state program management cell, department of water...

State Program Management Cell, Department of Water Supply & Sanitation, Government of Punjab

Final Report Project Implementation Plan (PIP) Volume 2 of 2 Punjab Rural Water Supply and Sanitation (PRWSS) Program Operation: Consultancy Services for Project Preparation Support, Credit 4251-IN

24th March 2015

Government of Punjab Punjab Rural Water Supply and Sanitation Sector Improvement Project (PRWSS) II Final Report: Project implementation Plan – Volume 2

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TABLE OF CONTENTS

1 ANNEXURE 1 ................................................................................................................................................. 4

1.1 MAP OF PUNJAB SHOWING DISTRICTS .................................................................................................................. 4

1.2 DISTRICT WISE CHARACTERISTICS OF RURAL POPULATION IN PUNJAB ............................................................................ 4

1.3 ANNEXURES RELATED TO WATER RESOURCES ......................................................................................................... 5

2 ANNEXURE 2 ............................................................................................................................................... 11

2.1 GOVERNMENT NOTIFICATIONS / ORDERS TO BE REVISED BY DWSS .......................................................................... 11

2.2 GP MODEL RESOLUTION FOR GRAM PANCHAYAT ................................................................................................. 12

2.3 GP MODEL RESOLUTION FOR GRAM PANCHAYAT (FOR MULTI VILLAGE SCHEMES) ....................................................... 13

2.4 MODEL BYE-LAWS ON GPWSC ......................................................................................................................... 14

2.5 GP RESOLUTION RECOGNISING GPWSC ............................................................................................................. 19

2.6 GPWSC’S RESOLUTION FOR SENDING LIST OF MEMBERS FOR SLC ............................................................................ 20

2.7 GPWSC’S RESOLUTION FOR RECOGNISING SLC ................................................................................................... 21

2.8 TRIPARTITE MEMORANDUM OF UNDERSTANDING (MOU) BETWEEN GRAM PANCHAYAT, GRAM PANCHAYAT WATER &

SANITATION COMMITTEE AND DEPARTMENT OF WATER SUPPLY & SANITATION, GOVERNMENT OF PUNJAB .................................. 23

2.9 QUADRILATERAL MOU FOR MULTI VILLAGE SCHEME (FOR MULTI VILLAGE SCHEMES) BETWEEN GRAM PANCHAYAT, GRAM

PANCHAYAT WATER & SANITATION COMMITTEE, SCHEME LEVEL COMMITTEE AND DEPARTMENT OF WATER SUPPLY & SANITATION,

GOVERNMENT OF PUNJAB ............................................................................................................................................. 28

2.10 TRIPARTITE MOU FOR SEWERAGE SCHEMES BETWEEN GRAM PANCHAYAT, GRAM PANCHAYAT WATER & SANITATION

COMMITTEE, AND DEPARTMENT OF WATER SUPPLY & SANITATION, GOVERNMENT OF PUNJAB .................................................. 35

3 ANNEXURE 3 ............................................................................................................................................... 41

3.1 SUMMARY OF PHYSICAL AND FINANCIAL PROJECTIONS ........................................................................................... 41

3.2 FINANCING VARIOUS PROJECT COMPONENTS OF THE PROJECT ................................................................................. 43

3.3 ESTIMATES OF FINANCING ARRANGEMENTS FOR VARIOUS PROJECT COMPONENTS OF THE MTSP PROGRAM .................... 43

3.4 FINANCING VARIOUS PROJECT COMPONENTS OF MTSP PROGRAM .......................................................................... 44

3.5 YEAR WISE FINANCIAL PROJECTIONS FOR VARIOUS PROJECT COMPONENTS OF MTSP PROGRAM ................................... 45

3.6 YEAR-WISE FINANCIAL ESTIMATES FOR INSTITUTIONAL AND PROJECT MANAGEMENT COMPONENT ................................ 47

3.7 PER CAPITA COSTS OF VARIOUS PROJECT COMPONENTS .......................................................................................... 54

3.8 COMPREHENSIVE PROGRAM COST ESTIMATE MODEL ............................................................................................ 54

4 ANNEXURE 4: .............................................................................................................................................. 57

4.1 TERMS OF REFERENCE FOR SUPPORT ORGANIZATION ............................................................................................. 57

4.2 TERMS OF REFERENCE FOR INDEPENDENT REVIEW AND QUALITY SURVEILLANCE AND MONITORING AGENCY .................... 58

4.3 DRAFT TERMS OF REFERENCE FOR UPGRADATION AND MAINTENANCE OF EXISTING MIS, DEVELOPMENT OF MOBILE BASED

SYSTEM AND DASHBOARD FOR MONITORING ALL THE ACTIVITIES OF DWSS .............................................................................. 62

