaining the knowledge about hygiene status of the existing household latrine i.e., the extent to which this could be polluting water in the nearby wells. If necessary, draw inputs from the water quality study.
PART B: CAPACITY BUILDING
The main objective of the study is to design the capacity building strategy and implementation action plan for the RWSS sector institutions and the Panchayati Raj Institutions, in accordance with the requirements of the Sector Development Program. The tasks to be accomplished are:
Phase 1
General Assessment of the existing capacity of sector institutions to face the new functions, in terms of personnel, knowledge instruments, information systems, procedures etc. This would include financial management systems, planning systems and operational and administrative functions. the type and levels of risks / gaps, and recommendations for enhancements, along with the pre-requisites for/ limitations in carrying out such enhancement, and recommendations on institutional capacity building to improve financial management practices for Sector Institutions and the PRIs.
Conduct a Training Needs Assessment to assess the training / learning requirements of the personnel of the RWSS sector institutions and Panchayati Raj Institutions at various levels (based on an identification and analysis of the gaps), for enabling them to perform their functions effectively, efficiently and economically.
Capacity building strategy and plan. Prepare an inventory of existing institutions in the State (public or private) including WSSO/CCDU and assess their resource capacity to undertake capacity building for the project and prepare a short list of institutions for sector institutions and Panchayati Raj Institutions personnel along with their strengthening requirements (if need be) thereof.
Based on the above assessments, the consultant will propose a strategy and a general plan for building capacity in sector institutions and PRIs. Anticipating that this may not be an instant endeavor but a long-term even permanent activity, the consultants should consider phasing such capacity building, studying and recommending the start-up effort as a first phase, and then consolidation and maintenance.
Capacity building programs. The initial (2-3 years) effort for capacity building will be designed in detail as indicated below. Individual plans must be considered for each institution and each level of the PRIs. This will include building of knowledge, skills, attitude, management practices for financial and institutional development & management. Broad categories of interventions could be in the spheres of technical, managerial and financial aspects. Specific programs will be developed, based upon need analysis of different stakeholders. Program content should be apt and adequate and appropriate methods for imparting capacity building are essential. It should be ensured that the initiatives are participatory in nature and field oriented, and less of classroom type i.e. lecture mode. All these need to be supplemented by qualified personnel who have an aptitude for the job. Also, specific institutions need to be identified for carrying out the capacity building. No single institute will be able to cater to all categories of interventions. Different institutions will have to be identified, with the possibility of an institutional linkage mechanism, including some institutions outside the state / country. A workshop would take place at this point.
Action plan formulated should include budgeted costs for the proposed activities and a time line.
Phase 2
Preparation of detailed action plans. For each type of institution (sector institutions) and each one of the three levels of the PRI. These plans will be detailed identifying activities, costs and calendar. Activities to be financed under the APRWSS should be specifically identified, including a recommendation of corresponding procurement plan. Activities should be grouped separately into training, information system and communication requirements, development of methodologies, procedures, technical and economic studies, and equipment. A workshop explaining results would take place at this point.
PART C: Information, Education and Communication (IEC)
The objectives of this task is to develop a communications strategy and action plan to support GoI, the project States and sector institutions in the project states (nodal line departments, PRIs and other related institutions) and local communities in planning, implementation and subsequent operations of the project. Hence the communication plan should include strategic elements (getting the buy-in of key decision makers) and operational elements. The communication strategy should take into account the concerns of the key decision makers and stakeholders and the socio-economic characteristics of the target population. This is to ensure that the project is successfully implemented and delivers sustainable and satisfactory water and sanitation[7] services to communities at large and poor and vulnerable groups [such as women, Scheduled castes (SCs) and Scheduled Tribes (STs) and minority] in particular. Key tasks would include:
Conduct structured Stakeholder analysis - Identify of key stakeholders (Central, State, District, Block, Gram Panchayat, Village levels). Gain an understanding of views, perceptions and assumptions held by different stakeholders towards the proposed reform approach (expectations of water and sanitation services, perceptions on tariff, roles and beliefs) through consultations with different stakeholder groups. Carry out a detailed stakeholder analysis (decision makers, implementers, beneficiaries, winners/losers, influencers/opinion makers - proponents and opponents), identifying interests/expectations of each group, their characteristics, implications/potential for the project (positive and adverse) and prioritise them in order of criticality for the proposed project. The stakeholder analysis should analyse the critical stakeholders, their importance and power relationships of each stakeholder in the whole process.
Carry out communication needs assessment – For different stakeholder groups prepare a communications need assessment identifying clearly their assumptions/perceptions and develop key messages that need to be delivered and the method/mode/media and frequency/timing.
Institutional analysis and inventory - Identify existing local level institutions (formal/Informal) including nongovernment organisations, their strengths and their present potential role in carrying out communication activities.
Develop overall communications strategy and action plan - in the form of message and means of delivery for different stakeholders (street corner meetings, ward level consultations, workshops/seminars, individual/collective meetings, presentations to institutions, mass media – print and electronic, other publicity materials – display hoardings, pamphlets, fliers etc) and sequence of events. Develop strategies to promote participation of all the primary stakeholders in the project, promote sustainability and development of local institutions. The draft communication strategy must be discussed in a workshop with key stakeholders and feedback received suitably incorporated in the final version. This strategy and action plan should group the interventions, identifying clearly, items that would be included in the capacity building plan activities that would be undertaken by facilitating agencies at the village level activities that would be undertaken using mass media development and production of IEC materials.
The consultant will also prepare the draft terms of reference for the actual implementation of the communication strategy, to be carried out subsequently with the help of local NGOs or other institutions. Action plan formulated should included budgeted costs for the proposed activities, tools and outline of communication materials.
While preparing the communication strategy, the consultant will consider the following elements:
• Initial communication will be targeted to key decision makers in the state governments to build a supportive environment for sector reforms
• Communication needs will vary depending on the stage of project (Initial, pre-planning, planning, implementation, and post implementation phases).
• Much of the operational communication to village communities will be in the form of capacity building (likely to be delivered by support agencies, NGOs, CBOs) and IEC campaigns.
There are excellent communication practices developed in Bank assisted projects (Karnataka, Kerala, Maharashtra, Uttarakhand, Andhra Pradesh and Punjab) and other states. Similarly good IEC materials have been prepared by these projects, UNICEF and GOI. The consultant is expected to collect these best practices, readily available IEC materials and synthesize them for easy adaptation by the project states.
The consultant should consider Gender and vulnerability analysis to develop a detailed understanding of the issues involved. The main issue is to ensure access for these groups to services and decision making process. The study should develop strategies to enhance the participation of these groups in the implementation of the water and sanitation sector services.
Disclosure workshops
The consultant will hold consultations with stakeholders as a means to elicit explicitly the views of the community, beneficiary groups, SHG and women on their participation at all stages of the project. The findings of the draft report will be discussed with the primary stakeholders in the field to get their feedback. The findings of the final draft report will be discussed in a stakeholder workshop. All consultations should be properly documented and submitted to the client with the final report.
Methodology (Suggested)
The consultant team will identify about 10 Gram Panchayats/ villages/ habitations spread equally over the three regions and duly representing the different agro-climatic, socio-economic and RWSS scenario. These GPs would form the focal points around which other stakeholders can be mapped. The methodology adopted in selecting the GPs for the proposed study will be agreed with the client. Study approach will chiefly be based on participatory approaches. Some of the participatory tools to be used are PRA, sustainability monitoring exercise, women group, SHG interaction, etc. The data/information required for the study needs to be collected through:
• Desk review of policies, regulations, guidelines and Government Orders related to the social aspects of the project.
• Structured interviews with key informants.
• Meetings with concerned officials, VWSCs, PRI members, staff of line departments, consultants, NGOs, SHG etc.
• Stakeholders workshops at different levels (village, sub division, district and state and national level)
The data collected should be computerized so that it could be used for integration into the proposed spatial knowledge base and the monitoring and evaluation system. The emphasis would be on generation of information rather than collection of information.
Schedule of Deliverables
Inception report: Inception report will describe proposed approach, methodology, sampling framework for conducting the study, formats for field surveys, schedule of field work and procedures proposed to be adopted for data collection. In addition, it will briefly describe how social issues will be identified and include methodology for public consultations and identification of various stakeholder groups. The Inception Report will be submitted within two weeks of signing of contract.
Number of copies: 5 copies of the report and electronic version (on 5 CD- ROMs).
Intermediate report: This will describe the methodology adopted, progress achieved, summary of current recommendations and a table of contents and outline of SA report with description of each section.
Number of copies: 10 and electronic version. The Interim Report is due within eight weeks of signing of contract.
Draft final report will be submitted within twelve weeks after signing of the contract. The reports should be clear, logical and readable. It will include an executive summary of not more than 10 pages. The consultant will also submit any additional material that was collected as part of the project that may be of use to the proposed project. An electronic version of the reports will also be submitted (e.g. in MS word format) for dissemination and discussion purposes. This report should be presented in a workshop that will be organized by the client. The comments and suggestions given in this workshop, and those given by GOAP and the World Bank will be addressed and incorporated in the final report.
All the reports mentioned above should be prepared in single spacing, Times New Roman, font size 12 and adequately supported with visuals and graphs.
Final report: Draft report would be revised and finalized as per comments from the client, Bank, and the feedback from the field level consultations.
The final report will necessarily include the following:
• Baseline information and monitoring indicators
• Stakeholder Analysis and Impact Assessments.
• Gender Impact Assessments
• Institutional Assessment along with the SWOT analysis. of the PRIs relative to Institutional arrangements for participation and project management
• Identification of risks which might affect success of the project
• Plans for securing lands.
o Generic framework for RAP and IPP as appropriate
• Capacity Building Assessments, Strategy and Action Plan
• IEC
• Model contract documents for deploying consultants/ support organizations during implementation.
Number of copies: 20 and electronic version (on 20 CD-ROMs). The Final Report is due within sixteen weeks after signing of contract.
Data, services and facilities to be provided by the client:
Each state and GOI through their designated representatives:
• Would provide available data and information that would be relevant to the study including draft project concept note, size, scope, and detailed implementation plans.
• Would provide all necessary and reasonable support to the consultant to collect secondary data, such as issuing authorization letters. The Consultant will be responsible for any translation of documents and for processing of data. The Clients will designate an officer to act as the main liaison officer and participate in the study
• Would help identify contacts in the project areas and facilitate consultation with agencies, affected groups, potential project beneficiaries and others. The consultant would be responsible for contacting the individuals identified and synthesize and analyze the information available;
• Would make available copies of World Bank Operational Policies (Section 5 above) and any other available document(s) relevant to the study.
May designate/depute a team of professionals (client’s organization professionals) to work with the consultants’ team.
List of Key Professional Positions whose CV and Experience would be evaluated
|Key Person |Specialization |Experience |No |Man months |
|Social Development |An Engineer or Post Graduate or MBA with professional |7-10 years |1 |3.0 |
|Specialist - Team Leader |expertise in conducting social assessments, particularly | | | |
| |in agriculture and rural development projects. Proven | | | |
| |experience of conducting PRA/PLAs as well as working with | | | |
| |women, SCs and STs and the poor and remote communities is | | | |
| |essential. Working with Government agencies, PRIs and | | | |
| |international agencies is desirable. | | | |
|Community Development |Post Graduate, with experience of designing and |5-10 years |1 |3.0 |
|Specialist |implementing community participation component in | | | |
| |development projects and managing social safeguard | | | |
| |activities such as resettlement, tribal development etc. | | | |
|Gender Specialist |Post Graduate, with experience of conducting gender |5 years |1 |3.0 |
| |assessments and incorporating gender into development | | | |
| |projects | | | |
|Communication Specialist |Post Graduate, with experience of designing and |5-10 years |1 |3.0 |
| |implementing IEC programs in social sector | | | |
|Social Marketing |MBA with HRD specialization with experience of addressing |5-10 years |1 |3.0 |
|Specialist |gender issues and organizing stakeholder consultations | | | |
|(preferably a woman) | | | | |
Key staff’s input of 15 person months is estimated for the study.
Required Qualifications of the Consultant
• Experience in conducting similar studies in India particularly in rural water and sanitation programs. Familiarity of having worked in selected state is an advantage.
• Strong capacity and experience in organizing and planning survey logistics, data management and statistics.
• Demonstrated knowledge and skills in both quantitative and qualitative surveys and assessments especially using participatory and consultative techniques and tools.
