Impact analysis of Uttarakhand Rural Water Supply & Sanitation …swajal.uk.gov.in/files/RWSSP_Impact_Assessment_1.pdf · 2016-06-15 · The Energy and Resources Institute (TERI)

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Prepared forPrepared forPrepared forPrepared for State Water Supply and Sanitation Mission,

Government of Uttarakhand

Submitted bySubmitted bySubmitted bySubmitted by The Energy and Resources Institute (TERI)

In association withIn association withIn association withIn association with

Sycom Projects Consultants Pvt. Ltd.

January 2016

Final ReportFinal ReportFinal ReportFinal Report

Impact analysis of Uttarakhand Impact analysis of Uttarakhand Impact analysis of Uttarakhand Impact analysis of Uttarakhand Rural Water Supply & Rural Water Supply & Rural Water Supply & Rural Water Supply &

Sanitation Project (URWSSP)Sanitation Project (URWSSP)Sanitation Project (URWSSP)Sanitation Project (URWSSP)

Sycom Projects Consultants Pvt. Ltd.

Impact analysis of Uttarakhand Rural Water Supply & Sanitation Project (URWSSP)

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© The Energy and Resources Institute 2016

Suggested format for citation

T E R I. 2016


New Delhi: The Energy and Resources Institute.

[Project Report No. 2015WM02]

For more information Mr. Rakesh Johri

Senior Fellow

Water Resources Division

T E R I Tel. 2468 2100 or 2468 2111

Darbari Seth Block E-mail [email protected]

IHC Complex, Lodhi Road Fax 2468 2144 or 2468 2145

New Delhi – 110 003 Web www.teriin .org

India India +91 • Delhi (0)11

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Project Team

Team Members TERI

Ms. Divya Datt

Ms. Mary Abraham

Dr. Mini G

Mr. Rakesh Johri

Ms. Sonakshi Sinha

SYCOM

Mr. Aditya Bisht

Mr. Ashish Sharma

Mr. Pradeep Dadlani

Ms. Shabarni Roy

Mr. T Subramuni

Advisor

Dr. Syamal Kumar Sarkar, IAS (Retd), Director - WRPM, TERI

Secretarial Assistance Ms Meera Yadav

Ms. S Jyothi

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Acknowledgement

The Energy and Resources Institute (TERI) and Sycom Project Consultants Private Limited

gratefully acknowledge the State Water and Sanitation Mission (SWSM) Uttarakhand and the

World Bank team, especially Dr Smita Misra and Mr V K Kurian, for their continued support

towards the study. The team acknowledges with thanks the kind contribution and valuable

suggestions from Mr Ranjit Sinha , Director, SWSM, and Mr Yogendra Singh, Chief Engineer,

SWSM. The advice and support provided by Mr V K Sinha, Consultant, SWSM, needs a special

mention and we wish to particularly thank him for his valuable comments and feedback as well

as the unstinted support extended to the team right from the inception phase of the study.

The project team was, to a great extent, assisted by various organizations that provided

relevant data and information crucial for the study. In particular, the support provided by the

Project Monitoring Unit, Uttarakhand Peyjal Nigam (UJN), Uttarakhand Jal Sansthan (UJS),

were most useful. Our sincere thanks to all the officials at the various District Water Sanitation

Committees, District Project Management Unit, Divisional offices of the UJN and UJS, Support

Organizations, and all other stakeholders of the project who have extended full cooperation

during the course of the study. The project team thanks Mr. Bharat Patwal, Ms Anita Rawat,

and Mr Gopal Joshi for their support in undertaking the field studies.

The support provided by the Gram Panchayats and UWSSC are also highly appreciated. The

study would not have been possible but for the support and encouragement of some of the TERI

colleagues, Mr Anshuman, Ms Sonia Grover, and Dr Prateek Sharma. The team also expresses

their gratitude to all those associated with field studies and the preparation of the report,

particularly Dr Fayaz Ahmed Mulla, Mr Praveen Kukreti, Mr Dibakar Jha, Ms Sangeeta

Malhotra, Mr Vishal Pratap Singh , and Mr Anurag Prakash who have travelled extensively

under difficult circumstances and Ms Meera Yadav for her secretarial assistance. We are most

grateful to all of them and also, our other colleagues who supported this study but are not

mentioned here.

Last, but not least, the team acknowledges that without the kind support and cooperation

rendered by the project beneficiaries and the friendly communities in the study region, this

study would not have been possible. We sincerely thank them all.

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Table of contents

PROJECT TEAM....................................................................................................................................... III

ACKNOWLEDGEMENT ............................................................................................................................. V

ABBREVIATIONS ..................................................................................................................................VIII

EXECUTIVE SUMMARY .............................................................................................................................1

Impact of the URWSSP project .......................................................................................................2

Impact of Water Supply Services ....................................................................................................2

Impact of Improved Sanitation .......................................................................................................3

Impact of the SWAp under the URWSSP .......................................................................................3

Impact of the Capacity Building and Education Programmes under URWSSP ..........................4

Household Level Impact .................................................................................................................4

Water Supply Services .....................................................................................................................4

Improved Sanitation ........................................................................................................................5

Capacity building ............................................................................................................................5

Education .........................................................................................................................................5

Institutional ......................................................................................................................................5

Gender ..............................................................................................................................................6

Health and Well-being ....................................................................................................................7

1 INTRODUCTION ................................................................................................................................8

1.1 Introduction ..............................................................................................................................8

1.2 Background ...............................................................................................................................9

1.3 Objectives ............................................................................................................................... 10

1.4 Scope of work and methodology ......................................................................................... 11

1.4.1 Scope ............................................................................................................................... 11

1.4.2 Methodology .................................................................................................................. 13

1.4.3 Subjects and Variables ................................................................................................... 16

1.4.4 Structure of Report ......................................................................................................... 17

2 IMPACT OF THE URWSSP PROJECT ........................................................................................... 18

2.1 SWAp Concept, Programme, and Impact............................................................................ 21

2.2 Water Supply Services—State Level .................................................................................... 24

2.2.1 Achievement versus Target ........................................................................................... 27

2.2.2 Impact ............................................................................................................................. 28

2.2.3 Progress on Additional Financing Project.................................................................... 28

2.3 Health and Sanitation ........................................................................................................... 29

2.3.1 Impact of improved sanitation under the URWSSP ................................................... 30

2.4 Institutional Aspects ............................................................................................................. 31

2.5 Capacity Building .................................................................................................................. 35

2.6 Communication Strategy and IEC ....................................................................................... 37

2.7 Sector Information System, Water Quality Monitoring, and Source Discharge

Measurement Programme ..................................................................................................... 39


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2.7.1 Water Quality Monitoring Programme ........................................................................ 40

2.7.2 Environmental Assessment ........................................................................................... 41

2.8 Financial management .......................................................................................................... 44

2.8.1Observations from Financial Analysis ................................................................................. 47

2.9 Procurement............................................................................................................................ 49

2.10Operation and Maintenance ................................................................................................. 50

2.11Monitoring and Evaluation .................................................................................................. 51

3 IMPACT ANALYSIS AT HOUSEHOLD LEVEL ................................................................................ 53

3.1 Water Supply Services .......................................................................................................... 53

3.2 Improved Sanitation .............................................................................................................. 57

3.3 Capacity Building .................................................................................................................. 59

3.4 Education ................................................................................................................................ 60

3.5 Institutional ............................................................................................................................ 61

3.6 Livelihood and Income ......................................................................................................... 62

3.6.1Voices from the field ....................................................................................................... 64

3.7 Health and Well-being ......................................................................................................... 65

3.7.1 Sense of security ............................................................................................................. 66

3.7.2 Sanitation facilities used by all family members ......................................................... 67

3.7.3 Payment of user charges ............................................................................................... 67

3.7.4 Disposal of waste ........................................................................................................... 68

3.8 Gender ..................................................................................................................................... 69

3.9 Local Environment ................................................................................................................. 73

4 ECONOMIC ANALYSIS ..................................................................................................................... 74

4.1 Introduction ............................................................................................................................ 74

4.2 Quantifying and valuing the benefits of the project ............................................................. 76

4.2.1 Value of time saved ........................................................................................................ 76

4.2.2 Incremental water supply .............................................................................................. 76

4.2.3 Health benefits ................................................................................................................ 77

4.2.4 Number of beneficiaries ................................................................................................. 80

4.3 Cost of the project ................................................................................................................... 81

4.4 Sensitivity analysis.................................................................................................................. 81

4.5 Results ..................................................................................................................................... 83

5 SUMMARY AND CONCLUSION ........................................................................................................ 85

REFERENCES ........................................................................................................................................... 90

ANNEXURE 1.1 DATA COLLECTION FORMATS/ QUESTIONNAIRES ....................................................... 91

ANNEXURE 1.2 IMPACT ANALYSIS OF UTTARAKHAND RURAL WATER SUPPLY & SANITATION PROJECT

(URWSSP).................................................................................................................................... 102

ANNEXURE 1.3 LIST OF SCHEMES UNDER URWSSP & AF FOR IMPACT ANALYSIS STUDY ................ 112

ANNEXURE 1.4 STAKHOLDER WORKSHOP .......................................................................................... 116

ANNEXURE 2.1 STATUS OF IEC PRODUCED AND OBSERVATIONS ....................................................... 124

ANNEXURE 4.1 PERSONS SUFFERING ................................................................................................... 130

ANNEXURE 5.1 BALANCED SCORE CARD FOR ASSESSMENT OF INSTITUTIONAL EFFECTIVENESS OF THE

URWSSP PROJECT ....................................................................................................................... 131

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Abbreviations

AF: Additional Financing

CACMP Catchment Area Conservation Management Program

DALY: Disability Adjusted life years

DPR: Detailed Project report

DPMU: District Project Management Unit

DWSC: District Water and Sanitation Committee

DWSM: District Water and Sanitation Mission

FMR: Financial Management Report

FGD: Focus Group Discussion

GO: Government Order

GoUK: Government of Uttarakhand

GP: Gram Panchayat

IEC: Information Education and Communication

IHHL: Individual Household Latrine

IMIS: Integrated Management Information System (IMIS)

IPCR: Implementation Phase Completion Report

JIR: Joint Inspection Report

M&E: Monitoring and Evaluation

MGNREGA: Mahatma Gandhi Rural National Employment Guarantee Act

MTR: Mid Term Report

MVS: Multiple Village Scheme

NBA: Nirmal Bharat Abhiyan

NGO: Non-Governmental Organization

PAD: Project Appraisal Document

PDO: Project Development Objective

PRI: Panchayati Raj Institution

RWSS: Rural Water Supply and Sanitation

SBM: Swachh Bharat Mission

SIS: Sector Information System

SOs: Support Organizations


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SPMU: State Project Management Unit

SVS: Single Village Scheme

SWAp: Sector wide Approach

SWSM: State Water and Sanitation Mission

TSC: Total Sanitation Campaign

UJN: Uttarakhand Peyjal Nigam

UJS: Uttarakhand Jal Sansthan

URWSSP: Uttarakhand Rural Water Supply and Sanitation Project

UWSSC: User Water Supply Sub- Committee

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Executive Summary

The Uttarakhand Rural Water Supply and Sanitation Project (URWSSP), implemented

during November 2006 to December 2015, covers entire rural areas of Uttarakhand, spread

over 13 districts. The project primarily aims at improving the effectiveness of the rural water

supply and sanitation services through decentralization, increased role of the Panchayati Raj

Institutions (PRIs) and local communities as a Sector-Wide Approach (SWAp). It is

facilitated by the Department of Drinking Water, Government of Uttarakhand (GoUK), and

executed by three agencies—Uttarakhand Peyjal Nigam (UJN), Uttarakhand Jal Sansthan

(UJS), and the Project Management Unit (PMU or Swajal). The PMU is supported by the

District Project Management Units (DPMUs) at the district level while UJN and UJS are also

supported by their district level offices. The DPMU is the district nodal agency between

different nodal stakeholders. The project is jointly funded by the International Development

Association (IDA) – World Bank, Government of India (GoI), GoUK, and the rural

beneficiaries.

The rural water supply schemes comprised of the Single Village Scheme (SVS) that were

proposed to be covered in the four batches and Multiple Village Scheme (MVS) proposed to

be covered in three batches with the first batch of both SVS and MVS starting in May 2006.

The programme, however, underwent a change post the disaster of 2013 when additional

funding was approved for a number of Drinking Water Schemes which were affected in this

process and hence an additional component (component D) added to the project.

The four major components of the project are listed as follows:

1. Component A: URWSS Sector Development to support the state's sector reform

process by establishing and enhancing its institutional capacity

2. Component B: URWSS Infrastructure Investments to improve service and

sustainable access to URWSS services

3. Component C: URWSS Programme Management Support and M&E to support

4. operational and administrative costs, and monitoring evaluation

5. Component D: To restore services of damaged schemes in the disaster-affected areas

in the state of Uttarakhand

The Energy and Resources Institute (TERI) in association with Sycom Projects Consultants

Pvt Ltd were assigned with the consultancy to conduct the ‘Impact Analysis of Uttarakhand

Rural Water Supply & Sanitation Project (URWSSP)’. The study was thus conducted with

the main objective of assessing the impact of the URWSSP in improving the effectiveness of

rural water supply and sanitation services through decentralization, the increased role of the

Panchayati Raj Institutions, and the involvement of local communities of Uttarakhand. The

specific tasks in the project included assessment of achievements of the URWSSP project

with respect to the goals and objectives identified in the Project Appraisal Document (PAD)

with specific reference to household and community level impacts and assessment of social

impacts from drinking water schemes and provision of improved sanitation at the

household and community level, looking inter alia at issues of access, health, gender,

community ownership, and participation, Estimation of benefits from drinking water

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schemes and provision of improved sanitation. An economic analysis was carried out to

assess the social costs and benefits of the drinking water and sanitation interventions over its

life cycle. The adopted methodology for the impact assessment study included:

• Secondary data collection and review: Both quantitative and qualitative information

were collected from the SWSM, UJN, UJS, and PMU, World Bank documents, Data

and information from UWSSCs and Panchayat and other available secondary data.

• Primary Assessments and Field Studies: A structured questionnaire survey of 130

schemes and 1,300 project beneficiary households was undertaken. Field Studies also

included physical surveys and informal interviews with stakeholders at the grass-

roots level.

• Stakeholder consultations and disclosure: The stakeholder consultations involved

focus group discussions (FGDs) with identified stakeholders, mainly the

implementing and facilitating agencies, support organizations, and beneficiaries.

Eight FGDs were conducted with beneficiaries across the state. A multi-stakeholder

workshop was conducted at Dehradun where representatives from SWSM, PMU, UJS,

UJN, NGOs, PRIs, and UWSSC members were invited to provide their feedback and

suggestions on the draft Impact Assessment study.

Impact of the URWSSP project

The impact of URWSSP has been studied here at the macro level and further detailed at the

household level. An economic analysis was also carried out as a part of the study to value

some of the benefits that have been identified so as to enable a comparative assessment of

the economic benefits and costs of the intervention economically.

The study results have confirmed the following positive impact of the URWSSPs through

improvement in water supply services, improved sanitation, the adoption of SWAp,

capacity building and education programmes detailed as follows:

Impact of Water Supply Services

• Considerable RWSS Infrastructure constructed under the scheme to improve the

effectiveness of rural water supply.

• Around 8,550 habitations covered under the URWSSP reaching out to 1.57 million

rural population.

• Around 3,800 Gram Panchayats (GPs) covered under the SWAp programme that has

empowered and ensured active participation in local governance in water supply.

• Has the peculiarity of being environment friendly as 95 per cent schemes (3,613) are

gravity based schemes and only 4 per cent (152) are pumping schemes while 1 per

cent (52) are of mixed technology. The advantages from the gravity-based schemes are

known as green schemes that are environment-friendly as they require no or very less

energy for operation, which has a direct impact on carbon emissions.

• The O&M expenses of these schemes are minimal.


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• The project improved the quality and sustainability of water source in the rural areas

through catchment protection programmes.

Impact of Improved Sanitation

• Total of 8.53 lakh units of toilets constructed under the project

• Improvement in use of toilets with 8,550 habitations having improved access to water

for use in toilets.

• Considerable impact on education with toilets constructed in schools and anganwadis

(3,137 toilets constructed in schools and 371 toilets for anganwadis).

• Time saving and reduced drudgery of rural communities due to improved access to

toilets.

• Reduction of open defecation and improved hygiene in many villages through

integration of IEC programmes for behavioural change and use of toilets.

• Around 689 GPs achieved Open Defecation Free status.

• Improvement in the status of health and hygiene.

• An overall improvement in health and productivity.

• Reduction in faecal contamination of water.

• Uttarakhand ranks seventh in all India states in terms of sanitation with 72 per cent

• Households having Individual Household Latrines.

Impact of the SWAp under the URWSSP

• Empowerment of grassroots level organizations. The Project has helped in

strengthening the position of GPs in the decision-making process and also improved

their capacity for procurement and financial management of all projects at the village

level.

• Empowerment of women with a general improvement in quality of life.

• Strengthened the role of GPs and local communities as well

• High level of participation of communities and beneficiaries

• Sense of ownership in the project and improvement in water use efficiency

• Decentralization has avoided delay in funds and decision making, eliminating the

layers of bureaucracy,

• Simpler and easier procedures of complaint addressal, bills payment, and correction

and obtaining sanctions for new water connections.

• Cost for deploying staff at the government level has also reduced.

• Savings in institutional capital and O&M costs observed.

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• Recognition of Uttarakhand as the first state in India to implement the decentralized

approach in Water and Sanitation Sector.

• The project has twice received the Uttarakhand Information Commission’s Right to

Information (RTI) award for transparency and good governance.

• A good case for promotion of Decentralisation SWAp.

Impact of the Capacity Building and Education Programmes under

URWSSP

• Significant achievements in terms of number of programme (7,956) and total persons

trained (205,652).

• Enhanced capacity of communities has led to improved local governance at the

panchayat level with 6,868 training programmes, conducted at the grass-roots level

reaching out to 205,652 persons.

• Developed a large pool of resource persons spread across GPs, NGOs, and

communities, thus, building human resources at state, district, and GP levels

• Substantive HRD activities have been undertaken at the scheme and block levels in

line with the decentralized approach.

• Significant benefits due to IEC and TV commercials.

• Improved awareness about various communicable diseases and their prevention,

good waste disposal and management practices, water conservation and harvesting

technologies.

• Awareness about government schemes and new programmes.

• Use of effective medium of communication through newspapers, electronic media

such as spots and jingles, Docudrama Series, etc., have had a larger impact.

• Improvement in transparency and accountability through SIS/M&E system.

Household Level Impact

Based on the analysis of the primary studies that were undertaken mainly through scheme

level and household surveys, Focus Group Discussions (FGDs) and stakeholder

consultations, the following impacts have been observed at the household level:

Water Supply Services

• Improved access to water for households from 15 per cent to 98 per cent.

• Improvement in availability of water from 45 per cent to 93 per cent.

• Time saved in fetching water with 50 per cent households having individual household

connections and 48 per cent dependent on stand posts within 200 mts.

• Improvement in sufficiency for meeting basic domestic water needs increased from 34

per cent to 93 per cent.

• Improved water supply for 24 hours—increased from 21 per cent to 67 per cent


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• Improvement in water quality in terms of cleanliness, colour, and taste.

Improved Sanitation

• Increase in the percentage of Individual Household Latrine (IHHL) Application from

17 per cent to 80 per cent in the surveyed villages.

• Use of toilets by all members of the household increased from 16 per cent to 83 per cent

• Improvement in water available for use in toilets from 23 per cent to 71 per cent.

• Around 66 per cent people have reported time saved with IHHL to be around 1 hour

• Improvement in local environment of the villages with reduction in open defecation

and improvement of waste.

• Reduction in occurrence of diseases and improvement in health.

• Soak pits created for safe disposal of waste water.

Capacity building

• Nearly 85 per cent of the surveyed households report to have received training and

awareness programmes related to sanitation, water quality, operation and maintenance

of scheme, waste management, catchment area protection, and natural resources

conservation.

• Adequate representation of the grass-roots level organization and beneficiaries in the

programmes

• Equity in terms of representation of members from economically backward sections/

members belonging to BPL households, and gender (30–50 per cent participation of

women) participation in trainings.

• Around 66 per cent of the households have also reported that the project has led to

creation of employment in the village. The average number of persons employed for

these 130 schemes was reported to be 2 persons.

Education

• Positive impact of sanitation on education due to the implementation of improved

sanitation in schools and in the region as a whole.

• Increased enrolment of students with significant improvement in gender parity.

• Improvement in retention of girl students after implementation of school toilets.

• Improvement in attendance.

Institutional

• Improved participation of the PRIs and UWSSC

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• Impressive participation (78 per cent) of households in the project.

• All the 130 schemes surveyed had community contribution in terms of labour and cash.

• PRIs have also played a key role in initiation of the project.

• Change in traditional patriarchal system of decision making with improved

participation of women in planning and implementation.

• O&M activities are undertaken regularly by the UWSSC and active involvement in

addressing local issues such as repair and maintenance of the rural drinking water

facilities.

• Seventy per cent of the surveyed schemes collect tariff regularly (majority of the

schemes collecting the same on a monthly basis).

• 80Eighty per cent of surveyed households pay the tariff regularly (average of Rs.

35/month).

• Sixty-eight per cent of the schemes maintain records and also man their accounts

regularly.

• 66Sixty-six per cent of these schemes have been reported to conduct regular meetings.

• Livelihood and income

• Time saved by the household due to improved water supply and sanitation is nearly

two hours per day

• Income diversification opportunities due to time saved for fetching (50 per cent of the

• households)

• 63Sixty-three per cent of women have taken up some enterprising activity like knitting,

petty business, etc., and more time for agricultural activities, kitchen gardening, and

cattle-rearing

• Generation of employment from URWSSP

Gender

• Women benefit from time saved in fetching water, reduced drudgery, and increased

time for leisure and socializing.

• Empowerment of women with their inclusion in water supply decision making.

• 80%Eighty per cent of the surveyed villages have two to four women members in

UWSSC.

• Active participation of women in decision making and in some cases O&M of the

scheme. On an average, 30 per cent women members in UWSSC of the surveyed

villages.

• Enhanced capacity of women with capacity building programmes to women and

training provided by UWSSC to carry out the maintenance work and account keeping

(plumbing and collection of user charges).


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• Evidence of good leadership by women—women-headed committees are active in

taking decisions regarding identifying water points, tariff fixation, utilization of funds,

accounts management, and community contributions.

Health and Well-being

• Considerable reduction in water-borne diseases like jaundice and diarrhoea,

particularly among children. The instance of no records of water-borne diseases

increased from 38 per cent to 96 per cent post initiation of the project.

• Availability of IHL has led to an improvement in the sense of security and dignity.

• IHHLs have improved security with 63 per cent of the respondents (mainly women

and children) indicated improvement in security and reduction in fear of snake bites

and animal attacks.

• Raised the importance of total sanitation and improved health and hygiene. More than

49 per cent of the households safely disposed solid waste at home and surroundings by

collection and heaping at marked location and disposal of liquid waste in soak pits.

The economic analysis conducted under the study has valued the time saved due to

improved access to water and availability of toilets, reduction in water-borne diseases, and

savings in capital cost, due to cost-effectiveness of schemes and estimated the discounted

value of costs and benefits of the project over the lifetime. The analysis suggests strong

economic viability for the following reasons:

• The project yields an overall BCR of 3.65, with a high IRR of close to 57 per cent

(despite a limited set of benefits being considered for analysis).

• The cumulative NPV of the project turns positive in the seventh year, indicating that

the project more than recovers investment early enough during its implementation.

• The majority of the benefits—close to 60 per cent—are accounted for by the time people

save in collecting water and by avoiding open defecation

• Another source of gain is the savings in cost due to higher cost-effectiveness of these

schemes, followed by incremental access to water.

• The health benefits accrued on account of an estimated 586 DALYS avoided each year

due to this project (these are conservative estimates since the costs of mortality due to

water-borne diseases and avoided cost of treatment are not included in the health

benefits).

• The sensitivity analysis reveals that the project can absorb a substantial decrease of

about 73 per cent yet yield a positive NPV and sustain an increase in O&M costs of

over 900 per cent.

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1 Introduction

1.1 Introduction

Water management and availability has a far-reaching impact on the human world.

Despite impressive improvements in many countries, issues related to and

concerning water have been overwhelming. And thus, access to clean drinking water

and adequate sanitation facilities have been recognized as one of the key factors for

economic and social development across the globe. The Millennium Declaration

signed by the member states of the United Nations, later gave rise to the Millennium

Development Goals (MDGs) with specific goals and targets towards poverty

reduction and human development. The MDG Goal 7 aimed at ensuring

environmental sustainability, also included a target to reduce the proportion of the

population without access to safe drinking water and basic sanitation to 50 per cent

by the year 2015.

India has always been committed towards providing access to clean drinking water

and basic sanitation to all, especially those living in the rural villages. The first few

years after its Independence the subject concerned mainly the states. The first

National Rural Drinking Water Supply programme was launched in the year 1969,

with technical support from UNICEF, and was followed by introduction of

Accelerated Rural Water Supply Programme (ARWSP) in 1972–73 by the

Government of India, to assist states and union territories i n ob t a in in g access to

clean drinking water supply. In the year 1980, India became a party to the

International Drinking Water Supply and Sanitation Decade, and this was a catalyst

to many changes.

A national Apex Committee was formulated that defined policies towards providing

clean drinking water to all. But it was only after the Sixth Five Year Plan (1980–85)

that adequate emphasis was given to accelerate the process. In 1986, the National

Drinking Water Mission (NDWM) was launched, followed by the first National

Water Policy drafted by Ministry of Water Resources. The National Drinking Water

Mission (NDWM) was renamed as Rajiv Gandhi National Drinking Water Mission

(RGNDWM) in 1991. The 73rd and 74th Constitutional Amendments brought about

further decentralization and empowered the local governments to manage water

supply services. Assessing the need to provide safe drinking water to the rural areas,

a separate body, Department of Drinking Water Supply was formulated under the

Ministry of Rural Development, Government of India. A number of sectoral reforms

took place that resulted in a paradigm shift from the ‘Government-oriented supply-

driven approach’ to the ‘People-oriented demand driven approach’. Community

participation increased and the role of government reoriented from that of a service

provider to a facilitator.


9

In 1999, the Total Sanitation Campaign (TSC) started, as part of the reform

principles, aimed to ensure sanitation facilities in rural areas with the specific goal of

eradicating the practice of open defecation. It emphasized on information, education,

communication, capacity building and hygiene education, for effective behavior

change with the involvement of PRIs, CBOs, and NGOs. Th e Swajaldhara

programme and National Water Policy was launched in 2002, to accelerate the

process of reform. Priority was channelized towards serving villages that did not

have adequate sources of safe water and to improve the level of service for villages

classified as only partially covered. In 2005, Bharat Nirman was launched that

focused on providing drinking water within a period of five years to 55,069

uncovered habitants, and those affected by poor water quality, based on the survey

conducted in 2003. The central and state government vouched to have equal

financial contribution in the Swajaldhara programmme. Finally, in 2009, the National

Rural Drinking Water Programme was launched, which modified the earlier

Accelerated Rural Water Supply Programme (ARWSP) and subsumed earlier sub

Missions, Miscellaneous Schemes, and mainstreaming Swajaldhara principles for

better penetration of water supply and sanitation to uncovered areas. The

Department of Drinking Water Supply was renamed as Department of Drinking

Water and Sanitation in 2010 and later, as a separate body called as the Ministry of

Drinking Water and Sanitation in 2011.