5 ANNEXURE 5 ............................................................................................................................................... 67

5.1 PANCHAYATI RAJ INSTITUTIONS AND DECENTRALISATION IN PUNJAB ......................................................................... 67

5.2 STRATEGY FOR ACHIEVING AN ODF STATE STATUS ................................................................................................. 73

5.3 FORMAT FOR IMPLEMENTATION PROPOSAL .......................................................................................................... 75

5.4 OUTLINE OF THE DISCLOSURE POLICY AND ACTION PLAN ........................................................................................ 81


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5.5 APPRAISAL FORMAT FOR GPWSC PLAN (DSR) FOR SINGLE VILLAGE SCHEMES .......................................................... 84

5.6 USER COST SHARING RULES AND PROCEDURE FOR ADMINISTRATION ........................................................................ 87

5.7 COMMUNICATION STRATEGY ............................................................................................................................. 91

6 ANNEXURE 6 ............................................................................................................................................. 122

6.1 JOB DESCRIPTIONS OF SELECT POSITIONS ........................................................................................................... 122

6.2 MODEL CONTRACT LETTER FOR CONTRACT EMPLOYEES ........................................................................................ 162

6.3 CAPACITY BUILDING PLAN ............................................................................................................................... 164

7 ANNEXURE 7 ............................................................................................................................................. 169

7.1 PROCUREMENT RISK ASSESSMENT QUESTIONNAIRE (PRAMS) .............................................................................. 169

7.2 FINANCIAL MANAGEMENT MANUAL – TABLE OF CONTENTS .................................................................................. 182

7.3 TECHNICAL MANUAL – TABLE OF CONTENTS ...................................................................................................... 183

7.4 PROCUREMENT MANUAL – TABLE OF CONTENTS ................................................................................................ 189

7.5 TABLE OF CONTENTS OF SOCIAL ASSESSMENT REPORT ......................................................................................... 191

7.6 TABLE OF CONTENTS OF ENVIRONMENTAL ASSESSMENT REPORT............................................................................ 192


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1 Annexure 1

1.1 Map of Punjab Showing Districts

1.2 District wise characteristics of rural population in Punjab

District Name No of

Households

Total Populatio

n

Total Male

Total Female

Population SC

Male SC Female

SC No. of

villages

Amritsar 214993 1156045 607266 548779 464984 244254 220730 703

Barnala 76657 404842 215210 189632 133435 70636 62799 127

Bathinda 171292 889308 474484 414824 321533 169244 152289 279

F.G.Sahib 78997 414681 220050 194631 154570 81690 72880 442

Faridkot 76728 400457 210782 189675 171199 90303 80896 163

Fazilka 61875 321890 168644 153246 166241 86167 80074 135

Ferozpur 215092 1154628 607564 547064 543681 282869 260812 820

Gurdaspur 247414 1309352 683439 625913 304210 159518 144692 1179

Hoshiarpur 264831 1251656 634470 617186 465037 236295 228742 1385

Jalandhar 213682 1032419 528790 503629 515342 264466 250876 922

Kapurthala 107710 532706 275932 256774 212013 110167 101846 612

Ludhiana 280796 1429031 753444 675587 559471 294159 265312 885

Mansa 117232 606147 322184 283963 217553 114644 102909 238

Moga 147298 768500 405704 362796 307098 162624 144474 319

Muktsar 124124 649705 342202 307503 295179 155136 140043 233

Pathankot 64886 329652 172345 157307 131720 69023 62697 336

Patiala 214257 1132406 598800 533606 348587 183424 165163 895

Roopnagar 97827 506820 264089 242731 138597 72349 66248 591


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District Name No of

Households

Total Populatio

n

Total Male

Total Female

Population SC

Male SC Female

SC No. of

villages

S.A.S. Nagar 85123 450017 240984 209033 132713 70327 62386 403

S.B.S. Nagar 102766 486894 248118 238776 212889 108494 104395 458

Sangrur 217864 1139204 604653 534551 361376 191723 169653 564

Tarn Taran 176669 977832 514322 463510 339558 178817 160741 479

TOTAL 3358113 17344192 9093476 8250716 6496986 3396329 3100657 12168

Percentage of Population

100.00% 52.43% 47.57% 37.46% 19.58% 17.88%

1.3 Annexures related to Water Resources

I. Estimated Annual Requirement of water for domestic purposes including for cattle

in different states


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II. Water Resources Availability & Requirement

As per latest figures worked out by Director Water Resources Punjab, availability of water from

Ground water resources as well as from surface water resources against the total requirement

of water in the State are given below

Water Resources Available

(i) Surface Water 14.54 MAF (Canal Admn.)

