INTEGRATED RURAL WATER SUPPLY AND ENVIRONMENTAL SANITATION PROJECT
Item
- Title
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INTEGRATED
RURAL WATER SUPPLY
AND
ENVIRONMENTAL SANITATION PROJECT - extracted text
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INTEGRATED
RURAL WATER SUPPLY
AND
ENVIRONMENTAL SANITATION PROJECT
Report
of
The Panel of Independent Consultants
Project Planning and Monitoring Unit
Department of Rural Development and Panchayati Raj
Government of Karnataka
Bangalore
n
February 1997
INTEGRATED
RURAL WATER SUPPLY
AND
ENVIRONMENTAL SANITATION PROJECT
Report
of
The Panel of Independent Consultants
Project Planning and Monitoring Unit
Department of Rural Development and Panchayati Raj
Government of Karnataka
Bangalore
n
February 1997
FOREWORD
The
Government
of
Karnataka
constituted
a
Panel
of
Individual Consultants to review the implementation of the World
Bank assisted Integrated Rural Water Supply and Environmental
Sanitation Project and to recommend such changes
that may be
conducive to its more effective and timely implementation. This
report presents the views of the Panel.
In the preparation of this report.
the Panel has had to
draw upon the expertise and time of many officers. institutions
and organizations
and
acknowledges
with
assistance it received. In particular.
acknowledge
Commissioner,
Panchayati
Raj
the
ready
the Panel would like to
received
from
the
Principal
Secretary,
Rural
Development
and
RDPR,
the
Department
Engineer-in-Chief,
the
it
support
the
gratitude
PHED,
(RDPR),
Secretary
Hr
Development
Director of the Watershed Development
Programme, and the Director of Health Education and Training.
The Chief Executive Officers of the Zilla Panchayats and
the Executive Engineers of the Project Cells of the districts
that the Panel visited made every effort to make the visits
instructive and useful. While thanking them for their assistance
the Panel would like to place on record its appreciation of the
candid manner in which they shared their views and experiences
relating to the project.
n
The representatives of the Consultants and NGOs gave full
assistance to the Panel in understanding their roles and field
particular.
In
issues.
received
assistance
the
representatives of these organizations in the
by
the
field is
gladly
CEOs,
Project
acknowledged.
Detailed
Cells,
questionnaires
sent
were
the World Bank Cell in PHED,
Director
the
of
Consultants,
Watershed
the
to
the Engineer-in-Chief,
Development
Programme,
the
the
the NGOs and others. The replies received were of
great help in the wok of the Panel. The assistance received from
the recipients of the questionnaires is gladly acknowledged.
The work of the Panel was very heavily dependent on the
assistance of the Director PPMU and his colleagues. The Director
rendered
all
assistance
necessary
and
readily
made
all
information that the Panel wanted for which assistance the Panel
is very thankful. The Panel would also like to place on record
its
appreciation
and
thanks
for
the
help
given
by
all
the
officers of the PPMU and in particular thank the Deputy Director
and Assistant Engineers for their ready help at all times.
The visits to the project villages were a unique experience
and sharpened the perceptions of the Panel of the vital need to
temper projects relating to essential needs to ground realities.
The
Panel
would
like
to
thank
the
village
communities.
the
members of the Village Water Supply and Sanitation Committees
and the women’s groups of the villages visited for their sparing
so much of their time and being so helpful.
This
report
presented
is
in
full
awareness
of
the
complexity of this project in terms of novelty of approach and
the
integration
experimental
against
the
recommendations
of
backdrop
of
implementation of
this
the
of
public
report
project
related
in
elements.
all
set
participation.
If
the
result
the
in
the
short period
successful
left
for
completion and assist in formulation of a follow on project. the
Panel would consider its efforts more than worthwhile.
'Gul am Ahmad
i
Gita Sen
CONTENTS
Introduction
1
Chapter I
The Project - A Brief Description
4
Chapter II
Review of Progress
10
Chapter III
Organization for Project Implementation
and Management - A review
20
Chapter IV
The Management Structure Alternatives
34
Chapter V
Systems for Monitoring, Evaluation and
Supervision
40
Chapter VI
Administrative Procedures
48
Chapter VII
Per Capita Costs
56
Chapter VIII
Community Participation Activities
62
Chapter IX
The Role of Non Governmental
Organizations
66
Chapter X
The Community Participation Management
Consultancy
71
Chapter XI
Design Consultant
77
Chapter XII
Construction Supervision Consultancy'
82
Chapter XIII
Groundwater Recharge Measures
88
Chapter XTV
Leak Detection, Water Quality
Monitoring and Equipment
95
Chapter XV
Habitat Development and Health
Communication
102
Chapter XVI
Follow on Project
130
Chapter XVII
Summary of Recommendations
138
Annex I
Constitution of the Panel
INTRODUCTION
Various projects for establishing and improving water
supply in villages have been undertaken by the Government of
Karnataka. Among these one of the important projects that has
been taken up is the Integrated Rural Water Supply and
is
financially
Project
which
Sanitation
Environmental
assisted by the World Bank. The Project, as planned, was
expected to provide piped water supply to 1200 villages in
the State spread over 12 districts. It has an important
component relating to sanitation. health and hygiene. The
project was commenced in June 1993 and was expected to be
completed by June 1999. However, various factors have
inhibited its progress and a recent Mid-Term Review of the
reasons.
1996 had.
among other
Project in September
identified the institutional structure of the management of
the Project as an area of concern. The view was taken that
the present management structure was not fully conducive to
the attainment of the various objectives of the Project. The
review of the management structure was, therefore. considered
necessary not only from the point of view of enhancing the
effectiveness of the structure in relation to the on-going
project but also with regard to such follow on projects that
may be undertaken. It was felt that such a review should be
carried out by an outside group of consultants rather than be
in-house.
Accordingly,
the
Government
of
Karnataka
constituted a Panel of Individual Consultants to review the
current management and institutional arrangements relating to
this Project and recommend appropriate modifications. The
relevant order of Government is at Annex I.
1
The terms of reference of the Panel are as follows:
(1)
To review the institutional frame work including
the District Level Co-ordination Committee created
for the implementation of the Karnataka Integrated
Rural Water Supply and Environmental Sanitation
Project being
implemented with
the
financial
assistance from the World Bank and to suggest
changes that may be considered necessary to enable
the Government of Karnataka to implement the
Project as per the Project scope and objectives
well within the Project period itself;
(2)
To review the delegation of powers to the officers
and institutions and to suggest changes that may be
considered conducive for the proper implementation
of the Project;
(3)
To consider other relevant issues as may be
considered necessary by the Panel to implement the
Integrated
Rural
Water
Supply
and
Karnataka
Sanitation
Project
in
an
effective
Environmental
way;
(4)
To-consider implementation structure, delegation of
powers and other aspects considered necessary by
the Panel to implement the likely follow on project
pertaining to the Integrated Rural Water Supply and
Environmental Sanitation in Karnataka to be taken
up with the financial assistance from the World
Bank.
The term of the Panel was three months from December
1996 to February 1997.
Panel
would
It was originally envisaged that the
an
submit
regarding
report
interim
the
institutional
framework and delegation of powers within one
month.
followed
to
be
by
the
final
Later,
report.
after
discussions with the representatives of the World Bank and
the
Director
PPMU,
it
was
agreed that
the
interim report
would be submitted by the end of January 1997.
the work progressed.
However,
as
it was noted that the quantum of work
had been underestimated. It was noted that field visits were
necessary
NGOs,
and
Project
involved
in
extensive
with
the
Consultants,
agencies
and
other
authorities
and
Project
were
necessary.
Responses
Cells
the
interviews
to
2
’
were
questionnaires
also
always
not
prompt.
Due
to
these
it was realized that the submission of an interim
reasons,
report would tend to delay the work of the Panel.
It was
indicated to Government that the Panel would prefer to submit
its full report within February 1997.
The Panel elicited information through questionnaires
from the Consultants,
Executive Officers
Chief
in
Cells
Proj ect
Panchayats,
Zilla
the
the
of the
districts.
the
Engineer-in-Chief of the Public Health Engineering Department
(PHED),
and the NGOs. Discussions were also held with the
Consultants,
the E-in-C PHED,
the Director PPMU,
Commissioner,
the
Secretary II
RDPR Department,
and
Training,
Secretary RDPR Department,
Principal
Director
the
Development
of Health Education
Director
of
the
the
Watershed
Development
Programme and the NGOs.
The Panel visited 14 project villages of the Pilot
phase and of Phases I and II in the districts of
Mandya,
Mysore,
Bidar,
Tumkur.
Tumkur.
Bangalore,
The purpose of these visits
was to have an idea of the implementation of the project in
the
field.
Opportunity was
taken to hold discussions
also
with the representatives of the NGOs and Consultants working
in the field.
the CEO of the ZP,
Cells,
the
Divisions
the Executive Engineers of the Project
Executive Engineers
of
meetings were held with
During these visits,
the
ZP,
the
of
regular
the
district
Engineering
representatives
of
the
consultants and others.
The field visits provided the Panel an opportunity to
meet the VWSCs of the villages visited.
was made to meet women’s
groups.
groups.
The
Particular attempt
discussions with the
members of the VWSC and with women’s groups were refreshingly
frank and free.
3
Chapter I
THE PROJECT - A BRIEF DESCRIPTION
The Integrated Rural Water
Supply and Environmental
Sanitation Project assisted by the World Bank was undertaken
to
provide
safe
drinking
water
and
environmentally
appropriate sanitation facilities to 1200 villages in the 12
districts
of
Bangalore
Dakshina Kannada,
(Rural),
Belgaum,
Bellary,
Gulbarga, Hassan, Mandya, Mysore,
Shimoga and Tumkur in Karnataka1.
Bidar,
Raichur,
The Project Agreement and
the Development Credit Agreement was signed on 4th June 1993,
the credit becoming effective from 23rd February 1994.
The
Project completion was specified as 30th June 1999, with the
credit closing on 31st December 1999.
1.2
The project comprises the following four components2
1. Rural Water Supply, including construction of new
and rehabilitation of existing water supply schemes
in about 1200 villages, assistance for PHED’s
borewell programme, leakage repair works, a water
quality monitoring programme and measures
for
ground water recharge.
1 The elements of the Project are very briefly described in
this Chapter. The Project details are available in the
documentation of which the important ones are the Staff
Appraisal Report of March 1993, the report of the Review
Mission of September 1996.
2
These four components are indicated in Para 2.06, Page 11,
Environmental
Staff
Appraisal
Report,
March
1993.
sanitation includes individual and institutional latrines
and resurfacing of roads.
4
The water supply is planned on a demand of 40
litres per capita per day (Ipcd) for a public stand
post and at 70 Ipcd for home connections;
2. Environmental Sanitation, including construction of
environmental sanitation facilities in all the
project villages based on demand, covering sullage
drainage, pit latrines, washing platforms, cattle
troughs, bathing cubicles,
cubicles. street bins and biogas
plants.
The community is expected to contribute 30% of the
cost of drainage works as estimated in the design
reports, any excess being met from project funds.
3. Institution Building and Project Support, including
community development programmes for creation of
village water supply and sanitation committees,
comprehensive training programmes and strengthening
Zilla
and
of
the
project
management.
management,
PHED
Panchayats (ZPs);
of
greater
hygiene and
creation
4. Health Communication for
community awareness and demand for
environmental sanitation.
1.3
The initial Project cost was estimated at Rs. 447.20
crores.
shared in the proportions of 78% as
from the
World Bank,
15%
beneficiary
communities.
loan from the
State
Government
and
7% by the
The
expenditure
on
the
main
components of the Project as at the end of December, 1996 was
Rs.
55.566 crores
Environmental
Recharge
and
for Water Supply,
Sanitation,
Rs.
9.7554
Rs.
Rs.
1.05 crores
crores
for
3.1029 crores
for
for Ground Water
other
components.
including software and project support totalling Rs.69.4743
crores.
5
Project
The
1.4
has
certain
which
features
unique
distinguish it from conventional water supply schemes which
are being implemented as part of Plan activity. These are the
(i)
inclusion
Participation
important
of
operation
for
supply and
environmental
latrines.
with
of
Community
management
of
the
sanitation
contribution
sanitation
environmental
and
components
by
water
including drainage
and
for
the
induction
of
the
community
component.
(ii)
Consultants
for design and supervision of the water supply
components.
and for intensive training of those involved in
the
project
for
and
development
of
basic
skills
(iii)involvement of Non-Government Organizations for evoking
community participation in the selected villages,
supervised
(iv)
a separate
not
merely
by a Consultant on Community Participation,
Project Management Structure.
1.5
The
establish
objectives
safe
water
the
Project
were
supply
systems
but
of
to
involve
to
the
community in the management and operation of these systems to
ensure
their
include
a
sustainability.
strong
element
an
development
of
sanitation
measures
of
awareness
by
the
The
other
social
objectives
and
the
for
health
and
through
a
watershed management
of
the
need
community
Health
Sanitation and Health Education programme.
6
1.6
The
induction
of
the
for
consultants
hardware
components of both design and construction supervision was
based on the conviction that the Public Health Engineering
Department (PHED) of the Government did not possess the staff
strength for this purpose. Similarly, the induction of NGOs
and the Consultant for Community Participation Management was
considered desirable because official agencies, accustomed as
they are to work in isolation. would not possess the skills
to evoke community participation.
1.7
The involvement of the community at every stage of the
water supply and environmental sanitation components is built
into the process of implementation. The design of the water
supply scheme
for
Design Consultant
Report (CDR)
A
a village is
who
first
the responsibility of the
prepares
a
Conceptual
based on a survey of the village.
Design
its current
and projected population and other relevant parameters. This
CDR is discussed with the village community or Gram Sabha,
with the active involvement of the NGO concerned, the Design
Consultant and the official agencies. The suggestions of the
community are noted and taken into account in the preparation
of the Engineering Study Report
by the PHED,
documents.
(ESR) which.
after scrutiny
becomes the basis for the preparation of bid
Similarly,
at
the
construction
stage.
the
Consultant for Construction Supervision is expected to take
7
account
into
reactions
of
the
community
with
regard
to
adequacy of quality of construction.
The
1.8
Project
is
being
implemented
in
three
Phases.
These are i)a Pilot Phase in 11 villages. ii)a Phase I in 257
villages in 10 districts
iii)
(excluding Hassan and Tumkur)
a Phase II in 932 villages in 12 districts.
and
including
Hassan and Tumkur.
1.9
The Pilot Phase is almost completed, with water supply
works having been established in 10 out of the 11 and handed
over to the communities. Environmental sanitation works have
been completed in 4 villages while work is in progress in the
7 others.
1.10
In Phase I,
contracts for all the 257 villages have
been awarded for the water supply civil works between March
and November
later.
1995.
However,
18
villages have been dropped
leaving 239 villages in this Phase. As at the end of
December 1996,
these are under construction in 218 villages.
Envi ronment a1
sanitation works are in progress
an
expected
villages.
Out
of
Rs.466.41
lakhs
for this Phase,
community
Rs.
in only 113
contribution
of
271.90 lakhs have been
contributed as at the end of January 1997.
8
implementation of the Project,
The delay in the
1.11
mentioned
factors
earlier,
have
has
been
been
a
identified
matter
of
in
Mission
the
concern.
as
Various
Report
of
September' 96 among which the institutional arrangements were
considered important.
Delays have occurred due to various reasons. In Phasel
1.12
for
example.
commence
preparation
the
from
1.4.1991
of
and were
31.1.1992 or in 38 weeks.
ESRs
was
expected to
expected
to
be
the
ready
by
But these were completed only by
August 1993. Similarly, in Phase II, the stipulation was that
40% of the ESRs of the total of 935 would have to be ready
within 60 weeks of the commencement of the assignment to the
Design
Consultant,
which
was
March
within 104 weeks. In other words.
ready by April
1995
and
the
1994
and
the
balance
about 374 ESRs were to be
balance
by March
1996.
The
earliest 10 ESRs were ready only by May 1995, much after the
contract period.
9
Chapter II
REVIEW OF PROGRESS
In assessing the
status
would
have
to
considered.
among others.
(i)
a review of delays in physical progress.
facets
(ii)
cost factors.
be
(iii)
of
the
project.
These
its
would
many
include.
components that have been delayed.
(iv) some main issues with regard to performance.
Delays in physical progress:
2.1
The delay in the implementation of the Project,
mentioned earlier.
has
factors
identified
have
September
been
1996
among
been
which
were considered important.
a
the
matter
of
in
Mission
the
concern.
as
Various
Report
of
institutional
arrangements
The Mission Report
of September
1996 concluded that while 50% of the Project implementation
period is over only 40% of the implementation in 250 villages
of Phase I has been carried out. With the Project coming to
an end by June 1999, the activity with regard to Phase II has
yet to gather momentum.
2.2
Delays have occurred due to various reasons. In Phase
II, the stipulation was that 40% of the ESRs of the total of
935
would
commencement
have
to
of
the
which was March 1994
be
ready
assignment
within
60
to
Design
the
weeks
of
the
Consultant,
and the balance within 104 weeks.
In
10
other words,
about 374 ESRs were to be ready by April
1995
10 ESRs
were
1996.
and the balance by March
earliest
The
about 156 ESRs were
ready only by May 1995. By March 1996,
completed while by December 1996 about 525 were ready. These
been
have
delays
caused
the
by
mainly
the
of
inability
Consultants concerned being able to maintain the "milestones ”
or
targets
agreements
signed
by
them.
other additional contributory factors are delays in
However,
final
the
in
stipulated
selection of water
by
monitoring
the
agencies.
official
lack
of
field
staff
and
Consultant
The
effective
source points,
delays
of
appear
also
to
by
the
have
been
tolerated since rarely has prompt a.ction been taken to review
progress,
which
identify
should
penalties,
or
have
"milestones"
of
the
stipulated
resulted
in
administrative
missing
institution
of
early
warning
action.
systems
of
monitoring.
2.3
The target dates set for completion of piped water
supply schemes and other activities are as follows 1 :
1 Extract from Form No. PPMU - 13 Summary: Project
Physical Progress for the period ending December 1996.
11
A WATER SUPPLY
FY • FY
93-94 • 94-95
Total •
Scope■
Description
FY
95-96
FY • FY
96-97 • 97-98
FY
98-99
FY
99-00
Cum
achievt
to date
(No.of villages)
Piped
Til
Pilot
[t ] ’8
:’2
To
A
:’7
:"3
257
Phase -1
:’ O
To'
0
•o'
tl‘6
0
: 135 : 97
25
: 0
0
0
0
•:“5o
200
t 327
326
32
0
0
:0‘
55
55
0
:a
Phase
2
935 T
A,___
-j.
j_____
A
( No.of villages )
Leak Repair Works
T’75
Phase -1
■t Ts
: 20'
:‘5O
55
55
:‘0
A
Phase
2
275 T
0
55
A
Ground Water Recharge
16
Pilot
T
8
( No.of villages )
8
A
142 T
Phase -1
0
0
3
6
0
0
9
0
30
30
30
30
22
0
0
0
150
150
150
100
0
A
Phase
2
550 T
A
Note: T
SAR
Target (annual) ; A = Achievements (annual)
12
B WATER SUPPLY - LABS AND EQUIPMENT
Description
■ Tota
: Scope
FY
93-94
( Labs new and upgraded )
Control
Water Quality
15
Number
: 94-95
1
6
8
0
T;
Cum
achievt.
to date
FY : FY
; FY
: FY
96-97 : 97-98 : 98-99: 99-00
FY
95-96
0
0
0
j.
A;
C WATER SUPPLY - BOREWELL DRILLING, EQUIPMENT & WORKSHOP
Total :
Scope •
Description
FY :
94-95:
FY
93-94
•
FY : FY : FY : FY ; FY : Cum
95-96 : 96-97 : 97-98 : 98-99 : 99-00 : achievt.
■
1
1
1
■
a
No.of wells* 44 0? *T
1400
1500* 1500 • 0
:A
1355
112 : 399
D ENVIRONMENTAL SAN I TAT ION
Total :
Scope •
Description
T; 0
11
f......... • a*
a
a
Phase -1
:'819“:
•0
: 0
I --
j---.
to date
•2685
I
SULLAGE DRAINAGE & LATRINE
FY
; FY
; FY
: Cum
97-98 : 98-99 : 99-00 : achievt.