1.2 Background

The World Bank has been instrumental in providing financial assistance, technical

support, as well as knowledge to India. The Government of India has had a

progressive partnership with the World Bank since the mid-nineties. Since this take,

there has been considerable expansion of water and sanitation services,

implementation of innovative strategies towards the provision and improvement of

rural water supply and sanitation. The principles of ‘Demand Responsive

Approaches’ was replaced by ‘Community Driven Development’, which brought

about a remarkable change. Uttar Pradesh (then inclusive of present state of

Uttarakhand), was one of the first states to implement the World Bank-assisted Rural

Water Supply and Sanitation project (popularly known as Swajal or pure water)

(1996–2003) and received wide acknowledgement at both national and international

levels as a best practice example in implementing a demand responsive approach.

Uttarakhand received its state status in 2000 and continued the Swajal project, which

was completed in 2003. The Swajal project received high recognition not only within

the country but at a global scale, internationally. The project became popular for its

active participatory approaches. It redefined the role of the government from

supplier–provider to that of a facilitator, focussing more on policymaking,

regulation, training, and monitoring, in a wide spectrum of development, including

that of water supply and sanitation. The community-based institutions and local

government were more empowered and had a more effective role in decision

making at the local level.

10


Realizing the success of the Swajal project (1996–2003), the Government of

Uttarakhand (GoUK) decided to scale up the activities of the pilot phase with the

support of the World Bank. The next phase of Uttarakhand Rural Water Supply &

Sanitation Project was planned based on Sector-Wide Approach (SWAp) and the

Bottom-up Approach, covering the rural areas of all 13 districts of Uttarakhand. The

project aimed to improve the effectiveness of rural water supply and sanitation

(RWSS) services through decentralization and the increased role of the Panchayati

Raj Institutions and the involvement of local communities in the state of

Uttarakhand. It is facilitated by the Department of Drinking Water, GoUK, and

executed by three agencies—Uttarakhand Peyjal Nigam (UJN), Uttarakhand Jal

Sansthan (UJS), and the Project Management Unit (PMU or Swajal). The project was

initially planned for six years (November 2006–June 2012), and later got its first

extension till June 2014, and second extension till December 2015.

In order to ensure effective implementation, the World Bank has conducted periodic

review of the project by external agencies. The Mid Term Review of the project was

done by Wilbur Smith Associates. To measure the impact of the project and plan, an exit for

the UWRSSP, the Uttarakhand State Water and Sanitation Mission(SWSM) has appointed

The Energy and Resources Institute (TERI) in association with Sycom Projects Consultants

Pvt. Ltd, as consultants for conducting the ‘Impact Analysis of Uttarakhand Rural Water

Supply & Sanitation Project (URWSSP)’. The contract was signed between the SWSM

and the Consortium on June 2, 2015. This evaluation study is thus an important and

well-timed intervention to assess the major impacts of the project and re-engineer its

approach for better implementation of the UWRSSP next phase planned to be

implemented from 2016.

1.3 Objectives

The study was carried out with the aim to assess the overall impact of the

Uttarakhand Rural Water Supply and Sanitation Project and its contribution towards

improving the effectiveness of rural water supply and sanitation services through

decentralization, the increased role of the Panchayati Raj Institutions, and the

involvement of local communities of Uttarakhand.

The assignment entails an in-depth analysis of the project by taking into

consideration the Project Appraisal Document (PAD), baseline and Mid Term Report

(MTR) along with the outputs and outcomes of the project.

The specific tasks of the project were:

i. Achievements of the URWSSP project with respect to the goals and objectives

identified in the PAD with specific reference to household and community-

level impacts.

ii. Assessment of social impacts from drinking water schemes and provision of

improved sanitation at the household and community level, looking inter alia

at issues of access, health, gender, community ownership and participation,


11

estimation of benefits from drinking water schemes, and provision of

improved sanitation.

iii. Assessment of the role of Panchayati Raj institutions and involvement of local

communities.

iv. Economic analysis to assess the social costs and benefits of the drinking water

and sanitation interventions over its life cycle.

1.4 Scope of work and methodology

1.4.1 Scope

The impact assessment of the URWSSP scheme was mainly carried out through

review of documents, technical assessments, and field studies. The primary studies

included surveys comprising of a set of structured questionnaires at two levels—

Household level and Scheme level. Aroun d 130 representative schemes were

selected and 10 households, under each of these schemes, were surveyed to assess

the impact at the household level. In addition to the questionnaire survey, Focus

Group Discussions (FGDs) and Key Person Interviews (KPI) were carried out. Since

the main impact of the project has been at the household level, the impact

assessment has focused on the following parameters as presented in Table 1.1.

The key verifiable indicators that have been used to assess the impact of the

URWSSP at the household level are also provided against each of the parameters;

Table 1:1 Key Indicators used for impact assessment

Parameter Indicators Tools

Water

Supply

Change in access to improved water supply

pre and post scheme implementation-

source and population covered

SIS data analysis

Water Consumption per household per day

pre and post scheme implementation

(please note the focus shd be only on

domestic water use only)

Household Questionnaire Question

(HHQ). No.3.4

Frequency of water supply Scheme level data and HQ. No. 3.3

Sufficiency of water for household needs HHQ No.3.2

Coverage Analysis of data from ICR (no. of

households given connections at the

commissioning of the scheme, and

present, if data not available then physical

verification

Number of households having access to

improved quality of water after

implementation of scheme

HHQ No.4.1

Improved Change in access to improved sanitation pre SIS data analysis

12



Sanitation

and post scheme implementation

Use of improved sanitation facility HHQ. Q. No. 7.2

Availability of water in toilets HHQ. No. 7.4

Livelihood &

Income

Additional livelihood activities started due

to time saved

Case study

Employment opportunities in scheme itself

Increase in income

Health and

wellbeing

Reduction in drudgery HHQ. No. 5.5 Validated with FGDs

Reduction in disease count HHQ. Q. No. 7.6

Medical expenditure pre and post project

implementation

HHQ. Q. No. 7.8

Time saved in fetching water FGDs

Time saved due to improved sanitation

facility at home

FGDs

Improvement in security due to availability

of toilets

HH Q. No. 7.5

Satisfaction on water supply and sanitation

schemes

HHQ. Q. No. 8.1

Education

Improvement in school enrolment Case studies

Increase in time available for studies

Behaviour

(households)

Behaviour change in terms of payment of

tariff for water

HH Q. No. and FGDs 3.5

Behaviour change among households in use

of improved sanitation

HH Q. No. 7.2 And FGDs

Behaviour change among households in

hygiene (hand washing, handling drinking

water)

SIS data (HHQ and FGDs)

Behaviour change in terms of improved

handling of solid and liquid waste

HH Q. No.7.9 B, C And FGDs

Gender

Participation in project activities Scheme level Questionnaire, FGDs, KPIs

Capacity enhancement of women

Time saved and increase in time available

for leisure and other activities

HH Q No 6.3, and FGDs

Improvement in health and hygiene HHQ. Q No., and FGDs

Health and wellbeing SIS data analysis and FGDs

Improvement in Drainage system

Human

Resources

Trained skilled workers (masons etc) FGDs and KPIs

Men/ women trained SIS data

Total person days trained SIS data

Leadership FGDs and KPIs

Institution Participation of PRIs and UWSSC Scheme level Questionnaires, FGDs

Enhancement of Capacity of local

Institutions

Data on No. Of PRI members trained from

Key person interviews

Increase in Awareness KPIs and FGDs

Involvement (in addressing local problems )

Participation

/Ownership

Participation in planning and

implementation

FGDs and KPIs

Contribution (financial & time) IPCR


13


Involvement in O&M HHQ and Scheme Level Questionnaire

Local

Environment

Improvement in solid waste management in

the local environment

HHQ 7.9C, FGDs

Reduction in open defecation sites FGDs

Improvement in Drainage system

1.4.2 Methodology

The following section provides a broad overview of the techniques and methods used

for the study. As illustrated below, the methodology for the Impact Assessment Study

consisted mainly of review of secondary information and primary assessments as

detailed in the figure below.

Informal Interviews and FGDs

Plan & Design

Secondary data analysis

Primary stake holder consultation

Reconnaissance Surveys

Finalisation of Tools

Primary Assessment & Field Study

Review of Documents

Primary Survey

Stakeholder Workshop

Data Collection & Stakeholder

Data Analysis

Physical Progress & Achievements

Socio-Economic Assessment

Analysis of Institutional Effectiveness including Financial Aspects

Impact Assessment

Assessment of Environment & Sanitation Aspects

Summarising & Reporting

Synthesis of Findings

Internal Feedback & Consultations

Presentation of Draft Report

Final Report

14


1.4.2.1 Study Plan and Design

Secondary data collection and Analysis: Both quantitative and qualitative secondary

data and relevant documents from SWSM and other facilitating & implementing

agencies were collected and reviewed.

Primary Stakeholder consultations: Stakeholder consultations were undertaken with

SWSM officials, Facilitating organizations namely PMU, UJS & UJN, PRIs, and

UWSSC members of the 12 sample schemes where the initial reconnaissance survey

was conducted by the study team.

Reconnaissance survey: Draft questionnaires were developed and pretested through

a pilot survey of 12 schemes after the initiation of this impact assessment study. The

reconnaissance surveys also contributed to finalization of the methodology in close

consultation with the SWSM officials. The reconnaissance surveys included

interaction with GPs and stakeholder consultations during the field visits, to the

schemes, by the study team. The findings from the reconnaissance surveys

contributed towards the finalization of the methodology. An inception report

containing the methodology and the work plan was prepared and presented to the

SWSM and the World Bank team.

1.4.2.2 The primary assessments and field studies

The main activities under the primary assessments included structured

questionnaire surveys’ at two levels – Household level and Scheme level. A total of

130 completed schemes across 12 districts were covered where scheme level

questionnaires were administered to the implementing agencies – Gram Sabha and

Users Water Sanitation Sub Committee (UWSSC). Important aspects covered at the

scheme level schedule were coverage of the project, water distribution and quality,

demand and supply, income and expenditure and planning and decision making,

institutional arrangements, capacity building, equity issues, and gender-related

issues (See Annexure 1.1. for the Survey Questionnaires). The household survey

questionnaires have captured quantitative information on various aspects related to

water quality, usage, adequacy, and productive gains from improved water

availability, reduction in drudgery, savings in time spent in water collection for

women and girls, sanitation practices, improved health and personal hygiene,

participation in project activities and user groups, and information dissemination as

well as beneficiary satisfaction. A single sample, pre–post study design was adopted

for the surveys. The list of 130 schemes surveyed is summarized in table 1.2 and

detailed in Annexure 1.3.


15

Table 1:2 List of surveyed villages

SN District Blocks

Selected Sample Selected

PMU UJN UJS Total

Kumaon Region

1 Almora Dhauladevi

Bhaisiyachana

5 4 9

2 Bageshwar Bageshwar

Garur

9 7 3 19

3 Champawat Champawat

Lohaghat

7 7

4 Nainital Okhalkanda

Ramgarh

Dhari

1 8 7 16

5 Pithoragarh Bering

Munakot

Pithogarh

Didihat

Gangolihat

Munsyari

5 5 6 16

6 U S Nagar Jaspur

Kashipur

2 2

Gharwal Region

7 Chamoli Karanprayag 3 3

8 Dehradun Doiwala

VikasNagar,

Raipur

Kalsi

8 11 7 26

9 Pauri Gharwal Duggada

Kot

1 2 3

10 Rudra Prayag Agustmuni

Ukhimath

2 4 2 8

11 Tehri Garhwal Chamba

Thauldhar

1 4 3 8

12 Uttarkashi Bhatwari

Dunda

6 4 3 13

Total 50 45 35 130

The primary assessments also included FGDs that were used to elicit qualitative data

to supplement the information captured through the survey questionnaires. In

addition, information obtained through FGDs were used i) For triangulation - to

cross check the data collected from the primary survey, ii) to capture qualitative

changes to assess impact of the interventions of URWSSP, and iii) develop case

studies . FGDs were conducted in 8 selected schemes and were used for assessing

the impact related to households in terms of social, economic, health, and gender-

specific impacts.

16


1.4.2.3 Data analysis

After the completion of the surveys, the data entry and data cleaning was done by

the project support team. Data generated through primary and secondary means

were analysed to measure the changes and establish links between key variables.

Basic descriptive analysis was performed in Microsoft Excel (Microsoft Office, 2013

Edition). All statistical tests were performed using SPSS. Frequency distributions for

the data was carried out for all demographic and outcome variables. For qualitative

data, transcripts were prepared and graphical representation in excel were used for

analysis.

1.4.2.4 Summarizing and Reporting

The report was prepared synthesizing the impacts of the Uttarakhand Rural Water

Supply Project at the macro level and detailed impacts at the household level that

have been further quantified. A multi-stakeholder consultation was organized to

disseminate and discuss the results of the Impact Assessment Study of URWSSP on

December 19, 2015, at State Water and Sanitation Mission Office, Dehradun. The

feedbacks from stakeholders participating in the workshop have been incorporated

in this study. The detailed report on the workshop is provided in Annexure 1.4.

An economic analysis was carried out to comparatively assess the social costs and

benefits of the drinking water and sanitation intervention over its life cycle. The

project has benefitted the population in the intervention areas in several ways. The

quantifiable benefits, namely, i) Time saved due to improved access to water and

availability of household toilets; ii) Increased access to water; iii) Reduction in water-

borne diseases; and 4) Savings in capital cost due to cost-effectiveness of schemes

were estimating and the discounted value of costs and benefits over the life of the

project were calculated for arriving at the projects Net Present Value and Benefits

Cost Ratio.

1.4.3 Subjects and Variables

The target population of this study were beneficiary population (households),

stakeh olders including SPMU, DPMU,UJN, UJS, PMU, GP, UWSSC, PRIs, Support

Organizations and SE, etc. The sampling methodology used included a mix of

random and convenience sampling method. The population of the project was

categorized into two clusters based on the type of intervention, viz, single village

scheme, and multiple village schemes. The study was designed in such a manner

that it captured a fair representation of each segment of target population from all the

13 districts of Uttarakhand. In addition to the target population, views and opinions

of key stakeholders, viz., communities, CSOs, policy makers, government officials,

etc., were also taken during the study.


17

The survey included a brief section on demographic information (sex, age) before

addressing five main sections related to physical activity prescription.

• Access to increased quantity of water

• Source of water

• Reduction in drudgery

• Productive gain

• Sanitation and health

• Overall satisfaction level

1.4.4 Structure of Report

This report highlights the key results from the Impact Assessment study and in the

subsequent chapters as given:

i. Chapter 2. Impact of Uttarakhand Rural Water Supply and Sanitation Project

ii. Chapter 3. Household Level Impacts

iii. Chapter 4. Economic Analysis

iv. Chapter 5. Summary and Conclusion

18

2 Impact of the URWSSP c

This chapter presents the overall impact (at the State and District level) of the URWSSP

project, based on secondary reviews, direct observation, and interactions. The impact

assessment study involved reviewing of relevant documents and secondary data from

various sources including the project website (SwajalSIS) to assess the major impact of

the programme at a macro level (as per ToR). The overall impacts have been synthesized

based on the indicators in the Results Framework provided in the PAD.

Table 2:1 Outcome Indicators as per PAD Covered by the Desk Research

Types of secondary Information Results

Indicator 1: Institutional

effectiveness evident in each

sector:

• Behaviour change among

stakeholders

• Timely completion of the

program (as per plan)

• Service provision is cost

effective and sustainable

Review of PAD, MTR,

Implementation Phase

Completion Report, Annual and

Monthly progress Report, DPR

and Feasibility Report, Village

profile

SwajalSIS Websites

Success Stories

Aide Memoire

� Community participation in

WWSSC & PRIs, Adequate

maintenance of water related

infrastructure by PRIs- 78 %

(scheme surveys)

� Completion of the schemes in

conformity with the modified

implementation schedule

� O&M costs covered by user

charges in most schemes

Indicator 2: Increase in the

number of people having access

to improved water supply

delivery

Review of Annual and Monthly

Progress report of Swajal,

Review of SIS Website,


Completion Reports, Scheme

profiles

� 100% target achieved in terms of

habitations. Number of targeted

beneficiaries exceeded.

�

Indicator 3: High satisfaction

level in participating communities

Swajal SIS Website

Community Contracting

document

Social assessment Report

Case Studies, Success Stories

Aide Memoire

� 85% households satisfied with

the implementation of the

schemes

Indicator 4: Increase in the

number of households adopting

improved hygiene and sanitation

practices in the state

SIS Website


Progress reports

� No. of households using safe

hygiene and sanitation practices

increased by 22% (HHS)

� Sustainable toilet coverage from

21% baseline to 96.2% at present

19



Indicator 5: Improved financial

performance of the water supply

schemes: (a) SVS-100% for O&M;

(b) MVS – in accordance with

GoUA’s cost-sharing policy for

RWSS sector

Review of PAD, MTR, Financial

Management Framework


Completion Report, Annual and

Monthly Progress Report, DPR

Aide Memoire

SwajalSIS

� The overall Financial

Management System for the

project is working well and the

FMRs and Audit reports are

being submitted on time.

However better monitoring at

GP level required

� SVS: O&M of SVS fully

devolved to Gram Panchayats,

with 80% cost recovery.

� MVS: O&M of MVS as per

UJS/GoUK cost sharing policy.

Component One

Indicator 1: The envisaged

decentralized institutional

framework (for UJN, UJS, SWSM,

DWSM and PRIs) is achieved and

operational

Review of PAD, Operation

Manual, Annual and Monthly

Progress Report

� The broad objective of the SWAp

achieved and role of PRIs/GPs

strengthened through

decentralized decision making

Indicator 2: SWSM and DWSM

are established and their cells are

fully staffed and functional

Review of PAD, Operation

Manual, Annual and Monthly

Progress Report

� SWSM and DWSM are

established and fully functional

albeit understaffed

Indicator 3: Sector Information

system, water quality monitoring

program, and source

measurement programs are

implemented.

Review of SwajalSIS website


Progress Reports,


Completion Reports

Review of Environmental

Management Framework, M&E

manual

� SIS website is functional, water

quality monitoring being done

through Asha workers,

rationalization of number of

water quality tests and testing

kits required

Indicator 4: SWAp principles

demonstrated to work

successfully and could be

replicated as a tested approach to

RWSS service delivery in India

Review of PAD MTR,


Completion report, Scheme

Profile

� Uttarakhand has now become

the first state in India to

implement the decentralized

approach in Water and

Sanitation Sector which can be

duplicated in other states as

well.

� The SVSs constructed under the

SWAp program provide good

models for replication.

� The project has successfully

completed more than 3600 water

supply schemes .

20



Component Two

Indicator 1: Number of SVSs

constructed and operating

according to SWAp principles

Review of Technical Manual,

Annual and Monthly Progress

Report, MTR, Joint Inspection

Report, DPR

Swajal SIS Website

� Total 3781 out of 3830 SVS has

been completed achieving 99%

of their respective targets

Indicator 2: Number of MVS

schemes constructed and

operating according to SWAp

principles

Review of Technical Manual,

Annual and Monthly Progress

Report, MTR, Implementation

Phase Completion Report, DPR

Swajal SIS Website

� 36 out of 39 MVS as been

completed achieving 92% of

their respective targets

Indicator 3: Percentage of

habitations under: (a) Fully

covered (FC) category

(b) Partially covered (PC)

category

(c) Not Covered (NC) category

Swajal SIS Website

Annual Progress report,

Monthly Progress Report, Aide

Memoire

(a)Fully Covered : 70%

(b)Partially covered:

(c)Not covered:

Indicator 4: Percentage of GPs

and habitations that are declared

open-defecation free.

Review of MTR, Annual and

Monthly Progress Report, Aide

Memoire

Swajalsis Website

� 7 % GPs declared open defecation

free (Total of 512 GPs declared

open defection free as against a

target of 492 GPs Source: MIS

data, MoDWS)

Component Three: Indicator 1:

Comprehensive M&E system is

established and functional for the

sector

Review of M&E manual, PAD

Implementation Completion

Report, MTR

Swajalsis Website

� Data from PMU available online,

from other two SIA need to be

completed, Two rounds of

concurrent monitoring

undertaken

Indicator 2: Expenditures

of supply driven schemes

as a percentage of total sector

expenditures.

Implementation Completion

Report, MTR, Budget Statement,

� Declining trend

21


According to the World Bank the use of impact evaluation (IE) to assess

causal effects of development interventions and complement other

evaluation approaches. IE has grown more popular as a method for

identifying the causal links between interventions and outcomes.

The Independent Evaluation Group (IEG) of the World Bank has laid out

criteria for public sector evaluations (http://ieg.worldbank.org) which

evaluates the projects on five criteria – Relevance; Efficacy; Efficiency;

Impact and Sustainability.

• Relevance: The project objectives are consistent with the Country’s

current development priorities. Rating: Highly relevant.

• Efficacy: Is the extent to which the project objectives achieved/are likely

to be achieved. Rating: Highly effective since all the elements of the

objectives are achieved.

• Efficiency: Signifies that the project uses the least costly resources

possible in order to achieve the desired results. Rating: 96% gravity

based schemes.

• Impact: The positive and negative changes produced by the project

interventions. The project has improved the quality of life of rural

people, time saving in fetching water, 1.45 million population

benefitted against 1.2 million target.

• Sustainability: Is concerned with the measuring whether the benefits

of the project are likely to continue after project funding has been

withdrawn.

• Outcome of the project: Satisfactory.

2.1 SWAp Concept, Programme, and Impact

The primary objective of the Sector Wide Approach (SWAp) program is to strengthen the

state’s sector reform process by establishing and enhancing its institutional capacity

through decentralization,

increased role of PRIs and

involvement of local

communities. Thus the SWAp,

authorised the rural

communities by empowering

the local government at the

panchayat levels in planning,

designing, constructing as well

as operation and maintenance

of their water supply and

sanitation schemes. All funds

including the World Bank credit

will be under the same policy

framework and operational

rules for implementation

arrangements, project cycle,

procurement and disbursement,

irrespective of the facilitating

agency.

The Swajal project (1996-2002)

was the first major rural water supply project based on demand driven and community

participation principles. The Government of Uttarakhand aimed to scale up the Swajal

model, which has taken shape as a Sector Wide approach in the rural water and sanitation

sector. The Sector Program has four major components listed below:

Component A: URWSS Sector Development (US$ 5 million): It aims to support the state's

sector reform process by establishing and enhancing its institutional capacity to implement,

manage, and sustain the state's medium-term sector development program through the

following sub components:

• Capacity-building and strengthening programs;

• Information, education, and communication;

• Sector information system, water quality, and water source discharge monitoring

programs;

• Modernization of public procurement and procurement reforms; and

22


• Sector studies.

Component B: URWSS Infrastructure Investments (US$ 197 million): It aims to improve

service and sustainable access to URWSS services by financing the following investments:

• New investments in water supply schemes and catchment-area protection works;

• Community mobilization and development activities; and

• Sanitation programs.

Component C: URWSS Program Management Support and M&E (US$ 22 million): It aims

to support:

• Operational and administrative costs associated with the implementation of the

sector-wide approach basket of the state's medium-term sector program; and

• Monitoring and evaluation.

Additional Component D on RWSS Disaster Mitigation Activities: The objective is to

improve the effectiveness of rural water supply and sanitation (RWSS) services through

decentralization and restore scheme services in disaster-affected areas in Uttarakhand.

This component comprises of the following three components:

• Component D1: RWSS Sector Development (US$ 0.50 million).

• Component D2: Reconstruction and Restoration (US $18.79 million).

• Component D3: RWSS Programme Management Support and M&E (US $ 4.71

million). The programme decentralized the decision-making process at all stages including

planning, procurement, construction and management to panchayats and communities, in

all 13 districts, of the state, with the roles and responsibilities of all stakeholders in the

programme being clearly defined in the PAD and Operation Manual.

As a part of the project several manuals were prepared such as:

• Technical Manual

• Financial Management Manual

• Procurement Manual

• Environment Manual

• M&E Manual

• Operation Manual

Besides these manuals, the following other documents have also been prepared for

practical guidance on various issues:

• Social Assessment Report

23


• Capacity Building Plan

• Communication Strategy

• Sanitation and Hygiene Promotion Strategy

• Catchment Area Treatment Plan

Chief features of ‘SWAp’ are:

i. Single policy for the Rural Water Sector

ii. Pooling of resources from multiple sources and utilizing it under uniform policy

framework.

iii. Uniform operational rules for project planning, design, implementation, O&M,

M&E, procurement and disbursement, including simple, fast, and flexible

implementation procedures for procurement and disbursement of funds.

iv. Community Participation and Demand-Driven Approaches.

v. PRI-centric and capacity building of PRIs.

vi. Bringing sectorial players under the SWAp umbrella.

vii. Considering water as a social and economic good and providing for minimum

essential payment for services by the users/ consumers.

viii. New institutional arrangements at the state, district, and local levels in the water

sector to facilitate the implementation of SWAp.

ix. Integrating water supply, catchment protection, environmental sanitation, and

behaviour change of the stakeholders.

x. Offering a menu of technology options and framing policies for SVS and MVS,

separately.

xi. Preparation of annual plans at the district and state levels.

The broad impacts of the SWAp under the URWSSP are as follows:

• Recognition of the state as the first in India to implement the decentralized approach

in Water and Sanitation Sector.

• Improved access to water supply in the rural areas of the hilly state.

• The state of Uttarakhand ranks seven among all India states in terms of sanitation

where 72 per cent households have Individual Household Latrines.

• The project has twice received the Uttarakhand Information Commission’s Right to

Information (RTI) award for transparency and good governance.

24


• Empowerment of grassroots level organizations. The Project has helped in

strengthening the position of Gram Panchayat in the decision-making process and also

improved their capacity for procurement and financial management of all projects at

the village level.

• A good case for promotion of decentralisation SWAp.

• Beneficial to the village community, especially women, by improving their quality of

life, in terms of reduced drudgery, time saved due to improved access to water and

sanitation, positive health impacts and economic/additional livelihood opportunities.

2.2 Water Supply Services—State Level

The following technological options in project have been considered for abstraction of

water and supplying the same to the communities.

1. Gravity Spring (GS)

2. Gravity Gadhera (GG)

3. Pumping Tubewell (PTW) with/without Over Head Tanks (OHT)

4. Hand Pumps (HP)

25


Based on the benefits to the community in the form of better quality of life by providing

water facilities at their door steps, reducing their drudgery and thereby improving overall

sanitation status in the community, the schemes have been categorized into two:

• SVS (Single Village Scheme) and;

• MVS (Multiple Villages Scheme).

According to the Operation Manual the SVS were proposed to be covered in the four

batches with the batch-1 starting in May, 2006 while the MVS were proposed to be covered

in three batches with the batch-1 starting in May, 2006.

Success Story - Fatehpur

Gram Panchayat Jeevanwala (Fatehpur) is located in Development Block at a distance of 28 km

from Dehradun. The population of Jeevanwala is 1055, comprising of 210 families. Prior to the

implementation of the scheme, the people were forced to drink the water from hand pumps,

which had harmful impact on their health. Considering the scarcity of safe drinking water, the

Gram Pradhan and other villagers took the initiative for inclusion in the scheme. The UJS

conducted a baseline survey under the Sector Program .The selected supporting organization,

Kripal Shikshan Sansthan under Sector program, then organised an open meeting along with

the villagers and Gram Panchayat. The awareness program about proposed water supply

scheme was organized by the Supportive Organization, where it was emphasized that the

community would be responsible for the operation and maintenance of the proposed scheme.

UWSSC with 7 members had been constituted under the Chairmanship of the Gram Pradhan.

After the formation of UWSSC, the selected SO organized training program about the roles and

responsibilities of the appointed members covering the following topics:

• Roles and responsibilities of the members.

