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Rural Water Supply and Sanitation Project for Low Income States

(RWSSP-LIS)

Assam, Bihar, Jharkhand and Uttar Pradesh

Social Management Framework

April 2013

Ministry of Drinking Water and Sanitation,

Government of India, New Delhi, India

SR51 v3

Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)

Table of Contents

Abbreviations and Acronyms................................................................................31. Introduction.........................................................................................6

1.1 Background..............................................................................................61.2 Project Development Objective................................................................71.3 Project Beneficiaries.................................................................................71.4 Key Elements of the RWSS Project for Low Income States.....................71.5 Project Components.................................................................................81.6 Social Assessment....................................................................................91.7 Organisation of the Report.......................................................................9

2 Approach and Data Base...................................................................112.1 Approach of the Assignment...................................................................112.2 Database for Secondary Information Review.........................................13

3 Stakeholder Analysis.........................................................................143.1 Introduction............................................................................................143.2 Key Stakeholders....................................................................................143.3 Stakeholders Analysis.............................................................................153.4 Public Consultations...............................................................................20

4 Issues, Impacts, risks and assumptions............................................224.1 Issues......................................................................................................22

4.1.1 Top Down Approach.........................................................................224.1.2 Organization Structure for Service Delivery....................................224.1.3 Staff Strength and internal Coordination.........................................224.1.4 Ineffective village level user organizations- VWSCs........................224.1.5 Inclusion...........................................................................................224.1.6 Weak PRIs........................................................................................234.1.7 Poor Supply of Power.......................................................................234.1.8 Low Coverage of safe Drinking Water & Latrine.............................234.1.9 Usage of latrine................................................................................23

4.2 Impacts...................................................................................................234.3 Risks.......................................................................................................264.4 Assumptions...........................................................................................27

5 Social Management Framework........................................................285.1 Social Management Action Plan.............................................................285.2 Common Management Framework........................................................29

5.2.1 Management Unit.............................................................................295.2.2 Inclusion and Equity.........................................................................295.2.3 Participation.....................................................................................305.2.4 Autonomy.........................................................................................305.2.5 Decentralization and Subsidiarity....................................................305.2.6 Effective Governance and Management..........................................305.2.7 Transparency and Accountability.....................................................335.2.8 Capacity Support..............................................................................345.2.9 Capacity Building.............................................................................345.2.10 Gender Issues...................................................................................355.2.11 Convergence....................................................................................36

5.3 Common Management Actions - Securing Lands................................375.4 State Specific Management Action Plans...............................................39

5.4.1 Assam...............................................................................................395.4.2 Bihar.................................................................................................445.4.3 Jharkhand.........................................................................................475.4.4 Uttar Pradesh...................................................................................50

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5.5 Institutional and Implementation Arrangements...................................525.6 Public Disclosure....................................................................................55

5.6.1 Information to be disclosed..............................................................556 Grievance Redressal Mechanisms.....................................................567 Monitoring and Evaluation................................................................608 Annexure............................................................................................63

8.1 Terms of Reference................................................................................638.2 Stakeholder Analysis - Matrix from all four states.................................73

8.2.1 Stakeholder Feedback, Assam.........................................................738.2.2 Stakeholder Feedback, Bihar...........................................................778.2.3 Stakeholder Feedback, Jharkhand...................................................858.2.4 Stakeholder Feedback, UP...............................................................88

8.3 Consultation Details – Statewise............................................................928.3.1 Assam...............................................................................................928.3.2 Bihar.................................................................................................948.3.3 Jharkhand.........................................................................................968.3.4 Uttar Pradesh...................................................................................99

8.4 MVS Cycle............................................................................................103

List of Tables

Table 2.1: State-wise Details of Interviews & Field Consultations...........................11Table 2.2: State-wise Secondary Information Database................................................13Table 3.1:Key Stakeholders ‘Expectations and their Issues and Concerns............15Table 4.1: Project Impacts........................................................................................................23Table 5.1: Scheme Cycle...........................................................................................................31Table 5.2: Tribal areas Vs proposed Project areas..........................................................39Table 5.3: Management actions are summarized in the table below.......................40Table 6.1: Matrix for redressal of grievances...................................................................57

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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

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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

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“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.”

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1. INTRODUCTION

1.1 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.

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1.2 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).

1.3 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.

1.4 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

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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’.

1.5 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

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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.

1.6 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.

1.7 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

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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.

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2 APPROACH AND DATA BASE

2.1 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 ConsultationsAssam Bihar Jharkhand Uttar PradeshState Level ConsultationsParticipants:Chief Engineer, PHEDMission Director, SWSMDirector, WSSO,Executive Engineers, PHEDWASH Specialist, UNICEF

Participants:State Level Project Management UnitBihar Rajya Jal ParishadOfficials of State Water & Sanitation Mission Officials of Panchayati Raj at state levelOfficials of Public Health Department

Participants:Additional Chief Secretary, DWSDEngineer-in-Chief, DWSDMission Director, SWSMDirector, WSSO,Executive Engineers, DWSDWASH Specialist, UNICEF

Participants:Chief Engineer, Jal Nigam (Water Supply Corporation),Mission Director, SWSMDirector, WSSO,Executive Engineers, Jal Nigam

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Assam Bihar Jharkhand Uttar PradeshOfficials of Department of PHED

Field ConsultationsParticipants:Individuals, Womens’ groups, representatives from District Project Management Unit (DPMU), Gram Panchayat level water and Sanitation Committee (GPWSC) / VWSC, Scheme level user Committee (SLUC) / User committee, Support OrganizationsLocation: 54Villages spread across 40 GPs in 7 districts (Kamrup, Sibsagar, Jorhat, Sonitpur, Morigaon, Bongaigaon and Hailakandi)

Participants:Panchayati Raj/Village Councillors, Non Government Organisations/Civil Society, Community, Households from 10 GPsSpread across 4 districts (Begusarai, Purnia, Patna and Banka.)

Participants:Individuals, Womens’ groups, representatives from District Project Management Unit (DPMU), Gram Panchayat level water and Sanitation Committee (GPWSC) / VWSC, Support OrganizationsLocation: 60Villages spread across 30 GPs in 5 districts (East Singhbhum, KhuntiSaraikela Kharsawan, Garhwaand Dumka)

Participants:District collectors, Chief and District Development Officers, Jal Nigam engineers, District Panchayati Raj Officers , PRI members community members, particularly women, and their self-help groups (SHGs), as end users of water supply and sanitation services.Location: 20 GPs spread across 5 districts (Shrawasti, Kushinagar, KaushambiChandauli and Faizabad)

The methodological framework for the social assessment followed the simple flow:

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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


2.2 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 Pradesh1. Census 2001 and 2011 2. Statistical Handbook

of the State, 20113. NRDWP Website, 4. District Topographical

Maps,5. RWSSP-LIS Assam

Project Information Sheets

6. UNICEF. 2003. ‘Gender Mainstreaming in Water and Sanitation’.

7. tsc.gov.in/tsc/Report/Physical/StateWisePerAch_OnlyTSC_net.aspx?id=Home

8. http://whp.org.in/ Handwashing

9. http://www.satp.org/satporgtp/countries/india/

10. Assam Development Report, Planning Commission, 2007

11. Integrated Disease Surveillance Programme Data for Assam, 2012-13

1. Census 2011 2. Department of

Drinking Water & Sanitation Website

3. UNDP Human Development Report

4. Bihar at Glance 2009

5. Statistics of water published by Central Water Commission in 2010

6. Annual Health Survey 2010-11

7. SRS 2009

1. Census 2001 and 2011 2. Statistical Handbook of

the State, 20113. NRDWP Website, 4. Jharkhand

Development Report,2007

5. Encyclopædia Britannica Online.Encyclopædia Britannica Inc., 2012.

6. IFAD/India-Jharkhand Tribal Empowerment and Livelihood Project Project Design Report-Appraisal- Main Report, 2012

7. http://www.satp.org/satporgtp/countries/india/maoist/

8. The Constitution of India, DD Basu

9. http://www.pucl.org/Topics/Dalit-tribal/2004/adivasi-jharkhand.htm)

10. Anon; Participatory Development & Traditional Democratic Institution; Pearl Shramjivi Unnayan, Ranchi

11. http://www.unicef.org/india/Jharkhand_Fact_Sheet.pdf accessed on February 26, 2013

12. Role of Marketing in Polio Eradication, Rahul Goswami

13. UNICEF. 2003. ‘Gender Mainstreaming in Water and Sanitation’.

14. http://www.sirdranchi.nic.in/

15. Integrated Disease Surveillance Programme Data for Jharkhand, 2012

1. Progress on Drinking Water and Sanitation: 2012 Update, WHO/UNICEF Joint Monitoring Programme for Water Supply and Sanitation

2. Twelfth Five-Year Plan-2012-2017; Report of the Working Group on Rural Domestic Water and Sanitation

3. www.censusindia.gov.in/Tables_Published/HH-series/hh_series_tables_20011.aspx

4. www.census2011.co.in/sexratio.php

5. www.census2011.co.in/census/state/uttar+pradesh.html

6. http://ibnlive.in.com/news/indias-poverty-line-now-lowered-to-rs-28-per-day/240737-3.html

7. tsc.gov.in/tsc/Report/Physical/StateWisePerAch_OnlyTSC_net.aspx?id=Home

8. RBI Handbook of Statistics on Indian Economy and Economic Survey of India 2010-11

9. India Human Development Report 2011, IAMR and Planning Commission

10. Gendering Human Development Indices: Recasting the Gender Development Index and Gender Empowerment Measure for India, Ministry of Women and Child Development, GOI

11. Inequality Adjusted Human Development Index for India’s States 2011, UNDP

12. Tendulkar Committee Report 2009

13. http://www.ophi.org.uk/ policy/multidimensional-poverty-index/mpi-data-methodology

14. India State Hunger Index 2009, IFPRI

15. Business Standard, Lucknow January 06, 2012

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http://www.ophi.org.uk/policy/multidimensional-poverty-index/mpi-data-methodology



http://whp.org.in/Handwashing

http://whp.org.in/Handwashing


3 STAKEHOLDER ANALYSIS

3.1 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.

3.2 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

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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.

3.3 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 3.3:Key Stakeholders ‘Expectations and their Issues and Concerns

Key Stakeholders Expectations Issues/ConcernsScheme beneficiaries Households expected to benefit out of the project

Good quality water. Availability in adequate quantity. More number of household

connections. Uninterrupted service. Good sanitation facilities Hygiene improvement Overall health improvement

People are sceptical about the service delivery. People are not willing to share any capital cost

for piped water supply; though they are willing to pay for operation and maintenance once the improved services are available.

Demand generation could be difficult The users’ feels awareness generation on

WATSAN issues is required.

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Key Stakeholders Expectations Issues/Concerns

Women as Sub-Group Better quality of water Enhanced quantity and equitable

distribution Good capacity Over Head Service

Reservoir (OHSR) Water available at an appointed time House service connections (HSC) Better management and faster

repairs Provision of good quality and safe

sanitary facilities Safe disposal of wastewater Government support and subsidy Reduction in time spent in fetching

water Time savings and productive use of

time

Poor quality of water Low quantity of water Limited access and Inequitable distribution of

water Increase in time spent in fetching water Poor storage capacity Unreliable water supply Continuing open defecation in the villages Improper location of sanitary facilities Lack of privacy Higher Tariff Health concerns for self and children

Gram Panchayats (GPs) Members of the GPWSC/JPS which is responsible for handling water supply and sanitation issues at the GP level are critical stakeholders.

