IWMP Exit Strategies JSWM-SLNA Page 1
IWMP Exit Strategies
Completion and Closure Process of WDC-PMKSY Projects
Introduction:
Watershed is a dynamic process of integration of all the four waters namely 1) Rainfall, 2)
Surface water, 3) Sub surface water in-situ moisture conservation and 4) Ground water for
productivity enhancement per unit area by participatory process of planning, execution and
usufructs benefits sharing by adopting “care and share” principle. The WC-PMKSY (erstwhile
IWMP) projects have been approved w.e.f FY 2009-10 with project period of 4 to 7 years.
Accordingly, the watershed development projects approved during the initial years of IWMP are
now due for completion and there is a need to decide the process and framework for declaring the
WDC-PMKSY projects as completed and for formal declaration of their closure. In this regard,
the following need to be decided.
Cut- Off Date
The outer limit of the project period is fixed at 7 years. It is logical that the cut-off date be
fixed at the date of expiry of 7 years from the date of inception of the project. However, the date
of inception may be variously viewed as
(i) The date of release of the first installment of funds for the project by SLNA and
deployment of WDT through process of selection of PIAs to execute the work.
Completion of the Project
A project may be deemed to be complete on occurrence of one of the following:
i. On completion of 7 years from the date of inception i.e. on the cut-off date; or
ii. On complete implementation of all the activities included in the DPR for the project;
or
iii. When the expenditure on the project has reached its approved cost; or
iv. When the project is declared to be foreclosed/ cancelled by the State Government or
DoLR as per para 78 and 79 of the Common Guidelines for Watershed Development
Projects- 2008.
whichever occurs the earliest.
The Common Guidelines of Watershed 2011(amendment) stipulates 5 to 7 years for
completion of the projects. The Project Implementing Agencies (PIAs) and its Watershed
Development Team(WDT) slowly withdraw the facilitation and handholding support to
community after attaining the physical and financial targets envisaged in the Entry Point Activities
(EPA) and Detailed Project Report (DPR). However, at least one of the components that are soil
and water conservation (NRM) works should have been completed.
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Before withdrawal it should be ensured that the different institutions formed under
watershed process like WC, SHG, UG and Village Federation etc should be empowered to take
care of themselves and manage watershed assets which have been created under IWMP.
The General Key outcome of the watershed programmes are
● Increase in water table.
● Increase in arable land from waste land.
● Productivity enhancement. Increase in rainfed agriculture and double cropping area.
● Soil conservation structures viz: CCT, Trench-cum Bund (Nijalingappa Model),
40x60 model, Bunding, LBCD and CD etc
● Increase in biomass through plantation and horticulture and agriculture
● Robust peoples institutions viz: WC, SHG, UG and village federation,
● Increase in no. of water bodies and retention of water in the water bodies from few
days to months/year.
● Increase in capacity building of people and agricultural technology adoption.
● Increase in income and quality of living standards.
● Increase in awareness and decision making ability of the people.
The above watershed assets on the basis of ownership may be grouped into Individual,
Community and Common Property Resources. The Common Property Resources are water bodies
such as embankment construction on the bank of river and rivulet, LBCD and Checkdams on the
Drainage line treatment and Ponds, Dovas on medium & up land and Plantation, Horticulture
established in the Government land, waste land, Forest land or GM land. Everybody in the village
has the rights and privileges to use the usufruct’s benefits become the owners. Whereas the
properties created in private land and owned by group of individuals or the Communities are called
the community property resources ex: wells, dovas, ponds, horticulture, pasture land, sacred groves
and crematorium grounds.
After fully completion of the physical and financial targets of IWMP project, it is the duty
of PIAs and WDT with the people institutions to work out modalities to suggest ways and means
to take care of the assets created by IWMP and if need be these assets should be repaired,
maintained and managed on regular sustainable basis of sharing of the usufructs benefits amongst
different stake holders.
The following mandatory process to be followed by the PIAs and WDTs for the exit policy
and report to be submitted to DoLR through SLNA:
1. Complete all the books of accounts accurately and get audited from CA
2. Close all the bank accounts of PIA, MWS and return the unspent money to WCDC
with intimation to JSWM.
3. Submission of current and consolidated audit report along with UC.
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4. Submission of completion report/ asset registers to WCDC and hand over all the assets
to PRI.
5. Non Embezzlement Certificate
6. Certificate to the effect that Administrative Cost of the Project is within the ceiling
prescribed in the Common Guidelines – 2008
7. Post Project maintenance of the structures created like afforestation, water bodies.
8. Details of WDF accrued up to closure and brief note on the operation and maintenance
of assets and WDF fund
9. Submission of Project Completion Report as per para 61.1.b of Common Guidelines -
2008
10. Submission of Action Taken Report (ATR) on monitoring and evaluation
report/MELD report.
