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 P
ublic
Dis
clos
ure
Aut
horiz
edP
ublic
Dis
clos
ure
Aut
horiz
edP
ublic
Dis
clos
ure
Aut
horiz
edP
ublic
Dis
clos
ure
Aut
horiz
edP
ublic
Dis
clos
ure
Aut
horiz
edP
ublic
Dis
clos
ure
Aut
horiz
edP
ublic
Dis
clos
ure
Aut
horiz
edP
ublic
Dis
clos
ure
Aut
horiz
ed
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
1 | P a g e
Table of Contents
Abbreviations and Acronyms ........................................................................................................... 3
1. Introduction ................................................................................................................................. 6
1.1 Background ........................................................................................................................... 6
1.2 Project Development Objective .......................................................................................... 7
1.3 Project Beneficiaries ............................................................................................................. 7
1.4 Key Elements of the RWSS Project for Low Income States ............................................ 7
1.5 Project Components ............................................................................................................. 8
1.6 Social Assessment ................................................................................................................ 9
1.7 Organisation of the Report ................................................................................................. 9
2 Approach and Data Base .......................................................................................................... 11
2.1 Approach of the Assignment............................................................................................ 11
2.2 Database for Secondary Information Review ................................................................ 13
3 Stakeholder Analysis ............................................................................................................... 14
3.1 Introduction ........................................................................................................................ 14
3.2 Key Stakeholders ................................................................................................................ 14
3.3 Stakeholders Analysis ....................................................................................................... 15
3.4 Public Consultations .......................................................................................................... 20
4 Issues, Impacts, risks and assumptions ................................................................................ 22
4.1 Issues .................................................................................................................................... 22
4.1.1 Top Down Approach ................................................................................................. 22
4.1.2 Organization Structure for Service Delivery .......................................................... 22
4.1.3 Staff Strength and internal Coordination ............................................................... 22
4.1.4 Ineffective village level user organizations- VWSCs ............................................ 22
4.1.5 Inclusion ...................................................................................................................... 22
4.1.6 Weak PRIs ................................................................................................................... 23
4.1.7 Poor Supply of Power ................................................................................................ 23
4.1.8 Low Coverage of safe Drinking Water & Latrine .................................................. 23
4.1.9 Usage of latrine ........................................................................................................... 23
4.2 Impacts ................................................................................................................................ 23
4.3 Risks ..................................................................................................................................... 26
4.4 Assumptions ....................................................................................................................... 27
5 Social Management Framework ............................................................................................. 28
5.1 Social Management Action Plan ...................................................................................... 28
5.2 Common Management Framework ................................................................................ 29
5.2.1 Management Unit ...................................................................................................... 29
5.2.2 Inclusion and Equity .................................................................................................. 29
5.2.3 Participation ................................................................................................................ 30
5.2.4 Autonomy ................................................................................................................... 30
5.2.5 Decentralization and Subsidiarity ........................................................................... 30
5.2.6 Effective Governance and Management ................................................................. 30
5.2.7 Transparency and Accountability............................................................................ 33
5.2.8 Capacity Support........................................................................................................ 34
5.2.9 Capacity Building ....................................................................................................... 34
5.2.10 Gender Issues .............................................................................................................. 35
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
2 | P a g e
5.2.11 Convergence ............................................................................................................... 36
5.3 Common Management Actions - Securing Lands ...................................................... 37
5.4 State Specific Management Action Plans ........................................................................ 39
5.4.1 Assam........................................................................................................................... 39
5.4.2 Bihar ............................................................................................................................. 44
5.4.3 Jharkhand .................................................................................................................... 47
5.4.4 Uttar Pradesh .............................................................................................................. 50
5.5 Institutional and Implementation Arrangements ......................................................... 52
5.6 Public Disclosure ................................................................................................................ 55
5.6.1 Information to be disclosed ...................................................................................... 55
6 Grievance Redressal Mechanisms ......................................................................................... 56
7 Monitoring and Evaluation ..................................................................................................... 60
8 Annexure..................................................................................................................................... 63
8.1 Terms of Reference ............................................................................................................. 63
8.2 Stakeholder Analysis - Matrix from all four states ........................................................ 73
8.2.1 Stakeholder Feedback, Assam .................................................................................. 73
8.2.2 Stakeholder Feedback, Bihar .................................................................................... 77
8.2.3 Stakeholder Feedback, Jharkhand ........................................................................... 85
8.2.4 Stakeholder Feedback, UP ........................................................................................ 88
8.3 Consultation Details – Statewise ...................................................................................... 92
8.3.1 Assam........................................................................................................................... 92
8.3.2 Bihar ............................................................................................................................. 94
8.3.3 Jharkhand .................................................................................................................... 96
8.3.4 Uttar Pradesh .............................................................................................................. 99
8.4 MVS Cycle ......................................................................................................................... 103
List of Tables
Table 2.1: State-wise Details of Interviews & Field Consultations .............................................. 11
Table 2.2: State-wise Secondary Information Database ................................................................ 13
Table 3.1:Key Stakeholders ‘Expectations and their Issues and Concerns ................................ 15
Table 4.1: Project Impacts .................................................................................................................. 23
Table 5.1: Scheme Cycle .................................................................................................................... 31
Table 5.2: Tribal areas Vs proposed Project areas.......................................................................... 39
Table 5.3: Management actions are summarized in the table below. ......................................... 40
Table 6.1: Matrix for redressal of grievances .................................................................................. 57
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
3 | P a g e
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
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
4 | P a g e
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
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
5 | P a g e
“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.”
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
6 | P a g e
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.
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
7 | P a g e
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
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
8 | P a g e
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
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
9 | P a g e
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
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
10 | P a g e
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.
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
11 | P a g e
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 Consultations
Assam Bihar Jharkhand Uttar Pradesh
State Level Consultations
Participants: Chief Engineer, PHED Mission Director, SWSM Director, WSSO, Executive Engineers, PHED WASH Specialist, UNICEF
Participants: State Level Project Management Unit Bihar Rajya Jal Parishad Officials of State Water & Sanitation Mission Officials of Panchayati Raj at state level Officials of Public Health Department Officials of Department
Participants: Additional Chief Secretary, DWSD Engineer-in-Chief, DWSD Mission Director, SWSM Director, WSSO, Executive Engineers, DWSD WASH Specialist, UNICEF
Participants: Chief Engineer, Jal Nigam (Water Supply Corporation), Mission Director, SWSM Director, WSSO, Executive Engineers, Jal Nigam
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
12 | P a g e
Assam Bihar Jharkhand Uttar Pradesh
of PHED
Field Consultations
Participants: 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 Organizations Location: 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 GPs Spread 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 Organizations Location: 60Villages spread across 30 GPs in 5 districts (East Singhbhum, Khunti Saraikela Kharsawan, Garhwa and 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, Kaushambi Chandauli and Faizabad)
The methodological framework for the social assessment followed the simple flow:
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
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
13 | P a g e
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 Pradesh 1. Census 2001 and 2011 2. Statistical Handbook
of the State, 2011 3. 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, 2011 3. 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
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
14 | P a g e
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
for the Information Education Communication (IEC) activities and water quality monitoring aspects
related to these services.
