National Seminar on Decentralized Governance in Water

& Sanitation in Rural India

Decentralization initiatives in RWSS Sector in Uttarakhand: A Case Study

By Kapil LallDirector “SWAJAL”, Uttarakhand

BackgroundBackground

• The sustainable delivery of rural water supply and sanitation The sustainable delivery of rural water supply and sanitation service has been a cause of concern for policy planners of the service has been a cause of concern for policy planners of the country. country.

• This has led to a paradigm shift in the way the Government now This has led to a paradigm shift in the way the Government now approaches the rural water supply and sanitation sector.approaches the rural water supply and sanitation sector.

• Uttarakhand state is the first state in the country to implement this Uttarakhand state is the first state in the country to implement this paradigm shift in both letter and spirit across its entire territory, as paradigm shift in both letter and spirit across its entire territory, as a Sector-wide Approach (SWAp). a Sector-wide Approach (SWAp).

• The objective of this presentation is to share good practices being The objective of this presentation is to share good practices being adopted in the state under the Uttarakhand Rural Water Supply & adopted in the state under the Uttarakhand Rural Water Supply & Sanitation Project (URWSSP) and NRDWP etc. for replicability Sanitation Project (URWSSP) and NRDWP etc. for replicability of the processes in all other parts of the country by adapting to suit of the processes in all other parts of the country by adapting to suit their specific situations. their specific situations.

URWSSP IN BRIEFURWSSP IN BRIEF• URWSSP is the first project in the RWSS which is based on URWSSP is the first project in the RWSS which is based on

Sector wide approach (SWAp)- Sector wide approach (SWAp)-

• The project covers entire rural areas of the Uttarakhand State. The project covers entire rural areas of the Uttarakhand State.

• The project is facilitated by the Department of Drinking Water, The project is facilitated by the Department of Drinking Water, GoUK and executed by three agencies namely Uttarakhand Peyjal GoUK and executed by three agencies namely Uttarakhand Peyjal Nigam (UJN), Uttarakhand Jal Sansthan (UJS) and Project Nigam (UJN), Uttarakhand Jal Sansthan (UJS) and Project Management Unit (Swajal). Management Unit (Swajal).

• The project has a total budget of $ 224 million of which the IDA The project has a total budget of $ 224 million of which the IDA credit is limited to a maximum of $ 120 million.credit is limited to a maximum of $ 120 million.

• The Project period is November 2006 to June, 2014. The Project period is November 2006 to June, 2014.

• The project aims to benefit about 1.2 million people or about 20% The project aims to benefit about 1.2 million people or about 20% of the rural population and improve sanitation in about 30% of of the rural population and improve sanitation in about 30% of rural communities to be declared free of open defecation. rural communities to be declared free of open defecation.

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Uniqueness of the ProjectUniqueness of the ProjectSector Wide Approach (SWAp)Sector Wide Approach (SWAp)

• Project demonstrates paradigm shift Project demonstrates paradigm shift to Sector-wide Approach (SWAp) to Sector-wide Approach (SWAp) ‘Global First’ for uniform policies and ‘Global First’ for uniform policies and institutional arrangementsinstitutional arrangements

• PRIs and local communities plan, PRIs and local communities plan, procure, construct, operate and procure, construct, operate and maintain RWSS facilitiesmaintain RWSS facilities

• Intra-village SVS & intra-village Intra-village SVS & intra-village MVS: full responsibility of Gram MVS: full responsibility of Gram PanchayatsPanchayats

• Bulk Water Supply MVS: Bulk Water Supply MVS: responsibility of sector institution.responsibility of sector institution.

• Three implementing agencies (UJN, Three implementing agencies (UJN, UJS and Swajal) working in synergy UJS and Swajal) working in synergy for implementing the SWApfor implementing the SWAp

• Community • UWSSC• Gram Panchayat• NGO• Social Audit Committee

Village Level

• DIAs DWSC DWSM District Level

• State PMU/ UJN/UJS

• SWSM• DWD

State Level

Striving to give the community a voice

RWSS INSTITUTIONAL ARRANGEMENTSRWSS INSTITUTIONAL ARRANGEMENTS

FUND FLOW MECHANISMFUND FLOW MECHANISM

The funds from the State Govt. flow directly to the State level The funds from the State Govt. flow directly to the State level implementing agencies (PMU, UJN and UJS). The funds from the implementing agencies (PMU, UJN and UJS). The funds from the State level are transferred to the district level institutions of PMU, State level are transferred to the district level institutions of PMU, UJN and UJS, based on Annual Work Plans and Budgets. UJN and UJS, based on Annual Work Plans and Budgets.