: to date
FY
96-97
FY
95-96
( No.of villages )
Sullage Drainage
Pilot
FY
94-95
FY
93-94
: 0
a
5
0
5
: 0
: 0
: 0
t—
4
3
1
:"6
7135
88
725
:‘0
: O'
0
0
50
: 200
: 330
: 362
•“
T257”':tTo‘
a:
ta: 0
935
Phase -2
A;
( No.of Latrines )
Latrines
Pilot
\
: 75C
: t* 0
250
: a*
■
Phase -1
i
i
a
0
: a:
Phase -2
•7065' ta: 0
-J-
Note: T = SAR
0
194
•‘296 "T
: 0
: 0
: 0
•‘490
a
f 18€:0:tY‘0
a
500
:-A:
0
: 0
110125
6600 : 1875 : 0
1127
2236 :
0
3750"T15b00:24f50727i
-J.
3363
...... -
Target (annual) ; A = Achievements (annual)
13
E ENVIRONMENTAL SANITATION- BATHING CUBICLES
FY
96-97
FY : FY : FY
93-94 : 94-95 : 95-96
Description \ Total :
; Scope ■
FY
97-98
FY
: FY : Cum
98-99 : 99-00 \ achievt.
: to date
Bathing Cubicles & Biogas Pilot Plant
: 13
No.of BCs :3000 :t : 0
•
•
I
:A •
350
: 345
: 563
11
: 227
:
■238
I
against a target of
In the case of Phase I villages.
2.4
: 905 :
825
232 water supply schemes that should have been completed by
March 1996 none have been completed. In the case of Phase II
villages, 50 such schemes should have been completed by March
1996 but the bids for this phase are in the initial stages of
even
acceptance
in
February 1997.
In
terms
of
operational
workload this would mean that 935 such schemes would have to
be
completed
in
the
next
completion date is June 1999.
28
months
since
the
project
In assessing the implications
of this workload it would be necessary to keep in mind the
time
slots
required
for
the
essential
preparation of Conceptual Design Reports,
Appraisal programmes.
J
preparation of
the
processes
Participatory Rural
Engineering
Reports,
finalization of Engineering Study Reports,
for bids
and awarding of works.
and
for
of
Study
calling
completion of the
works. The pressure on the management of the project would be
evident.
14
Costs and their implications:
The delays have also resulted in escalation of costs
2.5
of the project.
It would be
in
relevant.
this context.
to
consider the per capita costs for the civil works part of the
water supply component, being the main component in terms of
investment,
rather than total outlays.
The per capita costs
665 on the basis of
of this element for Phase I averaged Rs.
the lowest bids obtained as compared to Rs. 296 on the basis
of the SR of 1992-93 unloaded for factors such as investment
and inventory costs of materials,
insurance.
etc, Rs.
405 on
the basis of the SR of 94-95 and Rs. 593 on the basis of the
market
for
rates
labour
and
materials
of
94-95.
The
per
capita costs for Phase II estimated in the Mission Report of
September 1996 is Rs. 786. Consequently,
the said Report has
concluded that the Phase II water supply cost estimates would
be
about
consequence.
that
130
per
cent
above
the
SR
the total outlay being fixed,
the number of villages
estimate.
As
a
it is envisaged
included in the Project would
have to be reduced from 1200 to 850. In other words. Phase II
which was planned for
950 villages would now include only
about 600.
2.6
At this point it would be relevant to consider the
bids obtained recently for such works
in the case of some
Phase II villages for Mysore district Slice I. The per capita
15
cost in these villages on the basis of the SR of 95-96 is Rs.
368 while the per capita cost on the basis of the bids worked
out
on
rates
market
plus
overheads
stipulated
profit
and
works out to Rs. 523, or an excess of about 42 per cent over
it would permit the
If this trend were to continue.
the SR.
number
inclusion
of
a
larger
However,
if
the
Project
has
decisions
stipulated period.
of
in
Phase
II.
completed
within
the
villages
in
villages
to
be
on the number
of
this Phase and their identification would have to be taken
most expeditiously.
2.7
The high
to
attributed
per
of
capita costs
conditionalities
the
Phase
that
were
are
I
rightly
imposed with
regard to pre-qualification of contractors and the grouping
slices.
in large
of works
This
obviously resulted in
elimination of effective competition. However,
experience,
smaller
the
procedures
packages
of
5
to
have
been
10
contiguous
the
based on this
to
permit
villages
with
changed
corresponding reduction of the estimated costs per slice. and
adoption of post-qualification in place of pre-qualification.
The new approach has resulted in more competitive bidding as
indicated by the fact that for 74 villages of Phase II there
have been
67 bids
as
against 13
received
for all
the
257
villages of Phase I.
16
Delayed components:
2.8
(a)
components relating to
The project includes important
(HSHE),
Education
Hygiene
and
Sanitation
Health,
(b)Ground Water Recharge,
(c)
Water Quality Surveillance,
and
(e)
integral
Leak Detection and Repair,
(d)
PHED.
Equipment
for
the
of
the
project
parts
Water Quality Monitoring and
but
progress in their implementation.
were
These
envisaged
little
been
has
there
as
The table above indicates
of stipulated targets.
the slippage in achievement
2.9
The
particularly
delay
in
the
unfortunate.
of
implementation
Conceptually/
it
is
the
an
HSHE
is
integral
sanitation component with a strong
part of the environmental
achievement of specific
health communication element for
of personal and family
focus areas such as (a) promotion
(c) education on
hygiene. (b) promotion of latrine usage,
(d) management of household water
environmental hygiene,
resources and the like. Logically, this component should have
been included in the community participation
exercises
for
maximum impact.
2.10
The
objective of
the
component
relating
to
ground
water recharge is to conserve rain water in situ in order to
enhance recharging of groundwater sources. This is important
for the long term sustainability of the water supply project
in terms of adequacy.
The implementation of this component
17
has
Mission
the
and
faltered,
As
indicated the main reasons.
September
of
Report
1996
conceptual
discussed later,
problems have hampered the implementation of this component.
quality
water
and
monitoring
quality
Water
2.11
surveillance are related elements. Currently, such testing is
either
as
response
a
of
a
strengthening
of
the
at
the
activity
is
the
the
PHED
and
the
Welfare
for
ensuring
main
infrastructure
in
Health
of
or
situation
The
project.
commencement
Directorate
ep i demi c
an
to
Family
and
continuous testing of water quality.
2.12
Leak detection surveys and repair work are intended to
prevent wastage and loss of drinking water.
Leak detection
followed by preventive measures would considerably
improve
maintenance of the systems and enhance water availability. It
includes both building up expertise and providing necessary
equipment in the PHED and ZPs.
2.13
For
more
effective
implementation
of
the
borewell
programme which is an essential element of the water supply
component, it is proposed to provide equipment to the PHED.
The
equipment
among others.
rigs.
that
was
proposed
to
be
India Mark 3 hand pumps.
one hydrofracturing
rig,
provided
included.
6 borewell drilling
10 yield testing units
for
borewells, 3 well logger units for geophysical investigations
18
and strengthening and upgrading the PHED workshops. The rigs,
a particularly vital element.
action to procure them.
have yet
to be
after an abortive
acquired and
start.
has
been
recently recommenced.
Some main issues with regard to performance:
The delays that have occurred in the implementation of
2.14
various components of the project have been briefly indicated
above. The key issue is how the target date of June 1999 for
In this
the completion of the project could be maintained.
context,
it would be relevant to recall that
supply schemes would have to be completed.
can
at
best
be
said
to
have
just
(a)
935 water
for which action
commenced.
(b)
major
components involving community participation such as the HSHE
and
development
watershed
have
yet
to
be
instituted.
(c)strengthening of the infrastructure of the main agencies
has to be ensured.
and
(d)
an efficient MIS has yet to be
devised and implemented.
2.15
In evaluating the current situation with a view to
recommending possible structural changes that could enhance
operational
efficiency.
institutional
structure
the
of
fact
the project
that
the
current
is
quite
different
from what government departments are used to.
would have to
be kept in mind.
19
Chapter III
ORGANIZATION FOR PROJECT IMPLEMENTATION AND
MANAGEMENT - A REVIEW
for
structure
organization
The
and
implementation
management of the project is unique since the conventional
structure
departmental
distinctive
The
adopted.
involvement
supply
government
has
not
been
are
(a)
the
high
features
non-government
of
organizations
(NGOs)
in
the
of
the
the
project.
(b)
involvement
in planning.
operation
and
management
implementation
community
within
of
and environmental
for
consultants
specific
sanitation.
water
induction
of
(d) establishment
of'
(c)
elements.
of
the
exclusive project cells in the PHED and in the ZPs and (e)the
direct association of other departments of government such as
the
development
as
partners.
creation of an Empowered Committee,
(g)
establishment of a
health
watershed
and
(f)
Project Planning and Monitoring Unit (PPMU) for management of
the project. The functions of these organizations are briefly
indicated here and the role they perform is appraised.
The Non-government organizations:
3.2
The involvement of NGOs is at the district level for
organizing
assisting
in
Sanitation
Committees
community
participation
the
(VWSC),
Water
Village
and
Supply
monitoring
implementation
of
of
project.
and
aspects
the
undertaking promotion of latrine and health communications.
20
An NGO in each district is also proposed to be involved in
the watershed development activities.
of
appointment
official
the
agencies
in
communities
at
NGOs
the
activities
and
not
to
ability
that
is
level.
district
have
do
these
the
The rationale for the
enthuse
NGOs,
the
they.
that
would provide devoted, dedicated service. The PPMU, according
to current procedure, selects and appoints the NGOs.
3.3
The role of the NGOs is separately discussed. However,
a few observations at this point would be in order. It would
be difficult to state categorically that efficiency or role
performance has necessarily been better in the case of the
NGOs. There are.
of course. exceptions but by and large the
NGOs did not seem to reach the expectations expected either
the unfortunate emphasis on
in impact or involvement. Also,
collection of the contribution by the community, particularly
after
the
recent
decision of
a
part being
first
obtained
upfront, has skewed their role from motivators and catalysts
of social change to collectors of funds. The perception that
this
is
their
despite
responsibility.
primary
being
it
clearly that of the VWSC and the community at large. has in
many
cases
resulted
in
the
objective
of
their
very
involvement being lost. In this context. the role of the CPA
Consultant
vis-a-vis
the
NGOs
would
call
for
serious
attention. The mechanisms of induction of the NGOs and of the
CPM Consultant need review.
21
3.4
The
measure
seems
operational
experience
to
the
of
induction
with
association
when
that
indicate
of
in
large
such
close
NGOs
is
there
with
government
financial
implications, the NGOs often seem to acquire the character of
extensions of government thus losing their vital advantage of
innovation or independence. As a consequence, they are unable
to perform their primary roles
demonstration
of innovative
and critiques of official programmes.
The Village Conniunity:
The
3.5
community
associated with those
at
village
the
elements
level
actively
is
of the project that
of
are
direct interest and benefit to it. The community is expected
to
be
stages
consulted through participatory meetings
such
as
when
the
Conceptual
Design
at
various
are
Reports
prepared, before the Engineering Study Reports are finalized.
during construction of
sanitation
for
works
the water
ensuring
environmental
supply and
adherence
and
design
to
specifications. and later for the operation and management of
the
water
itself.
supply
official
The
the
agencies.
consultants and the NGOs are together expected to be actively
community.
associated
with
the
village
responsible
for
the
contribution
that
the
VWSC
is
community
is
The
expected to make of 30% of the costs of the sullage drainage
works and for the entire costs of operation and maintenance
of the water supply works.
22
In
3.6
most
are
committees
these
cases
of
aware
the
project and are articulate about their expectations from it.
the Project Cells in the districts and some of the
However,
NGOs seem to have misconceptions of the role of the VWSSC. In
particular,
in the project
officials
are
districts
the
in
generally skeptical of the need for and the benefits of the
involvement of what are viewed as "non-official” elements in
the planning and implementation of such a project. One reason
for this is that water supply schemes have been implemented
all
these
years
and
continuing
are
0
vital
in
involvement
emphasis
on
community
relating
to
environmental
element.
even though in funding the largest.
sanitation.
as
for the special
The rationale
normal departmental activity.
implemented
be
to
the
programmes
supply
water
being just
a
route for the former is rarely appreciated.
Consultants:
3.7
Consultants
water
supply
are
employed
(b)
schemes.
(c)community
participation.
communications.
(f)
for
(a)
the
of
of
construction.
(d)training.
(e)health
supervision
leak detection.
designing
impact assessment of
(g)
ground water recharge and (h) special studies. The rationale
for
the
appointment
of
consultants
agencies
do
not
(i)official
expertise
have
would
the
for a project of this nature
seem
necessary
to
be
staff
or
and that permanent
additions to staff for a project would not be necessary or
23
desirable.
nor
(ii)
these agencies have neither the experience
sensitivity
the
but
latter
community
supervision
and
guidance
need
sustaining
(iii) NGOs are ideal agencies for
involvement in the project.
the
and
evoking
for
and
(iv) consultants would provide reliable and dedicated service
which
not
would
be
generally
available
from
official
agencies.
3.8
The
detection.
consultants
for
impact assessment
health
communications,
leak
of ground water recharge and
special studies have not yet been appointed. Reviews of the
roles
of
the
consultants
for
design
and
construction
of
the
supervision are discussed separately.
A
3.9
separate
review
of
the
role
Training
Consultant has not been made since the Panel is in general
agreement with the assessment made in the Mission Report of
September 1996 1.
It must. however. be emphasized that it
would be necessary to orient the engineering staff of the
Project Cells in the districts with regard to the special
features of this project and the role of the NGOs and the
consultants and the need for constant interaction with them.
Also, their responsibilities in relation to the environmental
sanitation programmes would need to be clearly indicated to
i
Page 9 and Attachment 3, Report of the World Bank Mid
Term Review Mission, September 1996.
24
there is
the Cells through training programmes. At present.
an impression that this activity is that of the NGOs and that
the Cells’ responsibility relates primarily to water supply.
largely due to the environmental sanitation component being
on the water
made dependent
also
is
It
supply component.
noticed that the staff at the district level of consultants
for
design
"engineering”
supervision
construction
and
approach.
have
a
purely
Interaction with the community and
the district NGO is often missing or slight
resulting in
dilution of one of the major objectives of the project. It
would be desirable to train or orient these staff so that
their role is understood and the other facets of the project
Such
taken into account in the performance of their role.
would
training
also
expose
this
which
staff,
contractual stipulations is generally raw.
despite
to the realities
of rural needs and the need to trim their expertise to ground
situations both in engineering and societal terms.
World Bank Cell in PHED:
3.10
Special units have been established in the office of
the Engineer-in-Chief, PHED and in each of the 12 districts
for management of the project activities.
The unit in the
PHED is generally referred to as the World Bank Cell,
and those
in
the
districts
as
World Bank
Project
PHED
Cells.
Though closely associated, it would be convenient to consider
these separately. This section relates to the Cell in PHED.
25
3.11
The
former
is
headed
while
the
latter
are
in
Engineers.
Executive
of
charge
Engineer
Superintending
a
by
Necessary staff has been provided to these units.
3.12
The main functions of the PHED Cell are to review and
monitor
all
engineering
aspects
and
technical
provide
to
support to the ZPs in engineering aspects of the project 2. It
also
has
for
respons ibi1i ty
regarding awarding of
contracts
for
of
approval
and
The
responsibilities
water
supply
schemes.
sanitation
environmental
review
schemes.
leak detection and repair work and for inspection of quality
of
work
is
assigned to
responsibility
for
cell.
the
The
drilling
borewell
PHED
also
has
and
water
quality
the
monitoring.
3.13
The
Engineering
procedures
Study
for
review
and
require
that
the
adopted
Reports
approval
of
Divisional
Superintending Engineer of the PHED reviews them on receipt
from
the
district
Project
Cell
and
either
seeks
clarifications or modifications or sends these on to the PHED
for
further
consideration
and
approval.
This
intermediate
level of technical scrutiny is no doubt useful but delays
2 The duties and responsibilities of the Cells, the PPMU
and other agencies and departments are fully described in
the Staff Appraisal Report of March 1993. Those of the
World Bank Cell in PHED is indicated on Page 77, Annex 2,
SAR 1993.
26
through personal
could be avoided
discussions
rather
than
’’back references”.
Inspections have been carried out by the Engineer-in-
3.14
Chief of the PHED of works relating to both water supply and
environmental sanitation. The inspection notes of the E-in-C
indicate. and confirm the view of the Panel, that quality of
construction of water supply works is at best equal to that
in other departmentally implemented water supply schemes and
that.
in
some
cases,
expected. This would.
effectiveness
the
quality
in fact.
of
was
not
the
standard
imply that a full review of
Consultant
the
of
for
construction
Supervision would be necessary which would ensure that in the
next phase
attained.
quality
beyond
standards
are
conventional
In this connection it would be relevant to note
the actual work is most
that
the
contractors
3
often carried out by local
. A mechanism for follow up of the observations
made and instructions issued must be established. The World
would
seem
desirable
review
the
Consultant
for
to
the
observations
in
Otherwise,
as
usually
to
require
to
react
construction supervision
periodic
It
PHED would need to develop such a procedure.
Bank Cell,
meetings.
happens.
whether corrections have been made in the field and at the
3
These comments are based on the inspection notes of the
Engineer-in-Chief, PHED for the period June 1996 to
January 1997.
27
o
of
cost
the
agencies concerned/
namely the
consultant
and
contractor/ would not be known.
The links between the PHED/ the PPMU and the Project
3.15
Cells in the districts are considered separately.
World Bank Project Cells in the districts:
Cells
3.16
have
been
in
established
each
of
12
the
districts for overseeing the implementation of the project.
These
cells/
generally
referred
to
as
World
Bank
Project
Cells/ are part of the ZP structure and work under the Chief
Executive Officer of the ZP. Their responsibilities relate to
water
supply and environmental
sanitation and
coordinating
the work of the NGOs and consultants.
A plain reading of the SAP and the reports of the
3.17
Missions that preceded it would seem to indicate that it was
originally intended that the regular Engineering Divisions of
ZPs
the
would
be
operationally
implementation of the project.
level project divisions
referred to)
each
4
of
the
In March
19934/
the
for
responsible
18
district
(or cells as they would be hereafter
were established on the basis of two cells in
districts
of
Bangalore
(Rural)
located
The Government Orders relating to these Cells
following:G.O. RDP 884 (2) 91 of 23.3.1993
a)
G.O. RDP 254 PPM of 31.1.94
b)
G.O. RDP 139 PPM of 12.6.1994
c)
at
are the
28
Bangalore
Sagar,
and Ramanagaram,
Dakshina
Shimoga
located
Kannada
located
at
at
Shimoga
and
Mangalore
and
Udipi,
Gulbarga located at
Belgaum located at Belgaum and Chikodi,
Gulbarga and Yadigir, Raichur located at Raichur and Koppal,
and Bellary located at Bellary and Harappanahalli
each in the districts of Mandya and Bidar.
and
one
In March 1994,
when the project was extended to the districts of Tumkur and
Hassan,
two
such
cells
were
in
created
each
of
these
districts located at Tumkur and Madhugiri in Tumkur district
and Hassan and Channarayapatna in Hassan district. The staff
sanctioned
for each cell
consisted of one
following- executive engineer
accounts superintendent.
(EE) ,
of
assistant
first division clerk.
each
of the
engineer(AE),
typist.
peon.
driver. Thus, by early 1994, there were 22 such cells.
3.18
The
intention
was
clearly
to
locate
these
cells.
following the practice with regard to the regular engineering
divisions of the ZP,
one at the ZP headquarters and one at
another convenient location. This was evidently on the basis
that the project villages were dispersed over the district.
However, in July 1994 these 22 cells were reduced to 12 or to
one in each of the project districts. The reasoning was that
environmental
the
sanitation
works
required better supervision and that this would be possible
if
an
assistant
executive
engineer
(AEE)
was
part
of
the
district cell. While creating the posts of one AEE in each
29
o
district for the project. the cells were reduced to one each
The staffing pattern of the district
per project district.
cell
was
EE,
one
one
AEs/JEsf
3
AEE,
one
accounts
superintendent, 2 drivers. 2 first division clerks, 2 typists
and 2 peons, except in Mandya and Bidar districts where there
were only 2 posts of AEs/JEs. The cells in ten districts. in
the
lost
effect
advantage
of
and
dispersal
post
of
unable
to
one
technical supervision of EE.
3.19
district
The
Cells
Project
clearly
are
manage the varied elements of the project or coordinate them.
Generally
speaking.
management
and monitoring
being
of
instead
for
a
focal
satisfactory
point
for
implementation.
they have tended to concentrate on the water supply scheme.
with minimal interaction with the community. the NGOs and the
consultants.
Their
capacity
has
inspections
for
been
diminished resulting in poor supervision of the consultants.
In a few cases. there appears to be an impression that the
cells / of
the
responsibility of ensuring performance with quality.