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
15 | P a g e
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 3.1:Key Stakeholders ‘Expectations and their Issues and Concerns
Key Stakeholders Expectations Issues/Concerns Scheme 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.
Women as Sub-Group Better quality of water
Enhanced quantity and equitable
Poor quality of water
Low quantity of water
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
16 | P a g e
Key Stakeholders Expectations Issues/Concerns 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
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.
Expects to meet targets on both water and sanitation.
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
Subsidies for latrines
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
17 | P a g e
Key Stakeholders Expectations Issues/Concerns Expects to demonstrate new simple
and community friendly technologies.
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.
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
18 | P a g e
Key Stakeholders Expectations Issues/Concerns Other grass root level workers, including Health, ASHA, ICDS workers.
They expect to be immensely benefitted.
No negative impact.
Huge Gap in capacity building.
Awareness campaign from door to door is required for common people, local NGOs as well as PHED grass root workers and social leaders.
Sustainability possible through formation of effective user committee. PRI should have limited role.
SCs / STs Good quality water.
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.
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.
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
19 | P a g e
Key Stakeholders Expectations Issues/Concerns The Tribal Welfare Department, of
Jharkhand wants to participate in the project in areas where there is substantial tribal population and try convergence of their programs.
The Ground Water Department wants to participate in the project for measuring water levels and water quality in the project villages on a regular basis.
Further, the stakeholders’ analysis also led to the identification of key strengths which would
facilitate the smooth implementation of the project in the four states and some critical weaknesses
which needed to be overcome. The key strengths and weaknesses have been summarized below:
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.
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
20 | P a g e
The Village Health Nutrition and Sanitation Committees formed under NRHM do not have the
mandate of looking at issues related to water thus, are not in a position to take up the
responsibility of O&M.
Convergence of RWSS with other programmes like MGNREGS, NRHM of the Panchayat and
Rural Development Department and Health Department respectively, is inadequate.
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.
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
21 | P a g e
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.
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.
2 Tribals from Jhrakhand
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
22 | P a g e
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
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
23 | P a g e
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 4.1: Project Impacts
Stakeholder Groups
Positive Impacts Negative Impacts
Women as Sub-group
Availability of quality water for a duration required and at a time wanted by all
Health Hazards, due to stagnation of water leading to mosquito
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
24 | P a g e
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
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
25 | P a g e
Stakeholder Groups
Positive Impacts Negative Impacts
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 Pressure
SWSM 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
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
26 | P a g e
Stakeholder Groups
Positive Impacts Negative Impacts
Contractors Early and timely start of projects
Price escalation clauses in the contracts
Community cooperating in the villages
Land procured before project start
Timely payments and reasonable profit margins
Improper procurement systems
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 women
Local 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 women
Other 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.
The wastewater generated due to good water supply can cause environmental pollution if not
tackled early and properly.
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
27 | P a g e
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.
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
28 | P a g e
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.
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
29 | P a g e
Key Elements: The following key Community Driven Development (CDD) principles are being
operationalized as a part of the Social Management Action Plan:
Autonomy, Decentralization and Subsidiarity Gender mainstreaming
Governance, Accountability and Transparency Capacity support and capacity building
Self-Selection and demand driven Securing lands
Participation, Inclusion and Equity Tribal Development
Cohesion and security Information, Education and Communication
The design elements and approach attempt addressing significant project issues. While the project
recognizes that each state is unique and would require different approach/ methods, for addressing
these issues, a common framework would serve as an over-arching guidance-contrivance. Hence,
further presentations are under two different heads: one, Common Management Framework; and
two, State-Specific Management Action Plans.
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
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
30 | P a g e
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
3 A brief about the institutional and implementation arrangements is presented towards the end.
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
31 | P a g e
drawn from government and market, will serve as a secretariat for them. The regular department
will shoulder operational responsibilities. Similarly, at the village level, while GP will be over-see the
entire service delivery, VWSCs will undertake operations. This functional separation will aid in
effective governance and management. These apart, Support Organizatins (SO)- design consultants,
NGOs, SHGs, chartered accountants – will also be deployed to provide capacity support to VWSCs
and DPMUs. Role and responsibility of different partners are detailed in a specially prepared
Scheme Cycle.
Table 5.1: Scheme Cycle4
S. No. Activity Social Management Actions Responsibility
I SVS Schemes
A 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 participate GP passes resolution and expresses interest to participate in the project
GP/ SO
5 Selecting GP/ Villages Prioritization based on selection criteria done DWSM/DPMU
6 GP/ Village selected GP/ villages are informed of the selection DWSM/DPMU
B Planning phase
1 Identification of user groups and 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
4 Preparation 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 account Socio-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
4 Only SVS Cycle is presented here. The MVS Cycle has been attached as Annexure 8.3
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
32 | P a g e
S. No. Activity Social Management Actions Responsibility
10 Collecting part community contribution, based on a pre-determined %
Mobilizing and sensitizing communities for contributions
SO, GP/VWSC
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
Approval communicated to community members
DPMU
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 Approval communicated to community members
DPMU
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
Progress and Quality Monitoring by GP/ VWSC GP/VWSC, Contractor
7 Technical approval of bills Check appropriateness of bills and advise DPMU
GP/ VWSC
8 Releasing payments to contractors Release payments on the advice of DPMU GP/ VWSC, DPMU
9 Preparation of the Implementation Phase 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
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
33 | P a g e
S. No. Activity Social Management Actions Responsibility
commissioned
13 Implementation 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 be Proposal 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.
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
34 | P a g e
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
5 Detailed capacity building needs, strategy and action plans have been prepared by independent consultants
in each of the four states.
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
35 | P a g e
Negotiation skills for negotiating project benefits, services and access
Conflict Resolution skills for resolving inter and intra stakeholders’ conflicts and personal
differences
Advocacy skills for creating demand for services
The appointed SOs will provide support at village/ sub-project level on community mobilization, skill
building, facilitation of linkages between community with various government departments, etc.
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.
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
36 | P a g e
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.
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
37 | P a g e
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
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
38 | P a g e
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.
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
39 | P a g e
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 5.2: Tribal areas Vs proposed Project areas
Name 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%
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
40 | P a g e
Boitaman
Kamrup Chandrapur, Dimoria
Rani-Chaygaon TBelt* Kherti-Sonapur TBelt Borpathar TB** Jamadani TB BorongoniTB Changana TB Tetelia TB Gobha TB RhulaguriTB BagariguriTB Bhulukjari TB
9.93 Tetelia, Sonapur
5.74%
Sonitpur Chaiduar, Pub Chaiduar
Gohpur TB Balipara TBelt
11.60 Gohpur 2.34%
Sibsagar Amguri, Gaurisagar
No TB 3.95 Not Applicable 0.0%
Hailakandi Hailakandi and Algapur
No TB 0.15 Not Applicable 0.0%
Morigaon Mayang, Bhurbondah
No TB 15.55 Not Applicable 0.0%
Jorhat Jorhat, Jorhat Central and Jorhat North West
No TB 12.32 Not Applicable 0.0%
*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 5.3: 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
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
41 | P a g e
Issues Mitigation Measures
connections.
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 preparedness
1) 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.
