E4725 V4 Executive Summary Overview The state of Punjab forms a part of Indo-Gangetic alluvial plain and is composed of sediments of Siwalik Hills and Himalayas brought down by the rivers of Indus system. The state is spread over an area of about 50000 sq. km. (19th largest state in the country in terms of area). The state has 22 districts, 142 blocks, 11773 Panchayats and 15370 habitations. Providing safe drinking water to its people is the responsibility of the State Government. Till last decade, the coverage of habitations was the priority of the Government. However, currently safe drinking water and other related issues like sanitation and hygiene have become the priority. Of the total habitations, 12648 are in the status of 100% population coverage, 2703 habitations are in Partial Population Coverage and remaining 19 are quality effected (Source: DDWS (Jalmani’s Achievement up to 27/10/2014). Project Background (Rural Water Supply & Sanitation-RWSS) The primary responsibility of providing drinking water facilities in the country rests with the state governments. The Government of India supplements the efforts of State Governments by providing Financial Assistance under the centrally sponsored National Rural Drinking Water Programme (NRDWP) and Nirmal Bharat Abhiyan (NBA). The Government of Punjab (GoP) has prioritized RWSS as a key area of its development agenda. Over the past few years, significant capital allocations to the RWSS sector have been made which indicates the high priority accorded to the sector. The GoP intends to scale up and consolidate the gains of the first project and progressively raise the water supply and community sanitation service standards and eventually raise the coverage of high service standards (such as 24x7 water supply, 100% coverage by household water connections and phasing out of public taps, resolving water quality issues in affected villages and providing sewage and sullage management systems in rural areas of the state) by seeking the support from World Bank for the second Punjab Rural Water Supply Project (PRWSS). The PRWSS-II Programme will be implemented in the rural areas of all 22 districts of Punjab. Government of Punjab with assistance of World Bank is implementing the “Punjab Rural Water and Sanitation Supply project, PRWSSP. In this context, GoP is expected to carry out necessary assessments which will enable them to design the project sustainably. The Assignment The objective of the study is to conduct a Social Assessment study, mainly to better understand and address social development issues, and ensure accomplishing the outcomes – inclusion, participation, transparency and accountability and management of land for the project. Approach & Methodology The study methodology includes both secondary & Primary Data. Secondary data is consists of earlier published report of the state of Punjab. Primary data was collected with the help of research tools liked using participatory approaches adopting participatory tools like Participatory Rural Appraisal, interactions with women group and SWOT analysis, etc. The study intended to identify stakeholders at all levels i.e. from the policy level to field operations to beneficiary level. In this line, first the stakeholders were identified and then they were contacted during each stages of the assignment so that comprehensive coverage is ensured. The process of consultation will be continued till the end of study and our previous experience of the working for similar sectors and settings in the state has enabled us to plan and choose proper data collection methods for each stakeholders. The study also referred to the baseline survey/study (carried out in 2009) of the same project and other available secondary data such as census 2011 to set benchmark for the present study. The rationale was to take stock of progress made so far in terms of improving access to water supply and sanitation facilities for rural households in Punjab. The findings of secondary data have been discussed above. Major Findings and Discussion: Findings based on Primary Data Beneficiary Assessment: A total of 2377 households were contacted during the study in different Gram Panchayats of the sampled districts of Amritsar, Hoshiarpur, Moga, Sri Muktsar Sahib, Sangrur and SAS Nagar. Following are the main findings of primary research conducted. Also the focus group discussions (FGDs) were carried out in six gram panchayats from six districts covered to carry out the study (one from each district). Water Availability around 87 percent beneficiaries get water on daily basis and 65.4 percent gets two times in a day. Majority of the households (97.6 percent) get water supply for equal to or less than 5 hours. Subsequently, 79.2 percent beneficiaries found reliable timings of water supply. Around 91.4 percent beneficiaries responded positive about time suitability. PRA exercise results show that water accessibility to community