While
presence
consultants
of
absolves
the
the major responsibility is doubtless that of the NGOs and
consultants
it
would
supervision is reduced.
be
most
unfortunate
if
official
The long term implications both in
terms of sustainability and accountability are obvious.
30
Major associated Departments:
The departments associate'd with this project and with
3.20
specific responsibility for important elements are the Health
Department
and
the
Cell
Development
Watershed
the
of
The Health Department
Watershed Development Programme.
is
responsible for the implementation of the HSHE component in
Shimoga district.
other
responsible
The
earlier.
is
watersheds
for
established under
this
be
have
still
Development
Cell,
as
mentioned
development
of
micro
for
sustainability of the water
sources
In the
appointed.
to
NGOs
districts.
Watershed
action having yet to be initiated.
project.These aspects are discussed separately.
Empowered Conmittee:
An Empowered Committee was established at State level'7
3.21
for ensuring quick decisions being taken on matters relating
to
the
project.
The
Committee
is
vested
with
almost
all
powers of government thus avoiding the conventional and slow
process
of
Secretariat
references
level.
to
In fact.
various
the
departments
at
the
only restriction regarding
powers is when plant and machinery worth over one crore is
5 G.O No. RDP 45 RWS(2) 93 dated 10th February 1993. Under
G.O RDP 72 PPM 94 dated 17 June 1994 the powers of the
Committee were clearly defined. By an order dated 3rd July
1995 the inclusion of Secretary II of the RDPR Department
as a member was notified. It was clarified under orders
dated 30th May 1995 that the assignment of powers to the
Empowered Committee did not preclude decisions being taken
by the Heads of Departments concerned under the inherent
powers vested in them.
31
sought to be purchased in which case the matter has to go to
the
Cabinet.
for
responsibility
a
the
implementation
and
the
of
The Mission Report of September 1996 had suggested
project.
that
overseeing
powers
full
the Committee has
Otherwise,
Sub-Committee
of
the
Empowered
Committee
could be
established for expeditious clearance of many matters.
more powers
has not been agreed to. Alternatively,
however,
This,
/
could be delegated to Sub-Commit tees with reporting of use of
these powers to the Empowered Committee.
This
is discussed
later.
Project Planning and Monitoring Unit:
3.22
The Project Planning and Monitoring Unit
(PPMU)
was
established in March 1993 at State level for management and
monitoring the project
6
.
It is expected to provide guidance
to the implementing agencies and ensure maintenance of high
technical standards and the attainment of the objectives of
the project.
It
acts
as
the
secretariat
to
the
Empowered
Committee.
3.23
The PPMU is not a separate department of government
and the Director, PPMU is not declared as a Head of Department
nor have the powers of a Head of Department been conferred.
It is a functional wing of the RDPR department and is the
secretariat of the Empowered Committee.
6 G.O. RDP 884 RWS (2) 91 of 6th March 1993
32
3.24
The
functions
duties
and
March
in
the
SAP
of
responsibility
for
the
successful
indicated
project.
obtaining
the
of
1993
PPMU
7
of
consultants
for
been
overall
The
implementation
the adherence to agreed procedures.
approvals
have
of
the
selection and
the
hardware
components,, selection and appointment of consultants for the
software components and of the NGOs and ensuring coordination
among them would lie with the PPMU. In general, the planning.
coordination, management and monitoring of the project is its
prime responsibility.
7
Component 4, Annex 2, Pages 73 - 76, SAR March 1993
33
Chapter IV
ADMINISTRATIVE PROCEDURES
management
followed
the
of
in
project
are
quite
procedures
of
the
Bank
decisions
have
the
Bank’s
reference.
tender
consultants
and
imp1ement ing
departments
and
the
for
the
different
from
those
projects.
The
all
major
that
require
approval.
contract
like.
similar
of
implementation
the
evolved
procedures
administrative
The
This
and
almost
from
documentation.
of
choice
of
new
procedure
is
often
small
quite
terms
draft
to
the
procedural
defects have caused delay in obtaining approvals. The review
of the Bank’s procedures are beyond the brief of the Panel
and.
therefore.
no views
are expressed except to
say that
these procedures would certainly bear review.
4.2
The
firm
adherence
to
currently stipulated should be
the
Bank’s
strictly
procedures
followed.
In
as
many
cases, delays have occurred because of deviations from these
procedures which were unacceptable to the Bank.
4.3
The responsibilities of the various official agencies
involved in the implementation of the project.
as specified
in the SAR have determined the administrative and accounting
34
o
1. The procedures governing
procedures that are in place
processing
the
reporting
from
themselves.
earlier.
various
proposals.
of
and
between
various
levels
seem
implementation.
accounting
of
to
The
be
issues,
not.
as
discussed
for evaluating the reasons
No major
changes
are
by
expeditious
for
deterrent
organizational
are more relevant
slow implementation.
a
do
or
for
suggested with
regard to procedural arrangements. However, some issues would
need to be attended to. as discussed further.
The Director, PPMU is a part of the secretariat and
4.4
not a head of department.
Nevertheless,
the Director does
perform many functions similar to what a head of department
would do.
including management of routine functions such as
touring, etc. At present, all matters require approval of the
Secretary,
RDPR.
This casts a burden on the system totally
out of proportion to the importance of the issues.
It is
suggested that the Director, PPMU be delegated the powers of
a major head of department even though not
designated as
such.
4.5
All payments not covered by Letters of Credit
(LOC)
that have to be made by the Director, PPMU such as payment of
1 For example, the responsibilities of the PPMU are
indicated in Pages 73 to 75 and 104 of the Staff
Appraisal Report, March 1993. Similarly, for the PHED
and the Project Cells, responsibilities are at Pages 77
and 78 of this document.
35
bills of NGOs are now paid through the Well Boring Division
of the PEED. This procedure was evidently adopted before the
system of exclusive bank accounts that could be operated upon
by
project
designated
instituted.
was
authorities
implementing
It casts an unnecessary accounting load on the
PEED and has built in elements of delay. It is suggested that
a bank account be permitted to be opened in the name of the
Director^
PPMU
as
in
other
casest
with
allocation
of
appropriate funds.
A special accounting system has been developed for
4.6
this project to enable the expenditure to be distinguished 2.
The main feature of this system is that it authorizes bank
accounts being opened in favour of the Executive Engineers of
the Project Cells and that funds released to them through
Letters of Credit would be credited to these bank accounts.
For a large part of the expenditure initial outgo
through
the
conventional
Treasury
is not
though
system.
reconciliation of accounts with the LOC in the books of the
Treasury would still be necessary. No particular difficulties
are reported in
operating this
audit issues later.
system.
However,
to
avoid
the pace of reconciliation of accounts
must be monitored.
2 The procedure is specified in GO No. RDP 122 PPM 93
dated 27th April 1995
36
4.7
The delegation of enhanced general financial powers to
Heads
of
and
Departments
in
indicated
7
FD
No.
order
government
departmental
other
officers
is
of
16th
TFP
91
September 1991. More pertinent to the project would be the
delegation of enhanced powers to officers of the Public Works
and Irrigation Departments specified in order No. PWD 1 FCR
93 of 15th December 1994. As indicated in the latter order.
water
supply
drainage
and
under
included
are
works
"irrigation” for purposes of exercise of the powers.
The
4.8
need
Engineer-in-Chief,
for
and
PHED
to
the
charge
of
of
further
powers
other
officers
in
delegation
implementation of this project has been under consideration.
it is clearly not the want of powers
TVs emphasized earlier.
that had contributed to delays in implementation. A scrutiny
of
the
powers
specified
in
the
Government
Order
of
15 th
December 1994 indicates that it invests sufficient authority
in the PHED. Therefore, it would seem that further delegation
of
powers
solely
expediting
for
implementation
are
not
necessary.
4.9
In principle,
powers
liberally because
delegate
be
undesirable
to
extensive
delegations
reduce
would
it
the
essential
levels of scrutiny of proposals which have large
financial
implications.
Also,
except
in
the
case
of
mega
37
projects
of
special
character,
it
would be undesirable to
delegate special powers unique to one project.
4.10
However, delegation of some elements of administrative
functions now performed by the Empowered Committee could be
considered which would help in quicker decision making. It is
recommended
that
two
Sub-Committees
of
the
Empowered
Committee could be formed with the following functions
a) A Management Sub-Committee of the Empowered Committee
could be constituted to perform, by delegation by the
Empowered Committee, certain functions of the latter.
These could include matters which are mostly concerned
with operational issues and now included in G.O. RDP
72 PPM 94 of 17 June 1994. These are (i) finalization
of villages, (ii) finalization and approval of action
plans of villages/districts, and (iii) purchase of
vehicles. In general, this Sub-Committee could deal
with all matters that do not involve substantive
matters of policy.
b)To render monitoring of the project more effective, a
Monitoring Sub-Committee of the Empowered Committee
could be constituted. This Sub-Committee should have a
regular schedule of monitoring of project activities,
quantitative and qualitative, and a system of follow
up of the results of monitoring.
4.11
The advantage of forming these Sub-Committees would be
that they could meet more frequently since a smaller number
of officers would be involved. The decisions of these Sub
Committees
would
have
Committee.
The
overall
reported
to
the
Empowered
responsibility
of
the
Empowered
to
be
Committee would not be reduced by this arrangement.
38
4.12
More
frequent
meetings
the
of
Empowered
Committee
would also go a long way to inculcate a sense of urgency in
the project agencies at all levels.
dealing
with
policy
issues
Its main role should be
and
ensuring
effective
coordination between departments.
39
Chapter V
PER CAPITA COSTS
The per capita costs of the water supply component
provide an insight of the pricing mechanisms that operate in
this
The
project.
determine
the
assessment
of
per
capita
costs
number of beneficiary villages that
a
also
given
level of funding can sustain. The assessment and control of
per capita costs would, therefore. be an useful exercise and
assist in the optimum application of the funds available for
this component of the project. Also, an evaluation of the per
capita costs
of the water supply component of the project
would be necessary for a realistic assessment of the scale of
the project in terms of the number of villages that could be
covered in the period available for completion.
5.2
For an urban or rural water supply.
apart from the
approximate total cost, the unit cost for comparison would be
the per
capita
cost of providing
the
desired quantity of
potable water to the beneficiaries. This unit cost would be
computed when the water supply scheme is surveyed,
estimated and project report prepared.
designed.
On the basis of the
known present population or the projected population at the
end of design period the per capita cost is
calculated and
compared with an estimated unit cost to enable an investment
decision to be taken.
40
5.3
when
Normally, the SR of the PHED applicable to the period
the
water
supply
scheme
is
prepared
is
taken
into
account in preparing the estimates for the scheme. The SR for
each year includes the rates for labour, materials. finished
items and lead and lift included in it.
For this project.
however, the procedures were modified at the instance of the
World Bank in as much as the SR was not adopted in toto in
preparation
estimates
whereas
rates
estimates.
Under
the
were prepared adopting
the
for
of
of
cement.
the
year
steel,
of
pipes
revised
SR
for
a
and valves.
preparation
of
the
procedure.
few items
etc.
market
estimate
were
adopted. For purposes of evaluation of the bids received and
for purposes of comparison of the bids. the SR was taken into
consideration for a few items while the difference in rate
for steel and cement. pipes and valves etc. compared to the
market rate prevalent at the time of bid evaluation was built
in. The estimates derived on this basis would obviously be
higher than that on the basis of the SR or the sanctioned
estimate. In addition. derived rates for various other items
such as insurance.
investment charges etc were taken into
consideration. This procedure of adoption of the SR combined
with derived rates was adopted in contrast to what the bidder
adopted which
was
market
rates
for
all
materials.
which
constitute about 60% to 70% of the total cost.
41
In accordance with this procedure. the unit cost for
5.4
Phase I villages works out to about Rs.300 per capita. This
per
adopted while working out
capita cost was
the project
cost in the SAR of March 93. An additional provision of about
35% to 40% was made to cover contingencies and escalations.
the unit cost was
With the latter also taken into account.
computed at about Rs.400 to Rs.420 per capita.
Against this estimated cost, when construction tenders
5.5
after pre-pre-qualification were
called
in
evaluated
1994,
and approved for 257 villages of Phase I, the total cost came
to Rs.76 crores against the estimated cost of Rs.29 crores.
is
This
estimated at
a per capita cost
of Rs.
786.
Since
these tenders are eligible for price escalation which would
be about 15%, ’the unit cost would rise to Rs.900 per capita
on
the
basis
of
the
1991
population
and
Rs.750
if
the
population of 2011 is taken into account. This means that the
project cost has gone up by almost two and a half to three
times
i
5.6
The project cost as indicated in the Mission Report of
September 1996
crores)
for
2
the
provides Rs.
1200
129 crores
villages.
With
(Rs.100 + Rs.29
provisions
for
1 The calculation is based on the information in Para 5(i)
and
Attachment 2 of the Mission Report of September
1996.
2 Attachment 2, Mission Report of September 1996
42
contingencies and escalation also taken into account. the net
amount would be Rs.180
crores.
this,
Of
Rs. 90
is
crores
committed for 257 villages of Phase I, leaving a balance of
only Rs.90 crores for the balance 950 villages. This will not
be sufficient even for about 350 to 400 villages if the per
capita cost of the 257 villages of Phase I of about Rs. 900
were to persist even in the tenders for Phase II villages
since the latter tenders are being floated about two years
However,
later.
if
trend of
the
lower
costs
capita
per
noticed in the tenders obtained for some Phase II villages
were
to
continue.
the
number
of villages
be
could
that
benefitted for a fixed quantum of investment would increase
2
.
However, if the number of water supply schemes in Phase II
that
would be
dependent
on
surface
water
is
taken
into
consideration. the per capita costs would increase. in which
case the number of villages would have
to be restricted.
Therefore, if the original targets of the project are sought
to be retained.
it would imply that additional funds to an
extent of Rs. 180 crores would have to be found or the scale
of the project curtailed to about 750 villages.
5.7
The
per
capita
costs
applicable
to
this
project
indicated above must be compared with the corresponding costs
3 The trend in the per capita cost obtained in the tenders
floated for Phase II has been commented upon in
Chapter II. The average per capita cost in the case of
some Phase II villages of Mysore district is about
Rs. 523 while that for Tumkur district is about Rs. 584.
43
the ESRs prepared by the Design Consultant from the point of
view of costing.
5.11
been
The expectation that a higher unit
offset
by
better
much
of
quality
cost would have
work
is
also,
unfortunately, not met. Nor has the time table been adhered
to. All the major contractors of the
18
slices of Phase
I
have missed all the mile stones so far with no valid reasons.
other than internal deficiencies.
5.12
It
is
learnt
that
the
PRE
SR
for
1996
97
has
recently been updated as a result of which they will become
costlier by about 15% to 20% over last year rates.
or about
40% over the base year 1992-93.
Since the long term implications of the cost factors
5.13
are
important
for
all
such
water
supply
schemes,
an
analytical review of the system of costing is suggested. This
review could be done by.
(a)
comparing the costs of samples of works under ARWS
and NRWS schemes prepared adopting the SRs of 9293, 93-94, 94-95, 95-96 and 96-97, taking into
account the SPD rate for materials or quotation
rates for non covered items with
(b)
a similar comparative study of one or two estimates
of 2nd phase villages from among those prepared by
NIDC and by Kirloskar consultants to determine
costing of all parameters.
46
o
In
5.14
computing
the
relative
assessed costs of uncovered services
this
purpose,
taxes.
insurance
for
costs
like
etc., which are being taken into account by major contractors
and
stipulated
as
in
Bank’s
the
conditions,
unlike
the
practice in departmental execution or the piece work system,
could also be taken into account.
5.15
The pre-qualification procedure has been given up and
post - qualification is now adopted.
Packages are now being
formed on the basis of a minimum Rs.50 lakhs estimate and may
consist of a maximum of about four to five villages.
cases
of
surface
sources
being utilized.
the
costs
In rare
for
a
single village may exceed rupees one crore. It would be ideal
if packages are as small as possible to include just two or
three villages but administrative costs would tend to rise if
this
practice
is
adopted.
obtaining maximum benefits
A
reasonable
balance
between
of smaller packages which would
render the process more competitive and administrative costs
would have to be
struck.
Nevertheless,
the adoption of as
small packages as possible is suggested.
47
o
Chapter VI
COMMUNITY PARTICIPATION ACTIVITIES
Community participation activities (CPA) are a central
distinguishing
this project.
part of
it
the
of
from most
other water and sanitation projects undertaken by the state.
for
Although CPA accounts
only
1.5%
of
total
the
project
cost, and, indeed. all of the institution building and health
communication
activities
(which
include
CPA)
together
constitute only 4.6%,
these ’’software” components are a key
part of the project.
Their effective delivery is
essential
for planning of project activities. and their implementation
and sustainability.
The objectives of CPA in this project are four-fold:
6.2
(i)
to ensure involvement of local communities
in planning
and supervision of the water supply. environmental sanitation
and
habitat
development
facilities;
formation of local level institutions
and
Sanitation
responsibility
Committees)
which
(ii)
facilitate
to
(Village Water Supply
will
take
full
assets
for operation and maintenance
of
the
fixing and collection
of
the water
created
(including the
tariff);
(iii)
to effectively communicate the message of and
arrangements for community cost sharing equaling 30% of the
capital cost of the sullage drainage facilities; and (iv)
to
48
create a sense of ownership among the communities who will* be
the users of the assets created by the project.
6.3
CPA
to
is
planning.
participatory
place
take
in
project
three
implementation,
and
stages:
operation
/
maintenance. Non governmental organizations are envisaged as
the key agents motivating the communities in the villages in
the
project
twelve
to
districts
participate.
They
are
expected to be supported by a CP management consultant whose
task
is
to
assist
in
PPMU
the
management
overall
and
Sanitation and
reporting of CP activities as well of Health,
Hygiene Education (HSHE) activities. in coordination with the
HSHE consultant.
6.4
The incorporation of CPA into government programmes is
relatively
new
in
the
state
and
in
the
RDPR
ministry.
Therefore it is worth pointing out some of its implications,
both positive and negative.
effectively.
genuine
On the positive side.
when done
can
mobilize
community
participation
communities to be fully involved in planning, monitoring and
implementing
a
programme.
This
in
turn
makes
government
staff, contractors and others more aware and accountable for
their
performance.
thereby
raising
the
efficiency
and
effectiveness of the services delivered. Both the quality and
the cost of the work done can be positively affected.
This
does not mean that the interactions between the community and
49
tensions
and
process
of
community attempting
to
be
smooth.
frictions
caused
by
the
by the
i.e. z
providers
service
the
be
always
participation itself,
hold
may
will
personnel
project
responsible
There
very
cost
the
for
and
quality of the services. But this is an unavoidable part of a
process that can in the end contribute considerably to the
programme’s effectiveness.
6.5
However, there are also some inherent difficulties in
CPA
incorporating
programmes.
The
first
is
that
effective
government
of
setup
current
the
into
CPA
requires
all
parties to acknowledge the rights of communities to have
in
significant
voice
particularly
difficult
for
government
take kindly to questions from below.
levels
of training
of project personnel
can
be
personnel
who
are
and do not
chain of command.
accustomed to a hierarchical
and continuing process
This
decisions.
project
with
a
It requires an initial
of
all
aim of building
the
and orientation
the
correct attitude and mindset about the meaning and importance
of CP.
6.6
In
the
absence
of
such
considerable
misunderstanding.
meaning
objectives
and
of
even
confusion.
participation
can
be
about
the
there
training,
itself.
Common
misunderstandings include the following:
participation means that people will
wholly execute government programmes
government itself;
partially
in lieu
or
of
50
participation means that people will
wholly pay for the programme;
partially
or
- participation means that the community is ’’motivated”
to accept the parameters of a project over whose
design and / or implementation they have little say.
6.7
Each of the above can certainly be part of a genuine
participatory
approach
provided
key
the
ingredient
is
emphasized. That key is the involvement of the community in
project decisions in a central way.
and their empowerment
through awareness. information and authority so that they can
participate effectively in making those decisions.
6.8
Another source of difficulty in incorporating CPA is
the paucity of simple measures for judging its effectiveness.
While quantitative proxies may be unavoidable. it should be
remembered that CP is a qualitative process and proxies must
be chosen carefully and used with caution.
extent of the community’s
For example the
financial contribution may be a
poor proxy for the level of the community’s enthusiasm for
the project.
6.9
Another issue is that the incorporation of CPA into a
project such as this one relies on external ’’change agents”.
usually
non-gove rnmenta1
organizations
experience in doing such work. However,
with
previous
the assumption that
NGOs will be easily available to do the work is often belied
in practice. NGOs are rather thin on the ground in some parts
E-\SO
tl-h as
51
and their strengths and experience are quite
of the state.
uneven. Thus one cannot assume that all NGOs themselves have
the
knowledge,
appropriate
experience
and
awareness
to
conduct CPA.
