69849 FINAL REPORT (PHASE ONE) COMPARATIVE STUDY OF THE EXTERNALLY AND GOVERNMENT SUPPORTED RURAL WATER SUPPLY AND SANITATION PROJECTS IN KARNATAKA SPONSORED BY RAJIV GANDHI NATIONAL DRINKING WATER MISSION GOVERNMENT OF INDIA AND UNDP-WORLD BANK REGIONAL WATER AND SANITATION PROGRAMME- SOUTH ASIA (RWSG-SA) CONDUCTED BY SOUTH EAST ASIA REGIONAL BUREAU INTERNATIONAL UNION FOR HEALTH PROMOTION AND EDUCATION BAN GALORE MAY 1998 TABLE OF CONTENTS Page No. PREFACE STUDY TEAM LIST OF PROJECT VILLAGES SELECTED FOR COMPARATIVE STUDY REFERENCES LIST OF ABBREVIATIONS ACKNOWLEDGEMENTS 1. INTRODUCTION 1 2. MAJOR FINDINGS AND RECOMMENDATIONS 2 3. STUDY OBJECTIVES, CONCEPTUALISATION AND METHODOLOGY 5 3.1 Introduction 5 3.2 Objectives 5 3. 3 Conceptualization of the Study 6 3.4 Methodology 7 3. 5 Data Analysis 8 3.6 Preparation of the Study Report 8 4. COMPARATIVE ANALYSIS OF THE PROJECTS 9 5. INSTITUTIONAL SET -UP AND FINANCIAL MECHANISMS 15 5.1 Institutional Framework 15 5.2 Implementation Procedure 16 5.3 Scope ofthe Works: Hard Ware 16 5.4 Powers ofEngineers for Implementation Technical Sanctions 17 5. 5 Cost of Schemes - Centrally Sponsored and Danida Schemes 17 5.5.1 Danida and State/Central Schemes 18 5.5.2 World Bank Schemes 18 5.5.3 Netherlands Assisted Schemes 18 5.6 Role of Consultants in the Bi-lateral Programmes 18 5.7 Methodology ofEstimating in PHED 19 5. 8 Selection Process of Contractors 19 5.9 Review ofPowers ofEngineers for Issue of Technical Sanctions and Acceptance ofTenders 19 5. 10 Effect of Time Over-runs on the Programme 20 5.11 Powers ofEngineers and Escalation in Prices 20 5.12 Sustainability and Replicability of the Systems 20 6. COMMUNITY PARTICIPATION, INSTITUTIONAL DEVELOPMENT AND COST SHARING 22 6.1 Introduction 22 6.2 Community Participation 23 6.3 Village Water and Sanitation Committee 25 6.4 Institutional Development 26 7. CHANGES IN HEALTH AND HYGIENE BEHAVIOUR 28 7.1 Introduction 28 7.2 Household Toilets Constructed and in Use 29 8. INSTITUTIONAL SUST AINABILITY 32 8.1 Recent Developments 32 8.2 Elements to be included in Government Programmes 32 8.3 Training and Orientation 32 8.4 Mobility Support and Staff 33 8.5 Role of Gram Panchayat 33 8.6 Village and Water and Sanitation Committee 33 9. LESSONS LEARNT AND MODIFICATIONS SUGGESTED 36 PHASE 2 STUDY 38-42 LIST OF CHARTS 5.1 Institutional Set-up ofWorld Bank Programme 5.2 Institutional Set-up Netherlands Assisted Programme 5.3 Institutional Set-up ofDanida Programme 5.4 Institutional Set-up GOK 5.5 Processing and Tender Accepting Powers 5.6 Processing and Powers ofEngineers for Technical Sanctions LIST OF TABLES 4.1 General Objectives ofProject 11 4.2 Project Components 12 4.3 Comparison of Cost-sharing, Criteria of Selection of Villages and 13 Design Particulars 4.4 Project Cost Comparison by Components 14 1. Comparison ofESA Water Supply Programmes in Karnataka 2. Powers ofEngineers 3. Major Differences and Similarities in Various Bi-lateral Schemes LlST OF APPENDICES A List ofParticipants in the Workshop on Comparative Study B. List of Officers and Non-Governmental Organisation Interviewed for the Study ofManagement and Institutional Development (Phase 1 and Phase 2) C. Comparative Study ofESA Water Supply Projects in Kamataka (Questionnaire) PREFACE The Government has made considerable efforts in the past decade to provide safe drinking water and sanitation facilities with the support of several multilateral, bilateral and non-Government organisations. With the onset qf the International Drinking Water and Sanitation Decade, new initiatives have been taken in several states for the implementation of Integrated Rural Water Supply and Environmental Sanitation Projects (IRWS&ESP). Several donors came j01ward for providing assistance to the rural water supply and sanitation sector. A unique opportunity existed in Kamataka State to make a Comparative Study of Externally assisted IRWS&ESP and Govemment involvement in the sector. The interest in the study arose because of certain innovative policies, strategies and approaches for project implementation and management. The study reviewed the experience ofjour ntral water supply and sanitation programmes, mainly project organisation, project designs, components, delivery 'mechanism, financial arrangements, management process, operation and maintenance, junctions of Village Water and Sanitation Committees (VWSCs) and programme development strategies. The study is jointly sponsored by the Rajiv Gandhi National Drinking Water Mission, Govemment of India, UNDP!World Bank Regional Water and Sanitation Group- South Asia (RWSG-SA). The South East Asia Regional Bureau of the International Union for Health Promotion and Education (SEARB-IUHPE) wish to thank Rajiv Gandhi National Drinking Water Mission, Government of India, UNDP!World Bank, RWSG-SAjor identifying SEARB-IUHPEjor carrying out the study which was initiated vide Government of India Letter D. O.No.JS(IM) Misce/97, dated 30 May 1997 and the Terms of Reference provided by the UNDP Regional Water and Sanitation Group - South Asia. STUDY TEAM Dr. K.Ramachandra Sastry Team Leader, Comparative Study and Co-chairperson Working Group, Research, SEARB-TIJHPE Bangalore Mr.B.R.N. Gupta Environmental Engineer (Consultant) Additional ChiefEngineer (Retd.) Bangalore Mr. L.S. Srinivasa Statistician Bangalore Mr.N.R. Vaidyanathan Project Officer, Unicef{Retd.) South East Asia Regional Bureau Bangalore Mr. N.S. Srinivasa Rao Assistant Engineer, Project Planning and Monitoring Unit Bangalore Supported by: Dr. V. Ramakrishna Regional Director South East Asia Regional Bureau - TIJHPE Bangalore Mr. Settappa Administrative Officer SEARBIIUHPE Bangalore Guided by: Dr. K. Balanchandran Kurup Rural Specialist UNDP/World Bank and Sanitation Programme New Delhi LIST OF PROJECT VILLAGES SELECTED FOR COMPARATIVE STUDY Project -· Districts Taluk Villages World Bank Mysore Charnraj an agar Chandakavadi Charnaraj an agar Kuderu H.D. Kote K yathanahalli Gudlupet Kabbahalli Mysore Yelawala Government Mysore Mysore Bhugathadahalli Devagalli Halagayyanahundi Kalawadi Megalapura Netherlands Dharwad Navalgund Arekurahatti Gurngol Kalwad Morab Talirnorab Danida Bijapur Hungund Bijuwadagi Bannihatti Chittawadagi Nagoor Veerapura REFERENCES • Integrated Rural Water Supply and Sanitation Project Karnataka, Netherlands Assisted (Plan of Operations) June 1995 • Karnataka Rural Water Supply and Environmental Sanitation Project, World Bank Assisted, (Staff Appraisal Report) March 1993 • Integrated Rural Water Supply and Environmental Sanitation Project in Karnataka, DANIDA Assisted, Final Draft Report ending February, 1997 -Project Advisory Group, DANIDA • Integrated Rural Water Supply and Sanitation Project, Implementation Phase - Progress Report, Mid-February to June 1997- Netherlands Assisted • Integrated Rural Water Supply and Sanitation Project, Implementation Phase - Progress Report, Mid-October to Mid-February 1997- Project Support Unit, Bangalore • Integrated Rural Sanitation and Water Supply Project in Karnataka (Phase II) - Project Document September 1994- DANIDA Assisted • A comparative Study of Community Participation in Rural Water Supply and Sanitation in Karnataka State, India - Master of Science thesis by N.S. Srinivasa Rao - International Institute of Infrastructural, Hydraulic and Environmental Engineering, The Netherlands, May 1996 • Water and Sanitation for Health Progress Report No. 13 - March 1990 - WASH - Sponsored by USAID • Community Participation in the Rural Drinking Water and Sanitation Project - A Comparative Study of Five Projects in India - World Bank Water and Sanitation Programme - India • Contribution of Peoples Participation- Evidence from 121 Rural Water Supply Projects- Deepa Narayan - sponsored by ESD Occasional Paper Series No. 1 - The World Bank, Washington DC • Study of the Health Benefits of Water Supply in a Rural Area of Uttar Pradesh (India) - Baseline Survey Report - Sponsored by WHO - Department of Social and Preventive Medicine - MLB Medical College, Jhansi - UP - India • WASH Update - The Water and Sanitation for Health Project - Bulletins June 1990, October 1990, June 1992, September 1992 LIST OF ABBREVIATIONS CEO ChiefExecutive Officer DANIDA Da.nish International Development Assistance DPU District.Project Unit DPSU District Project Support Unit EE Executive Engineer E.-i.-C. Engineer-in-Chief EMD Earnest Money Deposit ESA Externally Supported Agency EO!TP Executive Officer, Taluka Panchayat FIC Field Implementation Cell GOI Government oflndia GOK Government ofKamataka GP Gram Panchayat HRDC Human Resource Development Cell lRWS&ES Integrated Rural Water Supply and Environmental Sanitation lRSWSP Integrated Rural Sanitation and Water Supply Project IDWSSD International Drinking Water and Sanitation Decade :MRAE Ministry of Rural Area Employment, GOI MWS Mini-Water-Supply NGO Non-Governmental Organisation O&M Operation and Maintenance PMC Project Monitoring Cell PAG Project Advisory Group PSU Project Support Unit PSC Project Steering Committee PPMU Project Planing and Monitoring Unit PRA Participatory Rural Appraisal PVW Project Village Worker PHED Public Health Engineering Department PWS Piped-Water-Supply RD&PR Rural Development and Panchayat Raj RGNDWM Rajiv Gandhi National Drinking Water Mission RNE Royal Netherlands Embassy RWSG-SA Regional Water and Sanitation Group - South Asia RWSS Rural Water Supply and Sanitation SLSC State Level Steering Committee SE Superintending Engineer SR Schedule ofRates TPMO Training, Promotion and Monitoring Officer UNICEF United Nations International Children's Fund vwsc Village Water Supply and Sanitation Committee WBC World Bank Cell ZP Zilla Panchayat ZPE Zilla Panchayat Engineering ZPED Zilla Panchayat Engineering Division ACKNOWLEDGEMENTS We take this opportunity to express our grateful thanks to the following: 1. Shri. Palat Mohandas, Joint Secretary and Director, Rajiv Gandhi National Drinking Water Mission, Government oflndia and Shri.A.R. Subbiah, Deputy secretary for their continued support and cooperation for the conduct of the study. 2. Shri. M.S. Srinivasamurthy, Secretary to Government, Rural Development and Panchayat Raj Department, Government of Karnataka, the Director, and senior staff of the Programme Planning and Monitoring Unit for their cooperation in the formulation of data collection instruments, providing information on various projects and support in securing facilities for the conduct of the study. Special thanks to Mr.Sreenivasa Rao, Liaison officer for the study from PPMU for all the suppo_rt rendered by him. 3. The Executive Engineer of the District Project Units and other Project Officials who extended full cooperation to the study. 4. The Donor Agencies and senior officials ofthe Danida and Netherlands projects for their comments and suggestions on data collection instruments and response to questionnaire sent to them. 5. Shri Srikanth, former Director, Programme Planning and Monitoring Unit, Senior Engineers of the Public Health Engineering Department associated with the projects, the Deputy Director of Women and Child Welfare, Senior Level officers and Non- Governmental Organisations especially Dr. Mohan of OM Consultants and Shri Kiran Mandanna, State Programme Officer ofMYRADA for responding to the questionnaire and interviews on management and institutional aspects. 6 The Study Team would be failing in their duty if they do not record their sincere appreciation and thanks to Mr. J.M. Abbott, Team Leader - Project Support Unit, (Netherlands Assisted) for having readily agreed to lend his staff in facilitating the preparation of the draft reports by giving the necessary secretarial and other support. 7 The officials and members of the Gram Panchayats and particularly the members of the Village Water Supply and Sanitation Committees deserve our special thanks for the cooperation extended to the study team. 8. The SEARB is highly grateful to Dr. K. Balachandra Kurup, Rural Specialist UNDP-World Bank Water and Sanitation Programme for his valuable guidance and additional inputs throughout the course of the study. 1. INTRODUCTION The Government has made considerable efforts in the past decade to provide safe drinking water and sanitation facilities with the support of several multilateral, bilateral and non- Government organisations. With the onset ofth~ International Drinking Water and Sanitation Decade, new initiatives hayy been taken in several states for the implementation of Integrated Rural Water Supply and Environmental Sanitation Projects (IRWS&ESP). Several donors came forward for providing assistance to the rural water supply and sanitation sector. A unique opportunity existed in Karnataka State to make a Comparative Study of Externally assisted IRWS&ESP and Government involvement in the sector. The interest in the study arose because of certain innovative policies, strategies and approaches in project implementation and management. The study is jointly sponsored by the Rajiv Gandhi National Drinking Water Mission, Government of India, UNDP/World Bank Regional Water and Sanitation Group- South Asia (RWSG-SA). The Study team reviewed project documents and reports and had discussions with programme man~gers and officials, donors and the NGOs before formulating the methodology. The study was conducted in two parts. The first part was· related to village level studies which were carried out in selected villages of the three externally assisted projects and the project under the Government. In consultation with the PPMU and the concerned officials five villages were selected from each project area. The criteria for selection was that most of the project works should have been completed in the village. A sample of 100 households were selected from each of these villages for the study of community participation, cost-sharing, working of the village water and sanitation committees and changes in knowledge, attitude, personal hygiene behaviours and use of the facilities created under the projects. Questions related to sustain ability ofthe system were also examined. The second part of the study was addressed to technical and management aspects including financial aspects and project implementation. Information on this aspect was collected through a study of project documents and interviews with project officials at different levels, the donor agencies and the non-governmental agencies. The study reviewed the experiences of four rural water supply and sanitation programmes (Danida, Netherlands, World Bank and Government Supported) mainly with regard to Project Organisation, project designs, components, criteria for selection, delivery mechanisms, financial arrangements, management process, operation and maintenance, functions of village water and sanitation committees (VWSCs) and programme development strategies including behavioural changes. The South East Asia Regional Bureau of the International Union for Health Promotion and Education (SEARB-IUHPE) wish to thank Rajiv Gandhi National Drinking Water Mission, Government of India, UNDP/World Bank, RWSG-SA for identifying SEARB-IUHPE for carrying out the study which was initiated vide Government of India Letter D.O.No.JS(TM) Misce/97, dated 30 May 1997 and the Terms of Reference provided by the UNDP Regional Water and Sanitation Group - South Asia. We very much hope that the findings and recommendations of this study will pave way for some directions towards working out new policy framework and strategies. for integrated water supply and environmental sanitation programme. 1 2. MAJOR FINDINGS AND RECOMMENDATIONS S. Findings Recommendations Action by No. - I RGNDWM/GOI has the mandate to monitor In order to expedite the project RGNDWM/ the progress of implementation of Integrated implementation, there is greater GOI Water Supply and Sanitation projects by need for such review meetings at conducting periodical and regular review frequent intervals. meetings. It is observed that these review meetings are not held regularly. 2 It is observed that the ESAs review their Inter-agency meetings should be RGNDWM/ projects independent of each other. Enough encouraged and held at regular GOIESAs& inter-action is not taking place where the intervals to assess and resolve RD&PR/GOK progress and conunon hold-ups could be conunon problems. Similarly discussed jointly when the Mission from Govt. rr donor countries visit the state, all agencies involved in the programme may be invited for information sharing and uniform interpretation of guidelines. 