places like Gurudwaras and schools are provided water supply free of cost which could be considered as a positive steps from the community point of view. All SC habitations were not found covered with functional piped water supply schemes this is creating an issue of inclusion. Further, flat rate billing has been reported in the visited habitations which are in any case subsidizing the rich who are using more water in comparison to poor. Reliability of the water sources was observed by 76.5 percent beneficiaries. Timing of water supply fluctuates more than 55 percent in summers whereas 26.1 percent told it has on & off situation throughout the year. Adequacy of water was realised by 78.9 percent of beneficiaries. Quality of Water from the existing water sources is found good by 58.9 percent beneficiaries. However, 24.7 percent beneficiaries told about unacceptable taste, 10 percent beneficiaries told about unacceptable smell and 17.5 percent beneficiaries told about drinking water are not clear. Consumption of water is around 50 litters per person per day with a variation of requirements from 41 to 62 litters per person per day. Availability of Toilets-Of the total households covered 83.8 percent informed of having toilets within their premises out of which 98.6 percent are functional toilets. Similar observations are made during PRA. Open defecation is commonly practices in case of absence of household toilet. Participation: Community participation in decision making was limited as about 81% beneficiaries told that they have never participated in any meeting to decide selection of water supply scheme or source of water. Further, participation of SC and women is found negligible. Moreover, awareness level of community on Water & Sanitation issues was found limited on, water quality, health & hygiene etc. Transparency: Community was not found aware about the ongoing schemes indicating limited Transparency Accountability: Accountability of GPWSCs was found an issue in slipped back habitations and this is also impacting the O&M of the ongoing schemes. Accountability of service provider was found an issue since community was not very happy with the level of services Grievance redressal: Community is accessing grievance redressal services of a total 42519 complains are registered during 2009 to 2014 of which 42147 complains are attended and 99 percent complaints have been addressed. However, primary data shows that complaints were solved satisfactorily only in 19 percent cases and in 81 percent cases it remained unresolved. Table E.1: Grievances Received by the Department & Addressed (year 1.12.09-15.12.14) Sl.No. Types of Issues Number 1 Complaints actually registered during the period 42519 2 Complaints attended & conveyed back to the complainant 42147 Source: Based on Data received from SPMC for the year 1.12.09-15.12.14 Status of Women: Analysis of the secondary data showing declining sex ratio, less participation in economic activities, little representation in political decision-making etc. The interaction made during the study also confirms limited awareness as a major reason for their less participation. These are the attributes of poor status of women in Punjab. The study also concludes that disease prevalence is increasing households’ burden needs to be taken urgently in the wake of women empowerment. Non-availability of toilets in 30% of household affects women and girl child directly due to cultural traits. Garbage collection & waste water disposal are also the grey areas affecting women. Institutional Assessment: the lowest level is GPWSC, which is a standing committee of the Gram Panchayat, and expected to shoulder full responsibilities for all activities including planning, implementation, operation, maintenance and management related to RWSS at the village level. The district level arrangement consists of establishing District Water Sanitation Committee (DWSC) and a District Programme Management Cell (DPMC). It is envisaged DWSC to ensure all RWSS plans follow and are in conformity with the SMF, and to ensure proper planning and monitoring of SMF activities at the district level, and coordination between the district and SWSM. At the state level the State Water Sanitation Mission (SWSM) prepares the environment policy and sets the guidelines for the SMF implementation, monitoring and evaluation. This SWSM also liaises with other departments with regard to environment issues. The Program Director, SWSM will be responsible for ensuring the implementation of the SMF across the state. One State Level Environmental Expert in SWSM will ensure that environment management activities are in conformity with the SMF and that necessary guidance and budget is provided to implement these plans. Policy Assessment : National Policies have enabled the State Punjab to formulate and implement inclusive policy for their state. Looking at devolution index of IIPA/MOPR, 2013 wherein Punjab