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
42 | P a g e
Issues Mitigation Measures
Inter 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 Measure
Lack 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
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
43 | P a g e
Issues Mitigation Measures
Slip 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.
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
44 | P a g e
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.
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
45 | P a g e
5.4.2.2 Management Actions
Issues 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.
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
46 | P a g e
Issues Mitigation Measures Regular water Supply Work out the most feasible way of water supply, appropriate with duration, time,
quality, and quantity.
Alternative arrangements are required for restoring regular water supply which could be solar based systems.
Weak PRIs and non-availability 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.
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
47 | P a g e
5.4.3 Jharkhand
5.4.3.1 Social Management actions
Issues/ 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
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
6 Jalsahiya is a daughter in law or widow from the same village, appointed for providing help and information
on water and sanitation.
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
48 | P a g e
Issues/ risks Management Actions
not yet streamlined for which program benefits are either duplicated or resources not optimally utilized.
meetings were strategic plans under each programme could be shared for identifying areas of convergence.
Community is more or less geared up to pay for water but there 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 Measure
Lack 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.
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
49 | P a g e
Issues/ Risks Mitigation Measure
Women as a stakeholder may remain excluded
The women participation has to be ensured through appropriate orientation and sensitization.
Women organization and community level stakeholders i.e. women SHGs, ASHA activists, AWWs do not seem to be very active in all the study districts, they needs to be engaged for various grassroots community interactions and advocacy related to WATSAN.
Lack of accountability Re-defining the functional at all level of stakeholders.
Re-articulating their respective roles and responsibilities in the context of the WB supported project.
Slip back of commissioned schemes
Creating demand for improved piped water supply services.
Subsidy to be minimized in water supply with provision of community system for poor and needy and that has to be the responsibility of respective VWSCs preferably not to be decided at the Apex level. However, in case of tribal population covered under the project, Social welfare department in mutual agreement with the VWSC (having tribal representatives as members) can decide on the respective subsidies, under the project.
There could be procedural conflicts in 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.
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
50 | P a g e
5.4.4 Uttar Pradesh
5.4.4.1 Social Management actions
S.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
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
51 | P a g e
S.N. Issues/Risks Management Measures
integrated 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.
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
52 | P a g e
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
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
53 | P a g e
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
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
54 | P a g e
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.
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
55 | P a g e
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.
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
56 | P a g e
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
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
57 | P a g e
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 6.1: 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
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
58 | P a g e
Issues likely to emerge
Process for redressal
Time period for redressal of Grievances
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. 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 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. 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 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
2 days of time, starting from the date of registration of grievances to redressal of grievances.
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. DPMU to regulate the process through the AE of sub-divisional level and review the functioning of VWSC
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
59 | P a g e
Issues likely to emerge
Process for redressal
Time period for redressal of Grievances
Responsibility
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.
2 days of time, starting from the date of registration of grievances to redressal of grievances.
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.
7 days of time, starting from the date of registration of grievances to redressal of grievances.
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.
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
60 | P a g e
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.
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
61 | P a g e
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 programs
Decentralization
Number of existing water supply schemes devolved to PRIs
VWSC/ SLC formed and Bank accounts opened
Agreed CAPEX contribution mobilized in all the participating villages
Number of schemes constructed by VWSCs or HWSCs vis-a-vis those constructed by the government agencies
Proportion of VWSCs having one third women members
Proportion of VWSCs having SC/ST representation as agreed
Proportion of active SLCs
Proportion of VWSCs having involvement of Schools and Anganwadis in VWSC
WATSAN delivery
Number of households as a proportion of total households having household water supply connections
Number of BPL/SC/ST households having household water connections
Number of Households depending upon pumps / public stand-posts
O&M plan prepared, tariff fixed
Collection of user charges
Proportion of VWSCs actively participating in/managing O&M
Capacity Support/ Building
Appointment of social mobilization Support Organization/ Agency
The agency has at least one fifth of their staff as women
The agency has Tribal/Community Development trained professionals
Training of at least 5 VWSC members in each village done
Training of all women members of VWSC done
Capacity building of all the relevant stakeholders built as per the plan
Performance – Water Supply
% of rural households having water supply systems functional at the time of spot checks
% of rural piped water supply systems privately managed
% of rural population within 100 m of an improved water source
% of BPL/ SC/ST households with household water supply connections
% of Tribal households with water supply connections.
Reduction in time spent in fetching water- general/ SC/ST households
Type of storage for water (specify) contamination observed in drinking water
Proportion of Households using deflurode units/filters
Proportion of GPs having water quality testing facility
O&M cost recovery from user charges.
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
62 | P a g e
Performance - Sanitation
% of households with improved latrines
% of BPL/ SC/ST households with improved latrines.
% of Tribal households with improved latrines.
% of HHLs being used vis-à-vis constructed
% of schools in the project areas with latrines as per standards
% of schools having functional toilet
% of schools having hand washing facility
% schools having drinking water facility
% of Anganwadis having functional water and toilet facilities
% of Open defecation free GPs
Lands:
% of schemes using government lands
% of schemes using Panchayat lands
% of schemes using private lands
Status note about the owners who parted with lands voluntarily.
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.
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
63 | P a g e
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.
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
64 | P a g e
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.
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
65 | P a g e
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.
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
66 | P a g e
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.
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
67 | P a g e
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
7 Sanitation includes: Personal hygiene, domestic sanitation and environmental sanitation
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
68 | P a g e
sanitation services, perceptions on tariff, roles and beliefs) through consultations with different
stakeholder groups. Carry out a detailed stakeholder analysis (decision makers, implementers,
beneficiaries, winners/losers, influencers/opinion makers - proponents and opponents), identifying
interests/expectations of each group, their characteristics, implications/potential for the project
(positive and adverse) and prioritise them in order of criticality for the proposed project. The
stakeholder analysis should analyse the critical stakeholders, their importance and power
relationships of each stakeholder in the whole process.
Carry out communication needs assessment – For different stakeholder groups prepare a
communications need assessment identifying clearly their assumptions/perceptions and develop key
messages that need to be delivered and the method/mode/media and frequency/timing.
Institutional analysis and inventory - Identify existing local level institutions (formal/Informal)
including nongovernment organisations, their strengths and their present potential role in carrying
out communication activities.
Develop overall communications strategy and action plan - in the form of message and means of
delivery for different stakeholders (street corner meetings, ward level consultations,
workshops/seminars, individual/collective meetings, presentations to institutions, mass media –
print and electronic, other publicity materials – display hoardings, pamphlets, fliers etc) and
sequence of events. Develop strategies to promote participation of all the primary stakeholders in
the project, promote sustainability and development of local institutions. The draft communication
strategy must be discussed in a workshop with key stakeholders and feedback received suitably
incorporated in the final version. This strategy and action plan should group the interventions,
identifying clearly, items that would be included in the capacity building plan activities that would be
undertaken by facilitating agencies at the village level activities that would be undertaken using
mass media development and production of IEC materials.
The consultant will also prepare the draft terms of reference for the actual implementation of the
communication strategy, to be carried out subsequently with the help of local NGOs or other
institutions. Action plan formulated should included budgeted costs for the proposed activities, tools
and outline of communication materials.