3 The government programmes are looked after It is suggested that one cell may Secretary by the Director (RWS) while Director PPMU is be created at State level to ensure RD&PR responsible for coordinating with ESAs. better coordination of inputs and frequent monitoring of the progress of all projects viz. GOII UNICEF/World Bank/DANIDA/ Netherlands/ ODA etc. 4 The WB cells in ZPs have not been able to Efforts should be made to CEO/ZPs/ improve the inter-sectoral coordination to tl1e improve the inter-sectoral PPMU desired extent barring a few exceptions while coordination for the successful the situation is better in Danida and implementation of the project. Netherlands projects. This is absent in Situation has improved after Govenunent project appointment ofKAS officer in the ZPWB cell 5 Tendering procedures are complex and The procedure be made simpler Secretary cumbersome leaving little scope for local to attract local tenderers whose RD&PR, contractors to bid especially in World Bank bids will be competitive and this E.-i.-C., PHED and Netherlands_proj_ects will reduce costs 6 There is considerable variations in cost when Purchase of materials centrally Secretary contractors are buying the materials directly and supplying them in bulk at RD&PR, cheaper rates without E.-i.-C., PHED compromising quality, for implementation of works by the contractors may be examined to reduce cost of projects 7 It is observed that cash flow to the various This may be streamlined and CEO,ZPs levels is often delayed for Environmental subsidy should be released on Sanitation works because of cumbersome time, as otherwise the community procedures. Many times the beneficiaries becomes restless construct and wait for the release of funds 8 Due to the inordinate delay caused in taking up Transparency in cash collection the construction activities even after the and disbursement should be Director, contribution was collected, the community established in close coordination PPMU became apprehensive and this had a negative with the VWSCs and the work impact on transparency especially on WB should be speeded up. project. In some cases even after 3 years the work has not been completed. 2 9 It was observed !1Jat the delays m No. ot processmg uruts ot Secretary implementation have been mainly due to sanctions and acceptance of RD&PR, limitations of the finanical raowers of the tenders to be reduced. Powers of PPMU,PHED, Engineers at various level or accepting tenders SE's to be increased as a special 'case for bilateral water supply programmes -· .. 10 The cost sharing pattern varies from one A unifonn cost-sharing pattern Secretary agency to another. This creates disparities may be established by all RD&PR between neighbouring villages and confusions agencies involved in the when community makes comparisons programmes. Connnunity contributions may be prescribed at the same rate for all progrmmnes 11 It takes considerably long time to appoint or The GOK may seriously consider Secretary, position the staff cmcial for implementation of the matter of filling up the RD&PR the progranune. sanctioned posts in order to speed up implementation 12 There is no separate cadre of Engineers in The possibility of creating Proposal must PHED. They are all on deputation from other permm1ent cadre of engineers be pursued by departments viz. PWD, Irrigation. This has a exclusively for PHED may be Secretary negative effect on their sense of belonging to exmnined, as this will have a RD&PR/ PHED and reflected in their cotmnitment, beneficial effect on building up a E.-i.-C. barring a few exceptions devoted and dedicated staff 13 The composition of the village committees was Now that the VWSC has been CEOs, ZPs found not according to nonns set. Women and recognised as a sub-cotmnittee of SC/ST are under represented the Gram Panchayat, this aspect should strictly be enforced. Proper selection and training will make the members more active and interested in the O&M aspects of the programme and this will ensure sustainability 14 Presently NGOs are not given adequate NGOs may be involved more in Director, PPMU responsibility in implementation including constmction activities also which construction activities aspects to the desired will enable better community extent participation and qualitative improvement 15 Better coordination and interaction is necessary As far as possible, joint visits CEO,ZPs between the Technical and Social wings at all should be undertaken by all levels for more effective implementation. This concerned departments to ensure was evident from the fact that HSHE activities better inter-sectoral coordination had not comenced even as of December 97, and promote temn spirit which is very critical component of the especially at lower levels programme, while the technical work had started in most of the villages, without the people knowing the beneftis of the smne 16 Field observations and discussions with Health The manpower and the talents of RD&PRDept. Department indicate that they are not actively the Health Department should be and Health involved in the project implementation utilised to a greater extent by the Dept. project for mutual reinforcement 17 In the sanitation programme, the GOK diluted Deviation from the established Secretary the procedures for subsidy (i.e. even when procedure should be more an RD&PR, there was only one pit as opposed to dual pit exception than the mle E.-i.-C. full subsidy was given. No check measurements were insisted) and this resulted in poor quality construction and consequent failures 3 18 T110ugh a large majority of respondents have It is recommended that the Director PPMU shifted to protected water source after water progranune of health, sanitation supply was given, very few people have shifted and hygiene education need to be for health reasons. Proximity, adequacy and strengthened in all the projects. • suitability for drinking (sweetness) are given as major reasons 19 Handling of drinking water and waste water Family centred education appears Secretary, disposal practices have not changed much to be necessary to improve RD&PR,D personal hygiene and use of (RWS& toilets PPMU),Dir. Health, NGO's 20 Methods of disposal of household waste have Special attention be given for -do- not changed very much and usage of facilities non-use because of partial or provided (such as washing platfonns disposal improper construction. People of solid wastes and cattle troughs) is very low should be consulted in location of facilities. 21 A large number of respondents across all This healthy development attitude Secretary, projects are willing to pay operation and should be capitalised by making RD&PR, maintenance of water supply and sanitation cost sharing as a policy in this PPMU,CEO, facilities includingconstruction of toilets sector ZPs Gui~elmes should_ be developed Secretary 22 Conununity participation was found to be for mvolvement of people at RD&PR, better in the Netherlands project compared to different stages of progrmmne PPMU,NGOs the World Bank project at the time of the implementation. SpeCial efforts study. This ashect is absent in Govenunent be made to involve women in progrmmne w ile Danida project had decision making. This should be mvolvement of cotmnunity through social made applicable to all forestry, school health etc. programmes since success and sustainability depend largely on Cmmnunity participation 4 3. STUDY OBJECTIVES, CONCEPTUALISATION AND METHODOLOGY 3.1 Introduction With the launchiqg of. thr.ee externally supported integrated rural water supply and sanitation projects each with a different strategy, methodology of implementation and several innovative approaches provided a unique opportunity for a comparative study of these projects with the Government programme in this sector. Such an analysis and comparison was expected to yield rich dividends in identifying replicable methodologies and sustainable institutional development strategies and policies for the national programme. The study was jointly sponsored by the Rajiv Gandhi National Drinking Water Mission, Government of India and the UNDP/World Bank -Water and Sanitation Group - South Asia. The South East Asia Regional Bureau of the International Union for Health Promotion and Education (SEARB-IUHPE) was requested to conduct the study. 3.2 Objectives The study was undertaken with the following objectives: • to examine rules and procedures followed in the mentioned projects, adjustments made to the original proposals, methodologies and the reasons for such changes and modifications and implementation arrangements; • to compare the institutional linkages, cost sharing mechanisms and eligibility criteria followed in the four projects to understand the rationale behind such practices, feasibility and effectiveness; • to compare the financial arrangements adopted at the State, District, Taluk and Gram Panchayat levels, committees or other mechanisms set up for financial decisions, capacity of those institutions to deliver services etc., to examine which arrangements did work and which did not work and why? • to investigate the expected roles and responsibilities of various key factors, including the village water and sanitation committee (VWSCs) and their realistic input; • to compare mechanisms developed for inter-sectoral coordination between PHED, Health Department, Women and Child Welfare Department, PPMU, NGOs, Donors, etc. and how successfully and what are the problems faced during the process; • to analyse the extent and process of community participation at different states of programme implementation, problems encountered and solutions adopted to resolve such problems; • to assess the changes in knowledge, attitude and practice related to water, sanitation and personal hygiene in comparison with the available baseline information 5 3.3 Conceptualization of the Study A unique opportunity existed in Karnataka to study three different externally assisted and Government sponsored projects ofRural Water Supply and Sanitation which hav~ certain unique features and are administered through special organisational arrangements. Although the objectives of the three projects are essentially the same, there are variations in the project design, administrative and management structure, programme implementation strategies and policies. In contrast to this, the project under the Government Rural Water Supply schemes does not possess these and does not have a sanitation component nor any community participation and hygiene education inputs. Administratively, also there are no special features as it is implemented through the Public Health Engineering Department. It is therefore, very interesting and highly useful to make a comparative study of these different projects to understand as to what extent such variations in the project design and implementation have contributed to achievement of the objectives and to the sustainablity of the programme. To bring about sustainability and behavioural change in matters related to protected water, water handling, waste disposal, use of toilets and personal hygiene is not easy in the socio-cultural context of the rural population. The study is focused on the innovative features of these projects like community participation, cost sharing, institutional development, use of non-governmental Organisation and consultants to perform certain functions, and project supported administrative structure, it provides an opportunity to examine how these special features contributed to the development of programme, what were the problems in implementation and management of these innovative features. Some assumptions are implicit. For instance, participation of NGO is expected to increase community mobilization and participation, cost sharing is expected to generate greater commitment to programme activities, increased funds for O&M, involvement of women is expected to contribute greater utilization of services provided and so on. This study provides an opportunity to examine whether these assumptions are valid. It will also help to know what factors limited the realization of the full potential of such innovative measures in the project organizations and administration and also in the community, so that correctives measures can be undertaken. In fact, these underlying assumptions of the innovative strategies and policies can be formally stated as hypothesis, a few which are indicated below: • given the same objectives, certain administrative structures and processes are better suited to the realization ofthe objectives of the project • other things being equal, use of non-governmental Organisation and consultants has a great influence· on community participation and development of community responsibilities for the facilities created • community cost sharing prompted greater commitment to programme activities and facilities created • community mobilization, participation, combined with health education would g1ve better results than health education input alone 6 Though the study does not propose to test such hypotheses, such formal statement of them help in directing the study and the nature of data to be collected. The core objectives of these projects have been to promote health behaviour and sustainable institutional.dev:elopment. They also emphasize replicable methodologies. The programme variables and the community factors that contribute towards the achievement of these goals were examined in the study. 3.4 Methodology As reflected in the statement of objectives, it is a two dimensional study covering technical, financial and management aspects on the one side, behaviour and community related aspects on the other side. Therefore, the study was carried out in two phases and the methodology adopted for each phase is described below: a. Study of Technical, Financial and Management Aspects • Data was collected from published documents, pmject reports and mission reports of pilot studies relating to three externally supported projects, namely Danida, Netherlands and the World Bank • Consultations and discussions were held with the Donors and the professional staff of the Project Planning and Monitoring Unit to fully understand the details of the project, similarities and differences • Two types of instruments were developed, one covering the technical engineering and financial aspects and the other management and implementation aspects. They were revised in consultation with donors and the officials of the Project Planning and Monitoring Unit • Data was collected through the schedule and by personal interview wherever possible from officials and professional staff at the State, District and peripheral levels in respect of all the 4 projects under study. Interviews were also held with donor Organisation and non-governmental organizations involved in the projects b. Study ofBehavioural and Community Aspects • Two types of instruments were developed, field tested and finalised for this study - one on household survey and the other on village level data. The household survey covered information on health and hygiene behaviour (KAP), the village level data related to community participation, working of the village water and sanitation committees, cost sharing and willingness to take care of operation and maintenance of water supply and sanitation facilities. Village observation data was used as a Sl!pplement to these data sources. • Data was collected from 5 villages from each of the 3 externally projects and from the Government project. The criteria for selection of villages was that most of the project works should have been completed in these villages so that the impact can be assessed. In respect of selection of households for survey a systematic sampling procedure was 7 used after classifying the households on income basis. 20 households were selected from each of the project villages chosen. Therefore, the total number of respondents were 100 per project or 400 from all the project studied. 3.5 Data Analysis The data collected from the households was in the form of pre-coded schedules and could be subjected to cross-classification and analysis. Project-wise comparisons were made on important dimensions. Data collected through focus interviews with members of the local Panchayat and village water and sanitation committee was mostly qualitative and could only be narrated to give full picture of the dynamics involved. 3.6 Preparation of the Study Report The study was conducted by a team of three specialists, an environmental engineer, a management specialist and a behvioural scientist. Each specialist has contributed in their respective areas and also jointly as a team for the preparation of the report. A comparative analysis and discussions on major issues is presented, keeping in view the study objectives and comments and suggestions offered by several experts during presentation of the draft report on 22.4.98, additional information has been gathered and referred in the report as appropriate. 