scored 60 (of 100) compared to the national average of 51 (of 100) so far legal and institutional framework for devolution is concerned. However, terms of the index of actual devolution of functions, State could scores 24 against the national average of 34, because implementation of all the 29 functions as per Eleventh Schedule of the Constitution (Lok Sabha, 2013) was not undertaken. Similarly the Financial devolution index in Punjab fares rather poorly compared to other states – scoring only 17 against a national average of 29 and the indices for Capacity building and Accountability for Punjab were 39 and 47, compared to national averages of 50 and 43 respectively (IIPA/MOPR, 2013). Analysis of Punjab State policy concludes that the State is concerned on social aspects of service delivery and has gone ahead and has initiated work towards establishment of decentralized management of rural water supply and sanitation schemes as per 73rd Constitutional amendment. For which, GPs are empowered and GPWSCs are constituted as a subcommittee of GP. The GPWSCs have been entrusted with the central role for planning, implementation and O&M phases. In addition the GPWSCs are empowered to take decision on subsidised households including women headed households, disabled persons, landless people etc. As per the policy Punjab DWSS is extending special assistance (50% subsidies in capital cost and connection charges) to BPL and poor families. Table E.2: Subsidy in Water Supply & Sewer System Capital Cost share General Population SC & BPL Normal area Rs. 800 Rs. 400 Difficult area (hilly terrain, area with submerged land, boarder, Rs 400 Rs 200 etc) Source: Data collection for from GPs and validated by SPMC World Bank Safeguard Policies: In line with the requirements, the World Bank’s safeguards Policies were referred to the operation policies of the World Bank. Indigenous Peoples: The state has no habitation with Scheduled Tribe population hence; the project will not directly or indirectly affect the dignity, human rights, livelihood systems, or culture of indigenous peoples. Hence, OP 4.10 Indigenous Peoples Plan is also not applicable as there is no tribal population in the state. However, vulnerable inclusion plan will be prepared for inclusion of women headed households, Below Poverty line population, disabled population, destitute, scheduled caste population etc. Involuntary Resettlement: During discussions with GoP officials it was reported that as per PRWSS policy, the land for the infrastructure has to be provided by the GPWSCs (published Government Order in place). The same was confirmed during community level Focus Group Discussions (FGDs) which were conducted in each panchayat. It was reported by the villagers as well as the panchayat head that land is available under possession of panchayat and this could be transferred to project for construction of public infrastructure. The main component that requires land is sewerage scheme with treatment systems. These schemes require about 2.5 acres per scheme. These facilities would be located in encumbered GP lands. The scheme selection criteria will ensure that such sewerage schemes will be taken up only in such GPs where land is available. The total extent of land needed for this entire project is of the order of 787.5 acres (315 scheme x 2.5 acre per scheme). Other project components are of the nature of up gradation of service levels, increasing access through expanding house connections, improving inclusion by extension to cover uncovered areas and addressing water quality issues. As such there is no requirement of land anticipated for these components. In exceptional cases if land is needed for these components, these facilities would be located on unencumbered GP lands or through direct market purchase (willing buyer-willing seller). Capacity Building Strategy :SWSM is apex and visionary body. It has to update its knowledge about innovations; sensitization on importance of Gender Equity, Social Inclusion strategies into action is required for Officials of SWSM, SPMC and CCDU. Sustainability of the system requires strengthening accountability, supportive supervision mechanism, inter departmental liasoning for power supply during water supply timings, etc. Capacity building is also required for online monitoring for sustainability of system like MIS data based feedback mechanism, Uploading Field Monitoring Visit, Human Resources along with training status, Financial Management, grievance redressal effectiveness, maintenance guidelines and emergency support tracking system, etc. at state, district and block level. Capacity Building Strategy is proposed at four levels: One State Level Workshops and one training program on management of scheme on updating knowledge about innovations, sensitization on importance of Gender Equity and strategies into action for Officials of SWSM, SPMC and CCDU. District Level Workshops focusing on knowledge