While preparing the communication strategy, the consultant will consider the following elements:
Initial communication will be targeted to key decision makers in the state governments to
build a supportive environment for sector reforms
Communication needs will vary depending on the stage of project (Initial, pre-planning,
planning, implementation, and post implementation phases).
Much of the operational communication to village communities will be in the form of
capacity building (likely to be delivered by support agencies, NGOs, CBOs) and IEC
campaigns.
There are excellent communication practices developed in Bank assisted projects (Karnataka, Kerala,
Maharashtra, Uttarakhand, Andhra Pradesh and Punjab) and other states. Similarly good IEC
materials have been prepared by these projects, UNICEF and GOI. The consultant is expected to
collect these best practices, readily available IEC materials and synthesize them for easy adaptation
by the project states.
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
69 | P a g e
The consultant should consider Gender and vulnerability analysis to develop a detailed
understanding of the issues involved. The main issue is to ensure access for these groups to services
and decision making process. The study should develop strategies to enhance the participation of
these groups in the implementation of the water and sanitation sector services.
Disclosure workshops
The consultant will hold consultations with stakeholders as a means to elicit explicitly the views of
the community, beneficiary groups, SHG and women on their participation at all stages of the
project. The findings of the draft report will be discussed with the primary stakeholders in the field
to get their feedback. The findings of the final draft report will be discussed in a stakeholder
workshop. All consultations should be properly documented and submitted to the client with the
final report.
Methodology (Suggested)
The consultant team will identify about 10 Gram Panchayats/ villages/ habitations spread equally
over the three regions and duly representing the different agro-climatic, socio-economic and RWSS
scenario. These GPs would form the focal points around which other stakeholders can be mapped.
The methodology adopted in selecting the GPs for the proposed study will be agreed with the client.
Study approach will chiefly be based on participatory approaches. Some of the participatory tools to
be used are PRA, sustainability monitoring exercise, women group, SHG interaction, etc. The
data/information required for the study needs to be collected through:
Desk review of policies, regulations, guidelines and Government Orders related to the social
aspects of the project.
Structured interviews with key informants.
Meetings with concerned officials, VWSCs, PRI members, staff of line departments,
consultants, NGOs, SHG etc.
Stakeholders workshops at different levels (village, sub division, district and state and
national level)
The data collected should be computerized so that it could be used for integration into the proposed
spatial knowledge base and the monitoring and evaluation system. The emphasis would be on
generation of information rather than collection of information.
Schedule of Deliverables
Inception report: Inception report will describe proposed approach, methodology, sampling
framework for conducting the study, formats for field surveys, schedule of field work and
procedures proposed to be adopted for data collection. In addition, it will briefly describe how social
issues will be identified and include methodology for public consultations and identification of
various stakeholder groups. The Inception Report will be submitted within two weeks of signing of
contract.
Number of copies: 5 copies of the report and electronic version (on 5 CD- ROMs).
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
70 | P a g e
Intermediate report: This will describe the methodology adopted, progress achieved, summary of
current recommendations and a table of contents and outline of SA report with description of each
section.
Number of copies: 10 and electronic version. The Interim Report is due within eight weeks of signing
of contract.
Draft final report will be submitted within twelve weeks after signing of the contract. The reports
should be clear, logical and readable. It will include an executive summary of not more than 10
pages. The consultant will also submit any additional material that was collected as part of the
project that may be of use to the proposed project. An electronic version of the reports will also be
submitted (e.g. in MS word format) for dissemination and discussion purposes. This report should
be presented in a workshop that will be organized by the client. The comments and suggestions
given in this workshop, and those given by GOAP and the World Bank will be addressed and
incorporated in the final report.
All the reports mentioned above should be prepared in single spacing, Times New Roman, font
size 12 and adequately supported with visuals and graphs.
Final report: Draft report would be revised and finalized as per comments from the client, Bank, and
the feedback from the field level consultations.
The final report will necessarily include the following:
Baseline information and monitoring indicators
Stakeholder Analysis and Impact Assessments.
Gender Impact Assessments
Institutional Assessment along with the SWOT analysis. of the PRIs relative to Institutional
arrangements for participation and project management
Identification of risks which might affect success of the project
Plans for securing lands.
o Generic framework for RAP and IPP as appropriate
Capacity Building Assessments, Strategy and Action Plan
IEC
Model contract documents for deploying consultants/ support organizations during
implementation.
Number of copies: 20 and electronic version (on 20 CD-ROMs). The Final Report is due within
sixteen weeks after signing of contract.
Data, services and facilities to be provided by the client:
Each state and GOI through their designated representatives:
Would provide available data and information that would be relevant to the study including
draft project concept note, size, scope, and detailed implementation plans.
Would provide all necessary and reasonable support to the consultant to collect secondary
data, such as issuing authorization letters. The Consultant will be responsible for any
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
71 | P a g e
translation of documents and for processing of data. The Clients will designate an officer to
act as the main liaison officer and participate in the study
Would help identify contacts in the project areas and facilitate consultation with agencies,
affected groups, potential project beneficiaries and others. The consultant would be
responsible for contacting the individuals identified and synthesize and analyze the
information available;
Would make available copies of World Bank Operational Policies (Section 5 above) and any
other available document(s) relevant to the study.
May designate/depute a team of professionals (client’s organization professionals) to work with the
consultants’ team.
List of Key Professional Positions whose CV and Experience would be evaluated
Key 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.
Key Person Specialization Experience No Man months
Social 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
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
72 | P a g e
Demonstrated knowledge and skills in both quantitative and qualitative surveys and
assessments especially using participatory and consultative techniques and tools.
The Outputs of the Consultants will be the following:
The study should be completed within 14 weeks from the date of commissioning of the study. PSU
should provide comments at each stage of Report preparation within one week of submission of the
report and the consultant should address these at each stage of report preparation. The following
are the benchmarks from the date of commissioning of the study:
Benchmarks (Reports) Time Schedule (weeks)
for each stage / report
from date of commissioning
Stage 1 - Inception report 2 week 2 week
Completion of Stage 2 and Intermediate Status Report
2 weeks 4 weeks
Completion of Stage 3 , 4 and Draft Final Report 3 weeks 7 weeks
Completion of Stage 4 and Final Report 3 weeks 10 weeks
Management of the Study
The consultant will report to the Additional Chief Secretary, Drinking Water and Sanitation
Department, Govt of Jharkhand. The consultancy firm is responsible for all logistics, including but not
limited to supplies, printing of instruments, translations, computers, and so forth. The State
Government will not provide logistical support for the study team.
Review Committee to Monitor Consultants Work
The Additional Chief Secretary will be the chairperson of the review committee comprising members
from the field of engineering, community development and finance. The committee may also seek
comments and inputs on the consultants work from the World Bank staff and other experts as
appropriate.
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
73 | P a g e
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
Project Key Issues
Scheme Beneficiaries
Use of drinking water from unsafe sources prevalent along with piped water Piped water is available for average 1 to 2 hours daily while in Hailakandi community reported of having water once in two days They generally do not practice safe handling of drinking water Iron 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 areas Average collection of water is for 3 times a day from nearby sources and it takes more than 10 minutes each time to collect water The maximum distance generally covered is around 1 to 3 K.M
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 water Availability in adequate quantity More 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 of
Shall cooperate in scheme operations
Ready to help and intervene for any local issues also ensure availability of land if required.