• Financial Management

• Complete Sanitation Program

• Health and Hygiene

• Women Empowerment

Information about UWSSC members, Scheme Budget, User charges per households was

displayed in a form of Wall Writings. Subsequently a DPR was prepared with the help of the

SO and Engineer which has then approved by the DPMU and PMU. The Scheme was

developed in the area located close to the Panchayat Bhawan. An overhead tank with a

capacity of 50 KL was constructed and for which water was pumped from tube well with a

depth of 57 meters. Monitoring and Evaluation of the Project Implementation was done by

Executive Engineer, Assistant Engineer, Junior Engineer, SO and the Community Development

Experts. At present the 210 families under the scheme are getting 24x7 water supply

successfully. Each household is paying Rs.110 per Month up to a consumption of 10 KL and

additional Rs.10 per KL. This is the first scheme in Uttarakhand under the Swap Scheme which

has installed SCADA Systems, apart from equipment such as Auto panel Chlorine Analyses,

Executive Valve, Flow meters etc.

26


Table 2:2 Batch and Agency Wise Project Achievements up to October, 2012

Achievements Against Project Targets

Pre-planning Planning Implementation Completion

Target Achievement (No) (%) Target Achievement (No) (%) Target Achievement (No) (%) Target Achievement (No) (%)

Mar-12 Oct-12 Mar-12 Oct-12 Mar-12 Oct-12 Mar-12 Oct-12

Devolution of Existing SVS

Batch I PMU 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0

UJN 40 40 40 100 33 33 33 100 30 36 36 >100 29 36 36 >100

UJS 160 160 160 100 150 160 160 >100 140 140 140 100 140 140 140 100

Sub Total 200 200 200 100 183 193 193 >100 170 176 176 >100 169 176 176 >100

Batch II PMU 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0

UJN 239 1087 1892 >100 199 452 452 >100 181 250 250 >100 172 385 385 >100

UJS 700 1094 1094 >100 550 1051 1051 >100 500 528 528 >100 500 500 500 100

Sub Total 939 2181 2986 >100 749 1503 1503 >100 681 778 778 >100 672 885 885 >100

Batch III PMU 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0

UJN 371 170 1990 >100 371 129 129 35 371 31 66 18 371 129 137 37

UJS 960 960 960 100 960 412 412 43 960 290 302 31 960 126 297 31

Sub Total 1331 1130 2950 >100 1331 541 541 41 1331 321 368 28 1331 255 434 33

Single Village Schemes

Batch I PMU 281 281 281 100 234 234 234 100 213 213 213 100 203 203 203 100

UJN 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0

UJS 280 242 242 86.43 255 231 231 91 231 231 231 100 231 231 231 100

Sub Total 561 523 523 93.23 489 465 465 95 444 444 444 100 434 434 434 100

Batch II PMU 991 991 991 100 826 826 826 100 751 751 751 100 715 715 715 100

UJN 554 2549 2549 >100 462 1248 1248 >100 420 845 845 >100 400 443 443 >100

UJS 550 1026 1026 >100 500 1006 1006 >100 450 987 987 >100 450 377 385 86

Sub Total 2095 4566 4566 >100 1788 3080 3080 >100 1621 2583 2583 >100 1565 1535 1543 99

Batch III PMU 1460 6434 6494 >100 1460 3539 3539 >100 1460 1369 1532 >100 1460 755 1023 70

UJN 1200 663 1178 98 1200 502 652 54 1200 424 641 53 1200 299 360 30

UJS 789 440 440 56 789 391 391 50 789 163 509 65 789 70 150 19

Sub Total 3449 7537 8112 >100 3449 4432 4582 >100 3449 1956 2682 78 3449 1124 1533 44

Multi Village schemes

UJN Batch I 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0

Batch II 624 4458 4458 >100 520 354 354 68 473 241 272 58 450 77 107 24

Batch III 200 105 126 63 200 34 34 17 200 0 0 0 200 0 0 0

Total 824 4563 4584 >100 720 388 388 54 673 241 272 40 650 77 107 16

G. Total 9399 20700 23921 >100 8709 10602 10752 >100 8369 6499 7303 87 8270 4486 5112 62

PMU 2732 7706 7766 >100 2520 4599 4599 >100 2424 2333 2496 >100 2378 1673 1941 82

UJN 3228 9072 12233 >100 2985 2752 2902 97 2875 1827 2110 73 2822 1369 1468 52

UJS 3439 3922 3922 >100 3204 3251 3251 >100 3070 2339 2697 88 3070 1444 1703 55

Source: SWSM

Prior to URWSSP, 51 per cent, out of 39,967 habitations, were fully covered with drinking

water facility as per the statistics of the RGNDWM, based on a survey conducted in the

year 2003. The URWSSP was to cover 17,741 habitations, through 7,328 new water supply

schemes, as envisaged in the PAD. However, after a review by the Third Implementation

Support Mission from the World Bank (13–26 October, 2008) an assessment of the

progress achieved, and on several consultations with the Government of Uttarakhand, it

was decided to scale down the targets in water supply as detailed below:

27


Table 2:3 Revised Target Habitations

PMU UJS UJN Total

PAD Revised PAD Revised PAD Revised PAD Revised

8440 2,338 4,864 3100 572 2822 17741 8270 Source: SWSM

The project has not only achieved the target of reaching out to a total population of 1.20

million, but has exceeded as the project covers a population 1.57 million. Following the

disaster in 2013, the Additional Financing (AF) component, of the project, was included

to support the reconstruction and restoration of Rural Water Supply Schemes affected by

the disaster that struck various regions of Uttarakhand.

2.2.1 Achievement versus Target

The project has implemented 3,817 schemes in 8,550 habitations against the project target

of 8,270 habitations (schemes), thus, completing 99.5 per cent schemes till November 30,

2015. More than 80 per cent of the completed schemes have been formally exited and are

being maintained by the UWSSC. The project not only achieved its target but exceeded

both in terms of beneficiaries (130 per cent) and habitations (103 per cent) covered by

URWSSP.

Figure 2:1 Target vs. Achievement

Source: SWSM

All the facilitating Agencies, the Swajal PMU, UJS, and UJN have exceeded their targets

and projections in terms of coverage of habitation. The figure below provides details of

projects implemented until 2015 by the three facilitating agencies.

0

2000

4000

6000

8000

10000

Project PMU UJN UJS

8270

23782822 3070

8550

2485 2866 3199

Ha

bit

ati

on

s

Target vs Achievement

Target

13283

9351431

1824 14721578

706308

13

296

1231

2662

4486

5958

7536

82428550

0

1000

2000

3000

4000

5000

6000

7000

8000

9000

2007-

08

2008-

09

2009-

10

2010-

11

2011-

12

2012-

13

2013-

14

2014-

15

2015-

16

Ha

bit

ati

on

s

Achievement during year

Cumulative

28


Table 2:4 Revised Completion of Water Supply Schemes as on November 30, 2015

Particulars UJN UJS PMU TOTAL

Target Habitations 2822 3070 2378 8270

Benefited Habitations 2866 3199 2485 8550

Percentage of Covered Habitations 102% 104% 104% 103%

Project End Target (Schemes) 928 1477 1431 3836

Schemes Completed upto November 30, 15 928 1459 1430 3817

Completed/Total schemes 100% 98.8% 99.9% 99.5%

IPCRs Complete 786 1142 1428 3356

IPCR% 85% 78% 100% 88%

2.2.2 Impact

• Considerable RWSS Infrastructure constructed under the scheme to improve the

effectiveness of rural water supply.

• Around 8,550 habitations covered under the URWSSP reaching out to 1.57 million rural

population.

• Around 3,800 GPs covered under the SWAp programme that has empowered and

ensured active participation of the local governance in water supply.

• Has the peculiarity of being environment friendly as 95 per cent (3,613 schemes) are

gravity-based schemes and only 4 per cent (152 schemes) are pumping schemes while 1

per cent (52) comprise of mixed technology. The advantages from the gravity-based

schemes are known as green schemes that are environment friendly as they require very

less energy for operation, which has a direct impact on carbon emissions.

• The O&M expenses of these schemes are minimal.

• The project improved the quality and sustainability of water sources in the rural areas

through catchment protection programmes.

2.2.3 Progress on Additional Financing Project

The Additional Financing for Disaster Mitigation Activities, aimed at reconstructing and

restoring the RWSS schemes that were partially damaged by the natural disaster of

severe floods and landslides that affected Uttarakhand in June 2013. This comprised of

three sub-components, namely: i) RWSS Sector Development that supported the IEC

strategy and institutional capacity-building activities for RWSS institutions and PRIs; ii)

Reconstruction and Restoration that financed the reconstruction and restoration of the

damaged RWSS structures; and iii) Programme Management Support and M&E that was

designed to support implementation and M&E arrangements.

The following progress has been made under the component D of URWSSP:

29


• A total of 2,876 water supply schemes completed until November 30, 2015.

• Around 1,861 IHHLs covered against the target of 2,250, achieving a target of 83 per cent

• Eighty-seven per cent of the target achieved by covering 1,617 soak pits against the target

of 185,025,690 m of drains covered against the target of 30,000 m

Table 2:5 Implementation progress of AF Projects

Implementing

Agency

Target

Schemes

Schemes

completed

% schemes

completed

UJN 727 727 100%

UJS 1738 1627 94%

PMU 525 522 99%

Total 2990 2876 96%

Source: SWSM

Physical restoration and reconstruction of water sanitation infrastructure has been

undertaken in the additional Component D, within the project, which has had a

tremendous impact in terms of re-establishing society’s access to water and sanitation

facilities. Hence, this was ins trumental in facilitating the achievement of the larger

objective of the URWSSP of improving the effectiveness of rural water supply and

sanitation services.

2.3 Health and Sanitation

The Project envisaged large-scale sanitation measures, adopting the concept of total

sanitation that aims to ensure improvement in environmental sanitation of the rural

areas, covering household toilets, solid waste management drainage, excreta disposal,

hygiene, and safe handling of water. The project emphasized that the availability of safe

and adequate drinking water may not be enough to provide sustained health benefits.

Hence, the users were educated on improved health and hygiene, measures for safe

handling of potable water, safe storage of drinking water, washing hands and safe

disposal of wastewater and other improved sanitation behaviour for improvement of the

overall environmental sanitation conditions in the village. Thus, the project made a

successful attempt to integrate construction of drinking water supply and environmental

sanitation services with health and hygiene awareness programmes that aimed to

educate the rural population on the importance of personal and domestic hygiene. The

sanitation component of the project has made an extensive realization both in terms of

construction of toilets and activities to promote behaviour change in the use of toilets and

improving overall health and hygiene. The project has achieved 96 per cent of the target

under sanitation by constructing 8.53 lakh toilet units. Aligning with the national

objectives for complete eradication of open defecation and improvement of

environmental sanitation, the project has worked with the Total Sanitation Campaign,

Nirmal Bharat Abhiyan, and Swachh Bharat Mission- Grameen.

30


Source:

http://swajalsis.uk.gov.in/Reports/NewReports/HealthImpa

ct.aspx last accessed on November 10, 2015

2.3.1 Impact of improved sanitation under the URWSSP

• A total of 8.53 lakh toilet units constructed under the project.

• Improvement in use of toilets with 8,550 habitations having improved access to water for

use in toilets.

• Improved sanitation in schools as a result of construction of school toilets; 3,137 toilets

constructed in schools and 371 toilets constructed for Anganwadis, across the state of

Uttarakhand, has had a considerable impact on education, specially benefitting the girl

students.

• Time saving and reduced drudgery due to improved access to toilets with the construction

of IHHLs.

• IEC programmes for behaviour change and use of toilets have been undertaken that has

an impact on reduction of Open Defecation and improved hygiene in many villages.

• Considerable reduction in open defecation with 689 Gram Panchayats having achieved

• Open Defecation Free (ODF) status.

• Improvement in the status of Health and Hygiene due to various interventions aiming for

behaviour change.

• An overall improvement of health and productivity due to improvement in health and

hygiene.

• Reduction in faecal contamination of water as a result of improvement in sanitation and

environment management practices.

The table here provides details on the

improvement in the sanitation conditions after

implementation of the schemes. Due to the

increased availability of water, the number of

people washing hands after meals has

increased whereas open defecation has decreased.

The number of people affected with water borne

diseases has also decreased. The households using

safe drinking water have increased after

implementation of the URWSS. The table above

provides a comparison of the status of health and

hygiene before planning and after planning of

schemes.

Table Table 2:6 Status of Health and Hygiene before planning and after planning

31


2.4 Institutional Aspects

The institutional structure of SWAp is well-defined and includes participation of

stakeholders at every level, right from the Gram Panchayat to the state. At the State Level

it is coordinated by the State Water and Sanitation Mission (SWSM) that is responsible for

overseeing the reforms /SWAp principles in the activities of the three facilitating

agencies—Uttarakhand Peyjal Nigam (UJN), Uttarakhand Jal Sansthan (UJS) and the

Swajal Directorate or Project Management Unit (PMU). The chairperson of the SWSM is

the Chief Minister of Uttarakhand with the Minister of Department of Drinking Water as

the vice Chairperson with members from legislative Assembly, Zilla Parishads,

Government Departments and the three agencies UJN, UJS, and PMU. The Executive

Committee of the SWSM is chaired by the Chief Secretary and has 19 members. The

SWSM Secretariat is responsible for the Swajal Directorate which is a society registered

under the Societies Registration Act, 1860. The headquarters of respective organizations

at the state level are responsible for facilitating physical, financial, and procedural

progress of the sector programme.

Figure 2:2 Institutional arrangement of URWSSP

Under SWAp, SWAJAL (SVS) and UJN (SVS, MVS), technical and financial assistance is

provided to the communities to construct the schemes and then exit. Swajal aims towards

improving the access to drinking water in the rural regions by reaching to the

“uncovered” or “partially covered” habitations in the state through SVS (single village

schemes) managed by the communities themselves. In the case of SVS, maintenance is

the responsibility of the GP while for MVS, UJS is to maintain the common facilities (from

source to tank/reservoir) and the communities to maintain the infrastructure from the

32


reservoir to their respective habitation. Uttarakhand Jal Sansthan (UJS) is primarily

carrying out the functions of operation and maintenance of these drinking water and

sewage schemes, which have been handed over to them by Uttarakhand Peyjal Nigam

(UJN). Some of the schemes are yet to be handed over to the GPs and continue to be

maintained by the UJN in the initial years.

The state-level institutional arrangement and their roles and responsibilities for the

schemes under the SWAp basket is detailed in the following table:

Table 2:7 State-level Institutional Arrangement Agencies

Agencies Roles and Responsibilities

State Level

State Water and

Sanitation Mission

(SWSM) Secretariat

(Apex Body)

• Oversee, disseminate, and monitor the implementation of policy decisions

undertaken by SWSM and monitoring of the implementation of the policy

decisions by various Program partners.

• Monitor, record, and report the fund flow arrangements for the sector

program

• Submit utilization certificates to GOI and submit reimbursement claims to

Bank

• Appraise and approve high cost MVS which are beyond the prescribed

limit of DWSM

• Conduct SWAp process audit for ensuring implementation of reform

principles in the sector.

The Swajal

Directorate/PMU

• Coordinate and implement the new capital investments for SVS and small

MVS

• Undertake IEC campaigns and the capacity building activities through the

Water and Sanitation Support Organization (WSSO).

• Prepare budgetary plan for the schemes to be implemented by PRIs in the

SWAp basket

• Carry out independent audits of the schemes in the SWAp basket

• Collect, compile, and consolidate the monthly physical and financial

progress from the DPMUs

• Coordinate with the sector institutions and DPMUs for the implementation

of the sector program and submit utilization certificates and reimbursement

claims to the SWSM cell

Uttarakhand Payjal

Nigam

• Facilitation and technical support to PRIs for the construction of Single

Village Scheme as per the agreed principles of the Sector Program.

• Construction of Multi Village Scheme as per the agreed principles of the

Sector Program.

• Rural Sanitation in the villages being covered by Jal Nigam

• Water Supply and Sanitation to public institutions

Uttarakhand Jal

Sansthan

• Facilitation and technical support to PRIs for the construction of Single

Village Scheme

• Reorganization/augmentation of existing Water Supply Schemes with

Uttarakhand Jal Sansthan as and when required

33


Agencies Roles and Responsibilities

• Rural Sanitation in the villages being covered by Jal Sansthan

• Water Supply and Sanitation of public institutions

• Transfer of Single Village Schemes to GPs.

District Level

District Water and

Sanitation Mission

(DWSM)

• Review the implementation of the sector program

• Guide the District Water and Sanitation Committee (DWSC) in planning,

designing, implementation, O&M of water supply schemes as per the sector

program

• Approve the annual budget related to WSS in each district, proposed for

district level UJN, UJS, and DPMUs

• Channel funds to GPs and UWSSCs

• Assist GPs / UWSSCs in procurement and construction of simple MVS

• Provide dispute resolution mechanism for GPs.

District Project

Management Unit

(DPMU)

• The Program Management Unit (PMU) shall be assisted by the District

Program Management Unit (DPMU) at each district

• Provide technical guidance and assistance to the UWSSCs according to the

SWAp principles.

District Water and

Sanitation

Committee

• The DWSCs will be established in each of the 13 districts for appraising the

SVS and MVS up to a certain prescribed limit

• Responsible for the selection of GPs, SOs, and M&E

• Supervision & evaluation of the actual financial transaction & management

in the water supply & sanitation project.

District Level UJN

and UJS

• Provide engineers to the DPMU

• Provide technical guidance and assistance to the UWSSCs

Village Level

Gram Panchayat

(GP)

• Mobilize and support the formation of UWSSC to ensure participatory

approach

• Provide capacity support to the UWSSC

• Ensure O&M and cost recovery of the scheme

• Responsible for fund flows, scheme approval, accounts management,

auditing, M&E and conflict resolution

User Water

Sanitation Sub

Committee

(UWSSC)

• Responsible for scheme planning designing, procurement, construction,

O&M, tariff fixation and revision, community contributions (capital and

O&M), accounts management and auditing

• Responsible for procurement and construction of SVS (including simple

MVS).

Multi Village

Scheme Level

Committee

(MVSLC)

• For larger MVS covering more than one GP, the MVSLC will be formed

consisting of representatives from each UWSSC

• Sub-committees of Block Panchayats or Zilla Panchayats.

At the district level, the institutions include the District Water and Sanitation Missions

(DWSM) chaired by the Chairperson of the ZP, District Water and Sanitation Committee

34


(DWSC) chaired by the District Magistrate/Collector, the District Project management

Unit (DPMU), and the divisional offices of UJN and UJS. The DWSM is the decision-

making body for implementation of the Programme under which the DPMUs and

respective district offices of the sector institutions’ function.

The nodal agency in implementing the programme is the UWSSC at the Gram Panchayat

level and 5,469 such UWSSCs have already been formed. The Swajal PMU, UJN, and UJS

have provided continuous support to these UWSSCs for capacity building through

various trainings, exposure visits, etc.

All sectoral institutions including UJN, UJS, and Swajal work under the policy guidelines

of the Apex Body. The three facilitating agencies are adequately staffed. UJS and UJN

have permanent employees on roll while the Swajal Directorate is managed by officers

from other departments such as Department of Education, Department of Social Welfare,

Department of Medical & Health, and Department of Tourism who are on deputation

and consultants hired on contract basis.

Table 2:8 Summary of the staff requirement and status

Agency Sanctioned

Working Vacant Posts

PMU 350 281 69 UJS 173 173 0

UJN 344 344 0

SWSM 59 38 21

Total 926 836 90 Source: SWSM

Major impacts of the SWAp design are as follows:

• Decentralized decision-making approach at all stages has facilitated improved

participation of the community and beneficiaries. The complaints and problems are solved

at the village level by social gatherings and joint discussions with the community.

• Simpler and easier procedures of lodging complaints with the authorities, paying bills,

bills correction, and obtaining sanctions for new water connections.

• Cost for deploying staff at the government level has also reduced.

• Savings in institutional capital and O&M costs has been observed.

• Due to political economy at the GP level, the cost for construction of schemes has proved

to be unproductive.

• Collection of tariff by UJS may be more efficient, relative to GP, since in the latter case,

inter-personal relations with the Pradhans may act as a hindering factor for collection of

tariff.

35


• Community participation has led to a sense of ownership in the project and improvement

in water use efficiency.

• Delay in funds and decision making have been avoided by eliminating the layers of

bureaucracy.

2.5 Capacity Building

Various capacity-building programmes have been conducted for all the stakeholders of

the project, right from the apex-policy level to the grassroots level. A total of 7,956

training programmes have been developed for UWSSCs, PRIs, UJS, UJN, PMU/DPMU,

SOs, and SAs. The responsibility for design, development, coordination, and

management of capacity development programme for the Programme stakeholders is

with the Water and Sanitation Support Organization (WSSO) Unit.

Two Lead training institutions at State level, one for CB programmers under social &

management category, and the other under the engineering category in RWSS sector,

have been engaged. Lead training Institute is responsible for anchoring overall capacity

building program under the proposed programme. Regional Training Institutions (RTIs)

are engaged for ToTs (Training of Trainers) to support local trainers (Support

Organization), DPMU, functionaries of sector institutions, functionaries at district levels,

and Service Agencies.

Local trainers or Support Organizations are engaged for the capacity building of GPs,

UWSSC, and community members and facilitating the implementation of water supply

and environmental sanitation programmes in the villages. Service Agencies are engaged

to design IEC materials, site appraisals, construction and supervision of quality

monitoring, etc.

Stakeholders involved in the implementation of the rural water supply and sanitation

sector has been classified into four broad categories—a) the apex level; (b) strategic level;

(c) intermediary level; and (d) grass root level.

The capacity building programmes that were planned for the stakeholders, as detailed in

the PAD and Operations manual is listed below:

36


Table 2:9 Capacity building Programmes

Stakeholders Capacity Building Programmes

Apex Level

State Water and Sanitation Mission (SWSM),

elected representatives of the state

(Ministers/MPs/ MLAs/ representatives of PRIs),

policymakers and opinion makers such as

representatives of NGOs

Policy making, Sector planning, Sector monitoring,

Management of Sector Programs, Policy

Implementation, Skill Development, Motivational

Programme, Procurement, Financial management

Strategic Level

(PMU, DPMU, DWSM and ZP)

Programme orientation, programme implementation,

Skill enhancement, motivational needs, experience

sharing, team building and need for exposure to sector

programmes at national and international level,

Financial and accounts management, Procurement,

community development, health and hygiene, project

management, community mobilization

Sector Institutions

(UJN, UJS)

Sector Programme Orientation, Change of Role from

Provider to Facilitator, Success Stories of Community,

Exposure visit to other states, Motivational Courses,

Senior Staff Annual Refresher Course,

Intermediate Level

(PRIs and SOs)

Orientation workshop on Swajal Panch project,

Institutional arrangement, roles and responsibilities

Grass Root level

(Gram Panchayat and UWSSCs, Women SHGs)

GP action plan, Water supply plan, General Trainings,

Workshops, Exposure visit to a Swajal village, Training

on water quality monitoring and surveillance, On site

training programme, Health, hygiene and environment

sanitation awareness programme

The total number of capacity-building programmes and persons trained has been

summarized by analysing the data of SWSM between 2009 to 2015.

Table 2:10 Capacity building programmes conducted

SN Stakeholder Level

No. of Programme Total Person Trained

2009 2015 2009 2015

1 Apex/Policy 5 43 118 1,251

2 Strategic 93 518 2074 12,173

3 Intermediate 11 527 805 21,980

4 Grassroots 4,224 6,868 86,749 17,0248

Total 5,365 7956 1,75,523 2,05,652 Source: SWSM

37


2.5.1.1 Impact of Capacity building activities

• Significant achievements in terms of number of programme (7,956) and total persons

trained (205,652)

• Developed a large pool of resource persons spread across GPs, NGOs, and

communities, that has built the human resources at state, district, and Gram Panchayat

levels.

• Led to the development of a pool of technicians as resource persons, and supported

the Uttarakhand Nainital Academy as a Key Resource Centre of the Ministry of

Drinking Water & Sanitation (MoDWS).

• Total of 6,868 training programmes conducted at the grass roots level have led to

increased capacity and improved local governance at the panchayat level.

• Our interactions have confirmed that the training and capacity building measures

have been effective in achieving its objectives at all levels with high attendance in the

training programmes. The DPMUs, at the district level, are staffed by consultants for

environment and social, health and hygiene, community development, engineering

staff, IT, apart from the project manager and the account manager. Capacity building

programmes at the DPMU level has been quite effective.

• Strengthening of grass root level organization through the training programmes and

awareness workshops for the GPs and the UWSSC members as envisaged under

SWAp.

• Exposure visit, meetings, trainings, and workshops, have been reported to be effective.

2.6 Communication Strategy and IEC

As envisaged in the PAD, the information, education, and communication activities aim

at supporting and facilitating the sector programme by disseminating the relevant

information to all stakeholders. Communication strategy has focussed its efforts at three

levels with the following objectives:

• Creation of an environment for the communities and GPs to lead decision making

• Emphasis on the positive benefits of the programme among all target audiences

• Provide GPs, target communities, and programme functionaries with correct and

complete information on the programme.

• Social mobilization and enhanced people’s participation in implementation and

management.

• Increased participation by women and other vulnerable groups to avail of

opportunities by mainstreaming them in the local-level institutions

38


The table 2.11 provides details of the IEC activities under the URWSSP:

Table 2:11 IEC under URWSSP

Number Media tool Achievement (No)

1 Advertisement in News paper 221

2 Ashardar Tools 923

3 Audio Video Spots 154

4 Banners 531

5 Booklets 43027

6 Demo 6

7 Exhibition 47

8 Fair Participation 11631

9 FGD 292

10 Folk Performances 60

11 Hoardings 42

12 Interpersonal Communication 8157

13 Leaflets 41606

14 Manuals 5352

15 Nukkad Natak 803

16 Personal Communication 9491

17 Posters 6248

18 PRA Tools 314

19 Quiz contest 652

20 Radio Spots 1

21 School Sanitation Rally 298

22 TV shows 13

23 TV spots 1

24 Wall Writings 1881 Source: Swajalsis Website (http://swajalsis.uk.gov.in/Reports/IECReport.aspx )

The overall Impact of the communication and IEC strategy may be summarized as

follows:

• Significant benefits in terms of reach and impact of mass media communication in the

programme.

• Positive impact on personal health and hygiene attributed to the IEC activities.

• Improved awareness on various communicable diseases and prevention, good waste

disposal and management, water conservation, and harvesting technologies.

• Introduction of social media tools to support water and sanitation activities in the

project

o Facebook: Swajal Uttarakhand’s Facebook account “Swajal

Uttarakhand’/’SBM-G Uttarakhand’ is a platform for sharing best practices by

the district units in the field of water and sanitation.

39


o WhatsApp Group: It is also being used as a fast correspondence internal tool

between the state and district unit functionaries, to monitor the day-to-day

progress of project implementation in water and sanitation. The SWAJAL and

SBM Uttarakhand group consists of total 70 members of state/district level

officials.

• Strong impact of print media communication due to large coverage and lasting

impact.

• Electronic media such as spots and jingles, Docudrama Series weaved with

information, news and magazines for progressive audience were used to disseminate

various messages.

• Banner, booklets, leaflets, and posters have proved to be effective tools for

communication. These tools were developed both in Hindi and English. Some districts

have had an exceptionally impressive utilization of such tools particularly in Almora,

Dehradun, Pithoragarh, Nainital, Champawat, and Tehri Garhwal.

2.7 Sector Information System, Water Quality Monitoring,

and Source Discharge Measurement Programme

Swajal-Sector Information System (SIS), an online source of information was launched in

July 2009 and is managed by the Swajal-Project Management. SIS is hosted on NIC web

server (http://swajalsis.uk.gov.in). The SIS has online entry of all the physical and

financial progress of the three facilitating agencies and provides broad information on

the project such as:

1. Pre-Feasibility: It includes the summary of all existing schemes, status of covered

habitations and Gram Panchayats.

2. Planning Phase: The results of the healthy home surveys conducted at the

household level, details of UWSSC, and baseline of Gram Panchayat and Multi

Village Scheme Level Committee block wise, district wise, scheme wise and GP

DPR : Block wise, district wise, scheme wise and GP wise details of DPRs

prepared, MVS scheme details, list of target habitations and habitations covered.