6.10
the
A final bottleneck is the status and roles of women in
project
communities.
A project
of
this
type
requires
strong and effective participation by women if it is to be
Women are the ones most
sustainable.
likely to have
They are the
work and daily lives impacted by the project.
ones
who
likely
are
prioritise
to
their
environmental
the
sanitation component of the project provided it is explained
adequately to
them.
the ones who
They should therefore be
status
participate
most
strongly.
but
their
communities
rarely
allows
this.
Unless
a
in
village
conscious
and
systematic effort is made to draw them in and give them a
space, the project will suffer from the absence of the voice
of those who are likely to be its strongest supporters and
beneficiaries.
6.11
they
None of the issues raised here are insurmountable. But
all
systematic
require
overcome them through training.
the
early
days
of
any
and
knowledgeable
efforts
to
guidance and motivation from
project.
and
in
a
sustained
way
throughout the project’s life.
52
An additional problem for all "software" activities in
6.12
a project of this type is the tendency for the "hardware" to
dominate in terms not only of the funds allocated. but in the
priorities in timing.
and in the minds of
and time-phasing.
project personnel. This is an additional bottleneck that has
to be dealt with in the early stages.
The above problems have been raised here because all
6.13
of them. to a greater or lesser extent. have affected the CP
activities
not
There does
in this project.
appear
to have
been any systematic attempt to guide or motivate the project
personnel at either the administrative or engineering levels
about the real meaning or importance of CPA. In our review we
found time and time again that CP was viewed as equivalent to
the NGOs ’
motivating or
financial
contribution
themselves helping to
expected
for
collect
the
cost
of
capital
the
sullage drainage.
In addition, the time phasing of the CPA and HSHE has
6.14
in practice been far from appropriate.
and far removed from
what may have been envisaged originally.
As
a
result.
in
Phase I of the project the appointment of NGOs was so delayed
that Engineering Study Reports
(ESRs)
were completed before
done.
thereby
rendering this key part of CPA rather meaningless.
It also
the
Participatory
appears
to
us
Rural
that.
Appraisals
for
were
effective
mobilization
and
53
involvement of
the
community,
the HSHE
have been started early in the project.
ought
component
to
simultaneously with
the preparation of CDRs. This would have made it possible for
the villagers to truly view this as an integrated proj ect.
Incidentally it would have been possible in that case also to
use
HSHE
the
better.
Instead,
and
a
as
inform and mobilize women
to
to participate
the HSHE component has not yet commenced.
result.
villagers
are
not
convinced
about
the
integration between the water supply provision component on
the
one
side
development on
and
the
environmental
other.
sanitation
Furthermore,
the
habitat
/
opportunity
to
bring women into the project at an early stage has been lost.
and their participation in most districts appears to be quite
poor.
6.15
How can these problems be handled at this stage of the
project? It is essential to speed up implementation of the
"software" component,
and to
integrate HSHE with
CPA.
The
project is already suffering from the presence of multiple
sets of personnel and consultants, and it is likely to create -
considerable confusion on the ground if there is a
further
proliferation of personnel with separate responsibility for
HSHE
independent of CPA.
It may be noted
that.
in
future
projects at least. "software" must begin before "hardware" or
at least at the same time.
54
There
6.16
is
still
a
need
reorienting
for
key project
personnel and officers at the administrative and engineering
levels about the real meaning and expectations about CPA so
that
the
pressure
on
the
NGOs
become
to
contribution-
collectors is removed, and they can concentrate on mobilizing
key
sections
Hopefully,
the
ZP
of
the
village
such
as
women.
if the role and staffing of the project cells at
level
in
the
districts
elsewhere in this report.
and
communities
"hardware"
is
modified
as
suggested
the balance between the "software"
components
in
terms
of
priorities
and
coordination will be improved.
55
Chapter VII
THE ROLE OF THE NON GOVERNMENTAL ORGANIZATIONS
have
we
As
seen
already,
there
to
appears
considerable confusion about the role of the NGOs
be
in the
minds of engineering and administrative personnel. Ironically
the pressure on them to ensure that the villages make their
financial contributions seems to have confused even the NGOs
themselves about their own role. As a result the level of
awareness
innovation and creativity in bringing about
and
involvement on the part of the villagers leaves a lot to be
desired.
It
is
to
be
noted
here
that.
while
the
CPA
objectives are specific about the type of institution to be
created (the VWSC) , and the need to motivate the communities
to contribute.
the terms of reference for NGOs also state
that the specified list of tasks is only indicative. and that
the NGOs are welcome to develop and incorporate innovative
approaches.
7.2
Somewhat surprisingly, even well-established NGOs with
long experience in participatory development
appear to have
in
the
field
approached their task rather mechanically.
Only in a few cases do they appear to have drawn on their own
prior field experience to develop appropriate methodologies.
It is possible that, because NGOs were not very involved in
56
n
the
design of
the project.
they have
tended to
feel
that
from above, rather than
their role is to follow instructions
Other possible
drawing creatively from their own experience.
the NGOs are working
reasons include the fact that all
which are typically much
outside their normal field-bases
usually work with more
smaller in area. and where they
specific objectives and well
relaxed and open time-frames,
area and an open
defined target groups. Smaller physical
and more
time-frame are conducive to greater experimentation
learning for the NGO
intense interaction, feedbacks and
this project has not had, and
itself. Both these are luxuries
worsened by the poor time
the problem of time has been
of the
phasing and late entry of NGOs into the implementation
much more
project. Despite this. we feel that in most cases
could have been and still can be done
to motivate and involve
in a project of this type.
women for example. a major gap
7.3
Another serious gap appears to be the inadequacy of
staffing at the field level.
In some cases.
where
the NGO
itself is not experienced, the number, quality and experience
of the staff appear dubious. In other cases it is the number
of staff that is the problem. Most of the NGOs appear to be
operating with field staff based at taluk level.
with each
staff member handling anywhere from 8 villages to two or more
taluks. For effective CPA and to ensure women’s involvement.
this
is
woefully
inadequate
staffing
unless
it
is
57
supplemented by a corps of village-based volunteers trained/
supported and guided by the NGO. For example, the formation
of
women’s
sanghas
the
support
to
Water
Village
Supply
Committee would require a consistent village based presence
at least in the initial phases and possibly longer. In this
context the payment being made to the NGOs
per
Rs.1040
and
month
per
village
(
a maximum of
a minimum
of
Rs.750)
appears insufficient and needs reconsideration.
7.4
The major task currently being performed by the NGOs
is the Participatory Rural Appraisal (PRA) exercise. This is
preceded
by
a
Grama
Sabha
at
which
the
villagers
introduced to basic information on the project.
are
Our field
visits and interviews with the NGOs revealed that an average
of a couple of hundred villagers attend the Grama Sabha of
which only about 10% may be women. Each village on average
has a population of about 2000. If one excludes about half of
this population as consisting of those under 15 years of age.
then the proportion of population attending the Grama Sabha
is about 20% at best. Even fewer attend the PRA exercise.
This would not be a problem in itself if the Grama Sabha and
PRA
were
interaction
supplemented
by
happened and as
village
a
more
by
based
result
intensive
workers.
But
face-to-face
this
even basic knowledge
has
not
about
the
project, especially on the part of village women is weak, let
58
O
aione
any
sense
of
genuine
ownership,
participation
and
involvement.
CPA
The
7.5
activity
has
also
suffered
from
poor
coordination with the activities of the Design consultant and
the
District
ZP
project
cell.
The
project
anticipated
considerable and close interaction between these three as the
key to the effective meshing of "hardware" and "software". In ’
fact this has not happened.
Design consultants and ZP cell
staff have often not participated in the PRAs as envisaged.
This has been uneven across the districts with the situation
being better in some than in others. Nonetheless, NGOs appear
to feel that the support they have received on this front has
been weak.
and hence their ability to answer the technical
questions posed by the villagers has been hampered.
In fact
one NGO has attempted to compensate for this by appointing
its own engineering staff.
7.6
As mentioned earlier.
coordination between^ NGOs and
the Design Consultant was particularly weak in Phase I with
ESRs being prepared before the PRA had been conducted. While
this situation appears to have improved somewhat in Phase II,
it is far from satisfactory. Of late.
♦
the Design Consultant,
under the pressure of time and missed milestones for ESRs,
appears
again
to
be
preparing
ESRs
without
paying
enough
59
0
because of the extensive delays in the project work being
quality of the work itself, the
taken up and' ~ the ■ poor
villagers have become suspicious and disillusioned about
the entire project itself, and are unwilling to risk
---their money;
particularly in villages that are nearer to district
therefore more
are
headquarters
and where people
politically aware, people have become so accustomed to
the <government paying for everything that they do not
feel they have an obligation to pay; this has in some
cases been worsened by political interference.
It is also not clear conceptually why making people
7.9
pay for the capital cost of public assets will increase their
sense of ownership.
Public goods still remain public goods
and simply having to pay for a part of the capital cost does
not mean that
one will
treat
it
as
one’s
own.
One might
equally view the charge as an unavoidable "tax" and continue
as before without feeling any sense of genuine ownership. It
*
would have been better to put much more emphasis on early and
strong HSHE and strong CP activity to motivate people towards
such as
sense of responsibility for public goods
drains
1
a
*
etc. There also appears to be an inherent inequity in asking
villagers
to
pay
for
the
construction
of
facilities
for.
that
Assuming
*
their urban counterparts do not have to pay
*
that the main objective was to foster a sense of ownership.
I
this mechanism has worked singularly poorly.
7.10
The mechanisms for redefining the role of the NGOs in
the districts are discussed later in this report.
61
8.3
consultant is also supposed to
The
level of the project cell in the district,
coordinating
NGOs.
It
is
the
activities
to
difficult
successfully
since,
coordination
has
the
design
see
where
they
mentioned.
already
as
been
of
particularly
weak.
function at
the
facilitating and
consultants
and
have
done
this
this
level
It
doubtful
is
of
whether the CPM consultant has the standing or clout within
the project to ensure that recalcitrant engineering staff and
design consultants will cooperate with the NGOs.
A third level at which the CPM consultant is supposed
8.4
to
function
mechanical
there
does
is
to provide
to
support
level of organizing meetings
not
seem
to
be
much
room
NGOs.
While
the
and passing bills.
for
complaint.
consultant does not really seem to have played the
role envisaged in promoting learning.
at
the
active
cross-fertilization of
ideas and experiences among NGOs and between them and PPMU.
An example is the proformas for evaluation of CP activities.
These are mainly quantitative and provide few clues to the
qualitative impact.
8.5
In the field it appeared that the consultant’s staff
are often less experienced than those of the NGOs,
and can
hardly provide the needed support to the weaker NGOs. For the
stronger NGOs, their presence has largely been irrelevant. It
63
is
clear
for
that,
reasons.
these
all
this
consultancy
requires ma~or rethinking.
The importance of community participation activities
8.6
as a major component of this project and the roles of NGOs
and the CPM Consultant have been reviewed in this chapter and
the two preceding ones. The review would suggest that certain
structural changes would be desirable.
It would be advantageous if all software components.
8.7
in a district are the responsibility of an
including HSHE,
single
In
NGO.
district.
other
project
all
words
activities
in
a
should be managed
excluding engineering elements.
by a single NGO in a district. The NGO would have to include
in
its
staff
an
better
for
engineer
interaction with
the
community and liaison with the contractors and consultants.
The district NGO would have to be appointed by the CEO of the
ZP so that links
assist
in
are clearly defined.
selection
the
of
NGO
but
PPMU would doubtless
and
control
direct
supervision must lie in the district.
8.8
The CP Management Consultant on the present terms and
conditions os unnecessary.
since
the
HSHE
component
is unclear
and
commenced.
this
The current role
has
not
even
consultant has played only a minimal ’’liaison” role vis-a-vis
the
NGOs.
However,
it
would
be
necessary
to
provide
a
64
supervisory level to provide the necessary guidance for the
district NGOs suggested earlier and to monitor them. Such a
supervisory level would be required to provide the Director,
PPMU
with
the
necessary
administrative
support
in
the
management of the district NGOs. This level could be provided
in two ways as follows:
i)
a professional could be inducted into the PPMU with
the necessary experience and on a tenure basis for
this purpose. This is elaborated later.
ii)
if a post of the type cannot be created in the PPMU
with the required compensation or if such a
professional cannot be
found,
a
consultancy
organization could be inducted between the PPMU and
functions
and
NGOs.
The
the
district
consultant
must
be
responsibilities of such a
clearly defined, including direct responsibility
for performance of the district NGOs.
65
Chapter IX
DESIGN CONSULTANT
As mentioned earlier. consultants were proposed to be
inducted
into
the
on
project
the
ground
that
government
departments did not have the necessary staff for carrying out
some of the activities in the project. With regard to the
water supply component.
one
two consultants are employed
fcr design and the other for construction supervision.
9.2
The design consultant for the 950 villages of Phase II
was selected on the basis of competitive bidding. The project
was formed into three packages for this purpose, each package
covering four districts. After due procedures were followed.
two
firms.
namely
Industrial
National
the
Development
New Delhi for one package and Kirloskar
Corporation
(NIDC)
Consultants,
Pune for two packages were appointed as design
consultants.
9.3
The responsibilities of the design consultant include
carrying out initial surveys, identification of source points
to
enable
PHED
to
drill
the
borewells.
water
quality
analysis, and preparation of designs. The latter, was to be in
two
stages.
conceptual
The
design
first
stage
reports
was
(CDR)
the
for
preparation of
the
interaction with
the
66
community. The second stage was the preparation of the final
design report incorporating the views and requirements of the
community
to
the
extent
completed by the PHED,
(ESR).
The
design
possible
after
and
drilling
is
called the Engineering Study Reports
also
consultant
had
to
assist
in
preparation of the tender documents and bill of quantities
and assist the PHED in evaluation of construction tenders. It
was only after the last activity was over that the design
consultant’s services would cease.
9.4
The time limit for the design consultants’ work was 24
months
from
March
1994.
The
ESRs
were
expected
to
be
completed by March 1996. The agreements also stipulated that
40 per cent of the work of submission of CDRs,
ESRs
and
preparation of tender documents had to be completed by the
end of the first year and the balance by the end of the
second year.
9.5
However, for various reasons, the performance of the
design consultants has not kept to the prescribed time table.
The responsibility for the delays would have to be shared
among
both
official
agencies
and
the
consultants.
The
consultants’ allege that the PHED did not mobilize adequate
equipment for drilling operations which resulted in delays in
the preparation of ESRs, while the department’s view is that
there has invariably been delay in locating water sources
67
because the consultants did not employ trained geologists and
generally that their staff was thin on the ground.
In one
case, the consultant had sublet the work to a third party who
the
forcing
halfway.
it
abandoned
consultant
to
mobilize
manpower for its completion. In the result, by the end of the
year
second
not
Regular
consultants.
likelihood
even
of
one
ESR
monitoring
delays
with
would
reasons.
by
the
indicated
the
submitted
was
have
permitting
corrections
well in time.
It is noticed that the consultants did not employ and
9.6
the
place on the ground sufficient number of staff. Also,
staff employed were generally fresh or persons with little
Both conditions
experience in water supply activities.
sufficiency
personnel
of
and
their
qualifications
stipulated in the agreements. Here again.
of
were
there was little
qualitative monitoring.
In* many cases. the involvement of the consgltants in
9.7
the PRA exercises was minimal.
were
not.
designs.
as
thus
a
consequence.
frustrating
The views of the community
adequately
reflected
a basic premise of
in
the
the project
relating to the importance of public involvement in decision
making.
It is particularly distressing to note that there
have some cases of the ESRs being prepared without a CDR and
a PRA exercise.
reflecting a neglect of the basic premise
68
again. Even if it is explained that this was done to expedite
the work and that these were drafts, the impression that the
consultants did not understand or appreciate the need for
community involvement would be sustained. This would indicate
that
the
technical
staff
of
the
consultants
would
also
benefit by orientation courses which the Training Consultant
could organize.
9.8
The delay in the preparation of the ESRs has resulted
in a cumulative delay in the completion of other processes.
The monitoring system and more important the follow up on the
conclusions of monitoring, has not functioned effectively at
the level of the PPMU or PHED.
There
is
attached to
the
9.9
one
aspect
relating
design consultant
responsibility of this consultant,
that
to
the
needs
conditions
review.
The
as currently stipulated.
ends with the preparation of tender documents and evaluation
of bids received.
Due to delays.
when the work is finally
awarded and the consultant for construction supervision comes
on the scene. changes in the design are sometimes found to be
necessary. The SAR states that the scope of the work of the
latter consultant
includes
ft
checking of
all
designs
and
tender documents for completeness and comparison with local
conditions. carrying out additional surveys and revisions in
69
drawings if required” 1
This results in the consultant for
construction
quite
supervision
elements of the scheme.
delays.
often
including costs.
having
to
redesign
leading to further
It is recommended that the design consultant should
continue till the commencement of the construction work so
that he performs all functions relating to design, including
the changes that may be found necessary when the work is
sought
to
be
executed.
The
compensation
for
such
an
additional responsibility would be small if there is little
delay between evaluation of the tenders. awarding of the work
and its commencement. The assignment of this responsibility
to the design consultant would imply that the SAR would have
to be amended to the extent necessary.
9.10
For
the
follow
on
project.
the
conditions
for
selection of the design consultant should be more stringent.
The best consultants with the necessary capability should be
selected. cost being one of the factors but not necessarily
the deciding one. The scope of the consultant’s work should
be clearly defined
to
ensure
that processes
of community
involvement would not be curtailed and that continuation of
association would be till the construction work commences.
i
That the consultant for supervision of construction has
this responsibility is indicated in the "Outline Terms of
Reference" for this consultant - Page 90, Annex 2, Staff
Appraisal Report, March 1993.
70
Chapter X
CONSTRUCTION SUPERVISION CONSULTANCY
This project was conceived on the presumption of a fast
and
time
bound
execution
of
and
competent
major
experienced
works
through
contractors
resourceful.
so
that
the
accrual of benefits could take place with minimum gestation
period and with quality assurance.
10.2
Such
bound
time
intensive
supervision
extensive
area.
organization
placement
at
of
of
construction
also
construction
activity
This,
in
turn.
the
field
and
competent
staff
would
at
these
over
imply
supervisory
for
calls
an
extensive
with
levels
levels.
was
It
presumed that the present departmental hierarchical set up
of the official agencies combined with their multifarious
responsibilities would not be able to carry out this task.
In
particular,
Panchayat
with
Engineering
the
staff
Divisions
available
it
was
with
the
thought
Zilla
that
the
intensity of supervision of construction activity could not
be achieved.
additional
It was
staff
and
also felt
their
that obtaining sanction of
placement
in
time
would
have
been extremely difficult and time consuming and that even
if such sanctions were obtained well
of willing competent
in time,
the posting
and experienced staff would not have
71
The
been possible.
result
have been
would
a
large
scale
turnover of personnel.
10.3
Therefore,
work
construction
possible
it was felt that adequate supervision of
only
of
the
major
through
the
appointment
contractors
be
construction
a
of
would
supervision consultant for the first phase of 257 villages
in
10
districts.
The
responsibilities of the consultant
for construction supervision are clearly specified in the
a
SAR and agreement with the consultant
10.4
Following adherence to the stipulated procedures of
shortlisting,
and
obtaining
Government,
construction
bid evaluation
floating of tender documents.
M/s
of
the
Delhi
were
approval
the
NIDC,
New
supervision
consultant
in
World
Bank
appointed
view
as
of
and
the
their
association with the activity relating to the preparation
of the engineering designs of the first phase villages as
the prime consultants and other qualifications.
10.5
The experience based on inspections by the Panel and
by the competent authorities has been that the quality of
construction
is
at
best
executed by the PHED.
equal
to
that
in
similar
works
There is no perceptible improvement
1 Page 52, Annex 2 of the Staff Appraisal Report, March
1993.
72
in quality of construction as a direct result of what was
expected to be a system of better supervision. In fact. in
a few cases, the quality of construction is disappointing.
It would seem clear - that the appointment of an exclusive
consultant for supervision of quality of construction has
not resulted in the attainment of standards of construction
very much different from those routinely achieved in the
case of departmental work.
There have been many occasions
of
VWSC
complaints
by
the
and
the
by
inspecting
authorities2.
10.6
The poor quality of construction.
inadequate
supervision.
could
a consequence of
generally be
attributed to
the weaknesses in the performance of the consultant.