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
74 | P a g e
Stakeholders Feedback on current
Status
Understanding of the WB
Project
Expectations from the Project
Perceived role in the
Project Key Issues
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 villages Design the system for equitable water supply and sanitation facilities Community 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 committee Needs extensive awareness on user committee In case of sanitation general opinion is to get sanitation system in a subsidized rate
PHED Inadequate coverage by piped 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 villages Streamlined 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 GPs PHED to handle major maintenance issues and provide technical guidance
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
75 | P a g e
Stakeholders Feedback on current
Status
Understanding of the WB
Project
Expectations from the Project
Perceived role in the
Project Key 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 communication PHE is also not involved in day to day functioning of User Committee They 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 poor They 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 scale DO 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 connection ready to motivate male counterparts to pay needs 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 Group (SHG)
Needs training on vocational skills, only practice thrift
Welcome the project
Supply of good quality water in
Ready to pay user charges
Presently having limited access and needs awareness
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
76 | P a g e
Stakeholders Feedback on current
Status
Understanding of the WB
Project
Expectations from the Project
Perceived role in the
Project Key Issues
activities Income generating activities not done directly and controlled by intermediaries hence do not get proper remuneration Having limited interaction with Gram Panchayat
sufficient quality
Can get involved in the project and provide services related to awareness generation and user charge collection
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 impact Huge Gap in capacity building Awareness campaign from door to door is required for common people, local NGOs as well as PHED grass root workers and social leaders Sustainability possible through formation of effective user committee. PRI should have limited role.
Local Traders as there is no water they can't run hotel business and other improved services and welcome the proposed project In DD PWSS scheme area of Jorhat, local traders contacted, they reported that new project would increase scope for business and they could be engaged in material supply to the project site. Water would act as facilitator for development and habitation would also grow with supply of water
Not aware of details of the project
Supply of water ready to pay user charges Shall extend cooperation
needs water for longer duration
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
77 | P a g e
Stakeholders Feedback on current
Status
Understanding of the WB
Project
Expectations from the Project
Perceived role in the
Project Key Issues
thus scope for business
8.2.2 Stakeholder Feedback, Bihar
Key Stakeholders
Role – Direct/ Indirect
Strengths Weakness Opportunities Threats
State level
Public 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 community participation is not achieved as desired
It may happen that due to casteism at local level, there is no support for community mobilisation
Political pressure
Non Convergence of programmes
They may have to pay more for providing services to poor
UNICEF Direct Technically competent No issues Is involved at the May face
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
78 | P a g e
Key Stakeholders
Role – Direct/ Indirect
Strengths Weakness Opportunities Threats
body- has huge potential of providing technical support
policy level, therefore assists the PHED which in turn works with the grass root level organizations.
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.
May face problem of poor coordination
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
May face problem of poor coordination
Development Partners – Bihar
Indirect They have huge potential as they are
The organizations have a limited
They can be utilized to reach
May face problem of
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
79 | P a g e
Key Stakeholders
Role – Direct/ Indirect
Strengths Weakness Opportunities Threats
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
Ensuring expansion of the organization and timely completion of projects
Should consider users as customers
Have to come out of the aura of 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, local level does not support community mobilisation
Political pressure
Non Convergence of programmes
Contractors Direct Helping the Department in scheme implementation
Securing steady business revenues at
Less experienced contractors for specialized work of the drinking water supply
They need to be monitored closely so that they deliver better quality output- regulatory
They may lose business
Low Profit margins due to close
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
80 | P a g e
Key Stakeholders
Role – Direct/ Indirect
Strengths Weakness Opportunities Threats
least costs sector
Potential to inflate the projects costs.
Potential to keep community annoyed by providing poor quality services
control with feedback loop of beneficiaries to be put in place
monitoring by 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 level
Block 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
Ensuring expansion of the organization and timely completion of projects
Have to come out of the notion of 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, local level does not support community mobilisation
Political pressure
Non Convergence of programmes
Gram Panchayat level
Panchayati Raj Institutions
Direct They are elected members of community and they are mostly believed by the
Too much politics and casteism involved as Mukhiya or a
They should be involved in motivating community for
Non capability to handle finance and may land up in
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
81 | P a g e
Key Stakeholders
Role – Direct/ Indirect
Strengths Weakness Opportunities Threats
community.
It is also observed that 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
member of the dominant caste (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
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.
trouble
Contributions 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
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
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
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
82 | P a g e
Key Stakeholders
Role – Direct/ Indirect
Strengths Weakness Opportunities Threats
timings and reasonable durations.
Adequate number of stand posts as per the requirement of villagers
dependent on the male members of 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
Heath hazards due to stagnant water and sewerage
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
There are various issues in functioning of AWCs, primarily these do not have their own buildings – are
They should be involved in motivating community towards safe water and sanitation services through students
Heath hazards due to stagnant water and sewerage
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
83 | P a g e
Key Stakeholders
Role – Direct/ Indirect
Strengths Weakness Opportunities Threats
malnutrition. It provides basic health care in villages include 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.
run in rented buildings or at a public place with 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.
Should be involved in VWSCs as members and then 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.
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
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 should play an active role in the planning, implementation and management of W&S services including domestic
Heath hazards due to stagnant water and sewerage
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
84 | P a g e
Key Stakeholders
Role – Direct/ Indirect
Strengths Weakness Opportunities Threats
contractual/ day to day basis of either sweeper, 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
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.
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
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
85 | P a g e
8.2.3 Stakeholder Feedback, Jharkhand
Stakeholders Expectations
All Users/Beneficiary
Wants water for all purposes – both drinking, domestic and for cattle.
Wants good quality and sufficient water at pre-informed timing on regular (daily) basis.
Power (Electricity backup) with adequate water storage to tide over the scheduled and unscheduled power cuts.
Prefer household connection.
Community tap fine if not more than 25-30 mts away.
Number of community stand posts as per the clusters of households and not by fixed numbers of HH in village.
Maintenance free sanitation facilities or easy to maintain toilets with less water requirement.
Identification of poorer families irrespective of social status and provision of support preferably for constructing individual latrines.
Adequate and timely O&M of the water supply.
For APL, subsidized individual latrines, water connections.
Technical know-how, mass awareness generation on sanitation, health and gender.
Mass awareness generation among all water users.
Special campaign like awareness for ST and other marginalized sections and their priority inclusion in VWSC or related committees.
Scheduled Tribes
Would like to be consulted through their traditional (Pradhan) institutions as well as elected PRI members in decision making, implementation and operation and maintenance.
Would like to be part of Village WCSC so they have their say as well.
Equitable rights or even preferred right over water while planning water supply systems.
Would like to work in the projects initiated in their panchayat or village.
Would like to receive training as plumbers and masons.
Government should protect their interests in all aspects of Water and Sanitation as they are very poor.
Women as primary users 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.
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
86 | P a g e
Stakeholders Expectations
Good quality and quantity of water supply.
Treatment of water for drinking purposes.