The Outputs of the Consultants will be the following:
The study should be completed within 14 weeks from the date of commissioning of the study. PSU should provide comments at each stage of Report preparation within one week of submission of the report and the consultant should address these at each stage of report preparation. The following are the benchmarks from the date of commissioning of the study:
|Benchmarks (Reports) |Time Schedule (weeks) |
| |for each stage / report |from date of commissioning |
|Stage 1 - Inception report |2 week |2 week |
|Completion of Stage 2 and Intermediate Status Report |2 weeks |4 weeks |
|Completion of Stage 3 , 4 and Draft Final Report |3 weeks |7 weeks |
|Completion of Stage 4 and Final Report |3 weeks |10 weeks |
Management of the Study
The consultant will report to the Additional Chief Secretary, Drinking Water and Sanitation Department, Govt of Jharkhand. The consultancy firm is responsible for all logistics, including but not limited to supplies, printing of instruments, translations, computers, and so forth. The State Government will not provide logistical support for the study team.
Review Committee to Monitor Consultants Work
The Additional Chief Secretary will be the chairperson of the review committee comprising members from the field of engineering, community development and finance. The committee may also seek comments and inputs on the consultants work from the World Bank staff and other experts as appropriate.
2 Stakeholder Analysis - Matrix from all four states
1 Stakeholder Feedback, Assam
|Stakeholders |Feedback on current Status |Understanding of |Expectations from the |Perceived role in |Key Issues |
| | |the WB Project |Project |the Project | |
|Scheme |Use of drinking water from |They have little |Good quality water |The project would |Inadequate awareness |
|Beneficiaries |unsafe sources prevalent along |knowledge about the|Availability in |be run through |about handing over the |
| |with piped water |new project but |adequate quantity |User Committee |scheme to Panchayat and|
| |Piped water is available for |when briefed about |More number of |They would |role of Panchayat |
| |average 1 to 2 hours daily |the new scheme, |household connections |identify one or | |
| |while in Hailakandi community |they opined that |Uninterrupted service |two resource |The users’ feels |
| |reported of having water once |there is an urgent| |persons in each |awareness generation on |
| |in two days |necessity of water | |project area to |WATSAN issues is |
| |They generally do not practice |and welcome the | |form the user |required |
| |safe handling of drinking water|project as this | |committee for | |
| |Iron contamination in water |would augment water| |daily O&M | |
| |reported, in Sonitpur some |supply in the | | | |
| |habitants practice indigenous |villages | | | |
| |method of purification using | | | | |
| |sand and stone | | | | |
| |In present condition more | | | | |
| |number of stand posts provided | | | | |
| |and low pressure of water in | | | | |
| |the extreme point is reported | | | | |
| |along with no water at all in | | | | |
| |the study areas | | | | |
| |Average collection of water is | | | | |
| |for 3 times a day from nearby | | | | |
| |sources and it takes more than | | | | |
| |10 minutes each time to collect| | | | |
| |water | | | | |
| |The maximum distance generally | | | | |
| |covered is around 1 to 3 K.M | | | | |
|GP Functionaries |They have complaints about PVC |Not aware about the|Needs water for longer|Ready to support |This project would help |
| |pipes laid by PHED |new scheme details |duration and |in implementation,|bring overall |
| | | |uninterrupted services|maintenance and |development |
| | | | |running the | |
| | | | |programme | |
|GPWSC / VWSC |VWSC exits, in the project |Not fully aware of |Uninterrupted water |Shall cooperate in|Ready to help and |
|Members |areas the members of GPWSC |the scheme |supply and grater |scheme operations |intervene for any local |
| |mentioned that as these schemes|detailing |coverage | |issues also ensure |
| |are not handed over to GPs by | | | |availability of land if |
| |PHED they are only having | |Electrician and | |required. |
| |advisory role | |Plumbing training and| | |
| | | |training on | | |
| | | |Maintenance of Books | | |
| | | |of Accounts for User | | |
| | | |Committee is urgently | | |
| | | |required | | |
|User Committee |User committees are operational|Not fully aware – |Augmentation of water |Will undertake |There is no space for |
| | |though some seem to|supply and new |scheme management |keeping records at the |
| |User charges usually Rs. 50/- |be aware while |sustainable water | |programme area User |
| |per month with a security |proposed scheme |supply and sanitation | |Committees does not have|
| |deposit of average Rs. 500 to |detailing is not |systems in the | |any office set up. All |
| |600/- |available with them|villages | |documents related to |
| |They prefer to maintain liaison| |Design the system for | |user Committee generally|
| |with PHED instead of Panchayat | |equitable water supply| |maintained by PHED, |
| |for any water related issues | |and sanitation | | |
| | | |facilities | |They are satisfied with |
| | | |Community capacity | |PHE work and have a |
| | | |building | |demand for more water |
| | | | | |(quantity), |
| | | | | | |
| | | | | |For any breakdown the |
| | | | | |user committee directly |
| | | | | |contacts PHE and PHE |
| | | | | |does necessary repairing|
| | | | | |in 2 days time |
| | | | | | |
| | | | | |Training required to |
| | | | | |effectively run the user|
| | | | | |committee |
| | | | | |Needs extensive |
| | | | | |awareness on user |
| | | | | |committee |
| | | | | |In case of sanitation |
| | | | | |general opinion is to |
| | | | | |get sanitation system in|
| | | | | |a subsidized rate |
|PHED |Inadequate coverage by piped |Aware of the |Augmentation of water |Involvement at |Handing over of schemes |
| |water |proposed project |supply and new |different levels –|to PRI-s |
| |Water quality deficient in some| |sustainable water |at State ( through|Accountability of |
| |locations | |supply and sanitation |SPMU) at District |operation and |
| |Need for rehabilitation and | |systems in the |( through DPMU) |maintenance to be vested|
| |augmentation of water supply | |villages | |on GPs |
| |systems and PRI/ community | |Streamlined process | |PHED to handle major |
| |involvement in maintenance | |for PRI involvement | |maintenance issues and |
| |needed. | | | |provide technical |
| | | | | |guidance |
|PHED Grassroots |A general observation that the |They don’t know how|The project will solve|They have to |People do not pay any |
|Officers |User Committee are not equipped|the existing system|the local water |identify one or |attention when PHED |
| |to take full responsibility of |would be integrated|crisis. |two resource |repairs the pipe later |
| |schemes |to the new one. | |persons in each |they complain. Even if |
| |All the work is done through |Even clueless on | |project area to |the user committee is |
| |informal communication |the point whether | |form the user |formed it is usually |
| |PHE is also not involved in day|the existing supply| |committee |becomes defunct when the|
| |to day functioning of User |units will be | | |hand holding support is |
| |Committee |closed | | |withdrawn. |
| |They mentioned that have not | | | |Cross Subsidy may be one|
| |faced any land problem even for| | | |solution for the poor |
| |installation of tube well, land| | | |They prefer |
| |generally donated by community | | | |accountability to be on |
| |spontaneously. The land for | | | |GP while the technical |
| |construction of existing pump | | | |support to be provided |
| |house was also gifted by the | | | |by the PHED. |
| |community | | | | |
|Panchayat and Rural|There is urgent need for |Need to understand |Increase coverage of |As a partner |Convergence procedure to|
|Development |installation of sanitary |the project in |public utility |Department in |be streamlined through |
|Department. |toilets on a large scale |details but as far |services |implementing RWSS |integration and |
| |DO No J-11017/41/2011-MGNREGA |as installation of | |projects |incorporation in to the |
| |(Pt) proposes that “NGOs may |latrine is |Convergence of | |Action Plan of the PHED |
| |also be allowed as Implementing|concerned |programmes for | | |
| |Agencies for implementation of |convergence is |effective utilisation | | |
| |Individual Household Latrine |possible |of resources | | |
| |(IHHL) under MGNREGS in | | | | |
| |convergence with NBA”. |On the issue of | | | |
| | |handing over to GPs| | | |
| | |procedure | | | |
| | |streamlining is | | | |
| | |required | | | |
|Women |Distribution of hand pumps is |no such awareness |Water for longer |Ready to pay user |Women issues need to be |
| |concentrated at some points. | |duration |charges |considered separately |
| |Water collection is generally | | | | |
| |done by women and they have to | | | | |
| |wait in a long queue | | | | |
| |needs door to door connection | | | | |
| |ready to motivate male | | | | |
| |counterparts to pay | | | | |
| |needs water for longer | | | | |
| |duration, | | | | |
| |involves long time for | | | | |
| |collecting water hence | | | | |
| |livelihood affected, | | | | |
|Self Help Group |Needs training on vocational |Welcome the project|Supply of good quality|Ready to pay user |Presently having limited|
|(SHG) |skills, | |water in sufficient |charges |access and needs |
| |only practice thrift activities| |quality |Can get involved |awareness generation and|
| |Income generating activities | | |in the project and|advocacy for demanding |
| |not done directly and | | |provide services |services |
| |controlled by intermediaries | | |related to |Capacity building on |
| |hence do not get proper | | |awareness |management of water |
| |remuneration | | |generation and |supply schemes for |
| |Having limited interaction with| | |user charge |effective contribution |
| |Gram Panchayat | | |collection | |
|Other grass root |In Hailakandi, They use pond |They understand |They will be immensely|They are willing |No negative impact |
|level workers |water for washing and bathing. |that if this |benefitted |to take role as |Huge Gap in capacity |
|including Health, |Fetch water from a distance of |project comes it | |trainer and |building |
|ASHA, ICDS workers |1km on an average by hiring a |will be of great | |capacity builder |Awareness campaign from |
| |cart. The collection is |help to them, but | |for the common |door to door is required|
| |generally once in a week. |they can't believe | |people |for common people, local|
| |ASHA volunteer at Bongaigaon |now that it will be| | |NGOs as well as PHED |
| |mentioned that they |a reality. | | |grass root workers and |
| |demonstrate the community on | | | |social leaders |
| |use of safe water but due to | | | |Sustainability possible |
| |scarcity of water they as well | | | |through formation of |
| |as the community is bound to | | | |effective user |
| |use unsafe water and feel | | | |committee. PRI should |
| |depressed. Diarrhea has major | | | |have limited role. |
| |outburst, though mortality not | | | | |
| |reported. Skin disease is also| | | | |
| |common. ICDS workers, opined | | | | |
| |that they have to cook food | | | | |
| |using pond water as well as | | | | |
| |ring well water hence they need| | | | |
| |water tank near their Centre. | | | | |
| |Presently they do not store | | | | |
| |piped water for their use. | | | | |
|Local Traders |as there is no water they can't|Not aware of |Supply of water |ready to pay user |needs water for longer |
| |run hotel business and other |details of the | |charges |duration |
| |improved services and welcome |project | |Shall extend | |
| |the proposed project | | |cooperation | |
| |In DD PWSS scheme area of | | | | |
| |Jorhat, local traders | | | | |
| |contacted, they reported that | | | | |
| |new project would increase | | | | |
| |scope for business and they | | | | |
| |could be engaged in material | | | | |
| |supply to the project site. | | | | |
| |Water would act as facilitator | | | | |
| |for development and habitation | | | | |
| |would also grow with supply of | | | | |
| |water thus scope for business | | | | |
2 Stakeholder Feedback, Bihar
|Key Stakeholders|Role – |Strengths |Weakness |Opportunities |Threats |
| |Direct/ | | | | |
| |Indirect | | | | |
|State level | | |
|Public Health |Direct |It is the state nodal agency |Less staffed |Ensuring expansion of the |It may happen that |
|Engineering | |responsible for providing |Lacks soft skills |organization and timely |community |
|Department | |drinking water and sanitation |Struggling with water |completion of projects |participation is not |
| | |facilities in the rural areas of|related issues |Should consider users as |achieved as desired |
| | |the state and implements the |Depletion of ground water|customers |It may happen that due|
| | |drinking water supply and |level due to low |Have to come out of the |to casteism at local |
| | |sanitation projects under the |rainfall/flood zone |thought process of being |level no support on |
| | |National Rural Drinking Water |remains under water |providers |community mobilisation|
| | |Plan (NRDWP), Total Sanitation |Deterioration of water |Building of soft skills so | |
| | |Campaign (TSC), State Plan and |quality due to water |that they could implement |Political pressure |
| | |other external assistance |depletion, bacterial |participatory development |Non Convergence of |
| | |programs |contamination due to |models |programmes |
| | |Technically competent group |population pressure and |Requires orientation on | |
| | |which can do effectively if they|open defecation |Public Health issues | |
| | |work through community | | | |
| | |participation by putting a | | | |
| | |mechanism of getting community | | | |
| | |response on all their | | | |
| | |activities. | | | |
|State Water and |Direct |Bihar State Water & Sanitation |Struggling with following|Requires customised |It may happen that |
|Sanitation | |Mission (BSWSM) is nodal agency |issues |communication strategy for |community |
|Mission | |for implementation of total |Communities’ lack of |behaviour change as most of |participation is not |
| | |Sanitation Campaign & |sense of hygiene due to |the population is illiterate|achieved as desired |
| | |Swajaldhara in the state of |illiteracy, lack of |Establishment of |It may happen that due|
| | |Bihar. It has two missions – |awareness, inadequate |coordination with related |to casteism at local |
| | |Project Management Unit (PMU) |capacity building at the |departments like health, |level, there is no |
| | |and Communication and Capacity |grass root level and lack|education social welfare. |support for community |
| | |Development (CCDU). |of convergence |Appointment of VWSCs and |mobilisation |
| | |Technically competent group for |Lack of co-ordination |training of its members on |Political pressure |
| | |project delivery |with related departments |different aspects |Non Convergence of |
| | |Implementation of M&E system |like health, education | |programmes |
| | |Undertakes IEC and capacity |social welfare. | |They may have to pay |
| | |building to ensure that people |Absence of front line | |more for providing |
| | |will take care of the |workers at village level | |services to poor |
| | |maintenance | | | |
|UNICEF |Direct |Technically competent body- has |No issues |Is involved at the policy |May face problem of |
| | |huge potential of providing | |level, therefore assists the|poor coordination |
| | |technical support | |PHED which in turn works | |
| | | | |with the grass root level | |
| | | | |organizations. | |
|DFID-SWASTH-WATS|Direct |Works on convergent actions |Though a lot of effort |Work closely and provide |May face problem of |