The
site engineers of the consultant are said to lack expertise
of quality control tests.
on the ground.
that
2
are untrained and spread thinly
The view of the controlling authority was
"the consultant requires
substantial
improvement
in
Such complaints were voiced by the VWSC and other members of
the village community to the Panel during field visits.
Also, the inspections by the Engineer-in-Chief, PHED have
indicated lack of supervision resulting in poor quality of
construction. For such examples, reference may be made to
various inspection notes of the E-in-C such as those of
June and October 1996 for Bangalore (Rural) district,
November 1996 for Raichur and Gulbarga districts, December
1996 for Shimoga district,
January 1997 for Belgaum
district.
73
LQ
several aspects like staff pattern, positioning experienced
3
field staff. competence to sort out field problems ...”
10.7
The problem could have mitigated to some reasonable
extent if these inexperienced staff had been subjected to
an intensive orientation and training in the appropriate
fields. This does not appear to have been undertaken by the
consultants.
10.8
unfortunate
also
was
It
that
even
out
this
of
inadequate field supervision staff quite a few of them were
withdrawn
the
by
consultancy
for
consultants
for
engineering
was
also
use
designs
in
their
4
out
in
other
12
of
districts.
10.9
There
lack
of
sufficient
co-ordination
between the various agencies involved such as the district
Project Cells,
the construction contractor.
and the NGOs
involved with regard to responding to lack of supervision
or
remedying
constant
interaction
consequence.
3
defects
a
general
noticed.
Also,
there
was
lack
of
them
with
the
VWSC.
As
a
impression has
been
created
by
that
Comments by the Engineer-in-Chief, PHED on observations
made in the Mission Report of September 1996 on
construction supervision, in his letter of 6th January
1997 No. EIC/PHE/SLWBC/AEF/96-97 to the Director, PPMU.
74
supervision
construction
of
been
has
insufficient
and
ineffective.
10.10
The monitoring of construction supervision has also
Constant
weak.
been
performance
rigorous
the
of
qualitatively
aspects.
Unfortunately,
no
monitoring
review
and
consultant.
particularly
has
been
not
specific parameters
in
of
on
place.
stipulated in
were
the contract document nor were they developed for review of
performance during implementation 4.
10.11
The present system does not seem to lend itself to
effective
supervision by the
or
consultant
to
effective
control of the consultant. The need for such a consultancy
is recognized for the same reasons that prevailed earlier.
However,
the
level
of
consultancy
for
construction would need reconsideration.
supervision
of
It is recommended
that one such consultant be appointed for each district.
This would permit better monitoring of the performance of
the consultant. including whether his sta-ff are in place to
the extent stipulated and with the necessary qualifications
training.
and
The
accountability
on
the
part
of
the
consultant would be more easily enforced. The CEO of the ZP
and Project Cell would be able to supervise the performance
4
Incidentally, the consultancy cost works out to Rs.6000
per village per month for 30 months.
75
of the consultant
in a more timely and effective manner.
Such consultants could be highly qualified institutions or
expert
even
individuals
provided
they have
the
necessary
organization for this task.
10.12
The terms of reference of this consultant would have
to exclude responsibilities for modification of designs or
revision of
estimates
at
the
time
the
construction
work
commences. This should be the responsibility of the design
consultant as mentioned earlier.
10.13
to
Firm conditionalities should be specified relating
staff
numbers.
qualifications.
training.
inspection
parameters and monitoring parameters.
76
Chapter XI
GROUNDWATER RECHARGE MEASURES
water
Ground
recharge
is
one
of
the
important
components of the project with the objective of recharging of
groundwater resources for ensuring the sustainability of the
drinking water sources.
The
rationale
for undertaking this
activity has been explained in the project document.
In the
Staff Appraisal Report of March 1993 it is stated that the
of
objectives
groundwater
the
this
measures
envisaged
in
and
watershed
development
recharge
element
are
for
to
conserve the rain water in-situ in areas of high dependence
on
rain
groundwater
Micro
to
fall.
infiltration
at
the
same
sheds
were
proposed
and.
water
enhance
time.
to
and
reduce
be
recharge
soil
treated
of
erosion.
in
each
village or group of villages in size from about 100 to 400
hectares.
Also
planning
and
selection
of
treatment
for
groundwater recharge in the project villages was expected to
be highly site specific.
to be
covered under this
700 project villages were proposed
component of this project.
phases were envisaged namely.
a baseline
survey.
Three
a master
plan and finally an action plan.
11.2
The SAR recognizes that the Government of Karnataka
had experience of thoroughly tried and tested methodologies
77
for watershed development. Based on this experience.
proposed to undertake
this activity.
it was
As mentioned earlier.
this is an important element of this project. However,
this
activity was proposed to be restricted to "core" areas. that
is.
this activity to the extent that it was funded by this
project was to be restricted to non-arable land in the upper
catchment
which
areas
and
drainage
would primarily
courses.
"Non-core"
arable
land
benefit
or
measures
under
land
cultivation was not proposed to be undertaken in this project
since
such
land
would
be
usually
privately
owned.
The
watershed activity on the latter type of land was expected to
be
funded by the beneficiaries.
the
input
of
the project
being only motivation through the formation of "sanghas".
11.3
At
only
present
9
micro-
watersheds
have
been
completed and 17 are expected to be completed by March 1997.
The Mission Report of September 1996 states that the progress
of activity under this component has been very slow.
and has
identified the contributory factors for such slow progress.
One
of
Government
micro-
reasons
the
apparently
regarding the
is
the
apprehension
direct benefits of
watershed treatment.
Consequently the
of
the
the method of
Government
is
considering alternative and more effective methodologies of
ground
water
recharge.
An
expert
committee
for
study
of
possible alternative methodologies has been set up and its
report
is
still
due.
Also,
during
discussion
with
the
78
Programme,
Watershed Development
Director,
it
was
noticed
that there is some conceptual problem regarding the scope of
recommended in the Mission Report of
’’selective treatment’’
September 1996. The Mission Report recommended that there is
scope of adopting selective treatment near the vicinity of
water
drinking
being
intention
the
tubewells.
the
that
investment should directly benefit the tubewells established
under
programme.
this
of
treatment
The
an
area has
been
suggested to be limited to the vicinity of these tube-wells.
"selective treatment"
The
11.4
which has been suggested
would seem difficult to operate in the field because of two
conditions.
restrictive
first
The
is
that
such watershed
treatment measures should be restricted to public, non-arable
lands. The second is that it should almost exclusively relate
to the particular tubewells established under this project.
These conditions,
of
marginal
treatment
if strictly applied.
are likely to be only
utility.
To
be
effective.
micro watershed
have
to
be
undertaken
over
would
wider
areas
without distinctions of usage of land for optimum returns on
investment. Activities over an essential minimum area would
also seem necessary if the objective of soil conservation has
to be met.
11.5
An important issue is that relating to arable land not
being
included
for
funding within
this
component.
It
is
79
understood that the farmers
located in the micro watershed
are
category "arable"
falling under the
area who own land
extremely reluctant to undertake watershed treatment measures
at their cost,
the latter being of the order of Rs.3500 per
acre.
11.6
is
It
extremely
doubtful
highly
such
whether
restrictive works
on the ground would be of much benefit.
Such distinctions
in the field would seem unreasonable.
arable
land
has
to
excluded
be
the
and
If
activity
project
limited to only a part of watershed area, the optimum results
envisaged are not likely to be achieved.
The investment
as
contemplated in the project. with this restricted approach.
would seem unproductive.
11.7
It would seem more reasonable to integrate a micro-
watershed scheme into the much larger watershed programmes of
the
Water
Development
areas
specific
Programme
relating
to
so
that.
in
the
tubewells
project
result.
/are
also
benefitted. As a consequence of such differing views on basic
technical
aspects.
The
Watershed
Development
Programme
appears to have serious difficulty in accepting the efficacy
of the suggested selective approach.
11.8
On an operational aspect.
it is noticed that Sanghas
have not been established. Here again.
it would be doubtful
80
in this project at this
whether the involvement of Sanghas
stage
would
very productive
be
because
of watershed development.
approach
This
of
restricted
the
not
activity does
evidently benefit all people in a village or in a group of
villages.
Unless
the benefits
community
or
least
at
the
are
entire
perceived by the
beneficiaries.
it
is
scarcely
likely that the farmers would contribute to the programme or
agree to join the Sangha for a restricted purpose.
11.9
The involvement of the NGOs has
also been minimal.
Since the activity itself is low key. there would seem little
point in involving the NGOs at this stage.
11.10
It would seem necessary that
development
examined.
It would be reasonable
in
be
re
suggest that till
the
this
to
relation
watershed
the basic approach to
to
basic issues of methodology are sorted out.
project
this element of
the project should be kept on hold.
11.11
The component is an important one and integral to this
project in terms of sustainability of drinking water sources.
for
the
various
reasons
mentioned
above.
methodological
and
operational.
it
is
suggested
that
However,
for
deve1opment
watershed
separate
project
desirable
instead of its being a
would
a
seem
component of the current
project with only partial objectives.
81
Chapter XII
LEAK DETECTION, WATER QUALITY MONITORING AND
EQUIPMENT
Leak detection and repairs:
In any water supply system,
loss of water is
inevitable.
whether urban or rural.
The
system management would
have to ensure that such losses are minimized.
minimize
such
in
established
in
losses
this
the
water
project.
a
supply
In order to
systems
component
relating to leak detection and repairs of
being
was
included
leaks.
It was
envisaged that a leak detection survey would be undertaken
followed
repair
by
of
leaks
in
the
systems included in this project.
in about
800 villages where
existing
distribution
The expectation was that
there were piped water supply
systems already existing which have been included within the
1200 project villages , water losses of more than 20% could
be prevalent.
It was also estimated that about 350 of such
systems would require repair of leaks.
In order to reduce
water
proposed
losses
to
the
minimum.
it
independent
consultant
would be
employed
supervision
of
such
leaks
and
was
repair
that
an '
for
survey
and
works
and
time
a
schedule of two years was stipulated.
82
12.2
The institutional responsibility for leak detection
and surveys was that of the ZP Engineering Divisions in each
district.
but,
as in other elements this responsibility is
The employment
now that of the Project Cell in the district.
of a consultant for survey and supervision was on the ground
the
official
agencies
necessary
equipment
or
that
the
the
not
have
the
staff,
expertise
for
this
purpose.
did
However, the PHED and the Project Cells in the district were
expected to monitor the works of the consultants and. in this
process, also gain experience and expertise
12.3
However, even by the end of 1996 activity relating to
this component had not commenced.
The consultants have not
been appointed and therefore. for all practical purposes. the
Because consultants
work has not commenced.
could not be
appointed in time, it was proposed to have a pilot study in a
few selected villages.
take place.
Even this
limited activity did not
The pilot study could not be undertaken because
the Project Cells
in the
districts
do
not have/staff or
experience for carrying out this activity nor is there any
infrastructure in the cell for initiating this work.
The
regular Engineering Divisions of the Zilla Panchayats,
who
have field staff, have not been involved in such activity as
noticed earlier.
1 Page 56 Staff Appraisal Report March, 1993
83
12.4
It
purpose
be
is strongly urged that
finalized
as
soon
the consultancy for
as
possible
component of the project can be taken up.
so
Also,
that
this
this
it would be
very useful to take up a pilot study in one of the project
districts or in a few selected project villages so that the
expertise is developed for carrying out such surveys.
Water Quality Monitoring and Surveillance:
12.5
Experience
has
shown
that
ground
water
necessarily always safe for human consumption.
of
water
has.
therefore.
characteristics.
chemical
to
be
tested
composition
and
is
not
The quality
for
physical
bacteriological
content.
Of the 62 parameters specified for testing quality
of water
it
critical.
of
is
understood
that
at
least
9 parameters
are
Because of the importance of testing the quality
water made
available
in
this
project.
a
component
was
included to ensure that the drinking water supplied to the
rural population through the water
project is safe.
supply schemes
of
this
Accordingly, water quality monitoring and a
surveillance system were included as the main element of this
component.
12.6
Water quality control would relate to routine testing
of water supply,
monitoring the activity of those agencies
involved in such testing and providing technical support. The
PHED was made responsible for performing this role and also
84
for providing training and technical assistance to the Zilla
Panchayats.
The
surveillance.
Such
surveillance
are
available
signals
warning
relates
element
second
to
likely
regarding
early
that
ensure
would
quality
adverse
health conditions and would assist in preventing epidemics.
The responsibility for such surveillance was assigned to the
Health Department.
Both these elements included setting up or upgrading
12.7
the
However,
particular
progress
component
facilities, including
providing
and
facilities
laboratory
has
in
the
been
equipment.
other
implementation
extremely
this
of
Testing
slow.
the establishment and construction of
laboratory building have not yet been established.
12.8
This component is an extremely important one.
It is
urged that action should be taken for its implementation. In
particular,
the
surveillance
by
activity
the
Health
Department could be instituted on a pilot basis.
Equipment:
12.9
In order to ensure that the PHED was able to carry out
its responsibilities with regard to the water supply systems
under
this
project,
it
was
proposed
to
strengthen
the
infrastructure of this Department through the provision of
certain specific items of equipment.
The latter include 6
85
drilling
rigs,
one
rig,
hydrofracturing
10
yield
testing
units for borewells, 3 well loggers . It was also proposed to
strengthen
and upgrade
the
two
existing workshops
of
the
PHED.
12.10
a
The strengthening of the infrastructure of the PHED is
critical
of
element
the
project
because
activity
this
department has taken over the responsibility of flushing out
the borewells drilled for the first phase villages.
testing
their
villages
yield.
identifying
new
sources
for
the
included in Phase II and drilling borewells of the order of
3000
for
the
latter
infrastructure.
the
PHED
responsibilities
with
their
private contractors.
turn.
In
the
absence
of
better
been
carrying
out
these
existing
equipment
or
through
Phase.
has
This has caused delays which have.
in
delayed submission of the CDRs and ESRs by the Design
Consultants.
e
12.11
The equipment has not yet been procured though it had
to
in position
be
within
two
years
of
the
start
of
the
project. nor has any attempt been made for strengthening and
upgradation of the two existing workshops.
been
stated that the well
procured
2
2
loggers
In fact.
it has
are not proposed to be
and that the delays were mainly due to procedural
As communicated by the Engineer-in-chief, PHED in his
letter EIC:PHE:SLWBC:TA-D:AE-P:96-97 of 20/1/97
86
difficulties including differing
views with regard to the
specifications for rigs.
12.12
In view of the need to adhere to the stipulated date
of completion of the project, viz., June 1999, it would seem
difficult for the PHED to undertake these responsibilities in
the absence of strengthening
of its infrastructure.
i
(
87
Chapter XIII
HABITAT DEVELOPMENT AND HEALTH COMMUNICATION
If the objective of rural health has to be achieved.
sanitation and habitat development must be integral elements
of water supply schemes.
The health of
the
community
is.
among other factors, dependent on the adequacy and quality of
its water supply.
water
between
It is because of this close relationship
supply and health
that
components
important
relating to habitat development and health communication were
built
into
this
and
importance
project.
It
was
relevance
of
environmental
the
of
the
sanitation
and
recognition
habitat development and their relationship with water supply
that
motivated
project.
In
the
fact,
inclusion
of
this
what
is
in
this
project
an
components
these
makes
this
integrated one.
Environmental Sanitation and Habitat Development:
13.2
The environmental sanitation component includes small
scale
surface
individual
troughs,
drains
latrines.
washing
and
bathing
platforms,
disposal
sites
for
sullage.
for
women,
cattle
cubicles
street
bins
and
biogas
pilot
plants. Road resurfacing is also included to the extent that
it is necessary for proper operation of the surface drains.
88
cattle troughs and street bins
washing platforms,
Of these,
are considered as part of the water supply scheme.
13.3
The water supply works.
The other
are fully funded by the project.
mentioned above,
which are part
components,
including the three elements
of environmental
sanitation and
habitat development.
are funded partly through contributions
from the community,
as beneficiaries, to an extent of 30 per
cent of the cost.
or
labour.
interest
of
materials
the contribution being in cash.
included
This
contribution
was
the
community
establishment.
in
evoke
the
operation
and
to
maintenance of these assets and to create community awareness
for their health.
of the importance of these elements
The
habitat development component is about a third of the total
cost of the project and
the
contribution of the
community
would be of the order of seven per cent of the project cost.
13.4
sanitation
envi ronment a1
The
construction
of
latrines
private households.
is
Low cost
meant
to
element
relating
to
provide
latrines
to
to
be
latrines were proposed
installed on a demand basis but the demand itself was to be
generated through health communication campaigns by the NGOs
and field staff of
the Health Department and by providing
contribute
labour.
materials or cash and the subsidy was fixed at Rs.
1650 per
subsidies.
The
owners
were
expected to
household for low income groups and at Rs. 1200 for others.
89
Masons trained under the training programmes of this project
were to provide the skilled services required.
This element
has not progressed to the extent envisaged and quite often
beneficiaries
have opted
for pans
that
are
not
appropriate for this type of latrine. However,
of public education
it
is
considered
as a measure
a commendable venture.
It would
benefit by better supervision and monitoring.
13.5
Some degree of awareness of the project goals and its
objectives has been created in many of the villages. but in
varying
degrees.
A
similar
awareness
sanitation has been created. In fact.
of
environmental
it is very encouraging
to note that women’s groups in some of the project villages
give first priority to latrines. followed by water. However,
such awareness would have been higher had the nexus between
health. water supply and sanitation been communicated. as was
envisaged.
In
physical
imp1ement at ion
of
this
expectations.
terms.
component
the
has
not
progress
of
been
to
up
It is recognized that the latter is very much
dependent on perceived needs of the community and that
it
includes an element of inducing social change. The latter is
the very rationale of inducting NGOs into this programme but
their impact has not been to the degree expected. Partly this
is because there has been excessive emphasis on beneficiary
contribution and.
as mentioned earlier.
the NGOs have been
held responsible for ensuring adequacy of the contribution.
90
Such pressures have.
the
part
of
the
in some cases,
community
created a reluctance on
participate
to
in
the
project
activities.
13.6
The recent decision to insist on an up front part of
the contribution and to prioritise villages on the quantum of
contribution has skewed the scheme further.
It would appear
that the application of this revised approach of obtaining an
up front contribution may result in nearly 200 villages being
relegated to the lowest priority.
(Rural)
district
commissioning
water
the
In one case.
supply
is
almost
operation
is
being
held
contribution
for
the
habitat
but
’’inducement"
for
pointed out
earlier.
guided by criteria
of
provision
of
in Bangalore
water
ready
as
an
element!
As
back
supply
need by priority rather
for
should
be
than being
linked to contribution for habitat elements.
13.7
The habitat development works and the collection of
the
community
VWSC.
The
contribution
VWSC
is
active
majority of its members
are
Where, by virtue of office.
the
are
when
its
responsibility
of
the
chairperson
and
the
from the beneficiary
village.
the chairperson is the Chairman
of the Gram Panchayat and does not belong to the beneficiary
village,
this
committee
is
at
a
disadvantage
for
obvious
reasons of lack of interest on the part of the chairperson
and some degree of politicisation.
It would be necessary to
91
gently insist on the chairperson being from the beneficiary
village itself.
13.8
technical
The
from
receives
sufficient.
the
support
the
VWSC
or
the
NGO
of
the
district
is
not
Cell
Project
The Cell,
that
as noted elsewhere.
does not have the
staff strength for carrying out this responsibilities over a
wide spread area and. as a consequence.
works
Supervision
suffer.
is
imp1ement at i on
measures
possible
the
at
often
weak
for
to
remedy
this
the quality of these
critical
stages
of
same
reason.
The
situation
have
been
the
indicated elsewhere in this report.
Health,
Communications
Health
Sanitation
and
Health
Education:
13.9
The health communications element of the project. was
included
to
strengthen
the
environmental
sanitation
and
habitat programmes and to impart to the village community an
appreciation
of
the
health
implications
of
these
inter-
are:
(i)
related elements.
13.10
The
four
objectives
of this
promote personal and family hygiene.
greater
(ii)
consumer
(iii)
to
create
requirements
and
importance of water
usage,
component
to
to promote latrine
awareness
supply schemes
of
the
and.
92
(iv)
to
create
greater
for
responsibility
and
community
importance
awareness
of
the
of
their
maintenance
of
drains. Health communication strategies were to be developed
by consultants for dissemination through mass media methods.
The communications programme relating to Health,
Sanitation
and Hygiene Education (HSHE) was expected to promote personal
and family hygiene and provide knowledge regarding management
of household water resources.