3. Implementation: The data of procurement summary for implemented scheme,

data for physical progress, scheme progress details and summary, monitoring

progress report, and the data for MVS District Implementing Agencies.

4. HRD Activities: Detailed information of the number of trainings and IEC activities

undertaken by the project on District level, Block level, and GP level for

increasing awareness and education.

40


5. Contract Detail: Contract details of support organizations and support agencies.

6. O&M Phase: The detailed data of implemented schemes according to their

functioning status.

7. Disaster Management: Detailed information on the damage to RWSS

infrastructure, disputed or dropped schemes and damage cost data is available.

The Swajal PMU has supported the other two institutions in launching the online data

entry system. Swajal PMU has 100 per cent track records of the online data entry, while

UJN has 85 per cent data and UJS has entered 93 per cent data. The SIS has been

recognized for transparency and disclosure and was conferred the Right to Information

award in the year 2009 and 2010.

2.7.1 Water Quality Monitoring Programme

The Water Quality Monitoring Programme was launched in February 2006 with the aim

of providing safe water for drinking, cooking, and other domestic needs, on a sustainable

basis to every person in the rural areas. The water for potable use is to meet the Bureau of

Indian Standard (BIS): 10500 and conform to the minimum acceptable standards for other

domestic purposes. The chemical contamination test and potability of water quality are to

be conducted using the water quality testing kit (Field Test Kit) and sanitary inspections.

As detailed in the online Sector Information System, there are 4 trained persons, for each

of the 13 districts and 5 persons in every Gram Panchayat. The Gram Panchayat

representatives from schools, SHGs, and UWSSC members are provided with one Field

Test Kit to test the chemical contamination in water samples on a daily basis. An

additional kit is provided to large GPs. Refill System of Field Test Kits (FTKs) are also

provided to replace expired chemicals.

Water testing is done regularly by ASHA workers. Our field study indicates that there is

considerable improvement in the water quality after implementation of the URWSSP and

specifically due to the water quality monitoring programmes that are undertaken

regularly in most of the regions with the objective of regularly monitoring the quality of

water and adopting reliable and appropriate measures to improve the water quality

accordingly. The beneficiaries of the URWSSP have expressed high satisfaction with the

improvement in the quality of water. In some schemes, the operators have been trained

to use the FTKs themselves and share the results with the DPMU. As per SWSM data,

cumulatively, a total of 2,141 participants from district and block level functionaries and

60,047 participants from GP-level functionaries have been trained for testing of the water

quality during the project. Also, a total of 48,481 sources and 83,919 water samples have

been tested through FTKs and H2Svial. During the FY 2015–16, 140 numbers of refresh

training, benefitting 4,533 persons have been conducted for testing of water quality

against an annual target of 205 training for 7,971 person. Also, 5,216 water samples have

been tested through FTK and H2S vials during the last financial year.

41


2.7.2 Environmental Assessment

Various environmental aspects have been successfully mainstreamed into the URWSSP

to address the main environmental concerns of (i) impact on downstream ecosystem and

settlements; (ii) Impact on ecological resources; (iii) impacts on land-use and topography;

and (iv) impact due to inadequate environmental sanitation.

Catchment Area Conservation and Management Plans (CACMP), environmental

sanitation programmes, solid waste management, health and hygiene awareness

promotion and safe disposal of wastewater have been incorporated within the URWSSP.

Since its launch, the URWSSP has installed a total of 3,865 rural water supply schemes,

out of which CACMP work was undertaken in 2,447 schemes as shown in the table 2.12.

Table 2:12 Progress of CACMP activities

Particulars PMU UJS UJN Total

Total W/S Schemes 1,431 1477 928 3,836

Scheme with CACMP 681 1,034 544 2,447

Plantation (No.) 2,09,790 1,68,356 1,23,917 6,77,033

Recharge Pit (No.) 1,338 2,614 5,434 10,092

Contour Trench (RM) 8,385 6,414 5,834 26,847

ChalKhal (No.) 206 445 2,688 4,259

Grass Patches (No.) 103 155 200 458

Check Dam (No.) 1,700 1,198 1,450 6,099

RWHT (No.) 1,330 61 369 3,369

Percolation Pond (No.) 101 211 190 739

Coolie Walling (Cum) 8,505 2,200 3,421 16,752

Source: SWSM

The CACMP activities have exceeded the target in terms of construction of soil and water

conservation structures that included contour trenches, 10,092 recharge pits and 6,099

check dams. Extensive capacity building activities were carried out to enable 2,958

members of 1,405 UWSSCs to monitor water quality as well as other environmental

aspects, to be covered under the project.

Since, forest clearance is mandatory for all schemes located in the forest areas, clearances

of all 89 Swajal schemes and 15 out of 16 UJN schemes were obtained. In the context of 1

scheme, forest clearance is pending.

Environmental Management Framework (EMF) requires preparation of Detailed

Environmental Project Report (DEPR) during the preparation stage of each scheme,

focussing on source protection and its sustainability. Along with EMF Catchment Area

Plan comprising Technical Intervention Plan, Cost Estimation Plan and a Monitoring

42


Plan were prepared. The study has found that DEPR, which is the part of DPR,was not

adequately compiled in some of the scheme.

The DEPR is to include the following components:

i. Mapping of habitation, connectivity, demographic and socio-economic

characteristics.

ii. Physical features (location, topography, climate).

iii. Land use (type and area of forests, agricultural land under irrigation type,

grazing lands, wastelands, residential land, etc.)

iv. Tree cover in catchment and species found (trees, shrubs, and grass varieties).

v. Cooking fuel present and future requirements—wood (tree species) and others

(LPG, kerosene).

vi. Estimation of cattle feed—requirement and availability.

vii. Identification of potential water supply sources, assessment of water availability,

and selection.

viii. Mapping of source and source catchment features.

ix. Checklist-based assessment of source catchment – tree cover assessment, erosion.

Environmental Codes of Practices (ECOPs), promoted through the EMF, have been

adopted under the URWSSP and are manifested in the form of accrued environmental

benefits and enhanced sustainability. The study highlights the status of the project with

the objectives of Environmental Codes of Practices (ECOPs) as detailed below:

1. Identification of Sources of Water Supply: Sources like spring, stream identification

have been found in line of compliance of ECOPs. Discharge measurement has been

done in lpm scale. Water storage tank was made a little away (downhill) from the

source. Water quality has been tested before installation of the scheme, which follows

the safe limits of Bureau of Indian Standards (BIS).

2. Protecting Surface Water Supply Source and Ensuring Sustainability: The suggestion

of leaving minimum discharge downstream to maintain the ecosystem is complied. It

is the normal practice to use a small intake well (locally known as Uttaranchal Koop)

with a perforated large diameter pipe buried in the ground in the sources, and to

which the intake pipe is connected underground. This ensures the clean water flow

into the intake pipe. Few check dams were made in the stream above the collection

point to increase the water soaking which also improved the quality of water.

Catchment area treatment was done.

3. Water Quality Monitoring: Water was tested before finalizing a source to tap for

drinking water in line of the norms stated in Sec. 6.3.1 of EA study report. Water

quality surveillance is being undertaken periodically in line of mitigation measures

43


proposed in the EMF. Chlorinators are provided at all storage tanks for regular

chlorination at storage tanks.

4. Selection of Safe Sanitation Technology Options (Including Drainage) at Individual

Household and Community Levels: Compliance with this ECOP has not met

satisfactory status. Drains are not clean enough and awareness about not throwing

garbage into drains is very less.

5. Selection of Location for Community Toilets is in compliance with prescribed ECOP

6. Safe Sullage Disposal and Organic Waste Management and Safe Solid Waste

Management at Individual Household and Community Levels are inadequate and

requires considerable improvement.

7. As per source discharge measurement programme, the discharge capacity should

meet the minimum discharge limit. The minimum discharge of 0.15 l/sec is considered

to be safe discharge and within permissible limits. The source, measured for three

consecutive years in dry season the minimum discharge so measured, can be

considered as the design discharge of the source. When one year dry season

measurement is available, 0.5 X minimum measured source yield. When two

consecutive years dry season measurements are available, the minimum dry season

source yield is 0.75 X.

8. The water storage facility has improved considerably and in most of the rural areas

water is accessible in maximum time throughout the year. After implementation of

this programme the water is available even in the lean summer months. Also, this

programme helped in controlling the overflow of water. At some places extra tanks

have been installed to stop the overflow of water.

Institutional Capacity for Environmental Management: T h e project has taken a number

of steps to enhance implementation and monitoring capacity of the three agencies

including:

i. Recruitment of five environmental consultants

ii. Standardizing environmental monitoring formats

iii. Providing directions for close coordination of the twelve PMU Swajal

environmental specialists posted at district level

iv. Regular training and IEC activities for the project staff in the field.

The project has also initiated environmental audit exercise as a third party evaluation of

environmental management. Impact of the environmental management activities are

summarized below:

1. Minimized environment externalities due to strict adherence of environmental

standards.

44


2. Source sustainability through CACMP.

3. Improvement in water resources with construction of rooftop rainwater harvesting

structures, percolation tanks, check dams.

4. Low consumption of energy: Close to 96 per cent of the 3,836 water supply schemes

commissioned under this project are gravity-based, leading to minimal energy demand.

5. Improvement in Environmental Sanitation in villages: Swajal PMU has initiated SLWM

implementation work in 135 GPs against the target of 200 GPs. Works have been

completed in 5 GPs.

6. Improved capacity on environmental management

2.8 Financial management

The financial management system under the

project has been designed to reform the

accounting systems to meet the requirements

of the World Bank financed projects with the

following objectives:

• Timely information

• Transparency and accountability

• Effective and efficient utilization of funds

• Completeness of information

• Data integrity

Figure 2:3 Fund Flow Pattern

As detailed in the Financial Management Manuals, the major institutions for the

provision of funds are World Bank, Central Government, State Government, and

Beneficiaries. The responsibility for fund transfer is with the SWSM. Funds from SWSM

flow to the respective DWSM and each DWSM disburses to DPMU and Divisional

officers of UJS and UJN. Funds for all Single Village Schemes and MVS after clear water

reservoir (CWR) under programmes inside SWAp flow from GOUA to DWSM after

sanction and intimation to SWSM Cell. From DWSM, the fund flows to GP as per the

MOUs with the GP for onward transmission to UWSSC. Funds for reorganization and

rejuvenation of SVS under SWAp programmes flow to UJS.

45


The details on the budgetary support is provided in the table below:

Table 2:13 Component-wise SWAp Budget Share of GoUK as per PAD

Particulars PMU UJS UJN Total

Total W/S Schemes 1,431 1477 928 3,836

Scheme with CACMP 681 1,034 544 2,447

Plantation (No.) 2,09,790 1,68,356 1,23,917 6,77,033

Recharge Pit (No.) 1,338 2,614 5,434 10,092

Contour Trench (RM) 8,385 6,414 5,834 26,847

Chal Khal (No.) 206 445 2,688 4,259

Grass Patches (No.) 103 155 200 458

Check Dam (No.) 1,700 1,198 1,450 6,099

RWHT (No.) 1,330 61 369 3,369

Percolation Pond (No.) 101 211 190 739

Coolie Walling (Cum) 8,505 2,200 3,421 16,752

Out of the total budget, 88 per cent was allocated to Component B, i.e., RWSS

Infrastructure Investments, 10 per cent to sector management, M&E, audit and FM, and

remaining 2 per cent to sector studies, capacity building, and strengthening

programmes, establishment of e-procurement, etc., as given in Figure 2.3.

Figure 2:4 Component-wise budget allocation

RWSS

Development ,

2%

RWSS

Infrastructure

Investments,

8%

Program

Management

Support and

M&E, 10%

46


Table 2:14 Budget Allocation Sub Component wise

Particulars PMU UJN UJS Total

Project Provision - Water Supply 1444.65 2096.09 6824.76 10365.50

Expenditure of restoration of water supply up to

month

1181.61 2079.82 4248.45 7509.88

Closing balance at the end of month 263.04 16.27 2576.31 2855.62

Project Provision - Sanitation 952.00 0 0 952.00

Expenditure of restoration of Sanitation facilities

during the month

333.42 0 0 333.42

Cumulative expenditure up to month including

water supply & sanitation

1515.03 2079.82 4248.45 7843.30

The revised project cost was US$258.46 million (equivalent Rs. 121478 lakhs). Year-wise

grants are released from GoUK for EAP since inception amounting to a total of Rs.

83605.87 lakhs.

Figure 2:5 SIA wise funds from GoUA

Source: Consultants’ Analysis

Additional financing under Component D on RWSS Disaster Mitigation Activities, with

a total outlay of US$24 million was added post the 2013 disaster.

2005-06 2006-07 2007-08 2008-09 2009-10 2010-11 2011-12 2012-13 2013-14 2014-15

UJS 0 0 200 1500 2500 3500 2000 5000 2500 4537.75

UJN 0 0 200 4500 1500 6500 4500 3000 3300 2076.83

PMU 0 761 1800 5000 3500 4500 5000 7000 5500 3230.29

0

1000

2000

3000

4000

5000

6000

7000

8000

Rs.

La

kh

s

SIA wise funds recived from GoUA

47


Table 2:15 The Financial Progress of Additional Financing Project (upto December, 2015) is

provided below

Particulars PMU UJN UJS Total

Project Provision - Water Supply 1444.65 2096.09 6824.76 10365.50

Expenditure of restoration of water supply 1181.61 2079.82 4248.45 7509.88

up to month

Closing balance at the end of month 263.04 16.27 2576.31 2855.62

Project Provision - Sanitation 952.00 0 0 952.00

Expenditure of restoration of Sanitation 333.42 0 0 333.42

facilities during the month

Cumulative expenditure up to month 1515.03 2079.82 4248.45 7843.30

including water supply & sanitation

Source: SWSM

2.8.1 Observations from Financial Analysis

• The overall Financial Management System for the project is working well and the

FMRs and Audit reports are being submitted on time. However, at the GP level,

improved monitoring of the finances in terms of GP advances and complete

accounts closure for schemes needs are required.

• Financial Powers to the grass root institutions through the UWSSCs has led to

improved financial management of the projects. Majority of the schemes have been

completed at an outlay which is below the DPR cost estimates.

• Timely and adequate fund flows have been observed although, there were some

delays in transfer of funds from the gram Nidhi Account to the UWSSC during the

inception of the programme. These issues were sorted out with improved banking

access and systems in place.

• A robust financial system with proper checks and procedures are in place to avoid

misappropriation of funds.

• Delays in the accounts closure from the UJN and partially from UJS have been

observed.

• There are delays in IPCR completion which has affected the accounts finalization to

a large extent.

• Collection of user fees not done on a regular basis in some cases that may have an

impact on the long-term financial sustainability of the scheme.

• Cost effectiveness noted for the 3,781 (99 per cent) SVS and 36 (1 per cent) MVS

schemes. The completion cost of the SVS and the MVS are much lower than the

costs/ceiling fixed at the appraisal stage and are also well below the state and central

government norms as provided in the table below:

48


Particulars PMU UJS UJN

1) Per Capita investment cost ceiling as 7031 7031 7031

per PAD for 2) Per Capita investment cost as per actual 4023 3662 6887

for

3) Per Capita investment cost as per State 12500 12500 12500

government norms for

4) Per Capita investment cost ceiling

per PAD for

Not

5) Per Capita investment cost as per

for

6) Per Capita Investment cost as per Government norms

Table 2:16 Cost Effectiveness of Project Schemes

Source: SWSM

• The average project cost of SVS is Rs. 4,854 per capita compared to appraisal

estimates of Rs. 7,031 per capita, recording a saving of 30 per cent compared to its

own per capita cost targets and 60 cost savings when compared to GoI (NRDWP)

norm of Rs.12,000 per capita cost. Similarly, the project cost for MVS is Rs. 7,972

compared to appraisal estimates of Rs. 10,320 per capita with 22.5 per cent cost

savings and GoI (NRDWP) norms of Rs. 25,000 per capita, and 68 per cent cost

savings. The savings in capital cost may be attributed to the decentralized approach

of the programme.

• The total Capex savings based on the Per Capita Costs savings vis-à-vis the PAD

and the State Government norms could be detailed as under:

Table 2:17 Capex Savings

SVS MVS Total

a) Population Served (Million) 1.50 0.07

b) Cost Saving per Capita vis-à-vis 2277 2348 PAD (Rs)

c) Total Cost Saving vis-à-vis PAD 3415.50 164.36 3579.86

(Rs. Mn)

d) Cost Saving vis-à-vis State 7646 17028

Government Norms (Rs.)

e) Total Cost Savings vis-à-vis State 11469 1191.96 12660.96

Government Norms Source: Consultant’s Analysis

• The total Cost Saving in Capex itself is considerable as compared to the PAD (Rs.

3,580 million) as well as the State Government norms (Rs. 12,661 million).

49


2.9 Procurement

Procurement policy needs to obtain right quality of works, goods or services at

reasonable and competitive prices, giving equal opportunities to those

individuals/companies/ firms/manufacturers/builders who are capable of delivering the

goods, works, and services. As per PAD, this component includes consultancy

assignments for carrying out studies, preparation of standard bidding documents,

provision of necessary equipment and training needs, etc., with a view to strengthening

the capacity in procurement processes of sector institutions and agencies. In this project,

the procurement process is specified at various stakeholders’ level for goods, works,

and services. All three sector agencies are made responsible for undertaking respective

procurements against the procurement rules and guidelines. One of the main

advantages under the SWAp, is reduced corruption.

Figure 2:6 Steps for Procurement of goods

50


Table 2:18 Sector Agency wise Procurement

Sector Agencies Procurement Activities

PMU All Procurement activities related to M&E and under Component A

UJS, UJN Procurement of Works, goods and Services for engagement of SO and water supply operations

Review of time series data from SWSM confirm that there are no major procurement

issues in the project. Training on procurement was continuously provided to all the

three agencies.

2.10 Operation and Maintenance

Project cycle states that the Operation and Maintenance (O&M) phase should be of 4

months. PMU/DPMUs provide technical assistance during the 4 months period to the

UWSSCs after commissioning of the water supply schemes to place the O&M system in

order.

The O&M system comprises the technical, financial, and institutional systems. After

establishing a n O&M system in place and completing all the activities stipulated in the

agreement, the DPMUs formally exit from the GP. The environmental sanitation

activities shall start in the planning phase and shall continue up to the (O&M) phase.

(O&M) account is separately maintained by UWSSC. The planning, implementation,

operation, and maintenance of drinking water and sanitation schemes are done by

UWSSC and the same is approved by GP in its open meeting.

Table 2:19 Operation and Maintenance of Swajal-PMU schemes

Swajal Scheme Status No. of Scheme

Total Scheme 1176

Fully Functional 1171

Partially Functional 5

Not Functional 0

Table 2:20 Age-wise Operation and Maintenance Status of Swajal Schemes

S.No. Age in Total Fully Partially Non Years Scheme Functional Functional Functional

1 0-2 141 141 0 0

2 2-4 577 573 4 0

3 4-6 435 434 1 0

4 6-10 45 45 0 0

Total 1198 1193 5 0

51


Source: http://swajalsis.uk.gov.in/Reports/ONM/FunctionalitySummary.aspx

Our study has highlighted the following:

• Operation and maintenance activities are being carried out satisfactorily in Swajal-

PMU schemes.

• A wide variation of O&M has been noticed during field visits due to typology of

water supply schemes, size of habitations, and distance of water source from the

habitation, etc.

• In some cases it has been difficult to procure O&M cost as villagers are not willing to

pay any user charges. Handholding support especially focusSing on collection of

O&M by UWSSCs is necessary for long-term sustainability of the project.

• No major issues and default cases have been reported till date.

• Government orders have been issued regarding UJS as the ‘back-stopping agency

for O&M services’.

2.11 Monitoring and Evaluation

The following Monitoring and Evaluation activities (M&E) are being carried out in the

project with the objective of providing comprehensive information on the water supply

and sanitation schemes as per the scheme cycle.

1. Sector M&E system—Consolidation of sector data at the state level to monitor the

progress of the performance indicators with regard to sector policy

implementation and programme outcomes.

2. Periodic review, through targeted process and impact evaluation to learn from

the field experience and suggest strategic inputs for further strengthening of the

programme design and strategies, for effective delivery of inputs at the GP level.

3. Sustainability monitoring and evaluation to track the long-term technical,

financial, institutional, social, and environmental sustainability prospects of the

schemes and assets created during the project life cycle of sample schemes.

4. Community monitoring to help community members track the progress of their

schemes in all the phases of the project, for continuous use after scheme

completion.

The salient features of the M&E activities are:

• PMU is responsible for sector wide M&E system. The outputs of the system depend

on the data sourced from UJN & UJS. Periodic review studies (concurrent

monitoring) are undertaken by the PMU. Data from Swajal PMU schemes is

52


available online, but the UJN and UJS have not properly uploaded and need to fully

integrate.

• During the year 2009, two rounds of Concurrent Monitoring of Planning Phase were

undertaken, covering habitations undertaken by all three sector agencies. These

studies highlighted the issues faced by three sector agencies. The study brought

about various deficiencies connected with community mobilization and planning,

especially by UJN and UJS.

• Financial monitoring is done regularly in all the three agencies.

• The project had also developed an online Monitoring and Evaluation system and the

report is available at www.swajalsis.uk.gov.in which is freely accessible.

• Community monitoring data are also available on the SIS website, improving the

transparency of the programme.

• The Swajal Samachar newsletter of the project and other important documents such

as GOs, DPRs, contracts, and agreements are uploaded on the website regularly.

53

3 Impact Analysis at Household L

With the main objective of improving the effectiveness of the rural water supply and

sanitation services through decentralization and increased participation of Panchayati Raj

Institutions and local communities, the project has reached 8,242 habitations in the state of

Uttarakhand, with adequate volumes of improved wa t e r quality and improved sanitation.

This chapter assesses the impact on the eleven parameters as mentioned in table 1.1. Chapter

1, based on the analysis of the primary studies, which were undertaken mainly through

surveys and Focus Group Discussions (FGDs). The findings from the 130 rural water supply

schemes and 1,300 households have thrown light on the positive impact of the Uttarakhand

Rural Water Supply and Sanitation Project, under various facets which are evident from the

high satisfaction levels of the survey respondents as detailed in figure 3.1. As is visible, 89 per

cent of the households surveyed have rated their satisfaction levels as good. Satisfaction

levels have been noted to be particularly high in for the PMU schemes (93 per cent) and

beneficiaries from UJS and UJN schemes reporting 87 per cent satisfaction.

Figure 3:1 Satisfaction levels of survey respondents

3.1 Water Supply Services

The main source of water for the rural water supply schemes implemented under the

URWSSP is SVS Gravity Spring (68 per cent) and SVS Gravity Gadhera (15 per cent).

70%

19%

11%

Satisfaction of survey respondents

Good

Satisfied

Not satisfied due to insufficiency

Not satisfied due to seasonal non

availabillity

54


Figure 3:2 Source of Water

Thus, from the above fig, it is evident that springs and streams are the principal source

of water (93 per cent) of the schemes surveyed.

The entire project region covering the 13 districts of Uttarakhand have benefitted with

the URWSSP with the most important impact of the project to the households being in

terms of improved access to water supply services. Respondents from our survey have

reported that the access has increased from 15 per cent before scheme to 98 per cent after

the implementation. Of the surveyed households reporting improved access to water

supply services, 50 per cent have individual household connections and 48 per cent have

access to stand posts near their houses. This improved access to water has also had a

profound impact on the overall improvement in the quality of life of the people in the

region through reduced distance travelled, availability of water throughout the year as

well as sufficiency of water to these households. The following sections of this chapter

have detailed the positive impact through the improved access through its intense social

and economic impacts (in Chapter 5).

Figure 3:3 Access to water supply services

8%

67%

12%

3%

8% 2%

Before Scheme

Individual connections

in the house

River/Stream/Spring

Gadhera

Handpump

Standpost

Others

50%

2%

48%

After Scheme

Individual connections

in the house

River/Stream/Spring

Standpost

55


The household survey has also thrown light on the improvement in availability of water,

where 93 per cent of the households have reported water available throughout the year

after the implementation of the scheme, while it was only 45 per cent earlier as detailed in

the fig below where the inner pie represents the availability of water to households before the

implementation of the scheme and the outer pie represents after implementation. These

households have reported an improvement in the access to water supply after the

schemes, yet there were some irregularities with the availability, particularly during

summer months.

Figure 3:4 Availability of water

As represented in the figure above, 7 per cent of households have reported issues with

regard to water availability throughout the year even after the implementation of the

rural water supply schemes. These are households that belong to the highlands of the

districts of Bageshwar, Nainital, Rudraprayag, Uttar Kashi, and Pauri Garhwal where

water availability was a major issue all throughout the year before the implementation

of the scheme and the distance travelled and t ime spent for fetching water was very

high. Although, the implementation of URWSSP has led to a drastic improvement in the

overall the scenario the respondents have reported problems with regard to availability,

particularly in summer months.

Improved access to water supply has also meant less distance travelled to fetch water

since it is now available within the households or nearby stand posts, very often within

200m distance. The survey indicates that people reporting less distance travelled has

increased from 15 per cent to 93 per cent. Our surveys and the FGDs have further

thrown light on the reduction in the distance travelled. The benefits, in terms of the

Before Scheme,

45%

55%

93 %

After Scheme,

7%

Availability of Water

Yes No

56


significant reduction of the distance travelled by people to fetch water, are mainly in

terms of reduced drudgery of people involved in fetching of water, mainly women and

young girls, has been detailed in the following section on specific impact on the gender

and accounted in Chapter 4.

Sufficiency of water to meet the basic requirement of cooking, washing, and cleaning

was another aspect captured through the household survey. Drastic improvement in

terms of water sufficiency has also been observed for pre- and post- scheme where only

34 per cent of families reported sufficient water supply before scheme while this number

rose up to 93 per cent after implementation of the URWSSP.

Figure 3:5 Sufficiency of water

Improved access, improved availability and sufficiency of water has also led to another

evident impact in terms of improvement in consumption of water. This was brought out

through our FGDs that report an increase in the household consumption of water,

where majority of the participants reported an increase in consumption from 50–100

liters (pre scheme) to 150–200 liters after the improved access of water to these

households on account of the implementation of rural water supply schemes under the

URWSSP.

Besides, 67 per cent families have reported improved water supply for 24 hours after

the initiation of the scheme, which was only 21 per cent before the scheme came into

practice. Also, the percentage of families who get water only for 2 to 4 hours on daily

basis has been reduced after the scheme to 9 per cent which was 23 per cent before the

scheme. Respondents have also expressed their satisfaction regarding the good quality

water that is provided in terms of improvements in water quality after implementation

34%

Before Scheme

66%

93%

After Scheme

7%

Sufficiency

Yes

No

57


of the project in the context to cleanliness, colour, and taste. While, before the project, 51

per cent households reported clean water, after the implementation of the project, the

score was a perfect 100 per cent.

3.2 Improved Sanitation

Secondary data suggests that there is considerable improvement in sanitation in

Uttarakhand where the percentage of Individual Household Latrines (IHHLs) has

increased from 32 per cent to 73 per cent. Much of the achievement on sanitation front

may be recognized as achievement under the URWSSP project that has worked with the

various Sanitation Initiatives namely the Total Sanitation Campaign (TSC), the Nirmal

Bharat Abhiyan and the recent Swachh Bharat initiative. The survey results and FGDs

have highlighted remarkable improvement in the sanitation scenario of the surveyed

region.

While ownership of IHHL is an important indicator, the usage of the same is even more

crucial and is the key indicator for eradication of open defecation. Our analysis reveals

that there is an increase in both these vital indicators on account of the efforts under the

URWSSP that has put a major thrust on the construction of IHHLs in the region,

supplemented with major campaigns and awareness creation for creating an Open

Defecation Free Uttarakhand. The figure below shows the percentage of type of sanitation

structure at household level in the survey regions before and after the implementation of

URWSSP. Seventy-one per cent respondents have responded that they had no IHHL

before the scheme; this has reduced to 29 per cent after the scheme. In other words, the

percentage of IHHL has increased from 17 per cent to 80 per cent after the implementation

of the project, in surveyed areas, on account of awareness, and construction of structured

IHHLs at the household level.