VWSC to work under the direction of Gram Panchayat (PRI).
Timely repair and maintenance.
Regular water supply and ODF status.
Regular payment of tariff to be collected by VWSC.
Capacity building of Jalsahiyas and different kind of incentives for her.
Strong training to both VWSC and Jalsahiyas.
Mukhiya to be consulted for all work.
Timely completion of work by engineers/government.
Regular interaction with JE and SDO for these schemes. -
Initial subsidy for all for water connection and latrines.
Surplus funding for emergency work.
Block Development Level
Want additional technical manpower to manage projects.
Wants strong financial support from the project.
Wants involvement of local political both MLA and MP.
Capacity building of Elected representatives as they do not understand financial and technical implications.
Establishment of BRCs for specifically water and sanitation.
Zilla Parishad
Wants only to be a facilitating agency for implementation of the program.
Wants sufficient financial support from project.
Wants all stakeholders including involvement of current MLAs and MPs.
Wants that key decisions related to implementation are made at ZP level.
Panchayati Raj 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
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
87 | P a g e
Stakeholders Expectations
More field level technical manpower support AEs
Very good quality Community Mobilizers and Community Communicators
At least total cost collection of O &M
DWSD should be overall project implementation agency
Should seek support of good NGOs in CDD and strengthening VWSC and Jalsahiyas role
Regular consultation with professional and technical staff at DWSD
Quality training in Procurement, Planning and Implementation
Planning tress on augmentation of sources through ground water recharge measures
Provision of adequate funds for complete augmentation or new water and sanitation systems
Sufficient fund flow from government timely completion of work
DPMU/BRC
Should be an experienced and capable person in Water and Sanitation
Should be the link between all GPs and VWSC
Should take leadership role for making ODF villages
Should design locally relevant trainings to change current attitudes or practices
Should take up regular IEC & capacity building to ensure that community starts owning the project
SPMU – State Water and 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
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
88 | P a g e
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 recently Given the technical expertise of the UPJN, they will need to play the lead role in construction of large multi-village piped water supply schemes under the project, but with community mobilisation, communication and capacity building support from other sector institutions including SWSM and WSSO.
5 Panchayati Raj 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
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
89 | P a g e
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
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
90 | P a g e
S.N Key/Critical
Stakeholders Status and Needs Expectations
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
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
91 | P a g e
S.N Key/Critical
Stakeholders Status and Needs Expectations
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.
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
92 | P a g e
8.3 Consultation Details – Statewise
8.3.1 Assam
District Date of the Consultation
Place of Consultation
Block Gram Panchayat
Villages covered
Bongaigaon 18.02.2013 Balapara PWSS DTW, Capacity 70,000 Ltrs. Scheme population- 1612 Coverage – HC –Nil, Stand post - 5 Approx 100 House Hold covered
Boitamari
Balapara
1. Balapara - I 2. Jogighopa 3. Kherpujia 4. Chapar 5. Bahalpur 6. Chedamari Purba 7. Chedamari
Paschim
Bongaigaon 19.02.2013 KALBARI PWSS DTW, Capacity 50,000 Ltrs. HC –Nil, Stand post -23,Coverage -1150 House hold
Tapattary
Kalbari
8. Batabari PT 1 9. Kalbari 10. Bowalimari 11. Naldoba 12. Haripur
Morigaon 19.02.2013 Nelly PWSS, DTW, Capacity 50,000 Ltrs. HC –50, Stand post-18,
Mayang
Nelly
13. Nelly 14. Ulukhi 15. Matibar 16. 1 no Kiling 17. Kiling Bagisha No
2 18. Barpayak 1 No 19. Natun Mokoroya 20. Barkhal 21. Palahaburi 22. Basandhari
Morigaon 20.02.2013 Amlighat PWSS, source KILING RIVER , Capacity 60,000 Ltrs. HC –82, Stand post - 10
Mayang
Gova 23. Sitajakhla 24. Sindhisawar 25. Rowmari 26. Bamungaon 27. Naldharbihita 28. Bamungai 29. Remuni 30. Sidhisar 31. Bihita 32. Nandlasha 33. Udhmari
Phokilibihihabib 34. Kumarkuchi 35. Notungaonlai 36. Punni Gaonlai 37. Arangkuchi 38. Kuthiri 39. Sonaikuchi
Sonitpur 20.02.2013 Gopalpur PWSS,DTW, Capacity 80,000 Ltrs. HC –64, Stand post – 38,
Pub-chaiduar
Gopalpur
40. Gopalpur 41. Kharanijan 42. Na-pam 43. Solengi pathar 44. Solengi guri
Sonitpur 20.02.2013 Ghahigaon PWSS DTW, Capacity
Chaiduar
Tetonbari
45. Hukujan 46. Amtola gaon
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
93 | P a g e
District Date of the Consultation
Place of Consultation
Block Gram Panchayat
Villages covered
140,000 Ltrs. HC –100, Stand post – nil
47. Afrakhat 48. Barangabari
Jorhat 20.02.2013 Dhuliagoan Dhuliapam PWSS, Bhogday River, Capacity 80,000 Ltrs. HC –191, Stand post - nil -
Jorhat 53 Uttar Garamay
49. Dhuliagoan 50. Dhuliapam 51. Goalabasti 52. 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. Dekagaon 55. 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. Julagaon 58. Demow Pathar 59. Sipahigaon 60. Thakupar 61. Joysagar Sariali
Hailakandi 3.02.2013 and 4.02.2013
Algapur and Hailakandi
62. Uttarkanchanpur I 63. Uttarkanchanpur
II 64. Dolidahar 65. Bakhrihawar I 66. Bakhrihawar II 67. Mohanpur 68. Chiporsangan III 69. Goalipar II 70. Goalipar I 71. Rangpur 72. Algapur 73. Goalipar III 74. Bansbari I 75. Bansbari II 76. Balikandi 77. Bhatirkupa I 78. Bhatirkupa II 79. Saydband
* Note: There were good numbers of participants in the consultation meetings both at district and state level. State Consultations were held on 1
st and 2
nd 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.