13.11
This
an
is
extremely
important
component
of
the
project which, if successfully implemented, would have helped
in improving health conditions in the project villages and
would
have
communities
provided
of
a
the
demonstration
benefits
of
to
other
these
rural
practices.
Unfortunately,
there
implementation.
It was recently decided that this component
has
been
almost
no
progress
in
its
would be implemented in Shimoga district by the Health and
Family
Welfare
Department,
the
implementation
other
in
districts being through NGOs and a HSHE consultant. However,
discussions with the Director, Health Education and Training ‘
of
the
Health
Department
indicate
that
knowledge
of
the
programme within the department is minimal and that no action
been
initiated
for
district.
Similarly,
little progress has been made in the
has
other project districts.
commencing
activities
in
Shimoga
The methodology of implementation
93
itself does not appear to have been determined in the absence
of the HSHE consultant.
13.12
of
Reasons for the tardy progress include poor monitoring
programme,
the
lack
of
coordination
with
the
Health
Department and loss of time in asserting the capability of
the department in implementing the programme. In fact. it was
after protracted discussions that
the
department has been
assigned this responsibility in Shimoga district.
13.13
The Mission Report of September 1996 has made certain
specific suggestions
for
expediting progress
activities under this component.
While
in commencing
the PPMU
doubtless
would take action in the light of these suggestions, it would
be necessary to emphasis that the expertise in the Health
Department must be fully utilized. The department has Block
Education Officers,
a District Health Education Officer and
others in supervisory capacities and a wide network of health
functionaries. This department must be assigned a prime role
in the implementation of this component and to the extent
possible
the
training
and
communication
material
department must be made use of and built upon.
of
the
This would
help in enhancing the role of the department in such activity
and also improve its communication skills.
94
13.14
The
appointment
of
a
consultant
for
HSHE
is
necessary. It has been suggested later in this report
15.29)
not
(Para
that the position of the health specialist in PPMU
should be strengthened. If this is done, and the expertise in
the Health Department fully utilised.
a consultant for HSHE
would not be necessary.
95
Chapter XIV
SYSTEMS FOR MONITORING, EVALUATION AND SUPERVISION
Since the inception of the project.
the time of its formulation.
need to
complete
limits.
The
the emphasis has been on the
it within
reports
of
and indeed from
and
stipulated
the
various
agreed
missions
to
time
that
have
reviewed the progress of the project have regularly commented
on
the
slow
pace
of
implementation
and
have
repeatedly
stressed the need for an effective system of monitoring which
would assist better management of the project.
14.2
The induction of consultants. at considerable expense.
in implementation of the various elements of the project was
specifically
on
the
ground
that
maintain better time management
they
would
be
in implementation.
able
to
On this
assumption, targets of achievement and completion of specific
activities were stipulated.
the
failure to adhere inviting
liquidated damages or penalties.
14.3
There are,
as indicated earlier, many agencies.
official and non-government.
that are active participants in
this project.
Obviously,
among
responsibilities.
other
coordination
among
both
the project management would have,
these
the
various
dual
tasks
agencies
of
but
ensuring
also
of
95
monitoring the performance of each one of them. The ability
to effectively monitor a multi-agency activity of this nature
presumes the availability of adequate information.
In other
monitoring
essential
effective
words,
systems
an
are
requirement.
14.4
The management
structure of
the project
assigns
a
central role to the PPMU. It has to coordinate all activities
relating
to
the
and
project
also
assist
other
important
participants such as the PHED, the consultants and the NGOs
in their assigned tasks. It is. as mentioned elsewhere. the
secretariat for the Empowered Committee. To be able to carry
out
its
responsibilities
necessarily
need
to
effectively.
develop
the
efficient
an
PPMU
would
management
information system.
14.5
However, the need for timely and reliable information
on activities relating to the project is not the exclusive
requirement of the PPMU. The other agencies who ar£' partners
in
implementation
and
who
have
a
direct
operational
responsibility would also have to develop reliable internal
systems of reporting for effective monitoring.
include the PHED,
These would
the Project Cells in the districts.
the
Water Shed Programme, the Health Department, the Consultants
and the NGOs.
96
14.6
How the PPMU would monitor, evaluate and supervise the
activities relating to the project are clearly delineated
The objectives of such monitoring are to ensure that (i) the
progressing
physical
works
community
management,
are
health
schedule.
to
and
communication
the
(ii)
training
programmes are being carried out satisfactorily and (iii) all
activities are cumulatively achieving the project objectives.
The reporting system for this purpose would have to provide
information which would permit such a monitoring role being
effectively performed.
place
an
internal
that
system
is
in
activities
in
imply that
This would
lists
all
there
priority and provides a calendar of events and activities
that determine the achievement of a given milestone. Also, it
would
assume
provides
that
timely
there
and
exists
valid
a
reporting
information
of
system
the
that
required
character for monitoring an activity. The latter would range
from information on physical progress to qualitative aspects
of the activities within each component of the project.
14.7
The absence of an internal mechanism for review of
programme
activities
from the
commencement of
the project
would partly explain the neglect of some major components
such as HSHE, watershed development, water quality monitoring
and leak detection.
1 Paras 3.32 to 3.35 and Annex 6 Page 104 of the Staff
Appraisal Report, March 1993.
97
14.8
The
reporting
system
permits an effective
that
is
currently
evaluation of physical
in
place
and financial
activities. It is built on the conventional lines of routine
reporting of limited items. As now structured.
it does not
permit the evaluation of those aspects of the programme which
have
characteristics
asset building.
community
and objectives
These
include
management.
evaluation
of
HSHE
and
latter
the
the
not
activities
training
require
related
the
to
large
relating
to
programmes.
The
development
of
appropriate impact indicators. Such indicators have yet to be
developed. The effective monitoring of these components has.
consequently.
been
neglected.
Had
such
been
indicators
developed early in the project and used for evaluation of
progress.
implementation of the components would have been
expedited
and
better
coordination
activities and these components would
between
construction
have been possible. It
is urged that such impact indicators be developed so that the
monitoring
system
is
rendered
more
effective
for
better
management.
14.9
The internal reporting system relevant to this project
within the PHED seem adequate to the extent that it relates
to physical
and financial progress
relating to
the water
supply component. However, qualitative aspects are not built
into
the
reporting
system.
For
example.
the
results
of
98
including
inspections.
relating
those
quality
to
of
construction. are not built into the review system. Follow up
follow soon after
and corrective action does not. therefore,
inspections.
14.10
In this context. it is pertinent to note that the PHED
has to assist PPMU in the preparation of progress reports
since the latter is the focal point for the project and that
these reporting functions of the PHED vis-a-vis the PPMU are
out.
However,
internal
the
use
of
adequately
carried
information
for more effective management of the hardware
component by the
PHED seems
insufficient.
The
information
2
relating to
system for carrying out its responsibilities
associated with water supply is inadequate. The
components
need to use the reporting system as a tool for management of
hardware
the
component by the
PHED
itself.
which is
its
direct responsibility, would bear emphasis.
14.11
The reporting system within the Project Cells is weak
since
it
does
not
provide
adequate
information
on
the
activities of the NGOs and consultants whose activities these
Cells are expected to oversee. The technical staff have not
been oriented with regard to those aspects of the project
2
The main responsibilities of the PHED are indicated in
Annex 2 of the Staff Appraisal Report, March 1993.
99
participation.
and
association
community
involve
that
Monitoring is, therefore, of the usual routine nature.
system
reporting
The
14.12
participation
community
for
places excessive emphasis on the element of contribution as a
the
neglect
of more
sensitive
and
social
change.
parameter
to
community
involvement
indicators
of
extent
of
The
community participation. the impact on women ’ s groups of the
the effectiveness of communication programmes and
programme.
similar aspects are not adeguately reflected in the reporting
extent.
system.
To
that
suffer.
The
absence
also
the monitoring of
in
the
relating
to
ineffective performance
and
of
the
evaluation
of
the
consultants
performance
the
and
inadequacies
the
NGOs
inadequate
or
untrained
staff.
like.
The
lack
such
an
evaluation
implementation
of
the
the
the
affected
system has
of an effective monitoring
inhibited
of
elements
these
has.
software
and
in
turn.
hardware
component s.
14.13
Indicators would also need to be developed for other
components
such
training.
as
The
conduct
of
the
training
programmes in terms of stipulated numbers and participants is
easily
monitored.
adequacy.
like.
Aspects
retraining,
including
relating
to
training
such
as
use of skills with competence and the
inadequacy
of
trained
personnel
due
to
100
wastage
or
withdrawal
be
to
need
also
would
monitored.
Indicators would have to be developed for this purpose.
14.14
Indicators
sustainability
of
that would permit
the
project
an
assessment
of
the
have
to
be
also
would
developed.These would include aspects such as maintenance of
water supply. functioning of the VWSC etc..
14.15
Recognizing the importance of an effective information
system,
the
management
appointment of
information
a
consultant
for developing a
of
the project was
system as
part
suggested in the SAR of March 1993. It is most unfortunate
that the consultant has not yet been appointed. It is urged
that this be done expeditiously. As an interim measure, it is
suggested that
an
internal
review be
carried out
of
the
system of reporting and a set of indicators be developed for
other components of the programme.
101
Chapter XV
THE MANAGEMENT STRUCTURE
ALTERNATIVES
The current management structure of the project has,
among other aspects.
been identified as one of the factors
that has impeded the implementation of the project.
A brief
description of the existing management structure and of the
agencies associated with the project has been presented in
Chapter III. Some suggestions have also been made on a few
procedural
aspects
but
the
larger
issue
of
possible
improvements in the structure of the project management would
still need consideration.
15.2
In
appraising
the
structure
and
in
attempting
to
suggest changes or alternatives that might improve the pace
and quality of implementation of the project. the temptation
to suggest radical changes has been resisted for pragmatic
reasons . Any changes in structure within government take time
and considerable effort, involving as it does layer^ of inter
departmental consultations and concurrences and decisions
at levels that are continuously pressed for
other priorities claiming attention.
time or with
The primary objective
being the completion of the project by June 1999, structural
changes would have to be such as could. with least effort and
in the shortest interval. be put into place.
On the other
hand. since a follow on project is envisaged. for the latter
102
there
no
is
immediate
appropriate management
attempted is
that
could be
structure.
to evolve a
a
constraint
time
establishing
what has
Therefore,
set of
in place in the
in
been
alternatives
structural
short
an
term for the
current
project and some of which could be adopted for the follow on
project too. These suggestions must be considered along with
those relating to delegation of powers and other aspects.
The
15.3
appraisal
of
the management
structure
and
the
suggestions for modifications are based on the firm premise
that this project is. or should be. considered as a district
to be managed and implemented at
project,
that
level.
The
role of the other agencies would be more by way of support
responsibility for policy and
with overall
and assistance.
inter-agency coordination.
15.4
A
of
set
alternatives
analysis of their rationale.
are
Some of them.
appear
to
be
contrary
to
stipulated
for
this
project
but
may
presented with
the
a
brief
at first sight.
management /structure
framework
of
involvement of consultants and NGOs has been retained.
For
convenience.
the
discussion
is
the
basic
restricted
to
the
main
management units.
103
I.
Reconsidering
the
linkage
environmental sanitation:
In this project.
15.5
After
the
water
with
supply
the water supply component has been
closely linked to environmental
components.
of
recent
sanitation
decision
and the habitat
to
insist
on
a
reasonable proportion of the contribution by the community
being
paid
the
implement
advance
in
water
before
supply
a
is
made
to
link
is
even
commitment
component.
this
closer than when the project was initiated. Water supply is
now
conditional
components.
to
community
participation
in
the
other
such participation being measured by the quantum
of contribution. The recent prioritization of villages on the
basis of contribution has carried this unfortunate linking to
its
illogical
conclusion.
As
a
consequence.
all
these
components have suffered.
15.6
This linking has no doubt resulted in the contribution
by the community corning forth at least in some measure but it
has generally tended to slow down the implementation of the
water supply component.
This insistence on contribution has
also resulted in the role of the NGOs changing. as mentioned
earlier.
from motivators of social change to collectors of
contribution. a perception that seems to prevail with the CP
Management Consultant too.
15.7
In this context. a view could be taken that access to
safe drinking water is an entitlement - not a free one since
104
it would be charged for but nevertheless a right.
similar to
the urban scene.
There is
little justification
for a
different
approach
from that
followed in urban
areas
regarding the conditions under which this entitlement
would
be met. If this perception were
to be considered as valid.
then the
otherwise) of treating the two
components
relating to water
supply and environmental
sanitation as separate would need consideration.
15.8
It
is,
for
these
reasons,
component relating to water
recommended
that
the
supply be delinked from other
components and operated independently.
Such delinking would
establish the credibility of the project and enhance chances
of community participation in the other
15.9
The
treatment
of
these
two
components.
as
separate
components
would imply a partial change in the concept of the project
but it would not need any change in organization except for
reorientation of the staff and the NGOs.
It would have the
advantage
the
schemes.
of
rapid
implementation
With water supply being
of
available.
water
supply
the impact
of
communication of principles of water conservation and use.
personal hygiene and sanitation would be strengthened.
The
role of the NGOs would be better defined and they could then
focus
on
effectively.
the
environmental
It is
suggested
sanitation
that
component
this should be
more
examined
105
I
further in the context of more rapid implementation of the
water supply schemes.
II.
The district Project Cells:
15.10
The Project Cells are the main operational units in
the implementation of this project. As stated earlier.
this
project should be considered a district level activity rather
than a centrally directed one,
which would imply that the
Project Cells are the key elements at the functional level.
Unfortunately, these cells are unable to manage the project
activities effectively for various reasons.
Their structure
is weak and there is apparently a skewed perception of their
role and responsibilities among the senior officers in charge’
of these cells.
15.11
The
role
of
district
the
project
cell
and
its
i
and
responsibilities are described in the SAP of March 1993
in the orders creating these cells. They are the focal point
for
satisfactory
project,
implementation
specially
for
of
the
all
component^
envi ronmenta1
of
the
sanitation
components. They,
therefore. have a multiplicity of roles
engineering
regard
with
to
water
supply.
monitoring
and
assisting with regard to environmental sanitation works. and
assisting
NGOs
and
consultants
coordinating their work.
while
supervising
and
As against these responsibilities.
1 Page 78, Annex 2, Staff Appraisal Report, March 1993
106
they are staffed with 711st engineering personnel all of whom
are
located
at
the
district
unrealistic
to
expect
this
headquarters.
even
staff.
training and orientation they may receive.
functions satisfactorily.
health.
the
sanitation
would
It
with
the
be
quick
to carry out these
particularly those that relate to
and
or
hygiene
to
interact
and
establish working links with NGOs, much less with the village
community.
15.12
These cells are part of the
directly
ZP
under
the
CZO
of
the
ZP
of
the
ZP.
The
ZP
has
departments
divisions.
structure
just
like
and work
the
other
engineering
regular
the number depending on the size of the district.
In the larger districts. these regular divisions are located
at
the
district
headquarters
at
and
other
places
for
operational convenience. They have staff at the taluk level
and below, with JEs at the field level. They are.
among all
other activities. in charge of the water supply schemes being
implemented in the districts
such as
the Accelerated Rural
Water Supply and the National Rural Water Supply schemes.
15.13
The reorganization of the project cells would have to
be considered from two different points of view. The first is
its ability to function as a coordinator of all activities
under
this
support to
provide
project
and
the
Secondly,
CEO.
its
the
necessary
capacity
management
to effectively
107
implement the various components of the project ensuring both
quality and timely performance. These two are interconnected.
15.14
The cells are headed by an EE, all other staff, except
for some supporting staff,
being engineering personnel. The
cells have suffered by the difficulty of posting EEs to the
cells. In many cases. the EEs have had no divisional or field
experience.
being
this
their
first
posting
on
promotion.
The mind set of the cells.
Transfers have been common.
for
valid reasons. is not conducive to effective performance of a
role they are not accustomed to. Consequently, the cells have
rarely had
would
continuous
the
provide
and
necessary
the
competent
management
which
and
control.
It
guidance
is
suggested that the head of the cell should function more as a
manager and coordinator so that the cell is better able to
perform its role and provide the necessary assistance to the
CEO,
ZP
in
the implementation
of
this
project.
Also,
the
character of the cell should be more inter-disciplinary.
15.15
As mentioned earlier, this project should be organized
and implemented on the premise that it is a "district level
project”. This would imply that the structure of the district
Cells should be such as would ensure effective performance
and
assumption
activities.
disciplinary.
The
of
all
character
It is.
responsibilities
of
therefore.
the
cell
for
should
project
be
inter-
suggested that the district
Project Cells should be organized on the following lines:
108
i)
The cell should be headed by a senior person
selected for management skills. A senior officer of
the Karnataka Administrative Service could be
posted but the post need not necessarily be filled
by working officers. A wide choice would be
available from the pool of recently retired
officers, and the private sector including those
who have associated with the larger NGOs. In fact,
considering the short tenure of these posts,
appointment from the latter categories would be
advantageous because terms and conditions could be
generous enough to ensure devoted work and the
appointment would be on contract.
ii)
The post suggested above would be addition to the
current staffing pattern of the cell which would
have to continue to provide the engineering skills.
This would include the Executive Engineer, an
Assistant Executive Engineer with two to three
Assistant Engineers.
iii) In addition to the staff and posts indicated above,
the Cell should include staff members with
experience in working with NGOs, the community and
social issues. Posts of a Social Scientist to
liaise with the NGOs and of a Health Education
Specialist would have to be included in the Cell.
Such specialists would be available in departments
such
as
social
welfare,
women
and
child
development, the Land Army, the Health Department
and the like. In this case too, open market
selection would be an advantage for the reasons
mentioned earlier. The number would depend on the
size of the district but, generally, one such
specialist would seem sufficient in a district.
The Project Cell currently has some supporting
staff, including an Accounts Section, These staff
and this Section would continue as part of the
reorganized Cell.
iv)
15.16
These cells work in
their
engineering
isolation even with regard to
responsibilities.
there
being
no
coordination with the regular engineering divisions of the
ZP.
They
do
not
have
staff
at
field
level.
rendering
inspections and supervision of engineering works sporadic and
109
superficial. The small additions to the engineering staff of
the Cells suggested earlier would,
to some extent.
enhance
their supervision capacity. In this context. the induction of
the
regular
Engineering
of
Divisions
ZP
the
for
limited
purposes could be considered.
15.17
the
The induction of the regular Engineering Divisions of
ZP
for
purpose
of
supervision
construction
of
and
Environmental Sanitation activities would be desirable. These
Divisions have engineering staff down to field level and such
monitoring duties
would not
to
add
their workload to
any
significant extent. The coordination between the Project Cell
and these Divisions would have to be provided by the CEO.
If this responsibility of monitoring the quality of
15.18
and
construction
Cell
informed
marginal
latter
general
is
could
the
assigned
to
field
staff
additional
consist
of
and
progress
AEs
regular
would
and
keeping
JEs,
be
the
the
ZP
Project
Divisions,
necessary.
The
number
being
determined as appropriate in each district depending on the
number of project villages and associated criteria.
15.19
The
advantage
of
such
field
staff.
placed
in
the
regular Engineering Divisions of the ZP, who would be mainly
concerned with, works under this project would be that after
110
the project ends expertise for long term maintenance would be
available.
15.20
It could be argued that the implementation of this
project could as well be assigned to the regular Engineering
Divisions of the ZP. However, the need to adhere to totally
different
accounting
constantly
interact
and
procedural
with NGOs
stipulations
the
and
village
places these Divisions at a disadvantage.
and
to
community.
The project would
not receive the constant attention it needs. Therefore, the
structure suggested retains the Project Cell but utilizes the
regular Divisions
for the
limited purpose of supervision.
This structure ensures that the project would continue to
receive the attention of a single agency, it reduces problems
of
coordination
with and between
the
regular
engineering
divisions of the ZP and eliminates the task of orientation of
these divisions in terms of approach,
liaison with NGOs and
new procedures.
III.
Reduction of multiple agencies at district level:
15.21
Various
simultaneously.
Consultants
for
agencies
These
operate
include
Training
the
and
in
a
Design
Community
district.
some
Consultant,
the
Participation
activity. the Consultant for Construction Supervision and the
NGO selected for the district.
Ill
■j.
15.22
of
The Design Consultant prepares the water supply scheme
each village
project till
Close
and
continues
the
final
interaction
with
to be
associated with
awarding of work
the
district
for
each
Project
the
scheme.
Cell,
the
Training Consultant and the NGO is essential at all stages by
this
consultant.
The
other
consultants
operate
during
the
period of implementation of the project and, due to the close
association
of
the
NGO
with
the
village
community.
consultants cannot ignore the NGO. However,
these
the close inter
relationship one would have expected does not exist to the
extent desirable often resulting in the communities desires
being
ignored.
poor
quality
of
the
or
work
delays
in
completion.