|AN-Bihar | |primarily from three service |has been put on |continuous support for |poor coordination |
| | |delivery departments of the |convergence at State & |strengthening the O&M of | |
| | |Government of Bihar, the |District level but the |water treatment facility, | |
| | |Department for Health and Family|same process does not |water quality management, | |
| | |Welfare (DoHFW), Social Welfare |trickle down at block & |IEC etc. | |
| | |Department (SWD), and Public |village level- for |Should help in establishing | |
| | |Health Engineering Department |example resource persons |coordination with related | |
| | |(PHED). Therefore having close |such as Anganwadi |departments like health, | |
| | |working relationship with three |workers, ANM and Asha |education social welfare. | |
| | |main departments working on |didi does not work in a | | |
| | |issues of health, hygiene and |converged manner | | |
| | |social welfare | | | |
| | |Technically competent body thus | | | |
| | |helping PHED on the issue of | | | |
| | |water quality in an integrated | | | |
| | |manner addressing the critical | | | |
| | |gaps in the rural water quality | | | |
| | |management of Bihar | | | |
|Development |Indirect |Working in rural Bihar in the |The organization has a |They can be utilized to |May face problem of |
|Partners – | |areas of livelihood, health |limited coverage for |reach communities, thereby |poor coordination |
|Mahila Samakhaya| |issues, capacity building/ skill|their interventions. |motivating and generating | |
| | |development | |awareness amongst the rural | |
| | |They have huge potential as they| |community regarding the | |
| | |are already working at the grass| |rural water supply schemes | |
| | |root level and have community | |They can also be involved in| |
| | |support with 8039 SHGs and | |mobilizing women groups | |
| | |166075 members who could be | |within the villages by | |
| | |involved for better governance | |spreading their geographical| |
| | |at community level | |coverage | |
| | | | |Can be involved for any kind| |
| | | | |of campaign for awareness | |
| | | | |generation | |
|Development |Indirect |They have huge potential as they|The organizations have a |They can be utilized to |May face problem of |
|Partners – | |are already working at the grass|limited role in current |reach communities, thereby |poor coordination |
|Bihar Rural | |root in 8 districts level and |context |motivating and generating | |
|Livelihood | |have community support with | |awareness amongst the rural | |
|Project | |59105 SHGs and 192000 members | |community regarding the | |
|(Jeevika) | |who could be involved for better| |rural water supply schemes | |
| | |governance at community level | |They can also be involved in| |
| | |Their community mobilisation | |mobilizing women groups | |
| | |models and activity tracking | |within the villages by | |
| | |systems are holistic | |spreading their geographical| |
| | | | |coverage | |
| | | | |Can be involved for any kind| |
| | | | |of campaign for awareness | |
| | | | |generation | |
|District level | | |
|District Water &|Direct |District level agency for |Less staffed |Ensuring expansion of the |It may happen that |
|Sanitation | |implementation of total |Lacks soft skills |organization and timely |community |
|Mission & Public| |Sanitation Campaign & |Lack of technical |completion of projects |participation is not |
|Health | |Swajaldhara |resource persons with |Should consider users as |achieved as desired |
|Engineering | |Technically competent group can|expertise in social |customers |It may happen that due|
|Department | |be effective if they work in |mobilization, IEC/ HRD |Have to come out of the aura|to casteism, local |
| | |community participation by |activities as well as |of providers |level does not support|
| | |putting a mechanism of getting |sanitation, health and |Building of soft skills so |community mobilisation|
| | |community response on their |hygiene experts to |that they could implement | |
| | |activities. |strengthen rural water |participatory development |Political pressure |
| | | |supply scheme |models |Non Convergence of |
| | | |Lack of efforts to |Requires orientation on |programmes |
| | | |motivate community |Public Health issues | |
| | | |participation, primarily | | |
| | | |all the planning of | | |
| | | |implementation of | | |
| | | |activities is done by the| | |
| | | |Junior Engineer and Block| | |
| | | |Coordination, therefore | | |
| | | |there is no strong | | |
| | | |mechanism of getting | | |
| | | |community response on | | |
| | | |their activities | | |
|Contractors |Direct |Helping the Department in |Less experienced |They need to be monitored |They may lose business|
| | |scheme implementation |contractors for |closely so that they deliver| |
| | |Securing steady business |specialized work of the |better quality output- |Low Profit margins due|
| | |revenues at least costs |drinking water supply |regulatory control with |to close monitoring by|
| | | |sector |feedback loop of |the department and |
| | | |Potential to inflate the |beneficiaries to be put in |community, hence no |
| | | |projects costs. |place |interest at low |
| | | |Potential to keep | |margins |
| | | |community annoyed by | | |
| | | |providing poor quality | | |
| | | |services | | |
|NGOs |Indirect |Non government bodies are |They have huge potential |NGOs could be appointed for |No negative impact |
| | |engaged in water and sanitation|as they are close to the |communication and outreach | |
| | |related activities |community. |activities of sector program| |
| | |Know the participatory |They can be utilized to |They can also be involved in| |
| | |development models but |reach communities, |mobilizing women groups | |
| | |currently not using them in |thereby supporting W&S |within the ward | |
| | |rural services delivery. |program |They should be used for | |
| | | |Can be used for any kind |social monitoring of sector | |
| | | |of campaign for |program like city sanitation| |
| | | |connecting households to |committee | |
| | | |the main sewers. |They can also be involved | |
| | | | |for providing water supply | |
| | | | |and sanitation services like| |
| | | | |Rural Sanitary Marts and | |
| | | | |Production centers | |
|Block level | | |
|Block Resource |Direct |They have huge potential if they|These are grass root |Ensuring expansion of the |It may happen that |
|Centre (BRC) | |are properly staffed and |level institution |organization and timely |community |
| | |oriented towards service |involved in effective |completion of projects |participation is not |
| | |delivery |implementation of all |Have to come out of the |achieved as desired |
| | | |activities related to |notion of providers |It may happen that due|
| | | |Water and Sanitation and |Building of soft skills so |to casteism, local |
| | | |are directly connected |that they could implement |level does not support|
| | | |with the Gram Panchayats,|participatory development |community mobilisation|
| | | |Village Water and |models | |
| | | |Sanitation Committees. |Requires orientation on |Political pressure |
| | | |However these are non |Public Health issues |Non Convergence of |
| | | |functional due to | |programmes |
| | | |inadequate availability | | |
| | | |of manpower | | |
|Gram Panchayat level | |
|Panchayati Raj |Direct |They are elected members of |Too much politics and |They should be involved in |Non capability to |
|Institutions | |community and they are mostly |casteism involved as |motivating community for |handle finance and may|
| | |believed by the community. |Mukhiya or a member of |taking part in water and |land up in trouble |
| | |It is also observed that they |the dominant caste |sanitation management for |Contributions may not |
| | |enjoy respect of their |(powerful) decides who |sustainability of service |be deposited by the |
| | |community in most of the |will get what benefit |delivery so that financial |villagers |
| | |contacted panchayats |They are not actively |viability of the schemes is |VWSCs may become more |
| | |Very close to the community |involved in a dialogue |not affected. |empowered than PRI, |
| | |They are basically first point |with the community on |Should be trained in |hence PRIs may not |
| | |of contact of community thus, |tariff for maintenance of|participatory development |co-operate |
| | |have potential in community |water supply systems |models |May lose community |
| | |mobilisation for operation and |There is a dearth of |They should play an active |land |
| | |maintenance of W&S services |funds, functionaries and |role in the planning, | |
| | |including delivery of piped |infrastructure facilities|implementation and | |
| | |water supply and solid waste |for PRI as a result of |management of W&S services | |
| | |management. |which the actual |including domestic waste | |
| | |Expect good quality water |designated duties and |disposal. | |
| | |Expect regular water supply |functions as per the |They also need to be | |
| | |Timely delivery of funds |Bihar Panchayati Raj Act |involved in dialogue with | |
| | | |are not being performed |the community for ensuring | |
| | | |by the local bodies. |piped water connections, | |
| | | |Presently, they are not |timely payment of tariff and| |
| | | |actually engaged in |support in management. | |
| | | |implementation of | | |
| | | |development programs and | | |
| | | |schemes but their role in| | |
| | | |governance is at a | | |
| | | |nascent stage | | |
|Women |Direct |Water is a basic necessity for |They are not aware of |Women education and |Heath hazards due to |
| | |all more importantly women as |issues related to unsafe |empowerment programmes |stagnant water and |
| | |they are primary users, |water and improper |should be reinforced |sewerage |
| | |providers and managers of water |sanitation They are |Women groups organised by |Higher tariffs |
| | |in their households and are the |mostly illiterates and |Mahila Samakhya could be |May come across social|
| | |guardians of household hygiene |also not empowered |involved for active |issues due to in |
| | |and health related issues |Women are not the |participation in W&S related|migrant labors |
| | |Interested in safe drinking |empowered section of the |issues | |
| | |water and proper sanitation |society in rural area |In the model of Mahila | |
| | |however, not aware of issues |Women do not have much |Samakhya similar groups | |
| | |related to unsafe water and |say in their families |developed at village level | |
| | |improper sanitation |leave alone their |for active participation in | |
| | |Expects Good quality water for |participation in the |W&S related issues | |
| | |domestic purposes and also for |public meetings. |They can also be involved | |
| | |cattle purposes as well. |For taking any decision |for O&M of W&S programmes | |
| | |Expects regular water supply |they are dependent on the| | |
| | |with appropriate timings and |male members of the | | |
| | |reasonable durations. |family. | | |
| | |Adequate number of stand posts |Women are mostly | | |
| | |as per the requirement of |illiterate and are not | | |
| | |villagers |aware about any | | |
| | | |development programs or | | |
| | | |initiatives | | |
| | | |Women collect the water | | |
| | | |for all domestic use from| | |
| | | |the hand pumps either | | |
| | | |installed at their houses| | |
| | | |or from the public hand | | |
| | | |pumps. | | |
|Community |Direct |Water is a basic necessity for |They are not aware of |Pro poor policy is to be |Heath hazards due to |
|including | |all, more importantly for the |issues related to unsafe |taken up |stagnant water and |
|SC/OBC/EBC | |socially economically weaker |water and improper |Livelihood groups formed |sewerage |
| | |section of the society who are |sanitation |under Bihar Rural Livelihood|Higher tariffs |
| | |generally not able to afford the|Are not the empowered |Project (Jeevika) could be |May come across social|
| | |services and are facing serious |section of the society in|involved for active |issues due to in |
| | |problems due to unhygienic and |rural area |participation in W&S related|migrant labors |
| | |unhealthy condition |They do not have much say|issues |May lose community |
| | |Interested in safe drinking |in community meetings. |In the model of Jeevika, |land |
| | |water and proper sanitation |They are mostly |similar socially backward | |
| | |however, not aware of issues |illiterate and are not |and marginalised groups | |
| | |related to unsafe water and |aware about any |could be developed (this | |
| | |improper sanitation |development programs or |also has a mandate in State | |
| | |Expects good quality water for |initiatives |Rural Livelihood Mission) at| |
| | |domestic purposes and also for | |village level for active | |
| | |livestock as well. | |participation in W&S related| |
| | |Expects regular water supply | |issues | |
| | |with appropriate timings and | |They can also be involved | |
| | |reasonable durations. | |for O&M of W&S programmes | |
| | |Adequate number of stand posts | | | |
| | |in villages | | | |
| | |They expect special | | | |
| | |consideration for their | | | |
| | |requirements and needs while | | | |
| | |program planning | | | |
|Anganwadi |Direct |Are the basis institutes of |There are various issues |They should be involved in |Heath hazards due to |
|Centres (AWCs) | |health care system and work |in functioning of AWCs, |motivating community towards|stagnant water and |
| | |under the Integrated Child |primarily these do not |safe water and sanitation |sewerage |
| | |Development Services program to |have their own buildings |services through students | |
| | |combat child hunger and |– are run in rented |Should be involved in VWSCs | |
| | |malnutrition. It provides basic |buildings or at a public |as members and then trained | |
| | |health care in villages include|place with no water and |in participatory | |
| | |counselling to pregnant & |sanitation facility |development models | |
| | |lactating mothers, adolescent |As these are the basic |They should play an active | |
| | |girls and supply, nutrition |centres of health care |role in the planning, | |
| | |education and supplementation, |and hygiene, no proper |implementation and | |
| | |as well as pre-school |resources are provided to|management of W&S services | |
| | |activities. The centres are also|them |including domestic waste | |
| | |used as depots for oral |The children attending |disposal. | |
| | |rehydration salts, basic |the Anganwadi either has | | |
| | |medicines and contraceptives. |to go home for urination/| | |
| | |They are also point of contact |defecation or have to sit| | |
| | |of community thus, have |in the open as very less | | |
| | |potential in community |Anganwadis have toilet | | |
| | |mobilisation for operation and |facility within their | | |
| | |maintenance of W&S services |premises. Similar is the | | |
| | |including delivery of piped |case with water facility,| | |
| | |water supply and solid waste |the water for drinking & | | |
| | |management. |hand washing is stored | | |
| | | |for the children in the | | |
| | | |bucket – which is | | |
| | | |collected from the nearby| | |
| | | |hand pump. Therefore the | | |
| | | |children though taught | | |
| | | |about hygiene are not so | | |
| | | |keen in practising it. | | |
|Schools |Direct |Schools and teachers are |Due to the non |They should be involved in |Heath hazards due to |
| | |respected among the community. |availability of running |motivating community towards|stagnant water and |
| | |This is a place where children |water supply in the |safe water and sanitation |sewerage |
| | |spend most of their time and |school toilets, the |services through students | |
| | |learn various important things |students leave them dirty|Should be involved in VWSCs | |