about project activities especially Multi Village schemes and its implementation; Knowledge on Community Led Total Sanitation approaches and participatory approaches including project cost to be recovered from community, sensitization on importance of Gender Equity and strategies into action for Officials of DWSC at implementation & operational level and Zila parisad. Divisional level Workshops Knowledge about project activities especially Multi Village schemes and its implementation; Knowledge on Community Led Total Sanitation approaches and participatory approaches including project cost to be recovered from community for Block Coordinators and GPWSC Members. Village level training, meetings and orientation programmes like; Prayer Meeting for School Children: About cleanliness on how to use water economically and hygiene education, Group meeting for AWW & Health worker: Assess purity of water/ Testing of water samples for GP Village Water & Sanitation Committee,Masons Training: Training in construction of toilets/ better construction techniques, Plumbers Training: Training of plumbers in laying pipes Social Management Action Plan The major risks identified were lack of community support & participation, irregularity in water supply, limited participation of women, shortage and non-availability of institutional structure at block level, lack of soft skillset among staffs, issues in equity & inclusion, Grievances Redressal and lack of empowerment of GPWSC on technical aspects etc. In the given context the project has identified few key social development issues: Table E.3: Social Management Action Plan Social issues Evidences Social Management Actions Project Responsibility Stage Inclusion and  All SC  Motivation and Awareness to Pre- SPMC/SWSM/DWS Equity with focus habitations are ensure inclusion planning M/Division/PWSC on vulnerable not covered with  Meeting of GPVWSC phase groups functional piped  Socio-economic Survey (socio- water supply cultural resource mapping and schemes infrastructural survey) for preparing  Flat rate billing socio-economic baseline is an issue for  Decision making in gram sabha on poor, as they  Inclusion of vulnerable are subsidizing through Vulnerable the rich Peoples Development  Households Plan as detailed in without water chapter 9 below. connection  Implementing Gender  Households mainstreaming Plan without toilet (Gender Action Plan is  Households detailed below) with pit toilet or  Habitation/ Village/ GP Level septic tank meetings for mobilization, using toilets are PRA and documentation of these disinterested to activities be linked with  Mobilizing and sensitizing sewerage. communities for contributions and collecting contributions  Mobilizing and sensitizing Planning SPMC/SWSM/DWS communities for contributions and Phase M/Division/PWSC collecting contributions  Volumetric billing with telescopic tariff  Meeting of GPVWSC  Joint Inspection done. Trail runs Implementa Division/PWSC completed ensure that all tion components are functioning properly and services cover all households. Social issues Evidences Social Management Actions Project Responsibility Stage  Discussions with community Operation Division/PWSC members on O&M plan and budget &  Conduct GP/ VWSC meeting to fix Maintenanc user fees in a participative manner. e  Appointed operator /assistant collects user fees  Ensure sufficient spares are available and village resource persons are trained in O&M Participation  Community  Project kicks off- curtain raiser- Pre- SPMC/SWSM/DWS participation in with a district workshop planning M/Division decision making  Appointment of social mobilisers phase was less for enhancing participation  Participation of  Door-to-door/ Ward/ Village/ GP SC and women level campaigns on water and is found sanitation negligible  Orientation of GP/Villages  Awareness level  Enhancing sustainability of the Planning Division of community scheme by increasing willingness phase on Water & to pay for the services Sanitation  Joint Inspection done. Trail runs Implementa Division/GPWSC issues was completed ensure participation of tion phase found limited all households. on, water  Conduct an SME exercise after Operation Division/GPWSC quality, health & three months of commissioning & hygiene etc. with participation of community. Maintenanc e Transparency Community was not  Prioritization based on selection Pre  SPMC/SWSM/ found aware about criteria done Planning DWSM the ongoing  GP/ villages are informed of the  Division/GPWS schemes indicating selection C/Contractor limited Transparency  Agreement arrived at with regard to technology options, location of facilities, etc.  