15.23
The alternative to this situation would be to consider
whether a single NGO could be in charge of a district and
responsible for all software aspects of the project described
earlier.
An
suitable
staff
sanitation
communication
single
NGO
that
inductions
engineering components.
has
the
and other
or
can
skills
develop
for
elements.
through
health
and
excluding the
could be identified and assigned one
district. The advantages would be that the district Project
Cell would be able to exercise its authority of supervision
and
monitoring
better
accountable. At present.
and
that
one
in some instances.
agency
would
be
the existence of
112
multiple consultants and agencies has resulted in dilution of
responsibility and accountability.
15.24
If this pattern were to be adopted. an NGO should not
normally be assigned more than one district. This would avoid
building up large organizations in the NGO which again may
result
in
lack
of
internal
direction
and
control.
The
district Project Cell must be associated with the selection
of the NGO and the contract must be awarded by it even if the
final selection is by the PPMU.
It is, therefore. recommended that:-
15.25
a)
All activities in a district, excluding engineering
elements, should be managed by a single NGO. There
would be only one NGO per district.
b)
All software components in the district, including
HSHE, would be managed by this single NGO. This
would permit better supervision and monitoring.
c)
The district NGO must be appointed by the CEO so
that links are clearly defined. PPMU would assist
in selection but direct control must lie in the
district.
d)
The NGO would have to have sufficient number of
staff members formed into teams, the number of
teams depending on the number of villages.
e)
The NGO would have to employ an engineer per team
for better interaction with the community and
liaison with the contractors and consultants.
f)
The NGO must appoint part-time village level
motivators from the village community. preferably
women.
113
IV.
The Project Planning and Monitoring Unit:
15.26
The
role of the PPMU and
its
responsibilities have
been indicated earlier. The appraisal of the adequacy of the
role
for satisfactory performance
of
the
PPMU
could.
for
convenience.
structure
focus
on
some
of
its
specific
and
important areas. These would include its internal structure.
monitoring capacity and powers exercised by it.
15.27
The internal structure of the PPMU,
with a Director
and functional specialists, would need consideration in view
of the recommendations that a single NGO be in charge of a
district and that the long term CPM consultant be eliminated.
Also, an important issue is the linkage between the PPMU, the
PHED and the district Project Cells.
A.
Structural Changes:
15.28
The
technical
and
latter
are not discussed here
since
PPMU
has
supporting
wings.
The
they do not / need any
change and would continue as now constituted. The technical
wing
relating
tc
superintending
engineer
continue.
r.owever.
also
aspects
engineering
two
and
the
consisting
assistant
of
the
engineers
would
the
wing
reorganization
of
concerned with software components, currently consisting of a
social
scientist
and
a
health
specialist,
would
need
consideration.
114
15.29
The
suggestions
regarding
reorganization
of
the
district Project Cell and assignment of project activities to
a single NGO in each district would require that the PPMU has
the capacity and professional ability to guide.
supervise
the
district
agencies.
Towards
monitor and
this
end.
the
following recommendations are made:-
a) The posts of Social Scientist and Health Specialist
which
exist
at
present
should be
held
by
professionals
who
can provide
the
leadership
needed,
tender expert advice to the Director,
effectively monitor the programme and successfully
liaise with other experts, NGOs and concerned
institutions. It is suggested that these posts
should be filled by tenure appointments, with
professionals employed on contract, drawn from the
open market, the compensation being attractive
enough to obtain the best talent.
b) In addition, a professional who would coordinate
and oversee NGO activities would be necessary in
the PPMU. The incumbent should be selected on the
basis suggested above.
15.30
The appointment of a single consultancy for overseeing
2
The
on
the
referred to 'cibove.
If
the NGOs in the districts may have to be considered
for
need
this
competence of
these
very much
consultancy would
the
professionals
three
are
specialists
unable
to
function
depend
in
the
manner
envisaged for any reason,including difficulty in changing the
rules
of
recruitment.
then
this
intermediate
consultancy
organization between the PPMU and the district NGOs would be
necessary for coordination of the NGOs.
As stated earlier.
the character and responsibilities of this organization would
2
Chapter VIII, Para 8.8
115
be
different
from
that
of
the
current
CPM
Consultant.
It
would have a more direct role of supervision and monitoring
and be more cost effective.
B.
Monitoring:
15.31
The responsibilities of the PPMU could be successfully
discharged
only
if
an
system
effective
of
reporting
and
monitoring is built up. Establishing such a system is also
among
its
responsibilities.
forms
Various
prescribed for obtaining periodic reports
been
have
from the district
cells, from the PHED Cell and from the consultants and NGOs.
However,
these
focus on progress
and financial
in physical
terms and do not provide indicators on qualitative aspects of
the programme.
consultant
women
in
For example.
involves
the
evoking
community
the work of NGOs
and
ensuring
contact
and the CPM
participation
of
building
in
programmes.
knowledge of sanitation and health in association with the
drainage
programme
and
the
like.
Quality
with
assurance
regard to construction is another aspect that is not reported
on except for sporadic inspection notes.
It would be useful
to develop indicators on the important qualitative aspects so
that the PPMU is
these
aspects
as
able to take corrective measures even on
implementation
is
in
progress.
It
is
understood that an MIS consultant is likely to be appointed
soon. Unless an adequate system is in place very soon.
its
116
utility would be little considering the date for completion
of the project. It is, therefore, recommended that:-
i)
Pending the appointment of the MIS consultant, an
internal exercise should be undertaken to develop
indicators for
qualitative monitoring
of
the
project with regard to activities where physical
and financial progress are not important criteria.
ii)
The conclusions drawn from current monitoring are
not adequately reflected in corrective action, The
follow up of the results of monitoring must be
institutionalized.
the
PPMU,
PHED
C.
Linkages between
Project Cells:
15.32
There are three engineering responsibilities assigned
and
the
district
to the PPMU and these are:
(i)independently assessing the quality of engineering
works, and
(ii)with regard to the works a.
b.
c.
d.
advising and monitoring the activities of the
implementing agencies including the ZP Project
Cells,
ensuring the completeness of designs of water
supply and drainage schemes with regard to
adequate mapping, consumer demand analysis and
stipulated standards,
ensuring
acceptable
standards
of
site
supervision and construction by actual on-site
checking
during
various
stages
of
construction,
keeping all records relating to contracts and
payments
(iii) with regard to procurement -
a.
b.
advising the implementing agencies on the
standards, formats and procedures required for
stipulated
to
procurement
according
guidelines,
tender
documents,
bid
ensuring
that
evaluations and awarding contracts are in
conformity with guidelines.
117
c.
15.33
The
forwarding tender documents, bid evaluations,
contract award recommendations> and contract
agreements to the World Bank for
:
review and
approval.
engineering personnel
in
PPMU
of
consists
one
Superintending Engineer and two Assistant Engineers. It would
seem impractical to assign the task of independent checking
of
quality of
works
to
them.
This
responsibility
should continue to be that of the Engineer - in-Chief,
The
PHED has
network
State wide
a
officers.
of
and
is
PEED.
including
Superintending Engineers and they can be more realistically
assigned
task.
this
However,
to
assess
the
work
of
the
consultant for construction supervision and the efficiency of
departmental inspections, random works could be got inspected
by outside individual experts.
15.34
The engineering responsibilities of the PPMU can.
best,
be considered as providing advice and support, prompt
at
processing of PHED proposals with the appropriate levels of
government
including
the
Committee.
Empowered
other
All
engineering responsibilities should be assigned solely to the
Engineer-in-Chief of the PHED and the PHED World Bank Cell.
The expertise for discharge, of this responsibility is in the
PHED and cannot be provided by the small unit in PPMU.
assignment of the functions in
(ii)
rather
than
to
the
PHED
appropriate.
The
PPMU’s
and
b
role
of
b.
c and d and
the
PPMU
coordinator.
The
(iii)
would
channel
a
seem
of
118
communication and monitoring are in no way reduced by this
reassignment of functions nor is its advisory role regarding
procedures and guidelines diminished.
15.35
If the suggestions regarding the reconstitution of the
it would be appropriate
district Project Cells are accepted,
cells lies
to specify that day to day management of these
with the CEO of the ZP who would report to the Director, PPMU
for
of monitoring.
purposes
Such
an
vis-a-vis
PPMU
not
does
arrangement
cells.
these
dilute
the
Rather,
it clearly lays down the chain of command which is.
authority
of
the
currently considerably blurred. It would also clearly declare
that the CEO of the ZP is operationally responsible for a
vital programme in the district.
15.36
The district Project Cells have responsibilities which
could
be
sanitation.
community
consultants
and
engineering.
as
categorized
participation
and
are
of
NGOs.
They
part
environmental
coordination
the
with
ZP Zstructure
coming under the CEO of the ZP but report to two authorities.
For all engineering aspects and for processing of designs and
inspections
they report
arrangement.
well
and
There
are
certain
However,
the
system
PPMU.
no
major
On
monitoring, they report to the
all other matters, including
Director,
PEED.
to the Engineer-in-Chief,
changes
grey
is
seem
areas
in
such
an
currently
functioning
necessary.
It
would.
119
nevertheless,
seem appropriate if even the progress reports
on the hardware component cartfe to the PPMU through the PHED
latter would be available and
so that the comments of the
this would also serve as a review of the PHED’s performance
as a major partner in the project.
D.
Delegation of powers to the Director, PPMU:
15.37
TVs
mentioned
earlier,
the
PPMU
is
nor
has
the
Director,
major
head
of
department
of
government
delegated
the
powers
conversion of the
of
a
PPMU into
a
separate
not
a
separate
PPMU
been
department.
The
department
is
not
recommended because there would be little advantage in doing
so. The PPMU is. in effect.
the unit in government in charge
of the project and the PHED and other agencies work with it
and not independently. Its strength lies in being a part of
the secretariat.
If it were to be converted into a separate
department there would be the
being
hierarchically
on
par
distinct disadvantage of its
with
the
PHED
and
other
departments associated with the project which would result in
a need for coordination at government level.
15.38
It would.
however.
seem necessary to assign to the
Director some of the powers of a head of department.
could be done through government orders.
which
Such powers would
relate to expenditure on equipment for the office.
travel.
120
leave and the like.
Such a delegation would avoid issues of
internal management having to go to the Secretary which would
be both a saving in time and effort.
15.39
It has been stated earlier that the lack of financial
and administrative powers regarding sanctions
and approvals
cannot be asserted as having inhibited implementation of the
project. No special delegation of such powers to PPMU or to
any other authority seems necessary.
E.
Accounting matters:
15.40
The payments by the PPMU to the NGOs are now released
through the Well Boring Division of the PEED. This system was
instituted in the initial stages of the project before the
for this project was developed.
current system of accounts
Under the
latter.
the Cells have bank accounts
their Letters of Credit
through
payments
system
accounting
into which
are paid and from which they make
This
cheques.
for
the
permits
project
an
exclusive
facilitating
easy
computation of expenditure and claiming of funding. However,
the Director, PPMU has not been permitted to open such a bank
account
I
therefore.
and.
payments
PPMU's
to
NGOs
are
made
through the Well Boring Division of the PEED. Apart from the
delays
that
assignment
operate
the
occur.
of
this
system complicates
expenditure
funds.
to
the
The payments
to
relevant
NGOs
accounting and
agencies
that
the
PEED
through
121
could no doubt be avoided by permitting a bank account to oe
opened
in
the
name
of
Director,
the
PPMU
so
that
such
payments could be made directly by the PPMU. However, to vest
full responsibility and control with regard to the activities
of the NGO in the district.
district Project
Cell
is
it would be appropriate if the
assigned the
task
of paying
the
NGOs. Since the Cell operates on a local bank account delays
would be avoided maintaining.
at the same time,
the strong
links that ought to exist between the cell and the NGO in a
district.
It
would/
however.
be necessary
to
increase
the
>
quantum of
the
Letter
of
Credit
to
the
cells
as may be
required. Such an arrangement must be considered as part of
the recommendation made earlier that the contract with the
district NGO is awarded by the cell concerned.
V.
Delegation
Committee:
15.41
The Empowered Committee is vested with full powers of
of
powers
vested
in
the
Empowered
government except, as indicated earlier, in cases of purchase
of plant and machinery worth more than one crore rupees.
It
would be desirable to restrict the agenda that this Committee
considers to the most important issues.
15.42
More
frequent
meetings
of
the
Empowered
Committee
would go a long way to inculcate a sense of urgency in the
project
agencies
at
all
levels.
Its
main
role
should be
122
dealing
with
policy
issues
and
ensuring
effective
coordination between departments.
15.43
To enable the Empowered Committee to perform its role
better. the following recommendations are made:-
a) A Management
Sub-Committee
of
the
Empowered
Committee could be constituted to perform, by
delegation by the Empowered Committee,
certain
functions of the latter. These could include
matters which are mostly concerned with operational
issues and now included in G.O. RDP 72 PPM 94 of 17
June 1994. These are (i) finalization of villages,
(ii) finalization and approval of action plans of
villages/districts, and (iii) purchase of vehicles.
In general. this Sub-Committee could deal with all
matters that do not involve substantive matters of
policy.
c) To render monitoring of the project more effective,
a Monitoring
Sub-Committee
of
the
Empowered
Committee could be constituted, This Sub-Committee
should have a regular schedule of monitoring of
proj ect activities, quantitative and qualitative,
and a system of follow up of the results of
monitoring.
VI.
Consultancies for Design, Construction Supervision and
Training:
15.44
The consultancy arrangements relating to desi'gn of the
water
supply
construction
systems
have
and
been
for
supervision
reviewed
of
separately
quality
of
and
some
modifications in the current roles and terms of reference of
these two consultants have been suggested.
15.45
In addition to the modifications
relating to the consultant
in the arrangement
for construction supervision and
123
the better control that these would give to the Project Cell,
it would be useful to develop a second level of inspections.
While
authorities,
while
a
work
is
nor
progress
in
is
at
take place
do not
these
out
carried
doubt
no
are
inspections
various
by
regular
intervals
an
effective
there
mechanism of follow up. It would be desirable to ensure that
inspection of works with particular reference to quality of
construction
Superintending Engineer of the PHED,
It
rigorously.
and
consisting
panel
a
that
suggested
regularly
done
is
Circle
the
of
is
the EE of the Cell and
an outside expert be established in each district for this
purpose. A system for regular inspections and follow up of
observations would have to be developed.
15.46
Among the consultants,
could
be
to
have
been
would
have
to
said
consultancy
the consultancy for Training
the
be
most
successful.
This
with
the
even
continued
This is because
structural changes suggested for the PPMU.
categories
of
skill have to be developed for functionaries
at
training has
personnel.
field
to
and
level
representatives
officials.
It
be
imparted to
orientation
innumerable
has
of
the
panchayati
would
be
the
be
provided
raj
to
elected
institutions
responsibility
of
the
and
social
scientist in the PPMU to coordinate the activities of this
consultant to ensure that the necessary training programmes
are carried out successfully.
The training of the staff of
124
the district NGOs would be one among the functions of this
■consultant.
VII.
Village Water Supply and Sanitation Conrnittee:
15.47
The involvement of the village community in activities
relating to water supply and environmental sanitation is a
unique feature of this project.
The
operational mechanism
for this purpose is the VWSC. To render this committee more
effective. the following measures are recommended:
15.48
a)
The VWSC should be reconstituted with a maximum of
twelve members with at least a third of the members
being women and with representatives of the
SCs/STs. At least eight of these members must be
elected/selected by the Gram Sabha;
b)
The Chairman should be from the village and the
Gram Panchayat members from the village should be
members,
subject
to
a
maximum
of
four,
elected/selected by the Gram Sabha;
c)
The VWSC should have legal status under the Act.
This could be conferred by designating it as a subcommittee of the Gram Panchayat, with specific
responsibilities and a defined area jurisdiction
limited to the village, This would provide legal
authority for levies;
In
fact.
committee.
under
the
the
formation
Act,
of
would
a
village
seem
development
desirable
with
responsibility for all development activity in the village.
If such a committee could be established. it would eventually
replace the VWSC and also help
in activities
relating to
health, watershed development,etc.
125
VIII.
Creation of an independent project authority:
15.49
The management of the project is now completely vested
in
government
take
would
agencies.
An
out
such management
could be
envisaged.
would be
that
The
arrangement
institutional
of
rational
that
departmental
structures
such
arrangement
for
an
be
authority would
(i)
not
subject to government procedures or pressures.
(ii)
be able
an
independent
to consider technical and other issues objectively and with
far more
independence
than
is
possible within
government.
(iii) be able to determine its own procedures and make
mid-term
(iv)induct
consultations.
corrections
without
protracted
best
expertise
without
the
(v)
manage
staff
the
predetermined
hierarchies.
constraints
issues
of
with
greater expedition and to the benefit of the organization and
(vi) manage finances for optinum returns.
institution
A possible
15.50
of
this
nature
would
a
be
society registered under the relevant law and vested with all
authority for management of the project3. However, ^ven such
an
independent
certain
institutional
that
features
independence.
If
a
structure
might
society were
tend
to
be
would
to
to
have
restrict
its
have
established
for
a
3 A
similar project in Uttar Pradesh is being funded by
the World Bank. A Society has been formed for the
implementation of this project. A detailed description
of the management structure is available in the Staff
Appraisal Report, Uttar Pradesh Rural Water Supply and
Environmental Sanitation Project, May 1996, World Bank.
126
project of
official
this
funded by
nature
agencies,
donor
it
World Bank or
the
have
would
to
other
have government
officers on the board of management because the World Bank
other
and
funding
government-to-government
agencies
would
require the State government’s guarantee of performance and
return of loan funds. The State government cannot be expected
to
extend
guarantees
such
management
without
In
control.
other words. the independence of the institution would not be
as total as it would have been had it been a NGO.
Any institution that is responsible for large scale
15.51
activities spread over wide spread areas and involving local
community participation would have to develop fairly strict
hierarchical
controls
and
procedures.
firm
This
would
be
particularly necessary when the elements of the project are
of NGOs.
Such
to
what
exists in government. Since official funds are involved.
the
ajidit
and
sought
to be
control
measures
society
a
implemented through
would.
be
would
in
subject
effect.
the
to
network
be
equivalent
rigor
of
accountability.
However, such an institutional structure would have a
15.52
greater degree
than
a
of
government
flexibility
agency.
and
Its
capacity
internal
for
innovation
structure
would
largely determine its efficiency and its ability to perform
better
than
a
conventional
government
agency.
A
large
127
organization with district units
and units
size with consequent
levels would have the disadvantage of
possibilities
Alternatively,
as
federated
of
dilution
of
smaller area
at
control.
management
an apex society with district level societies
members
where it belongs,
would
functional
cast
responsibility
namely on the district agency.
The latter
could in turn be a federation of village level organizations.
A society for an activity such as water supply or sanitation
could more usefully function as an apex body of local groups
or
societies
and
serve
a
as
strong
forum
for
their
betterment.
15.53
Another alternative structure could be an apex society
which implements the programme through a single NGO for each
district,
the latter being carefully chosen on the basis of
its ability to manage all elements of the programme.
15.54
The formation of a society for implementation of such
programmes with a suitable structure down to the field level
would take considerable time. As an innovative approach it
would seem to offer an alternative approach for the follow on
project.
However,
if
the
suggested
management
changes
suggested earlier in the present system are effected and the
experience proves satisfactory.
a radical change of approach
of this nature may not be necessary.
128
15.55
It is, therefore, recommended that (i)
changes in management
structure
of
the
the suggested
current
system be
implemented and continuously evaluated in the next few months
and (ii) a detailed evaluation be made of the experiment in
Uttar Pradesh for a proper appreciation of the need for such
an independent society.
IX.
Short Term and Long Term Measures:
15.56
The project is expected to be completed by June 1999.
Most of the management changes suggested herein could be in
place with minimum delay since they do not involve radical
in
changes
system.
the
considered by a Sub
which
could
also
The
recommendations - could
be
Committee of the Empowered Committee
assigned
be
the
responsibility
of
implementation of the suggested management changes.
It need
scarcely
be
emphasized
that
the
not
get
delayed
on
the
that
these management
changes
are
a circular
causation
of
ground
necessary but would take
time
project
should
delay.
15.57
The management changes could be built into the follow
on project since there is time for the preparation of the
latter.
As suggested.
independent
the need for or desirability of an
institutional
structure would need
a
separate
careful evaluation.