| | |under the supervision and |which cannot be used by |as members and then trained | |
| | |direction of teachers. |other students. In |in participatory | |
| | |They are also point of contact |addition to it there is |development models | |
| | |of community thus, have |no full time sweeper |They should play an active | |
| | |potential in community |available in the school |role in the planning, | |
| | |mobilisation for operation and |for cleaning toilets |implementation and | |
| | |maintenance of W&S services |regularly therefore the |management of W&S services | |
| | |including delivery of piped |school administration has|including domestic waste | |
| | |water supply and solid waste |to avail services on |disposal. | |
| | |management. |contractual/ day to day |They also need to be | |
| | | |basis of either sweeper, |involved in dialogue with | |
| | | |helper etc for getting |the community for ensuring | |
| | | |the toilets cleaned. Same|piped water connections, | |
| | | |is the case with |timely payment of tariff and| |
| | | |teachers, it is not |support in management. | |
| | | |always possible for them | | |
| | | |to take a bucket of water| | |
| | | |while going for toilet | | |
| | | |therefore they prefer to | | |
| | | |use either the nearby | | |
| | | |panchayat ghar or go | | |
| | | |home. Also in most of the| | |
| | | |schools there is no | | |
| | | |separate toilet for | | |
| | | |teachers and they have to| | |
| | | |use the toilets meant for| | |
| | | |the students which is | | |
| | | |mostly very filthy | | |
|Village Health |Indirect |Is not an empowered committee |In most of the places it |Primarily inactive |As they do not have |
|Nutrition and | |for ensuring delivery of |is not formed or if |institution and requires |mandate to look after |
|Sanitation | |services related to water |formed is non-functional |regular capacity building |water facilities thus,|
|Committees | |However, if they are organised |or inactive |and awareness generation. |they may not turned up|
|(VHNSC) | |they can as well be entrusted |The members have been |The intended benefit from |as envisaged |
| | |the responsibility of looking at|provided with several |these capacity building and |Conflicts may arise on|
| | |water & sanitation issues |trainings on sanitation |awareness generation |distribution and use |
| | | |related issues but these |programme does not reach the|of water |
| | | |are limited to |community therefore more |VHNSCs can be hijacked|
| | | |themselves, proper |focused approach required |by politically |
| | | |dissemination of | |influenced groups |
| | | |information from their | |VHNSCs may become |
| | | |end to the community | |another bureaucratic |
| | | |members not there | |setup for the |
| | | | | |villagers |
| | | | | |VHNSCs may overlook |
| | | | | |PRI and may land in |
| | | | | |trouble |
3 Stakeholder Feedback, Jharkhand
|Stakeholders |Expectations |
|All Users/Beneficiary |Wants water for all purposes – both drinking, domestic and for cattle. |
| |Wants good quality and sufficient water at pre-informed timing on regular (daily) basis. |
| |Power (Electricity backup) with adequate water storage to tide over the scheduled and unscheduled power cuts. |
| |Prefer household connection. |
| |Community tap fine if not more than 25-30 mts away. |
| |Number of community stand posts as per the clusters of households and not by fixed numbers of HH in village. |
| |Maintenance free sanitation facilities or easy to maintain toilets with less water requirement. |
| |Identification of poorer families irrespective of social status and provision of support preferably for |
| |constructing individual latrines. |
| |Adequate and timely O&M of the water supply. |
| |For APL, subsidized individual latrines, water connections. |
| |Technical know-how, mass awareness generation on sanitation, health and gender. |
| |Mass awareness generation among all water users. |
| |Special campaign like awareness for ST and other marginalized sections and their priority inclusion in VWSC or |
| |related committees. |
|Scheduled Tribes |Would like to be consulted through their traditional (Pradhan) institutions as well as elected PRI members in |
| |decision making, implementation and operation and maintenance. |
| |Would like to be part of Village WCSC so they have their say as well. |
| |Equitable rights or even preferred right over water while planning water supply systems. |
| |Would like to work in the projects initiated in their panchayat or village. |
| |Would like to receive training as plumbers and masons. |
| |Government should protect their interests in all aspects of Water and Sanitation as they are very poor. |
|Women as primary users |Better quality and quantity of water. |
|and as a Sub- |Better capacity of tanks (OHSR). |
|Group |Water available at an appointed time. |
| |Preference for household connections. |
| |Timely repairs and better management of standposts/household connections. |
| |Good quality but cheap and safe sanitary facilities. |
| |Disposal of wastewater in a safe manner. |
| |Well defined government support and subsidy (period and incremental tariff). |
| |No Open defecation. |
| |All schools with water and sanitation facilities – compulsory. |
|VWSC Members |Regular good quality water supply and ODF village. |
| |Acceptance for equitable water supply and latrines of same quality. |
| |Training of VWCSC members and other skilled persons on operations and maintenance of all aspects of water and |
| |toilets. |
| |Preferred employment for labour to STs and villagers. |
| |Handholding for longer period of schemes in Water and sanitation. |
| |Engagement of locally built institutions for Operation and Maintenance. |
| |In-depth consultation with all groups with regard to siting of water facilities. |
| |WVSC’s training and empowerment for responsibility of collecting tariff from villagers. |
| |Exposure visit to “seeing is believing” for replication. |
|Gram Panchayat |Strong and regular capacity building of PRI members in Water and Sanitation. |
| |Adequate and timely funds. |
| |Good quality and quantity of water supply. |
| |Treatment of water for drinking purposes. |
| |VWSC to work under the direction of Gram Panchayat (PRI). |
| |Timely repair and maintenance. |
| |Regular water supply and ODF status. |
| |Regular payment of tariff to be collected by VWSC. |
| |Capacity building of Jalsahiyas and different kind of incentives for her. |
| |Strong training to both VWSC and Jalsahiyas. |
| |Mukhiya to be consulted for all work. |
| |Timely completion of work by engineers/government. |
| |Regular interaction with JE and SDO for these schemes. - |
| |Initial subsidy for all for water connection and latrines. |
| |Surplus funding for emergency work. |
|Block Development Level |Want additional technical manpower to manage projects. |
| |Wants strong financial support from the project. |
| |Wants involvement of local political both MLA and MP. |
| |Capacity building of Elected representatives as they do not understand financial and technical implications. |
| |Establishment of BRCs for specifically water and sanitation. |
|Zilla Parishad |Wants only to be a facilitating agency for implementation of the program. |
| |Wants sufficient financial support from project. |
| |Wants all stakeholders including involvement of current MLAs and MPs. |
| |Wants that key decisions related to implementation are made at ZP level. |
|Panchayati Raj |Strong and regular capacity building of PRI members in Water and Sanitation. |
|Department |Adequate and timely funds. |
| |Good quality and quantity of water supply. |
| |Treatment of water for drinking purposes. |
| |Timely repair and maintenance. |
| |Regular water supply and ODF status. |
| |Regular payment of tariff to be collected by VWSC. |
| |Greater Convergence with Drinking Water Supply & Sanitation Department, Health Department, Social Welfare |
| |Department, etc. |
|Social Welfare |Equitable access over water while planning water supply and sanitation projects |
|Department |Ensure tribal rights are protected while designing the project |
| |Representation of tribals and other excluded sections in project related decision making |
| |Ensuring the inclusion of tribals in the project cycle |
| |The employment generated, if any, should equally benefit the tribals, PTGs and other excluded groups |
| |Greater Convergence with Drinking Water Supply & Sanitation Department, Health Department, Rural Development |
| |Department, etc. |
|AE/JE DWSD |Want more technical man power to reach all villages. |
| |Would like facilities for quick movement to far off villages like dedicated vehicles. |
| |They should be involved only in supporting the technical aspects. |
| |Mass capacity building for all field level functionaries including DPC and Block level resource person. |
| |Long term IEC plan. |
| |Individuals/Community to take care of maintenance after providing connection-toilets. |
| |Better ground water data. |
| |Plans for systematic recharge of wells and rain water harvesting. |
| |Role clarity of Jalsahiyas. |
|EE/ SE, SDO |Strong IEC along with capacity building particularly to PRIs and VWSC |
| |More field level technical manpower support AEs |
| |Very good quality Community Mobilizers and Community Communicators |
| |At least total cost collection of O &M |
| |DWSD should be overall project implementation agency |
| |Should seek support of good NGOs in CDD and strengthening VWSC and Jalsahiyas role |
| |Regular consultation with professional and technical staff at DWSD |
| |Quality training in Procurement, Planning and Implementation |
| |Planning tress on augmentation of sources through ground water recharge measures |
| |Provision of adequate funds for complete augmentation or new water and sanitation systems |
| |Sufficient fund flow from government timely completion of work |
|DPMU/BRC |Should be an experienced and capable person in Water and Sanitation |
| |Should be the link between all GPs and VWSC |
| |Should take leadership role for making ODF villages |
| |Should design locally relevant trainings to change current attitudes or practices |
| |Should take up regular IEC & capacity building to ensure that community starts owning the project |
|SPMU – State Water and |Long term viability of the project |
|Sanitation Mission |Long term viability of O & M |
| |Strong monitoring of the project implementation |
| |Need some good models first for replication |
| |Exposure visits for GP and Village level functionaries |
|NGOs/INGOs |Their participation and involvement in all watsan programs particularly those who are working on watsan |
| |Policies based on ground realities |
| |Issues of sanitation, health, hygiene, livelihood and nutrition need to be converged. |
| |Comprehensive training of VWSC on above |
| |Use of culturally appropriate methods of IEC |
| |Create demonstration villages for quicker and wider replication |
4 Stakeholder Feedback, UP
|S.N |Key Stakeholders |Nature of the |Profile, Needs and Challenges |
| | |stakeholder | |
|1 |User Communities |Primary |Most of the people (almost 100%) in user communities across the villages in |
| | | |study districts in Eastern UP have access to water supply services through |
| | | |private and public facilities: hence, people in general are not willing to make|
| | | |any cash contribution towards the capital cost of proposed schemes; though, |
| | | |people are open to paying towards the operation and maintenance of these |
| | | |schemes by way of user charges, if improved water supply services are |
| | | |available. |
| | | |Sanitation is a bigger challenge, as a large number of constructed toilets |
| | | |(around 48%) are not being used by people at all, as there is lack of awareness|
| | | |about the linkages between lack of sanitation and poor health and an absence of|
| | | |any felt need for safe sanitation: as a result, there was not a single open |
| | | |defecation free (ODF) village in the study sample of 20 villages chosen |
| | | |randomly; this included even declared Nirmal Gram Puraskar (NGP) villages. |
|2 |Gram Panchayats (GPs) |Primary |Gram Panchayats (GPs) in general do not carry any interest and orientation to |
| | | |take care of the operation and management of water supply schemes without |
| | | |availability of funds to go with it. |
| | | |There are major training and capacity building gaps and needs to be addressed |
| | | |at the GP level before transferring the constructed schemes to them for their |
| | | |subsequent operation and management: appropriate technical, managerial and |
| | | |financial skills need to be built at the GP level through training, technical |
| | | |assistance and hand holding. |
|3 |State Water and |Secondary |SWSM has the mandate to provide policy guidance and planning support in the |
| |Sanitation Mission | |provision of water supply and sanitation services at the state level: however, |
| |(SWSM) | |SWSM has been actually engaged in the implementation of Swajaldhara scheme of |
| | | |Government of India as an implementation arm of the state government since |
| | | |2002. |
| | | |Role of SWSM will need to be clearly defined and delineated within the sector |
| | | |space so as to minimise overlapping of roles and responsibilities of other |
| | | |sector institutions, mainly Jal Nigam and WSSO. |
|4 |UP Jal Nigam (UPJN) |Secondary |UPJN has been traditionally involved in planning and construction of water |
| | | |supply schemes in the rural areas, as also in operation and maintenance of |
| | | |these schemes till recently |
| | | |Given the technical expertise of the UPJN, they will need to play the lead role|
| | | |in construction of large multi-village piped water supply schemes under the |
| | | |project, but with community mobilisation, communication and capacity building |
| | | |support from other sector institutions including SWSM and WSSO. |
|5 |Panchayati Raj |Secondary |Pnchayati Raj Department of Government of UP is responsible for implementation |
| |Department | |of Government of India’s Nirmal Bharat Abhiyan (NBA): they work in isolation |
| | | |and are in no way linked to the water supply initiatives of SWSM and UPJN. |
| | | |Water supply and sanitation services are not integrated and are planned, |
| | | |designed and delivered as isolated services not organically linked to each |
| | | |other: to make it an integrated initiative is a huge and veritable challenge of|
| | | |the proposed WB project |
|6 |WSSO |Secondary |WSSO is responsible mainly for capacity building and information, education and|
| | | |awareness (IEC) initiatives at the state level, besides taking care of water |
| | | |quality testing facilities and operations. |
| | | |But WSSO’s capacities are limited and need to be considerably enhanced in order|
| | | |to help it perform as expected. WSSO’s capacity needs have to be assessed and |
| | | |addressed on a regular basis. |
|7 |Line departments at |Secondary |The district establishments of the concerned line departments including Jal |
| |the district level | |Nigam and Panchayati Raj in particular are the key instruments of project |
| | | |implementation on the ground. |
| | | |The key officials of this set-up working as managers in the WB project need to |
| | | |be trained to function as per the agreed project design and implementation |
| | | |strategy |
|8 |World Bank |Secondary |World Bank’s primary interest will be in ensuring that the project is |
| | | |implemented in an equitable and inclusive fashion within an operating |
| | | |environment of cohesion and accountability. |
The table above presents the broad categories of stakeholders, which are characterised by a range of internal differentiation mediated by multiple factors and needs that need to be considered in ensuring their effective participation in project planning and implementation processes.