But members of the village water supply and sanitation committee (VWSC), which represents the users, are equaqlly important at the GP level as they are directly responsible to the users.

Uninterrupted water supply and grater coverage.

GPs expect to be involved in the planning, design and implementation of the RWSS schemes.

GPs also expect to have on-site training for the operation and maintenance of the piped RWSS schemes before they are transferred to them. Specifically, Electrician and Plumbing training and training on Maintenance of Books of Accounts for User Committee is urgently required.

Not aware about the new scheme details, however, ready to help and intervene on any local issues and ensure availability of land through voluntary donations, if required.

Inadequate awareness about handing over the scheme to Panchayat and role of Panchayat.

The users’ feels awareness generation on WATSAN issues is required.

This project would help bring overall development.

Ready to help and intervene for any local issues also ensure availability of land if required.

There is no space for keeping records at the programme area User Committees does not have any office set up. All 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 Mission (SWSM) SWSM, being an apex institution, having a mandate for the entire sector throughout the state, it is a major stakeholder at the state level. However, it is a committee, lacks a secretariat.

SWSM expects the SPMU to be fully equipped and staffed with key professionals.

SWSM/SPMU functionaries expect to be trained on various aspects of project planning and management at premium training institutes in India and abroad, besides having exposure visits to successful projects of a similar nature in India and outside.

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 Executing Agencies such as; UP Jal Nigam, PHED, DWSD and WSSO.

Ministry of Drinking Water and Sanitation (DWS)

Improved water supply and sanitation situation in all the selected areas of the four state.

Sustenance of the operations. Expects to provide policy based

support to project.

Sustainability of the RWSS services in the selected areas beyond the project period.

Institutional set up of the proposed project Ability of people to contribute for the project Community participation Cost contributions

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Key Stakeholders Expectations Issues/Concerns Expects to meet targets on both

water and sanitation. Expects to demonstrate new simple

and community friendly technologies.

Subsidies for latrines

Technical Engineering Departments at state and District level - UP Jal Nigam (UPJN); PHED, Assam; PHED, Bihar; DWSD, Jharkhand

UPJN expects to be actively involved in project planning and management as a major stakeholder and not only as a technical service provider for preparation of DPRs

UPJN expects its senior engineers to be included in the management teams at SPMU and DPMUs: and if possible, DPMUs to be headed by senior and experienced UPJN engineers.

There is an expectation of the district level functionaries of UPJN/PHED/DWSD and PRD to have adequate incentives and capacities to function as project managers on the ground.

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.

Handing over of schemes to PRI-s Accountability of operation and maintenance to

be vested on GPs PHED to handle major maintenance issues and

provide technical guidance People do not pay any attention when PHED

repairs the pipe later they complain. Even if the user committee is formed it is 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.

PHED Grassroots Officers The project will solve the local water crisis.

People do not pay any attention during the trainings 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) Panchayati Raj Department is critical to the success of the sanitation component of the project

PRD expects to be included in the project planning and management team at SPMU and DPMU levels.

They expect to be trained in management of participatory project planning and management.

Convergence procedure to be streamlined through integration and incorporation in to the Action Plan of the PHED.

Water and Sanitation Support Organisation (WSSO)WSSO is the biggest capacity building stakeholder in the sector at the state level

WSSO expects to get strategic support under the project for its internal capacity building to be able to anchor the capacity building efforts in the RWSS sector in the state.

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.

World Bank : will have a major stake in learning in its unique position as a Knowledge Bank besides being a lending agency

Expectation is to help poor rural communities in selected districts of all four states have inclusive and equitable access to improved piped water supply services.

-Weak capacity in these states could impact upon the pace of progress as well as quality.

Other grass root level workers, including Health, ASHA, ICDS

They expect to be immensely benefitted.

No negative impact. Huge Gap in capacity building. Awareness campaign from door to door is

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Key Stakeholders Expectations Issues/Concernsworkers. 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. Availability in adequate quantity. More number of household

connections. Uninterrupted service.

People are not willing to share any capital cost for piped water supply; though they are willing to pay for operation and maintenance once the improved services are available.

Inclusion in the O&M process and user committee.

Individual latrines.

Tribal1 are critical stakeholders in the case of Jharkhand

To be consulted through their traditional (Pradhan) institutions as well as elected PRI members in decision making, implementation and operation and maintenance.

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.

To work in the projects initiated in their panchayat or village.

To receive training as plumbers and masons.

Government should protect their interests in 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.

Some groups (PTGs, SCs, etc.) may be excluded from the water and sanitation services.

Traditional institutions of governance in tribal areas may be ignored. They want to be an essential part of design and implementation.

Tribal rights may be ignored while designing the project

Exclusion of tribal, PTGs, SCs and other marginalized sections in project related decision making.

Limited access to services Limited technical and managerial skills Exploitative practices and dominance of rich and

forward communities.

Self Help Group (SHG) Supply of good quality water in sufficient quality.

Presently having limited access and needs awareness 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 participate in the project at Gram Panchayat and District level.

The Education Department wants to participate 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.

Project institution and implementation arrangements.

Funds for participation Coordination at secretary level. Skilled personnel for participation.

1 Tribals of Jharkhand such as; Munda, Ho, Uraon, Primitive Tribal Groups, etc.

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Key Stakeholders Expectations Issues/Concerns 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:

3.3.1 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.

3.3.2 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.

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Convergence of RWSS with other programmes like MGNREGS, NRHM of the Panchayat and Rural Development Department and Health Department respectively, is inadequate.

3.4 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 tribals2 apprehend that the VWSC may be dominated by the rich, powerful and forward community members and may serve only their interests.

2 Tribals from Jhrakhand

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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.

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4 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.

4.1 Issues

4.1.1 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.

4.1.2 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.

4.1.3 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.

4.1.4 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.

4.1.5 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

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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.

4.1.6 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. .

4.1.7 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.

4.1.8 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.

4.1.9 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.

4.2 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 4.4: Project ImpactsStakeholder

GroupsPositive Impacts Negative Impacts

Women as Sub-group

Availability of quality water for a duration required and at a time wanted by all

Health Hazards, due to stagnation of water leading to mosquito

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Stakeholder Groups

Positive Impacts Negative Impacts

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 Improvements in quality of life and dignity

breeding and public health problems

Spread of AIDS at construction sites

Surface water pollution and groundwater pollution

Higher Tariffs Control by Male members of the

VWSC/ GP

All Users Availability of quality water for a duration required and at a time wanted by all

Health and Environmental improvements Reduced health expenses and thereby savings Productive use of time Improvements in income patterns Reduced nuisance of open defecation due to

increased coverage of individual sanitary latrines Less suffering during monsoons and adverse

climatic conditions Improved public safety 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

Health Hazards, due to stagnation of water leading to mosquito breeding and public health problems

Surface water pollution and groundwater pollution

Higher Tariffs Social issues such as, social

disruption in the area of construction, social unrest issues on construction sites and regional labour issues

VWSC Members

Increase in the number of members Representation of all section of people in the

VWSC Timely and regular meeting of VWSCs Well defined norms and procedures for

empowering VWSC Increase in the level of involvement of VWSC

members for generating 10% contribution (financial & non-financial) from villagers

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

Chances of VWSC overruling the villagers needs and views of the villagers

VWSC might become another bureaucratic setup for the villagers

VWSC might overlook PRI and may land in troubles

Scheduled Tribes and Scheduled Castes Groups

Availability of quality water for a duration required and at a time wanted by all

Scope for having water points near their houses Reduced drudgery of carrying water from long

distances Reduced disease burden due to reduction in water

borne and water related diseases

Higher Tariffs Control by rich and forward caste

members of the VWSC/ GP

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Stakeholder Groups


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

Winning the confidence of the people Scope for capacity building Scope for revenue generation Opportunity to handle finances

Inability to maintain the schemes due to poor technical and financial position

Contributions may not come up Threat of VWSC sidelining the PRI 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

Winning the confidence of the people Scope for capacity building Scope for revenue generation Opportunity to handle finances Financial support from project Can Complete the district sanitation agenda

through the project Expects to realize district water and sanitation

targets and goals through project

Limited functional devolution - dependent on PHED/ DWSD/ UPJN in many aspects

PHED/ DWSD/ UPJN might focus on GPs and VWSCs

GPs and VWSCs may side line GP MVS may become a maintenance

problem Conflicts may arise within MVS

villages

JE/ AE, PHED/ DWSD/ UPJN

Opportunity to provide water and sanitation services to rural areas

Opportunities for skill development and capacity improvement

May get side lined with the induction of consultants at every stage

Unable to collect community contributions

EE/ SE, PHED/ DWSD/ UPJN

Opportunity to prepare projects in a technologically sound manner

Opportunities for skill development and capacity improvements

Increase in financial powers

Institutional set up new but yet procedural

Political pressure in selection and implementation

CE/ EiC, PHED/ DWSD/ UPJN

Opportunity to prepare projects in a technologically sound manner

Opportunities for skill development and capacity improvements

Increase in financial powers Project funds for complete augmentation or new

water and sanitation systems

Project funds may not suffice to cover all Not Covered villages and villages with quality problems.

Failure of sources to provide water due to recurrent drought conditions

Political PressureSWSM Sustainable water and sanitation operations

Policies benefiting people can be made Meet all state water and sanitation goals Demonstrate new simple and community friendly

technologies

SWSM may have only a minor role to play.

PHED/ DWSD/ UPJN may dominate and sideline SWSM

Community participation may not be effective

Subsidies for latrines may result in unused latrines

Contractors Early and timely start of projects Improper procurement systems

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Stakeholder Groups


Price escalation clauses in the contracts Community cooperating in the villages Land procured before project start Timely payments and reasonable profit margins

Delay in payments Delays in land procurement Low Profit margins Skilled labour unavailable Interference from community

Labourers/ Daily Wage Earners

Employment Opportunities during implementation and sometimes during maintenance.

Likely Increased wages Opportunities for working with skilled persons and

learning new skills Likely equal wages for women

Migrant labour brought in by the contractors

Possibility of contacting AIDS Clashes and social unrest Possibility of using child labour Possibility of not paying equal

wages to womenLocal Skilled Labour/ Tradesmen

Employment Opportunities during implementation and sometimes during maintenance.

Likely Increased wages Likely equal wages for women

Migrant labour brought in by the contractors

Possibility of contacting AIDS Clashes and social unrest Possibility of not paying equal

wages to womenOther Departments

Opportunity to participate in the water, sanitation, health and hygiene related activities of the project.

Funds from project Capacity building of personnel

Funds may not be transferred Differences with PHED/ DWSD/

UPJN

4.3 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.

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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.

4.4 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.

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5 SOCIAL MANAGEMENT FRAMEWORK

5.1 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.

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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 mainstreamingGovernance, Accountability and Transparency Capacity support and capacity buildingSelf-Selection and demand driven Securing landsParticipation, Inclusion and Equity Tribal DevelopmentCohesion 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.

5.2 Common Management Framework

5.2.1 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.

5.2.2 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

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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.

5.2.3 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.

5.2.4 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.

5.2.5 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.