GoUK

UJN HQ UJS HQPMU HQ

DIA-UJN DIA-UJSDPMU

GP

UWSSC Beneficiary

GoUK

PMU HQ

GoUK

UJN HQPMU HQ

GoUK

UJS HQUJN HQPMU HQ

GoUK

DIA-UJS

UJS HQUJN HQPMU HQ

GoUK

DIA-UJN DIA-UJS

UJS HQUJN HQPMU HQ

GoUK

DPMU DIA-UJN DIA-UJS

UJS HQUJN HQPMU HQ

GoUK

GP

DPMU DIA-UJN DIA-UJS

UJS HQUJN HQPMU HQ

GoUK

UWSSC

GP

DPMU DIA-UJN DIA-UJS

UJS HQUJN HQPMU HQ

GoUK

Processes FollowedProcesses Followed

Implementation

Pre Planning

Planning

O&M

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Process: Planning PhaseProcess: Planning Phase

Review by DWSC

Grievances redressal in community wide meetings.

Approval by DWSM

Monitoring & Public Disclosure

Awareness Creation, Organizing Community into Groups, Trainings

Preparation of Community Action Plan

Feasibility & Agree-To-Do Meeting

DPR & Implementation Phase Proposal

Collection of Upfront

Contribution

Signing of IPQA

Record Keeping by UWSSC Wall Writing/Hoardings

Monthly Progress Report by SO to DIA

Community Wide Meeting

UWSSC Formation & Opening Capital

and O&M Account Continuous monitoring by DIA

Concurrent monitoring by Third Party.

Web based monitoring system.

SO

YesYes

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Process: Implementation PhaseProcess: Implementation Phase

Funds Release to GP by DIA

Quality Control Supervision by

Third Party

Preparation of IPCR

Start of O&M Phase

Vetting o IPCR by GP/UWSSC

Account Settlement

by DIA/DWSM

Transfer to Funds from GP to UWSSC

UWSSC/GP• Material Procurement & Construction• Collection of balance Contribution• Utilization of Fund• Record Keeping

Fulfillment of Payment Conditions by GP/UWSSC SO

• Training & Capacity Building• Management Support to GP/UWSSC

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Process: O&M PhaseProcess: O&M Phase

UWSSC/GP• O&M of Scheme• Collection of O&M Tariff• Enforcing Bye Laws• Sanction new connection• Record Keeping

SO• Refresher Training• Handholding on Maintenance of Account• Establishment Of O&M System• Exit

DIA• Exit from the village after 4 months• Technical Support to UWSSC

INNOVATIONS AT A GLANCEINNOVATIONS AT A GLANCE

URWSSP

Single Set of Schedule of

Rates

Constitution of TRC

Capacity building of all stakeholders

IEC HRD

MVS vs SVS

Integrated delivery

Fine-tuning of SOs Selection

Criteria

Model Bye-laws for UWSSC

Legal Status to UWSSC

Planning Unit: Habitation

Insurance of schemes

Social Audit Committee

Grievance redressal

Elaborate Exit Strategy

Online M&E

Community Contracting

‘Agree-To-Do’ meeting for finalization of technological option

Training on documentation & account keeping maintenance

Wall writing

FTK training

Social Audit CommitteeSocial Audit Committee

Wall Writing of Social Audit Committee

Social Audit CommitteeSocial Audit Committee• The Gram Panchayat will directly constitute a Social Audit The Gram Panchayat will directly constitute a Social Audit

Committee with five members for a period of two years. The Committee with five members for a period of two years. The Committee members;Committee members;

• Should be respectable members of the community and on whom the Should be respectable members of the community and on whom the poor have faith.poor have faith.

• Not immediately related to the GP members or UWSSC members. Not immediately related to the GP members or UWSSC members.

• Should not be members of any of the decision making committeesShould not be members of any of the decision making committees

• At least three members should be from target population.At least three members should be from target population.

The Social audit Committee will perform the following The Social audit Committee will perform the following functions:functions:

• Ensure that all the committees follow Procurement Manual.Ensure that all the committees follow Procurement Manual.