8 4. COMPARATIVE ANALYSIS OF THE PROJECTS The three externally assisted Integrated Rural Water Supply and Sanitation Projects and the Government sponsored projects are compared with regard to project objectives, components, project organisation and implementation, levels of service, selection criteria and such other relevant dimensions. The enclosed statements present the details. Even though the overall objectives are similar there are notable differences in respect of the dimensions mentioned above. All the projects also seem to emphasise development of replicable methodologies, development of local institutions in taking care of water supply and sanitation programmes, sustainability of the institutions, community participation and cost-sharing. These aspects are· not much emphasised in the Government programmes. An examination of the general objectives of the project as given in Table 1 indicate that they are identifical across all the projects though in terms of number, the Danida Project had 5 general objectives, the Netherlands project 4, the World Bank had 3 and the Government project had 2, a close examination of the statement of objectives stated in the Danida project are also implicit in the other projects. A critical examination of the project components given in Table II, show certain similarities and differences among the 4 projects. In relation to water component, the World Bank project has given importance to rehabilitation of existing water supply systems and water quality monitoring which is very essential. The Netherlands project also provided for the same. Danida project carried out water quality testing in the three taluks and given greater importance to this aspect in its revised project for the districts. Institutional development, community participation, involvement of women etc. are the components missing in the Government programme. As far as project design is concerned, it has been observed that no major deviation has been made in any of the projects. However, there were few incidences of villages in the World Bank schemes which subsequently changed the design of water projects. This situation could have been avoided had the conceptual designs were prepared in consultation with the conunittees. It may be noted that the conceptual designs are prepared by consulting engineers in the World Bank and Netherlands projects. There have been no major deviations as far as Danida project is concerned. Cost sharing by the conununity for environmental sanitation is an important support component in World Bank project which is about 30% ofthe cost. Danida project envisages 30% cost sharing for household latrines. There is no cost sharing for either water or environmental sanitation components in the Netherlands and Govel1111Jent projects. However, "shramdan" (contribution of labour) and materials have been solicited in the Netherlands project. Thus there is no uniform rate of cost-sharing by community. The criteria for selection of villages emphasises scarcity of water (less than 40 lpcd) as the main criteria. However, it is noteworthy that in all programmes, emphasis is also placed on quality of drinking water. (Table III gives details on this aspect). As far as conununity participation is concerned, the World Bank has engaged NGOs, while in 9 Netherlands project the funding agency has employed its own personnel. The Danida took the help of teachers for mobilising community. There is no such component in Government programme. . In view of the extreme importance given to community participation and involvement of women, uniform approach may be worked out for all projects. A comparison of the project cost reveals that the Government spends a maximum of 78% for water supply, Netherlands 68.6%, World Bank 57% and Danida 34% of the outlay. For the sanitation projects, the Government spends 22%, Netherlands 15. 7%, World Bank 24% and Danida with a higher outlay of35%. However, health education activities do not get adequate allocation and there is an imperative need to increase the inputs in this area to sustain behavioural change. While all the Externally supported aided projects have allocation for project support (including institutional development), there is no such input in Government programme (Table 4.4). 10 TABLE 4.1-GENERAL OBJECTIVES OF PROJECT DANIDA NE1HERLANDS WORLD BANK GOVERNMENT To identifY T_o provide ljving To raise the standard of living in To improve living replicable conditions to reduce rural areas through improved health standards of people methodologies for incidence of water and and productivity planing, water related diseases implementing and and mortality rates maintaining sustainable water and sanitation QrOjects To impart practical To achieve sustainable To develop replicable models for To improve the quality of skills relevant for development of coordinating water, environmental life plamting, community sanitation and health communicatior implementation organisation, water programmes and operation and supply, environmental maintenance sanitation, hygiene behaviour and health < To eliminate health To enable village To strengthen local institutional hazards from poor community to help capacity to promote improved drainage and themselves in case of environmental sanitation garbage problems related to accumulation, water and sanitation establish washing slabs at water points as appropriate To create Ainis to provide awareness benefit to poor especially among especially women women of relation between health, water, sanitation and environmental (and introduce changes in water handling practices) Involve beneficiaries at all stages of the project cycle including site selection, . implementation, O&M 11 TABLE 4.2 PROJECT COMPONENTS GOVERNMENT DANIDA NETHERLANDS WORLD BANK . Water supply- full water supply including water supply including rehabilitation Full coverage at 40 lpcd to coverage at 40 water quality, of the existing system villages lpcd from ground monitoring water to all villages with a population of less than 6000 latrine sanitation - environmental environmental sanitation including latrinessanitaion 30% 15% of households sanitation including providing facilities and construction coverage by 2000 AD to be covered with construction of latrines of pit latrines double pit pour flush out latrines environmental construction of community development environmental sanitation sanitation anganwadi buildings health promotional community institutional development - communication organisation community forestry hygiene education health communication - training institutional training training development school health involvement of women involvement of women action research training data bank development 12 TABLE4.3 COMPARISON OF COST-SHARING, CRITERIA OF SELECTION OF VILLAGES AND DESIGN PARTICULARS ·• Agency Project Cost in Million O&M Project Period Criteria for Selection Design -· ----------------------- .. Cost · of Villages Criteria Agency's Share Govt. Recove Share ry DANID Rs.l06.00 Govt. Original- 28-12-89 village having < 40 40 lpcd A to 3 L3.93 lpcd population and no Rs.11.95 Extended- 28.12.89 projection by the year house (committed) to 30.9.96 2001 connec- tions Rs.123.50 proposed Rs.l0.80 (actual) NETHE- Rs.581.38 Fully Original- 16-06-92 villages having < 40 40 lpcd for RLAND by to 15-06-96 lpcd. Villages standposts s Rs.95.64 commu Extended- up to < classified as rural 55 to 70 -nity 30-06-98 problems in terms of lpcd for water, water scarcity, housecon-· quality projection nections population 2001 WORLD Rs.3490.00 Fully May 1993 to villages having < 40 40 lpcd for BANK by December 1996 lpcd and facing acute standposts Rs.980.0 commu shortage in dry season 70 lpcd for 0 -nity with serious water housecon- related health nections _problems GOVER - Rs. Govt. April 1990 to March Villge having < 40 40 lpcd NMENT 4,397 1997 lpcd 55 lpcd for * house connec- tions * Government schemes started way backin 1970 but the figures of allocation reflected above relate tothe period 1990-1991 forMWS, PWS, BWS 13 TABLE 4.4- PROJECT COST COMPARISON BY COMPONENTS . M·u· Rupees m 1 lOllS Project Components Danida Government World Bank Netherlands Water Supply 43.9 34% 4090 78% 2563 57% 410 68.6% Environmental San. 45.4# 35.2% 1172 22% 1061 24% 94 15.7% Project Support 19.3 14.9% - - 454 10% 75 12.5% (incl. institutio1k11 building) Miscellaneous 14.4 11.2% - - 394 9% 19 3.2% Contingencies 6.1 4.7% - - - - - - TOTAL 129.1 100% 5262* 100% 4472 100% 598** 100% # includes latrine sanitation * Government figures are for 5 years only from 1991-1992 to 1996-1997 ** Netherlands assistance is for Rs. 598 millions as for Plan of Operations, but funding is only Rs.526 million. 14 5. INSTITUTIONAL SET UP AND FINANCE MECHANISMS 5.1 Institutional Framework The institutional and organization framework in the Rural Water Supply and Sanitation Sector is rather complex as the political, administrative and technical responsibilities in this sector have undergone major changes with the enactment of the Karnataka Panchayat Raj Act 1993. Primarily this has resulted in the transfer of the responsibility for Rural Development in general and water supply and sanitation in particular to the respective districts in the state. The district administration consists of various departments covering all areas of rural development such as health, education, women and child development etc. While most development activities are handled directly by respective departments, the Panchayat Raj Act 1993 defined and delegated specific functions and responsibilities to the Taluka and Grama Panchayats, the most important being the delegation of operation and maintenance responsibilities for the Rural Water Supply and Sanitation to the Gram Panchayat. The Secretary Rural Development and Panchayat Raj (RD&PR) is responsible for all the development programmes in the state including rural wateF supply and sanitation programme implemented by the Government and the ESAs. The Zila Panchayats come under the administrative control ofthe secretary, RD&PR and he has an important role as inter-sectoral coordinator for rural development programmes. To facilitate speedy implementation of the programmes, there is a Public Health Engineering Department (PHED) headed by an Engineer-in-Chief The PHED, being the technical wing of RD&PR, consolidates, reviews and recommends on all rural water supply and sanitation plans submitted by the respective Zila Panchayats and is responsible for overall monitoring and technical support to the ZP engineering divisions. It may be noted that all the engineering staff ofPHED down to the GP level are on deputation from the Public Works and Irrigation Departments as there is no separate cadre at present. This reflects greatly in their sense of belonging and commitment to the water supply and sanitation programmes, barring a few exceptions. This is an important aspect to be considered when we discuss institution building. Creation of a separate cadre exclusively for PHED will be most beneficial. The Danida project is having a P AG at the state level supported by separate sub-division in 3 taluks working as Field Implementation Cells. Similarly the Netherlands has a Project Support Unit (PSU) at the state level manned by an expatriate technical expert and a community development expert in Bangalore. At the district level, DPUs headed by District Project Advisor is in position in the two districts ofDharwad and Bijapur. For all the ESA water supply projects the Nodal agency is Project PJanning and Monitoring Unit under the Ministry of Rural Development and Panchayat Raj of GOK. This is headed by an lAS officer of Additional Secretary level supported by a Deputy Secretary, a Superintending Engineer, Social Scientist, Health and Hygiene Expert, Finance/Accounting and other supporting staff of Assistant Engineers, and office secretarial staff This unit is the link between the RDPR/GOK and EiC PHED for Hard Ware aspects, link between Health department and Department of Women and Child Development for Soft Ware aspects of the programme. This is also the link between the GOK and the community through CEOs of ZPs. The unit is responsible for planning, implementation, monitoring of the 15 programmes of all externally aided Bi-lateral programmes. There are Steering committees and Empowered committees for decision making on policy matters. There are also separate coordinating committees at district level for all programmes for considering policy issues. The Institutional set up for implementation of ESA water supply proje~ts and the government project are .indicated in the four accompanying charts (Charts 5-1 to 5-4) 5.2 Implementation Procedure Before the actual implementation process/start of works on site the schemes pre-require 1. Administrative approval 2. Technical sanction 3. Acceptance of tenders In case of bilateral programmes no separate administrative approvals are considered necessary other than the agreements between the donor and the recipient governments. But in case of centrally sponsored and state sponsored schemes budget allocations should have been made before administrative approvals can be issued separately by the competent authorities based on the powers delegated to the various officers for the purpose. Technical sanctions are necessary to the estimates prepared on the basis of designs, drawings before calling for tenders. This is a certificate of the competent engineerauthority to the correctness of the designs technically and completion of the works within the estimated costs. Tenders received from qualified contractors are evaluated, accepted and work order issued followed by execution of an agreement between the contractor and the executive engineer before the actual work can start on the ground. A knowledge of various processing stages and powers of engineers for technical sanctions and acceptance of tenders is necessary for this type of comparative study and are indicated in charts and tables (Charts 5-5 and 5-6 and Table 2). All the ESA programmes aim at demand driven sustainable alternative delivery systems of water supply and environmental sanitation works. The community participation right from the inception of the project right through source selection, 'technology options, detailed designs, involvement during execution and supervision, commissioning, owning the assets with a view of fund raising for operation and maintenance of the scheme for life are stressed. The general information about the terms and conditions of the bilateral funding agencies like amount of loan, dates of agreements/ commencement, terms of giving loan, preconditions, targets, progress achieved so far, design aspects etc., are tabulated and attached. On the overall the progress achieved in all the three externally aided water supply projects is not as expected and very dismally falls short of expectations. In addition to the three ESA water supply programmes, for the sake of comparison, a few centrally sponsored works which are executed as per the existing procedure of works of GOK were also studied. 5.3 Scope of the Works: Hard Ware In all the three externally aided programmes in the hardware, water supply and sanitation works are integrated. In addition to supply of water, under environmental sanitation, works of construction of community and individual house hold latrines, washing plat- 16 forms, cattle troughs, storm water drains and lane paving etc., are included. In the Netherlands assisted programme construction of Anganwadi buildings and in Danida programme afforestation, ground water recharge works etc., are added to the programmes to provide a special feature to the programmes in bringing out an overall improvement in the quality of life of the- villagers. In the central and state sponsored schemes the environmental sanitation works are not integrated with water supply works and community participation concepts are not being considered as part of the programmes. Table 1 shows the major features ofhardware of the three ESAs and Central/Government sponsored schemes. 