Figure 3:6 IHHL ownership before and after implementation of URWSSP

As several studies across the country indicate that the existence of IHHL in the house by

itself is not a very strong indicator of improved sanitation, but its usage by all members

is important. S i x t y - n i n e per cent households surveyed reported that they were not

71

29

17

80

2

0

10

20

30

40

50

60

70

80

90

No-toilet Individual toilet Shared with

community

Before Scheme

After Scheme

58


using the IHHLs even though they existed in the house with the main reason for non-

use being non-availability of water for use in the IHHL. Since the scheme led to

considerable improvement in water supply, the availability of water for use in toilets

have also increased, leading to 83 per cent of the surveyed household now reporting

regular use of IHHL by all the family members as detailed in the figure below.

Figure 3:7 Use of IHHL

Availability of water in the IHHL is one of the main factors that deter the usage of

toilets. Before the scheme, 76 per cent respondents reported not having a water

connection in their IHHLs which declined to 23 per cent after the scheme. While only 8

per cent respondents reported having adequate water connection t o IHHLs before the

scheme, 59 per cent have adequate water after URWSSP.

Water Availabillity in IHHL

30%

8%

Before Scheme

15%

76.%

Yes, Adequate

Yes, Not adequate

No

12%

After Scheme,

59%

Figure 3:8 Availability of water for use in IHHL

69

28

3

16

83

1

0

10

20

30

40

50

60

70

80

90

Not used Used by all family

members

Used only by

women

Befpre Scheme

After Scheme

59

The benefits of having an IHHL in terms of time saved is highlighted in the following

section of the chapter where 66 per cent people have reported that they save time that was

earlier spent on walking/going for open defecation. Before the implementation of the

scheme, people would spend around 30 minutes to 1 hour which has now decreased to 14

per cent from 41 per cent.

3.3 Capacity Building

Capacity building of the stakeholders is an important parameter for effective

implementation of the project. A total of 7,956 capacity building programmes were

conducted with an aim to build the capacity of the various stakeholders and beneficiaries,

at the apex, strategic, intermediate, and the grassroots level. Secondary data suggests that

6,868 training programmes have been conducted at the grassroots level, reaching out to

205,652 persons (SWSM data) mainly around the thematic areas of Water Supply &

Sanitation. The impact assessment has also focussed on assessing the reach and effectiveness

of the capacity building programmes, with respect to 130 schemes in 13 districts of

Uttarakhand. During our primary studies, 85 per cent of the surveyed households have

reported that training and awareness programmes related to sanitation, water quality,

operation and maintenance of scheme, waste management, catchment area protection, and

natural resources conservation, were conducted. Further, the findings of the primary

studies have also highlighted representation of the grassroots level organization and

beneficiaries in the programmes. Equity in terms of representation of members from

economically backward sections or members belonging to BPL households as well as

gender equity in terms of adequate participation of women has been observed. Nearly 30–

50 per cent participation of women was also observed in the surveyed schemes. However,

the participation of women from marginalized section (i.e., nearly 0–25 per cent) was less as

compared to other castes. This may be due to prevalence of rigid caste system in some

villages. Regarding the effectiveness of the capacity building programmes, the survey

findings from all the 13 districts showed that the programmes were very effective in

building the capacity of the beneficiaries with almost 100 per cent respondents reporting the

same. Sixty-six per cent of the households have also reported that the project has led to

creation of employment in the village. The average number of persons employed for these

130 schemes was reported to be 2 persons.

60


Case 1. Government Intermediate College, Koti, Banyawala

The coeducation school has around 150 students from the nearby villages studying in

grade 8-12. Our Interviews with student’s teachers and parents have clearly highlighted

positive impact of school sanitation on education. Two toilets each were constructed by

PMU in the year 2009. The school also received drinking water facility in 2012-13.

During the same period the village benefitted from the rural water supply scheme in

Athurwala. Our interactions with the teachers, students and parents have highlighted

the following;

• Improvement in enrolment pattern of girl students

• Improvement in attendance of girl students

• Increased retention of girl students

• Improvement in health and hygiene of the students

Mr. Guraraj Singh Gussain, Teacher at the school, said that existence of separate toilets

in school is one of the main considerations for admission, especially in the case of girls

who are among pubescent-age. Improved awareness and increased education of

parents have made them aware and now demand separate toilets for girl students and

consider it an important need for their daughters’ health, privacy, and safety. Mr. Balbir

Singh Varma, recently appointed as the Head Master of the school was also of the

opinion that the school has improved hygiene practices and better environment which

is a very important factor for maintaining the health of students.

Figure 3:9 Enrolments of girl and boy students in grade VIII

‘It is embarrassing to be defecating in the open, as a little child I used to go in the open

with my mother, but now I myself disapprove of this behaviour as it’s a shame to defecate

in the open and spreads diseases’ said Sonali a student of grade XII

3.4 Education

During the Focus Group Discussions that were undertaken, we observed that in some regions

improved water and sanitation

in the region and specifically

in the schools have led to an

improvement in education. It

was highlighted that children

both boys and girls are now

able to complete their

schooling with improved

water and sanitation and a

general improvement in the

school environment in terms of

hygiene. Many schools both in

Kumaon and Gharwal region

lacked adequate water and

sanitation services that had an

impact on school attendance.

The PMU has constructed

toilets in 3137 schools and 371

Anganwadis across the state of

Uttarakhand. A total of 2059

toilets (girls and boys toilets)

were constructed in Gharwal

region and 1322 in Kumaon

region. Based on our

interaction with PMU officials,

we have selected Government

Intermediate College, Koti,

Banyawala in Dehradun

district and Government

Intermediate College Chanfi of

Nainital District. Time series

data on annual school registrations by sex and grade were analysed and attendance registers

were also assessed. The findings from our study in the schools of both the regions of Kumaon

and Gharwal have highlighted an improvement in enrolment of students as well as

improvement in gender parity in the schools after the toilets were constructed. Increase in

students’ enrolment was attributed to improved access to separate toilets in schools,

improvement in school environment for students through convenience, privacy and pride in

the school and also reduced burden of water collection at the household level. Another

important impact of improved sanitation on education was observed through Improvement

61


in retention of girl students after implementation of school toilets. Thus the Salient findings

from both the case studies highlight;

• Positive impact of sanitation on education, both due to the implementation of improved

sanitation in schools and in the region as a whole

• Increased enrolment of students with improvements in gender parity. Girl students are

able to continue with their studies due to the access of separate toilets in the schools,

reduced burden of water collection at the household level and general improvement in

the school environment for students through convenience, privacy and pride in the

school that have been noticed

• Improvement in retention of girl students after implementation of school toilets

(interviews with teachers and parents)

• Improvement in Attendance: Though the correlation of improved attendance could not

be clearly highlighted quantitatively in this study the qualitative assessments including

interviews with parents suggest reduction in absenteeism and an improvement in

attendance which is a vital factor of academic success for elementary school students.

3.5 Institutional

The URWSSP has brought around a considerable reform in the institutional framework

with SWAp. One of the biggest highlights of this programme is in terms of its impact on the

community through improved participation of the PRIs and UWSSC. The PRIs and the

UWSSC have had their share of decision making, and particularly the responsibility for

investment in the schemes with the support of the project facilitators mainly the PMU, UJS,

and UJN, who have also had a positive role in capacity development of these local

government authorities or the Gram Panchayats.

The URWSS project is based on bottom up approach, wherein the beneficiaries have the most

important role to play in the project planning and implementation. Good participation of

communities in the planning and implementation of the scheme was observed in the surveys

with around 78 per cent respondents reporting participation of the households in the project.

All the 130 schemes surveyed were reported to have community contribution in terms of

either labour or money towards the water supply scheme. The PRIs have also had a key role

in the initiation of the project.

The findings of the primary survey show that the participation of women in planning and

implementation was as high as 25–50 per cent. The survey has also highlighted that the

almost 80 per cent of the schemes are capable of resolving issues pertaining to water supply.

Seventy-eight percent of the households have reported that the maintenance of the water

related infrastructure is adequate. The scheme level surveys and the FGDs have indicated that

more O&M activities are undertaken regularly by the UWSSC and they have been actively

involved in addressing local issues such as repair and maintenance of the rural drinking

water facility.

62


One of the important factors for the sustainability of any rural water supply scheme is the

ability to pay by the users. Our study indicates 70 per cent of the surveyed schemes collect

tariff regularly (majority of the schemes collecting the same on a monthly basis) and 80 per

cent of our households have reported to pay the tariff regularly. During our field visits to

the 130 schemes surveyed we have observed that around 68 per cent of the schemes

maintain records and also main their accounts regularly. Sixty-six per cent of these schemes

have reported to be conducting regular meetings.

Community participation and leadership of the UWSSC has been a key determinant to the

success of the URWSSP. The leadership of the UWSSC in implementation operation and

maintenance in supply of water has been clearly highlighted during the primary studies

3.6 Livelihood and Income

In the state of Uttarakhand, majority of the population is involved in agriculture, livestock,

and tourism for their source of livelihood (Social Assessment Report, 2015). In the selected

study villages also, majority of the population primarily depend on agriculture and allied

activities for their livelihood. Women play an active role in managing agricultural

operations. Apart from agriculture, labour activities (masons, agriculture), petty business,

and service also constitute as an important source of income.

With the URWSSP project, water is made available in the villages and closer to the

habitations and therefore, has offered scope to the communities to get involved in

diversified income generation options and livelihood enhancement activities such as

kitchen gardening (mainly for household consumption), livestock rearing/poultry, etc.

Nearly half of the interviewed households reported that the scheme has enabled them to

engage in productive activities due to the time saved in fetching water. It can be noted from

the figure that 63 per cent of them have taken up some enterprising activity. While the rest

got some extra time to work in their agricultural fields or rear cattle. Some of them even

explored job opportunities in the nearby factories or preferred to work as wage labourers.

Men who worked as wage labourers reported an increase in income of 30 to 40 per cent.

Women preferred undertaking knitting and on an average earned Rs. 2,000/month.

63


Figure 3:9 Engagement in productive economic activities

During discussions with the community, it was also revealed that prior to the scheme, the

households felt restricted to keep more cows and goats at home due to the risk of cattle

being attacked by wild animals while taking them to source of water for drinking and

bathing purposes. Also, another major reason for not being able to buy cattle is the

significant proportion of water that they consume, for example, on an average, a cow

consumes 60 litres of water per day. With the introduction of the scheme and availability of

water at the doorstep, the most visible impact is the increase in the livestock numbers.

Communities have even started rearing better breed of livestock due to availability of water

and in some cases fodder (due to kitchen gardening). Although milk was mainly used for

household consumption, some of the communities reported an increase in income of nearly

20 per cent. This increase in income was mainly utilized by the women folk to meet

household needs. Some of the households also used water for kitchen gardening and

cultivated vegetables such as onion, garlic, chillies, and green leafy vegetables which were

used mainly for household consumption.

In addition, it was noted that employment was generated at the time of implementation of

the scheme for construction of tank and laying of water pipe networks, etc. Every village

has also one person appointed as pump operator with monthly salary of Rs 4,000/month (in

large schemes covering 300 to 400 households in the plains) and Rs 500 to 800/month (in

smaller habitations). Some local masons received training and job opportunities as they

were hired for construction of sanitation facilities, resulting in increased income. Further,

the project generated income for plumbers and labourers on a call basis if there is any fault

or construction required in the water supply network. For instance it was reported that in

Naini Pondar scheme of Rudraprayag district, 4 additional jobs were generated annually,

with an additional increase in income of Rs. 25,000. Similarly, under the Khaat Scheme in

63%11%

5%

21%

After Scheme (%)

Starting a

shop/business

Improving

existing business

Increasing

livestock

Others

64


Rudraprayag district, 10 additional jobs were generated annually, with an additional

increase in income of Rs. 15,000.

3.6.1 Voices from the field

Case 1 - Livelihood activity

Mr Lal Chand, resident of Majri Grant in Doiwala block of district Dehradun is employed as a water

quality analyst in a private sector. He bought two cows after URWSSP (Chandi Plantation scheme) was

implemented in his village in 2009. “Earlier I used to have only one cow as my wife who is a

homemaker had to fetch water from a common well in the village which is quite a tedious task”

expressed Mr. Chand. Although he occasionally helped in fetching water, mostly this responsibility

was shouldered by his wife. He also opined that though he wanted to keep more cows, distance and

the task of fetching water from a well prevented him from doing so. But, after getting individual

connection of water from the scheme, he was motivated to buy more cows and give full credit to the

augment of the water supply scheme for making life easier for his wife and the entire family. His wife

proudly mentioned - “We are able to save almost Rs 1500 a month, which earlier was used to spend on

milk and milk products for the entire family”. Though the family gets some additional milk now, they

don’t want to sell it in the village rather they prefer to share with the neighbours.

Case 2 – Livelihood activity

Kunda village situated in Kot block of Pauri Garhwal is an exemplary example where the water

supply scheme has significantly impacted the lives of the households in the village. Before the

scheme, the village community had to travel long distances to get basic supply of vegetables and

green leafy vegetable like spinach was considered as luxury. A bunch of spinach was

distributed leaf by leaf among every household. Milk was scarce in the village and people used to

consume only black tea, since they did not have the resources (including water) to maintain the

livestock. Now, after the augmentation of water supply scheme, the village community has

become self-sufficient in terms of kitchen garden and cultivates vegetables such as onion, green

leafy vegetables and garlic. Also, the community has started keeping cows and goats which not

only meet their own milk requirements but also help them earn additional income (on an average

- Rs 1000/month) by selling the milk.

In addition to the above positive changes, the village is also fully sanitized and open

defecation free for which it is awarded with “Nirmal Gram Puraskar” (NGP) by the Ministry of

Drinking Water and Sanitation (MoDWS), Government of India.

Main actors responsible for this

• Panchayat - Awareness generation

• UWSSC - Responsible for project implementation (community mobilisation, ensuring adequate

water supply and facilitating construction and usage of toilets)

• Community - Construction of toilets and their use by all the members of the family

65


3.7 Health and Well-being

It is being increasingly recognized that access to safe drinking water, sanitation, and

hygiene has an important positive impact on health. Recognizing the importance of health

and taking into consideration, the Millennium Development Goal (MDG) which states that

by year 2015, the number of people without access to drinking water and basic sanitation

will be reduced by half, the Government of Uttarakhand has prioritized URWSS as a key

area of its development agenda. The government envisages universal coverage of safe and

potable water and sanitation by the end of its Twelfth Plan (2012–17)1. The overall coverage

of habitations with water supply was achieved at 98 per cent against the project end target

and the overall sanitation coverage in the state for Individual Household Sanitary Latrines

(IHHLs) was 93 per cent against the project end target (Sinha, 2015). For the health and

overall well-being, several schemes and announcements were made during the project

phase such as funding to the villages with 90 per cent coverage against open defecation and

introduction of pre-fabricated toilets in village like Devaal of Chamoli district (Swajal

Uttarakhand, 2015).

The most perceived health benefit of the scheme is the considerable reduction in water

borne diseases like, jaundice and diarrhoea particularly among children. It can be noted

from the figure that the percentage of households which reported frequent occurrence of

water borne diseases was just 1 per cent after the project. Also instances of no records of

water borne diseases increased from 38 per cent to 96 per cent. Reduction in diseases was

further corroborated by Accredited Social Health Activist (ASHA) workers during

discussions in some of the villages (Majri Grant and Genwla). Decrease in skin

rashes/diseases and hair loss was also reported by the village community. Reduction in

diseases is mainly attributed to availability of potable water and improved sanitation

facilities. This is an important tangible benefit, considering the challenge of physical access

to health care facilities in Uttarakhand. In the state, among those not accessing government

health facilities, 49 per cent attribute the cause to lack of a nearby government health facility

(NFHS-3, 2005–06). This has also resulted in reduced health care expenditure (almost

negligible for water borne diseases) although the community is not able to exactly say the

amount of money that is saved.

The introduction of the scheme also resulted in the change of frequency of bathing which

has become regular now. During discussions with the community and other stakeholders, it

was highlighted that the use of toilets and other self-hygiene practices like hand washing,

regular bathing, and keeping the toilets and the surrounding area clean had a direct benefit

on the health of the family.

66


Figure 3:10 Status of water borne diseases

3.7.1 Sense of security

Another important benefit noted by the community due to the availability of toilets is an

improvement in sense of security and dignity. It can be noted from the figure that 63 per cent of

the respondents (mainly women and children) indicated a reduction in incidents like snake and

animal attacks, etc., that heightened the sense of security among the villagers.

Figure 3:11 Sense of security

The project has not just resulted in improved water supply services, access, and

improvement in water quality. It has also raised a whole lot of awareness about the

importance of clean sanitation, health, and hygiene. Community is also aware about the

nature of the project in terms of ownership and responsibility and also the role of UWSSC

and community, in general, for the overall operation and maintenance of the scheme. Some

of the behavioural changes that are apparent in the study villages are discussed further

ahead.

31%

63%

6% Sense of Security - After scheme (%)

None

Reduction in

animal attacks,

etc.

4%

58%

38%

Before Scheme (%)

Frequently

Rare

Not recorded

1% 3%

96%

After Scheme (%)

Frequently

Rare

Not recorded

67


3.7.2 Sanitation facilities used by all family members

The household survey clearly indicated the use of individual household toilets by 83 per

cent of the village community after the introduction of the scheme (refer Fig 3.7). Inspection

of households, during the field visits, also indicated that majority of the households kept

their toilets clean and dry. The UWSSC has been prompt in mobilizing the village

community in discontinuing the practice of open defecation and convincing them to build

their own individual household toilets. Although some of them were reluctant about the

need of the wash basin along with the toilet, the demonstration effect convinced most of the

households of the need for a wash basin. Hand washing with soap after defecation is

another important aspect opined by the community.

3.7.3 Payment of user charges

It can be noted from the figure that nearly 78 per cent of the GPs collected water charges

from the users and in majority of the GPs water charges are fixed between Rs. 20–30/month.

Less than 10 per cent of the GPs had fixed water charges of more than Rs. 100/month.

Nearly 15 per cent of the GPs did not have any fixed charges and the UWSSC raise money

from the community as and when there is a requirement for operation and maintenance.

Stakeholders during the work shop indicated that regular payment of water charges has

become part of the household habit. It was also noted that 682 female headed households

pay their water bills regularly.

UWSSCs are playing a crucial role in fixing and collection of water charges; however they

have not introduced any incentives for timely payments or penalties for late payments. The

GPs which did not fix any water charges use money from the GP funds to fix any water

related maintenance issues. During the stakeholder workshop, it was clearly indicated that

the GPs, where water charges are not fixed, have decided to fix between Rs. 50 to 100 in the

next 2 to 3 months.

68


Figure 3:12 Collection of water charges

3.7.4 Disposal of waste

Safe disposal of waste is another important outcome of the project. It can be noted from the

figure that more than 49 per cent of the households safely disposed solid waste at home and

surroundings by collection and heaping at marked location. Liquid waste is also disposed

in soak pits.

Figure 3:13 Disposal of waste

0

0.05

0.1

0.15

0.2

0.25

0.3

Water charges / month (Rs)

5%

46%40%

9% Disposal of waste - after scheme (%)

Poor

Average

Good

Very Good

69


The Support Organizations (SO) have undertaken the task of providing training to

UWSSC and Women Self-Help Groups on subjects like self-hygiene and sanitation

(hand washing, regular bathing, usage of latrines and its benefits, etc.), role of women in

community development and trainings such as tree plantation and animal husbandry.

UWSSC and the GPs have also played an important role in popularizing the booklets

containing information on use of toilets and safe disposal of infant feces.

It is evident from the figure below that overall, the village community seems to be

satisfied with the project. They are also confident about the ownership and the long

term operation and maintenance of the system. Some of the major reasons stated for

overall satisfaction are as follows:

• Adequacy of water supply—to meet the household domestic needs (70 per cent of

the respondents have mentioned that water is available all the time).

• Decrease in water-borne diseases, particularly among children.

• Improved sanitation—Individual toilets + wash basin—used by all family members.

• Increased leisure time—socialising, perusing hobbies like knitting.

• Active functioning of UWSSC—ensuring water supply, maintenance, and collection

of charges.

Figure 3:14 Overall satisfaction with the scheme

3.8 Gender

1

12

19

57

11

7 6

13

55

19

1

6

25

53

15

10

20

30

40

50

60

Very Poor Poor Satisfactory Good Very Good

UJN UJS PMU

70


In Uttarakhand, agriculture, livestock, and tourism are the major sources of livelihood.

The large proportion of male population migrates to other cities for employment leaving

women to manage agriculture and household affairs. The project which is implemented

through the rural local government, in partnership with rural communities, also has a

women development initiative which aims to empower women through provision of

water and sanitation facilities and enhance their capacities through involvement in local

institutions.

It can be seen from the figure below that after the introduction of the scheme, water is

available to the majority of the households (93 per cent) at a distance less than 200

minutes. Availability of water has helped the community, especially the women folk in

terms of reduced time and distance in fetching water and an overall reduction in

drudgery.

Figure 3:15 Distance to water source

With water available at less than 200 minutes, it can be noticed from the figure below that

the time taken to fetch water also reduced considerably after the introduction of the

project. Around 93 per cent of the households reported that they take less than 30 minutes

to fetch water for domestic purposes. Likewise, it can be noticed from figure 3.16, that

time is also saved due to improved sanitation facilities at home. With the introduction of

individual household toilets, majority of the households (86 per cent) take less than 30

minutes to attend to nature’s call. Hence, it was stated by the community that on an

average, time saving per households is nearly two hours per day

12

37 4

2

10

93

5 3 0

0

10

20

30

40

50

60

70

80

90

100

Less than 200m 200-500 m 500m-1km More than 1km

Distance travelled to water source (%)

Before scheme After scheme

71


Figure 3:16 Time taken for water collection per day

Figure 3:17 Time saved due to improved sanitation facility

During discussion with the community, it was clearly opined that the project has led to

tangible benefits like time saved in fetching water, reduced drudgery, and increased

time for leisure and socializing, mainly for the women folk. With the introduction of the

scheme, the school attendance has improved and also the children get more study time.

Women have also started attending to children and their school work. During the Focus

Group Discussion (FGD) in the village of Kunda in Pauri Garhwal, a woman quoted the

problem of hair loss due to carrying of water pot on their head has stopped post

initiation of the scheme.

10

47

30

11

1

93

4 2 0 0

0

10

20

30

40

50

60

70

80

90

100

Less than 30

minutes

Half an hour to

one hour

1 to 2 hours 2 to 3 hours More than 3

hours

Time taken for water collection per day (%)

Before scheme After scheme

12%

49%

37%

2%

Before Scheme (%)

Less than 15

minutes15-30

minutes30 minutes

to 1 hours72%

14%

13% 1%

After Scheme (%)

Less than

15

minutes15-30

minutes

72

In addition, the UWSSC gave due importance for inclusion of women representatives

and scheduled caste members. The UWSSC comprised of 8 to 12 members and in 80

per cent of the surveyed villages it was observed th a t there are 2 to 4 women

members. During discussions, it was clearly opined that women, when heading the

committee, are active in taking decisions regarding identifying water points, tariff

fixation, utilization of funds, accounts management, and community contributions.

They are also active in taking care of operation and maintenance of the scheme.

During stakeholder discussions it was mentioned that in Fatepur and Sapera Basti

GPs, women members have been trained by UWSC to carry out the maintenance

work and account keeping (plumbing and collection of user charges). This has led to

the visibility of women as technicians.

Figure 3:18 Role of women Pradhan

During stakeholder workshop it was highlighted that in majority of the GPs (around 64

per cent) women are Pradhans and it can be noted from the figure that women Pradhan

(86 per cent) played an important role in decision making or planning or implementation

of the project. Further, they are playing an active role in generating awareness about

sanitation and cleanliness, assigning responsibilities to ward members to keep their

wards clean and water quality monitoring. Also, during stakeholder workshop it was

mentioned that in many GPs, women representatives constitute more than the mandated

30 per cent and are increasingly playing a major role in the decision making. They are no

longer accompanied by their husbands/male members of the family for the meetings.

Moreover, when women is a Pradhan there is a greater interaction with the women folk

in the community since they are more comfortable in discussing development issues and

at times, even personal problems

Athoorwala GP headed by a woman pradhan was the among the first recipients of

Nirmal

86%

14% Role of women pradhans

Decision making /

planning /

implementation

73


Gram Puraskar (NGP) in the state. The main reasons attributed were -

o Social mobilization under the project and proactive initiative by the

Pradhan on water and sanitation awareness.

o The stewardship of the woman Pradhan—The GP has fixed deposits and

the cash balance of Rs 18.5 lakhs.

o The woman Pradhan was elected thrice which reflects the confidence of

the community in efficient women candidates

3.9 Local Environment

Although the main outputs of the interventions were in the areas of provision of

improved drinking water, various trainings related to sanitation and hygiene have

led to an overall improvement in the environment. The communities in which these

schemes were implemented mainly in hilly and often very tough terrain have

brought about an improvement in the local environment of the region, mainly

through the provision/promotion of IHHL for households in the region. Improved

access to toilets and improved availability of water for use in these toilets has led to

increased use of toilets. This has led to a considerable reduction in open defecation

which in turn has had a positive impact on the local environment as well as the

health and well-being of the local population, in addition to an improvement in

local aesthetics. With improved sanitation, reduction in open defecation and

improved water quality by scheme, has led to an improvement in health status of

the people in the region and a reduction in the occurrence of disease (water-borne

diseases particularly diarrhoea, particularly in children, as highlighted in the

previous sections. The capacity building and awareness programmes conducted

under the URWSSP have also led to a significant improvement in the local

environment that has helped the households to keep surroundings clean. Some

communities were provided the training regarding the solid waste treatment,

which has led to considerable improvement in the local aesthetics and also

enhanced the local environment. Moreover, the households were provided with

soak pits for dumping wastewater generated from kitchen and toilet, which in turn

leads to a healthy environment. Overall, the schemes mark the expectations in

improving water quality, sanitation, and creating a healthy environment in the

communities.

74

4 Economic Analysis

4.1 Introduction

Improved access to clean drinking water and sanitation facilities through the Uttarakhand

Rural Water Supply and Sanitation Project has resulted in a number of direct and indirect

benefits for people in the intervention areas of the State. Greater and more convenient

access to safe drinking water and sanitation has directly benefitted the health of the people,

while reducing the drudgery associated with water collection. The project has also had

several positive spinoffs—it has enabled higher school enrolment, especially amongst girl

children, augmented productive opportunities for people presumably both due to the use of

water as an input and by releasing time and energy from water collection or periods of

illness, and in general, improved the quality of life of the project beneficiaries.

Some of the specific benefits that have emerged from the impact assessment surveys are as

follows:

1. Time saved on water collection and reduced drudgery, especially for women and

children due to improved access to water

2. Time saved and enhanced sense of security and dignity due to improved access to

household toilets

3. Increased access to water services

4. Reduction in water-borne diseases

5. Higher enrolment and retention of girl students, especially post puberty

6. Increase in livelihood opportunities both directly under the project (e.g. employment

during construction and maintenance) and due to greater availability of water and

time (e.g. beneficiaries were able to keep more livestock or start small businesses)

7. Decentralization and empowerment of Panchayati Raj Institutions (PRIs), resulting in

enhanced local capacity, greater community ownership of projects, and higher

overall efficiency in service delivery

8. Higher cost effectiveness in the construction and maintenance of schemes due to

decentralization which has also freed up public monies for the provision of other

infrastructure and services

9. Regular payment of tariffs by users resulting in financial savings for many UWSSCs

10. Greater reliance on local and more environmentally sustainable gravity-based

sources of water

75


The economic analysis aims at valuing some of these benefits in order to enable a

comparative assessment of the benefits and costs of the intervention. The analysis draws

on the impact assessment surveys and makes use of data and information from several

sources, including:

• questionnaire-based surveys at the household level and scheme level

• field observations

• semi-structured focus group discussions

• interviews with officials of the three facilitating agencies at multiple levels (state,

division/district, and scheme levels)

• review of secondary information (other research studies, detailed project reports-

DPRs, implementation phase complete reports—IPCRs, village/scheme profiles) and

information available on the Sector Information System

(http://swajalsis.uk.gov.in/Reports/Default.aspx)

The project supported gravity-based technologies that use water from local springs and

gadheras (small stream of water flowing downwards from top of the hill) and pumping-

based technologies (tubewell pumping and surface pumping). The distribution of schemes

by the major technologies and facilitating agencies is summarized in Table 1.1 The economic

analysis is based on 3,590 gravity and pumping (tubewell and surface) schemes, of which

close to 96 per cent were gravity-based.