|S.N |Key/Critical Stakeholders |Status and Needs |Expectations |
|1 |User Communities |Rural communities are divided along caste, |No great expectations and no manifest |
| |Women are the most primary |class and gender lines: women as the primary |demand for improved piped water supply |
| |stakeholders |collectors and providers of water at the |services, as almost everyone, including the|
| | |household level are the most primary |poor, have access to water supply through |
| |Children are the most vulnerable |stakeholders; but they are generally outside |private and public facilities: as a result,|
| |stakeholders because of their |the decision making process related to |people are not willing to share any capital|
| |susceptibility to water borne |provision of water supply and sanitation |cost for piped water supply; though they |
| |illnesses more than the adults |services; for example they have no say in |are willing to pay for operation and |
| | |where the hand-pumps are to be installed or |maintenance once the improved services are |
| | |how much should be the user charges etc; this|available. |
| | |will need to be addressed by having a | |
| | |separate component of women empowerment and | |
| | |not allow it to be subsumed within the | |
| | |overall community mobilisation and | |
| | |development agenda. | |
|2 |Gram Panchayats (GPs) |JPS members across study villages were |GPs expect to be involved in the planning, |
| |Members of the Jal Prabandhan |generally found to be unaware of their roles |design and implementation of the RWSS |
| |Samiti (JPS), which is |and responsibilities. |schemes built by UP Jal Nigam |
| |responsible for handling water |JPS members need to be trained and re-trained| |
| |supply and sanitation issues at |throughout the project duration in order to |GPs also expect to have on-site training |
| |the GP level are critical |help them discharge their roles and |for the operation and maintenance of the |
| |stakeholders |responsibilities as intended. |piped RWSS schemes before they are |
| |But members of the village water |VWSC members also need to be trained and |transferred to them. |
| |supply and sanitation committee |engaged in project planning and | |
| |(VWSC), which represents the |implementation at the village/GP level. | |
| |users, are the most critical | | |
| |stakeholders at the GP level as | | |
| |they are directly responsible to | | |
| |the users. | | |
|3 |State Water and Sanitation |SWSM’s roles and responsibilities need to be |SWSM expects the SPMU to be fully equipped |
| |Mission (SWSM) |clearly defined: SWSM is best positioned to |and staffed with key professionals. |
| |SWSM, being the top advisory |function as the State Project Management Unit| |
| |body, is a major stakeholder at |(SPMU) for the World Bank assisted project |SWSM/SPMU functionaries expect to be |
| |the state level | |trained on various aspects of project |
| | |SPMU could be located within SWSM as a |planning and management at premium training|
| | |separate entity, though could be headed by |institutes in India and abroad, besides |
| | |the same person. |having exposure visits to successful |
| | | |projects of a similar nature in India and |
| | | |outside. |
| |UP Jal Nigam (UPJN) |UPJN is best positioned to function as the |UPJN expects to be actively involved in |
| | |lead technical agency responsible for |project planning and management as a major |
| |UPJN is a major stakeholder as |preparing the detailed project reports (DPRs)|stakeholder and not only as a technical |
| |the agency with the maximum |and managing the construction of planned |service provider for preparation of DPRs |
| |technical and engineering skills |water supply facilities; construction of | |
| |to construct water supply schemes|sanitary toilets has to be the overall |UPJN expects its senior engineers to be |
| |on scale. |responsibility of the concerned communities |included in the management teams at SPMU |
| | |within the overall supervision of the |and DPMUs: and if possible, DPMUs to be |
| | |Panchayati Raj Department. |headed by senior and experienced UPJN |
| | | |engineers. |
| | | | |
| | | |Intensive training for UPJN engineers |
| | | |associated with the project in |
| | | |participatory methodologies, community |
| | | |mobilisation tools and techniques, |
| | | |community based demand responsive RWSS |
| | | |services and supportive supervision. |
|5 |Panchayati Raj Department (PRD) |Panchayati Raj Department of Government of UP|PRD expects to be included in the project |
| |Panchayati Raj Department is |will have to be suitably re-oriented to |planning and management team at SPMU and |
| |critical to the success of the |appreciate and apply the demand driven |DPMU levels. |
| |sanitation component of the |approaches to rural sanitation in order to | |
| |project |make the sanitation outcomes real and |They expect to be trained in management of |
| | |sustainable. |participatory project planning and |
| | | |management. |
|6 |WSSO |WSSO has a huge communication and capacity |WSSO expects to get strategic support under|
| | |building responsibility in the sector, but |the project for its internal capacity |
| |WSSO is the biggest capacity |their own capacities are limited and need to |building to be able to anchor the capacity |
| |building stakeholder in the |be enhanced. |building efforts in the RWSS sector in the |
| |sector at the state level |WSSO has to be better tuned to the emerging |state. |
| | |sector needs and plan and undertake its | |
| | |activities accordingly. | |
|7 |Line departments at the district |As the implementing partners on the ground, |There is an expectation of the district |
| |level |the line departments (UPJN, Panchayati Raj |level functionaries of UPJN and PRD to have|
| |Success of the project depends to|Department) at the district level have to be |adequate incentives and capacities to |
| |a large extent on the motivation |well-equipped to ensure an efficient and |function as project managers on the ground.|
| |and capacities of the line |effective implementation of planned project | |
| |departments at the district |activities. | |
| |level. |Their capacity needs have to be re-assessed | |
| | |at the beginning of each phase and batch of | |
| | |the WB project. | |
|8 |World Bank |World Bank needs to invest in strategic |Expectation is to help poor rural |
| |World Bank will have a major |learning at each stage of project design, |communities in districts of Eastern UP have|
| |stake in learning in its unique |planning and implementation. |inclusive and equitable access to improved |
| |position as a Knowledge Bank | |piped water supply services. |
| |besides being a lending agency | | |
3 Consultation Details – Statewise
1 Assam
|District |Date of the |Place of Consultation |Block |Gram Panchayat |Villages covered |
| |Consultation | | | | |
|Bongaigaon |18.02.2013 |Balapara PWSS |Boitamari |Balapara |Balapara - I |
| | |DTW, Capacity 70,000 Ltrs. | | |Jogighopa |
| | |Scheme population- 1612 | | |Kherpujia |
| | |Coverage – HC –Nil, Stand | | |Chapar |
| | |post - 5 Approx 100 House | | |Bahalpur |
| | |Hold covered | | |Chedamari Purba |
| | | | | |Chedamari Paschim |
|Bongaigaon |19.02.2013 |KALBARI PWSS |Tapattary |Kalbari |Batabari PT 1 |
| | |DTW, Capacity 50,000 Ltrs. | | |Kalbari |
| | |HC –Nil, Stand post | | |Bowalimari |
| | |-23,Coverage -1150 House | | |Naldoba |
| | |hold | | |Haripur |
|Morigaon |19.02.2013 |Nelly PWSS, DTW, Capacity |Mayang |Nelly |Nelly |
| | |50,000 Ltrs. HC –50, Stand | | |Ulukhi |
| | |post-18, | | |Matibar |
| | | | | |1 no Kiling |
| | | | | |Kiling Bagisha No 2 |
| | | | | |Barpayak 1 No |
| | | | | |Natun Mokoroya |
| | | | | |Barkhal |
| | | | | |Palahaburi |
| | | | | |Basandhari |
|Morigaon |20.02.2013 |Amlighat PWSS, source KILING|Mayang |Gova |Sitajakhla |
| | |RIVER | | |Sindhisawar |
| | |, Capacity 60,000 Ltrs. HC | | |Rowmari |
| | |–82, Stand post - 10 | | |Bamungaon |
| | | | | |Naldharbihita |
| | | | | |Bamungai |
| | | | | |Remuni |
| | | | | |Sidhisar |
| | | | | |Bihita |
| | | | | |Nandlasha |
| | | | | |Udhmari Phokilibihihabib |
| | | | | |Kumarkuchi |
| | | | | |Notungaonlai |
| | | | | |Punni Gaonlai |
| | | | | |Arangkuchi |
| | | | | |Kuthiri |
| | | | | |Sonaikuchi |
|Sonitpur |20.02.2013 |Gopalpur PWSS,DTW, Capacity |Pub-chaiduar |Gopalpur |Gopalpur |
| | |80,000 Ltrs. HC –64, Stand | | |Kharanijan |
| | |post – 38, | | |Na-pam |
| | | | | |Solengi pathar |
| | | | | |Solengi guri |
|Sonitpur |20.02.2013 |Ghahigaon PWSS DTW, Capacity|Chaiduar |Tetonbari |Hukujan |
| | |140,000 Ltrs. HC –100, Stand| | |Amtola gaon |
| | |post – nil | | |Afrakhat |
| | | | | |Barangabari |
|Jorhat |20.02.2013 |Dhuliagoan Dhuliapam PWSS, |Jorhat |53 Uttar Garamay |Dhuliagoan |
| | |Bhogday River, Capacity | | |Dhuliapam |
| | |80,000 Ltrs. HC –191, Stand | | |Goalabasti |
| | |post - nil - | | |Madhichak Village |
|Jorhat |21.02.2013 |Pulibor Dekagaon Bamangaon |North West Jorhat |45PachimCharucharai|Pulibor |
| | |PWSS DTW, Capacity 80,000 | | |Dekagaon |
| | |Ltrs. HC –280, Stand post - | | |Bamangaon |
| | |Nil, | | | |
|Sibsagar |22.02.2013 |Morabazar PWSS DTW, Capacity|Amguri |Bhuyanhat |Deodhai |
| | |30,000 Ltrs. | | | |
|Sibsagar |22.02.2013 |Joysagar PWSS DTW, Capacity |Gaurisagar |Rangpur, |Julagaon |
| | |160,000 Ltrs. HC –Nil, Stand| |Jolo Guri |Demow Pathar |
| | |post - | | |Sipahigaon |
| | | | | |Thakupar |
| | | | | |Joysagar Sariali |
|Hailakandi |3.02.2013 and | |Algapur and | |Uttarkanchanpur I |
| |4.02.2013 | |Hailakandi | |Uttarkanchanpur II |
| | | | | |Dolidahar |
| | | | | |Bakhrihawar I |
| | | | | |Bakhrihawar II |
| | | | | |Mohanpur |
| | | | | |Chiporsangan III |
| | | | | |Goalipar II |
| | | | | |Goalipar I |
| | | | | |Rangpur |
| | | | | |Algapur |
| | | | | |Goalipar III |
| | | | | |Bansbari I |
| | | | | |Bansbari II |
| | | | | |Balikandi |
| | | | | |Bhatirkupa I |
| | | | | |Bhatirkupa II |
| | | | | |Saydband |
* Note: There were good numbers of participants in the consultation meetings both at district and state level. State Consultations were held on 1st and 2nd Feb 2013 in WSSO, Guwahati. This was attended by Secretary PHED, Chief Engineer PHED, Assistant Chief Engineer, Executive Engineers, PHED, Assistant Executive Engineers, Representatives from World Bank – Team Leader, Senior Social Specialist, Environmental Specialists, Procurement Specialist, IIT-Guwahati, UNICEF, SLUC members from different villages, Members of GPWSCs, NGos such as Dolidahar Samaj Unnayan Sanstha, Amarjyoti Club, Human Welfare Foundation (H/Q Delhi) Akbar Ahmed; Hope line; etc. Also, Attended by Water User committee, ASHA, ICDS, traders, SHG. At the District level, representatives of PHED, VWSCs/GPWSCs, SLUCs, ASHA, ICDS, traders, SHG, Gram Pradhan/PRI Members, Women from the villages, men from the villages, etc., attended the public consultations.