5.4 Powers of Engineers for Implementation Technical Sanctions The implementing powers of engineers are exercised mainly at three levels, depending upon the cost of the works. The Executive Engineer holds the key role of implementing the works with the support of the Assistant Executive Engineers ,Assistant Engineers and Junior engineers and administrative and accounts staff of his division. He has limited powers of technical sanction and accepting tenders. He can technically sanction works costing below Rs. 5 lakhs. These powers are adequate for only environmental sanitation works and some hand pump schemes and not generally for MWS and PWS schemes. He is responsible for preparation of all the schemes whether they come under his powers or powers of SE or EiC and process them for sanctions to SE or EiC as the case may be. If the works are under the powers of sanction of EiC they will be scrutinized by SE and further submitted to the EiC for sanction/acceptance. Thus for all the schemes falling under the powers of EiC the schemes have to be processed by EE and SE, as shown in the charts before they can be sanctioned by the EiC. The SE can technically sanction works costing between Rs.5 lakhs and Rs.20 lakhs. The Eic can issue technical sanctions up Rs.250 lakhs without getting the clearance of State Technical Advisory Committee. The statements of above powers of the engineer's are attached (Table 2). For the schemes coming under the technical sanction powers of the EiC they are prepared by the EE, scrutinized by the SE and forwarded to the EiC for further necessary processing by him. If there are any observations by the EiC on the scheme which are quite common, the schemes will be referred back to SE, EE for attending to the observations and resubmission. The file retraces back to EiC for technical sanction after the observations are attended to by the SE/EE. There will be considerable lapse of time in the process of submission/making observations/compliance before the scheme gets the sanction from E.-i.-C. based on powers delegated to engineers. These currently prevalent procedures and powers of engineers remain the same for all the works of Govt. as well as the externally aided bi-lateral programmes. A review of the powers of engineers in the context of implementation of bi-lateral schemes reveals startling revelations on the impact of limited powers of engineers in timely completion of programmes. 5.5 Cost of Schemes: Centrally Sponsored and Danida Schemes The cost of the works sanctioned and put to tenders in case of centrally sponsored and DANIDA schemes are all small. The DANIDA schemes were mostly rehabilitation I revival schemes of providing hand pumps with the exception of a few MWS and PWS schemes. The cost of the schemes were all within the powers of SE/EE for technical sanctions and acceptance of tenders and rarely came under the preview of the EiC. Hence the processing 17 time was short. A summary table indicating some main differences in implementing methodology of the schemes under various programmes is attached. (Table 3). 5.5.1 Danida and State/Central Schemes Both the above programmes are implemented in the traditional way of implementation by GOK according to the powers delegated to the engineers. The implementation is done in many cases departmentally eliminating the contractor and by employing labour on nominal roll and supplying materials by the department itself The services of small contractors is also utilised for executing the works on piece work basis. This substantially reduces the over heads of the contractor and the completion costs will thus be lesser than those got through regular tendering procedure. 5.5.2 World Bank Schemes In the case of World Bank schemes the implementation is based on a slice as a unit for the purposes of sanctions and accepting tenders. A slice consists a group of 10 to 15 villages. The estimated cost of the slice is beyond the powers of SE and as such the EiC is required to sanction and accept the tenders. Due to the high cost of tendered works the EMD to be deposited and the security amount which lies with the Govt. for a long time till the completion ofthe works, are high beyond the capacity of local contractors who are used to the traditional methods of contracting and they are not coming forward to offer their tenders. Only the big contractors of neighbouring states and having their base at distances from the site of works are quoting for the works. Hence the tender % ages are very high. Some times they are as high as 25 to 40 % over estimated costs and these tenders are to be accepted only by the Empowered Committee. 5.5.3 Netherlands Assisted Schemes Under this programme the implementation of works has just started even though they were supposed to have been completed by mid June 1993. There is no scheme which is likely to be commissioned before end 1998. There is not much difference in implementation methodologies from the World Bank schemes and Netherlands assisted schemes. In Netherlands assisted programme the unit considered for purposes of sanctions and tendering is a package consisting of 10 to 25 villages. 5.6 Role of Consultants in the Bi-lateral Programmes The DANIDA and Central/State sponsored schemes do not have consultants. All the act1v1t1es required for implementation of the scheme right from the investigations, topographical surveys, detailed designs, estimating and drawings, preparation of tender documents, supervision of works are carried out by· the departmental staff in the traditional way. In the World Bank and Netherlands assisted programmes the role of the consultants is very significant. The concept of consultants for various activities that are normally carried out by the departmental staff is new to government works. 18 5. 7 Methodology of Estimating in PHED The methodology followed in estimating in the department has a contributory role in the delays in implementation of the bi-lateral programmes and overall completion cost of the schemes and hence it is _.discussed here. The departmental method of estimation is based on Schedule of Rate·s (SR) that is supposed to be updated year after year. The rates for various items of work included in the SR are based on certain assumptions. The rates are applicable for small works where the assumptions hold good. For example in the SR it is assumed that the materials like cement, steel, and pipes which are major material inputs into the works are supplied to the contractors free of cost for fixing or supplied to him at departmental issue rates which are generally lower than the market rates. The contractor is not required to invest on purchase of materials. His tenders will virtually be for labour portions only. His tender% age will naturally be lower than the other tenders whereas the contractor in World Bank and Netherlands programme is required to buy materials from the market and he is required to quote for composite rate for both materials and labour. Another aspect of defects correction is not contemplated while preparing the SR. Estimates based on SR are therefore not realistic estimates for comparison of either tenders or completed cost ofthe works. 5. 8 Selection Process of Contractors In view of the small tender costs in DANIDA and Centrally sponsored schemes mostly the local contractors are participating in the tendering process. Class two or three contractors are eligible for tendering. Mostly the schemes are single village schemes and they are also split into a numbe; of tenders covering various components of the whole work. In the case of World Bank and Netherlands programmes because of the higher tender costs only class one and above contractors are eligible to submit tenders. Splitting u'p of the work for the sake of making several tenders is not at all permitted. The work is to be carried out as if it is a· turn-key project (less designs). This ensures that the contractor feels the responsibility of completing all the components of the work and is duty bound to commission the scheme and hand over and also attends to the post commission defects corrections. This calls for a contractor who has resources to handle not only the high cost of the tenders but also experienced in dealing all types of water supply related works of drilling tube wells, civil works, over head storage reservoirs, treatment units, electrical and mechanical works and pipe laying etc., Only the big contractors mostly from outside the state are participating in the tendering process. Their overheads are very high and they load all such expenditure on the tender. . The tender % ages are substantially higher than those quoted by the local contractors. The methodology used for selection of various consultants is also by tendering. The concept of utilizing consultants for activities is new to the government. There appears to be limited number of experienced consultants in the field. Even if available some of them are based outside the state. This leads to the delays in selecting and appointment of consultants and increase in completion costs of the schemes. 5. 9 Review of Powers of Engineers for Issue of Technical Sanctions and Acceptance of Tenders The existing cost related powers of the engineers in the context of rural scenano and simple standardized types of works and the rigid time-bound bi-lateral programmes, need 19 critical review. An SE can sanction a full fledged water supply scheme of a village at a cost of Rs.20 lakhs. If another identical scheme is there in his own jurisdiction in a different village, by clubbing the two schemes together for purposes of sanctions and acceptance of tenders he looses the powers just only on the grounds of financial considerations. He has powers as long as a single village is concerned but has no powers to club and group a few identical villages. This logic needs to be reviewed as a special case to implement the time bound bi-lateral schemes ifthe time factor is of importance. With the existing powers an SE can implement and complete a single village scheme in all respects within his own powers. When large number of villages are involved in a programme and if it is proposed to have all single village schemes he has to conclude as many contracts as the number of villages which really is an unmanageable task and cumbersome to deal with so many contracts in hand. 5.10 Effect of Time Over-runs on the Programme Not adhering to the time schedules will have very undesirable effects on the programme. First of all the villagers are disappointed and their long cherished goal will be postponed. They become very aggressive and hostile to the staff and village community development workers. This is particularly so when they have contributed some thing to the project how ever small it may be. If the implementation is delayed the cost of the scheme will go up due to the escalation in cost of material and labour inputs. This automatically results in cost over- runs and imbalance of budgets of both donor and recipient governments. The proposed physical targets cannot be met with. The amounts of loans/grants will become insufficient to meet the 100 % physical targets. The overheads on both the governments also go up. Finally all the above factors contribute to the increase in the cost of water per cu.m to be borne by the community. This may affect the enthusiasm of the community to own and maintain the assets on a long term and thus sustainability of the programme may be adversely effected. 5.11 Powers of Engineers and Escalation in Prices The delegation of powers to engineers for various activities connected with implementation of works like technical sanctions, acceptance oftenders etc., by government are required to be revised more frequently than being done presently. The escalation in prices of various inputs of materials and labour is a constant and continuous phenomenon. The SRs are revised once in a year mostly upward. With every revision of SR, the powers delegated to the engineers goes on decreasing or eroded. As the cost of works increases, unless there is a matching increase in the delegated powers, the engineer's powers of sanctioning and acceptance of tenders gets reduced, as the same work will cost more after a lapse of time and it requires to be dealt with by next higher engineering authority. To maintain the effectiveness of the delegated powers in a real sense there should be a system of automatically increasing the powers of delegation with revision of SR. 20 5.12 Replicability and Sustainability of the Systems There are no systems as at present which have been completely handed over for management, operation and maintenance to the community and where the community has accepted the responsibility_ .and running the schemes out of their own resources for sufficiently a long time at least for period of not less than one financial year satisfactorily when it can be inferred that the system is sustainable. There is no scheme under the Netherlands assisted programme which can be commissioned before the middle of 1999. In the World Bank pilot schemes which are supposed to have been completed and handed over there is no feed back about the community having run the system for a fairly long period satisfactorily, except in the case of some pilot villages where community provided contribution for repairing burnt motor and other O&M expenses. As far as the Danida project is concerned, the completion report of February 1997 revealed that though the project did develop and try out a number of methods/approaches to be replicated (e.g. use of PRA techniques, demand driven approach, introduction of household defluoridation etc.) it did not regretfully, contribute to a situation in which such methods/approaches can effectively be replicated, let alone be sustained within the existing government structures. With regard to sustainability of the systems, it may be noted that the operation and maintenance costs will be more in case of piped water supply schemes due the power charges to be met than in case of hand pumps where the maintenance charges are minimal. It is appropriate to consider a piped water supply scheme for studying the sustainability of the system where the community has not fallen into arrears of paymet1t of electricity charges and paying the staff salaries regularly and the community is satisfied with the service of the village committee with respect to the quality and quantity of water supplied. The village water supply and sanitation committees (VWSCs) were not so far legalized to collect the water charges and run the systems. The recent amendment to the Panchayat Raj Act empowers the village committee for constitution of sub committees for maintaining the amenities ofwater supply and sanitation. It has not been tried out yet in the field. However even if the sub committees are formed data on their continued performance is not available at present. Under the above circumstances it is too early to evaluate the sustainability of the systems without having them put on a field trial for atleast some time. It is considered that the evaluation can be taken up after at least 50 % of the villages have been in operation by the village communities for about one year after taking over the for maintenance and operation aspects. The GOK should issue guidelines about the implementation of the Amendment to the Panchayat Raj Act immediately and monitor the operation and maintenance of the systems by the village committees. However it is opined that cost sharing of the 0 & M by villagers will bring in good response towards sustainability of the systems. 21 6. COMMUNITY PARTICIPATION, INSTITUTIONAL DEVELOPMENT AND COST SHARING 6.1 Introduction There is a lot of evidence to show that participation of the beneficiaries and other organizations and social groups in the project activities related to water supply and sanitation is very essential to achieve the goals of sustained behavioural change, institutional inputs and activities. The evidence summarized from the pilot studies under the World Bank supported project and the experience gained on the I Phase of the Danida supported project reinforce the same conclusions. Participation of the community in all the phases of project activities right from the planning and designing stage, though project monitoring and evaluation help to establish a close fit between the technical and scientific requirements of the project activities and the socio-cultural demands of the community so that adaptation becomes easy. The felt needs of the community and other socio-cultural and economic dimensions can be taken into consideration and suitable modifications can be introduced through such interactions. Unless this is done, there is little chance that the facilities created will be adequately used. The Danida supported project has emphasized this point in the project completion report. Realising the importance of active community participation for the success of the project, cost-sharing has been introduced under the World Bank supported project. Such contribution is expected to promote active participation of the members of the community in project activities and develop a sense of ownership and responsibility in project activities and services. However, experience during the pilot phase has shown that people will be willing to contribute if they are involved right from the planning stage in the project activities and perceive that their ideas and suggestions are incorporated to the extent possible. Participation becomes more meaningful and effective when there is a shared responsibility between the community and the project staff. This was the aim in both the Netherlands supported project and the World Bank supported project when an agreement was signed between the village water and sanitation committee and the project authorities specifying the roles and responsibilities of parties concerned. These committees provided the much needed link between the project staff and the community. It was expected that these committees will take major responsibility for community mobilization, health and hygiene education, demand creation and promote responsibilities for cost sharing and operation and maintenance of facilities created under the project. This institution was expected to be nurtured and developed by the project staff through training, technical and supervisory support by the project staff through their own local staff (TPMOs as in the Netherlands project or through non-government organizations (NGOs) under the World Bank Supported project). 