11. Submission of success stories if any.
In order to submit the above reports the WDT along with SHGs and WC members shall
conduct systematic SWOT analysis of each and every Micro watershed. The WDT and WC along
with SHG should conduct series of Focus Group Discussion (FGD) to find out Strength, Weakness,
Opportunity and Threat in managing all the assets created. Further, the following data / information
to be compiled and based on these a comprehensive report to be prepared.
1. As per DPR on all the ten budget head (DPR, EPA, CBT, works, livelihood,
productivity enhancement and microenterprises, administration, monitoring,
evaluation, consolidation and exit policy) the physical and financial target achievement
and indicate deviation if any.
2. Consolidated and audited accounts of all the MWS, PIA and WCDC, UC, MIS, MPR
and closing of MWS accounts.
3. List of Individual, community and common property resources created and its status
with total economic value of the benefits.
4. Total amount contributed towards WDF and list of all persons who have contributed in
the WDF.
5. WDF pass book, bank book, accounts related documents with present signatory of bank
accounts.
6. List of SHGs/UGs/PGs and complete name of members and Revolving Fund with bank
linkage if any as well as livelihood strategies.
7. Name and designation of all the WC members and byelaws, dropped out members if
any. Status of the society whether it is audited or not. Identification of CA to audit at
the cost of WDF.
8. Weekly and monthly register and recording status.
9. PRI members who represents ward, GP, Block and ZP from that area of MWS
10. Local voluntary members and NGOs/ CSR companies if any.
11. MGNREGA functionaries, JSLPS functionaries and others.
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12. Custody of present and old IWMP records.
13. Care and share strategies to be worked out for all the assets.
14. Revolving Fund management and books of accounts.
15. Name of the bank and its address as well as banking correspondent.
16. Submission of MPR and QPR to WCDC and JSWM.
1. Operation and Maintenance of Individual and Community properties:
The assets created through IWMP fund in the individual and community land and which is
owned by individuals or the community should invariably be looked after by themselves. No fund
shall be given to them out of WDF. However the WC/SHG may facilitate the actual owners by
imparting technical knowhow and other logistic support, information on marketing, godown, plant
protection, communication, bank linkages etc shall be provided to them by the WC. In the time of
natural disaster like drought, famine the watershed assets though owned by individual or the
community they should provide or share water for drinking and domestic consumption to
neighboring people.
2. Operation and Maintenance of Common properties:
In case of common property resources such as river, rivulet, ponds, dovas, plantation,
horticulture, forestry owned by group of people or Government, the O&M task shall be entrusted
to SHGs, UGs, WCs or PRI institutions. At least 1/3 of the beneficiaries who have contributed to
the kitty of WDF should approve the O&M strategies in the Aam sabha or Grama sabha.
The PIAs/ WDT with the help and support of SHG/PRI should clearly list out the assets
and delegate the powers and functions for every asset in the following manner.
a. Functions- repairs, operation and maintenance frequency, harvesting of usufructs
benefits, watch and ward, protection details etc should be clearly defined.
b. Functionaries- location of the asset and ownership of the asset and name of the People,
SHGs, PRI, ZP, VO etc to be empowered to accomplish the watch and ward task. All
names of persons who will directly or indirectly get the benefits should be mentioned.
c. Fund management- estimate, TS/AS and who will spend the money to repair or O&M
of the assets and expenditure, maintenance of accounts should be defined.
3. Post watershed community asset management strategies
1. Brief introduction of the project area and SWOT analysis
2. Outcome of IWMP projects and categorization of assets based on the ownership into
Individual, Community and Common property
3. WDF contributors name and total amount including interest at the time of exit
4. People's institution, WC, SHG, UG, PRI and handing over to either individual or
community.
5. Training of different stakeholders including book keeping.
6. Management of assets ( Individual, Community, Common)
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a. Function
b. Functionaries
c. Funding
Monitoring of assets
d. Weekly meeting by WC, SHG, UG, PRI together and monitoring of the money
given for repair/ O&M.
e. Monthly meeting by Grama sabha
i approval of repair/ maintenance as well as benefit sharing strategies
ii. approval of TS/AS/estimate.
