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 !
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