22 Community participation efforts should not be restricted to the involvement of the beneficiaries only. Informal and interested leaders and other social welfare and cultural organizations can make significant contributions to programme development and its sustainability. For instance, in the World 'Bank supported project the existing Mahila Mandals in A. Nagathiha!U, Yelasangi and Daginakatte were activised and utilised to provide for villages greater participation of women in the project (see status study report June 1997 - page 26). In the same way, youth organizations can be mobilized to bring social pressures on the community in keeping the village clean. Informal and influential leaders can be mobilized and used in educational programme to change attitudes and practices. Satisfied adopters of household toilets can help in demand creation and upkeep of the toilets. Community participation levels and quality can be promoted by inter-sectoral approach. The peripheral level staff of several departments like education, health and social welfare were actively involved in community participation and education in the Danida supported programme. It was possible to attend some the felt needs of the community through the programmes of these departments. This will strengthen the motivational base for participation. The rapport and skills of the personnel of these departments would help to promote the credibility ofthe project. 6.2 Community Participation: A Project-wise Comparison Regarding community participation, data clearly shows that there is substantial difference between the World Bank and the Netherlands project. Even though clear cut guidelines have been given by the Government of Karnataka about community participation exercises to be carried out in the World Bank project area especially the members of the village and water sanitation committees have reported that they are not consulted in construction of water supply and other facilities. Perhaps greater concentration on collection of cash contributions has diluted efforts in obtaining active participation of people in the World Bank project. In both the projects, participation of women has been low. Even the few women enrolled· as members of the village, water and sanitation committee and were present during the discussion were very passive leaving all talking to the male members. Under utilization of facilities created such as washing places and cattle troughs or dustbins · reflects lack of consultation with the users especially women. For instance washing slabs are set at a distance from the water point with the idea of preventing excessive use of water and waste water stagnation. The women who do the washing preferred these were located very close to the water points. Consequently, they are .not using the facility, instead they are putting some stones near the source of water and using it for washing. Result has been wastewater accumulation in many water collection points. 23 Gumgol village under the Netherlands project has a village committee constituted in 1994. The committee meets once in 3 months and takes decision after discussions of issues. The committee is able to obtain adequate involvement of the communifJ! in project activities. Sanitation facilities are created according to their priority. They suggest adequate inter-departmental coordination and avoiding tramfer ofproject staff It was very clear that there was a greater participation and decision making by the people in the type of drainage system they needed in the Netherlands project than in the World Bank project. Consequently they demanded and got underground drainage while the people in the other project complained about not having such a system. There was a greater demand for completion of drainage work in the World Bank project. Not only they were concerned about water stagnation in many places because of poor drainage but also demanded completion of remaining works for which they have paid. Contribution seems to have generated greater concern for the qualitative and timely services. In Kuduru, the village water and sanitation committee was formed during 1994-95 and it consists of 20 members which includes 5 ji-om SC and 5 women. The committee was selected in one ~~the meetings of the Gram Sabha. The members were given training on project activities and the responsibility of the committee. It meets very often special(v when construction works are to be reviewed. The committee maintains a record of the resolution adopted and decisions taken. The committee has opened an account and maintains it. There were complaints that the engineers concerned with the implementation did not consult them on implementation process and procedures. People in the above two villages and also in other village of the two projects complained about lack of coordination between the engineering staff and staff of the social wing. One of the factors affecting community participation is the delay in implementation of water supply. The delays cause loss of interest and confidence of people in programme activities. It may be of interest to note how the findings of this study compare with findings of the study conducted by Srinivas Rao (1996) on Community participation. He found that users awareness as to who has to take care of the functions of operation and maintenance and users perception of ownership were high in the Netherlands and the World Bank supported projects as compared to the Government and the Danida supported schemes. The weighted average of the ranking on the above two measures showed the Netherlands project in the first place and the World Bank scheme in the second, the Danida scheme got the third place and the Government scheme the fourth place. 24 Given the fact that both the projects (Netherlands and World Bank) had given adequate importance to community participation, why is this difference? It may be noted that in the Netherlands project, there was greater involvement of the Donor Organisation in the community participation, whereas this was m.anaged by the Non-government Organisation (NGO), under the World Bank Project. Further, well trained staff (TPMOs) were responsible for the·community participation activity under the Netherlands project. They were guided and supervised by the District Project Units. The Non-governmental Organizations under the World Bank project may not be having the same competence as reported by the officers of the Project Planning and Monitoring Unit during the interview. 6.3 Village Water ami Sanitation Committee As can be seen from the narrative account of the discussions held with the members of the committee in five villages of each of the two projects, constitution and functioning of the committees appeared to be much better in the Netherlands project villages than in the World Bank Project villages. There is greater representation of women and weaker sections and more active involvement of the committee in planning and reviewing technical and engineering works of the project, greater enthusiasm to have more orientation session to the members. They identified several weak points in the implementation of the programme such as lack of coordination between technical and community related activity, inadequate funds for community activities, lack of coordination with other departmental functionaries at the village level etc. Chandakavadi village under the World Bank assisted project was selected for augmentation of existing ZP water supply. The village water and sanitation committee was formed in 1995 with 18 members and it has 12 women members. There is a strong feeling among the members that the engineers and contractors are by-passing them. They are not consulted at the stage of design, location offacilities, type of pipes to be laid etc. The PVC pipes which are laid at the depth of about I feet have broken frequently, leakages are common site everywhere. The committee has requested for corrective action in a meeting withEE and Contractors but this has not taken place so jar. There is evidence of generating active involvement of the committee in the Netherlands project in selection of sites, setting up of priorities, supply of raw materials and generating commitment to the programme from the community. That underground drainage was insisted by the people is an evidence of their active participation. Similarly, they prevailed and got the Anganwadi buildings modified. In one village, they were against cluster based water supply systems, preferred village based system. The committees are constituted through a meeting of the Gram Sabha. They meet at regular intervals and leave a record books for minutes. However, the participation of women is not adequate and needs to be improved. 25 Arekuratti village under the Netherland<; project has a village committee consisting of 28 members of which 15 are women. Members are given orientation training and are well aware of their functions. The committee meets once in 6 months to discuss .issues and decisions are taken by consensus. There is good participation by the people in project activities, their ideas are considered and incmporated. It is because of their pressure underground drainage was constructed in the village. The committee feels more health education activities are needed. In the World Bank Project area also the committee is constituted to give representation to all sections of the community, maintains a minutes book. However, the working relationship with project personnel is strained. They (the committee members) could not give enough proof about active involvement of the community and how their ideas influenced the implementation process. Further, the subsidy amount due to beneficiaries for construction of toilets is often diverted and shown as people's contribution to environmental sanitation works. This was reported by members of the committee in Kabballi and Chandakavadi. This problem did not arise in the Netherlands project areas, because no money was sought as contributions but only voluntary labour (Shramdan) and materials. 6.4 Institutional Development Regarding the question of developing capacity of the committee to take care of operation and maintenance of water supply and sanitation works the questions were hypothetical and answers guess work. In most villages the water supply and sanitation is still the responsibility of the local Panchayat. The committee is currently attending to environmental sanitation works and construction of household toilets. The water supply projects are often launched to supplement available inadequate water. When water is pooled from new and old sources and supplied, the question of sharing water tariff required further examination. In some villages, there is congenial and harmonious relationship between committee and the Panchayat, in others the relationship is under stress. Majority of committees interviewed feel that ultimately the Panchayat should take over responsibilities under the project. In this context it is important to note that by recent amendment to the Panchayat Act the Government of Karnataka has provided for establishment of a committee to take care of certain functions and invest the committee with suitable powers as may be necessary and expedient for the fulfillment of the purposes (see 6.A "Other Committees/Karnataka Panchayat Raj (Third Amendment) Bill 1997 which is passed by both legislatures). The members who argued for the merger of the committees with the Panchayat, cited two important reasons (1) Availability ofwider resources with the Panchayat and (2) its legal status to increase taxes if funds are not sufficient; Those who are for independent existence of the committee felt that the Panchayat is concerned with the group of villages 26 and therefore may not give specific attention to each village and also political pressures may influence the decisions of the Panchayat. The Chairman of the Committee in Kudau village under the World Bank supported project desires that the- _committee should be independent~~ the . Panchayat. In his view, the Panchayat which inclz(des other villages may not give adequate attention to this village and political pressures may operate on the Panchayat with regard to its functioning Kyathanahalli under the World Bank Assisted Project has a village committee consisting of 18 members elected through Gram Sabha. None of the members are from weaker sections and there are five women members. The NGO (MYRADA) is helping the committee in educating the public. The village was selected to augment the existing water supply and people are able to get 60 lpcd of water. As the old system and the new water supply are pooled together and supplied, it faces problem in collecting water tar(ff separatelyfor the project. A much stronger case can be made for concentrating on the development of local Panchayat to take care of this sector. Improvement of health status of the population demands inter-sectoral coordination especially among departments of Agriculture, Horticulture, Education, Women and Child Development with Health Department as a nodal agency to coordinate. Panchayat has a responsibility for total development of the village under its purview. Village level planning should take into consideration the sector development also. 27 7. CHANGES IN HEALTH AND HYGIENE BEHAVIOUR 7.1 Introduction A comparison of the behavioural changes as a result of the implementation of these projects is to be made as per Terms of Reference. An attempt has been made to bring out several observations in this regard, for all the projects and they are explained below: A large majority of the respondents in the project villages have shifted from traditional unprotected water source like wells, tanks and rivers, to protected source of water provided. However, among the major reasons for the shift are proximity of the source, availability of adequate quantity of water and suitability for drinking by which they mean sweetness of water and it suitability for cooking. Health reasons are cited only by about 11 to 12% of respondents in Danida and World Bank projects respectively and by less than 2.5% in the Government projects. This question was not asked in the Netherlands project area as water supply was not yet given. There is a consistent decline in the time taken to fetch water as between pre- and post- project situations across all the four projects which had a water supply component but reports on time saved are not uniform, roughly 30-45 minutes are saved in time investment in this job. Estimates of quantity of water in terms of !peds were found to be rather unreliable showing no consistent pattern across the projects. As adequate quantity of water is available in the post-project period, both consumption and wastage are found to be high. Even under conditions of abundance of water as in the World Bank and Government Project areas. Consumption around 44-48 !peds indicates the norm set by the Government is realistic. Distribution of Existing Household Consumption of Water per Day for Household Purpose Litres per day Dan ida Government World Bank Netherlands < 20 24 4 6 19 20-40 46 32 1128 29 40- 50 15 816 820 2 >50 14 948 45 7 Total 99 100 99 57 Median 29.2 48.0 44.3 26.6 Not much change has occurred in handling of drinking water across all the projects. Most of the respondents considered the water now provided as protected and therefore no need to take care in water handling practices. No significant changes have occurred in bathing practices and also ablution practices. 