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
94 | P a g e
8.3.2 Bihar
Level Place Date Person /group interviewed with/position
PATNA
State PHED Office, Patna 28th
& 30th
Jan; 4th
& 5
th 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 2013
Mr. S. N Mishra (Director, NRDWP)
State PHED Office, Patna 5th
Feb Ms. Lata Chaudhary (State Consultant Water Quality)
State PHED Office, Patna 5th
Feb Mr. B. P. Ojha (Director-Water Quality)
State PHED Office, Patna 28th
Jan 2013 Ms.Gloria Unicef (Consultant, CCDU)
State Jeevika Office, Patna 31st
Jan 2013 Mr. Arvind Chaudhary
State Jeevika Office, Patna 31st
Jan 2013 Mr. Apolernarius Purty
State SWASTH Office, Patna 1st
Feb Mr. Prakash Kumar
State UNICEF Office, Patna 5th
Feb Mr. Nanak T. Santdasani
State UNICEF Office, Patna 5th
Feb Mr. Mamta Chauhan
State Mahila Samakhya Office, Patna
6th
Feb Ms. Shubraja
State Mahila Samakhya Office, Patna
6th
Feb Ms Urmila
State Mahila Samakhya Office, Patna
6th
Feb Ms. Sangita Dutta
District PHED Office, West Division, Rajwanshi Nagar, Patna
4th
Feb 2013 Mr. 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 engineer
District Begusarai 06th
Feb 2013 Assistant engineer
District Purnia 11th
Feb 2013 Executive engineer
District Purnia 12 th Feb 2013 Assistant engineer
District Purnia 12 th Feb 2013 Junior engineer
District Purnia 12 th Feb 2013 District coordinator
Block PHED-East Division Office 31st
Jan to 4th
Feb 2013
Mr. Dinesh Kumar (Block Coordinator, Maner)
Block BDO, Office, Maner 31st
Jan 2013 Dr. Sulekha Kumar (BDO, Maner)
Block Banmankhi, Purnia 13 th Feb 2013 Block coordinator
Block Begusarai 06th
Feb 2013 Junior engineer
Block Balia, Begusarai 06th
Feb 2013 Block coordinator
Gram Panchyat Level Bank Village 31st
Jan 2013 Mrs. Ranju Devi Mukhiya (Bank) Mr. Satru Paswan Mukhiya Pati (Bank) Mr. Braj Bhusan Kumar
Gram Panchyat Level Kitachauhator West 2nd
Feb 2013 Mrs. Pratima Devi Mukhiya
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
95 | P a g e
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 commissioner
Nagar Panchayat Banmankhi, Purnia 12 th Feb 2013 Corporator
Village level Bank Village 1st
Feb 2013 Md. Rafi Mr. Ram Singh Ward Community member (Bank) Mr. Narendra Kumar Community member (Bank) Mr. Munsi Paswan Community member (Bank) Mr. Satish Singh Community member (Bank) and community
Village level Kitachauhator West Village
2nd
Feb 2013 Mr. Dilip Rai Social Worker (Kitachauhator West) Mr. Amodh Kumar Singh Ward member (Kitachauhator West) Sri Upendra Singh Ward member (Kitachauhator West) Sri Sunil Kumar Singh Ward member (Kitachauhator West) Mr Naomi Paswan Member Panchayat Samiti Balua Mr Anilji Community member, Balua
Village level Kitachauhator West Village
3rd
Feb 2013 PRA with community members
Village level Balua Village 4th
Feb 2013 PRA with community members
Village level Bari Balia North, Begusarai
7th
Feb 2013 Former Mukhiya
Village level Bari Balia North, Begusarai
8th
Feb 2013 PRA with community members
Village level Balia Lakhminiya l, Begusarai
7th
Feb 2013 Voice chairman
Village level Balia Lakhminiya l, Begusarai
8th
Feb 2013 PRA with community members
Village level Dharhara, Purnia 11th
Feb 2013 Sarpanch
Village level Dharhara, Purnia 11th
Feb 2013 PRA with community members
Village level Dharhara, Purnia 13 th Feb 2013 Community Mobiliser (Jeevika)
Village level Dharhara, Purnia 14th Feb 2013 C.C (Jeevika)
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
96 | P a g e
8.3.3 Jharkhand
Officials, PRI Elected Representatives, Jal Sahiyas
Level Place Date Person/Group interviewed with/position
State
SPMU/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 Engineers
UNICEF Ranchi 18 & 20 Feb-2013 Program Officer, WATSAN
VISWA Ranchi 18- 19 Feb-2013 Training Coordinator
XISS Ranchi 14 Feb 2013 GRC Head and staff, Training Team
Basix Ranchi 6 Feb 2013 Program Manager
District
DWSD, DPC Dhanbad (pilot) 17 Jan 2013 EE, SDO, JE
DWSD, DPC East Singhbhum 4 Feb 2013 DC, EE, AE, DPC, Jalsahiyas
DWSD, DPC Khunti 6-7 Feb 2013 DC, EE, AE, , DPC, Jalsahiyas, Pradhan
DWSD, DPC Saraikela Kharsawan 13 Feb 2013 DC, EE, AE, SDO, GSF, DPC, Jalsahiyas (3)
DWSD, DPC Dumka 18-19 Feb 2013 EE, AE, JE, DPC, Mukhiya, Jalsahiya
Block Level
Chandil (SK) 13 Feb 2013 AE, DPC
Gamharia (SK) Do AE
Saravu (Dumka) 19 Feb 2013 AE
Mano, Patamda, Boraon, Tatanagar (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 same
Acronyms
AE Assitant Engineer
ACS Additional Chief Secretary
DC Deputy Commissioner
DPC
District Project Coordinator
DWSD
Drinking Water and Sanitation Department
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
97 | P a g e
Level Place Date Person/Group interviewed with/position
EE Executive Engineer
ES East Singhbhum
GP Gram Panchayat
GSF Global Sanitation Fund
JE junior Engineer
SE Supritendent Engineer
SK Saraikela Kharsawan
SDO Sub-Divisional Officer
SPMU
State Project Management Unit
UNICEF
United Nations Children's Emergency Fund
A. Village Consultations (Focus Group Discussions)
District Block Gram
Panchayat Village
Group: (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 22/2/2013
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
98 | P a g e
Garhwa Garhwa Karua kala Dumariya Women Group 25/2/2013
District Block Gram
Panchayat Village
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
Meral okhargada (E) Okhargada Gen. Community 27/2/2013
Parsahi Women Group 27/2/2013
Bardiha Salga Salga Women Group 27/2/2013
Kundrahe Gen. Community 27/2/2013
Khunti Torpa Okra Saraikel Gen. Community 18/2/2013
Roro Women Group 18/2/2013
Husir Lautli Women Group 19/2/2013
Ronhe Gen. Community 19/2/2013
Tapakara Tapakara Women Group 18/2/2013
Kochha Gen. Community 18/2/2013
Murhu Bichna Chhata Women Group 19/2/2013
Jaltanda Gen. Community 19/2/2013
Kodakel Kodakel Women Group 20/2/2013
Kurki Gen. Community 20/2/2013
Kunjla Kunjla Women Group 20/2/2013
Iththe Gen. Community 20/2/2013
Saraikela Kharaswan Chandil Chandil Chandil Gen. Community 15/2/2013
Kadamdih Women Group 15/2/2013
Matkamdih Chutiakhal Women Group 15/2/2013
Dhobatama Gen. Community 15/2/2013
Rashuniya Rautara Gen. Community 16/2/2013
Sukhsari Women Group 16/2/2013
Gamharia Narayanpur Narayanpur Gen. Community 16/2/2013
Vjay Women Group 16/2/2013
Bada Kankra Bada Kankra Women Group 17/2/2013
Nawadih Gen. Community 17/2/2013
Burudih Burudih Gen. Community 17/2/2013
Baramari Women Group 17/2/2013
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
99 | P a g e
8.3.4 Uttar Pradesh
Officials, PRI Elected Representatives, etc.