5.2.6 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

3 A brief about the institutional and implementation arrangements is presented towards the end.

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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 5.5: Scheme Cycle4

S. No. Activity Social Management Actions Responsibility

I SVS SchemesA Pre-planning phase

1 Project kicks off- curtain raiser- with a district workshop District wide IEC campaign launched DWSM/ DPMU

2

Selection of Service Agency/Consultant for initial IEC and Support Organisation (SO) in the Program villages

Orientation of GP/Villages DWSM/ DPMU

3 Village level IEC campaign Door-to-door/ Ward/ Village/ GP level campaigns on water and sanitation GP/ SO

4 Resolving to participateGP passes resolution and expresses interest to participate in the project GP/ SO

5 Selecting GP/ Villages Prioritization based on selection criteria done DWSM/DPMU6 GP/ Village selected GP/ villages are informed of the selection DWSM/DPMU

B Planning phase

1Identification of user groups and formation-cum-constitution of the VWSC

Motivation and Awareness to ensure inclusion SO

2 GP resolution recognizing VWSC/ HWSC Meeting of VWSC/ HWSC ZP/DPMU/ DWSM,

SO, GP/VWSC

3 Capacity building of GPs/ VWSC/ HWSC members

Orientation, training and capacity building of GP/VWSC supported by Support Organizations

ZP/DPMU/ DWSM, SO, GP/VWSC

4Preparation of “Devolution Action Plan (DAP) (as appropriate)” by GPs/ Villages

Preparation of DAP, as appropriate, by GP/ Village/ Habitation GP/ VWSC, SO

5 Opening of bank accountSocio-economic Survey (socio-cultural resource mapping and infrastructural survey) for preparing socio-economic baseline

SO

6

Mobilization of communities, participatory planning and use of appropriate tools, problem investigation and analysis

Lane/ Ward/ Habitation/ Village/ GP Level meetings for mobilization, using PRA and documentation of these activities

SO, GP/VWSC

7 Participatory WATSAN situation analysis

Preparation WATSAN Baseline for Habitation/ Village/ GP SO, GP/VWSC

8

Identifying technology options, conducting feasibility analysis and Agree-To-Do meeting for separate user groups

Agreement arrived at with regard to technology options, location of facilities, etc.

ZP/DPMU/ DWSM, SO, GP/VWSC

9 Tripartite MoU signed among GP, VWSC and DWSM

Redressal of objections/ complaints and considering suggestions regarding scheme interventions

SO, GP/VWSC

10 Collecting part community Mobilizing and sensitizing communities for SO, GP/VWSC

4 Only SVS Cycle is presented here. The MVS Cycle has been attached as Annexure 8.3

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S. No. Activity Social Management Actions Responsibilitycontribution, based on a pre-

determined % contributions

11 Preparation of Detailed Project Reports (DPR)-Water supply

Discussion about DPR and scheme facilities in GP/ VWSC 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

DWSM/ DPMU, SO, GP/VWSC

12 Obtaining technical sanction for DPR-water supply

Approval communicated to community members DPMU

13 Awareness on hygiene and environmental sanitation

Awareness creation activities at household/ ward level GP/VWSC, SO

14 Preparing Sanitation and Drainage Plans

GP/ VWSC Meetings for preparation of plans at ward level and collating them into GP/ Village/ Habitation plan

GP/VWSC, SO

15 Obtaining technical sanction for Sanitation and Drainage Plans


16

Preparation of Community Action Plans (CAP) for GP/ Village/ Habitation

GP/ VWSC Meetings for preparation of CAP at ward level and collating them into GP/ Village/ Habitation plan

GP/VWSC, SO

17 Obtaining technical sanction for CAP


18

Preparation of implementation phase proposals and Implementation Phase Tripartite Agreement (IPTA)

Agreement sighing by GP/ VWSC ZP/DWSM/ DPMU, GP/VWSC, SO

19 Implementation phase proposals and IPTA

C Implementation phase (depending on the type of technology chosen) Monitoring by GP/VWSC GP/VWSC, SO

1 Preparation and sale of bid documents

Preparation of bid documents and selling to interested parties DPMU, SO

2 Collecting balance cash contribution from communities

Mobilizing and sensitizing communities for contributions and collecting contributions GP/VWSC, SO

3 100% of community contribution mobilized

Mobilizing and sensitizing communities for contributions and collecting contributions GP/VWSC, SO

4

Signing of Memorandum of Understanding (MoU) between the GPs / GPWSCs and the selected contractor

Agreement sighing by GP/ VWSC GP/VWSC, DPMU, Contractor

5

Construction of water supply schemes, environmental sanitation works and catchments area protection works

Progress and Quality Monitoring by GP/ VWSC

GP/VWSC, DPMU, Contractor

6 Periodic monitoring by VWSC / GP and RWSS


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 Completion Reports (IPCRs)

GP/ Village/ Habitation level reports prepared GP/VWSC, SO

10 Submitting utilization certificates GP/ VWSC submits certificates GP/VWSC, SO

11 Commissioning of schemes Joint Inspection done. Trail runs completed. Ensure that all components are functioning properly and services cover all households.

ZP/ DWSM/DPMU, GP/VWSC

12 Water supply, drainage / sanitation infrastructure successfully

Systems functioning properly ZP/DWSM/DPM, GP/VWSC, SO

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commissioned

13Implementation completion reports including statement of accounts finalized

Scheme Evaluation (general project evaluation)

SWSM/SPM, DWSM/ DPMU

D Operations & maintenance phase

1 Prepare an O&M Plan and Budget Discussions with community members on O&M plan and budget DPMU, GP/ VWSC

2 Fixing user fees Conduct GP/ VWSC meeting to fix user fees in a participative manner. GP/VWSC, DPMU

3 Decide on the subsidy, if need beProposal on subsidy will be submitted by DPMU. Decision on subsidy be made by the concerned Secretary to the Government

DPMU, GP/VWSC, SPMU

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 resource persons are trained in O&M

DWSM/DPM, GP/VWSC

6 Sustainability Monitoring and Evaluation

Conduct an SME exercise after three months of commissioning with participation of community.

DPMU, GP/ VWSC

5.2.7 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.

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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.

5.2.8 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.

5.2.9 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

5 Detailed capacity building needs, strategy and action plans have been prepared by independent consultants in each of the four states.

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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.

5.2.10 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.

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5.2.11 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.

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5.3 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.

5.3.1 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

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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.

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5.4 State Specific Management Action Plans

5.4.1 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 5.6: Tribal areas Vs proposed Project areasName of District

Project Blocks Tribal Blocks/Belts in the District

% of Tribal Population in the district

Name of GPs included in the project area with common areas in Tribal Blocks/ T Belts

% of tribal In the project area

Bongaingaon

Tapatari, Srejangram,

Bijni TB 12.23 Not included 0.0%

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BoitamanKamrup Chandrapur,

DimoriaRani-Chaygaon TBelt*Kherti-Sonapur TBeltBorpathar TB**Jamadani TBBorongoniTBChangana TBTetelia TBGobha TBRhulaguriTBBagariguriTBBhulukjari TB

9.93 Tetelia,Sonapur

5.74%

Sonitpur Chaiduar, Pub Chaiduar

Gohpur TBBalipara TBelt

11.60 Gohpur 2.34%

Sibsagar Amguri, Gaurisagar

No TB 3.95 Not Applicable 0.0%

Hailakandi Hailakandi and Algapur


Morigaon Mayang, Bhurbondah


Jorhat Jorhat, Jorhat Central 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.

5.4.1.1 Management measures.

Table 5.7: Management actions are summarized in the table below.Issues Mitigation Measures

Beneficiary preparedness 1) The beneficiaries are willing to accept

the proposed piped water schemes and are ready to pay for improved service

2) However, they seem to be less aware of the scheme details including site of the project and other details.

3) Communities are apprehensive about reaching piped water to the farthest point

1) Since the beneficiary preparedness exists, the commissioning of the schemes should be done as early as possible in ensuring water security addressing the issues of quantity quality and regularity. At the least, time frame should be shared with the communities so as not to lose their interest and enthusiasm. Project details to be displayed (proactive disclosure) in a permanent board to ensure awareness of the scheme among all stakeholders.

2) 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

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Issues Mitigation Measuresconnections.

3) 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 preparedness1) State level SPMU is in place but at the sub

optimal functional level. 2) PHED functionaries , although technically

proficient , need orientation on Community Driven Development Approaches, administrative and management issues related to MVS

3) District level DPMUs are yet to be commissioned

4) At Anchal level, APWSC is yet to be commissioned although notification exits. However multi-level village schemes as planned under RWSS programme, which would cut across several GPs will required active role of APWSCs.

5) VWSC at the GP level looks after mainly sanitation issues. Since water supply schemes are not handed over, they yet not prepared mentally and technically to takeover multi-village schemes.

6) AT the GP level all the committees dealing with water and sanitation seem to be dormant as water supply schemes are yet to be handed over to the PRIs. With the new project with larger coverage and handing over the schemes to the PRI, PRI stakeholders and committee stakeholders needs to be capacitated for effective management of such schemes

7) SLUC are functional in most of the cases, but they work under the direct supervision and guidance of PHED bypassing the PRIs.

8) SLUC s are generally handled by one or two office bearers- the President and the Secretary/ Treasurer. The other members are not involved in the management. All members need orientation, motivation trainings and also capacity building on management issues including financial management

9) SLUCs do not have adequate capacity in community mobilisation and information dissemination

10) There is lack of integration between VWSC and SLUC

1) Strengthening of SPMU with engagement of staff and definition of work roles.

2) Regular capacity building through training programmes and exposure visits.

3) DPMU to be commissioned and made functional through engagement of specialists The existing staff in the DPMU needs to be geared towards the World Bank Project provisions.

4) APWSC should be oriented towards handling Multi Village Projects covering more than one GP

5) GP level committees dealing with water and sanitation including VWSC should be oriented and trained to be able to handle multi-village schemes with larger coverage.

6) Provision should be made for establishing a scheme level committee comprising representatives of all the participating villages for advisory and overseeing the scheme.

7) Work closely with Panchayat Raj Institutions in ensuring legitimacy for all the users’ committees.

8) Adequate staff with technical capabilities have to be deployed.

9) Leadership and Motivational trainings should be designed for GP functionaries.

10) Capacity building through trainings of SLUC members on statutory obligations for managing SLUCs and book keeping required

11) There should be a reporting mechanism for SLUC at the GP level

12) All SLUC Executive Committee members need to be trained on technical, organisational and financial management issues

13) Capacitating the SLUC members on information dissemination seems to be required. Local NGO-s and a local resource person can work towards capacity 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.

14) 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.

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Issues Mitigation MeasuresInter Departmental Convergence

Convergence of programmes and schemes are not yet streamlined for which program benefits are either duplicated or resources not optimally utilised.

Taking support of ASHA in the NBA program functionaries in mobilizing people for promoting individual sanitary latrines and creating awareness about 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 MeasureLack of ownership of the constructed schemes by Gram Panchayats (GPs)

1. PRI members engaged in implementation phase ‘as and when’ required basis, this has to be streamlined and a detailed planning to be done staring from planning to handing over of the scheme involving PRI stakeholders

2. Handing over process needs to be streamlined and capacitating all the PRI stakeholders concerned needs to be done

3. 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 comfortable with the new project as it entrusts greater responsibility on PRI

1. There has to be a detailed orientation on the roles and responsibilities of the different government and PRI functionaries indicating the advantages of such involvement-

2. Exposure visit and success story sharing could be a viable method

Additional responsibility on PHED Engineers at State and District may lead to over burdening on staff capacities

1. The SPMU and DPMU needs to be strengthened with adequate staff

2. There should be a provision for dedicated technical expert at DPMU level

Women as a stakeholder may remain excluded 1. The women participation has to be ensured through appropriate orientation and sensitization

2. 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

3. Gender awareness training for project staff and participating support organizations are to be planned.

Lack of accountability 1. Re-defining the role and responsibilities for all the stakeholders at different level and a mechanism to track the same essential.