2 Bihar
|Level |Place |Date |Person /group interviewed with/position |
|PATNA |
|State |PHED Office, Patna |28th & 30th Jan; 4th & |Mr. D P Singh (Superintendent Engineer) |
| | |5th Feb | |
|State |PHED Office, Patna |28th Jan 2013 |Mr. M S Jawaid (Director PMU) |
|State |PHED Office, Patna |28th Jan 2013 |Mr. Sanjay Singh (Director CCDU) |
|State |PHED Office, Patna |28th Jan 2013 |Mr. Chiranjeev Kumar (State Coordinator |
| | | |TSC) |
|State |PHED Office, Patna |28th Jan, 4th Feb 2013 |Mr. S. N Mishra (Director, NRDWP) |
|State |PHED Office, Patna |5th Feb |Ms. Lata Chaudhary (State Consultant Water|
| | | |Quality) |
|State |PHED Office, Patna |5th Feb |Mr. B. P. Ojha (Director-Water Quality) |
|State |PHED Office, Patna |28th Jan 2013 |Ms.Gloria Unicef (Consultant, CCDU) |
|State |Jeevika Office, Patna |31st Jan 2013 |Mr. Arvind Chaudhary |
|State |Jeevika Office, Patna |31st Jan 2013 |Mr. Apolernarius Purty |
|State |SWASTH Office, Patna |1st Feb |Mr. Prakash Kumar |
|State |UNICEF Office, Patna |5th Feb |Mr. Nanak T. Santdasani |
|State |UNICEF Office, Patna |5th Feb |Mr. Mamta Chauhan |
|State |Mahila Samakhya Office, Patna |6th Feb |Ms. Shubraja |
|State |Mahila Samakhya Office, Patna |6th Feb |Ms Urmila |
|State |Mahila Samakhya Office, Patna |6th Feb |Ms. Sangita Dutta |
|District |PHED Office, West Division, |4th Feb 2013 |Mr. Ajay Singh (Executive Engineer, |
| |Rajwanshi Nagar, Patna | |PHED-West Division) |
|District Level |Banka |9th Feb 2013 |Mr Sanjay Kumar Singh(TSC- District Co |
| | | |coordinator) |
|District |Begusarai |06th Feb 2013 |Executive engineer |
|District |Begusarai |06th Feb 2013 |Assistant engineer |
|District |Purnia |11th Feb 2013 |Executive engineer |
|District |Purnia |12 th Feb 2013 |Assistant engineer |
|District |Purnia |12 th Feb 2013 |Junior engineer |
|District |Purnia |12 th Feb 2013 |District coordinator |
|Block |PHED-East Division Office |31st Jan to 4th Feb 2013|Mr. Dinesh Kumar (Block Coordinator, |
| | | |Maner) |
|Block |BDO, Office, Maner |31st Jan 2013 |Dr. Sulekha Kumar (BDO, Maner) |
|Block |Banmankhi, Purnia |13 th Feb 2013 |Block coordinator |
|Block |Begusarai |06th Feb 2013 |Junior engineer |
|Block |Balia, Begusarai |06th Feb 2013 |Block coordinator |
|Gram Panchyat Level |Bank Village |31st Jan 2013 |Mrs. Ranju Devi Mukhiya (Bank) |
| | | |Mr. Satru Paswan Mukhiya Pati (Bank) |
| | | |Mr. Braj Bhusan Kumar |
|Gram Panchyat Level |Kitachauhator West Village |2nd Feb 2013 |Mrs. Pratima Devi Mukhiya (Kitachauhator |
| | | |West) |
|Gram Panchyat Level |Dara |11th Feb 2013 |Mr. Kapil Dev Thakur.(Mukhiya) |
|Gram Panchyat Level |Domohon |12th Feb 2013 |Mr. Dilip Sharma Mukhiya(Domohon) |
|Gram Panchyat Level |Dara |12th Feb 2013 |Mr. Prit Bihar Jha |
| | | |Jan Sewa sangsthan (Secretary – Dara) |
|Nagar Panchayat |Banmankhi, Purnia |12 th Feb 2013 |Ward commissioner |
|Nagar Panchayat |Banmankhi, Purnia |12 th Feb 2013 |Corporator |
|Village level |Bank Village |1st Feb 2013 |Md. Rafi |
| | | |Mr. Ram Singh Ward Community member (Bank)|
| | | | |
| | | |Mr. Narendra Kumar Community member (Bank)|
| | | | |
| | | |Mr. Munsi Paswan Community member (Bank) |
| | | |Mr. Satish Singh Community member (Bank) |
| | | |and community |
|Village level |Kitachauhator West Village |2nd Feb 2013 |Mr. Dilip Rai Social Worker (Kitachauhator|
| | | |West) |
| | | |Mr. Amodh Kumar Singh Ward member |
| | | |(Kitachauhator West) Sri Upendra Singh |
| | | |Ward member (Kitachauhator West) |
| | | |Sri Sunil Kumar Singh Ward member |
| | | |(Kitachauhator West) Mr Naomi Paswan |
| | | |Member Panchayat Samiti Balua |
| | | |Mr Anilji Community member, Balua |
|Village level |Kitachauhator West Village |3rd Feb 2013 |PRA with community members |
|Village level |Balua Village |4th Feb 2013 |PRA with community members |
|Village level |Bari Balia North, Begusarai |7th Feb 2013 |Former Mukhiya |
|Village level |Bari Balia North, Begusarai |8th Feb 2013 |PRA with community members |
|Village level |Balia Lakhminiya l, Begusarai |7th Feb 2013 |Voice chairman |
|Village level |Balia Lakhminiya l, Begusarai |8th Feb 2013 |PRA with community members |
|Village level |Dharhara, Purnia |11th Feb 2013 |Sarpanch |
|Village level |Dharhara, Purnia |11th Feb 2013 |PRA with community members |
|Village level |Dharhara, Purnia |13 th Feb 2013 |Community Mobiliser (Jeevika) |
|Village level |Dharhara, Purnia |14th Feb 2013 |C.C (Jeevika) |
3 Jharkhand
Officials, PRI Elected Representatives, Jal Sahiyas
|Level |Place |Date |Person/Group interviewed with/position |
|State |
|SPMU/Tribal Welfare |Ranchi |8- 13-14-20-21 Feb-2013 |Chief Executive Engineers, Water and Sanitation |
|Commissioner | | |Consultant, Environment Consultant, Supritendent |
| | | |Engineer, ACS, Dy. Director Tribal Welfare |
|DWSD |Ranchi |14-15 Jan 2013 |Executive Engineers |
|UNICEF |Ranchi |18 & 20 Feb-2013 |Program Officer, WATSAN |
|VISWA |Ranchi |18- 19 Feb-2013 |Training Coordinator |
|XISS |Ranchi |14 Feb 2013 |GRC Head and staff, Training Team |
|Basix |Ranchi |6 Feb 2013 |Program Manager |
| | | | |
|District |
|DWSD, DPC |Dhanbad (pilot) |17 Jan 2013 |EE, SDO, JE |
|DWSD, DPC |East Singhbhum |4 Feb 2013 |DC, EE, AE, DPC, Jalsahiyas |
|DWSD, DPC |Khunti |6-7 Feb 2013 |DC, EE, AE, , DPC, Jalsahiyas, Pradhan |
|DWSD, DPC |Saraikela Kharsawan |13 Feb 2013 |DC, EE, AE, SDO, GSF, DPC, Jalsahiyas (3) |
|DWSD, DPC |Dumka |18-19 Feb 2013 |EE, AE, JE, DPC, Mukhiya, Jalsahiya |
| | | | |
|Block Level |
| |Chandil (SK) |13 Feb 2013 |AE, DPC |
| |Gamharia (SK) |Do |AE |
| |Saravu (Dumka) |19 Feb 2013 |AE |
| |Mano, Patamda, Boraon, Tatanagar |05 Feb 2013 |AE |
| |(ES) | | |
| |Torpa, Murhu (Khunti) |06 Feb 2013 |AE |
| | | | |
|GP/Villages* |
| |Chhota Dabana, Bada (SK) | |Jalsahiya, Mukhiya, Ward Member, Pradhan |
| |Karimdih and Jagidih (Dumka) | |Jalsahiya, Mukhiya, Ward Member, Pradhan |
| |Padamda, Lava, Topkara (ES) | |Jalsahiya, Mukhiya, Ward Member, |
| |Kodakel, Murhu (Khunti) | |Jalsahiya, Mukhiya, Ward Member |
|*Dates for Block and Village visits were same |
|Acronyms | | | |
|AE |Assitant Engineer | | |
|ACS |Additional Chief Secretary | | |
|DC |Deputy Commissioner | | |
|DPC |District Project Coordinator | | |
|DWSD |Drinking Water and Sanitation | | |
| |Department | | |
|EE |Executive Engineer | | |
|ES |East Singhbhum | | |
|GP |Gram Panchayat | | |
|GSF |Global Sanitation Fund | | |
|JE |junior Engineer | | |
|SE |Supritendent Engineer | | |
|SK |Saraikela Kharsawan | | |
|SDO |Sub-Divisional Officer | | |
|SPMU |State Project Management Unit | | |
|UNICEF |United Nations Children's | | |
| |Emergency Fund | | |
A. Village Consultations (Focus Group Discussions)
|District |Block |Gram Panchayat |Village |Group: |Date of FGD |
| | | | |(Gen. Community/ | |
| | | | |Women Group of village) | |
|East Singhbhum |Ghatshila |Kalchiti |Edalbera |Gen. Community |12-02-2013 |
| | | |Kalchiti |Women Group |12-02-2013 |
| | |Jorifa |Jorifa |Women Group |13/2/2013 |
| | | |Churinda |Gen. Community |13/2/2013 |
| | |Pawra |Pawra |Gen. Community |12-02-2013 |
| | | |Nuagram |Women Group |12-02-2013 |
| |Golmuri/Jugsalai |Deoghar |Deoghar |Gen. Community |13/2/2013 |
| | | |Bhilaipahadi |Women Group |13/2/2013 |
| | | |Ketikuder |Women Group |14/2/2013 |
| | |Luabasa |Manpitha |Gen. Community |14/2/2013 |
| | |Hurlung |Hurlung |Women Group |14/2/2013 |
| | | |Lupungdih |Gen. Community |14/2/2013 |
| | | | | | |
|Dumka |Dumka |Rajband |Rajband |Gen. Community |23/2/2013 |
| | | |Lakarapahari |Women Group |23/2/2013 |
| | |Bhurkunda |Bhurkunda |Women Group |22/2/2013 |
| | | |Chapakandar |Gen. Community |22/2/2013 |
| |Gopikandar |Gopikandar |Balia |Gen. Community |23/2/2013 |
| | | |Jharipani |Women Group |23/2/2013 |
| |Rameshwar |Sadipur |Sadipur |Women Group |21/2/2013 |
| | | |Jaipahari |Gen. Community |21/2/2013 |
| |Mashaliya |Sugapahari |Amgachi |Women Group |21/2/2013 |
| | | |Manharchak |Gen. Community |21/2/2013 |
| | |Masanjor |Masanjor |Women Group |22/2/2013 |
| | | |Rangamatiya |Gen. Community |22/2/2013 |
|Garhwa |Garhwa |Karua kala |Dumariya |Women Group |25/2/2013 |
|District |Block |Gram Panchayat |Village |Group: |Date of FGD |
| | | | |(Gen. Community/ | |
| | | | |Women Group of village) | |
| | | |Karuakala |Gen. Community |25/2/2013 |
| | |Kalyanpur |Kalyanpur |Women Group |25/2/2013 |
| | | |Juti |Gen. Community |25/2/2013 |
| |Bhandariya |Karchali |Kanjiya |Gen. Community |26/2/2013 |
| | | |Jamauti |Women Group |26/2/2013 |
| |Dhurki |Dhurki |Dhurki |Gen. Community |26/2/2013 |
| | | |Shivri |Women Group |26/2/2013 |
| |Meral |okhargada (E) |Okhargada |Gen. Community |27/2/2013 |
| | | |Parsahi |Women Group |27/2/2013 |
| |Bardiha |Salga |Salga |Women Group |27/2/2013 |
| | | |Kundrahe |Gen. Community |27/2/2013 |
|Khunti |Torpa |Okra |Saraikel |Gen. Community |18/2/2013 |
| | | |Roro |Women Group |18/2/2013 |
| | |Husir |Lautli |Women Group |19/2/2013 |
| | | |Ronhe |Gen. Community |19/2/2013 |
| | |Tapakara |Tapakara |Women Group |18/2/2013 |
| | | |Kochha |Gen. Community |18/2/2013 |
| |Murhu |Bichna |Chhata |Women Group |19/2/2013 |
| | | |Jaltanda |Gen. Community |19/2/2013 |
| | |Kodakel |Kodakel |Women Group |20/2/2013 |
| | | |Kurki |Gen. Community |20/2/2013 |
| | |Kunjla |Kunjla |Women Group |20/2/2013 |
| | | |Iththe |Gen. Community |20/2/2013 |
| | | | | | |
|Saraikela Kharaswan |Chandil |Chandil |Chandil |Gen. Community |15/2/2013 |
| | | |Kadamdih |Women Group |15/2/2013 |
| | |Matkamdih |Chutiakhal |Women Group |15/2/2013 |
| | | |Dhobatama |Gen. Community |15/2/2013 |
| | |Rashuniya |Rautara |Gen. Community |16/2/2013 |
| | | |Sukhsari |Women Group |16/2/2013 |
| |Gamharia |Narayanpur |Narayanpur |Gen. Community |16/2/2013 |
| | | |Vjay |Women Group |16/2/2013 |
| | |Bada Kankra |Bada Kankra |Women Group |17/2/2013 |
| | | |Nawadih |Gen. Community |17/2/2013 |
| | |Burudih |Burudih |Gen. Community |17/2/2013 |
| | | |Baramari |Women Group |17/2/2013 |
4 Uttar Pradesh
Officials, PRI Elected Representatives, etc.