Table Table 1: Number of schemes by technology and agency

Gravity Gadhera

& Spring

Pumping

Tubewell

Surface

Pumping Total

1 Swajal 1321 72 3 1396

2 UJS 1396 5 1 1402

3 UJN (3a+3b) 722 27 43 792

3a MVS 25 10 1 36

3b SVS 697 17 42 756

Total (1+2+3) 3439 104 47 3590

*UJS: Uttarakhand Jal Sansthan, UJN: Uttarakhand Jal Nigam, SVS: Single Village Scheme, MVS:

Multi Village Scheme

Source: SWSM, Dehradun and Sector Information System (http://swajalsis.uk.gov.in/)

This chapter is structured as follows: section 2 discusses the quantification and valuation of

project benefits; section 3 discusses the estimation of capital and operations and

maintenance costs; section 4 presents the results of the economic analysis and the sensitivity

analysis.

1 The SIS provided detailed scheme level information for 3,590 gravity and pumping schemes (against a total of 3,817 schemes on ground, which also include rainwater harvesting schemes not considered in this analysis).

76

76


4.2 Quantifying and valuing the benefits of the project

As discussed earlier, the project has benefitted the population in the intervention areas in

several ways. The following benefits were identified for reliable quantification:

• Time saved due to improved access to water

• Increased access to water

• Reduction in water-borne diseases (diarrhea)

An important component of the project was its contribution to the State’s implementation of the

Total Sanitation Campaign through collective behavior change. To this end, IEC (information,

education and communication) activities were an integral and important part of the project.

The project, thus, illustrates the benefits of an integrated approach to water and sanitation.

In the economic analysis, the conjoint benefits of water and sanitation are captured through

the reduction in water-borne diseases (diarrhea) in the intervention area. Other benefits,

such as direct and indirect employment opportunities created by the schemes and higher

school enrolment were difficult to measure and extrapolate at the project level.2 The

estimates derived here, thus, should be seen as conservative. The methodology adopted for

valuation is elaborated below:

4.2.1 Value of time saved

The household surveys conducted by the Academy of Management Studies, Lucknow,

revealed that on an average, each household saved 2 hours each day due to improved access

to water supply. This saving in time was valued at 30 per cent of the minimum wage rate

stipulated in MNREGA (i.e., Rs 161 per day).3 This was done since water collection activities

are usually undertaken in the non-working time and can be timed flexibly along with wage

earning agricultural activities.

4.2.2 Incremental water supply

All households surveyed stated that they had access to additional water as compared to pre-

scheme. The new schemes are designed for an average supply of 55 lpcd while it is

estimated that pre-scheme, households used about 10–15 lpcd of water (SWSM data). Thus,

the project has led to per capita daily incremental water use of at least 40 litres. This

incremental water supply was valued at its opportunity cost in terms of the average per litre

cost (capital and O&M) of water supply under the present scheme. This cost was estimated

at Rs 17.64/Kl of water as the ratio of (annualized) capital and O&M cost to annual water

provision under the project (assuming 55 lpcd supply of water for the beneficiary

population).

2 About 47 per cent of the survey respondents indicated an increase in income (average of about Rs 450 per month per household) due to new opportunities, such as higher livestock and small businesses, made possible by improved access to drinking water

3 Ministry of Rural Development, Government of India.

http://nrega.nic.in/netnrega/writereaddata/Circulars/1025MGNREGS_wage_notification_2015_16.pdf. The

Ministry has stipulated the minimum wage rates according for each state. These wage rates came into effect from

1st April, 2015

77


4.2.3 Health benefits

Many life-threatening diarrheal diseases are waterborne, so that improving water quality in

terms of microbiological contamination is one of the most important contributions of

improved water supply to public health. In addition, various non-infectious disorders of the

musculoskeletal system resulting from the prolonged carrying of heavy weights, especially

during childhood, can be significant (WHO 2011). In addition to better quality of water,

improved access—and the resulting increase in the availability of water or time used for

hygiene—are major determining factors of health benefits as shown by studies in a number

of low-income countries (WHO 2011).

This analysis considers changes in the incidence of diarrhea as a most conservative estimate

of health benefits. About 88 per cent of diarrheal cases, globally, are attributed to water,

sanitation and hygiene (WASH) (Pruss-Ustun et al. 2004). This is a conservative approach

since malnutrition induced by sanitation-related diseases also increases the incidence of

other illnesses such as acute lower respiratory infections (ALRI), measles, and malaria. The

benefits of the intervention in terms of reduction in the incidence of diarrhea due to

improved water supply and sanitation were captured through the following:

1. Reduction in morbidity captured by disability adjusted life years (DALYs)4

2. Reduction in treatment-related expenses

3. Reduction in loss of person days, measured as the opportunity cost of time lost in

sickness (in the case of diarrhea in adults) or in care giving (in the case of diarrhea in

children)

Data from household surveys and Primary Health Care Centers was not found to be

consistent and reliable enough for the economic assessment. Hence, the analysis relied on

secondary data to estimate the change in the incidence of diarrhea. Data from the National

Family Health Survey (NFHS)-3 (2005/06) was used for the baseline year, while current

incidence was based on the findings of the Annual Health Survey 2012/13.5

Following World Bank (2013), annual episodes of diarrhea per child under 5 years of age

were estimated by multiplying the two-week prevalence rate by 52/2.5. The underlying

assumption here is that the average duration of diarrheal illness is about 3–4 days, and thus

the two-week prevalence captures a quarter of the diarrheal prevalence in the week prior to

and a quarter in the week after the two-week prevalence period. Annual episodes per child

were multiplied by the number of children under-5 years in the project intervention areas.

The NFHS and AHS do not provide information separately for adults and children. Based

4 One DALY can be thought of as one lost year of ‘healthy’ life. The sum of DALYs across the population, or the

burden of disease, is used globally as a measure of the gap between current health status and an ideal health

situation where the entire population lives to an advanced age, free of disease and disability.

http://www.who.int/healthinfo/global_burden_disease/metrics_daly/en/ Accessed on 12 December 2015

5 The Annual Health Survey of the Ministry of Health & Family Welfare was carried out annually between

2010/11 and 2012/13 in 284 districts (as per 2001 Census) of the 8 Empowered Action Group States (Bihar,

Jharkhand, Uttar Pradesh, Uttarakhand, Madhya Pradesh, Chhattisgarh, Odisha, and Rajasthan) and Assam for a

three year period starting from 2010–11. The findings of the survey indicate a sizeable drop in the incidence of

the diarrheal morbidity both amongst children and the general population in recent years.

78

78


on international experience, it was assumed that diarrheal incidence in the above 5 years age

group was 20–30 per cent of that in children under 5 years (World Bank 2013). These

estimates of morbidity were converted into the DALYs and valued in terms of the per capita

income of Uttarakhand, i.e., per capita NSDP was thought of as a proxy for the willingness

to play for one additional year of life in the State. The cost of treatment was based on

estimates of the share of the population seeking medical attention and the average cost of

treatment (see Table 2).

The key assumptions and data sources used in the economic estimation of the project

benefits are provided in Table 2 below.

Table 2 Basic assumptions for valuation of benefits of URWSSP

Assumption Source Comments

Time saved due to improved access to water

Time saved per

household per

day due to

improved access

2 hours Based on household

surveys conducted

by the Academy of

Management

Studies, Lucknow

As per information shared by

SWSM

Value of time Rs 161 per day (or Rs

20.13 per hour) -

minimum wage rate for

Uttarakhand stipulated

in MNREGA with effect

from 1st April, 2015

Ministry of Rural

Development,

Government of

India.

http://nrega.nic.in/n

etnrega/writereadda

ta/Circulars/1025MG

NREGS_wage_notifi

cation_2015_16.pdf.

30 per cent of the minimum wage

rate (i.e. Rs 6.00/hour) was used to

value the time saved on water

collection, the rationale being that

water collection is usually

undertaken in the non-working

time and can be timed flexibly

with wage earning agricultural

activities

Increased access to water

Incremental

water supply

40 lpcd based on the difference

between pre project (15 lpcd)

and post project (55lpcd)

consumption/supply

SWSM

Value of water

Rs 17.64/Kl

Estimated Opportunity cost of water in

terms of the ratio of (annualized)

capital and O&M cost to annual

water provision by the project

(assuming 55 lpcd supply to

beneficiary population)

79



Reduction in water-borne diseases (diarrhea)

Diarrheal 2-week prevalence

in children below 5 2005/06: 12.9%

2012/13: 6.25%

National Family

Health Survey (3):

2005/06 (for Rural

Uttarakhand)6

Estimated from

Annual Health

Survey 2012/13 (for

Rural Uttarakhand)7

NFHS provides diarrheal

incidence for children by

age upto 5 years while

AHS reports total

incidence for children

upto 3 years. For

comparability, the ratio of

incidence by age in

2012/13 was assumed to be

the same as in 2005/06.

DALYs per 100 thousand

cases of diarrhea in persons

>5 years

115 World Bank 20138 Distribution of the

beneficiary population by

age was based on the 2011

Census

DALYs per 100 thousand

cases of diarrhea in children

under 5 years

70 World Bank 2013

Percent of diarrheal cases

attributable to water,

sanitation and hygiene

88% Pruss-Ustun et al.,

20049

Value of each DALY Per capita NSDP of

Uttarakhand

(2014/15) –

Rs 115,632

Ministry of Statistics

and Programme

Implementation

(http://mospi.nic.in/

Mospi_New/site/inn

er.aspx?status=3&m

enu_id=82)

6 NFHS-3. National Family Health Survey Uttarakhand 2005/06, International Institute for Population Sciences,

Ministry of Health and Family Welfare, Government of India. http://www.rchiips.org/nfhs/index.shtml 7 AHS. 2012/13. Annual Health Survey, Uttarakhand, Office of the Registrar General & Census Commissioner, Ministry of Home Affairs, Government of India. http://censusindia.gov.in/2011-common/AHSurvey.html 8 World Bank. 2013. India: Diagnostic assessment of select environmental challenges; Economic growth and

environmental sustainability: What are the tradeoffs? Volume II, June 5, 2013. Report No. 70004-IN. Disaster

Management and Climate Change Unit, Sustainable Development Department, South Asia Region, The World

Bank. 9 Pruss-Ustun, A., Kay, D., Fewtrell, L., and Bartram, J. (2004). Unsafe water, sanitation and hygiene. In: Ezzati, M. et

al. (eds): Comparative quantification of health risks: global and regional burden of disease attributable to selected

major risk factors. World Health Organization. Geneva

80

80




given ORS. (children < 5

years)

85.30%

AHS 12/13 (for rural

Uttarakhand)


treated with antibiotic and

other drugs (children < 5

years)

45%

NFHS-3 (for rural

Uttarakhand)

The percent of diarrheal

cases (children < 5 years)

taken to a health provider

(excluding pharmacy,

shop, and traditional

practitioner. in rural

Uttarakhand was higher at

58.6 per cent (NFHS-3)


treated at medical facilities

(population >5)

40% World Bank 2013

Average cost of doctor visit

and treatment per episode of

diarrhea

Rs 400 Estimated from

World Bank 2013

Average cost of ORS per

diarrheal case in children

below 5 years (Rs.)

Rs 15 World Bank 2013

Average duration of diarrheal

illness (adults and children)

5 days World Bank 2013

Hours per day of care giving

per case of diarrhea in

children; and hours per day

lost to illness per case of

diarrhea in adults

2 hours World Bank 2013

Value of time spent in care

giving (for diarrhea in

children) or in sickness (for

diarrhea in adults)

Rs 20.13/hour

Based on Minimum

wage rate for

Uttarakhand as per

MNREGA

See above (row 2) for the

estimation of value of time

4.2.4 Number of beneficiaries

The number of project beneficiaries was estimated for 3,590 schemes for which data was

available from the Sector Information System (Table 3); beneficiaries were aggregated by

81


technology (gravity, pumping), type (SVS vs MVS), and year of completion of project

(2007/08–2014/15).

4.3 Cost of the project

Capital costs were taken from the Sector Information System (final cost estimates in IPCR

reports) for the 3,590 schemes for which data was available (refer Table 1 earlier). Costs were

aggregated by technology (gravity, pumping), type (SVS vs MVS), and year of completion of

project (2007/08–2014/15). All projects completed post 2014/15 or shown as ongoing were

clubbed under 2014/15. All costs were uniformly converted into to 2014/15 prices and

adjusted for tax and subsidy components (to derive economic costs) by using a factor of 0.9.

For schemes (some non-PMU SVS) for which costs were not available from SIS, technology-

and agency-specific average scheme costs estimated from SIS data were used.

The following assumptions were used in estimating O&M costs, in consultation with the

project facilitating agencies10:

• For Swajal/PMU schemes, O&M cost (as percentage of capital costs) norms were

estimated from scheme-level DPRs as reported on SIS

• O&M estimates were not available on SIS for non-PMU schemes. Based on

consultation with SWSM, UJN, and UJS, annual O&M costs were estimated at 3 per

cent of capital costs for gravity-based SVS and 5 per cent for pumping-based SVS

under UJS and UJN; annual O&M costs for MVS were estimated at 5 per cent for

gravity-based schemes and 7 per cent for pumping schemes

O&M cost estimates were found to be much lower for Swajal/PMU schemes (under 1 per

cent of capital costs for gravity-based schemes and 2–3 per cent for pumping schemes) as

compared to the norms used for UJS and UJN.

The following additional assumptions were made for the economic analysis:

• The life of each scheme was taken to be 20 years

• The rate of discount was taken to be 5 per cent (for the Base Case) as per World Bank

guidelines

4.4 Sensitivity analysis

A sensitivity analysis was carried out to study the effects on project benefita and costs of

possible inaccuracies in assessment, risks, and uncertainties around key variables on the

benefit side (time saved and incremental water supply) and changes in the rate of

discount. One of the main benefits of the schemes is the evident improvement in cost

effectiveness in the delivery of water services. The average capital cost for each single

village scheme is Rs 4,854 per capita, as compared to appraisal estimates for Rs 7,301 per

capita. Thus, the project has recorded a saving of 30 per cent compared to its own per-

10 O&M of the schemes is primarily the responsibility of the UJS and the Gram Panchayats once the schemes are handed over. We had to rely on these assumptions since the scheme-level survey did not yield consistent estimates for O&M costs.

82

82


capita cost targets and 60 per cent when compared to the norm of Rs 12,000 per capita of

Government of India’s National Rural Drinking Water Programme (NRDWP). Similarly,

the average project cost for a multi-village scheme is Rs 7,972 per capita, which is

equivalent to a saving of 22.75 per cent as compared to appraisal estimates (Rs 10,320)

and 68 per cent as compared to NRDWP norms (Rs 25,000). In order to capture the ‘cost

effectiveness’ of schemes, a separate scenario analysis was undertaken to compare the

estimated BCR (benefit cost ratio) using appraisal-stage cost norms and NRDWP cost

norms with the ‘Base Case’, the latter being based on actual project costs.

The following scenarios were considered for the sensitivity analysis:

• Base Case:

o Rate of discount: 5 per cent;

o Incremental supply assuming post-project supply of 55 lpcd and pre project

of 15 lpcd;

o Time saved in water collection: 2 hours;

o Health benefits: (avoided) DALYs, medical expenditure, and loss of time

based on the change in the incidence of diarrhea reported by government

household surveys

• S1:

o Rate of discount: 5 per cent;

o Incremental supply assuming post-project supply of 40 lpcd and pre project

of 15 lpcd;

o Time saved in water collection: 75 per cent of base case;

o Health benefits: (avoided) DALYs, medical expenditure, and loss of time

based on the change in the incidence of diarrhea reported by government

household surveys

• S2

o Same as Base Case but with 12 per cent rate of discount

• S3

o Same as S1 but with 12 per cent rate of discount

• S4

o Same as Base Case but with scheme costs as per project appraisal norms (Rs

7,031 per capita for SVS and Rs 10,320 per capita for MVS). These cost norms

were provided by SWSM.

• S5

o Same as Base Case but with scheme costs as per NRDWP per capita cost

norms Rs 12,000 per capita for SVS and Rs 25,000 per capita for MVS). These

cost norms were provided by SWSM.

83


4.5 Results

The results of the analysis are summarized in Table 4:

Table Table 4: Results of the economic analysis

Scenario Economic Internal

Rate of Return (%)

Net Present Value

(Rs lakh)

Benefit Cost

Ratio

Base case 35.68 134,088 3.53

SI 26.38 89,561 2.69

S2 35.68 45,397 2.29

S3 26.38 26,185 1.74

S4 16.95 87,263 1.87

S5 6.29 11,134 1.06

Even with a limit set of benefits, the project yields an overall BCR (Benefit Cost Ratio) of

3.53, with a high ERR (Economic Rate of Return) of close to 36 per cent. Further, as can

be seen from Figure 1, the project shows a positive and increasing cumulative NPV from

the ninth year onwards. The estimated economic rate of return of the project is higher

than that (20 per cent) envisaged by the Project Appraisal Document (2006).

Figure 1 Cost-benefit analysis of the project

The sensitivity analysis of the project shows that the benefit-cost ratio remains more

than one, even in scenarios with reduced benefits (S1 and S3). Further, a comparison of

alternative cost scenarios (S4 and S5), with the Base Case clearly show that the BCR of

the project is higher as compared to scenarios based on cost norms envisaged at the time

of project appraisal or those considered by the Government of India under the NRDWP.

(40,000)

(20,000)

0

20,000

40,000

60,000

80,000

1,00,000

1,20,000

1,40,000

1,60,000

1 2 3 4 5 6 7 8 9 1011121314151617181920212223242526272829

Va

lue

(R

s la

kh

)

Year

Present Value of Benefits ( Rs lakh)

Present Value of Costs (Rs lakh)

Cumulative Net Present Value ( Rs lakh)

84

84


. The sensitivity analysis also reveals that the project can absorb substantial negative

impacts yet yield a positive NPV. For example, a decrease of about 70 per cent in total

benefits still yields a positive NPV for the project. Thus, overall the economic analysis

supports the economically viability of the project.

85


5 Summary and Conclusion

Improved access to water supply and sanitation under the URWSSP has had

considerable positive impacts on the rural households and the entire state of

Uttarakhand. The project has been rated to be highly satisfactory by its beneficiaries in

terms of service provision. The project has achieved the primary objective of bringing

about improvement in rural water supply and sanitation services through

decentralization, increased role of the Panchayati Raj Institutions, and the involvement

of local communities in the state of Uttarakhand. As detailed in Chapters 2 & 3, the

project has substantial positive impacts envisaged as well as some unexpected impacts

that have led to an overall improvement in the quality of lives of the people of rural

Uttarakhand. Our impact assessment study highlights strong evidence of the URWSSP

in improvement of health and other social and economic indicators.

Our study finds that all schemes covered under the survey are functional providing

adequate service delivery that has led to improvement in access, increase in availability

throughout the year, 24 hours supply across seasons in most regions and improvement

in sufficiency to meet the household requirements. There is an improvement in the

quality of water in terms of taste, odour, and colour. Water quality testing and

chlorination are regularly carried out in most of the schemes visited. However, the

frequency of testing water in maximum schemes has reduced in the recent years for

some schemes.

With the increase in percentage of households using improved sanitation facilities that

are now made accessible to the rural households under the URWSSP, a drastic

improvement in health and psychological well-being has been observed. The impact of

several Information Education and Communication activities under the project has led

to increased awareness of communities on health and hygiene benefits of sanitation

which has led to behaviour change. The main visible impact of improved sanitation has

been reduction in the occurrence of diseases with these rural beneficiaries witnessing an

overall improvement in health, improved dignity and status, women’s security,

children’s safety, and comfort.

The promising results of URWSSP in terms of reduced drudgery, time saved,

opportunities for livelihood as highlighted in this study support the argument of a

strong causal relation between access to improved water & sanitation and economic

growth. An average of 2 hours saved by each household due to improved water and

sanitation services has encouraged households to take up income diversification

opportunities and in some cases, spend more hours on the existing economic activity of

the households. Availability of sufficient water has also facilitated households to initiate

cattle rearing, kitchen garden, eco-tourism activities, etc., that have led to better

livelihood opportunities and increase in economic growth of the region.

86


Considerable resources allocated and continuous efforts of the URWSSP towards

capacity building have led to tremendous impact on human resources at the grassroots,

intermediate and apex levels. The acquired capacity by the GPs and the UWSSCs is

noteworthy in the implementation of the URWSSP as well as other service delivery of

community led programmes. The project achieved a high level of success in increasing

awareness about the sanitation among the people living in rural areas. Various slogans,

notices, cartoons, posters, wall paintings and other sensitization programmes have led

to considerable desired improvements in the areas of health and hygiene. Our field

studies have indicated that the rural communities are increasingly being aware of the

issues related to sanitation, personal health and hygiene, waste management, etc.,

although indiscriminate dumping of solid waste and burning of household waste in

open is practiced in some regions, there is improvement in behaviour in terms of

various other aspects as well.

The study has also documented positive impact on education through increased

enrolment of students with improvements in gender parity in schools, improvement in

retention of girl students after implementation of school toilets as well as improvement

in attendance of students.

The URWSSP has built capacities of women and helped mainstream them in

participation of village development activities. The positive benefits of the project has

not only contributed to an improvement in their health and quality of lives, but also

strengthened livelihood capacities of women in the region in few cases have also led

towards development of ‘Women entrepreneurs’. URWSSP has also thrown light on the

effective leadership of women by showcasing examples of women-headed committees

that have actively taken vital decisions of project planning and implementation.

The overwhelming economic benefits of the URWSSP indicate that the benefits

outweigh the economic costs despite all social benefits not being economically

quantified. The project has a strong economic viability with high Internal Rate of

Returns and Benefit Cost Ratio. The sensitivity analysis, conducted as a part of this

study, also reveals that the project can absorb substantial negative impacts yet yield

positive Net Present Value.

The Project has been enormously successful in demonstrating the SWAp model, and

thus argues for the grassroots level participation for the implementation of water and

sanitation programmes to achieve maximum benefits. The state has led the example for

the bottoms up approach that has proved to be better than the centrally managed

approach. The decentralized approach followed, in the project, has led to the

empowerment of grassroots level organizations, and enhanced their capacities for

87


decision-making process, procurement and financial management of all projects at the

village level. High levels of participation of communities through contributions from

beneficiaries were also observed under the SWAp during all phases starting from

planning, construction, and implementation and exit. SWAp has also facilitated good

participation by the community and the project has laid thrust on social and gender

equity in terms of inclusiveness of women, socially and economically backward

community members in decision making, implementation and O&M have been

observed. Thus, the success of the SWAp in Uttarakhand may be highlighted as a good

case for decentralization of rural water supply service delivery for other regions. High

level of participation of communities and beneficiaries in the project has led to a sense of

ownership in the project which has also had a positive impact on improving water use

efficiency. Integration of the players at the state, district, and GP level was well-defined

and has worked effectively.

A Balanced Score Card Approach for developing performance measures and assessing

the institutional effectiveness of the URWSSP has been carried out. The five main

indicators and the respective sub indicators assessed in the development of the Balanced

Score Card is provided in the table below:

Table 5:1 Indicators assessed for development of the Balanced score card

Indicators Sub Indicators

Cost Effectiveness of Service

Provisions

Regular collection of water tariff

Fully Functional Schemes

Source discharge of schemes is sustainable

Users satisfaction in service provision

Time Completion of the

Scheme

Timely Completion of SVS

Timely Completion of MVS

Improvement in Rural Sanitation (% ODF free GPs)

Habitations covered through CACMP - 3

Effective community

participation

Participation of PRIs in Planning and implementation

Equity in UWSSC Composition

Active involvement in O&M

Community Contribution

Behaviour Change among

Stakeholders

Behavior Change at Community Level-7.68

Behavior Change at GP/UWSSC level 5.76

Behavior Change at Facilitating Agency Level - 3

Behavior Change at GoUK level

Capacity Enhancement and

Growth

Complaint Resolution in time in hrs

Stakeholders trained at apex, strategic and intermediate levels

Grassroots level persons trained

Time Saved

88


Each overall performance indicator identified was assessed on sub indicators for data on

the baseline and actual target achieved. The indicators included cost effectiveness,

timely completion, community participation, behaviour change and capacity

enhancement. The balanced score-card analysis provides a comprehensive overview of

the ‘institutional effectiveness’ based on data from independent technical and social

audits and SIS data.

Timely

Completion

of the

program 20.0

Capacity

Enhanceme

nt and

Growth

Effective

Community

Participatio

n

Total Score

19.0

18.0

17.0

16.0

Cost

effective &

sustainable

service Behaviour

Change

(among

stakeholder

s)

Achieved Score

Figure 5:1 Balanced Score Card for Institutional Assessment of URWSSP

89

As detailed in the figure above, the results of the Balance Score Card Analysis indicate a

strong evidence of institutional effectiveness with a high performance score of 96 per

cent.

90

References

AHS. Various years. Annual Health Survey, Office of the Registrar General & Census

Commissioner, Ministry of Home Affairs, Government of India.

http://censusindia.gov.in/2011-common/AHSurvey.html

NFHS-3. National Family Health Survey Uttarakhand 2005/06, International Institute for

Population Sciences, Ministry of Health and Family Welfare, Government of India.

http://www.rchiips.org/nfhs/index.shtml

Pruss-Ustun, A., Kay, D., Fewtrell, L., and Bartram, J. (2004). Unsafe water, sanitation

and hygiene. In: Ezzati, M. et al. (eds): Comparative quantification of health risks: global

and regional burden of disease attributable to selected major risk factors. World Health

Organization. Geneva

World Bank. 2013. India: Diagnostic assessment of select environmental challenges; Economic growth and environmental sustainability: What are the tradeoffs? Volume II, June

5, 2013. Report No. 70004-IN. Disaster Management and Climate Change Unit, Sustainable

Development Department, South Asia Region, The World Bank. 39 pp

World health Organization (2011) Valuing Water, Valuing Livelihoods: Guidance on Social Cost-benefit Analysis of Drinking-water Interventions, with special reference to Small

Community Water Supplies. Edited by Cameron J, Hunter P, Jagals P and Pond K. ublished on behalf of the World Health Organization by IWA Publishing, pp 248

91

Annexure 1.1 Data Collection Formats/

Questionnaires

IMPACT ANALYSIS OF UTTARAKHAND RURAL WATER SUPPLY & SANITATION PROJECT

(URWSSP)

HOUSEHOLD LEVEL QUESTIONNAIRE

PLEASE REMEMBER TO REPORT VERBATIM WHEREVER RESPODENT

CHOOSES THE “OTHER” OPTION FOR A QUESTION

DISTRICT AND BLOCK

SCHEME NAME (VILLAGE)

GRAM PANCHAYAT

TYPE OF SCHEME

SVS-Gravity- Spring ........................... ………….. 1

SVS-Gravity-Gadhera (GG)…………………………… 2

SVS-Tube well (including OHT TW/ pumping)……… 3

SVS-Hand Pump ................................. ………… 4

SVS-Mixed Technology (Hand Pump & Gadhera;

Tube well and HP; GG and Pumping) ………… 5

MVS-Gravity-Gadhera ....................... ………… 6

MVS-Tube Well (including OHT TW/ pumping)……. 7

Name of District Implementing Agency: (UJN, UJS, PMU) ------------------------------

COORDINATES

( BY USING OWN MOBILE PHONE)

SECTION 1 – PERSONAL INFORMATION

1.1 Name of Respondent Mr./Ms.

1.2 Name of the Head of family

1.3 Since when the family

resides in that house/location

_____________________ YEARS

1.4 Sex of the respondent

Female 1

Male 2

Others 3

1.5 Mob. No.

1.6 House No.

92

92


1.7 Category of the Household General 1

SC 2

ST 3

OBC 4

1.8 Occupation of the head of

Family

Agriculture on own land 1

Agriculture on leased land 2

Agricultural Labour 3

Other Labour 4

Skilled Work 5

Services 6

Business 7

Others (please specify) 8

1.9 Economic Status of the

Household

BPL 1

APL 2

SECTION 2 – SOURCES OF WATER

Q.