Discussion about DPR and Planning Division/GPWSC/C scheme facilities in GP VWSC ontractor meeting Gram Sabha approval and Consultation in case of Scheduled Areas and documentation of approval  Transparency wall/Display Boards are maintained  Public disclosure of information starting from pre planning phase to O&M  Disclosure of finalized plans, total contribution details, project timelines, completion details with phases  Display of Implementation- status Implementa Division/GPWSC/C report, funding sources and tion ontractor amount  Post Implementation-details of O&M, disclosure of accounts etc  Conduct a Social Audit exercise Operation GPWSC/Division six months of commissioning with & participation of community. Maintenanc e Accountability  Accountability of  Department to share information in Pre SPMC/SWSM/DWS GPWSCs was public domain and GoP website planning M/Division found an issue about project in slipped back  Soft skill augmentation among the Social issues Evidences Social Management Actions Project Responsibility Stage habitations and staffs to handle social component this is also  Community Monitoring (Social Planning Division/GPWSC impacting the Audit) O&M of the  Implementation of Mobile ongoing Application schemes  Redressal of objections/  Accountability of complaints and considering service provider suggestions regarding scheme was found an interventions issue since  Redressal of objections/ Implementa Division/ GPWSC community was complaints and considering tion not happy with suggestions regarding scheme the level of interventions services  Progress and Quality Monitoring by GP/ VWSC  Joint Inspection done. Trail runs Implementa Division/ GPWSC completed ensure that all tion components will be completed within the pre-decided time frame  Ensure sufficient spares are Operation Division/ GPWSC available and village resource & persons are trained in O&M maintenanc e Land Acquisition  Land has to be  Panchayat to ensure that the Pre- Division/ GPWSC provided by the provided land is in panchayats planning panchayat free possession and has no of cost out of encroachment panchayat land  Gram Sabha to pass resolution on  Land was found land transfer available with  Through land will not be acquired the panchayats. but Panchayats will require to Hence, ensure that; availability of  there is not involuntary land land may not be acquisition, an issue  land under possession of panchayat is used for the project purpose,  the land has no encroachment, it is free from squatters it has no other claims of encumbrances  selected land has be approved by the gram sabha (by the community) after ensuring that water is available there;  land transfers (if any) should be completed and land title should be in the name of GP/GP-WSC through registered sale deed or MOU; and  provision will be made for redressal of grievances (ROG).  No land transfer will be accepted from land owner whose holding is less than the minimum economical viable stipulated size i.e 2.5 acres.  Further, the Divisional Unit will arrange for an examination of all Social issues Evidences Social Management Actions Project Responsibility Stage land transactions by an independent agency before according approval.  Joint Inspection done. Trail runs Planning Division/ GPWSC completed ensure that no land all Implementa components are functioning tion properly and services cover all is taken violating the said criteria. Gender Action Plan: The objective of sector program can only be achieved when both the gender works together and takes the activities forward for achieving sustainability. Considering this the study is proposing a gender inclusion plan which could be referred while implementing the project scheme cycle. Table E.4: Gender Action Plan Activity Action & Measurable indicators Responsibility Time Frame Source of Information Outcome : Inclusion of Gender in implementing Sector Wide Approach Policy in Punjab Social and Gender  Elaborate Project MIS is established  SPMC  Year 1  Baseline indicators are integrated including baseline indicators on social and onwards Survey data with Management gender indicators and gender disaggregated  Information System (MIS) data collected, analysed and key findings disseminated to address implementation  MIS gaps.  Impact of the financing facility in enhancing health & nutrition benefit due to improved water & sanitation services (especially on women) evaluated Gender mainstreaming  ASHA, ANM, AWW and female teachers are  SPMC  Year 1 on  Project principles are integrated mandatorily involved in the GPWSC wards Management in the RWSS policy  At least one third women participation in Information strategy framework GPWSC (Baseline: availability of 1/3 women System in GPWSC).   All the women GPWSC members are  Community included for sensitization workshops and mobilisation training report in SM’s  During O&M, women groups should be activity report considered for tariff collection, maintenance, etc.  Gender balance shall govern recruitment of the staff from the private sector in Division and SPMC.  Due representation of women shall be ensured on all governance bodies at all the levels.  