|Level |Place |Date |Person/Group interviewed with/position |
|State |
| |Lucknow |20.12.12, 07.03.13 |Mr. Rakesh Kumar Ojha, ED, SWSM/ Special Secretary, Department of |
| | | |Rural Development |
| |Lucknow |20.12.12, 07.3.13 |Mr. SC Srivastava, Joint Director, SWSM |
| |Lucknow |07.3.13 |Prabhakar Sinha, Social Development and Comunication Specialist, |
| | | |SPMU-RWSSP, SWSM |
| |Lucknow |20.12.12, 07.03.13 |Ms. Meena Agarwal, Director, WSSO |
| |Lucknow |20.12.12 |Ms. Rachna Sarkar, IEC/HRD Consultant, WSSO |
| |Lucknow |20.12.12 |Mr. Mahesh Chandra Pandey, Financial Adviser, SWSM |
| |Lucknow |20.12.12 |Mr. Prashant, General Consultant |
| |Lucknow |20.12.12 |Ms. Seema Kumar, UC(ID), SWSM |
| |Lucknow |20.12.12 |Mr. Syed Rahmatullaha, UC(T), SWSM |
| |Lucknow |20.12.12 |Mr. Gyanendra Singh, Procurement Specialist, SPMU |
| |Lucknow |07.03.13 |Mr. A.K. Mittal, MD, UPJN |
| |Lucknow |20.12.12, 07.03.13 |Mr. RM Tripathi, Joint Director, CPU, Jal Nigam |
| |Lucknow |20.12.12 |Mr. SN Mishra, Water Supply Engineer, SWSM |
| |Lucknow |19.01. 13 |Participants of consultation workshop including SWSM and UP Jal |
| | | |Nigam Officials and officers, PRI/community members from field study|
| | | |districts |
|District |
|Faizabad |Faizabad |20.12.12 |Balwant Singh, DDO |
| |Faizabad |23.12.12 |CDO |
| |Faizabad |21.12.12 |Ex. Engineer, UP Jal Nigam |
| |Faizabad |20.12.12 |A. K. Singh, DPRO |
| |Faizabad |20.12.12 |Deependra Kumar Singh, Representative, Itauni Gram Vikas Samiti |
| | | |(NGO), Jaunpur |
| |Faizabad |20.12.12 |CP Singh, T. A. Swajaldhara |
|Chandauli |Chandauli |26.12.12 |RP Yadav, DDO |
| |Chandauli |26.12.12 |Akhilesh Sriwastav, T. A. Swajaldhara |
| |Chandauli | 26.12.12 | BN Rai, Ex. Engineer, UP Jal Nigam |
| |Chandauli | 29.12.12 |BK Tripathi, CDO |
| |Chandauli | 29.12.12 |Chandramauli Upadhyay, PD |
| |Chandauli |26.12.12 |Santosh Kumar Singh, District Coordinator, NBA |
| |Chandauli |31.12.12 |Vimal Kishor Srivastav, DPRO |
| |Chandauli |29.12.12 |DP Singh, AE, UP Jal Nigam |
|Kaushambi |Manjhanpur |02.01.13 |Dr. Saroj KumarDM |
| |Manjhanpur |04.01.13 |Mala Sriwastav, CDO |
| |Manjhanpur |04.01.13 |Pandey, I/c DDO |
| |Manjhanpur |03.01.13 |JN Upadyaya, Ex. Engineer, UP Jal Nigam |
| |Manjhanpur |01-04 January 2013 |Dinesh Chandra Pandey, T. A. , Swajaldhara |
| |Manjhanpur |02.01.13 |Srivastav, DPRO |
|Shrawasti |Shrawasti |26.12.12 |MP Singh, CDO |
| |Shrawasti |26.12.12 |Ghanshyam Sagar, DPRO |
| |Shrawasti |26.12.12 |Ram Pyare, Ex. Engineer, UP Jal Nigam |
| |Shrawasti |26.12.12 |Dr. Rajkumar, District Project Coordinator, NBA |
| |Shrawasti |26.12.12 |Harijendra Verma, District Project Coordinator, NBA |
|Kushinagar |Kushinagar |31.12.12 |Dr. Gupta, CMO |
| |Kushinagar |31.12.12 |RP Upadhyay, DDO |
| |Kushinagar |31.12.12 |HC Tiwari, CDO |
| |Kushinagar |31.12.12 |Rigzian Samphel, DM |
| |Kushinagar |31.12.12 |DPRO |
| |Kushinagar |31.12.12 |BN Pandey, JE, Swajaldhara |
| |Kushinagar |03.01.13 |MD Pandey, Ex. Engineer, UP Jal Nigam |
| |Kushinagar |03.01.13 |Satendra Tiwari, Asst. Engineer, UP Jal Nigam |
| |Kushinagar |03.01.13 |KN Pandey, Junior Engineer, UP Jal Nigam |
| |Kushinagar |03.01.13 |DN Dwivedi, Junior Engineer, UP Jal Nigam |
| |Kushinagar |03.01.13 |RK Singh, Junior Engineer, UP Jal Nigam |
|Block Level |
| |Masaudha, Faizabad |21.12.12 |Mr. Mahajan, Principal, RIRD, Masaudha |
| |Sohawal, Faizabad |21.12.12 |BDO |
| |Chakia, Chandauli |28.12.12 |Ram Singh Yadav, BDO, Chakia, Chandauli |
| |Manjhanpur, Kaushambi |04.01.13 |Pandey, BDO, Manjhanpur |
|GP/Villages |
| |Kudhakeshavpur, Block Pura Bazar,|22.12.12 |Ram Kumar Gupta, Ex Chairperson, VWSC |
| |Faizabad | | |
| |Kudhakeshavpur, Block Pura Bazar,|22.12.12 |Ram Khelawan, Ex Gram Pradhan |
| |Faizabad | | |
| |Raunahi Uparhar, Block Sohawal, |23.12.12 |Mohd Khursheed Khan, Gram Pradhan |
| |Faizabad | | |
| |Raunahi Uparhar, Block Sohawal, |23.12.12 |Mohd. Kafeel. GP member |
| |Faizabad | | |
| |Raunahi Uparhar, Block Sohawal, |23.12.12 |Mohd. Mukhtar, GP member |
| |Faizabad | | |
| |Pilkhawan, Block Sohawal, |23.12.12 |Sudhir, GP member |
| |Faizabad | | |
| |Pilkhawan, Block Sohawal, |23.12.12 |Paltu Ram, GP member |
| |Faizabad | | |
| |Fatehpur, Block Niyamtabad, |27.12.12 |SP Tripathi, JE, UP Jal nigam |
| |Chandauli | | |
| |Manapur, Block Niyamtabad, |27.12.12 |Ibrahim, Gram Pradhan |
| |Chandauli | | |
| |Manapur, Block Niyamtabad, |27.12.12 |Lallu Ram, Fitter, UP Jal Nigam |
| |Chandauli | | |
| |Sikanderpur, Block Chakiya, |28.12.12 |Rajiv Pathak, Gram Pradhan and Kanhaiya Gupta, Shiksha Mitra |
| |Chandauli | | |
| |Palia, Block Chahaniya, Chandauli|29.12.12 |Saputi Pandey, GP member, Hari Prasad Pandey, Retd. Teacher, Kushwah|
| | | |JE |
| |Uchrawan, Block Kada, District |03.01.13 |Munna Pandit alias Lalit Kumar Dwivedi, O&M contractor, Uchrawan |
| |Kaushambi | | |
| |Rampur Dhamawan, Block Sirathu, |01.01.13 |Chhote Lal, Gram Pradhan |
| |Kaushambi | | |
| |Rampur Dhamawan, Block Sirathu, |01.01.13 |Deepak Singh, treasurer, VWSC |
| |Kaushambi | | |
| |Bhelkha, Block Manjhanpur, |02.01.13 |Rajendra Singh, treasurer, VWSC |
| |Kaushambi | | |
| |Keseriya, Block Kada, District |03.01.13 |Shiv Sagar Kushwaha, husband of Rekha Devi, Gram Pradhan |
| |Kaushambi | | |
| |Barwa Raja Pakad, Block Tamkuhi |03.01.13 |Advocate Syamananda Kushwaha, Dr. Kashinath Verma |
| |Raj, Kushinagar | | |
| |Jataha Bazar, Block Vishanpura, |02.01.13 |Syed Ali,GP member, Ramdeo Baitha, BDC member |
| |Kushinagar | | |
| |Katai Bharpurva, Block Kadha, |04.01.13 |Natthu Prasad, Gram Pradhan |
| |Kushinagar | | |
| |Khutohi, Block Ramkola, |01.01.13 |Tiwari, JE, UP Jal Nigam, Ram Harakh Yadav, Gram Pradhan |
| |Kushinagar | | |
Village Consultations (IDIs/Focus Group Discussions)
|District |Block |Gram Panchayat |Village |Group: |Date of FGD |
| | | | |(Gen. Community/ | |
| | | | |Women Group of village) | |
|Kaushambi |Sirathu |Rampur Dhamawa |Rampur Dhamawa |Gen. Community/ |01.01.13 |
| | | | |Women Group of village | |
|Kaushambi |Manjanpur |Bhelkha |Bhelkha |Gen. Community/SC community/ |02.01.13 |
| | | | |Women Group of village | |
|Kaushambi |Kada |Keseriya |Keseriya |Gen. Community/ |03.01.13 |
| | | | |Women Group of village | |
|Kaushambi |Kada |Ucharawan |Ucharawan |Gen. Community//SC community/ |03.01.13 |
| | | | |Women Group of village | |
|Faizabad |Pura Bazar |KudhaKeshavpur |KudhaKeshavpur |Gen. Community/ |22.12.12 |
| | | | |Women Group of village | |
|Faizabad |Taarun |Taarun |Taarun |Gen. Community/Gram Panchayat and VWSC |22.12.12 |
| | | | |members/ | |
| | | | |Women Group of village | |
|Faizabad |Sohawal |Raunahi uperhaar |Raunahikhas |Gen. Community/ | |
| | | | |Women Group of village |23.12.12 |
|Faizabad |Sohawal |Pilkhawan |Pilkhawan |Gen. Community/ | |
| | | | |Women Group of village |23.12.12 |
|Chandauli |Chakiya |Bhishampur |Bhishampur |Gen. Community/SC community/ |28.12.12 |
| | | | |Women Group of village | |
|Chandauli |Chahaniya |Palia |Palia |Gen. Community/ |29.12.12 |
| | | | |Women Group of village | |
|Chandauli |Niyamtabad |Fatehpur |Fatehpur |Gen. Community/GP members/ |27.12.12 |
| | | | |Women Group of village | |
|Chandauli |Niyamtabad |Mannapur |Mannapur |Gen. Community/GP members/ |27.12.12 |
| | | | |Women Group of village | |
|Chandauli |Chakiya |Sikanderpur |Sikanderpur |Gen. Community/Muslim community/ |28.12.12 |
| | | | |Women Group of village | |
|Kushinagar |Tamkuhiraj |Barwa Raja pakkad |Barwa Rajpakkad |Gen. Community/GP members/SC community/ |03.01.13 |
| | | | |Women Group of village | |
|Kushinagar |Vishanpura |Jataha |Jataha Bazar |Gen. Community |02.01.13 |
|Kushinagar |Khaddha |Katai Bharpurva |Katai Bharpurva |Gen. Community/SC community/ |04.01.13 |
| | | | |Women Group of village | |
|Kushinagar |Ramkola |Khutohi |Khutohi |Gen. Community/GP members |01.01.13 |
|Shrawasti |Jamunaha |Fatehpur Bangai |Fatehpur Bangai |Gen. Community/ |27.12.12 |
| | | | |Women Group of village | |
|Shrawasti |Jamunaha |Haridutt Nagar |Haridutt Nagar |Gen. Community/SC community/ |27.12.12 |
| | |Girant |Girant |Women Group of village | |
|Shrawasti |Ikauna |Ikauna Dehat |IKauna Dehat |Gen. Community/ Women Group of village |28.12.12 |
|Shrawasti |Sirsia |Motipur Kalan |Motipur Kalan |Gen. Community/ST community |28.12.12 |
| | | | |Women Group of village | |
4 MVS Cycle
|I |MVS Schemes | | |
|S. No. |Activity |Social Management Actions |Responsibility |
| | | | |
|1 |Project kicks off curtain raiser | |DWSM/ DPMU |
| | |District wide IEC campaign launched | |
|2 |Selection of Service Agency/Consultant for |Orientation of GP/Villages |DWSM/ DPMU |
| |initial IEC and Support Organisation (SO) | | |
| |in the Program villages | | |
|3 |Village level IEC campaign |Door-to-door/ Ward/ Village/ GP level campaigns on |GP/ SO |