No.

Water used for Sources of water Before

scheme

After

scheme

2.1 Drinking and

cooking

Individual connections in the house 1

River/stream/spring 2

Gadhera 3

Handpump 4

Standpost 5


2.2 Washing

clothes/cleaning

Individual connections in the house 1


Gadhera 3

Handpump 4

Standpost 5


2.3 Bathing Individual connections in the house 1


Gadhera 3

Handpump 4

Standpost 5


2.4 Toilet use Individual connections in the house 1


Gadhera 3

Handpump 4

Standpost 5


2.5 Animal use Individual connections in the house 1


Gadhera 3

93


Q.

No.

Water used for Sources of water Before

scheme

After

scheme

Handpump 4

Standpost 5


2.6 When the water supply scheme was made available to the house? Specify the date

Month Year

SECTION 3 – QUANTITY OF WATER USED

Q.No. Question Options Before

scheme

After

scheme

3.1 Is water available

throughout the year?

Yes 1

No 2

3.2 Do you get sufficient

water for all your

consumption on a daily

basis (Minimum 40

lit/day/person (approx. 4

small buckets)) in

summer?

Yes 1

No 2

3.3 Frequency of water supply

in summer (March to

June)

Available all the time

1

Daily (4 to 8 hours)

2

Daily (2 to 4 hours)

3

Daily (< 2 hours)

4

Once in 2 days

5

Infrequently (once in 3 or more days)

6

3.4 Quantity of water used

(baalti per household per

day) for all domestic uses?

- Summer

- Monsoon

Please select size and provide

number

Size of baalti- small (hint – 10 ltr)…..1

Size of baalti- big (hint – 20 ltr)……..2

Size No Size No

1

2

1

2

1

2

1

2

1

2

1

2

94

94


- Winter

3.5 Amount spent each month

for water supply

Nil 0

Less than Rs.10 1

Rs. 10-50 2

Rs. 51-150 3

More than Rs.150 4

SECTION 4 – QUALITY OF WATER


scheme

After

scheme

4.1 Quality of water

for domestic use

Clean

Yes, it is clean 1

No, it is not clean 2

Taste

a) Good 1

b) Not Good 2

Colour

a) Colorless 1

b) Colored 2

Hardness

a) Not hard/Soft/Soap lathers 1

b) Hard/ Soap does not lather 2

Smell

a) No smell 1

b) Smelly 2

Others (please specify)

4.2 How is the water

treated for

drinking?

No Treatment at all 1

Boiling 2

Chlorination at household level 3

Chlorination at CWR of water

supply scheme 4

Strain it through a cloth 5

Let it stand and settle 6

Water filter 7

SECTION 5 – DRUDGERY


scheme

After

scheme

5.1 If the source of water is not within

the premises, then, what is the

Less than 200m 1

200-500 m 2

95


distance to the water collection /

availability / distribution point

500m – 1km 3

More than 1km 4

5.2 Who is responsible for fetching of

drinking water?

(Multiple Response Possible)

Women 1

Men 2

Children 3

All 4

5.3 How difficult is the terrain till the

source of water

Very difficult 1

Difficult 2

Not difficult 3

5.4 Total time needed for all the

members of the household for

requisite water collection per day

Less than 30 minutes

1

Half an hour to one

hour 2

1 to 2 hours

3

2 to 3 hours

4

More than 3 hours

5

5.5 What are the common problems

associated with fetching and carrying

water?

Muscle strain

1

Blisters

2

Heat stroke

3

Back pain

4

Violence (attacks and

assaults)

5

Animal attacks

6

None

7

SECTION 6 – PRODUCTIVE GAINS FROM WATER


scheme

After

scheme

6.1 Has the scheme

enabled you to

engage in other

productive economic

activities?

Yes 1

No 2

Don’t

fill here

6.2 What kind of Starting a shop/business 1 Don’t

96

96


economic activities

has this led to?

(Multiple Answers

Possible)

Improving existing business 2

Increasing livestock 3

Others (please specify 4

fill here

6.2a Have the above

activities led to an

increase in income?

Yes 1

No 2

Don’t

fill here

6.2b IF YES, by how

much per year?:

Change in annual income (in Rs)

Don’t

fill here

6.3 Other than time

spent on economic

activities, how do

you utilize the time

saved due to

availability of water

and sanitation

services?

None 0

Engage in other household

chores 1

Increased time for leisure/rest 2

Time for socializing 3

Studying (especially if children

are involved in water collection)

4


Don’t

fill here

97


SECTION 7 – SANITATION


scheme

After

scheme

7.1 Type of Sanitation

structure at the

household

No-toilet 1

Jugaad toilet

a. Individual toilet 2

b. Shared with

community members

3

Proper toilet ( Latrine)

a. Individual toilet 4

b. Shared with community

members 5

7.2 If toilet exists, what is

its usage in the

household

Not used 1

Used by all family members 2

Used only by women 3

Others (elderly etc.) – please

specify 4

7.3 If there is no toilet

facility, time spent in

walking/going for open

defecation each day

per member on

average?

Less than 15 minutes 1

15 – 30 minutes 2

30 minutes to 1 hours 3

1 – 1.5 hours 4

More than 1.5 hours 5

7.4 Is there working water

connection in the toilet

Yes, Adequate 1

Yes, Not adequate 2

No 3

7.5 How has availability of

sanitation increased

your sense of security?

None 0

Reduction in violence 1

Reduction in animal attacks 2


Please do

not fill here

7.6 Incidence of water borne diseases-

No. Water borne

Diseases

Options Before

schem

e

After

Scheme

A Water borne

diseases such as

Diarrhea/Cholera

1) Frequently 1

2) Rare 2

3) Not recorded 3

98

98


7.7 Details of water borne diseases that have occurred in the last 6 months (at the household level)

No. Diseases No instance Number

of

episodes

(males >10

Number of

episodes

(females

>10 years)

Number of

episodes in

children

A Diarrhea

B Cholera

C Jaundice

D Typhoid

E Others

(specify)

7.8 Details of cost incurred in the treatment of water borne diseases per episode in the last 6 months

(in Rs.)

No. Diseases Consultation Transportatio

n

Medicines Others

(specify)

A Diarrhea 1 2 3 4 5 1 2 3 4 5 1 2 3 4 5

B Cholera 1 2 3 4 5 1 2 3 4 5 1 2 3 4 5 1 2 3 4 5

C Jaundice 1 2 3 4 5 1 2 3 4 5 1 2 3 4 5 1 2 3 4 5

D Typhoid 1 2 3 4 5 1 2 3 4 5 1 2 3 4 5 1 2 3 4 5

E Others (specify) 1 2 3 4 5 1 2 3 4 5 1 2 3 4 5 1 2 3 4 5

Options: 1. Nil; 2. Less than Rs.100; 3. Rs.101-500; 4. Rs.501-1000; 5. More than Rs.1000

7.9 Details of Improved Sanitation behaviour practices

No. Behaviours Options Before

scheme

After

Scheme

A Hand washing

with soap, etc.

after defecation

No washing with soap etc. 1

Hand washing with soap done after

defecation 2

Others (specify) 3

B Handling of liquid

waste at home

A cesspool of liquid waste adjacent to the

house 1

Liquid waste diverted to a soak pit

2

Others (specify) 3

C Handling of solid

waste at home and

surroundings

Carelessly thrown and spread around

1

Burn the solid waste 2

Safely disposed by collection and heaping

at a near-marked location

3

Converted into compost 4

Others (specify) 5

99


SECTION 8 – GENERAL

8.1 Overall Satisfaction

A Overall Satisfaction rating about the

Water Supply and sanitation

Scheme

Very Poor 1

Poor 2

Satisfactory 3

Good 4

Very Good 5

8.2 Information and awareness

A Have you been made aware of ways

to maintain cleanliness of drinking

water (including proper storage)

and basic hygiene?

Yes 1

No 2

B How were you made aware? Posters 1

Brochures 2

Group discussions 3

One-to-One conversation with a volunteer 4

Others (specify)

5

8.3 Demographic details of the Household

Number of people in the family ___________

No. Name Sex

M F

Age Relationship

with the

respondent

Level of

education

Main

Occupation

A 1 2

B 1 2

C 1 2

D 1 2

E 1 2

F 1 2

G 1 2

H 1 2

I 1 2

J 1 2

8.4 Economic Indicators of the Household:

A Roof Plastic/Thatch/Literoof

1

Asbestos /Tile 2

100

100


Concrete 3

Combination (1/2/3) 4

B Electricity Not Electrified 1

Wiring done –waiting for electrification

2

Electrified 3

C Road access Footpath 1

Two wheeler path 2

Four Wheeler Road 3

D Fuel used

(Main Source)

(SINGLE RESPONSE)

Fuel Wood / Crop Residue 1

Kerosene 2

Biogas 3

LPG 4

Combination 5

E Land Owned None 1

1-5 naali 2

6-10 naali 3

More than 10 naali 4

F Vehicles

(MORE THAN ONE

ANSWER POSSIBLE)

None 1

Bicycle 2

Two wheeler 3

Three wheeler 4

Four Wheeler 5

G Livestock

(MORE THAN ONE

ANSWER POSSIBLE)

Cow 1

Goat 2

Sheep 3

Chicken 4

Buffaloes 5


SECTION 9 – OBSERVATIONS BY THE SURVEYOR

Other Observations by the surveyor (The options given below are rated according to the

given details). 1=Very Poor, 2=Poor, 3=Average, 4 =Good, 5=Very Good

Very

Poor

1

Poor

2

Average

3

Good

4

Very

Good

5

9.1 Dumping of waste in/near the premises

of the house

9.2 Water logging in/near the premises of

the house

9.3 Awareness observed (posters,

brochures, etc.)

9.4 Level of cleanliness of the household

9.5 Sanitation/toilet availability

101


9.6 Sanitation/toilet cleanliness

9.7 Soaps availability in the Toilets

9.8 Frequency of water supply ( 24/7 or few

hrs/day)

9.9 Water continuity (hrs/day or

days/week)

9.10 Storage of water (how many buckets /

vessels)

9.11 How is drinking water being taken out

from matka (Pot)

9.12 Exposure of the family members to IEC

material on the scheme

102

Annexure 1.2 Impact Analysis of Uttarakhand

Rural Water Supply & Sanitation Project

(URWSSP)

SCHEME LEVEL QUESTIONNAIRE

PLEASE REMEMBER TO REPORT VERBATIM WHEREVER RESPODENT

CHOOSES THE “OTHER” OPTION FOR A QUESTION

Name of the Scheme: _________________________________________________

Name of District Implementing Agency: (UJN, UJS, PMU) --------------------------

Project milestones:

SECTION 1: GENERAL INFORMATION

Q No Question Coding Category

1.1 Start date of Pre Planning Phase

Month Year

1.2 Start date of Planning Phase

Month Year

1.3 Start date of Implementation

Phase

Month Year

1.4 Date of Commissioning

Month Year

1.5 Type of scheme

SVS-Gravity- Spring ................................. 1

SVS-Gravity-Gadhera (GG) ...................... 2

SVS-Tube well (including OHT TW/

pumping) ................................................... 3

SVS-Hand Pump ....................................... 4

SVS-Mixed Technology (Hand Pump

&Gadhera; Tube well and HP; GG and

Pumping) ................................................... 5

MVS-Gravity-Gadhera ............................. 6

MVS-Tube Well (including OHT TW/

pumping) ................................................... 7

1.6 Cost of the scheme

Capital cost (in rupees) Year wise

…………………(Cost Rs) ………………(year)

…………………(Cost Rs) ………………(year)

…………………(Cost Rs) ………………(year)

O&M (annual in rupees) Last 3 years-

Year 1 ......................................................... 4

Year 2………………………………………5

103



Year 3………………………………………6

1.7 Total actual expenses paid per

annum Rs. ………

Water operator salary_______________

Electricity________________

Quality testing expenses________________

Repair and maintenance________________

Any other (specify)___________________

Any other (specify)_______________________

1.8 Total number of households in

the habitation

Headed by Men________________

Headed by Women________________

1.9 Total households currently

drawing water from the scheme

________________

1.10 No. of days being non-

operational since

commissioning (Average per

year for last 3 years)

________________

1.11 Total households currently

served with water supply (Pvt.

connection

________________

1.12 Number of additional water

points in addition to domestic,

private connection

________________

1.13 Level of average water

consumption per inhabitant,

per day

________________ Lts

1.14 No. of households added after

commissioning

________________

1.15 No. of households that left the

scheme after commissioning

________________

1.16 Percentage of poor households

benefiting from subsidized

connection

______________%

1.17 No. of women heads of

household who pay their water

bills regularly

________________

1.18 No. of additional subsidized

connections

________________

1.19 What is the Role of women

Pradhan in O&M?

*Decision Making 1

*Planning 2

*Implementation 3

*Others 4

1.20 What is the Role of women

leaders/PRl members in social

movements?

*Decision Making 1

*Planning 2

*Implementation 3

*Others 4

1.21 What is the water charge/tarrif /

104

104



connection / month? Rs.________________

1.22 Have Water charges been

revised after commissioning

Yes .............................................................. 1

No ............................................................. 2If

yes, revised from ________(amount )

_________(Year) to __________(amount)

__________(Year)

1.23 Total tariff collected per

annum–

Rs.________________

1.24 Frequency of paying water

charges

Regular practice

Annually .................................................... 1

Half Yearly (Once in 6 months) ............... 2

Quarterly (Once in 3 months) .................. 3

Monthly ..................................................... 4

Never ......................................................... 5

Advance Payment

Annual Advance ...................................... 1

Half Yearly advance ................................. 2

Quarterly advance .................................... 3

Never ........................................................ 4

1.25 Are there any households

defaulting payment of water

charges (3 months or more

only)

________________(mention number of

households defaulting payment)

SECTION 2: WATER SOURCE

Q

No

Question Coding Category

2.1 What is the designed capacity of

the scheme? (in KL)

(in KL)

2.2 Is the water source adequate for

year round supply?

Yes .............................................................. 1

No .............................................................. 2

Don’t Know ............................................. 3

2.3 Is there any catchment protection

or other recharge measures

undertaken at the water source?

Yes .............................................................. 1

No .............................................................. 2

Don’t Know ............................................. 3

2.4 If yes, What kind of measures

undertaken?(RECORD

VERBATIM)

2.5 Catchment area details? River .......................................................... 1

Reservoir ................................................... 2

Tube well ................................................... 3

Water stream ............................................. 4

Others ........................................................ 5

105


SECTION 3: WATER DISTRIBUTION SYSTEM IN PLACE

Q

No


3.1 Has there been a break down in

water supply last year for any

reasons due to system failure?

Yes .............................................................. 1

No .............................................................. 2

Don’t Know ............................................. 3

3.2 What kind of break down was it? Pipe burst/leakage .................................... 1

No water at source .................................... 2

Pump failure (Overhead tank supply) .... 3

Natural Calamities/Disaster ..................... 4

Other (technical faults)etc ........................ 5

3.3 Is the water supply operator

capable of handling major and

minor issues (repairing pumps and

other equipments, cleaning)?

Yes .............................................................. 1

No .............................................................. 2

Don’t Know ............................................. 3

3.4 Is the UWSSC prompt in

addressing issues or problems

Prompt ....................................................... 1

Slow ........................................................... 2

No Direct Experience ................................ 3

3.5 What is the frequency of disruption

of water supply? (in a month)

Never ......................................................... 1

1-2 times a month ...................................... 2

3-5 times a month ...................................... 3

6-10 times a month .................................... 4

More than 10 times a month .................... 5

SECTION 4: QUALITY OF WATER SUPPLIED

Q

No


4.1 Is water supplied used for drinking

needs?

Yes .............................................................. 1

No .............................................................. 2

Don’t Know ............................................. 3

4.2 Is the water source under threat

from pollution or other

contaminations?

Yes .............................................................. 1

No .............................................................. 2

Don’t Know ............................................. 3

4.3 Are there any measures undertaken

to prevent source pollution?

Yes .............................................................. 1

No .............................................................. 2

Don’t Know ............................................. 3

4.3.a IF YES in Q403, PLEASE SPECIFY

Report verbatim

4.4 Is there a change in the incidence of

water borne diseases after the

scheme?

Increase ...................................................... 1

Decrease .................................................... 2

Same ......................................................... 3

Don’t know .............................................. 4

4.5 Is the water treated at scheme

level? If yes, please specify

(Roughing filter, slow sand filter

and auto wash filter followed by

chlorination )- please specify

Yes .............................................................. 1

No .............................................................. 2

Don’t Know ............................................. 3

If yes, please specify here:

106

106


Q

No


4.6 Is there any sanitation program

implemented?

Yes .............................................................. 1

No .............................................................. 2

4.6a If yes, Total no. Of Individual

Household Latrines constructed till

date?

___________________________(No. Of IHL)

4.7a Who checks water quality of the

water source in your village?

________________

4.7b Is the person who collects water

samples trained as per the

protocol?

Yes .............................................................. 1

No .............................................................. 2

Don’t Know ............................................. 3

4.7c What is the frequency of testing of

water samples?

Not observed ............................................. 1

Monthly ..................................................... 2

Quarterly ................................................... 3

Half yearly ................................................. 4

Annually .................................................... 5

4.8 Who checks and maintains field

testing kit?

Aanganwadi .............................................. 1

Operator .................................................... 2

NGOs ......................................................... 3

Others ........................................................ 4

4.9 Who does the replacement of the

field testing kit?

Swajal ......................................................... 1

UWSSC ...................................................... 2

DPMU ........................................................ 3

Others ........................................................ 4

107


SECTION 5: FINANCIAL SYSTEM


5.1 What have been the major fund

sources for the initial capital?

Mention Sources

...................................................................

...................................................................

...................................................................

5.2 What are the major fund sources

for the O&M?

Mention Sources

...................................................................

...................................................................

5.3 Are the financial resources

provided for the scheme

adequate?

Yes ............................................................. 1

No .............................................................. 2

Don’t Know ............................................ 3

5.4 Is the scheme able to raise

enough finances for meeting the

regular expenses?

Yes ............................................................. 1

No .............................................................. 2

Don’t Know ............................................ 3

5.5 Are the accounts maintained

regularly?

Yes ............................................................. 1

No .............................................................. 2

Don’t Know ............................................ 3

5.6 Is there a regular practice in place

for collection of tariff?

Yes ............................................................. 1

No .............................................................. 2

Don’t Know ............................................ 3

5.7 Is there any process in place for

meeting any unexpected

expenditures?

Yes ............................................................. 1

No .............................................................. 2

Don’t Know ............................................ 3

5.8 Is there timely flow of funds?

Yes ............................................................. 1

No .............................................................. 2

Don’t Know ............................................ 3

SECTION 6: INSTITUTIONAL ARRANGEMENTS


6.1 Was the PRI involved in the

planning phase of the scheme?

Yes ............................................................. 1

No .............................................................. 2

6.1a If yes, what was the role of PRIs Specify)

6.2 What has been the role of UWSC? ________________________ (mention)

6.3 How many members are appointed

in this committee? Specify the

following

Gender Codes:

Male 1 Female 2

Name Gender

1 1 2

2 1 2

3 1 2

4 1 2

5 1 2

6 1 2

7 1 2

6.4 Do regular meetings take place? Yes ............................................................. 1

No .............................................................. 2

108

108



Rare ........................................................... 3

6.5 No. of meetings organised per

month

________________

6.6 Is GP/committee able to resolve

most issues pertaining to water

supply scheme?

Yes ............................................................. 1

No .............................................................. 2

Don’t Know ............................................. 3

6.7 Does the GP/Committee carry out a

regular maintenance of drinking

water scheme?

Yes ............................................................. 1

No .............................................................. 2

Rare ........................................................... 3

6.8 How many women members are

appointed in the committee?

________________

6.9 Is there a mechanism where the

users are informed of the decisions

and outcome by the managing

committee?

Yes ............................................................. 1

No .............................................................. 2

Rare ........................................................... 3

6.10 Performance of GP/ VWSC

involvement in managing the water

supply scheme.

Good-Regular............................................ 1

Moderate- Irregular .................................. 2

Poor-No involvement ............................... 3

SECTION 7: CAPACITY BUILDING

Q

No


7.1 How many programmes have been organized since the start of the scheme (in

numbers)

Panchayat

Representative

SO/NGO DPMU/PMU Community Others

(specify)

Sanitation

Awareness

regarding quality of

water

Awareness

regarding general

hygiene

Capacity on O&M

issues

Others, specify

________________

7.2 Number of women represented in -

UWSSC

MVSWSSC

APL …………………

BPL …………………

APL …………………

BPL …………………

7.3 How many Training programmes

are organised on scheme

109


Q

No


management ? –time frame?

…………………Total

………………… For Women

7.4 Number of women involved to

participate in the information

delivery as motivators/ community

leaders –

Individual

Group

…………………

…………………

7.5 Number of women consulted in the

choice of technology and the project

site on the construction of additional

facilities (such as: low cost sanitation

system, proper wastewater

treatment)

7.6 Was the programme effective in

building capacity in your view

Yes .............................................................. ............

No .............................................................. ............

Rare ........................................................................

7.7 Has the scheme created any new

employment in the village?

Yes .............................................................. ............

No .............................................................. ............

7.8 If yes, how many people have been

newly employed under your

scheme?

________________(Total Number)

________________(Women employed)

7.7 Were any skill development

trainings provided?

Yes .............................................................. ............

No .............................................................. ............

7.7a If yes, how many such trained

persons are there in the village

.................................................................... (total

no.)

.................................................................... (no.

Of women)

7.7b What kind of trainings? (eg. Masons

etc)

Specify type of training

SECTION 8: Details of Registers at the UWSSC

Q

No

Question Coding Category Skip

8.1 Minutes Book Available but not maintained .................. 1

Maintained and up-to-date ...................... 2

Not available ……………………………….3

8.2 Cash Book Available but not maintained .................. 1



8.3 Ledger Book Available but not maintained .................. 1



8.4 Member’s Pass Book Available but not maintained .................. 1


110

110


Q

No



8.5 Application form/ Membership

Register

Available but not maintained .................. 1



8.6 Log Book Available but not maintained .................. 1



8.7 Visitor’s Register Available but not maintained .................. 1



SECTION 9: IMPACT AND IMPLEMENTATION

Q

No


9.1 Was this scheme affected by the

2013 disaster?

Yes ............................................................. 1

No .............................................................. 2

Q905

9.2

________________

9.3 In how many villages was the water

scheme affected?

________________

9.4 What was the cost incurred to

repair each affected schemes? (Rs)

9.5 What are the factors which have

aided the implementation of the

scheme?

Yes No

Community

cooperation

1 2

Timely flow of fund 1 2

Technical adequacy 1 2

Others (please

specify)

9.6 What are the factors that have

hindered the implementation of the

scheme?

Yes No

Availability of fund 1 2

Any other (please

specify)

1 2

9.7.a Are there any other services/ gains

that habitation is getting through

beneficiary group? (PLEASE

SPECIFY)

9.7.b Present Savings under the Schemes

– annually (e.g. fixed deposit)

(PLEASE SPECIFY)`

9.8 Name and phone number of any

scheme representative:

Name: _________________________________

Phone No.: ______________________

111


Additional Comments

....................................................................................................................................................................................

....................................................................................................................................................................................

....................................................................................................................................................................................

....................................................................................................................................................................................

