76534 INNOVATIONS IN DEVELOPMENT Uttarakhand Decentralizes Rural Water Supply 9 Uttarakhand Rural Water Supply and Sanitation Project MINISTRY OF FINANCE Department of Economic Affairs THE WORLD BANK IN INDIA 2013 ISSUE 9 2 MINISTRY OF FINANCE Department of Economic Affairs THE WORLD BANK IN INDIA SUMMARY UttarakhanD Rural Water Supply and Sanitation Project Water Supply Comes to Rural Uttarakhand I ndia has invested almost $2.5 billion each India to implement this decentralized approach year to improve water supply for over 700 in both letter and spirit across its entire million rural people, making it the largest such territory. In keeping with the 73rd amendment program in the world. Most rural water supply of the constitution, it has transferred the and sanitation systems in existence today have control of ‘funds, functions and functionaries’ been designed and implemented by state-run to the lowest rung of the local governance agencies in a top-down manner with a focus infrastructure, the Gram Panchayats. on building infrastructure. Not surprisingly, government data show that 96 percent of the By March 2013, 5,000 habitations had built rural population has been ‘covered’ with a tap their own water supply systems, benefitting or a well within a reasonable distance from some half a million rural residents, with support their home. from the World Bank’s Uttarakhand Rural Water Supply and Sanitation Project. Strong In practice, however, many rural water supply community involvement has reduced the cost systems are no longer functional. Maintenance of the schemes, curbed the leakage of funds, has been neglected, water sources have dried and led to huge savings for the state exchequer. up, the quality of water has deteriorated, Women, who have traditionally borne the brunt or systems have long outlived their use. of fetching water, have been involved at all Consumers have also treated water as a right stages of planning and implementation. to be provided free-of-cost by the government, rendering their water supply systems both Catchment areas have been protected to financially and environmentally unsustainable. recharge springs and maintain water quality. As a result, the promised minimum of at least Given the state’s mainly hilly terrain, most 4 buckets of water per person per day does not schemes are gravity-based piped systems that often reach the people. bring 24/7 water supply to rural homes without using power. Communities have increased In 1999, India sought to decentralize the delivery their capacity to plan and implement works, of rural water supply and sanitation services. equipping them to take on other development Henceforth communities would choose the projects in future. service they wanted and were willing to pay for. They would also plan, construct and maintain The project has twice received the Uttarakhand their own systems, while the government’s Government’s Right to Information (RTI) award role would change from being a ‘water service for transparency and good governance. The provider’ to a ‘facilitator’. Government of India’s National Rural Drinking Water Program has mandated that other states Uttarakhand has now become the first state in follow similar policies and practices. THE WORLD BANK IN INDIA MINISTRY OF FINANCE Department of Economic Affairs 3 Context W ater scarcity is a major challenge in the past to water quality or to ensure that for Uttarakhand where almost 90 water sources remain sustainable. Streams and percent of the territory falls within springs are depleting and nearly a third of the the Himalayan region. Three out of four of the state’s rural water supply systems suffer from state’s almost 9 million people live in the rural water shortages, especially during the summer areas with densities varying from around 40 months. Women and children have to spend people per square kilometre to over 800. between one to three hours a day to collect water - even longer in hilly locations – or Many of the state’s rural water supply systems potable water has to be brought in from other no longer meet community needs. Frequent sources by tankers and mules. landslides damage water pipes and other infrastructure. It often takes weeks or even In addition, the large majority of the state’s rural months for technicians from the state-run population - some 75 to 80 percent - does not Uttarakhand Jal Nigam (UJN) or the Uttarakhand have access to sanitary latrines. This, together Jal Sansthan (UJS) to reach remote villages. with the acute scarcity of drinking water and poor drainage facilities has become a major Moreover, not enough attention has been paid cause of health problems in the state. The Uttarakhand hills face an acute scarcity of water and streams and springs are depleting 4 MINISTRY OF FINANCE Department of Economic Affairs THE WORLD BANK IN INDIA challenges UttarakhanD Rural Water Supply and Sanitation Project A n earlier pilot in Uttarakhand (Swajal henceforth take the decisions in such matters. Project 1996 - 2002) showed that rural On a positive note, Uttarakhand had the communities can indeed plan, construct advantage of cohesive rural communities and maintain their rural water supply systems. that had developed trust and confidence in Nevertheless, decentralizing these functions the decentralization process through the across the state was a challenge. All levels outstanding success of the Swajal pilot in the of political leadership – parliamentarians, state. With training in a range of technical legislators, gram pradhans – needed to be and bookkeeping functions, communities convinced of the benefits of decentralization were keen to take on their new roles and and, with each new election, the case had to be responsibilities. made afresh. Given the challenges, the program only gained Importantly, the mindsets of sector personnel momentum after the first three years, during needed to change. They would need to which time mindsets of sector personnel adjust from being the designers and builders were changed and Gram Panchayat and other of schemes to becoming the trainers and elections that delayed community processes facilitators of communities who would were completed. Uttarakhand's cohesive rural communities were keen to take on their new responsibilities