The output of beneficiary participation in the project is the formulation of the nine CAPs in each project village. The nine CAPs, prepared by the community with the assistance of the SOs, are as follows :
1. Water Scheme Layout plan
2. Drainage and Latrine plan
3. Village Environment Action plan
4. Non-formal Education plan
5. Women Development Initiative plan
6. Hygiene and Sanitation Awareness plan
7. Cash and Labour Contribution plan
8. Monitoring & Evaluation plan
9. Operation & Maintenance plan
With the help of simple guidelines and formats issued by PMU and with the assistance of their SO, the Batch 1 project villages developed their own CAPs. These are not sophisticated blueprints but simple ‘nuts and bolts’ action plans prepared by the community on the basis of their own ideas, experiences and strategies. In terms of extent of involvement, it was found that the communities had contributed most to the three ‘software’ CAPs - Water Supply, Drainage & Latrines and the Village Environmental Action Plan was facilitated by the SO engineering staff, although the community was fully consulted in its preparation. The three remaining general CAPs - Cash and Labour Contribution, M&E and O&M were also prepared with significant input from the SOs. The important point about the CAP preparation is that, although the SO provided full assistance, this is the first time the community was deciding its own course of action.
Following
an approach of self selection for communities, the logical extension of
this was that the selected community also make the choice of technologies,
service levels and siting of facilities. However, in order to make its
choice, the community needed to be informed of and made fully aware about
the different alternatives open to it. In the Swajal project this is illustrated
in what is known as the ‘Feasibility Process’. Feasibility, a term used
routinely in the traditional engineering context, acquired a new dimension
in the Swajal project, where the SO engineers gave at least three water
supply and sanitation technology options, to the VWSCs to choose from.
The pros and cons of these different types of technology options, including
the costs, were explained. This was essential since the community was contributing
about 10% of the capital cost, and 100% of the 0&M cost.
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This
is the first World Bank aided project on water supply and sanitation in
India where rural communities are contributing to wards the capital cost
of water supply. In the Swajal project, this approximates to about 10%
of the capital cost. In addition, beneficiaries pay 100% of the O&M
costs. For latrines, the beneficiaries contribute about 40% of the costs.
PMU has imposed a ceiling on the subsidy, which varies depending on the
beneficiary category. The subsidy given is Rs. 2375, Rs 2250 and Rs. 1500
for SC/STs below poverty line respectively.
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The community undertakes total responsibility for O&M, including its full cost. The O&M account of the VWSC is separate and is not mixed with the capital cost account. While indicative monthly O&M charges have been mentioned in the SAR (Rs 30 per month for private connections and Rs 10 for public standpost users), the VWSC can levy whatever charges they deem appropriate. A monthly surcharge of 5% of the total O&M funds collected is also envisaged to establish a maintenance fund for future repairs. The day today operation of the scheme will be done by a village maintenance worker, who is trained during the Implementation Phase and paid by the VWSC after commissioning of the scheme.
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What are the Implementation Roles of different parties involved in Swajal project in different phases of the scheme cycle ? |
The Swajal project scheme cycle is divided into three distinct phases: Preplanning, Planning and Implementation. The roles played by the three partners vary in different Phases and are described below :
Preplanning Phase : The two main outputs of the Preplanning Phase are (1) selection of SOs and (2) selection of project villages. The initial role is played by the PMU, which starts the process by selecting SOs. Then the SOs select villages and PMU cross checks the SO’s application of eligibility criteria n making their selections. Once the list of villages is final, the Preplanning Phase is over.
Planning Phase : In the Planning Phase the main outputs are i) community mobilization 2) formation of VWSC 3) choice of technology by community following the feasibility process and 4) preparation of water supply and sanitation scheme designs. The PMU enters into a contract with each SO for conducting the Planning Phase activities in their project villages. While the VWSC and the community, with the assistance of the SO, go through the planning process, PMU/DPMU monitor, facilitate and coordinate.
Implementation Phase : In the Implementation Phase, the main output is the construction of water supply and sanitation systems as well as undertaking certain community development activities like WDI, HESA etc. Here the community, through its VWSC, plays the key role. A tripartite contract for each village is signed between the VWSC, SO and PMU spelling out the roles and responsibilities of each party in the construction and community development activities to be undertaken during the Implementation Phase. While the SO continues to assist the community, PMU’s role is mainly to facilitate, provide its share of funds, train SOs and monitor the quality of construction. An independent agency is being hired to supervise construction activities. Once the construction is completed, the community will take over it O&M.
Swajal stands for Swajal, where ‘swa’ means Swachchta or Sanitation and ‘jal’ stands for water, giving the meaning of Swachcha jal i.e. clean water, This word has another connotation also, where it means ‘our water’ since Swa also stands for ‘our’ in Hindi.