• Report any violation or deviation of rules to Gram Panchayat.Report any violation or deviation of rules to Gram Panchayat.

• Monitor the adherence of project principles and rules in selection of beneficiaries, Monitor the adherence of project principles and rules in selection of beneficiaries, implementation of sub projects and all decisions of UWSSC.implementation of sub projects and all decisions of UWSSC.

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Monitoring and performance trackingMonitoring and performance tracking

Web based monitoring

Exit: Withdrawal from villageExit: Withdrawal from villageEmpowered Community

Inventorization of Assets

X-Ray of all Works Done

Transfer of Assets & Tools

Trouble Free Sustainable O&M

Public Interest Disclosure in community wide

meeting

ImpactsImpacts• Building Local capacities:Building Local capacities: The new decentralized approach has The new decentralized approach has

been received with a high level of enthusiasm from local been received with a high level of enthusiasm from local governance institutions. By building the capacity of these governance institutions. By building the capacity of these institutions to design, implement and manage their own works - in institutions to design, implement and manage their own works - in addition to managing procurement, finances and accounting- they addition to managing procurement, finances and accounting- they have been equipped to take on other development projects in their have been equipped to take on other development projects in their areas, whether under MNREGA or any other program. areas, whether under MNREGA or any other program.

• Eliminating Layers of bureaucracy:Eliminating Layers of bureaucracy: Decentralization to local Decentralization to local communities has eliminated layers of bureaucracy, reducing the communities has eliminated layers of bureaucracy, reducing the scope for leakage of funds - an estimated 40 percent of funds scope for leakage of funds - an estimated 40 percent of funds deployed. time and expenses involved in lodging complaints with deployed. time and expenses involved in lodging complaints with the authorities, paying bills, getting corrections in wrong bills, and the authorities, paying bills, getting corrections in wrong bills, and getting sanctions for new water connections. Repairs are now getting sanctions for new water connections. Repairs are now much quicker and more long-lasting because of the strict much quicker and more long-lasting because of the strict supervision exercised by local communities. supervision exercised by local communities.

ImpactsImpacts

• Savings for state exchequer:Savings for state exchequer: Detailed assessments show that by Detailed assessments show that by

decentralizing service delivery to local communities, the state decentralizing service delivery to local communities, the state

government’s savings include: savings in institutional costs and government’s savings include: savings in institutional costs and

O&M costs. Thus the State Government has to provide lesser O&M costs. Thus the State Government has to provide lesser

budgetary support through State Exchequer as GP meets the O&M budgetary support through State Exchequer as GP meets the O&M

expenses including energy costs.expenses including energy costs.

• Greater availability of time for Line Departments:Greater availability of time for Line Departments:

GP/UWSSC takes up the full responsibility of O&M, with back-GP/UWSSC takes up the full responsibility of O&M, with back-

up support by the UJS, as and when required. Thus line up support by the UJS, as and when required. Thus line

department have more availability of time for managing complex department have more availability of time for managing complex

schemes and lesser management problems.schemes and lesser management problems.

ImpactsImpacts• Communities have the following advantages: Communities have the following advantages: • lesser dependence on outsiders for water supply service i.e. Gram lesser dependence on outsiders for water supply service i.e. Gram

Swaraj (Village Self Rule)- leading to ‘community pride’ & Swaraj (Village Self Rule)- leading to ‘community pride’ & ‘community control’. ‘community control’.

• reduction in coping cost as well as more availability of house hold reduction in coping cost as well as more availability of house hold space due to elimination of storing water in larger containersspace due to elimination of storing water in larger containers

• elimination of travel time and travel cost in lodging no-water elimination of travel time and travel cost in lodging no-water complaints, making payment of bills and getting sanction of new complaints, making payment of bills and getting sanction of new water connection water connection

• Improvement in Mean Time Between Failure (MTBF) due to better Improvement in Mean Time Between Failure (MTBF) due to better quality of repairs and strict control/supervision by the community.quality of repairs and strict control/supervision by the community.

• Reduction in women’s drudgery of about 2-3 hours per day leading Reduction in women’s drudgery of about 2-3 hours per day leading to better quality of life i.e. utilization of their quality time in caring to better quality of life i.e. utilization of their quality time in caring their children and leisure time besides income generation in some their children and leisure time besides income generation in some cases. cases.

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Thanks to the empowered community for keeping the

SWAp philosophy and program on the path to success !