28 Household data and observations indicate that safe disposal of household water is not practiced across all the project villages. Efforts to promote safe disposal appear to be weak. Consequently, lanes behind the houses are in very bad condition with stagnated water. Generally, across the projects, the facilities provided for safe disposal of household waste are not in use as also cattle troughs and washing platforms. If knowledge of diseases caused by contaminated water and bad surroundings is taken as an indicator of sanitation and hygiene education, Netherlands, World Bank and Danida villages appear in that order while the Government project villages take the fourth place. With regard to source of information that played a major part in imparting knowledge, interpersonal communication seems to have done better than mass media. Among the inter-personal media, staff of the Health Department, Anganwadi Worker and the project staff appear in that order of importance. Teachers seem to have done fairly well in Danida project. In case of mass media, radio and television appear to play a major role. Folk programmes have played a major role in Danida project .area. With regard to number of household toilets promoted, Netherlands, World Bank and Danida projects appear in that order. With regard to usage (all members of the family making use of the toilet) the villages under the World Bank and Netherlands Project are better compared to villages ofDanida project in the usage pattern. 7.2 Household Toilets Constructed and in Use It is seen that the number of toilets available have increased across all the projects in the post-project period. More than the increase in the number of toilets, the usage rate is important. The level of motivation for use is expected to be higher in households where latrines were constructed at their own cost. In project constructions, the usage is related partly to the educational inputs and partly to other factors. Non-availability of space for open air defecation or long distances one has to walk for this may be one determining factor. Educational and economic levels for the households and their extensive urban contact may be another source of influence. The use of the toilet (which is a desirable goal) has increased during the post-project period in a notable way in the World Bank and the Netherlands Project areas. The increase in respect ofDanida and Government project villages is minimum. 29 Distribution of Household by Availability of Household Toilets and Use S.No. Availability Dan ida Government World Bank Netherlands Members of . Family Pre- Post- Pre- Post- Pre- Post- Pre- Post- Proj. Proj. Proj. Proj. Proj. Proj. Proj. Proj. AI No. of h/h 2 4 13 14 11 24 28 73 toilets available A2 No. of h/h 98 96 87 86 89 76 71 26 toilets not available B. Toilets used by 1. All members 2 3 2 3 7 22 23 49 (91.7) (82.1) (67.1) 2. Ladies 1 2 3 1 1 8 (11) (4.2) (3.6) 3. Males 1 2 1 5 (3.61 _(6.9} 4. Children 1 1 1 4 _(4.2) (3.6) _(5.5} 5. No one due to 9 7 4 1 2 16 partial or (21.9) defective construction Mean Score 3 .o 3.0 0.61 1.00 1.91 2.88 2.64 2.37 Scoring: Use by all members= 3; Ladies=l; Males=2; Children=2; no one= 0 Note: Figures in parenthesis indicate percentage to total respondents. This does not add to 100 due to multiple responses. In the Netherlands group of villages, out of 75 households, who had toilets in 16 (22%) households they were not in use. The major reasons for non-use of toilets are incomplete construction (without super structure) and defective construction. While discussing the usage of toilet, it is important to note that by and large men and children do not use toilet as much as women. Men go out for agricultural and other activities where they attend to nature calls, while children are considered rather differently than men. There is greater tolerance for defecation by children and they are allowed to sit in and around the house or in a garbage pit. Therefore, a family centered education and motivation is needed to promote the use of toilets by all members and also to focus the hazards of children faeces. 30 Health education strategies and methods should be adapted to the field situation and the nature of the problem involved. Under conditions when the behaviour of all the members of the household has to be changed as in the. case of use of toilets and changes in personal hygiene a Family Centered Education Strategy appears to be appropriate. In a field experiment on promotion of use of toilets, Health Education staff in the project adopted certain facilities for intensive education and motivation involving all the members of the family and a variety of educational aids and group discussions method on why toilets should be used by evetybody at home. These educational sessions were conducted usually in the afternoons when most of the members were at home. An experienced Health Educator supervises these sessions. Even though the families were being motivated to use pay and use system of toilets, the results were remarkable. A comparison between the baseline conducted in March 1983 and final evaluation in May 1986 showed that while 84% of males, 54% offemales and 68% of children in these families were practicing open air defecation at the beginning; only 35% of males, 30% females, 42% children continued ·this habit, the rest having shifted to use of toilets provided after payinf{ a token fee of I 0 paise. (Shanmugam P and Kandasamy V - Monograph Series - 16, G.I.R.H.&FWT., Gandhigram 1994. P. 29). 31 8. INSTITUTIONAL SUSTAINABILITY 8.1 Recent Developments Under the institution building for the sustainability of the programme, one of the recent developments is the creation of KAS officer in the rank of Deputy Secretary in all the World Bank Districts to coordinate the various technical and social aspects of the programme. It has been reported that the inter-sectoral coordination has greatly improved after the KAS officer has taken charge. Meetings are held regularly with the personnel from various development departments such as Health, Women and Child Development, Education, etc. in addition to the Engineering staff. This is indeed the positive trend and when carried further to the village level, it has resulted in horizontal coordination and inculcation of team spirit among the functionaries at the lower levels. The grassroot level functionaries have therefore a better understanding about their roles and responsibilities. Similar approach is recommended for the Government and other programmes also for better results. 8.2 Elements to be included in Government Programmes The following elements should be included in the Govt. programmes and may be considered by RG&WNM/GOI/State Government for implementation. 1. Community participation in health education should be introduced. It has been noted that the villagers do not take any active role in planning etc. if they are denied participation. 2. Similar to World Bank Project, every village should have a Village Water and Sanitation Committee (VWSC) 3. Inter-sectoral coordination should be insisted upon which is lacking at present in Govt. programmes 4. Contribution from the community may be solicited as in the case ofESA projects so as to give them the sense of ownership and to prepare them for taking over the O&M aspects. The study reveals that the people are willing to pay for water supply in preference to environmental sanitation and this is true with all the project (Govt. and ESA) 8.3 Training and Orientation The importance of training to all the implementing staff and proper orientation to the community need not be over-emphasised. The curriculum should be so devised that the motivational aspects should be given prominence in addition to skill upgradation. Training should be a continuous activity to sustain the programme. The method of training using Participatory Rural Appraisal (PRA) techniques has been found to be very rewarding. While the ESA projects are attempting to follow this method with some degree of success, it is completely absent in Govt. programme. 32 8.4 Mobility Support and Staff One more aspect to be noted while we consider the institutional sustainability is the mobility support and additional staffing for proper monitoring of the project. While the ESA projects have addressed this programme to a great extent, govt. programmes are found comparatively deficient in this regard. 8. 5 Role of Gram Panchayat The role of Gram Panchayat is very crucial in the implementation of water supply and sanitation schemes. The responsibility for operating and maintaining in the water supply and sanitation systems has been given to Gram Panchayats. 8.6 Village Water and Sanitation Committee In order to ensure smooth implementation and effective community participation in greater measure, the World Bank and the Netherlands project envisaged establishment of village water supply and sanitation committees (VWSCs) at village level. This committee consisted of elected members and other influential persons from the village. NGOs are actively involved in training and formulation of VWSCs to enlist community participation. This committee did not have statutory recognition until recently and could not therefore function effectively. The Karnataka Panchayat Raj (Third amendment) Act 1997 empowered the Gram Panchayats to appoint other committees for better functioning of various developmental activities. Section 61 A reads as follows: 1. A Gram Panchayat may appoint one or more committees consisting of such members as it may decide for any purpose other than those specified in Section 61 and may invest the committee so appointed with such powers and functions as may be necessary or expedient for the fulfillment of the purpose for which it is appointed 2. The committee appointed under sub-section (1) shall be competent to co-opt in such manner as may be prescribed such of the residents of the Panchayat area The procedure of the committee shall be such as may be prescribed. From the above, it is amply clear that village water and sanitation committee has become statutory body of the Gram Panachayat. Considering the pros and cons ofthe GP undertaking the O&M responsibilities for water and sanitation programme, it is felt that this function can better be performed by the 33 village water and sanitation committee as the members of these committees will be closer to the people because of its village based nature. Field observations revealed that there is greater awareness among the people about the importance of safe drinking water and environmental sanitation whenever VWSCs have been formed and functioning. For example in the government programmes, the GP are taking care ofthis aspect while in World Bank and Netherlands project the VWSCs have been given the role. Field studies have clearly demonstrated that the V\VSCs take better interest because of its exclusive nature while the GP may not be able to give the kind of attention and priority owing to other pressing demands. Hence, it is suggested that the formation ofVWSCs or village Development Committee should be insisted in the Government Progammes also. The sustainability of the programmes really depend on the capacity of the VWSCs to undertake operation, maintenance, and management of the systems. This is made more difficult because of various factors viz. A There were delays in starting in the implementation even where the major part of the people's contribution was mobilized. This had negative impact on transparencies. B. Though the agreement with the village committee states that they have a role in programme, the tenns of the agreement tend to focus on people's role in the sanitation components and on the amount of people's contribution and the time frame within which it should be mobilized. There was no specific reference to the role of the community in the drinking water component. There is an urgent need for clear and agreed perceptions of this crucial issues as it undermines the sense of ownership of the drinking water system and it will probably hinder the process towards sustainable management. As the O&M costs are quite high, Gram Panchayat will find it extremely difficult to undertake this responsibility unless adequate resources are generated. With the recent amendment to the Panchayat Raj Act the VWSCs have become a statutory body and they are empowered to_ collect revenue for O&M. It is hoped that the situation will improve gradually. As institutional development at the village level appears to be relatively easy compared to institutional development at higher level of administration, this needs to be given greater attention. In this regard the following suggestions are offered to strengthen the systems. a. As mentioned earlier, under the amended Panchayat Act there is a provision made to set up one or more committees by the Gram Panchayat to take care of special tasks. The VWSCs be now designated as Village Development Committees with responsibility not only for water and sanitation, but for other developmental services also. To provide specific data base and technical infonnation, financial sources available and other details, the committee should include some programme officers of the department like Health, Education, Women and Child Development, Social Welfare, Agricultural, Horticulture, besides the PHED. This committee should help in village level planning and implementation activities 34 b. All programme actiVIties in village should be planned, discussed and implementation strategy decided within the development committee. The concerned programme officials should get the plans approved in this committee. Such formation will make it mandatory for getting community involvement in ·activities at different stages. Until this suggestion is implemented by the Government, VWSCs should continue to play its role. c. A separate cell within the Rural Development and Panchayat Raj Department may be created for water Supply and Sanitation Programmes with officials from the Health, Women & Child Development and Public Health Engineering Department to ensure better co-ordination and monitoring of the programme activities at ail levels. They can ensure that their functionaries at District, Taluk and village levels play a positive role through horizontal co-ordination and interaction. d. There appears to be a need to maintain the Project Planning and Monitoring Unit at least for the period of the bilateral project as their implementation is time bound. With work load reduced by the modifications suggested above, this unit can give greater attention to speed up implementation of hardware, supervision, coordination and regular monitoring and evaluation. The present district level arrangements for implementation of hardware in the of DPU or special cells under ZP appears to be necessary. e. While the State Government is having periodic review meetings separately for the Government and ESA projects, combined meetings with ail donor agencies may be held to have a better understanding of the programmes in their proper perspectives. This will have a salutary effect in realising the programme objectives because of experience sharing, brain storming etc. Similarly during the visits of the missions of ESAs from Delhi or donor countries, inter-agency meetings may be held for sharing experiences and resolving issues and challenges in a common platform. f Finally, in as much as the Government oflndia is a major partner in the programme, it is very important that the Ministry ofRural Areas and Employment and Rajiv Gandhi National Drinking Water Mission conduct review meetings at the State Level at least once in six months to critically analyse and assess the progress of implementation. 35 9. LESSONS LEARNT AND MODIFICATIONS SUGGESTED The three externally supported projects on rural water supply and sanitation are_ still in the early stages of development many of their components not fully implemented or integrated. Only with regard to Danida I Phase the work has been completed. In case of the World bank project some experience is gained during the pilot phase and first phase. These are summarized below. 1. The project completion document of the Danida I phase has recommended abolition of a separate sub-division established for the first phase as it had a negative impact on sustainability. Consequently in the second phase this arrangement will not be there 2. The experience of the first phase also shows that unless people pay towards water and sanitation facilities a sense of ownership and responsibility cannot be inculcated. Hence, during the 2nd phase there is a proposal to introduce cost sharing. 3. During the first phase major responsibilities for software activities was taken up by the donor organizations i.e. the project advisory group. Even though other departments like women and child welfare education, health and family welfare were involved, their participation planning and design implementation and monitoring, of activities were very minimal. Instead the project had fruitful experience in promoting software activity through existing institutions especially the school teachers and the non-governmental organizations with supportive training and supervision. Perhaps these approaches are replicable. 