THE WORLD BANK IN INDIA MINISTRY OF FINANCE Department of Economic Affairs 5 INNOVATIONS T he project decentralized decision-making Water, sanitation and source sustainability at all stages - planning, procurement, construction and management - to As the health of communities depends not only panchayats and communities in all 13 districts on clean water, but also on better sanitation of the state. They were supported by sector and safe water sources, an integrated approach institutions and NGOs with strong grassroots towards all three was adopted. Ensuring the experience who motivated and trained the sustainability of water sources was made an communities to take on their new roles. integral part of the program. Trees were planted Several consultative meetings were held with in the upper catchment areas and check dams, hundreds of district and village panchayats contour trenches, and recharge pits were before consensus was reached on the design constructed to ensure the sustainability of of programs, in addition to deliberations with streams and springs. Awareness of health and the World Bank team and sector institutions. hygiene was raised, water testing kits were Several implementation issues were resolved issued, and the safe disposal of both liquid and and the model constantly refined to arrive at solid waste was ensured. State government a realistic program. A number of innovations programs and funds for all these activities were were introduced: integrated. Campaigns mobilized communities and raised awareness. A quarterly newsletter shares experiences 6 MINISTRY OF FINANCE Department of Economic Affairs THE WORLD BANK IN INDIA UttarakhanD Rural Water Supply and Sanitation Project Roles and responsibilities redefined wide meetings where villagers confirmed their willingness to share the capital costs, pay O&M The roles and responsibilities of Gram costs in full, and undertake full responsibility Panchayats (GP) and sector institutions for the operation and maintenance of their were redefined. Decentralized institutional systems. One-time contributions towards arrangements were developed, strengthened capital costs - either in cash or kind, including and operationalized. Uniform policies for labour - and estimated O & M costs for a year capital cost contributions and O&M costs were were collected upfront and deposited in bank adopted across the state. accounts opened specifically for the purpose. Communities choose their systems The process was led by Users’ Water and Sanitation Committees formed with the help of Communities were given various technological NGOs. options from which they could choose. For each option, the capital cost, monthly tariffs, Communities plan and construct O&M requirements, and the level of service they could expect from each were explained. State RWSS funds - ranging from Rs. 2 lakh The final decision was taken at community- to Rs 40 lakh per scheme - were disbursed Decisions were taken and grievances sorted out at community-wide meetings THE WORLD BANK IN INDIA MINISTRY OF FINANCE Department of Economic Affairs 7 Communities planned and constructed their water Most systems were gravity based, bringing 24/7 water supply systems supply and saving power costs directly to the bank accounts of local user multi-village schemes, the state subsidized committees. Accounts were maintained by the these costs in a transparent manner. Gram Panchayats in accordance with formats prescribed by the Accountant General. Capital Transparency maintained at all stages contributions per family usually amounted to Complete transparency was maintained Rs. 600 for private water connections and Rs. at every stage. Project details, names of 300 for public stand-posts, with contributions committee members, maps of proposed pipes being halved for vulnerable families from SC/ST and standposts, as well as the details of the groups. The remaining construction costs were contractors employed and the funds disbursed met by the GoI and the state government. at each stage were prominently displayed on O&M costs met in full blackboards and village walls. Communities monitored the progress of their schemes during O&M costs were recovered in full and village all the phases of implementation, as well as panchayats and water user committees were after the schemes were complete. Grievances trained in the operation and maintenance of were discussed at community-wide meetings their systems. Households paid a minimum where most issues were sorted out. A number of Rs.5 per month for hand pump and stand of innovative independent reviews including post connections, while those with private third party quality checks, social audits, connections paid Rs.45 a month. Charges were beneficiary assessments and sustainability higher in the hills, but were subject to a ceiling evaluation exercises were made an integral of Rs.10 for hand pumps and stand posts, and part of the program. Rs.55 for private connections. In high-cost 8 MINISTRY OF FINANCE Department of Economic Affairs THE WORLD BANK IN INDIA UttarakhanD Rural Water Supply and Sanitation Project Women were involved at all stages of planning and implementation Transparency was adhered to and monitored Sector institutions provide support for fetching water in rural communities and have a high stake in the sustained success State-run sector institutions - Uttarakhand Jal of their systems, the project involved women Nigam and Uttarakhand Jan Sansthan - provided at all stages of planning, implementation communities with technical assistance, and maintenance of the works. Women were financed part of their water supply works, and trained to participate in village deliberations provided back-up support and oversight. They in an informed manner as well as to operate also remained responsible for inter - village bulk and maintain their systems. All village water water supply and multi-village schemes as well user committees and sub-committees in as for meeting contingencies such as restoring charge of procuring materials and services water supply systems after landslides and were mandated to have 35 percent women earthquakes. To ensure that systems remained members. sustainable, they monitored the technical, financial, institutional, social, and environmental