| | |water and sanitation | |
|4 |Resolving to participate |GP passes resolution and expresses interest to |GP/ SO |
| | |participate in the project | |
|5 |Selecting GP/ Villages |Prioritization based on selection criteria done |DWSM/DPMU |
|6 |GP/ Village selected |GP/ villages are informed of the selection |DWSM/DPMU |
|B |Planning phase | | |
|1 |Identification of user groups within each |Motivation and Awareness to ensure inclusion |GP/ VWSC, SO |
| |GP and formation of the VWSCs | | |
|2 |GP resolution recognizing VWSC |Meeting of VWSC/ HWSC |ZP/DPMU/ DWSM, SO, |
| | | |GP/VWSC |
|3 |Capacity building of GPs / VWSCs members |Orientation, training and capacity building of GP/VWSC|ZP/DPM/ DWSM, SO, GP/VWSC|
| | |supported by Support Organizations | |
|4 |Preparation and forward “Devolution Action |Preparation of DAP, as appropriate, by GP/ Village/ |GP/ VWSC, SO |
| |Plan (DAP) (as appropriate)” by GPs/ |Habitation | |
| |Villages to DPMU | | |
|5 |Technical Approval of DAP |Approval communicated to GP/VWSC |DPMU |
|6 |Opening of bank account |Socio-economic Survey (socio-cultural resource mapping|SO |
| | |and infrastructural survey) for preparing | |
| | |socio-economic baseline | |
|7 |Mobilization of communities, participatory |Lane/ Ward/ Habitation/ Village/ GP Level meetings |SO, GP/VWSC |
| |planning and use of appropriate tools, |for mobilization, using PRA and documentation of these| |
| |problem investigation and analysis |activities | |
|8 |Participatory WATSAN situation analysis |Preparation WATSAN Baseline for Habitation/ Village/ |SO, GP/VWSC |
| | |GP | |
|9 |Identifying technology options, conducting |Agreement arrived at with regard to technology |DPMU/ DWSM, SO, GP/VWSC |
| |feasibility analysis and Agree-To-Do |options, location of facilities, etc. | |
| |meeting for separate user groups and | | |
| |federation of VWSCs | | |
|10 |Tripartite MoU signed among GP, VWSC and |Redressal of objections/ complaints and considering |SO, GP/VWSC |
| |DWSM |suggestions regarding scheme interventions | |
|11 |Formation of Scheme Level Committee (SLC) |Meetings with all GPs/ Villages/ Habitations to form |DWSM/DPMU, GPs/VWSCs, SO |
| | |SLC | |
|12 |Collecting part community contribution, |Mobilizing and sensitizing communities for |SO, GP/VWSC/SLC |
| |based on a pre-determined % |contributions | |
|13 |Preparation of Detailed Project Reports |Discussion about DPR and scheme facilities in GP/ VWSC|DWSM/ DPMU, SO, GP/VWSC/ |
| |(DPR)-Water supply |Meeting Gram Sabha & Zilla Parishad Approval and |SLC |
| | |Consultation incase of Scheduled Areas | |
| | |Submission of proposal to Gram Sabha & Zilla Parishad | |
| | |Suggestions from community members incorporated when | |
| | |appropriate | |
| | |Documentation of approval | |
|14 |Obtaining technical sanction for DPR-water |Approval communicated to community members |DPMU |
| |supply | | |
|15 |Awareness on hygiene and environmental |Awareness creation activities at household/ ward level|GP/VWSC/ SLC, SO |
| |sanitation | | |
|16 |Preparing Sanitation and Drainage Plans |GP/ VWSC Meetings for preparation of plans at ward |GP/VWSC/ SLC, SO |
| | |level and collating them into GP/ Village/ Habitation | |
| | |plan | |
|17 |Obtaining technical sanction for Sanitation|Approval communicated to community members |DPMU |
| |and Drainage Plans | | |
| |Preparation of Community Action Plans (CAP)|GP/ VWSC Meetings for preparation of CAP at ward level|GP/VWSC/ SLC, SO |
|18 |for GP/ Village/ Habitation |and collating them into GP/ Village/ Habitation plan | |
|19 |Obtaining technical sanction for CAP |Approval communicated to community members |DPMU |
|20 |Preparation of implementation phase |Agreement sighing by GP/ VWSC |ZP/DWSM/ DPMU, GP/VWSC/ |
| |proposals and Implementation Phase | |SLC |
| |Tripartite Agreement (IPTA) | | |
|21 |Implementation phase proposals and IPTA | | |
|C |Implementation phase (depending on the type|Monitoring by GPs/VWSCs/SLC |GPs/ VWSCs/SLC |
| |of technology chosen) | | |
|1 |Preparation and sale of bid documents | | |
|2 |Collecting balance cash contribution from |Mobilizing and sensitizing communities for |GP/VWSC/ SLC, SO |
| |communities |contributions and collecting contributions | |
|3 |100% of community contribution mobilized |Mobilizing and sensitizing communities for |GP/VWSC/ SLC, SO |
| | |contributions and collecting contributions | |
|4 |Signing of Memorandum of Understanding |Agreement sighing by GP/ VWSC/ SLC |GP/VWSC/ SLC, Contractor |
| |(MoU) between the GPs / VWSCs/ DWSC/ ZP and| | |
| |the selected contractor regarding the | | |
| |construction of the common assets | | |
|5 |Signing of Memorandum of Understanding |Agreement sighing by GP/ VWSC/ SLC |GP/VWSC/ SLC, Contractor |
| |(MoU) between the GPs / VWSCs and the | | |
| |selected contractor regarding the | | |
| |construction of the intra villages facility| | |
|6 |Construction of common facility & intra |Progress and Quality Monitoring by GP/ VWSC |GP/VWSC/ SLC, Contractor |
| |village water supply schemes of water | | |
| |supply schemes, environmental sanitation | | |
| |works and catchments area protection works | | |
|7 |Periodic monitoring by VWSC / GP/ SLC/ ZP |Progress and Quality Monitoring by GP/ VWSC |GP/VWSC/ SLC, Contractor |
| |and WSSD | | |
|8 |Technical approval of bills |Check appropriateness of bills and advise DPMU |GP/ VWSC/ SLC |
|9 |Releasing payments to contractors |Release payments on the advice of DPMU |GP/ VWSC/ SLC, DPMU |
|10 |Preparation of the Implementation Phase |GP/ Village/ Habitation level reports prepared |GP/VWSC/ SLC, SO |
| |Completion Reports (IPCRs) | | |
|11 |Submitting utilization certificates |GP/ VWSC submits certificates |GP/VWSC/ SLC |
|12 |Commissioning of schemes |Joint Inspection done. Trail runs completed. Ensure |ZP/ DWSM/DPMU, GP/VWSC/ |
| | |that all components are functioning properly and |SLC, SO |
| | |services cover all households. | |
|13 |Water supply, drainage / sanitation |Systems functioning properly |ZP/ DWSM/DPMU, GP/VWSC/ |
| |infrastructure successfully commissioned | |SLC, SO |
|14 |Implementation completion reports including|Scheme Evaluation (general project evaluation) |SWSM/SPMU, DWSM/ DPMU |
| |statement of accounts finalized | | |
|D |Operations & maintenance phase | |SPSU |
|1 |Prepare an O&M Plan and Budget |Discussions with community members on O&M plan and |DPMU, SLC/ VWSC |
| | |budget | |
|2 |Fixing user fees |Conduct GP/ VWSC/ SLC meeting to fix user fees in a |GP/VWSC/ SLC, SO |
| | |participative manner. | |
|3 |Decide on the subsidy, if need be |Proposal on subsidy will be submitted by DPMU. |DPMU, SLC, SPMU |
| | |Decision on subsidy be made by the concerned Secretary| |
| | |to the Government | |
|4 |Appointing operators / contractors |Identify and appoint contractors |GP/VWSC/ SLC, SO |
|5 |Collecting user fees |Appointed operator/assistant collects user fees |GP/VWSC/ SLC, SO |
|6 |Remitting bulk water charges to the agency |Conducting regular meetings of SLC for remitting bulk |GP/VWSC/ SLC, SO |
| |maintaining the common facility |charges | |
|7 |Conduct quarterly reviews of contractor’s |Review contractor’s performance on-site with community|DPMU, SLC/ VWSC |
| |performance |participation | |
|8 |Facilities functioning successfully |Ensure sufficient spares are available and village |DWSM/DPMU, GP/VWSC/ SLC, |
| | |resource persons are trained in O&M |SO |
|9 |Sustainability Monitoring and Evaluation |Conduct an SME exercise after three months of |DPMU, GP/ VWSC/ SLC |
| | |commissioning with participation of community. | |
[pic][pic][pic][pic][pic][pic][pic][pic][pic][pic][pic][pic][pic][pic][pic]
-----------------------
[1] Tribals of Jharkhand such as; Munda, Ho, Uraon, Primitive Tribal Groups, etc.
[2] Tribals from Jhrakhand
[3] A brief about the institutional and implementation arrangements is presented towards the end.
[4] Only SVS Cycle is presented here. The MVS Cycle has been attached as Annexure 8.3
[5] Detailed capacity building needs, strategy and action plans have been prepared by independent consultants in each of the four states.
[6] Jalsahiya is a daughter in law or widow from the same village, appointed for providing help and information on water and sanitation.
[7] Sanitation includes: Personal hygiene, domestic sanitation and environmental sanitation
-----------------------
SR51 v3
Project Initiation & Client Contact
Desk Review & Secondary Research
Project Team Mobilization & Orientation
Sample Design
Design of Survey tools
Quantitative Survey through Questionnaires
Qualitative Survey through FGD, Interview, PRA
Data Entry and collection
Analysis on social assessment, capacity building, IEC needs
Reporting
................
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