2. Re-articulating their respective roles and responsibilities, if needed, in the context of the WB supported project

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Issues Mitigation MeasuresSlip back of commissioned schemes 1. Creating demand for improved piped water supply

services 2. Payment of user charges on a regular basis is a

practice at Assam, it needs to be sustained with introduction of new scheme

3. 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 with sanitation under the same committee

1. Orientation of members at all levels 2. Procedural streamlining for integration

Lack of convergence may lead to duplication of work and resource use

1. Coordination meetings to be organized on a regular basis for sharing of projects proposals

2. 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.

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5.4.2 Bihar

5.4.2.1 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.

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5.4.2.2 Management ActionsIssues Mitigation Measures

Lack of Community participation

Multiple round of stakeholder consultations should be held prior to conceptualizing and during preparation 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

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Issues Mitigation Measurescould be solar based systems.

Weak PRIs and non-availability of VWSCs

PRIs should be empowered and mandatorily be members of VWSCs and other respective committees at different 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.

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5.4.3 Jharkhand

5.4.3.1 Social Management actionsIssues/ risks Management Actions

The beneficiaries are willing to accept the proposed piped water schemes and are ready to pay for improved service

They seem to be less aware of the scheme details including site of the project and other details.

Beneficiaries apprehensive regarding the reach of piped water to the farthest point.

Since the beneficiary preparedness exists, the commissioning of the schemes should be done as early as possible in ensuring water security addressing the issues of quantity quality and regularity.

Project details to be displayed (proactive disclosure) in a permanent board to ensure awareness of the scheme among all stakeholders.

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 level. District level DPMUs proposed and

establishment in progress VWSC at the GP level looks after works related to

hand-pumps, repairing, IHHL and IEC activities. Since overall O&M of Water Supply and Sanitation are to be handed over to them, they are yet not prepared mentally and technically to takeover multi-village schemes.

AT the GP level there is no separate institutional arrangement in managing Rural Water & Sanitation. The new project under RWSS will be handed over to the PRI, stakeholders and committee stakeholders, who thus will be needed to be capacitated for effective management of such schemes.

Jalsahiyas are functional in most of the cases, but they work 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.

Convergence of programmes and schemes are not yet streamlined for which program benefits are either duplicated or resources not optimally

Strengthening of SPMU with engagement of staff and definition of work roles.

DPMU to be made functional at the earliest through engagement of specialists. The existing staff in the DWSD (Who are also a part of SPMU) needs to be geared towards the World Bank Project provisions.

GP level committees dealing with water and sanitation including VWSC should be oriented and trained to be able to handle multi-village schemes with larger coverage. Adequate staff with technical capabilities has to be mobilized.

Capacitating the VWSC members on information dissemination seems to be required. Local NGOs and a local resource person can work towards capacity building of VWSCs who would in turn carry out the functions in their catchment areas. Activation of the Block Resource Centers are a must in this context.

Capacity building of Jalsahiyas6 on community mobilization, information dissemination, monitoring and book keeping.

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

6 Jalsahiya is a daughter in law or widow from the same village, appointed for providing help and information on water and sanitation.

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Issues/ risks Management Actionsutilized. convergence.

Community is more or less geared up to pay for water but there are some instances where they stopped paying if water is not available or grievances are not addressed.

Subsidy in sanitation sector has a negative impact and community is not maintaining the sanitation system as it comes in a subsidized rate .

Water security and sustainability issues should be taken care of through appropriate GPWSC and VWSC strengthening. There should be a streamlined system of Grievance Redress at the VWSC levels.

Water supply connection should not be given at free of cost as there is already a habit of paying for getting water and the present Act 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 context of water and sanitation. Women’s role conceived as passive in water management.

Gender sensitization to be done through appropriate IEC mechanisms.

The mandatory provision of women participation in VWSC Executive 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 be neglected.

Also, since tribal population is scattered they are likely to get excluded from the proposed schemes under Water and Sanitation.

Tribal Development Plan, ensuring their inclusion in the best possible way.

Ensuring, to the extent possible, the accrual of project benefits to the traditionally marginalized communities-more specifically, the PTGs under the project area

Issues/ Risks Mitigation MeasureLack of ownership of the constructed schemes by Gram Panchayats (GPs)

PRI members engaged in implementation phase ‘as and when’ required basis, 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 Level staff may not be comfortable with the new project as it entrusts greater responsibility on PRI

There has to be a detailed orientation on the roles and responsibilities of the different government and PRI functionaries indicating the advantages of such involvement.

Exposure visit and success story sharing could be a viable method. Additional responsibility on DWSD Engineers at State and District may lead to over burdening on staff capacities

The SPMU and DPMU needs to be strengthened with adequate staff. There should be a provision for dedicated technical expert especially

in social, 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.

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Issues/ Risks Mitigation Measure 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 integrating water with sanitation under the same committee.

Orientation of members at all levels. Procedural streamlining for integration.

Lack of convergence may lead to duplication of work and resource use

Coordination meetings to be organized on a regular basis for sharing of projects proposals

Judicious allocation of funds for the purpose through strategic planning.

Left Wing Extremism is a challenge in most of the project areas and may lead to delays in implementation.

Generating grass roots demand for services and mobilizing community influencers to elicit the community’s support in the project areas may reduce such risks.

Exclusion of marginalized, particularly the Tribals, SCs, OBCs

Inclusion of all targeted habitations without any discrimination arising out of cost or technology.

Conflict may arise if petty works are not given to local contractor

Preference to be given to local contractors and laborers.

Conflict may arise in VWSC if it is not represented by all sections of the village

Democratic process to be ensured in the formation of VWSC.

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5.4.4 Uttar Pradesh

5.4.4.1 Social Management actionsS.N. Issues/Risks Management Measures

1 A routine supply driven construction program of water supply and sanitation facilities without effective demand from user communities for improved services

(i) Creating demand for improved piped water supply services with innovative communication campaigns involving the use of participatory methodologies such as Participatory Rural Appraisal (PRA), Participatory Learning and Action (PLA), Community Led Total Sanitation (CLTS) and Community Led Action for Sanitary Surveillance (CLASS)

(ii) Re-defining the functional goals and strategies of key sector institutions of SWSM, Jal Nigam, Panchayati Raj and WSSO.

(iii) 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 schemes by Gram Panchayats (GPs)

(i) Ensuring the substantive involvement of GPs at all stages of project planning and implementation beginning from the feasibility study stage itself

(ii) 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 marginalised, SCs, poor and women, from project processes

(i) Ensuring substantive, rather than the notional, involvement of the extremely marginalised (such as the Musahars), other SCs, poor and women in project planning and implementation by ensuring their active involvement in taking key decisions related to project planning and implementation on the ground.

(ii) 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 planning and implementation

(i) All the key decisions related to the size of the scheme, villages/GPs to be involved, service level, payment of user charges are taken in community wide meetings called Gram Sabhas, and not by the executive body of the GP

(ii) 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 and cost over runs of the schemes

(i) Processes for preparation and approval of detailed project reports (DPRs) are designed so as to minimise the delay without compromising on the quality of the end outcome

(ii) Responsibility, authority, and accountability are located strategically and evenly

(iii) Capacities of all the institutional and individual stakeholders are built through training and re-training throughout the project cycle

(iv) 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 overall project with its primary focus on water supply: and as a result, water supply and safe sanitation do not get addressed as an

(i) Safe sanitation in terms of open defecation free (ODF) communities/GPs is made into an incentive for improved water supply services

(ii) Water supply and safe sanitation are offered as an integrated service with emphasis on communication and capacity building for effective sanitation and hygiene behaviour change at the

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S.N. Issues/Risks Management Measuresintegrated issue having a major bearing on the quality of water and the resultant health status of people

community level.

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.

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5.5 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

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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

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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.

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5.6 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.

5.6.1 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.

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6 GRIEVANCE REDRESSAL MECHANISMS

6.1 Mechanism and Institutional Arrangements

6.1.1 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.

6.2 Overall framework for redressal of Grievances at appropriate levels of the project implementation structures

6.2.1 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

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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.

6.2.2 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.

6.2.3 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.

6.2.4 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 6.8: Matrix for redressal of grievances

Issues likely to emerge

Process for redressal

Time period for redressal of Grievances

Responsibility

Inadequate representation and decision making power in VWSCs

Ensuring adequate representation during elections and giving decision making power to tribal community as well.

Conducting elections and avoidance of nominations based upon preferences.

7 days of time, starting from the date of registration of grievances to redressal of grievances.

AE / Secretary of the GP hold primary responsibility.

Pradhan of village Panchayat and representative of Sabhapati of Panchayat Samiti facilitate the process.

DPU ensures tribal communities have been adequately represented in WUA.

Disputes related Provision be made 5 days of time, AE & EE of DPMU/ Department hold

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Responsibility

to the technology or pinpoint site selection of the scheme

for Gram Sabha consultations

Thorough primary survey should be made before selection of pinpoint site so that a judicious decision can be made.

starting from the date of registration of grievances to redressal of grievances.

primary responsibility.

Pradhan of Gram Panchayat and Secretary should be taken into confidence for making the judicious decision.

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 selection of service level and related cost sharing

Provision be made for Gram Sabha consultations

Issue to be resolved in a community wide meeting.

Within 10 days of registration of grievances

AE & EE of DPMU/ Department hold primary responsibility.



DMU will document and upload all the details on the website.

Issues related to fixing up of user fees

Provision to be made for Gram Sabha consultations

Issue to be resolved in a community wide meeting.

Within 10 days of registration of grievances

AE & EE of DPMU/ Department hold primary responsibility.



DMU will document and upload all the details on the website.

Quality during construction

VWSCs to register complaint with DPMU/ SPMU

15 days DPMU/ SPMU will take up the issue with the contractor and resolve. All aspects to be informed to the VWSCs and uploaded on the website.

Equitable distribution of water

Ensuring equitable water distribution through practices of management and efficient use of water


VWSC has the primary responsibility to regulate water distribution and check the unwanted interference and dominance of certain powerful / resourceful sections like influential farmers, interest groups etc.GP to be an apex body.

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Responsibility

DPMU to regulate the process through the AE of sub-divisional level and review the functioning of VWSC

Non-functioning of the scheme due to break down if the machineries or any other reasons

Ensuring immediate actions to repair the machineries or to remove the other reasons which made the scheme idle.


VWSC has the primary responsibility to remove the hardness.

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 and release of subsidy for sanitation

Households to complain to GP/ DPMU/ SPMU

15 days GP/ DPMU has to provide a written explanation to the respective household.

Transparency issues

Ensuring transparency and accountability in practice at all levels.


Responsibility of the VWSC to maintain the account of water rate collected from the farmers, timely deposit the same to Bank account, maintain the 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, subsidy, outsourcing of O&M.

GP/ DPMU to prepare proposal to forward it to the state government

One month ENC with directive from the Secretry of the department will act on it as appropriate.

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7 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

7.1 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.

7.2 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.

7.3 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.

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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.

7.4 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 programsDecentralization 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 VWSCWATSAN 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 planPerformance – 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

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% 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 GPsLands: % 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.

7.5 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.

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8 ANNEXURE

8.1 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.

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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.

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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.

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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.

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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 sanitation7 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

7 Sanitation includes: Personal hygiene, domestic sanitation and environmental sanitation

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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

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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.

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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

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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 evaluatedKey Person Specialization Experience No Man monthsSocial Development Specialist - Team Leader

An Engineer or Post Graduate or MBA with professional 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.

7-10 years 1 3.0

Community Development Specialist

Post Graduate, with experience of designing and implementing community participation component in development projects and managing social safeguard activities such as resettlement, tribal development etc.