Information placed online aspects of the works. Schemes in randomly selected villages were audited by independent Water institutions and rural communities financial and technical auditors. Periodic reviews have been provided with online access to were conducted to learn from field experience automated real time data on water flows, and improve strategies and design. power consumption, and chlorine levels to enable them to better manage their systems. Women play key role An online sector information system has also been established to monitor the progress of the As women have traditionally been responsible sector-wide approach across the state. THE WORLD BANK IN INDIA MINISTRY OF FINANCE Department of Economic Affairs 9 IMPACT B y March 2013, 5,000 habitations had Local capabilities built built their own water supply systems The new decentralized approach has been benefitting more than 750,000 rural enthusiastically received by local governance residents (project target is 1.2 million). A institutions. With increased capacity to design, number of benefits were recorded: implement and manage the works - in addition Time and effort saved to managing procurement, finances and accounting - they are now equipped take on An independent study found that making other development projects within their areas. water available nearer village homes had a huge impact on women’s lives. After systems Water sources protected became operational, it took the women only The protection and management of water 20-30 minutes to fetch water, saving them sources in catchment areas has improved the from the daily trudge of some 3-4 hours a day environmental sustainability of water supply across hilly terrain carrying heavy pots of water schemes. on their heads. Freeing the women from this daily chore enabled them to spend more time Leakage of funds reduced in taking care of children, earning an income, or pursuing leisure activities. Decentralization to local communities has eliminated layers of bureaucracy and reduced Power costs reduced the leakage of funds - estimated to be about 40 percent of the total funds deployed. Some 80 to 90 percent of the new water Decentralization has also reduced the time and supply systems rely on gravity to bring water cost of lodging complaints with the authorities, to village households, saving on power costs. paying bills, getting bills corrected, and Earlier, engineering approaches to water supply obtaining sanctions for new water connections. tended to pump water up hillsides from the Repairs are now much quicker and more river below to reach village homes. long-lasting because of strict supervision by Sanitation improved communities. While only 21 percent of rural households had Sizeable savings for state exchequer individual latrines before the project (2006), Detailed assessments show that decentralizing their number increased to 80 percent by Feb service delivery to local communities is saving 2012. About 525 habitations have received the Uttarakhand government about Rs. 18 crore government awards for remaining free of open a year. This includes savings in institutional, defecation. This is expected to result in fewer capital and O&M costs, as earlier the sector water-borne diseases and improved health institutions tended to focus on building larger outcomes. 10 MINISTRY OF FINANCE Department of Economic Affairs THE WORLD BANK IN INDIA UttarakhanD Rural Water Supply and Sanitation Project and more capital-intensive schemes. Savings Going forward are expected to increase to Rs. 52 crore a year as more villages implement the program. The World Bank has supported the government at each stage of the sector’s development. In the 1990s, the first generation of reforms introduced decentralized delivery of services through community managed demand-based approaches and, in the 2000s, the second generation scaled up these community-led models. The third generation of reforms is Lessons now promoting sector-wide approaches that The project has largely demonstrated that: integrate rural water supply, sanitation, and source sustainability along with higher levels of  Community-led delivery systems are not service, including 24/7 metered water supply. only more desirable than the present top- down government-dominated system, but The Uttarakhand Rural Water Supply and also feasible. Sanitation Project has built on the foundations laid under a World Bank pilot that pioneered  As long as demand-based approach is the community-led model in the state adopted, communities are willing to (Swajal 1996-2002). Lessons have also been contribute towards capital costs and plan, incorporated from six World Bank-funded rural implement, operate and maintain their water supply and sanitation projects in India own schemes. (Kerala, Karnataka, and Maharasthra), Sri Lanka,  The possibility of misappropriating Bangladesh, and Nepal. and misusing the funds is minimal if By June 2014, the project aims to cover the transparency at each stage is adhered to remaining villages with decentralized water and monitored. supply and sanitation services, benefiting at  When properly trained, communities can least 1.2 million rural people. The remaining 20 efficiently and effectively resolve disputes, percent of households are also expected to be procure materials, conduct financial covered with household latrines by then. transactions, and maintain records and The initial delays encountered in changing books in a satisfactory manner. mindsets have provided multiple lessons  Partnership between village communities, for other states wishing to adopt the sector- NGOs and the government can be wide approach, as well as for the GoI’s reform successful where the government takes program. the role of facilitation and co-financier. THE WORLD BANK IN INDIA MINISTRY OF FINANCE Department of Economic Affairs 11 UttarakhanD Rural Water Supply and Sanitation Project Contributions Kapil Lall Indian Forest Service Director Uttarakhand Rural Water Supply & Sanitation Project Dehradun, Uttarakhand E-mail: pmu_uttaranchal@rediffmail.com Design: www.digitatemedia.in Dr. Smita Misra Senior Economist South Asia Sustainable Development Unit World Bank New Delhi MINISTRY OF FINANCE THE WORLD BANK IN INDIA Department of Economic Affairs