Level Place Date Person/Group interviewed with/position
State
Lucknow 20.12.12, 07.03.13
Mr. Rakesh Kumar Ojha, ED, SWSM/ Special Secretary, Department of Rural Development
Lucknow 20.12.12, 07.3.13
Mr. SC Srivastava, Joint Director, SWSM
Lucknow 07.3.13 Prabhakar Sinha, Social Development and Comunication Specialist, SPMU-RWSSP, SWSM
Lucknow 20.12.12, 07.03.13
Ms. Meena Agarwal, Director, WSSO
Lucknow 20.12.12 Ms. Rachna Sarkar, IEC/HRD Consultant, WSSO
Lucknow 20.12.12 Mr. Mahesh Chandra Pandey, Financial Adviser, SWSM
Lucknow 20.12.12 Mr. Prashant, General Consultant
Lucknow 20.12.12 Ms. Seema Kumar, UC(ID), SWSM
Lucknow 20.12.12 Mr. Syed Rahmatullaha, UC(T), SWSM
Lucknow 20.12.12 Mr. Gyanendra Singh, Procurement Specialist, SPMU
Lucknow 07.03.13 Mr. A.K. Mittal, MD, UPJN
Lucknow 20.12.12, 07.03.13
Mr. RM Tripathi, Joint Director, CPU, Jal Nigam
Lucknow 20.12.12 Mr. SN Mishra, Water Supply Engineer, SWSM
Lucknow 19.01. 13 Participants of consultation workshop including SWSM and UP Jal Nigam Officials and officers, PRI/community members from field study districts
District
Faizabad
Faizabad 20.12.12 Balwant Singh, DDO
Faizabad 23.12.12 CDO
Faizabad 21.12.12 Ex. Engineer, UP Jal Nigam
Faizabad 20.12.12 A. K. Singh, DPRO
Faizabad 20.12.12 Deependra Kumar Singh, Representative, Itauni Gram Vikas Samiti (NGO), Jaunpur
Faizabad 20.12.12 CP Singh, T. A. Swajaldhara
Chandauli
Chandauli 26.12.12 RP Yadav, DDO
Chandauli 26.12.12 Akhilesh Sriwastav, T. A. Swajaldhara
Chandauli 26.12.12 BN Rai, Ex. Engineer, UP Jal Nigam
Chandauli 29.12.12 BK Tripathi, CDO
Chandauli 29.12.12 Chandramauli Upadhyay, PD
Chandauli 26.12.12 Santosh Kumar Singh, District Coordinator, NBA
Chandauli 31.12.12 Vimal Kishor Srivastav, DPRO
Chandauli 29.12.12 DP Singh, AE, UP Jal Nigam
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
100 | P a g e
Level Place Date Person/Group interviewed with/position
Kaushambi
Manjhanpur 02.01.13 Dr. Saroj KumarDM
Manjhanpur 04.01.13 Mala Sriwastav, CDO
Manjhanpur 04.01.13 Pandey, I/c DDO
Manjhanpur 03.01.13 JN Upadyaya, Ex. Engineer, UP Jal Nigam
Manjhanpur 01-04 January 2013
Dinesh Chandra Pandey, T. A. , Swajaldhara
Manjhanpur 02.01.13 Srivastav, DPRO
Shrawasti
Shrawasti 26.12.12 MP Singh, CDO
Shrawasti 26.12.12 Ghanshyam Sagar, DPRO
Shrawasti 26.12.12 Ram Pyare, Ex. Engineer, UP Jal Nigam
Shrawasti 26.12.12 Dr. Rajkumar, District Project Coordinator, NBA
Shrawasti 26.12.12 Harijendra Verma, District Project Coordinator, NBA
Kushinagar
Kushinagar 31.12.12 Dr. Gupta, CMO
Kushinagar 31.12.12 RP Upadhyay, DDO
Kushinagar 31.12.12 HC Tiwari, CDO
Kushinagar 31.12.12 Rigzian Samphel, DM
Kushinagar 31.12.12 DPRO
Kushinagar 31.12.12 BN Pandey, JE, Swajaldhara
Kushinagar 03.01.13 MD Pandey, Ex. Engineer, UP Jal Nigam
Kushinagar 03.01.13 Satendra Tiwari, Asst. Engineer, UP Jal Nigam
Kushinagar 03.01.13 KN Pandey, Junior Engineer, UP Jal Nigam
Kushinagar 03.01.13 DN Dwivedi, Junior Engineer, UP Jal Nigam
Kushinagar 03.01.13 RK Singh, Junior Engineer, UP Jal Nigam
Block Level
Masaudha, Faizabad 21.12.12 Mr. Mahajan, Principal, RIRD, Masaudha
Sohawal, Faizabad 21.12.12 BDO
Chakia, Chandauli 28.12.12 Ram Singh Yadav, BDO, Chakia, Chandauli
Manjhanpur, Kaushambi 04.01.13 Pandey, BDO, Manjhanpur
GP/Villages
Kudhakeshavpur, Block Pura Bazar, Faizabad
22.12.12 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
Raunahi Uparhar, Block Sohawal, Faizabad
23.12.12 Mohd. Kafeel. GP member
Raunahi Uparhar, Block Sohawal, Faizabad
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 27.12.12 SP Tripathi, JE, UP Jal nigam
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
101 | P a g e
Level Place Date Person/Group interviewed with/position
Niyamtabad, Chandauli
Manapur, 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)
District Block Gram
Panchayat Village
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
Gen. Community/ Women Group of village 22.12.12
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/ Women Group of village
28.12.12
Chandauli Chahaniya Palia Palia Gen. Community/ Women Group of village
29.12.12
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
102 | P a g e
District Block Gram
Panchayat Village
Group: (Gen. Community/
Women Group of village)
Date of FGD
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 Bazar Gen. 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
Gen. Community/ Women Group of village 27.12.12
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
Gen. Community/ Women Group of village 28.12.12
Shrawasti Sirsia Motipur Kalan Motipur Kalan
Gen. Community/ST community Women Group of village 28.12.12
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
103 | P a g e
8.4 MVS Cycle
I MVS Schemes
S. No. Activity Social Management Actions Responsibility
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 participate GP passes resolution and expresses interest to participate in the project
GP/ SO
5 Selecting GP/ Villages Prioritization based on selection criteria done DWSM/DPMU
6 GP/ Village selected GP/ villages are informed of the selection DWSM/DPMU
B Planning phase
1 Identification of user groups within each 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 account Socio-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
12 Collecting 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 & Zilla Parishad
Suggestions from community members incorporated when appropriate
Documentation of approval
DWSM/ DPMU, SO, GP/VWSC/ SLC
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
104 | P a g e
14 Obtaining technical sanction for DPR-water supply
Approval communicated to community members
DPMU
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
Approval communicated to community members
DPMU
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 Approval communicated to community members
DPMU
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
Progress and Quality Monitoring by GP/ VWSC GP/VWSC/ SLC, Contractor
7 Periodic monitoring by VWSC / GP/ SLC/ ZP and WSSD
Progress and Quality Monitoring by GP/ VWSC 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 commissioned
Systems functioning properly ZP/ DWSM/DPMU, GP/VWSC/ SLC, SO
14 Implementation completion reports including statement of accounts finalized
Scheme Evaluation (general project evaluation) SWSM/SPMU, DWSM/ DPMU
D Operations & maintenance phase SPSU
Social Management Framework for Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS)
105 | P a g e
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 be Proposal 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
6 Remitting 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