iii. work execution by maintaining MR/ MB
iv. custody and record maintenance
Attachments to be enclosed for Submission to DoLR through SLNA for Completion of
Each Project at PIA level: 1. Annexure 1
1.1 Consolidated PIA wise Statement of Receipts and Expenditure
1.2 Status of WDF Account
1.3 Details of amount returned to WCDC
1.4 Gist of SHGs Promoted under IWMP
1.5 Details of Impacts
2. Annexure 2
2.1 Summary of the Evaluation of Outcomes of WDC-PMKSY Project
3. Annexure 3
3.1 Non Embezzlement Certificate
4. Annexure - 4 Utilization Certificates
5. Annexure - 5 Certified copy of handing over the assets developed and handed over to PRI
6. Annexure - 6 Certificate for utilization of Administrative Cost within the ceiling
prescribed
7. Annexure - 7 Project Completion Report with photographs and Success Stories/Case
Studies
8. Annexure - 8 Formats for record at SLNA level
Annexure -1
Details of Documents Required for Finalization
Batch I Projects under IWMP
Name of PIA :
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Name of Project :
Total Project Cost: Total Audited Expenditure:
District : Block :
FORMATS FOR SUBMISSION AT DoLR LEVEL
I. Consolidated PIAs wise Statement of Receipts and Expenditure (Rs. in Lakhs)
Serial
No.
Year (from
the year of
inception to
completion)
Receipts
Total
Funds
Available
Expenditure Unspent
Balance
Audit Remarks
Yes No
Central
Share
State
Share
Accrued
Interest
2009-10
2010-11 2011-12
2012-13 2013-14
2014-15 2015-16
2016-17
Total Note: Audited copy to be enclosed
II. Status of WDF Account
Name &
No. of
MWS
Name of
Bank,
Place &
A/c. No.
WDF
Amt.
Collected
as on
Interest/Misc.
Collection as
on
Details of Signatories
Name Designation Contact No.
1
2
3
4
5
6
7
8
9
10
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Total
(Attach a copy of WDF Guidelines)
III. Details of Amount returned to WCDC
PIA/MWS Name
& No.
Name of Bank
& A/c. No.
Total
Amount
Refunded
Date with
RTGS/NIFT No.
Intimated to
SLNA (Y/N)
Remarks
IV. Gist of SHGs Promoted under IWMP
Total
No. of
SHGs
Support
ed
No. of
SHGs
provide
d RF
Total
Revolvi
ng Fund
Disburs
ed
Bank Linkages
Developed
No. of SHGs covered under Livelihood Activities
No. of
SHG
linked to
bank
No. of
SHG not
linked to
bank
Poultry Piggery Duckery Goatery Agri. Others
Note: Success story enclosed in PCR
V. Details of Impacts as Case Study/Success Stories documented and enclosed as Project
Completion Report (PCR)
Annexure - 2
Summary of the Evaluation of Outcomes of WDC-PMKSY Project
1. Project Details
Project No. ………………………………………………………………………………………
Name of Block…………………………………………………………………………………
Sanctioned Area (Ha)……………………………………………………………………………
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Sanctioned Cost (Rs. in Lakh)…………………………………………………………………..
Name of Village included in the Project………………………………………………………..
2. Impact Details
Sl.
No
.
Items Unit
Pre-
project
status
Status
at the
end of
project
Remarks
1 Average depth of water table in dug wells Meter
2 Average depth of water table in tube wells Meter
3 Number of ground water structures (dug wells +
tube wells + hand pumps) rejuvenated
Nos.
4 Increase in Irrigation Potential Ha.
5 Area of wasteland brought under productive use
(Like agriculture, plantation, fodder, etc)
Ha.
6 Change in cropping/land use pattern
(i) Area under agriculture
(ii) Area under plantation/forest cover
(iii) Area under wastelands
Ha
7 Area under Agriculture Crop
(i) Area under Rabi Crop
(ii) Area under Kharif Crop
(iii) Area under Double Crop
Ha
8 Increase in yield /ha. of crops
(i) Rabi Crop
(ii) Kharif crop
Qui/ha
9 Area of horticulture crop Ha
10 Duration of flow of water in streams (upto
November/December/January/February…………
…….May)
11 Improvement of drinking water facility
12 No. of persons engaged in ancillary activities like
fishery, poultry, rural craftsmanship
Nos.
13 Reduction in migration from rural to urban area
in the project area
Nos.
14 Any other measureable indicator of impact
assessment
Nos.
Annexure - 3
(To be typed on Rs. 100 Non Judicial Stamp Paper)
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Non Embezzlement Certificate
This is to certify that no major irregularities such as embezzlement, diversion of
funds etc. has been noticed in (………Name of Project and Name of
PIA…………….) under Integrated Watershed Management Project IWMP Batch I.
There is no amount left in PIA/WC account and the entire unspent fund including
interest accrued has been deposited to WCDC through RTGS/NEFT/Demand Draft
No. ……….dated ………….. for exit and formal closure of the Project.