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What is the importance of Capacity building in the project ? |
Capacity building is the key to strengthening institutional reform. The intensive SO and VWSC training capsules have enabled the communities to take ‘charge’ of the situation. Future projects have to use capacity building as a thread running through the project design.
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Is there a subsidy/credit ceiling? How does financial policy create incentives to minimize costs? |
Yes.
For individual latrines the project share is restricted to about 60% of
the cost. For water supply there is a per capita ceiling on the investment
cost. There is a ceiling of Rs. 2200/- per capita for piped schemes and
Rs. 550/- per capita for handpump schemes
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Is the amount of community contribution linked to the level of service requested? (do they pay more for higher service?) |
Yes.
For example, for an individual house connection, the beneficiary has to
contribute an additional $ 28 plus the incremental cost of making their
construction. For latrines, the actual additional cost for a higher service
level has to be born by the beneficiary.
100%
of the O&M and replacement cost is to be contributed by the beneficiaries.
While each community will decide how it will recover its O&M costs
from its members, there will be a 5% surcharge on the monthly collection
to cover replacement.
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Does the project provide qualified assistance to facilitate choice making ? |
Yes, trained NGO engineers assist the community in making their choice by informing them about possible technology options for a particular village, cost of the various options, likely materials to be used and maintenance requirements. The information is presented pictorially in form of a layout plan on the community map.
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Does the community participate in procurement, selecting and supervising construction ? |
Yes,
The VWSC and the community are involved at all the stages of procurement,
supervision, construction and payment. In fact great enthusiasm was shown
by the villagers, especially women in procuring materials. In one case
women travelled all the way to a town near Delhi to see the GI pipes for
themselves before placing an order.
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Project communities on the whole collected their share quite enthusiastically. Interestingly, while most communities decided to share their costs equally amongst all the households irrespective of the income status, in some cases cross subsidy took place. The best example of this was village Barwara in Bundelkhand, where a wealth ranking of persons in the village determined their contribution towards the upfront cash collection.
Giving the community control over funds has fitted in very well with the demand responsive approach. In the Swajal project, all construction funds are released into a joint bank account of the VWSC and the NGO. Management of funds is done by the VWSC Treasurer, with the assistance of the NGO. Giving the community control over the funds has not only increased the credibility of the PMU, but has led to transparency amongst the three partners and within the village. The amount released is written up on the VWSC notice board and the whole village is aware about the VWSC’s financial transactions.
Three main strategies were used in the Batch 1 Planning Phase to maximize the involvement of women in the project. All three were ‘group’ strategies:
(i) Non Formal Education (NFE) : Using NFE as an entry tool to mobilise women proved to be a very effective tactic. Women initially attending NFE classes encountered some resistance from the males, but persevered and became regular trainees. They managed to discuss common problems and issues in the classes and found the Swajal project an effective vehicle to express their opinions.
(ii) Hygiene and Sanitation Awareness (HESA) : Again mainly targeted at women and children, HESA activities, a crucial link between water and sanitation, also helped in mobilising and getting women involved in group activities.
(iii) Women’s Development Initiatives (WDI) : The third strategy used to mobilise women was the WDI tool. This provided a direct incentive to women to participate in groups, since it focused on identifying training needs of the community women for income generating activities, as well as conducting preliminary training activities. Linked with the training aspect of WDI activities was the formation of small women’s collective saving groups to generate seed money for future income earning activities.
1. Capital Cost Sharing Rules in Hill districts : For Community Owned Facilities
(a) For gravity schemes in hills, the community will contribute 1% of capital cost (water supply and drainage) as upfront in cash during Planning phase as evidence of commitment and an indicator of demand for services. During Implementation Phase, the community will pay for all labour (in cash or labour) for digging and refilling of all the trenches for water supply pipeline.
(b) For technological options other than gravity schemes in hills (e.g. handpump, infiltration well with handpump, pumping, rain water harvesting, combination of technologies etc.), the community will contribute 1% of the capital cost (water supply and drainage) as upfront in cash during Planning Phase as evidence of commitment and an indicator of demand for services. During Implementation Phase, the community will pay 9% of capital cost in cash and/or labour.
(c) For gravity schemes in foothills, the community will contribute 1% of capital cost (water supply and drainage) as upfront in cash during Planning phase as evidence of commitment and an indicator of demand for services. During Implementation Phase, the community will pay for all labour (in cash or labour) for digging and refilling of all the trenches for water supply pipeline.
(d) For other technological options like tubewell and handpump in foothills, the community will contribute 5% of capital cost (water supply and drainage) as upfront in cash during Planning Phase as evidence of commitment and an indicator of demand for services. During Implementation Phase, the community will pay remaining 5% contribution of the capital cost in form of cash and/or labour. This is in view of the fact that feasible local labour contribution is minimal for Tubewell & Handpump schemes in foothills region.