THANKS AND CLOSE

_______________________

Signature of the Surveyor Date of Survey:

_____/____/_________

Name of the Surveyor: ___________________________ Phone

Number:____________________

Details of water borne diseases reported (This should be collected from nearest primary

health centre): Average number of reported cases annually

No. Diseases Number of

episodes (males

>10 years)

Number of

episodes (females

>10 years)

Number of episodes in

children

Before

Scheme

After

Scheme

Before

Scheme

After

Scheme

Before

Scheme

After Scheme

A Diarrhea

B Cholera

C Jaundice

D Typhoid

E Others

(specify)

112

Annexure 1.3 List of schemes under URWSSP &

AF for Impact Analysis study

Garwal Region: List of schemes under URWSSP & AF for Impact Analysis Study

S.No District Block GP Scheme Name DIA Project

1 Chamoli Karanprayag Nalgoon Nalgoon PMU Parent

2 Chamoli Karanprayag Sindrawani Sindrawani PMU Parent

3 Chamoli Karanprayag Chhatoli Chhatoli PMU Parent

4 Rudraprayag Augustamuni Naini Pondar Naini Pondar PMU Parent

5 Rudraprayag Augustamuni Khankara Fatepur PMU Parent

6 Rudraprayag Augustmuni Chamak Chamak UJN Parent

7 Rudraprayag Augustmuni Chamswara Chamswara UJN Parent

8 Rudraprayag Ukhimath Bhet Jarani Bhet Sem UJN Parent

9 Rudraprayag Ukhimath Khat Khat UJN Parent

10 Rudraprayag Ukhimath Tulanga Tulanga UJS Parent

11 Rudraprayag Ukhimath Uthind Uthind UJS Parent

12 Tehri

Garhwal Chamba Chopdiyali Chopdiyali PMU Parent

13 Tehri

Garhwal Chamba Palam PALAM UJN Parent

14 Tehri

Garhwal Chamba Palas Kholi Khusnau UJN Parent

15 Tehri

Garhwal Chamba Saur JADIPANI UJN Parent

16 Tehri

Garhwal Chamba Than Hanswan Gaon UJN Parent

17 Tehri

Garhwal

Thauldhar Raindoni UPLA BAGI UJS

Parent

18 Tehri

Garhwal

Thauldhar Sanau Darogi UJS

Parent

19 Tehri

Garhwal

Thauldhar Sanau Saino UJS

Parent

20 Uttarkashi Bhatwari Syaba Madogad PMU Parent

21 Uttarkashi Bhatwari Bhankoli Bhankoli UJS Parent

22 Uttarkashi Bhatwari Bonga Bhailura UJS Parent

23 Uttarkashi Bhatwari Jaudaw Jaudaw UJS AF

24 Uttarkashi Dunda Manol Ludrka PMU Parent

25 Uttarkashi Dunda Huldiyan Chaundhri PMU Parent

26 Uttarkashi Dunda Bhatwari

Digthol Sari Name PMU Parent

27 Uttarkashi Dunda Bhaint Bhatwara PMU Parent

28 Uttarkashi Dunda Bharangaon Khadku Dayara PMU Parent

113


29 Uttarkashi Dunda Baun Patisour UJN Parent

30 Uttarkashi Dunda Dang Talla-wall UJN Parent

31 Uttarkashi Dunda Genwla Varuna Tok UJN Parent

32 Uttarkashi Dunda Juguldi Kimlaadi Tok UJN Parent

33 Dehradun Doiwala Athoorwala Athoorwala-I PMU Parent

34 Dehradun Doiwala Athoorwala Athoorwala-II PMU Parent

35 Dehradun Doiwala Majri Grant Chandi Plantation UJS Parent

36 Dehradun Doiwala Majri Grant Shergarh Jakhan UJS Parent

37

Dehradun

Doiwala Khandgaon

Visthapit

Khandgaon

Visthapit

UJS

Parent

38 Dehradun Doiwala Bullawala Bullawala UJS Parent

39

Dehradun Sahaspur

Hariyawala

Khurd

Ghanghoda

Chandmari PMU Parent

40

Dehradun Sahaspur

Hariyawala

Kalan Dhaulas PMU Parent

41 Dehradun Sahaspur Ghanghoda Ghanghoda UJS AF

42 Dehradun Vikasnagar Pashta Pashta Pipalsar PMU Parent

43

Dehradun

Vikasnagar

Pashta

Aamwala

Mallawala PMU Parent

44 Dehradun Vikasnagar Samet Samet UJN AF

45 Dehradun Vikasnagar Matak Majri Matak Majri UJS AF

46 Dehradun Vikasnagar Devthala Devthala UJS AF

47

Dehradun Raipur

Kheriman

Singh Pustari PMU AF

48

Dehradun Raipur

Ramnagar

Danda Ramnagar Danda PMU AF

49 Dehradun Raipur Silla Singlidhar UJS Parent

50 Dehradun Raipur Sindhwal Gaon Kerwan Gaon UJS Parent

51 Dehradun Kalsi Badnu badnu UJN Parent

52 Dehradun Kalsi Bado bado hb UJN Parent

53 Dehradun Kalsi Dagura Marlau Kofti UJN Parent

54 Dehradun Kalsi Jishau Danda Chhani UJN Parent

55

Dehradun Kalsi

Baagi Kheda

Koti SVS UJN AF

56 Dehradun Kalsi Badanu SVS UJN AF

57

Dehradun

Kalsi Kaha Nehra

Punah

Kaha Nehra Punah UJS AF

58 Dehradun Kalsi Dilau sainj Dilau sainj UJS AF

59 Pauri

Garhwal Duggada Kholkandi Shyal gad UJN Parent

60 Pauri

Garhwal Duggada Koligaon Koligaon UJN Parent

61 Pauri

Garhwal

Kot Kanda Kanda Khalsa

PMU Parent

114

114


Kumaon Region: List of schemes under URWSSP & AF for Impact Analysis Study

S.No District Block GP Scheme Name DIA Project

1 Almora Dhauladevi Aati Suring UJS Parent

2 Almora Dhauladevi Bhagar Tola Bhagar Tola UJS Parent

3 Almora Dhauladevi Chalthi Chon Chalthi UJS Parent

4 Almora Dhauladevi Cham Tola Chamto bana UJS Parent

5 Almora Dhauladevi bhanoli New Basti PMU AF

6 Almora Dhauladevi Chausala Dhar PMU AF

7 Almora Dhauladevi Nainoli Paidhar PMU AF

8 Almora Bhasiyachana Sheel Sheel PMU Parent

9 Almora Bhasiyachana Punakot Pataldev PMU Parent

10 Bageshwar Bageshwar Mana Digoli Mana PMU Parent

11 Bageshwar Bageshwar Mana Digoli Machhiyakot PMU Parent

12 Bageshwar Bageshwar Binsar Anwali Gad PMU Parent

13 Bageshwar

Bageshwar

Bhairu

Chaubatta Simayal UJN Parent

14 Bageshwar Bageshwar Bijori Jhal Bijorijhal UJN Parent

15 Bageshwar Bageshwar Tuneda Udera UJS Parent

16 Bageshwar Bageshwar Udal Gaon Anersa I UJS Parent

17 Bageshwar Bageshwar Walna Khaina UJS Parent

18 Bageshwar Garur Manyura Manyura PMU Parent

19 Bageshwar Garur Manyura Ksherapal PMU Parent

20 Bageshwar Garur Lakhani Lakhani PMU Parent

21 Bageshwar Garur Kafaldunga Kafaldunga PMU Parent

22 Bageshwar Garur Dhaina Badpyar Dhaina UJN Parent

23 Bageshwar Garur Gairlekh Gairlekh UJN Parent

24 Bageshwar Garur Naugaon Athrao UJN Parent

25 Bageshwar Garur Rowliyar Rowliyar UJN Parent

26 Bageshwar Garur Simkhet Simkhet UJN Parent

27 Champawat Champawat Aeri Guroli Taani Kholi PMU AF

28 Champawat Champawat Digdai Khunari PMU AF

29 Champawat Champawat Ghurchum KotaJamrari PMU AF

30 Champawat Champawat Need Talli Talli Need PMU AF

31 Champawat Champawat Swala Swala PMU AF

32 Champawat Lohaghat Densali Tolawan PMU Parent

33 Champawat Lohaghat Forti Khark Roop Tok PMU Parent

34 Nainital Bhimtal Pandey Gaon Pandey Gaon UJS Parent

35 Nainital Bhimtal Paniya Bor Ganrad UJS Parent

36 Nainital Bhimtal Aalukhet W/S SVS UJN AF

37 Nainital Okhalkanda Patrani Mehla Malla UJN Parent

115


38 Nainital Okhalkanda Takura Syonari Malli UJN Parent

39 Nainital Ramgarh Jhutiya Chaukhani UJN Parent

40 Nainital Ramgarh Lodh Dik Toke UJN Parent

41 Nainital Ramgarh Mauna Kalsim UJN Parent

42 Nainital Ramgarh Naikana MVS UJS AF

43 Nainital Ramgarh Chheemi MVS UJS AF

44 Nainital Ramgarh Soopi Kaphali MVS UJS AF

45 Nainital Ramgarh Koolgarh MVS UJS AF

46 Nainital Ramgarh Kuleti Pumping MVS UJS AF

47 Nainital Dhari Babiyad Babiyad PMU AF

48 Nainital Dhari Lamgher w/s SVS UJN AF

49 Nainital

Dhari

Pataliya tok

W/s SVS UJN AF

50 U.S.Nagar Jaspur Baberkherda Shyamnagar PMU Parent

51 U.S.Nagar Kashipur Hempur

Ismaile

Hempur Ismaile

PMU Parent

52 Pithoragarh Berinag Barsayat Dhaulkatiya UJN Parent

53 Pithoragarh

Berinag

Bhatigaon

Pungrau Bhattigaon Pungrau UJN Parent

54 Pithoragarh Munakot Rueena Jugapani PMU Parent

55 Pithoragarh Munakot Mankatiya Lamdungiri PMU Parent

56 Pithoragarh Pithoragarh Bishar Bishar PMU Parent

57 Pithoragarh Didihat Nanpapo Nanpapo 2 UJS Parent

58 Pithoragarh Didihat Pamsayari Pamsayari UJS Parent

59 Pithoragarh Didihat Sitoli Lohar gaon UJS Parent

60 Pithoragarh Didihat Talla Mirthi Singarkhali UJS Parent

61 Pithoragarh Didihat Dauli Kauli Pamtodi PMU AF

62 Pithoragarh Didihat Khetar Kanyal Khetar Bhandari PMU AF

63 Pithoragarh Gangolihat Malla Garkha Nausa Bagi UJN Parent

64 Pithoragarh

Gangolihat

Pokhari

Aathigaon Pokhari Atti Gaon UJN Parent

65 Pithoragarh Gangolihat Pokhari Bhairag Pokhari Bherang UJN Parent

66 Pithoragarh Munsyari Bans Bagar Bans Bagar UJS Parent

67 Pithoragarh Munsyari Bata Bata umdada UJS Parent

68 Pithoragarh Munsyari Bora Gaon TIMTIYA UJS Parent

69 Pithoragarh Munsyari Burfu Birjue UJS Parent

Total Parent Project Schemes 50

Total Additional Financing Schemes 19

116

Annexure 1.4 Stakholder Workshop

TERI & Sycom organised a half day workshop to disseminate and discuss the results of the

Impact Assessment Study of Uttarakahand rural water supply and Sanitation Project on December, 19 2015 at State Water and Sanitation Mission Office, Dehradun.

Background The URWSS project is implemented with the main aim of improving the effectiveness of

RWSS services through decentralization, increased role of PRIs and involvement of local communities. The project covers entire rural areas of Uttarakhand spread over 13 districts

is facilitated by the Department of Drinking Water, GoUK, and executed by three agencies-

Uttarakhand Peyjal Nigam (UJN), Uttarakhand Jal Sansthan (UJS) and the Project

Management Unit (PMU or Swajal). The project is jointly funded by the International Development Association (IDA) – World Bank, Government of India (GoI), Government of

Uttarakhand (GoUK) and the rural beneficiaries. To measure the impact of the project and plan an exit the Uttrakhand State Water and Sanitation Mission(SWSM) has appointed TERI

in association with Sycom Projects Consultants Private Limited as consultants for

conducting the “Impact Analysis of Uttarakhand Rural Water Supply & Sanitation Project

(URWSSP)”. Thus an Impact Analysis study was carried out with a strong focus on the impact of the study at the Household level. The study has thus highlighted various social

and economic impacts in addition to the institutional impacts that was detailed through a presentation that was made by the study team. The presentation was followed by

brainstorming session and a detailed group discussions facilitated by TERI and Sycom.

The main objectives of the workshop were: � To disseminate results of the impact assessment study conducted

� To draw inputs form various stakeholders involved in URWSSP

The methodology of the workshops was as follows;

� Presentation on findings of the Impact assessment study

� Brainstorming session � Discussion based on the themes provided by facilitators

Stakeholder Workshop on Impact Assessment of Uttarakhand Rural

Water Supply and Sanitation Project held on December 19, 2015

117


Figure 1 Participant details

See tables in Annexure I b for detailed participant list

The workshop started with a detailed presentation by TERI/Sycom professionals on the

subjects the results of the Impact Assessment Study. This was followed by a brainstorming

session on the following main topics

URWSSP Impact

i. What are the main impacts of the project in terms of water

supply?

� Access to water

� Incremental water supply/use (in lpcd after implementation

of URWSSP?

� Improvement in Quality of water

� Time saved in fetching water per day – Livelihood

opportunities – increase in income

ii. What are the main of sanitation interventions?

iii. What are the health benefits of the program?

iv. Do you think there is adequate participation/ownership of

PRIs and UWSSC?

v. What according to you is the basis for tariff fixation?

vi. What do you think are the overall experiences of the

URWSSP Project?

vii. Strengths/ weaknesses of the Swap?

The key questions that

triggered discussions

facilitated by TERI and

Sycom

Figure 2. Main themes for

discussion in the

workshop

SN Organisation Participants

1 State Water

Sanitation

Mission

3

2 PMU/Swajal 8

3 UJS 7

4 UJN 3

5 PRI members 12

6 TERI and

SYCOM

2

Total 35

118

118


Detailed below are the main aspects discussed after the detailed presentation on the impacts of the URWSSP ;

Water supply and sanitation

• Improvement in access to water: Majority of PRI members reported100% coverage in

their GPs (Majri Grant, Athoorwala, Dhara Haat etc.) with the impact visible even in

remote areas

• Improvement in Availability of water: The PRI members opined that the water availability has gone up by 200% from the pre scheme period SWSM officials

indicated that there is an increase of water supply from 10 lpcd to 55 lpcd after project implementation

• Improvement of water quality in some regions. The participants reported that there

has been an improvement in water quality. Some regions there water quality was

poor in terms of color and the clothes would turn yellow after the implementation of the project the water quality has improved in terms of colour as well as taste. Some

regions where people had hard water (Khara pani) soft water is now available. This has led people from nearby village who are not covered under the scheme also to

come and fetch water from the villages where the scheme is implemented

• Time Saving as the main benefit of improved access to water: While all members of

the households have benefitted from increased access to water supply, the main beneficiaries are women as they have saved time (almost 2 hrs) due to water and

sanitation facilities. Time saved has offered scope for additional livelihood activities that has led to an improvement in income. Additional livelihood activities

undertaken are mainly in terms of livestock rearing, kitchen gardening, additional

agriculture activities and in some cases women have taken up knitting and tailoring

activities that generate income to the household. • Behavioural Change: Improved sanitation and behavioural change in terms of its use

was noted as a visible impact of the project. There is also improvement in hygiene

practices (mainly washing hands) observed. • Increased Awareness – The project has led to increased awareness about source

protection and cleanliness of sources

Institutional

• Water Tariff: The tariff is generally fixed in consultation with the community

depending on their capability and willingness to pay. Some GPs have not yet fixed water charges are planning to fix it around Rs. 50 - 100 /month. It was noted that

people pay water bills regularly. Some issues with water tarrif were raised. o In some GPs, electricity for pumping water is charged on commercial rates by

the electricity board, whereas the water is used only for domestic purposes

which reported to create an additional financial burden on the households.

The issue has been raised earlier and SWSM is now intervening to sort out the same

o Demand for free water supply: Residents of Athoorwals GP mainly comprise of rehabilitated people form Tehri Dam project and have been promised free

water and electricity under the Hanumantha Rao committee, under the SWaP

model even these rehabilitated communities are obligated to pay user

charges

119


o Community Ownership: The physical structures are owned and protected by the community and the institutions

Scope for improvement under SWAP

o Need for simplified procedure to tap the water source: Currently major water

sources are located in the forest areas, getting requisite clearances from the

forest department involve stringent protocols and paper work that calls for

policy intervention. o Overlapping of the institutions: In some GPs there are issue with multiple

institutions implementing water supply schemes over a period of time resulting not only in duplicity of work but also the communities having to

pay tariff for water to multiple agencies/institutions

o Capacity building requirement: Although some formal capacity building

measures and training programs have been conducted, the stakeholders requested additional hand holding for record keeping, accounts etc.

Gender

� Leadership: Women Pradhans are active in planning, implementation and

operation of the project. Around 64% of the pradhans are women. The case of

Athoorwala GP was discussed in detail to elicit the stweardhip of women

particularly in the role of Pradhan. Athoorwala GP was the among the first recipients of Nirmal Gram Puraskar (NGP) in the state which was mainly due the

social mobilization under the project and proactive initiative by the Pradhan on water and sanitation awareness. The stewardship of the woman Pradhan was

also highlighted in terms of the high level of fixed deposits and the cash balance

of the GP (18.5 lakhs). The women Pradhan was elected thrice that reflects the confidence of the community in efficient women candidates

� Participation: Women members in the UWSSC are active in decision making

(identifying water points, fixing water charges and user contributions). In many

GPs, women PRI representatives constitute more than the mandated 30% and are increasingly playing a major role in the decision making. They are no longer

accompanied by their husbands/male members of the family while attending GP meetings. It was noted that women Pradhan have better interaction with the

women in the community since they are more comfortable in discussing

development issues and at times even personal problems

� Enhanced Capacity of Women: In Fatepur and Sapera Basti GPs, women members have been trained by UWSCC to carry out the maintenance work and

account keeping (plumbing and collection of user charges). The women technicians here have become popular for the vital role in maintenance work.

The main aspects that have emerged from the feedback received from the participants are

detailed below;

• Current situation of the Schemes implemented:

o Most schemes are being operated well.

o Schemes supported by PMU/Swajal were particularly reported to be working

in very good conditions o High satisfaction levels of benefiacries a good indicator of good working

conditions

120

120


• Suggestions for improvement of

o Regular meetings of UVWSSC and discussions for O&M related activities

o Further training to technical staff and UVWSSC members for O&M

o simplified procedure to tap the water source

o Water conservation measures may be adopted in all schemes

o Collection of tariff in all schemes necessary for meeting the O&M costs: Schemes having higher collection and maximum tariff be rewarded

o Apply Domestic Electricity bill

• Build every UWSSC

• Every member should be Literate • Give responsibility of meetings to village development officer

• Give reward to GP which are collecting O & M • Focus the Scheme Where O&M is not collecting

• To operate and maintain the Scheme properly held proper meeting to improve

skills, capabilities and awareness of members and SMW

• On water Supply source we should do plantation, Chack dam (soil and moisture conservation) chaal khaal (water resuming structure )etc work and aware people

for water purity. • Pay special attention to water source security and cleanliness.

• Promote this scheme so that our society is not left behind because of a lack of

water and reduce migration of hilly area people. People are now paying attention

to irrigation so that their land should not remain barren and their income from irrigation should be increase. Because of shortage of water people do not left their

farming and mountain (Uttarakhandi) people should also move forward in race

of development.

121


122

122


123


124

Annexure 2.1 Status of IEC produced and

observations

Status of IEC produced and observations

SN

1.

Wall

Paintings

Project

Management

Unit- Swajal

• Slogans on water

conservation,

cleanliness and safe

drinking

2.

Wall

Paintings

Project

Management

Unit- Swajal

• List of UWSSC

members

• Cost of DPR. IPCR

• Slogans on water

conservation,

cleanliness and safe

drinking

• Account number of

Scheme

3.

Wall

Painting

Project

Management

Unit- Swajal

• List of UWSSC

members


Scheme

125


4.

Wall

Paintings

Project

Management

Unit- Swajal


Scheme

5.

Wall

Paintings

Project

Management

Unit- Swajal

• List of UWSSC

members


Scheme

6. Wall

Paintings

Project

Management

Unit- Swajal

• List of UWSSC

members


Scheme

• List of members Social

Audit Committee

• List of members of

Joint Inspection

Committe

7.

Wall

Paintings

Project

Management

Unit- Swajal

• Slogan on cleanliness of

village

• Nirmal Gram Abhiyan

126

126


8. Brochure Complete

Sanitation

Program

Project

Management

Unit- Swajal

• Information on

workshops

• Awarenes generation

through wall paintings

• IEC activites in village,

block and state level

• Uttarakhand Jal

Sansthan (UJS)

• Uttarakhand Peyjal

Nigam (UJN)

9.

Wall

Paintings

Project

Management

Unit- Swajal

•

• List of UWSSC

members

• Cost of DPR. IPCR

10.

Wall

Paintings

Project

Management

Unit- Swajal

• Good sanitation

practices

• Slogans on usage of

IHL

127


11. Brochure Project

Management

Unit Swajal

• Objectives of

Swajaldhara project

• Roles of N.G.O.

• Roles of Panchayati

Raj Institutions

• Communication and

Strategy development

program

12.

Brochure

State Water and

Sanitation

Mission

(SWSM)

Dehradun

• SWSM

• Roles and

Responsibilities

• Secretariat of SWSM

13.

Brochure

Sector

Programme and

Water and

Sanitation

Support

Organisation

(WSSO)

• Enhancinig the

communication and

technical skills of

participants

• Information on State

Level Technical

Institutes

• Information on issues

like rain water

harvesting, water

catchment

• Complete sanitation

• Involvement of

women in technical

works

128

128


14.

Brochure

Sector

Programme and

Communication

and Capacity

Development

Unit

(CCDU)Water

and Sanitation

Support

Organisation

(WSSO)

• Enhancinig the

communication and

technical skills of

participants

• Information on State

Level Technical

Institutes

• Information on issues

like rain water

harvesting, water

catchment

• Complete sanitation

• Involvement of

women in technical

works

15.

Brochure

Diistrict Project

Management

Unit- Nainital

and Swacch

Bharat Mission

Gramin-

Nainital

• Water Quality

measurement

• Disease due to

contaminated water

and their symptoms

• Sources of

contamination of

water

• Refresher Training on

usage of FTKs

16.

Brochure

Management

Measures for

Critical

Environmental

Concerns in

URWSS

• Water Quantity and

Management issues

• Proper water

Management

• Water Quality and

Management

• Poor Rural Hygine

• Forest Land Transfer

• Impact on

downstream

ecosystem and

settlements

• Catchment Area

129


Conservation and

Management Program

(CACMP)

17. Brochure

Uttarakhand

Rural Water

Supply and

Sanitation

Program

Sector Program

• SWAp

• Objectives of

programme

• Objectives of sector

program

• Roles of N.G.O.s, Gram

Panchayats

• Stages of Program

• Selection of Gram

Panchayats for schemes

18.

Poster Swacch Bharat

Mission

(Gramin)

• Solid and Liquid Waste

Management

• Water and Sanitation

• Good sanitation

practices

• Nirmal Gram Award

• Individual Household

Latrines (IHL)

• Waste management

19. Pamphlet

s

District Project

Management

Unit(DPMU)

and Swacch

Bharat Mission

Gramin

• Personal Hygiene

• Environmental issues

• Water management

• Sanitation

• Grants for construction

of IHL

130

Annexure 4.1 Persons suffering

Table Persons suffering from acute illness (per 100,000 population) - Diarrhoea/ Dysentery:

Rural areas only

2010/11 2011/12 2012/13

Uttarakhand 767 428 351

Almora 446 217 166 Bageshwar 401 415 216

Chamoli 1569 233 69 Champawat 1390 296 161

Dehradun 401 411 369

Haridwar 687 545 602

Nainital 407 357 326 Pauri Garhwal 317 363 374

Pithoragarh 1055 438 217 Rudraprayag 1091 341 44

Tehri Grahwal 356 315 290

Udham Singh Nagar 1141 328 189

Uttarkashi 1681 1504 1343

Incidence of diarrhea amongst children (%): Rural areas only

2010/11 2011/12 2012/13

Uttarakhand 10.6 6.6 6.5 Almora 5.2 5 2.7

Bageshwar 2 4.8 5.3

Chamoli 9.7 3.2 1.2

Champawat 8.6 5.7 3.2 Dehradun 8.5 8.6 11.3

Haridwar 15.4 4.9 12.8

Nainital 9.6 7 4.2 Pauri Garhwal 6.7 9.5 7.6

Pithoragarh 5.3 3.5 4.8 Rudraprayag 8.3 5.7 1.3

Tehri Grahwal 5.5 6.4 6.4

Udham Singh

Nagar

16.5 9.5 5.2

Uttarkashi 22.6 9.8 9.3

131

Annexure 5.1 Balanced Score Card for Assessment of Institutional

Effectiveness of the URWSSP Project

Object

ives

Indicators Total

Marks

Weight

age in

%age

Performance Scores (Criterian Value) Pre-

project

Score

Actual

Achieveme

nt of

Project

Weighted

Score

Source

20 40 60 80 100

Poor Average Good Very

Good

Excellent

Tim

ely

Co

mp

leti

on

of

the

pro

gra

m (

as p

er

Pla

n)

Timely

Completion

of SVS

schemes (%)

7.00 35 <=50% 51-60% 61-70% 71-80% 81-100% 0 100% 7.00 SIS data - 8243

habitations under SVS

and 307 habitations

under MVS - i.e. Total

8550 habitations

achieved against target

of 8270 habitations

Timely

Completion

of MVS

schemes (%)

3.00 15 <=50% 51-60% 61-70% 71-80% 81-100% 0 100% 3.00

Improvement

in Rural

Sanitation -

Declaration of

ODF status

for 30% of

rural

communities

in the state

7.00 35 up to

14%

15-19% 20-24% 25-29% >=30% 0 100% 7.00 MIS data indicates 145

% achievement (689

GPs achieved ODF

Status against target of

475 GPs)

Habitations

covered

through

CACMP

3.00 15 0-5% 6-11% 12-17% 18-23% >23% 0 100% 3.00 Independent reivew

"Sustainability

Evaluation Exercise" by

M/s E & Y for the study


activities

against PAD

target of 25%

indicates 35% coverge

while the target as per

PAD was only 25%

habitations coverage

Sub Total 20 100 (Mini

mal

eviden

ce)

20.00

Se

rvic

e p

rov

isio

n i

s co

st e

ffec

tiv

e a

nd

su

stai

nab

le

Regular

Collection of

Water Tariff

(per month

per

household for

all schemes)

5 25 >=75 74-60 59-45 44-30 <30 0 On an

average Rs

35 per

month per

household

4.00 Sector Information /

M&E data, Tariff

notification of UJS and

Independent reviews,

Fully

functional

schemes (%)

5 25 1-50% >60% >70% >80% > 90% 0 98% 4.90 Independent review on

‘Sustainability

Evaluation Exercise’

conducted by M/s.

Ernst & Young , New

Delhi

Source

discharge of

scheme is

Sustainable

and equal to

the discharge

of the source

during

scheme

commissionin

g (%)

5 25 10-25% 26-40% 41-60% 61-80% 80-100% 0 86% 4.30

Users

satisfaction in

service

5 25 up to

55%

55-65% 65-75% 75-85% <85% 0 89% 4.45 Independent review

(‘Impact Evaluation’

conducted by TERI,


provision New Delhi)

Sub Total 20 100 0 (No

eviden

ce)

17.65

Be

hav

iou

r C

ha

ng

e (a

mo

ng

sta

keh

old

ers

)

Behaviour

Change at

community

level

8.0 40 up to

30%

31-50% 51-60% 61-80% 81-100% 0 96% 7.68 Various Independent

reviews including

‘Healthy Home Survey'

conducted by

M/s.Academy of

Management Studies,

Lucknow

Behaviour

change at GP/

UWSSC level

6.0 30 up to

40%

41-60% 61-70% 71-80% 81-100% 0 96% 5.76

Behaviour

change at

Facillitating

Agencies

level-

Willingness

to implement

the scheme as

per Project

Appraisal

Document

(PAD)

3.00 15 up to

50%

51-70% 71-80% 81-90% 91-100% 0 100% 3.00 Sector Information /

M&E data and

Independent reviews

Behaviour

change at

GoUK level-

assisted

facilitating

agencies in

providing

3.00 15 up to

50%

51-70% 71-80% 81-90% 91-100% 0 100% 3.00 Sector Information /

M&E data, Govt. Order

issued and

Independent reviews,


enabling

environment

through

timely release

of funds and

policy issues

for successful

implementati

on

Sub Total 20 100 0 19.44

Eff

ect

ive

Co

mm

un

ity

Pa

rtic

ipat

ion

Participation

of PRIs in

Planning and

Implementati

on

6 30 up to

50%

61-70% 71-80% 81-90% 91-100% 0 85% 5 Independent reviews

Equity in

UVWSSC

composition

(Gender

Equity

interms of

participation

of women

and

composition

of all

categories in

the UWSSC))

5 25 up to

30%

31-40% 41-50% 51-60% 61-100% 0 95% 5 Sustainabillity and

Impact Assessment

Studies (36%

participation of women

in UWSSCs and around

75 % of backward

communities)

Active

involvement

in O&M

4 20 up to

40%

41-60% 61-70% 71-80% above

80%

0 98% 4 Sustainabillity and

Impact Assessment

Studies (36%


(addressal of

complaints

and

participation

in

maintenance)

participation of women

in UWSSCs

Community

Contribution

(financial and

Time) in

terms of % of

beneficiary

households

who have

contributed

5 25 upto

40%

41-60% 61-70% 71-80% above

80%

0 98% 5 Sustainabillity and

Impact Assessment

Studies (95%

households have

contributed towards

the project)

Sub Total 20 100 0 (No

eviden

ce)

18.67

Cap

aci

ty E

nh

ance

men

t a

nd

Gro

wth

Complaint

resolution

time in hours

8 40 >72 71-48 47-24 23- 8 <8 0 <8 8.00

Percentage of

stakeholders

trained at

apex,

strategic and

Intermediate

levels

4 20 up to

20%

21-40% 41-60% 61-80% above

80%

0 100% 4.00 SIS data validated

through independent

review indicate 1088

trainings for 35404

participants


Persons

trained at

grass-root

level

4 20 up to

20%

21-40% 41-60% 61-80% above

80%

0 100% 4.00 SIS data validated

through independent

reviews indicate 170248

trainigns for approx.

54810 members of

UWSSC & grassroot

level stakeholders

Time-saved

(Future

growth)

4 20 no time

saved

saved

more

than

half an

hour

saved

more

than 1

hour

saved

more

than 1.5

hours

saved

more

than 2

hours

0 On an

average 2

hours

saved

4.00 ICR studies incidate an

average of 1-3 hours

saved to collect water

as compared to pre

project phase

20 100 0 (No

eviden

ce)

20.00

Grand Total 100 500 0 95.76

Observation: Strong evidence of Institutional Effectiveness of the URWSSSP performance score is more than 90%