4. Experience suggest that unless govt. take adequate steps to protect drinking water sources against over abstraction from aquifers by irrigation well many such sources are not likely to be sustainable 5. Govt. needs to find also appropriate solutions for technical problems such as poor power supply and quality ofwater on long-term basis. 6. The following structural changes are proposed in 2nd phase • appointment of a project director to assist the chief executive officer of the ZP in day to day executive matters related to the project • establishment of district coordination unit consisting ofDanida Project Coordinator (India engineering advisors) a sociologist, executive engineer, AEE, and health education specialist. • Cluster coordinators for a group of project villages with the responsibility for involvement of beneficiaries in different phases of project activities. 36 7. The status report (1997) of the world Bank project highlights the following experience gained during the pilot phase and also phase 1 . • to induce to contribute towards capital cost it is essential that people are involved in all project activities right from the planning stage that the project meets some of their felt needs and entire process is transparent • feedback to the community on technical feasibility of their suggestions and incorporating accepted changes will increase the rapport and credibility of the project e the areas where participation was low working through the local Mahila Mandals results in their more active participation. e Experience also showed that people are willing to contribute to the capital cost and willing to take responsibility for operation and maintenance of facilities. 37 CHART 5-1 !NSTlTUTlONAL SET UP WORLD BANK PROGRAMME I GO! I I I GOK I l DEYELOPME) (RDPR I I ESA WATER SUPPLY STEERING COMMITTEE I El c I EMPOWERED COMMITTEE i PPM u I ' I CEO ZP I SE l J Dl ST !?LANNING CELL l ~ ZP I I 1 1 TP J I ! t l G p . I j JL EEl. .I NGO I l yc J I I WB l 1 NSTlTU{\ONAL SET IMPLEMENTING AGENCY jcoMMUNIT~ I A WATER SUPPLY 1 CHART 5 ·2 INSTITUTIONAL SET UP NETHERLANDS ASSISTED PROGRAMME DEVELOPMENT COMMISSIONER ESA WATER SUPPLY STEERING COMMITTEE DIST PLANNING CELL ·, iMPLEMENT! NG .AGENCY COMPARTIVE STUDY OF E SA WATER SUPPLY PROGRAMMES IN KARNATAKA •' I CHART 5-3 INSTI_TUTIONAL SET UP DANIDA PROGRAMME I GOVT OF DENMARK I ~ DEVELOPMENI COMMISSIONER I RDPR ESA WATER SUPPLY ~ I [ E IC I STEERING COMMITTEE l r I PPMU j I PAG I jcEo zpl SOCIAL l WING I - l SE I OIST PLANNING CELL I I J - ~ I ZP I ' ! 1 TP I I . l r . - I G p J 1 EE zP j 1 1 I vc I l r AEE ZP .I t J - I MPLEMEI1TING AGENCY COMPARTIYE STUDY OF ESA WATERS UPPLY lcOMMUNITYJ t PROGRAMMES IN KARNATAKA 5.4 -INSTITUTIONAL STRUCTURE FOR IMPLEMENTATION OF GOK SCHEMES SECRETARY 1-- RD&PR E.-i.-C PHED SE PHE-CIRCLE PRESIDENT ZILA P ANCHAY AT ; !-. - ..... CEO ZILA P ANCHAY AT EE ZP ENGR.DIV. PRESIDENT AEE GRAMPANCHAYAT ZP ENGR. SUB-DIY. _____________ SECREAT ARY GRAMPANCHAYAT I I COMJvfUNITY I HIERARCHICAL SUPERINTENDENCE INFORMAL LINKAGE FOR MANAGEMENTS // CHART 5.5 TENDER r l t I EE l - Acceptance Cost lessthan Co5t bet ween I SE EE Acceptance Rs 5 Lakhs l Rs 5 lakhs to by SE by EE ~ •t, lessthan 10 0 20 lakhs .... u lr> / '/,lessthan 12 If> ~ ,.:. c: 0 a:: :f "' ~ y Ill Ill v -Ill -' ~ c: 0 • 0 u :;- e .c: u - t Netherland's Assisted ....... ~ ~ World lBank ""!"' Acceptance by EIC ~ ;: '£! [PPMLJ j l PPMU I ~- 0 u· ~ . ~ I PPMU l 0 Acceptance 0 .Empowered Committee and issue 0 r <;">OK lI V1 PPMU 1- Accepta.nce of GO by z l J GOK/ PPMU Negotiations I l PPMU I .... PPMU ~ ... . . .. Issue of G{) by GO K I .. p ROCESSING AND PPMU TENDER ACCEPTANCE POWERS COMPARTI YE STUDY OF ESA WATER SUPPLY SCHEMES IN .KARNATAKA i 1/. CHART 5.6 Tech Estimate 1----to-----J Scrutiny _Los I bet ween Tech San prepared by EE Cost between Rs 5 lakhs to by SE San Cosllesslhan based on SR Rs 5 Lakhs to 20 Lakhs by EE I--- _by SE Rs 5 Lakhs , Rs 20 Lakhs Vl v.c C:serva\ions >.X. I I J 0 0 Vl _o--l 00 Replies .c ('.! X 0 ___; 0 ('.! 0 Vl 0: Vl c v VliVl u o __ Vl 0: ·;: Q_ 0 (lJ /I > .... 0: Vl v Vl _JJ f3 0 s·c ru.ti.o y by EIC '-0 ('.! If\ If\ c v 0 ·- Cos\ te.ssthfn ;:; 0. 0 -Vl .... "IQ.J 0 v 0 0 Rs 2·5 Crore Tech j i: 0: uu (lJ San Vl .D Tech by EtC 0 Standing C tear~ce Commi \lee J PROCESSING & POWERS OF 'ENGINEERS FOR COMPARTIYE STUDY OF ESA WATER SUPPLY TECHNICAL SANCTIONS PROGRAMMES IN KARNATAKA Tab] e 1 COMPARATIVE STUDY OF ESA WATER SUPPLY PROGRAMMES IN KARNATAKA. ========================================================================================================= WORLD NETHERLANDS DAN IDA Central :SJ. : BANK ASSISTED ASSISTED Govt REMARKS No.: PARTICULARS PROGRAMME PROGRAMME PROGRAMME Schemes (under (under (completed ARWSP/ progress) progress) 30/9/96) MNP ========================================================================================================= :Amount of loan/grant :Rs.447.2 Cr. :Rs.52.62 Cr. Rs.12.8 Cr. Credit :Grant to GO! Grant to GOI 2 :Date of adm.appvl 1/3/94 29/9/93 28/1211989 3 :No.of districts/taluks 12 Dist 2 Dist 3 Taluks in :to be covered :3 districts 4 :No. of villages covered 1200 201 667 5 !Date of commencement June 1993 28/1211989 6 :Proposed Date of :completion. Dec 1999 !31 May 1998 Sept 1996 7 !Expenditure till ..... Rs.: 82 Cr. 3.3 Cr 15.23 Cr. (30/6/97) (30/6/97) (30/09/97) :Y. Age expenditure 18 6 8 !Peroid of loan 35+10 9 :Interest rate '/. 10 !Share of funding agency %: 78 85 12.35 Cr. !Share of GOK %: 15 15 1.08 Cr (Estt l :Share of community ~'.: 7 Nil in WS Nil in WS !As many Nil in ws :Env.San lab. Env.San lab. :schemes :30 '/. of Env. :and material :and material :are involved: :sanitation :contribution Contribution :all over the: !100'/.0&M !100'/.0&M : 100 Y. 0 &M :state data :could not 11 :Proposed works: :Supply of :Supply of . :supply of :accessed. :potable water!potable water!potable water :Available :through MWS/ !through MWS/ !through MWS/ :information :PWS ;PWS ;PWS/HP :indicated at: 12 :Percapita supply lpcd Aimed at min. :Sl.item15 Piped Water Supply 40 PWS 70 I 55 55 I 70 70 MWS 46 55 13 :Percapita cost of project: Rs. Average Estimated Ph I : 405 843 200 Appx Ph II : 529 After completion :Not available:Not copmplted: 250 Appx 14 :cost of water per cu.m Rs. Average Estimated :Not available: 1.75 After completion :Not available!Not copmplted: 15 :water supply 1991 to 1997; !Provided Rs. 409.05 Cr. :Expended Rs. 360.41 Cr. :'!. Age expended 88 ========================================================================================================= Table 1 contd. ========================================================================================================= WORLD NETHERLANDS DAN IDA :Sl. BANK ASSISTED ASSISTED Central REMARKS No.: PARTICULARS PROGRAMME PROGRAMME PROGRAMME Govt (under (under (completed Schemes progress) progress l 30/9/96) :N.G.Yojana ========================================================================================================= 16 :Latrines constructed 3363 354 6000 320635 (30/6/97) 30/9/96) 1000<10000 55 !Population > 1000 70 ========================================================================================================================= COMPARATIVE STUDY QF EXTERNALLY AIDED WATER SUPPLY·PROJECTS IN KARNATKA. Table 3. Contd. MAJOR DIFFERENCES AND SIMILARITIES ItrVARIOUS BI-LATERAL SCHEMES ========================================================================================================================= NETHERLANDS STATE /CENTRAL !Sl. : PARTICULARS WORLD BANK ASSISTED DAN IDA GOVT Remarks :No. : PROJECTS PROJECTS PROJECTS PROJECTS •----'---------------------------------------------------------------------------•-----------------•--------------------' ~----~---------------------------------------------------------------------------,-----------------,--------------------, 15 :Service Levels :1. In all Danida Hand Pumas :and Govt.sponsored :one per persons 150 150 :schemes tech. norms Stand posts :laid down by govt. :one per persons 150 150 150 :are followed which :are not generally 16 :System losses '!. !different from MWS :] 15 :] :J :World Bank and PWS :J 15 15 :] :] :Netherlands PWS- Popn > 10000 :J 20 :] :J :assisted projects :] :J :except for 17 :standby pumps :] :J :implementation At bore wells Ni 1 Nil :] :] !methodology At other places 1 to 2 As required :] See remarks :] See remarks :2. In all Danida :] :J :and Govt.sponsored 18 :Pumping hours hrs/day: :] :J :schemes the number Popn<1000 12 8 :] :] :of schemes are many Popn>lOOO 12 8 to 16 :] :J :and also small. Individual ®ional 16 8 to 16 :] :J :The information :] :J :on many particulars 19 !Supply hours hrs/day!24 recommended :3 Morn.+3 Even.!] :J !indicated in column :] :J :2 is voluminous and 20 :Treatment :J :] :cannot be easily Ground water Disinfection Disinfection !] :J :compiled Surface water :Aeration, floccu- SSF :J :] :2 is voluminous and :lation,sedimenta-:preceded by up-:J :J :cannot be easily : tion, filtration,: flow roughing : J :J :compiled !disinfection !filters !] :J Disinfection :J :] :] :] :] :] :] :] 21 :storage :Based on supply/ :Based on sup./ :] :] !demand analysis !demand :] • :] :analysis :] See remarks : J See remarks 22 :Peak factors :] :J Transmission lines :Based on pum.hrs :Based on pum.hr:] :] :] :] Distrbution mains 3 to 4 4 :] :] :] :] 23 !Minimum pipe sizes 63 63 :J :] I I :J :] 24 :Average velocity mps 0.3 to 0.5 :As per hyd.cal.:J :] Distribution systems :J :1 :] :1 25 :~later hammer protection :To be provided :To be provided :J :] :======:=================================================================================================================! COMPRATIVE STUDY OF EXTERNALLY AIDED WATER SUPPLY PROJECTS IN KARNATKA. Table 3 Contd. MAJOR DIFFERENCES AND SIMILARITIES IN VARIOUS BI-LATERAL SCHEMES ========================================================================================================================= NETHERLANDS STATE /CENTRAL :sl. PARTICULARS WORLD BANK ASSISTED DAN IDA GOVT Remarks :No. PROJECTS PROJECTS PROJECTS PROJECTS '----'---------------------------------------------------------------------------'-----------------'--------------------1 ,----.---------------------------------------------------------------------------.-----------------~--------------------, 26 !Min. Res Pressure m 8 7 :] :) :1. In all Danida :50 exceptional :) :) :and Govt.sponsored !cases low lying :] :) :schemes tech. norms :) See remarks : ] See remarks :laid down by govt. 27 :Distribution Systems :To provide a1r, :To provide air,: J :] :are followed which !scour,control !scour,control :] :] :are not generally !valves, thrust :valves, thrust :] :] :different from !bends etc., !bends etc., :] :) :vJorld Bank and 28 !Pipe line materials :PVC,CI ,DI I STEEL !PVC,CI,DI,STEEL:PVC, CI I GI !PVC, CI, GI !Netherlands :cement mortar !GI :assisted projects :lined, GI :except for :implementation 29 :Implementation :contractors pre- :Contractors pre!Contractors and :contractors and :methodology !qualified, one !qualified/post :departmental :departmental :2. In all Danida :single contract !qualified :execution :execution :and Govt.sponsored :for all works :one single :schemes the number :in a slice :contract for :of schemes are many I 'I :all works in a :and also small. :package :The information :on many particulars :indicated in column :2 is voluminous and :cannot be easily :compiled ========================================================================================================================= FINAL REPORT (PHASE TWO STUDY) COMPARATIVESTUDY OF THE EXTERNALLY ' ~ AND GOVERNMENT SUPPORTED RURAL WATER SUPPLY AND SANITATION PROJECTS IN KARNATAKA SPONSORED BY RAJIV GANDHI NATIONAL DRINKING WATER MISSION GOVERNMENT OF INDIA AND UNDP-WORLD BANK REGIONAL WATER AND SANITATION PROGRAMME- SOUTH ASIA (RWSG-SA) CONDUCTED BY SOUTH EAST ASIA REGIONAL BUREAU INTERNATIONAL UNION FOR HEALTH PROMOTION AND EDUCATION BANGALORE MAY 1998 PHASE TWO STUDY INTRODUCTION The draft reports of the comparative study of ESA water supply schemes in Karnataka, were sent to the UNDP, Director PPMU, EiC PHED, the Netherlands and Danida donor agencies' local representatives for perusal and comments. Comments were however not received from any of them. The UNDP decided to have a workshop under the chairmanship of the Secretary RDPR GOK, on 22 April 98 in Bangalore. The list of participants in the workshop is appended as Appendix 'A'. PRESENTATION OF THE SUMMARY REPORT IN THE WORKSHOP A draft Summary Report of the comparative study was presented in the workshop on 22 April 98 under the chairmanship of the Secretary RDPR GOK when the representative of the Rajiv Gandhi National Drinking Water Mission, the UNDP representatives, Donors' representatives, CE PHED, Director PPMU and other officers of GOK were present. The representative from the Rajiv Gandhi National Water Mission, suggested that lessons learnt and good points of ESA programmes could be adopted in the Government sponsored programmes. During the presentation useful discussions took place on several points of the report. There was a consensus that some more aspects could be studied and included in the report thus making the report more useful and a reference document. The main topics that were suggested to be studied are detailed below. The UNDP thought it fit to be studied as a Phase II of the study. Accordingly the UNDP directed the consultants to take up the Phase II study vide their letter dated 11 May 1998 along with the Terms ofReference. · ADDITIONAL TOPICS OF STUDY During the presentation the following major topics were suggested to be studied. 1. The advantages and disadvantages of having consultants for various functions of the implementation process like Hydrogeological Investigations, Designs, Tender Document Preparation and Supervision which are new concepts introduced in the bi-lateral programmes. Success rates of bore wells sites selected by PHED hydrogeologists and consultant's hydro-geologists be studied. 2.The delays due to paucity or otherwise of good and competent local contractors. 3. Time reduction for processing the tender evaluation and award oftenders. 38 4. Separate cadre for the water and sanitary engineers for implementation of the programmes. Accordingly another questionnaire was framed and sent to the concerned organi~ations requesting them to send the i~formation by 15 May 98 so as to finalise the report. A copy of the questionnaire sent is appended ·at 'Appendix C'. The questionnaire was sent to Director PPMU, and EiC PHED who hold all the relevant documents and who are the main resource persons of the information on the additional points to be studied. Some of the information to be given is normally not readily available as it is not compiled and documented in the form in which it can be readily referred to. The information to be given requires study of voluminous documents and careful analysis and drawing intelligent inferences from the analysis. The study encompasses first determining the indicators for the comparison, and a wide range of aspects and not easy to report in a short time. Many documents some of them may be confidential and legal in nature, particularly to the aspects concerning evaluation and acceptance of tenders, negotiations, bad quality of work, penalising and black listing a contractor, rejection and rebuilding of works etc., at contractors'cost, censuring and punishing officers if at all compiled and documented systematically, have to be made accessible and studied in detail. Many case studies have to be made to draw conclusions. This requires sufficient time and also authority for the study members to see confidential and legal documents. All contractual documents are confidential in nature. Further to compare the timely completion of works and performance of the various implementing agencies the indicators like the amount paid to the contractor as incentive bonus for early completion of works, liquidated damages collected from the contractor for the delayed completion of work etc., have to be studied, systematically and documents should be made available. Similarly for the comparison of the quality of works executed by the various agencies the information regarding the amounts recovered for bad work, number of works rejected and reconstructed and their cost etc., are required to be studied. It is not likely that type of documentation is maintained in the departments. Additionally the direct implementing units (Executive Engineers) are too many to be studied. Probably due to the paucity of time and busy schedules of the officers and confidential nature of the documents, the replies to the questionnaire and information were not adequately covered and also not received in time. The EiC gave the replies to the questionnaire though incomplete to some extent. The information from PPMU was obtained by verbal discussions only with the officers of directorate. It necessitated a few visits to the various offices and also several discussion meetings with the officers to collect even the above information. However from verbal discussions and written replies to the questionnaire received only some preliminary information has been collected and this has been summarised below. 