At least 50% of the social mobilisers are women Community mobilization is  Gender balance participation in Project  SPMC/ Division  Year 1  Project adopted as integral part of Awareness Promotion Campaigns onwards Management the project  Women concerns in the selection of sub- Information projects System  Women to play major role in technology  Activity Action & Measurable indicators Responsibility Time Frame Source of Information Outcome : Inclusion of Gender in implementing Sector Wide Approach Policy in Punjab choices and preparation of village water  Community supply and sanitation plans mobilisation  50% of Social Mobilisers and Social report in SM’s Development Specialists are female activity report  33% of GPWSC board members to be female  At least 33% of sanitation and hygiene training participants to be female. Develop Capacity of key  Training program on gender sensitivity for  SPMC/ Division  Year 1  Project stakeholders the officials of SPMC, SPMU, Division, onwards Management implementing the project GPWSC, GP etc. Information including community  At least 30% training participants are System partners on gender women  component in Water &  Target: 1 workshop/year. 100% of relevant  Training Sanitation staff members to participate in the Completion workshops Report Achieving sustainability in  Women members participate in the  SPMC/Division  Year 1  Project Water Supply & Sanitation technology choice and technical assessment onwards Management Coverage process Information  33% of O&M training participants are System women   Participation of women in financial management of the Water & Sanitation System O&M  Individual sanitation blocks (for poor) should consider norms of Safety, privacy and convenience  Messages for Water use and hygiene improvement trainings should be designed for both sexes  Women are trained in O&M of household latrines and also considered for mason training in rural sanitary marts GAP- Gender Action Plan, MIS- Management Information System, SM- Social Mobiliser, SPMC- State Programme Management Cell DPMC- District Programme Management Cell, BRC- Block Resource Coordinator Source : MM study Vulnerability Action Plan Special Assistance to be taken up for connecting households with sewer 1. Policy level decision: This would need to be taken by the by the SWSM. 2. Identification of households/ individuals whose sanitation need is yet to be met. Rural poor could be identified through wealth ranking- such households could be identified which are residing up to 200 square feet built-up area house dimension regardless of whether they live in or outside the slums, Households headed by Disabled or Females or Old aged (65+ years) persons and households which has no fixed income could also be considered. 3. Simplify Procedures of taking connection and any proof of residence such as ration cards, ID cards, Aadhar Cards could be considered sufficient to provide a connection. Also availability of application forms in GPWSC’s Office 4. For achieving 100% sewer connections, following benefits could be extended to the households having septic tank & HH having no sewer connection – 50% subsidy to the houses submitting application within15 days of implementation – 25% subsidy to the houses submitting application up to 30 days of implementation – 10% penalty to the houses submitting application after 31 days of implementation 5. Panchayats/Wards with 100% connection within 60 days of implementation of project could be considered as better panchayats could be awarded and GPWSCs could be rewarded for 100% connection. Social Audit: Social Audit system which could be considered as citizen’s feedback mechanism for strengthening supply side of accountability, may be adopted for assessing qualitative indicators through beneficiary participation. This could be done at least twice during the scheme cycle, may be while moving from planning to implementation; and second, at the time of completion and commissioning. For which a Social Audit Committee needs to be formed of members from the gram sabha. The social audit manual will be prepared which is tool for receiving citizen’s feedback at various stages of the sub-project cycle. Monitoring & Evaluation: internal monitoring could be undertaken at each of the levels like GPWSC, DWSC and SPMC level. The process could involve representatives of GPWSCs, SM. They can submit report to the upper level i.e. DWSC which will further review the progress and then submit its report to SPMC. External Monitoring & Evaluation could be undertaken by appointing Third Party consultants by SPMC. They would monitor the project implementation and then report back to the SPMC. A qualified and experienced external monitoring expert or NGO could be hired by the SPMC to verify the internal monitoring information and compliance issues. The process of the monitoring will help in ensuring overall transparency while implementation of the project. It would also lead to identification of persistent gaps and methods to overcome the same, simultaneously.