5-10 years 1 3.0

Gender Specialist

Post Graduate, with experience of conducting gender assessments and incorporating gender into development projects

5 years 1 3.0

Communication Specialist

Post Graduate, with experience of designing and implementing IEC programs in social sector

5-10 years 1 3.0

Social Marketing Specialist (preferably a woman)

MBA with HRD specialization with experience of addressing gender issues and organizing stakeholder consultations

5-10 years 1 3.0

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:

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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 weekCompletion of Stage 2 and Intermediate Status Report 2 weeks 4 weeks

Completion of Stage 3 , 4 and Draft Final Report 3 weeks 7 weeksCompletion 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.

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8.2 Stakeholder Analysis - Matrix from all four states

8.2.1 Stakeholder Feedback, Assam

Stakeholders Feedback on current Status

Understanding of the

WB Project

Expectations from the Project

Perceived role in the

ProjectKey Issues

Scheme Beneficiaries

Use of drinking water from unsafe sources prevalent along with piped waterPiped water is available for average 1 to 2 hours daily while in Hailakandi community reported of having water once in two daysThey generally do not practice safe handling of drinking waterIron contamination in water reported, in Sonitpur some habitants practice indigenous 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 areasAverage 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

They have little knowledge about the new project but when briefed about the new scheme, they opined that there is an urgent necessity of water and welcome the project as this would augment water supply in the villages

Good quality waterAvailability in adequate quantityMore number of household connections Uninterrupted service

The project would be run through User Committee They would identify one or two resource persons in each project area to form the user committee for daily O&M

Inadequate awareness about handing over the scheme to Panchayat and role of Panchayat

The users’ feels awareness generation on WATSAN issues is required

GP Functionaries

They have complaints about PVC pipes laid by PHED

Not aware about the new scheme details

Needs water for longer duration and uninterrupted services

Ready to support in implementation, maintenance and running the programme

This project would help bring overall development

GPWSC / VWSC Members

VWSC exits, in the project areas the members of GPWSC mentioned that as these schemes are not handed over to GPs by PHED they are only having advisory role

Not fully aware of the scheme detailing

Uninterrupted water supply and grater coverage

Electrician and Plumbing training and training on Maintenance

Shall cooperate in scheme operations

Ready to help and intervene for any local issues also ensure availability of land if required.

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WB Project



ProjectKey Issues

of Books of Accounts for User Committee is urgently required

User Committee

User committees are operational User charges usually Rs. 50/- per month with a security deposit of average Rs. 500 to 600/-They prefer to maintain liaison with PHED instead of Panchayat for any water related issues

Not fully aware – though some seem to be aware while proposed scheme detailing is not available with them

Augmentation of water supply and new sustainable water supply and sanitation systems in the villagesDesign the system for equitable water supply and sanitation facilitiesCommunity capacity building

Will undertake scheme management

There is no space for keeping records at the programme area User Committees does not have any office set up. All 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 committeeNeeds 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 water Water quality deficient in some locations Need for rehabilitation and augmentation of water supply systems and PRI/ community involvement in maintenance needed.

Aware of the proposed project

Augmentation of water supply and new sustainable water supply and sanitation systems in the villagesStreamlined process for PRI involvement

Involvement at different levels – at State ( through SPMU) at District ( through DPMU)

Handing over of schemes to PRI-s Accountability of operation and maintenance to be vested on GPsPHED to handle major maintenance issues and provide technical guidance

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WB Project



ProjectKey Issues

PHED Grassroots Officers

A general observation that the User Committee are not equipped to take full responsibility of schemes All the work is done through informal communicationPHE is also not involved in day to day functioning of User CommitteeThey mentioned that have not faced any land problem even for installation of tube well, land generally donated by community spontaneously. The land for construction of existing pump house was also gifted by the community

They don’t know how the existing system would be integrated to the new one. Even clueless on the point whether the existing supply units will be closed

The project will solve the local water crisis.

They have to identify one or two resource persons in each project area to form the user committee

People do not pay any attention when PHED repairs the pipe later they complain. Even if the user committee is formed it is usually becomes defunct when the hand holding support is withdrawn.Cross Subsidy may be one solution for the poorThey prefer accountability to be on GP while the technical support to be provided by the PHED.

Panchayat and Rural Development Department.

There is urgent need for installation of sanitary toilets on a large scaleDO No J-11017/41/2011-MGNREGA (Pt) proposes that “NGOs may also be allowed as Implementing Agencies for implementation of Individual Household Latrine (IHHL) under MGNREGS in convergence with NBA”.

Need to understand the project in details but as far as installation of latrine is concerned convergence is possible

On the issue of handing over to GPs procedure streamlining is required

Increase coverage of public utility services

Convergence of programmes for effective utilisation of resources

As a partner Department in implementing RWSS projects

Convergence procedure to be streamlined through integration and incorporation in to the Action Plan of the PHED

Women Distribution of hand pumps is concentrated at some points.Water collection is generally done by women and they have to wait in a long queue needs door to door connectionready to motivate male counterparts to payneeds water for longer duration, involves long time for collecting water hence livelihood affected,

no such awareness

Water for longer duration

Ready to pay user charges

Women issues need to be considered separately

Self Help Needs training on Welcome Supply of good Ready to Presently having

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WB Project



ProjectKey Issues

Group (SHG) vocational skills, only practice thrift activitiesIncome generating activities not done directly and controlled by intermediaries hence do not get proper remuneration Having limited interaction with Gram Panchayat

the project quality water in sufficient quality

pay user charges Can get involved in the project and provide services related to awareness generation and user charge collection

limited access and needs awareness generation and advocacy for demanding services Capacity building on management of water supply schemes for effective contribution

Other grass root level workers including Health, ASHA, ICDS workers

In Hailakandi, They use pond water for washing and bathing. Fetch water from a distance of 1km on an average by hiring a cart. The collection is generally once in a week. ASHA volunteer at Bongaigaon mentioned that they demonstrate the community on use of safe water but due to scarcity of water they as well as the community is bound to use unsafe water and feel depressed. Diarrhea has major 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.

They understand that if this project comes it will be of great help to them, but they can't believe now that it will be a reality.

They will be immensely benefitted

They are willing to take role as trainer and capacity builder for the common people

No negative impactHuge Gap in capacity buildingAwareness campaign from door to door is required for common people, local NGOs as well as PHED grass root workers and social leadersSustainability possible through formation of effective user committee. PRI should have limited role.

Local Traders

as there is no water they can't run hotel business and other improved services and welcome the proposed projectIn 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

Not aware of details of the project

Supply of water

ready to pay user charges Shall extend cooperation

needs water for longer duration

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WB Project



ProjectKey Issues

habitation would also grow with supply of water thus scope for business

8.2.2 Stakeholder Feedback, Bihar

Key Stakeholders

Role – Direct/ Indirect

Strengths Weakness Opportunities Threats

State levelPublic Health Engineering Department

Direct It is the state nodal agency responsible for providing drinking water and sanitation facilities in the rural areas of the state and implements the drinking water supply and sanitation projects under the National Rural Drinking Water Plan (NRDWP), Total Sanitation Campaign (TSC), State Plan and other external assistance programs

Technically competent group which can do effectively if they work through community participation by putting a mechanism of getting community response on all their activities.

Less staffed Lacks soft skills Struggling with

water related issues Depletion of

ground water level due to low rainfall/flood zone remains under water

Deterioration of water quality due to water depletion, bacterial contamination due to population pressure and open defecation

Ensuring expansion of the organization and timely completion of projects

Should consider users as customers

Have to come out of the thought process of being providers

Building of soft skills so that they could implement participatory development models

Requires orientation on Public Health issues

It may happen that community participation is not achieved as desired

It may happen that due to casteism at local level no support on community mobilisation

Political pressure

Non Convergence of programmes

State Water and Sanitation Mission

Direct Bihar State Water & Sanitation Mission (BSWSM) is nodal agency for implementation of total Sanitation Campaign & Swajaldhara in the state of Bihar. It has two missions – Project Management Unit (PMU) and Communication and Capacity Development (CCDU).

Technically competent group for project delivery

Implementation of M&E system

Undertakes IEC and capacity building to ensure that people will take care of the maintenance

Struggling with following issues Communities’

lack of sense of hygiene due to illiteracy, lack of awareness, inadequate capacity building at the grass root level and lack of convergence

Lack of co-ordination with related departments like health, education social welfare.

Absence of front line workers at village level

Requires customised communication strategy for behaviour change as most of the population is illiterate

Establishment of coordination with related departments like health, education social welfare.

Appointment of VWSCs and training of its members on different aspects


It may happen that due to casteism at local level, there is no support for community mobilisation

Political pressure


They may have to pay more for providing services to poor

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Key Stakeholders



UNICEF Direct Technically competent body- has huge potential of providing technical support

No issues Is involved at the policy level, therefore assists the PHED which in turn works with the grass root level organizations.

May face problem of poor coordination

DFID-SWASTH-WATSAN-Bihar

Direct Works on convergent actions primarily from three service delivery departments of the Government of Bihar, the Department for Health and Family Welfare (DoHFW), Social Welfare Department (SWD), and Public Health Engineering Department (PHED). Therefore having close working relationship with three main departments working on issues of health, hygiene and 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

Though a lot of effort has been put on convergence at State & District level but the same process does not trickle down at block & village level- for example resource persons such as Anganwadi workers, ANM and Asha didi does not work in a converged manner

Work closely and provide continuous support for strengthening the O&M of water treatment facility, water quality management, IEC etc.

Should help in establishing coordination with related departments like health, education social welfare.


Development Partners – Mahila Samakhaya

Indirect Working in rural Bihar in the areas of livelihood, health issues, capacity building/ skill development

They have huge potential as they are already working at the grass root level and have community support with 8039 SHGs and 166075 members who could be involved for better governance at community level

The organization has a limited coverage for their interventions.

They can be utilized to reach communities, thereby motivating and generating awareness amongst the rural community regarding the rural water supply schemes

They can also be involved in mobilizing women groups within the villages by spreading their geographical coverage

Can be involved for any kind of campaign for awareness generation


Development Partners

Indirect They have huge potential as they are

The organizations have a limited

They can be utilized to reach

May face problem of

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Key Stakeholders



– Bihar Rural Livelihood Project (Jeevika)

already working at the grass root in 8 districts level and have community support with 59105 SHGs and 192000 members who could be involved for better governance at community level

Their community mobilisation models and activity tracking systems are holistic

role in current context

communities, thereby motivating and generating awareness amongst the rural community regarding the rural water supply schemes

They can also be involved in mobilizing women groups within the villages by spreading their geographical coverage

Can be involved for any kind of campaign for awareness generation

poor coordination

District level District Water & Sanitation Mission & Public Health Engineering Department

Direct District level agency for implementation of total Sanitation Campaign & Swajaldhara

Technically competent group can be effective if they work in community participation by putting a mechanism of getting community response on their activities.

Less staffed Lacks soft skills Lack of technical

resource persons with expertise in social mobilization, IEC/ HRD activities as well as sanitation, health and hygiene experts to strengthen rural water supply scheme

Lack of efforts to motivate community 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


Should consider users as customers

Have to come out of the aura of providers




It may happen that due to casteism, local level does not support community mobilisation

Political pressure


Contractors Direct Helping the Department in scheme implementation

Securing steady business revenues at least costs

Less experienced contractors for specialized work of the drinking water supply sector

They need to be monitored closely so that they deliver better quality output- regulatory control with

They may lose business

Low Profit margins due to close monitoring by

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Key Stakeholders



Potential to inflate the projects costs.

Potential to keep community annoyed by providing poor quality services

feedback loop of beneficiaries to be put in place

the department and community, hence no interest at low margins

NGOs Indirect

Non government bodies are engaged in water and sanitation related activities

Know the participatory development models but currently not using them in rural services delivery.