(e) For all piped water supply schemes, Rs. 1000/- per household will be contributed by those who want private connection out of which at least 50% ( i.e. Rs 500/-) should be collected during Planning Phase. This fee will cover the incremental capital costs of providing for additional capacity above the basic minimum service level. This amount will be in addition to the upfront cash contribution to be deposited by the community. Such households will also pay the expenses for connection from the distribution line to the house during the Implementation Phase.
(f) For other community owned works (e.g. Environment and catchment protection works), the community will contribute 10% of the capital cost in cash and/or labour during Implementation Phase.
2. Capital Cost Sharing Rules in Non Hill districts : For Community Owned Facilities
(a) For all the technologies other than Tubewell & Handpump schemes, the community will contribute 2% of capital cost (water supply and drainage) as upfront in cash during Planning Phase as evidence of commitment and an indicator of demand for services. During Implementation Phase, the community will pay remaining 8% of capital cost in cash and/or labour.
(b) For tubewell and handpump schemes in Bundelkhand region, the community will contribute 5% of capital cost (water supply and drainage) as upfront in cash during Planning Phase as evidence of commitment and an indicator of demand for services. During Implementation Phase, the community will pay remaining 5% contribution of the capital cost in form of cash and/or labour. This is in view of the fact that feasible local labour contribution is minimal for Tubewell & Handpump schemes in Bundelkhand region.
(c) For all piped water supply schemes, Rs. 1000/- per household will be contributed by those who want private connection out of which at least 50% ( i.e. Rs 500/-) should be collected during Planning Phase. This fee will cover the incremental capital costs of providing for additional capacity above the basic minimum service level. This amount will be in addition to the upfront cash contribution to be deposited by the community. Such households will also pay the expenses for connection from the distribution line to the house during the Implementation Phase.
(d) For other community owned works (e.g. Environment and catchment protection works), the community will contribute 10% of the capital cost in cash and/or labour during Implementation Phase.
3. Operation and Maintenance (O&M) Cost Sharing Rules
(a) Community owned facilities:- Participating village will decide who operates and maintains the facilities and will bear 100% of operation and maintenance costs. During the Planning phase the Community will estimate the monthly tariff for operation and maintenance for community owned facilities. The amount sufficient for O&M of the scheme for one year will be deposited during the Planning phase. The community can amend the tariff from time to time. . The monthly tariff for house connection will be at least three times of the tariff for standpost users. There will be a 5% surcharge on the monthly tariff to establish a maintenance fund.
A monthly tariff will be regularly billed for meeting O&M costs, beginning at the time of system commissioning and continuing on a frequency of no longer than every three months.
(b) Individual facilities:- The entire responsibility to maintain such facilities shall be of the owner.
4. Capital Cost Sharing Rules : For Individual Facilities
The following rules will apply for individual facilities:
| Sl. No. |
Item |
Indicative cost in Rs. |
Upfront cash contribution required from the beneficiary household(in Rs.) |
Maximum Subsidy (in Rs.) |
|||
| BPL | APL | BPL | APL | ||||
| SC/ST | Other | ||||||
| 1 | Latrine | 3700.00 | 100.00 | 300.00 | 2375.00 | 2250.00 | 1500.00 |
| 2 | Soakpit | 450.00 | 20.00 | 30.00 | 270.00 | 180.00 | |
| 3 |
Garbage pit
|
45.00 | Nil | Nil | 27.00 | 18.00 | |
| 4 | Compost pit | 2000.00 | 80.00 | 120.00 | 1200.00 | 800.00 | |
Note: (i) BPL means Below Poverty Line; APL means Above Poverty Line.
(ii) Subsidy for latrine is as per GOUP policy. The project will provide subsidy to other people (APL) also but at a reduced level.
(iii) For other items, the subsidy for BPL and APL is 60% and 40% of the indicative cost respectively
Issue of Sustainability :
While it may be too early to draw definite conclusions from the Swajal project, certain trends, based on project experience so far, are clearly emerging. One of the important indications from the project so far, is that the relationship built between the NGOs and the communities is likely to be long lasting. Having worked for almost three years with the community in capacity building exercises, the NGO is expected to continue to provide support to the community even after the O&M phase is underway. While it is expected that the community would have developed enough capacity by then to undertake its own operations, the NGO would probably continue to provide assistance (perhaps at a price) if required.
PMU’s Role Reversal : In the Swajal project, unlike a conventional Government scheme, the role of the PMU is not that of a ‘provider’ of services, but that of a ‘facilitator’ in the process of service delivery. The lead role in the delivery of services is played by the community, assisted by the SO.
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