39 1. The programmes have not reached any completion and commissioning stage, let alone handing over by the implementing agency and maintaining by the community, even in less than 1 % of the villages. It is learnt that the 0 & M responsibilities have been transferred to Village water Supply and Sanitation Committees in only the 10 pilot villages out of 1200 villages contemplated in World Bank project. No 'Other village either in phase I or phase II schemes has reached a stage of handing over for 0 & M responsibilities. Under the above circumstances it too premature to study the various aspects. 2. The appointment of consultants is a new concept and to the departmental implementing agencies as well as consultants and they are having teething troubles and trying to adjust to the new environment and new system. Hence it is too early to arrive at a view about the advantages and the disadvantages of appointing consultants. Further the consultancy services involve a wide spectrum of different disciplines of engineering. It is difficult to find consultancy companies well versed in all types and disciplines of engineering to take on the Consultancy work on a turn key basis. Subletting of works and joint ventures can only deliver the goods. At present in the works sponsored by the Government and executed by the PHED the tenders are split into various small tenders based on the nature and type of work like Electrical and Mechanical works, Construction of water retaining structures, pipe laying, treatment plant construction etc., 3. The CE PHED has indicated that the success rate of drilling bore wells in case of sites selected by the government hydro geologists is 60 % where as the same is 45 % in case of sites recommended by the hydrogeologists of the consultants. It has not been indicated whether the geological formations and other affecting factors were IDENTICAL in both the cases for comparison base. To arrive at the success rates of bore wells comparison is to be made under exactly identical conditions of geological I soil data, depths of water table characteristics, time of conducting the studies and various other parameters affecting the yield of the wells. A systematic and scientific study considering all the above parameters is required to be carried out for comparison. This type of study has not been made. 4.It has already been brought out in the phase I study report that due to big tender amounts local contractors could not participate in the tendering process. The contractors were from distant places of neighboring states whose overheads are more. The system of appointment of consultants for various activities of the implementation is in contrast to the age-old, deeply rooted system of utilising departmental staff These factors have contributed significantly to the delay. However of late small tenders are being invited and tendering procedures are being simplified to attract local contractors, the delay in awarding tenders, delays in implementation are on reducing tendency. The tender percentages over the sanctioned estimates are also getting reduced. The mandatory requirement of past experience of the contractor and consultants in the sector for prequalification is being relaxed and the prequalification criteria is changed to the post qualification which are attracting more local contractors 40 and more competition .. This trend is to be watched for some more future time to arrive at a view whether the new simplified procedures are really yielding the desired results. The departmental staff are also getting geared to the new system. The tender percentage is reported to have come down to 3 5 to 40 % in case of Phase II World Bank works as against§) %in case ofPhase I works. This has to be time tested. . - 5. Before the formation of the Zilla Panchayats, the water supply works not only in rural but also urban schemes were being looked after by PHED circles which maintained on its rolls staff, experienced in the sector of water supply and sanitation for longer periods and the turn over was generally with in the PHED circles. Though there was not a separate cadre of public health engineers there used to be normally no transfers of all the lower level and middle level officers outside the PHED circles. This procedure ensured continuity and up gradation of knowledge of new technologies. The public health engineering subject requires specialised technical qualifications and experience in different fields of engineering. It is the practice in the irrigation department even now in the interest of the works to post staff within the irrigation circles. After the formation of the ZP' s all the works of water supply and other works have been transferred to them for implementation, operation and maintenance. Officials experienced in water supply works are posted to do works other than water supply works or personnel not experienced in water supply and sanitation works are posted to look after these works due to the reasons that water supply works forms a small percentage of the total works and there is no justification for having a separate qualified and experienced person to exclusively look after the public health engineering works. Some ofthe other states are having a separate public health engineering cadre and works are being looked after by qualified and experienced public health engineering personnel only. The practice as far as possible of retaining and posting experienced and qualified public health engineers to water supply and sanitation works will improve the quality of the works. 6. Regarding the cost of consultant services it has been reported that the percentage of consultancy services is 9 % of the total cost of the tendered works. The government department also charges 16.25 % as the service charges if it executes the works of other organisations as deposit works as establishment, tools and plant charges. The 9 % indicated above does not include the tools and plant charges. Hence the costs of consultancy services are comparable but to arrive at a conclusion more data is required from the PWD and Irrigation departments to ascertain the percentage of total expenditure on establishment debited towards various activities of staff like designs, supervision, accounting, etc., 7. General standards of quality of works is stated to be "SATISFACTORY" in both the cases of works supervised by the consultants and by the departmental staff. However the inferior quality of work carried out with the departmental supervision is likely to be hushed up and not publicised as that of the works supervised by the consultants. They are rectified with the co-operation of the contractors and does not come to the notice of the public nor accounted in the books .. Now the new concept of 41 the community involvement in the implementation supervision has been introduced in the ESA works. It can be expected that the chances of execution of inferior quality of work will be reduced as the contractors will be on their watch since the community will also be keeping a watch on the quality of the works executed by the contractors as works will become their property and they will have to maintain the completed works. 8. A solitary case has been reported in the world bank assisted scheme that two overhead tanks and other minor works are recommended to be pulled out. This is a result of a more watchful donor agency and probably the community involvement. The trend is a healthier one and more and effective community involvement in supervision of works execution is to be brought into effect for getting quality work, even though there may be some resistance and disagreements between the stake holders in the beginning. There are cases of similar failures of overhead tanks in works of other departments but they have not been given the same amount of publicity. Community involvement in supervision of execution is absent in the case of government sponsored works and hence such lapses of are likely to be hushed up. 9. Opinion of some of the serving staff of the department is that the old system of utilising the departmental staff instead of consultants would give better results. This may be due to the fact that they belong to the old school of thought and not taking into consideration the realities of the situation of not having sufficient government staff to man all the additional developmental works of huge magnitudes and costs. This is one of the reasons for the trend of privatisation in the other sectors. They also argue that the staff of the department is more worried about his career and promotion and will be more sincere where as the consultant is interested in his business. Since the system of engaging consultants for various activities of the department is newly introduced in the ESA water supply projects, the views expressed are not based on sufficient experience and cannot be taken as conclusive. 10. Other issues studied in the phase II, like Community Participation, Institution Building, lessons learnt etc., are covered and incorporated under the respective headings in the Phase I report itself. CONCLUDING REMARKS 11. Finally it is recommended that a separate study be taken up at a later stage allowing sufficient time for the study, when most of the ESA projects are completed, commissioned and handed over to the community and after they have been successfully operated by them for at least two or more years on "no profit and no loss basis" and the community becomes self reliant for the Operation and Maintenance, which is one of the basic objectives of the programmes. For the study at that time the experience of similar programmes in other states if reckoned will be very useful in policy formulation for the government. 42 Appendix "A" LIST OF PARTICIPANTS IN THE WORKSHOP ON COMPARATIVE STUDY REPORT OF EXTERNALLY SUPPORTED WATER SUPPLY AND SANITATION PROJECTS IN KARNATAKA ON 22 APRIL-1998 UNDER THE CHAIRMANSHIP OF THE SECRETARY RDPRGOK L Sri.M.R. Srinivasa Murthy Secretary RDPR GOK 2.Sri.M.R.Vijaya Kumar, Director, PPMU, GOK, 3 .Sri.A.R.Subbaiah Deputy Secretary, RGNDWM, GOI 4.Sri.Sridhar Deputy Secretary, PPMU GOK 5. Sri.Kenchappa Director, RWS, RDPR, GOK 6. Sri. C. S. Prathinidhi Under Secretary, R WS, GOK 7.Dr.Charles J.Pindley Sector Planner UNDP, World Bank 8.Sri.A.KSen Gupta Programme Officer, UNDP, World Bank 9.Dr. K. Balachandra Kurup Water and Sanitation Specialist IO.Mr. John Abbott Team Leader, Netherlands assisted project ll.Mr.Erling J.Johanasen Chief Adviser, Danida 12.Mr. G.M. Vijaya Kumar ChiefEngineer, PHED GOK 13.Sri.Sugnana Murthy SE, PHED,GOK 14.Sri.Harnid Ahmed Social Scientist, PPMU GOK 15.L.V.R.Reddy Danida 16.B.KD.Raja Netherlands assisted project 17.S.Sashiranjan Das Consultant, HSHE, PPMU GOK 18. Sri. Parthasarathy AEE, PHED, GOK 19.Sri.C.R. Prem Kumar AEE, PHED, GOK 20 .. Sri.Srinivasa Rao AE, PPMU, GOK 2l.Dr.KRamachandra Sastry Team Leader, Comparative Study Team 22.Sri.N.R.Vaidyanathan Member, Comparative Study Team 23.Sri.B.R.N.Gupta Member, Comparative Study Team APPENDIX "B" LIST OF OFFICERS AND NON-GOVERNMENTAL ORGANISATION INTERVIEWED FOR THE STUDY OF MANAGEMENT AND INSTITUTIONAL DEVELOPMENT (PHASE 1 AND PHASE 2) 1. Mr. M.R. Srinivasamurthy, Secretary, Rural Development and Panchayat Raj Department, Bangalore 2. Shri. Srikanth, ex-Director, Project Planning and Monitoring Unit, Bangalore 3. Mr. Gangamalliah, the Deputy Director (Health) Project Planning and Monitoring Unit, Bangalore 4. Mr. Hamid Ahmed, Social Scientist, Project Planning and Monitoring Unit, Bangalore 5. Shri. Vijayakumar, Chief Engineer, KHB (former Superintending Engineer, World Bank Cell in Public Health Engineering Department), Bangalore 6. Ms. S.P. Banu, Deputy Director (ICDS), Directorate of Women and Child Welfare, Bangalore 7. Shri Prabhakaran, Assistant Engineer, PAG, Danida, Bangalore 8. Shri. Janardhan, Assistant Engineer, World Bank Cell, PHED, Bangalore 9. Shri. G.M. Vijayakumar, ChiefEngineer, PHED Non-Governmental Organisations 1. Shri. Mohan, Director, OM Consultants, Bangalore 2. Shri. K. Vishwanth, Team Leader, MYRADA 3. Shri. Kiran Mandanna, State Programme Officer, MYRADA, Bangalore Donor Agencies 1. Mr. J.M. Abbott, Team Leader, Project Support Unit, Netherlands Assisted IRWSSP 2. Ms. (Dr.) Poornima Vyasulu, Community Development Expert, Project Support Unit, Netherlands Assisted IRWSSP 3. Shri. B.R.N. Gupta, Senior Engineer, Project Support Unit, Netherlands Assisted IRWSSP 4. Mr. Carel de Groot, Senior Advisor, P AG, Danida, Bangalore 5, Mr. Erling J. Johannsen, Chief Advisor, PAG, I;>anida, Bangalore APPENDIX 'C' COMPARATIVE STUDY OF ESA WATER SUPPLY PROJECTS IN KARNATAKA REPORTING PERIOD 1 APRIL 1993 TO 3 1 MARCH 1998 FURNISH THE REPLIES I INFORMATION PERTAINING TO THE ABOVE PERIOD ONLY PARTICULARS REPLIES l.Number of tenders in which consultants engaged World Bank Projects Hydro geological investigations Design and preparation ofESR's Supervision consultants Netherlands I ssisted projects Hydro geological investigations Design and preparation ofESR's Supervision consultants _£.Total cost of works Tendered Rs. World bank (Phase I and Phase ID Netherlands assisted 3. Total cost of consultancy services Rs World Bank (Phase I and ID Netherlands assisted 4.Percentage cost of consultancy services over the total tendered costs. 5 .Percentage of works costs that are charged as establishment costs in the department as per present rates 6.General standards of quality of works: lvfaterials I workmanship I performance Works supervised by consultants Works supervised by departmental staff Number of works found sub-standard and ordered to rebuild : Works supervised by consultants Works supervised bv departmental staff Cost of works rejected and rebuilt Rs. In case of works supervised bv the consultants In case of works supervised by departmental staff No. of cases where works were devalued and accepted In case of works supervised by consultants In case of works supervised by departmental staff No. of cases where contractors penalised and black listed In case of works supervised by consultants In case of works supervised by departmental staff ?.Design and preparation ofESR's No. of times the designs technically sanctioned required changes : In case of works designed by consultants In case of works designed by departmental staff Number of times revised sanctions issued above 10%: In case of works designed by consultants '·' In case of works designed by aepartmental staff 8. Hydrogeological Investigations: (Comparison to be made under IDENTICAL geological conditions and specifications of wells) Number of wells drilled as recommended by consultants Number of wells found successful in terms of both quality and quantity of water Percent Successful Nature of soil/depth drilled/geological strata/water table depth Number of wells drilled as recommended by departmental staffi'depthydrogeologists Number of wells found successful in terms of both quality and quantity of water Percent Successful Nature of soil/depth drilled/geological strata/water table depth 9, Average time taken for a warding work orders from the time of receipt of tenders in case of Phase I works of world bank Phase II works of world bank Reasons for reduction of time Average tender percentages above the TS quoted by the contractors in Phase I of world bank works Average tender percentages above the Ts quoted by the contractors of Phase II of world bank works Reasons for reduction of percentages Whether reasons replicable 10. Total amount saved in Phase II works of world bank due to revise<:! tendering procedure .. Rs. Indicate 'briefly salient.and stepwise features of old and new tendering procedures ll.Give your views with sufficient justifications about the following In your opinion which system whether employing consultants or departmental staff will give better results in achieving (!)Quality work (2) Reduction in cost (3) Reduction in construction time (4) Least management problems (5) Reliability/trouble free performance of systems (6) Better post commission services in long term 12. Your recommendations of systems you would like to adapt for future works in case ofESA water supply projects in order to give better quality/fast and satisfactory delivery systems to the community