They have huge potential as they are close to the community.

They can be utilized to reach communities, thereby supporting W&S program

Can be used for any kind of campaign for connecting households to the main sewers.

NGOs could be appointed for communication and outreach activities of sector program

They can also be involved in mobilizing women groups within the ward

They should be used for social monitoring of sector program like city sanitation committee

They can also be involved for providing water supply and sanitation services like Rural Sanitary Marts and Production centers

No negative impact

Block levelBlock Resource Centre (BRC)

Direct They have huge potential if they are properly staffed and oriented towards service delivery

These are grass root level institution involved in effective implementation of all activities related to Water and Sanitation and are directly connected with the Gram Panchayats, Village Water and Sanitation Committees. However these are non functional due to inadequate availability of manpower


Have to come out of the notion of providers




It may happen that due to casteism, local level does not support community mobilisation

Political pressure


Gram Panchayat levelPanchayati Raj Institutions

Direct They are elected members of community and they are mostly believed by the community.

It is also observed that

Too much politics and casteism involved as Mukhiya or a member of the dominant caste

They should be involved in motivating community for taking part in water and sanitation

Non capability to handle finance and may land up in trouble

Contributions

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Key Stakeholders



they enjoy respect of their community in most of the contacted panchayats

Very close to the community

They are basically first point of contact of community thus, have potential in community mobilisation for operation and maintenance of W&S services including delivery of piped water supply and solid waste management.

Expect good quality water

Expect regular water supply

Timely delivery of funds

(powerful) decides who will get what benefit

They are not actively involved in a dialogue with the community on tariff for maintenance of water supply systems

There is a dearth of funds, functionaries and infrastructure facilities for PRI as a result of which the actual designated duties and functions as per the Bihar Panchayati Raj Act are not being performed by the local bodies. Presently, they are not actually engaged in implementation of development programs and schemes but their role in governance is at a nascent stage

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.

may not be deposited by the villagers

VWSCs may become more empowered than PRI, hence PRIs may not co-operate

May lose community land

Women Direct Water is a basic necessity for all more importantly women as they are primary users, providers and managers of water in their households and are the guardians of household hygiene and health related issues

Interested in safe drinking water and proper sanitation however, not aware of issues related to unsafe water and improper sanitation

Expects Good quality water for domestic purposes and also for cattle purposes as well.

Expects regular water supply with appropriate timings and reasonable durations.

They are not aware of issues related to unsafe water and improper sanitation They are mostly illiterates and also not empowered

Women are not the empowered section of the society in rural area

Women do not have much say in their families leave alone their participation in the public meetings.

For taking any decision they are dependent on the male members of

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 developed at village level for active participation in W&S related issues

They can also be involved for O&M of W&S programmes

Heath hazards due to stagnant water and sewerage

Higher tariffs May come

across social issues due to in migrant labors

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Key Stakeholders



Adequate number of stand posts as per the requirement of villagers

the family. Women are

mostly illiterate and are not 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 including SC/OBC/EBC

Direct Water is a basic necessity for all, more importantly for the socially economically weaker section of the society who are generally not able to afford the services and are facing serious problems due to unhygienic and unhealthy condition

Interested in safe drinking water and proper sanitation however, not aware of issues related to unsafe water and improper sanitation

Expects good quality water for domestic purposes and also for livestock as well.

Expects regular water supply with appropriate timings and reasonable durations.

Adequate number of stand posts in villages

They expect special consideration for their requirements and needs while program planning

They are not aware of issues related to unsafe water and improper sanitation

Are not the empowered section of the society in rural area

They do not have much say in community meetings.

They are mostly illiterate and are not aware about any development programs or initiatives

Pro poor policy is to be taken up

Livelihood groups formed under Bihar Rural Livelihood Project (Jeevika) could be involved for active participation in W&S related issues

In the model of Jeevika, similar socially backward and marginalised groups could be developed (this also has a mandate in State Rural Livelihood Mission) at village level for active participation in W&S related issues

They can also be involved for O&M of W&S programmes


Higher tariffs May come

across social issues due to in migrant labors

May lose community land

Anganwadi Centres (AWCs)

Direct Are the basis institutes of health care system and work under the Integrated Child Development Services program to combat child hunger and malnutrition. It provides basic health care in villages include

There are various issues in functioning of AWCs, primarily these do not have their own buildings – are run in rented buildings or at a public place with

They should be involved in motivating community towards safe water and sanitation services through students

Should be involved in VWSCs as members and then


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Key Stakeholders



counselling to pregnant & lactating mothers, adolescent girls and supply, nutrition education and supplementation, as well as pre-school activities. The centres are also used as depots for oral rehydration salts, basic medicines and contraceptives.

They are also point of contact of community thus, have potential in community mobilisation for operation and maintenance of W&S services including delivery of piped water supply and solid waste management.

no water and sanitation facility

As these are the basic centres of health care and hygiene, no proper resources are provided to them

The children attending the Anganwadi either has to go home for urination/ defecation or have to sit in the open as very less Anganwadis have toilet facility within their premises. Similar is the case with water facility, the water for drinking & 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.

trained in participatory development models


Schools Direct Schools and teachers are respected among the community. This is a place where children spend most of their time and learn various important things under the supervision and direction of teachers.

They are also point of contact of community thus, have potential in community mobilisation for operation and maintenance of W&S services including delivery of piped water supply and solid waste management.

Due to the non availability of running water supply in the school toilets, the students leave them dirty which cannot be used by other students. In addition to it there is no full time sweeper available in the school for cleaning toilets regularly therefore the school administration has to avail services on contractual/ day to day basis of either sweeper,

They should be involved in motivating community towards safe water and sanitation services through students

Should be involved in VWSCs as members and then trained in participatory development models


They also need to be involved in dialogue


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Key Stakeholders



helper etc for getting the toilets cleaned. Same is the case with teachers, it is not 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

with the community for ensuring piped water connections, timely payment of tariff and support in management.

Village Health Nutrition and Sanitation Committees (VHNSC)

Indirect Is not an empowered committee for ensuring delivery of services related to water

However, if they are organised they can as well be entrusted the responsibility of looking at water & sanitation issues

In most of the places it is not formed or if formed is non-functional or inactive

The members have been provided with several trainings on sanitation related issues but these are limited to themselves, proper dissemination of information from their end to the community members not there

Primarily inactive institution and requires regular capacity building and awareness generation.

The intended benefit from these capacity building and awareness generation programme does not reach the community therefore more focused approach required

As they do not have mandate to look after water facilities thus, they may not turned up as envisaged

Conflicts may arise on distribution and use of water

VHNSCs can be hijacked by politically influenced groups

VHNSCs may become another bureaucratic setup for the villagers

VHNSCs may overlook PRI and may land in trouble

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8.2.3 Stakeholder Feedback, JharkhandStakeholders 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 and as a Sub-Group

Better quality and quantity of water. Better capacity of tanks (OHSR). 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.

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Stakeholders Expectations 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 Department

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. 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 Department

Equitable access over water while planning water supply and sanitation projects 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

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Stakeholders Expectations 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 Sanitation Mission

Long term viability of the project 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

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8.2.4 Stakeholder Feedback, UP

S.N Key Stakeholders

Nature of the stakeholder Profile, Needs and Challenges

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 Sanitation Mission (SWSM)

Secondary SWSM has the mandate to provide policy guidance and planning support in the provision of water supply and sanitation services at the state level: however, 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 recentlyGiven 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 Department

Secondary Pnchayati Raj Department of Government of UP is responsible for implementation 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

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S.N Key Stakeholders

Nature of the stakeholder Profile, Needs and Challenges

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 the district level

Secondary The district establishments of the concerned line departments including Jal 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 Women are the most primary stakeholders

Children are the most vulnerable stakeholders because of their susceptibility to water borne illnesses more than the adults

Rural communities are divided along caste, class and gender lines: women as the primary collectors and providers of water at the household level are the most primary stakeholders; but they are generally outside the decision making process related to provision of water supply and sanitation services; for example they have no say in where the hand-pumps are to be installed or how much should be the user charges etc; this 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.

No great expectations and no manifest demand for improved piped water supply services, as almost everyone, including the poor, have access to water supply through private and public facilities: as a result, people are not willing to share any capital cost for piped water supply; though they are willing to pay for operation and maintenance once the improved services are available.

2 Gram Panchayats (GPs) Members of the Jal Prabandhan Samiti (JPS), which is responsible for handling water supply and sanitation issues at the GP level are critical stakeholders

JPS members across study villages were generally found to be unaware of their roles and responsibilities.JPS members need to be trained and re-trained throughout the project duration in order to help them discharge their roles and

GPs expect to be involved in the planning, design and implementation of the RWSS schemes built by UP Jal Nigam

GPs also expect to have on-site training for the operation and maintenance of the piped RWSS

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But members of the village water supply and sanitation committee (VWSC), which represents the users, are the most critical stakeholders at the GP level as they are directly responsible to the users.

responsibilities as intended.VWSC members also need to be trained and engaged in project planning and implementation at the village/GP level.

schemes before they are transferred to them.

3 State Water and Sanitation Mission (SWSM) SWSM, being the top advisory body, is a major stakeholder at the state level

SWSM’s roles and responsibilities need to be clearly defined: SWSM is best positioned to function as the State Project Management Unit (SPMU) for the World Bank assisted project

SPMU could be located within SWSM as a separate entity, though could be headed by the same person.

SWSM expects the SPMU to be fully equipped and staffed with key professionals.

SWSM/SPMU functionaries expect to be trained on various aspects of project planning and management at premium training institutes in India and abroad, besides having exposure visits to successful projects of a similar nature in India and outside.

UP Jal Nigam (UPJN)

UPJN is a major stakeholder as the agency with the maximum technical and engineering skills to construct water supply schemes on scale.

UPJN is best positioned to function as the lead technical agency responsible for preparing the detailed project reports (DPRs) and managing the construction of planned water supply facilities; construction of sanitary toilets has to be the overall responsibility of the concerned communities within the overall supervision of the Panchayati Raj Department.

UPJN expects to be actively involved in project planning and management as a major stakeholder and not only as a technical service provider for preparation of DPRs

UPJN expects its senior engineers to be included in the management teams at SPMU and DPMUs: and if possible, DPMUs to be 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 is critical to the success of the sanitation component of the project

Panchayati Raj Department of Government of UP will have to be suitably re-oriented to appreciate and apply the demand driven approaches to rural sanitation in order to make the sanitation outcomes real and sustainable.

PRD expects to be included in the project planning and management team at SPMU and DPMU levels.

They expect to be trained in management of participatory project planning and management.

6 WSSO WSSO has a huge communication WSSO expects to get strategic

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WSSO is the biggest capacity building stakeholder in the sector at the state level

and capacity building responsibility in the sector, but their own capacities are limited and need to be enhanced.WSSO has to be better tuned to the emerging sector needs and plan and undertake its activities accordingly.

support under the project for its internal capacity building to be able to anchor the capacity building efforts in the RWSS sector in the state.

7 Line departments at the district level Success of the project depends to a large extent on the motivation and capacities of the line departments at the district level.

As the implementing partners on the ground, the line departments (UPJN, Panchayati Raj Department) at the district level have to be well-equipped to ensure an efficient and effective implementation of planned project activities.Their capacity needs have to be re-assessed at the beginning of each phase and batch of the WB project.

There is an expectation of the district level functionaries of UPJN and PRD to have adequate incentives and capacities to function as project managers on the ground.