(Signature with seal)
Name and Designation of Authorized Signatory
Name of PIA
Annexure - for Record at SLNA
FORMATS FOR SUBMISSION AT SLNA/WCDC LEVEL
I. Status of MWS Bank Accounts
Name & No. of MWS Name of Bank & A/c.
No.
Balance
Amt.
Status of Account Closure
(Date/Tentative Date of Closure)
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II. Status of PIA Bank Account
Name of PIA Name of Project Name of Bank &
A/c. No.
Balance
Amt.
Status of Account Closure
(Date/Tentative Date of
Closure)
III. Summary of WC Account Audit
Year Admin. Exp. Project Fund
Exp.
Audited
(Y/N)
Deviation
(if any)
2009-10
2010-11
2011-12
2012-13
2013-14
2014-15
2015-16
2016-17
IV. Status of Institutions Formed
Type of
Institution
Name of Unit Status of
Registration &
Date
Name of Office
Bearer
Contact No.
1
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Watershed
Committee
2
3
4
5
Sakhi Mandal
(SHG)
1
2
3
4
5
User Group 1
2
3
4
5
Producer Group 1
2
3
4
5
V. Summary of Physical Assets Developed under Project (Details under Itemized Asset
Register)
Major Head Name of Activity No. of Structures GIS Location/Physical Location
1 Well Renovation
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Entry Point
Activity
2 Pond Renovation
3 Solar Street Lamp
4
5
Works Phase
Activity
1 Afforestation (ha)
2 Horticulture
Plantation (ha)
3 Fodder area
Developed (ha)
4 Earthen Check Dam
(R mt)
5 LBCD (R mt)
6 Gabion Check Dam
(No.)
7 New Pond (with
dimension)
8 Renovated Pond
(with dimension)
9 Dova (with
dimension)
10 Percolation Tank
(with dimension)
11 Ahar (with
dimension)
12 5% Model (with
dimension)
13 Dari Chuwan (no.)
14 Lift Irrigation (with
dimension)
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15 Micro Lift
Irrigation (area to be
irrigated in ha)
16 Irrigation Well
(depth and dia.)
VI. Usable Asset developed at PIA level
Name of PIA Type of asset purchased Handed over to
Laptop
Computer
GPS
Tablet/Smartphone
Furniture
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VII. Details of Physical Activities performed as per DPR and Audit statement
Year DPR EPA CBT Works Liveli
hood
Micro-
enterprises
Monit
oring
Evaluat
ion
Consolid
ation Total Activities
T A T A T A T A T A T A T A T A T A T A Type*
Convergence
made or due
actions referred to
2009-10
2010-11
2011-12
2012-13
2013-14
2014-15
2015-16
2016-17
T= Target; A= Achievement
Type* - Details of activity to be provided in a separate sheet
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VIII. Itemized Details of Physical Activities Carried Out
Activity Name of
Beneficiary
Name of
Village
Khata / Plot
No. Lat - Long Dimension
Cost
Incurred Custody Signature
Well
Renovation
1
2
3
4
5
Pond
Renovation
1
2
3
4
5
Ahar
Renovation
1
2
3
4
5
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Activity Name of
Beneficiary
Name of
Village
Khata / Plot
No. Lat - Long Dimension
Cost
Incurred Custody Signature
New Well
1
2
3
4
5
Dari Chuan
1
2
3
4
5
Irrigation
Well
1
2
3
4
5
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Activity Name of
Beneficiary
Name of
Village
Khata / Plot
No. Lat - Long Dimension
Cost
Incurred Custody Signature
New Pond
1
2
3
4
5
Dova
1
2
3
4
5
5% Model
1
2
3
4
5
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Activity Name of
Beneficiary
Name of
Village
Khata / Plot
No. Lat - Long Dimension
Cost
Incurred Custody Signature
Earthen
Check Dam
1
2
3
4
5
Loose
Boulder
Check Dam
1
2
3
4
5
Gabion Check
Dam
1
2
3
4
5
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Activity Name of
Beneficiary
Name of
Village
Khata / Plot
No. Lat - Long Dimension
Cost
Incurred Custody Signature
Percolation
Tank
1
2
3
4
5
Micro Lift
Irrigation
1
2
3
4
5
Lift Irrigation
1
2
3
4
5
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Activity Name of
Beneficiary
Name of
Village
Khata / Plot
No. Lat - Long Dimension
Cost
Incurred Custody Signature
Afforestation
1
2
3
4
5
Horticulture
Plantation
1
2
3
4
5
Fodder Area
Developed
1
2
3
4
5