129
Chapter XVI
FOLLOW ON PROJECT
The Integrated Rural Water Supply and Environmental
Sanitation Project under consideration was planned to cover
1200 villages. The need to establish water supply systems in
other villages where they do not exist or where they are
inadequate
continue
would
to
a
be
priority
concern.
Recognizing this need, the development of a follow on project
similar
to
the
one
under
implementation
experience in implementation of the
is
likely.
The
current project would
guide the determination of the components of the project, its
time span, management structures and other aspects.
The evaluation of the structure of the current project
16.2
presented in this
report would indicate that.
among other
matters, the major issues are:of
the
district
level
management
a)
reorgani zation
structure
b)
reorganization of the management structure of the
PPMU
c)
reconsideration of the consultancy appointments
d)
considerable improvement
follow up procedures
e)
delinking of the water supply component from other
components
f)
delinking of watershed development component
of
the
monitoring
and
130
16.3
When
follow
the
on
project
is
designed,
it
is
recommended that the suggestions made earlier with regard to
these aspects be
For
structure.
adopted while
convenience.
determining the management
the
main
recommendations
are
summarized again.
The district Project Cell would be reorganized as
follows:
16.4
a)
The structure of the Project Cell should be based
on the premise that this is clearly a "district
level project".
b)
The character
disciplinary.
of
the
Cell
should
be
inter-
i)
The Cell should be headed by a senior person
selected for management skills. A senior
of
the
Karnataka Administrative
officer
Service could be posted but the post need not
necessarily be filled by working officers. A
wide choice would be available from the pool
of recently retired officers, and the private
sector including those who have associated
with the larger NGOs. In fact, considering the
short tenure of these posts, appointment from
the latter categories would be advantageous
because terms and conditions could be generous
enough to ensure devoted work and the
appointment would be on contract.
ii)
The post suggested above would be in addition
to the current staffing pattern of the cell
which would have to continue to provide the
engineering skills. This would include the
Executive Engineer, an Assistant Executive
with
two
to
three Assistant
Engineer,
Engineers.
iii) In addition to the staff and posts indicated
above, the Cell should include staff members
with experience in working with NGOs, the
community and social issues. Posts of a Social
Scientist to liaise with the NGOs and of a
Health Education Specialist would have to be
included in the Cell. Such specialists would
be available in departments such as social
131
welfare, womeW&’-and child development, the
Health department, the Land Army and the like.
In this case too, open market selection would
be an advantage for the reasons mentioned
earlier.
iv)
c)
The Project Cell has currently some supporting
staff, including an Accounts Section. These
staff and this Section would continue as part
of the reorganized cell.
The induction of the regular Engineering Divisions
of
the
ZP
for purpose
of
supervision
of
construction
and
Environmental
Sanitation
activities would be desirable. These Divisions have
engineering staff down to field level and such
monitoring duties would not add to their workload
to any significant extent. The coordination between
the Project Cell and these Divisions would have to
be provided by the CEO.
If this responsibility of monitoring the quality of
construction and general progress and keeping the*
Project Cell informed is assigned to the regular ZP
Divisions, marginal additional field staff would be
necessary. The latter could consist of AEs and JEs,
the number being determined as appropriate in each
district depending on the number of project
villages and associated criteria.
The advantage of such field staff, placed in the
regular Engineering Divisions of the ZP, who would
be mainly concerned with works under this project
would be that after the project ends expertise for
long term maintenance and sustainability would be
available.
One NGO is recommended to be appointed for a district
16.5
with the following features
a)
All activities in a district, excluding engineering
elements, should be managed by a single NGO. There
would be only one NGO per district.
b)
All software components in the district, including
HSHE, would be managed by this single NGO. This
would permit better supervision and monitoring.
132
c)
The district NGO must be appointed by the CEO so
that links are clearly defined. PPMU would assist
in selection but direct control must lie in the
district.
d)
The NGO would have to have sufficient number of
staff members formed into teams, the number of
teams depending on the number of villages.
e)
The NGO would have to employ an engineer per team
for better interaction with the community and
liaison with the contractors and consultants.
The NGO must appoint part-time village
level
motivators from the village community in each
village, preferably women.
f)
The PPMU would be restructured as follows:-
16.6
i)
The posts of Social Scientist and Health Specialist
would continue but the incumbents would have to be
well qualified professionals chosen from a much
wider field.
ii)
In addition, a professional, with experience in
would
be
participation
management,
community
for
coordination and overseeing the
inducted
district NGOs.
iii)
A single consultancy for overseeing all the
necessary,
if
the
district
NGOs
would
be
professionals suggested in (i) and (ii) above are
not available. If such professionals cannot for any
reason be appointed, the single consultancy would
be necessary.
iv)
The staff suggested above would be in addition to
the supporting staff that now exist in the PPMU.
16.7 The Consultancy appointments are recommended to be as
follows:
e
a)
The Design Consultant would be necessary and should
continue till final designs are completed and
modified bill of quantities and estimates are
prepared.
b)
One Construction Supervision consultant would be
appointed for a district. Reputable institutions or
133
highly qualified individuals, provided they have
the necessary organization, could be appointed.
in any case
c)
The HSHE consultant is not necessary.
not on a long term basis;
d)
The CP Management Consultant is not necessary.
e)
The Training Consultant would have to continue. This
consultant could induct other consultants or
experts for short periods of time, if necessary,
for specific activities.
The
rationale
for
been
has
recommendations
these
provided earlier.
Reporting
16.8
and
Monitoring
systems
would
have
be
improved on the following lines
a)
The parameters on which information would be
obtained for monitoring and the indicators that
would be used for this purpose need to be developed
well in advance.
b)
The system must be established well before project
activities acquire momentum.
c)
data,
with
The computerization of essential
for
analysis
and
monitoring.
appropriate soft ware
is essential.
16.9
schemes
Delinking
of
water
supply
for
the
reasons
indicated
components.
from
elsewhere
other
in
this
report, would be desirable in the follow on project too.
16.10
The Watershed Development and recharging of ground
water component would have to be excluded from the follow on
project
in
case the
criteria for
discussed earlier. continue.
selection
of
areas.
as
If the composite approach that
134
does not distinguish
non-arable
arable (and private) land from
between
(or government)
it could be
land is adopted,
a
part of this project. However, the balance of advantage would
lie in implementing this activity under a separate project.
coordination being established to
the extent
that
emphasis
could be on watershed programmes that would benefit project
villages.
16.11
Committees of the Empowered Committee
The two Sub
suggested earlier, for expeditious decision making. should be
established.
These are the Management Sub-Committee and the
Monitoring Sub-Committee. The Empowered Committee should meet
more often to ensure that the emphasis on project activities
does not get diluted through routine management practices.
16.12
The
change
in
the
character
development committee should be
of
fostered.
the
VWSC
into
a
This would avoid
committees being set up for various specific purposes at the
village
level
and
encourage
some
degree
of
coordination
between inter-related programmes.
16.13
The early commencement of some elements of the project
is essential. The current project has suffered seriously due
to
certain
activities
being
experience would indicate that.
commenced
too
in particular.
late.
This
the following
135
components should be commenced at least a year or two before
the components which result in asset-building are commenced:-
a)
Appointment of the district NGO and CP activity,
HSHE activities, formation of the VWSC and training
of local community leadership;
b)
Procurement of equipment for the PEED for improving
its infrastructure;
c)
Establishing indicators and devising an effective
monitoring systems in all concerned offices;
d)
Reorganizing the PPMU;
In fact/ these should be completed by the time implementation
of the other components begins.
16.14
The adequacy of the structural changes suggested or
the need for an independent institution for implementation of
If the
the follow on project needs careful consideration.
structural changes
suggested herein are
adopted.
it
would
seem that the same management structure would suffice for the
follow
on
project
too.
The
issues
involved
in
the
estab 1 i shment of an independent society for implementation of
the project have been discussed earlier. At first sight.
it
would seem doubtful if this would be a better alternative to
what would be in place after the structural changes are made.
The management of the society would be mostly official and it
would be dealing with Bank funds provided through government
and, therefore/ subject to all the stipulations of government
with regard to control over expenditure and the requirements
of audit. Since such an institutional structure has recently
136
been established for a similar project in Uttar Pradesh, it
is
suggested
that
it
would
be
useful
to
evaluate
the
experience in that State of this management structure before
a decision is taken.
done.
It is recommended that till this is
the consideration of the formation of a society for
implementing this project should be postponed.
137
Chapter XVII
SUMMARY OF RECO4MENDATI0NS
The recommendations made in the preceding chapters are
briefly summarized herein. Reference to the relevant paras is
provided. The summary,
for convenience,
follows the order of
the chapters. Chapter XV must. in particular. be referred to
for fuller discussion of these recommendations.
1.
An analytical study should be made of the system of
costing
of
consideration
the
water
comparative
works
supply
data
of
works
taking
into
implemented
under other such programmes and this project to provide
guidance regarding control of costs
in future.
Paras
5.13 to 5.15
2.
A single NGO should be
responsible
for all
software
components in a district. including HSHE. This NGO must
z
have the necessary staff and should be appointed by the
CEO of the ZP. Paras 8.7, 15.21 to 15.25.
3.
The Community Participation Management Consultant on the
present terms and conditions must be replaced to provide
more effective supervision and guidance to the district
NGOs
and the necessary administrative support
to the
PPMU in the management of these NGOs.
138
4.
5.
i)
A professional should be inducted into the PPMU for
this purpose. Para 15.29(b)
ii)
The
assistance
of
a
consultancy organization
between the PPMU and the district NGOs would be
necessary if the single professional suggested
above is not considered sufficient or is unable to
carry out these responsibilities fully. Paras 8.8,
15.30
The Design Consultant is necessary.
i)
The services of this consultant should continue
till the commencement of the construction work so
that all functions relating to design, including
changes that may be found necessary when the work
commences,
relieving
the
Consultant
for
Construction
Supervision
of
the
latter
responsibilities. Paras 9.9
ii)
For the follow on project. the scope of the work of
this consultant should be clearly defined to ensure
that the process of community participation is not
curtailed and to take into account (i) above. Para
9.10
The
role
and
character
of
Consultant
the.
for
Construction Supervision need to be redefined.
i)
One such consultant should be appointed for each
district. Para 10.11
ii)
The terms of reference would have to exclude
responsibilities for modification of designs or
estimates at the time of construction. Para 10.12
iii) Firm conditionalities should be specified regarding
the number, qualifications and experience of the
staff employed. Para 10.13
6.
The component relating to Groundwater Recharge needs
reconsideration
issues.
Till
on
such
methodological
time
these
are
and
sorted
operational
out.
the
139
implementation of this component may be kept on hold.
Paras 11.3 to 11.11
7.
Action to implement the elements under leak detection,
water quality monitoring and purchase of equipment for
the PHED must be initiated urgently and its completion
monitored. Paras 12.2 to 12.12
8.
Habitat
development
and
HSHE
components
must
receive
urgent attention. The mechanisms for interaction between
the district
weak
and
Project Cell,
must
be
the NGOs and the VWSC are
improved.
Paras
13.2
to
13.8,
15.15(ii), 15.30
9.
10.
The HSHE component must be implemented urgently.
i)
The appointment of a long term Consultant for HSHE
is unnecessary. Paras 13.9 to 13.14, 15.15(iii)
ii)
The expertise available in the Health Department of
Health Education should be fully utilized and the
staff of that Department associated with the
implementation of this component. Paras 13.13,
15.15(iii)
The monitoring system needs improvement.
i)
The qualitative aspects of monitoring must be
improved, For this purpose appropriate indicators
should be developed. Paras 14.8, 14.12, 14.13,
15.31, 15.36
ii)
The use of the reporting system as a management
tool must be improved both in the PHED and in the
district
Project
Cells.
Follow
up
of
the
conclusions of inspections and monitoring must be
built into the system of management. Paras 3.14,
14.10, 14.11
140
iii) Pending the appointment of the MIS Consultant, as
an interim measure, an internal review should be
made of the system of reporting and a set of
indicators developed for qualitative aspects. Para
14.13
11.
iv)
Indicators that would assist in assessing the
sustainability of the project would also have to be
developed. Para 14.14
The
component
relating
from
other
delinked
water
to
supply
components
and
should
be
implemented
separately. Paras 15.5 to 15.9
12.
The district Project Cell must be restructured to make
it
disciplinary
multi
and
more
The
effective.
structure should be based on the premise that this is a
"district
level
project".
Paras
3.9,
15.3,
15.10
to
15.15, 15.35
13.
i)
It should be headed by a senior managerial person,
with specialists in social communication and health
communication. Para 15.15 (i) and (iii)
ii)
The induction of the regular Engineering Divisions
of
the
ZP
for
purpose
of
supervision
of
construction
and
environmental
sanitation
activities would be desirable. Paras IS.l^to 15.20
The structure of the PPMU needs reconsideration.
Paras
15.26 to 15.28
i)
The posts of Social Scientist and Health Specialist
need to be upgraded in terms of professionalism. In
addition a professional who can oversee
the
district NGOs is necessary. Para 15.29
ii)
The responsibilities with regard to engineering
aspects that now vest with the PPMU should be
assigned to PHED. Paras 15.32 to 15.34
141
iii) The Director, PPMU should be delegated the powers
of a head of department. Paras 4.4, 15.37 to 15.38
If the recommendation made above is accepted, it
would be necessary to permit the Director, PPMU to
open and maintain a bank account as prescribed in
the accounting procedure. Paras 4.4, 15.40
iv)
14.
Special
delegation of
agencies.
departments
necessary.
The
any
of the
in charge of the project
is not
financial
powers
powers
currently
to
available
would
seem
sufficient. Paras 4.7 to 4.9, 15.39
15.
Two functional Sub-Committees of the Empowered Committee
should be
established.
These
are
the Management
Sub-
Committee and the Monitoring Sub-Committee. The meetings
of
the
Committee
Empowered
need
to
frequently. Paras 3.21, 4.10 to 4.12,
16.
be
held
more
15.41 to 15.43
To strengthen the system of inspection of construction.
a
panel
at
the
district
level
could
be
established
consisting of the Circle Superintending Engineer of the
PHED,
the
Executive
Engineer of
the
district
Project
Cell and an independent outside expert. Para 15.45
17.
The Training Consultant would be necessary and must be
continued. Coordination with the professionals suggested
in the PPMU would have to be effective. Paras 3.9,
6.16,
15.46
142
18.
The
establishment
of
independent
an
the project would have
management of
society
for
to be carefully
considered. An independent evaluation of this management
structure in Uttar Pradesh would be desirable before a
view is
taken.
The
measures
suggested herein
be
may
implemented and evaluated before a radical institutional
structure is adopted. Paras 15.49 to 15.55
19.
The VWSC should have a legal status and its composition.
should provide for women members and SC/ST members. The
having
of
possibility
a
development
village
single
committee should be explored. Paras 15.47 and 15.48
20.
All
"software”
advance
components
commencement
the
of
be
must
well
commenced
of
in
"hardware"
the
components. Paras 6.15, 16.13
21.
The short and the long term recommendations made herein
could be considered by a Sub-Cozmittee of the /Empowered
Committee. Paras 15.56, 15.57
22.
The Follow on Project
the recommendations made above
are valid for the follow on project too. An independent
of
evaluation
project
formation
in
of
the
management
Uttar
Pradesh
an
independent
structure
muse
be
society
of
a
similar
the
made
before
is
considered
a
viable alternative. Paras 16.4 to 16.14
143
ANNEX I
PROCEEDINGS OF THE GOVERNMENT OF KARNATAKA
Subject:
Integrated
Rural Water Supply &
Environmental Sanitation ProjectConstitution of a Panel of Individual
Consultants to recommend changes in the
Institutional Structure of implementa
tion under the project-reg
PREAMBLE;
Government of Karnataka is implementing an Integrated
Rural Water
Supply & Environmental Sanitation Project with
the financial assistance from the World Bank in 12 districts
covering 1200 villages since June 1993.
The total cost of
the project is Rs.447.20 crores. The project is slated to be
completed by June 1999.
The basic objective of the project
is to improve the health conditions of the rural population,
It is proposed to achieve this objective through the Piped
Water Supply,
Environmental Sanitation, Health Education
etc.
The expenditure as on today is Rs.57 Crores as against
the targetted Expenditure o-f about Rs. 220 Crores.
Recently there was Mid-Term Review of the Project by the
World Bank Authorities.
The Aide Memoire of the Mid-Term
Review suggested to
review the project institutional
structure so as to make it conducive for the implementation
of the project before the project closing date of June 1999.
Considering the nature of the project, project objectives,
the current procedures that are being followed .for the
implementation
of the project and the institutional frame
work, it is also the considered view of the Govt of Karnataka
the present organisational structure is not enough for
effective implementation of the project.
Therefore, it has
become necessary to modify the implementation structure so as
to implement the project as per the project design and scope
well within the project completion period of June 1 999
itself.
The Government
of Karnataka having considered the
issue in detail and in
keeping
in view the nature,
objectives,
current
procedures
being
followed
for
implementation of the project has decided to constitute a
Panel of Consultants on individual consultancy basis to
review the institutional frame work created for the
implementation of the project and to suggest proper
I*
. .2
institutional structure that may be considered necessary to
enable the Government to implement the project within the
project period itself and to review the delegation of powers
and suggest optimum changes that may be considered necessary
Therefore,
for the implementation of the project.
Therefore, the
following orders are issued.
GOVT ORDER NO RDP 197 PPM 96 DATED 23-11-1996
1 .
In the above circumstances , the Government of Karnataka
I
are pleased to constitute a Panel of Consultants on Individua
Consultancy basis consisting of the following
1.
Shri. P. Padmanabha, IAS (Retd)
No. 216, Double Road
Indira Nagar, II Stage
Bangalore - 560 038
Convenor of the Panel
2.
Shri. Gulam Ahmad
Engineer-in-Chief, (Retd)
No 412, 13th Cross, 7th Main
II Stage, Indira Nagar
Bangalore - 560 038
3.
Representative of the
Indian Institute of Management
Bannerghatta Road
Bangalore
Each Consultants of the Panel shall be entitled for a payment
of a consultation fee of Rs.50,000\-
(Rupees Fifty thousand
only) actual travelling expenses for travel within the State
including local travel and a sitting fee of Rs.250/- per day.
2.The Terms of Reference of the Panel shall be as follows:
(1)To
review the Institutional frame work including
the District Level Co-ordination Committee created
for the implementation of the Karnataka Integrated
Rural Water Supply & Environmental
Sanitation
Project being implemented with the financial assis-
*
. .3
tance from the World Bank and to suggest changes that
may be considered necessary to enable the Government
of
Karnataka to implement the project as per the
Project Scope and Objectives wel,! within the
Project Period itself;
(2)To review the delegation of powers to the Officers
Institutions and to suggest changes that may
and
be considered conducive for the proper implementation of the project;
other relevant issues as may be
(3)To
consider
necessary by the Panel to implement
considered
Rural Water Supply &
the Karnataka Integrated
Sanitation Project in a effective
Environmental
way.
»
(4)To consider implementation structure, delegation
of powers and other aspects considered necessary
by the Panel to implement the likely follow on
project pertaining to the Integrated Rural Water
Supply & Environmental Sanitation in Karnataka
to be
taken up with the financial assistance
from the World Bank.
Panel
The
of Individual Consultants shall submit an
Interim Report in respect of the Institutional frame work and
of
delegation
covering
powers
within one month and the Final Report
all aspects pertaining to the implementation of the
Karnataka
Integrated
Rural
Water
Supply & Environmental
Sanitation project and on the implementation structure/
delegation of powers and other aspects considered necessary
by the Panel
pertaining
to
to
implement
the
the
Integrated
likely
follow on project
Rural
Water
Supply
&
. .4
Environmental Sanitation
assistance
from
Secretarial
assistance
World
the
the Project Planning
to be taken up with
for
and
the
financial
Bank wihin three months.
the
The
Panel would be provided by
Monitoring Unit.
BY ORDER AND IN THE NAME OF THE
GOVERNOR OF KARNATAKA
A
Ul. __
l|
(M.R. IVIJAYAK
Directqr, PPMU & E/o
Addl. Secretary to Government
Rural Development & Panchayat Raj
Department
To:
1 . Accountant General in Karnataka, Bangalore
2. PS to Minister for Rural Dev & Panchayat Raj, Vidhana
Soudha, Bangalore
3. PS to Development Commissioner, Vidhana Soudha, Bangalore
4. PS to Principal Secretary to Govt, RD & PR Dept
5. Engineer-in-Chief, PHED, Bangalore
6. PA to Secretary to Govt-II, RD & PR Dept
7. Superintending Engineer, PPMU RD & PR Dept
8. Jt. Controller of Accounts, PPMU, RD & PR Dept
9. Member concerned
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