8 World Bank World Bank will have a major stake in learning in its unique position as a Knowledge Bank besides being a lending agency

World Bank needs to invest in strategic learning at each stage of project design, planning and implementation.

Expectation is to help poor rural communities in districts of Eastern UP have inclusive and equitable access to improved piped water supply services.

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8.3 Consultation Details – Statewise

8.3.1 AssamDistrict Date of the

ConsultationPlace of

ConsultationBlock Gram

PanchayatVillages covered

Bongaigaon

18.02.2013 Balapara PWSSDTW, Capacity 70,000 Ltrs. Scheme population- 1612 Coverage – HC –Nil, Stand post - 5 Approx 100 House Hold covered

Boitamari Balapara 1. Balapara - I2. Jogighopa3. Kherpujia4. Chapar5. Bahalpur6. Chedamari Purba7. Chedamari

PaschimBongaigaon

19.02.2013 KALBARI PWSSDTW, Capacity 50,000 Ltrs. HC –Nil, Stand post -23,Coverage -1150 House hold

Tapattary Kalbari 8. Batabari PT 1 9. Kalbari 10. Bowalimari11. Naldoba12. Haripur

Morigaon 19.02.2013 Nelly PWSS, DTW, Capacity 50,000 Ltrs. HC –50, Stand post-18,

Mayang Nelly 13. Nelly 14. Ulukhi15. Matibar16. 1 no Kiling 17. Kiling Bagisha No

2 18. Barpayak 1 No19. Natun Mokoroya20. Barkhal 21. Palahaburi22. Basandhari

Morigaon 20.02.2013 Amlighat PWSS, source KILING RIVER, Capacity 60,000 Ltrs. HC –82, Stand post - 10

Mayang Gova 23. Sitajakhla24. Sindhisawar25. Rowmari26. Bamungaon 27. Naldharbihita28. Bamungai29. Remuni30. Sidhisar31. Bihita 32. Nandlasha 33. Udhmari

Phokilibihihabib34. Kumarkuchi35. Notungaonlai36. Punni Gaonlai37. Arangkuchi38. Kuthiri39. Sonaikuchi

Sonitpur 20.02.2013 Gopalpur PWSS,DTW, Capacity 80,000 Ltrs. HC –64, Stand post – 38,

Pub-chaiduar

Gopalpur 40. Gopalpur41. Kharanijan 42. Na-pam43. Solengi pathar44. Solengi guri

Sonitpur 20.02.2013 Ghahigaon PWSS Chaiduar Tetonbari 45. Hukujan

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District Date of the Consultation

Place of Consultation

Block Gram Panchayat

Villages covered

DTW, Capacity 140,000 Ltrs. HC –100, Stand post – nil

46. Amtola gaon47. Afrakhat48. Barangabari

Jorhat 20.02.2013 Dhuliagoan Dhuliapam PWSS, Bhogday River, Capacity 80,000 Ltrs. HC –191, Stand post - nil -

Jorhat 53 Uttar Garamay

49. Dhuliagoan50. Dhuliapam51. Goalabasti52. Madhichak

Village

Jorhat 21.02.2013 Pulibor Dekagaon Bamangaon PWSS DTW, Capacity 80,000 Ltrs. HC –280, Stand post - Nil,

North West Jorhat

45PachimCharucharai

53. Pulibor 54. Dekagaon55. Bamangaon

Sibsagar 22.02.2013 Morabazar PWSS DTW, Capacity 30,000 Ltrs.

Amguri Bhuyanhat 56. Deodhai

Sibsagar 22.02.2013 Joysagar PWSS DTW, Capacity 160,000 Ltrs. HC –Nil, Stand post -

Gaurisagar Rangpur,Jolo Guri

57. Julagaon58. Demow Pathar59. Sipahigaon60. Thakupar61. Joysagar Sariali

Hailakandi 3.02.2013 and 4.02.2013

Algapur and Hailakandi

62. Uttarkanchanpur I

63. Uttarkanchanpur II

64. Dolidahar65. Bakhrihawar I66. Bakhrihawar II67. Mohanpur68. Chiporsangan III69. Goalipar II70. Goalipar I71. Rangpur72. Algapur 73. Goalipar III74. Bansbari I75. Bansbari II76. Balikandi77. Bhatirkupa I78. Bhatirkupa II79. 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.

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8.3.2 BiharLevel Place Date Person /group interviewed

with/positionPATNA

State PHED Office, Patna 28th & 30th Jan; 4th & 5th Feb Mr. D P Singh (Superintendent

Engineer)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

2013Mr. 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 ChaudharyState Jeevika Office, Patna 31st Jan 2013 Mr. Apolernarius PurtyState SWASTH Office, Patna 1st Feb Mr. Prakash KumarState UNICEF Office, Patna 5th Feb Mr. Nanak T. SantdasaniState UNICEF Office, Patna 5th Feb Mr. Mamta ChauhanState Mahila Samakhya Office,

Patna6th Feb

Ms. ShubrajaState Mahila Samakhya Office,

Patna6th Feb

Ms UrmilaState Mahila Samakhya Office,

Patna6th Feb

Ms. Sangita DuttaDistrict PHED Office, West

Division, Rajwanshi Nagar, Patna

4th Feb 2013Mr. Ajay Singh (Executive Engineer, PHED-West Division)

District Level Banka 9th Feb 2013 Mr Sanjay Kumar Singh(TSC- District Co coordinator)

District Begusarai 06th Feb 2013 Executive engineerDistrict Begusarai 06th Feb 2013 Assistant engineerDistrict Purnia 11th Feb 2013 Executive engineerDistrict Purnia 12 th Feb 2013 Assistant engineerDistrict Purnia 12 th Feb 2013 Junior engineerDistrict Purnia 12 th Feb 2013 District coordinatorBlock PHED-East Division Office 31st Jan to 4th Feb

2013Mr. 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 coordinatorBlock Begusarai 06th Feb 2013 Junior engineerBlock Balia, Begusarai 06th Feb 2013 Block coordinatorGram 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 2nd Feb 2013 Mrs. Pratima Devi Mukhiya

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Level Place Date Person /group interviewed with/position

Village (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 commissionerNagar Panchayat Banmankhi, Purnia 12 th Feb 2013 CorporatorVillage 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 2013PRA with community members

Village level Balua Village 4th Feb 2013 PRA with community membersVillage level Bari Balia North,

Begusarai7th 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 SarpanchVillage level Dharhara, Purnia 11th Feb 2013 PRA with community membersVillage level Dharhara, Purnia 13 th Feb 2013 Community Mobiliser (Jeevika)Village level Dharhara, Purnia 14th Feb 2013 C.C (Jeevika)

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8.3.3 JharkhandOfficials, PRI Elected Representatives, Jal Sahiyas

Level Place Date Person/Group interviewed with/positionStateSPMU/Tribal Welfare Commissioner

Ranchi 8- 13-14-20-21 Feb-2013

Chief Executive Engineers, Water and Sanitation Consultant, Environment Consultant, Supritendent Engineer, ACS, Dy. Director Tribal Welfare

DWSD Ranchi 14-15 Jan 2013 Executive EngineersUNICEF Ranchi 18 & 20 Feb-2013 Program Officer, WATSANVISWA Ranchi 18- 19 Feb-2013 Training CoordinatorXISS Ranchi 14 Feb 2013 GRC Head and staff, Training TeamBasix Ranchi 6 Feb 2013 Program Manager DistrictDWSD, DPC Dhanbad (pilot) 17 Jan 2013 EE, SDO, JEDWSD, DPC East Singhbhum 4 Feb 2013 DC, EE, AE, DPC, JalsahiyasDWSD, DPC Khunti 6-7 Feb 2013 DC, EE, AE, , DPC, Jalsahiyas, PradhanDWSD, 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 (ES)05 Feb 2013 AE

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 sameAcronyms AE Assitant Engineer

ACSAdditional Chief Secretary

DC Deputy Commissioner

DPC

District Project Coordinator

DWSD

Drinking Water and Sanitation Department

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Level Place Date Person/Group interviewed with/positionEE 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:(Gen. Community/ Women Group of

village)

Date of FGD

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 22/2/2013Garhwa Garhwa Karua kala Dumariya Women Group 25/2/2013

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Group:(Gen. Community/ Women Group of

village)

Date of FGD

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

Meralokhargada (E) Okhargada Gen. Community 27/2/2013

Parsahi Women Group 27/2/2013 Bardiha Salga Salga Women Group 27/2/2013 Kundrahe Gen. Community 27/2/2013Khunti 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

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8.3.4 Uttar PradeshOfficials, PRI Elected Representatives, etc.Level Place Date Person/Group interviewed with/position

StateLucknow 20.12.12,

07.03.13Mr. 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, UPJNLucknow 20.12.12,

07.03.13Mr. RM Tripathi, Joint Director, CPU, Jal Nigam

Lucknow 20.12.12 Mr. SN Mishra, Water Supply Engineer, SWSMLucknow 19.01. 13 Participants of consultation workshop including

SWSM and UP Jal Nigam Officials and officers, PRI/community members from field study districts

DistrictFaizabad

Faizabad 20.12.12 Balwant Singh, DDO

Faizabad 23.12.12 CDOFaizabad 21.12.12 Ex. Engineer, UP Jal NigamFaizabad 20.12.12 A. K. Singh, DPROFaizabad 20.12.12 Deependra Kumar Singh, Representative, Itauni

Gram Vikas Samiti (NGO), JaunpurFaizabad 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, CDOChandauli 29.12.12 Chandramauli Upadhyay, PDChandauli 26.12.12 Santosh Kumar Singh, District Coordinator, NBAChandauli 31.12.12 Vimal Kishor Srivastav, DPROChandauli 29.12.12 DP Singh, AE, UP Jal Nigam

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Level Place Date Person/Group interviewed with/positionKaushambi

Manjhanpur 02.01.13 Dr. Saroj KumarDM

Manjhanpur 04.01.13 Mala Sriwastav, CDOManjhanpur 04.01.13 Pandey, I/c DDOManjhanpur 03.01.13 JN Upadyaya, Ex. Engineer, UP Jal NigamManjhanpur 01-04 January

2013Dinesh Chandra Pandey, T. A. , Swajaldhara

Manjhanpur 02.01.13 Srivastav, DPROShrawasti

Shrawasti 26.12.12 MP Singh, CDO

Shrawasti 26.12.12 Ghanshyam Sagar, DPROShrawasti 26.12.12 Ram Pyare, Ex. Engineer, UP Jal NigamShrawasti 26.12.12 Dr. Rajkumar, District Project Coordinator, NBAShrawasti 26.12.12 Harijendra Verma, District Project Coordinator, NBA

Kushinagar

Kushinagar 31.12.12 Dr. Gupta, CMO

Kushinagar 31.12.12 RP Upadhyay, DDOKushinagar 31.12.12 HC Tiwari, CDOKushinagar 31.12.12 Rigzian Samphel, DMKushinagar 31.12.12 DPROKushinagar 31.12.12 BN Pandey, JE, SwajaldharaKushinagar 03.01.13 MD Pandey, Ex. Engineer, UP Jal NigamKushinagar 03.01.13 Satendra Tiwari, Asst. Engineer, UP Jal NigamKushinagar 03.01.13 KN Pandey, Junior Engineer, UP Jal NigamKushinagar 03.01.13 DN Dwivedi, Junior Engineer, UP Jal NigamKushinagar 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, ManjhanpurGP/Villages Kudhakeshavpur, Block

Pura Bazar, Faizabad22.12.12 Ram Kumar Gupta, Ex Chairperson, VWSC

Kudhakeshavpur, Block Pura Bazar, Faizabad

22.12.12 Ram Khelawan, Ex Gram Pradhan

Raunahi Uparhar, Block Sohawal, Faizabad

23.12.12 Mohd Khursheed Khan, Gram Pradhan


23.12.12 Mohd. Kafeel. GP member


23.12.12 Mohd. Mukhtar, GP member

Pilkhawan, Block Sohawal, Faizabad

23.12.12 Sudhir, GP member

Pilkhawan, Block Sohawal, Faizabad

23.12.12 Paltu Ram, GP member

Fatehpur, Block Niyamtabad, Chandauli

27.12.12 SP Tripathi, JE, UP Jal nigam

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Level Place Date Person/Group interviewed with/positionManapur, Block Niyamtabad, Chandauli

27.12.12 Ibrahim, Gram Pradhan

Manapur, Block Niyamtabad, Chandauli

27.12.12 Lallu Ram, Fitter, UP Jal Nigam

Sikanderpur, Block Chakiya, Chandauli

28.12.12 Rajiv Pathak, Gram Pradhan and Kanhaiya Gupta, Shiksha Mitra

Palia, Block Chahaniya, Chandauli

29.12.12 Saputi Pandey, GP member, Hari Prasad Pandey, Retd. Teacher, Kushwah JE

Uchrawan, Block Kada, District Kaushambi

03.01.13 Munna Pandit alias Lalit Kumar Dwivedi, O&M contractor, Uchrawan

Rampur Dhamawan, Block Sirathu, Kaushambi

01.01.13 Chhote Lal, Gram Pradhan

Rampur Dhamawan, Block Sirathu, Kaushambi

01.01.13 Deepak Singh, treasurer, VWSC

Bhelkha, Block Manjhanpur, Kaushambi

02.01.13 Rajendra Singh, treasurer, VWSC

Keseriya, Block Kada, District Kaushambi

03.01.13 Shiv Sagar Kushwaha, husband of Rekha Devi, Gram Pradhan

Barwa Raja Pakad, Block Tamkuhi Raj, Kushinagar

03.01.13 Advocate Syamananda Kushwaha, Dr. Kashinath Verma

Jataha Bazar, Block Vishanpura, Kushinagar

02.01.13 Syed Ali,GP member, Ramdeo Baitha, BDC member

Katai Bharpurva, Block Kadha, Kushinagar

04.01.13 Natthu Prasad, Gram Pradhan

Khutohi, Block Ramkola, Kushinagar

01.01.13 Tiwari, JE, UP Jal Nigam, Ram Harakh Yadav, Gram Pradhan

Village Consultations (IDIs/Focus Group Discussions)


Group:(Gen. Community/

Women Group of village)

Date of FGD

Kaushambi

Sirathu Rampur Dhamawa

Rampur Dhamawa

Gen. Community/ Women Group of village 01.01.13

Kaushambi

Manjanpur Bhelkha Bhelkha Gen. Community/SC community/ Women Group of village 02.01.13

Kaushambi

Kada Keseriya Keseriya Gen. Community/ Women Group of village 03.01.13

Kaushambi

Kada Ucharawan Ucharawan Gen. Community//SC community/ Women Group of village 03.01.13

Faizabad Pura Bazar KudhaKeshavpur

KudhaKeshavpur


Faizabad Taarun Taarun Taarun Gen. Community/Gram Panchayat and VWSC members/ Women Group of village 22.12.12

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

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Group:(Gen. Community/

Women Group of village)

Date of FGD

Women Group of villageChandauli Chahaniya Palia Palia Gen. Community/

Women Group of village29.12.12

Chandauli Niyamtabad Fatehpur Fatehpur Gen. Community/GP members/ Women Group of village 27.12.12

Chandauli Niyamtabad Mannapur Mannapur Gen. Community/GP members/ Women Group of village 27.12.12

Chandauli Chakiya Sikanderpur Sikanderpur Gen. Community/Muslim community/ Women Group of village 28.12.12

Kushinagar

Tamkuhiraj Barwa Raja pakkad

Barwa Rajpakkad

Gen. Community/GP members/SC community/ Women Group of village 03.01.13

Kushinagar

Vishanpura Jataha Jataha BazarGen. Community 02.01.13

Kushinagar

Khaddha Katai Bharpurva

Katai Bharpurva

Gen. Community/SC community/ Women Group of village 04.01.13

Kushinagar

Ramkola Khutohi Khutohi Gen. Community/GP members 01.01.13

Shrawasti Jamunaha Fatehpur Bangai

Fatehpur Bangai


Shrawasti Jamunaha Haridutt Nagar Girant

Haridutt Nagar Girant

Gen. Community/SC community/ Women Group of village 27.12.12

Shrawasti Ikauna Ikauna Dehat IKauna Dehat


Shrawasti Sirsia Motipur Kalan Motipur Kalan

Gen. Community/ST community Women Group of village 28.12.12

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8.4 MVS Cycle

I MVS Schemes


1 Project kicks off curtain raiser District wide IEC campaign launched DWSM/ DPMU

2

Selection of Service Agency/Consultant for initial IEC and Support Organisation (SO) in the Program villages

Orientation of GP/Villages DWSM/ DPMU

3 Village level IEC campaign Door-to-door/ Ward/ Village/ GP level campaigns on water and sanitation GP/ SO

4 Resolving to participateGP passes resolution and expresses interest to participate in the project GP/ SO

5 Selecting GP/ Villages Prioritization based on selection criteria done DWSM/DPMU6 GP/ Village selected GP/ villages are informed of the selection DWSM/DPMUB Planning phase

1Identification of user groups within each GP and formation of the VWSCs

Motivation and Awareness to ensure inclusion GP/ VWSC, SO

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 supported by Support Organizations

ZP/DPM/ DWSM, SO, GP/VWSC

4

Preparation and forward “Devolution Action Plan (DAP) (as appropriate)” by GPs/ Villages to DPMU

Preparation of DAP, as appropriate, by GP/ Village/ Habitation GP/ VWSC, SO

5 Technical Approval of DAP Approval communicated to GP/VWSC DPMU

6 Opening of bank accountSocio-economic Survey (socio-cultural resource mapping and infrastructural survey) for preparing socio-economic baseline

SO

7

Mobilization of communities, participatory planning and use of appropriate tools, problem investigation and analysis

Lane/ Ward/ Habitation/ Village/ GP Level meetings for mobilization, using PRA and documentation of these activities

SO, GP/VWSC

8 Participatory WATSAN situation analysis

Preparation WATSAN Baseline for Habitation/ Village/ GP SO, GP/VWSC

9

Identifying technology options, conducting feasibility analysis and Agree-To-Do meeting for separate user groups and federation of VWSCs

Agreement arrived at with regard to technology options, location of facilities, etc. DPMU/ DWSM, SO,

GP/VWSC

10 Tripartite MoU signed among GP, VWSC and DWSM

Redressal of objections/ complaints and considering suggestions regarding scheme interventions

SO, GP/VWSC

11 Formation of Scheme Level Committee (SLC)

Meetings with all GPs/ Villages/ Habitations to form SLC

DWSM/DPMU, GPs/VWSCs, SO

12Collecting part community contribution, based on a pre-determined %

Mobilizing and sensitizing communities for contributions SO, GP/VWSC/SLC

13 Preparation of Detailed Project Reports (DPR)-Water supply

Discussion about DPR and scheme facilities in GP/ VWSC Meeting Gram Sabha & Zilla Parishad Approval and Consultation incase of Scheduled Areas Submission of proposal to Gram Sabha

DWSM/ DPMU, SO, GP/VWSC/ SLC

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& Zilla Parishad Suggestions from community members

incorporated when appropriate Documentation of approval

14 Obtaining technical sanction for DPR-water supply


15 Awareness on hygiene and environmental sanitation

Awareness creation activities at household/ ward level GP/VWSC/ SLC, SO

16 Preparing Sanitation and Drainage Plans

GP/ VWSC Meetings for preparation of plans at ward level and collating them into GP/ Village/ Habitation plan

GP/VWSC/ SLC, SO

17 Obtaining technical sanction for Sanitation and Drainage Plans


18

Preparation of Community Action Plans (CAP) for GP/ Village/ Habitation

GP/ VWSC Meetings for preparation of CAP at ward level and collating them into GP/ Village/ Habitation plan

GP/VWSC/ SLC, SO

19 Obtaining technical sanction for CAP


20

Preparation of implementation phase proposals and Implementation Phase Tripartite Agreement (IPTA)

Agreement sighing by GP/ VWSC ZP/DWSM/ DPMU, GP/VWSC/ SLC

21 Implementation phase proposals and IPTA

C Implementation phase (depending on the type of technology chosen) Monitoring by GPs/VWSCs/SLC GPs/ VWSCs/SLC

1 Preparation and sale of bid documents

2 Collecting balance cash contribution from communities

Mobilizing and sensitizing communities for contributions and collecting contributions GP/VWSC/ SLC, SO

3 100% of community contribution mobilized

Mobilizing and sensitizing communities for contributions and collecting contributions GP/VWSC/ SLC, SO

4

Signing of Memorandum of Understanding (MoU) between the GPs / VWSCs/ DWSC/ ZP and the selected contractor regarding the construction of the common assets

Agreement sighing by GP/ VWSC/ SLC GP/VWSC/ SLC, Contractor

5

Signing of Memorandum of Understanding (MoU) between the GPs / VWSCs and the selected contractor regarding the construction of the intra villages facility

Agreement sighing by GP/ VWSC/ SLC GP/VWSC/ SLC, Contractor

6

Construction of common facility & intra village water supply schemes of water supply schemes, environmental sanitation works and catchments area protection works


GP/VWSC/ SLC, Contractor

7 Periodic monitoring by VWSC / GP/ SLC/ ZP and WSSD


GP/VWSC/ SLC, Contractor

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 Completion Reports (IPCRs)

GP/ Village/ Habitation level reports prepared GP/VWSC/ SLC, SO

11 Submitting utilization certificates GP/ VWSC submits certificates GP/VWSC/ SLC

12 Commissioning of schemes Joint Inspection done. Trail runs completed. Ensure that all components are functioning properly and services cover all households.

ZP/ DWSM/DPMU, GP/VWSC/ SLC, SO

13 Water supply, drainage / sanitation infrastructure successfully

Systems functioning properly ZP/ DWSM/DPMU, GP/VWSC/ SLC, SO

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commissioned

14Implementation completion reports including statement of accounts finalized

Scheme Evaluation (general project evaluation)

SWSM/SPMU, DWSM/ DPMU

D Operations & maintenance phase SPSU

1 Prepare an O&M Plan and Budget Discussions with community members on O&M plan and budget DPMU, SLC/ VWSC

2 Fixing user fees Conduct GP/ VWSC/ SLC meeting to fix user fees in a participative manner. GP/VWSC/ SLC, SO

3 Decide on the subsidy, if need beProposal on subsidy will be submitted by DPMU. Decision on subsidy be made by the concerned Secretary to the Government

DPMU, SLC, SPMU

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

6Remitting bulk water charges to the agency maintaining the common facility

Conducting regular meetings of SLC for remitting bulk charges GP/VWSC/ SLC, SO

7 Conduct quarterly reviews of contractor’s performance

Review contractor’s performance on-site with community participation DPMU, SLC/ VWSC

8 Facilities functioning successfully Ensure sufficient spares are available and village resource persons are trained in O&M

DWSM/DPMU, GP/VWSC/ SLC, SO

9 Sustainability Monitoring and Evaluation

Conduct an SME exercise after three months of commissioning with participation of community.

DPMU, GP/ VWSC/ SLC

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