(ii) Ground Water 15.10 MAF (Gross Recharge as per WB Study)

Total 29.64 MAF

Total Water Requirement

(i) Agriculture

Surface Water

Ground Water

14.29 MAF (14.54-0.25)

19.43 MAF (Draft figures as per WB Studies)

33.72 MAF

(ii) Domestic

Surface Water

Tubewells

0.25 MAF

1.15 MAF (CGWB Publication-2000)

1.40 MAF

(iii) Industries (as reported by

Industry Deptt.)

0.91 MAF (2003-04 Figures)

Total 36.03 MAF

Source: DWSS


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III. District wise status of Ground water in Punjab

District wise status of Ground water in Punjab 2009-10

A. District wise status of Ground water in Punjab 2010-11


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IV. Ground Water Exploitation- Categorisation of Blocks


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V. Number of Tube wells operated in Punjab


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2 Annexure 2

2.1 Government Notifications / Orders to be revised by DWSS

List of Government Notifications / Orders, to be revised by the DWSS for the Second Punjab

Rural Water Supply and Sanitation Project in due course

Government Notification dated 24.09.2006 for Setting up of SWSM and DWSC

Notification dated 2nd August on setting up of GPWSC

Notification of Scheme Level Committee

Government Orders dated 13.10.2006 regarding Fixing of Tariff for Bulk Water Supply

Government Orders dated17.10.2006 for using Financial Management Manual

Government Orders dated 05.10.2006 for using Procurement Manual

Government Letter dated 19.09.2006 confirming Extension of Contract of NGSO’s for

Community Development through Participatory Approach

Government Letter for Audit of Punjab Rural Water Supply Program


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2.2 GP Model Resolution for Gram Panchayat

Government of Punjab

Department of Water Supply and Sanitation District Block Gram Panchayat

Gram Panchyat meeting of ………………………………… held on ………………has resolved the following:

1. Resolved to apply to Department of Water Supply and Sanitation (DWSS) for inclusion in World

Bank assisted Punjab Rural Water Supply and Sanitation Sector Improvement Project.

2. Agreed to abide by the principles and guidelines issued by Government of Punjab from time to

time.

3. Agreed to constitute a Gram Panchayat Water and Sanitation Committee (GPWSC) as per the

guidelines of the project with concurrence of the Gram Sabha

4. Agreed to entrust various functions, powers & responsibilities of Program Planning,

Implementation, Monitoring and Management of Operation and Maintenance to GPWSC as

stipulated in the project guidelines.

5. Agreed to support and assist GPWSC in mobilizing community contribution towards capital cost

as well as managing O&M through user charges.

6. Agreed to authorize the GPWSC to open and operate a separate Bank Account for handling the

project funds.

7. Agreed to enter into MoU with GPWSC and DWSS as per guidelines.

8. Agreed to permit GPWSC to Constitute sub-committees, street/cluster level committees to

continuously support, guide and monitor the activities of GPWSC.

9. Agreed to give land free of cost for water supply and sanitation works.

Signature:

Sarpanch:

Date:


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2.3 GP Model Resolution for Gram Panchayat (For multi village schemes)


Department of Water Supply and Sanitation

District

Block

Gram Panchayat village:

Gram Panchyat meeting of ……………………held on ………………has resolved the following:

1. Resolved to apply to Department of Water Supply and Sanitation (DWSS) for inclusion in World

Bank assisted Punjab Rural Water Supply and Sanitation Sector Improvement Project.

2. Agreed to abide by the principles and guidelines issued by Government of Punjab from time to

time.

3. Agreed to constitute a Gram Panchayat Water and Sanitation Committee (GPWSC) as per the

guidelines of the project with concurrence of the Gram Sabha adopting the byelaw issued by

GOP.

4. Agreed to entrust various functions, powers & responsibilities of Project Planning,

Implementation, Monitoring and Management of Operation and Maintenance to GPWSC /SLC as

stipulated in the project guidelines.

5. Agreed to support and assist GPWSC in mobilizing community contribution towards capital cost

as well as managing O&M of the scheme through user charges.

6. Agreed to authorize GPWSC to deposit beneficiary share of capital cost and operation &

maintenance share .

7. Agreed to authorize the GPWSC to open and operate a separate Bank Account for handling the

project funds..

8. Agreed to enter into MoU with GPWSC, SLC and DWSS as per guidelines of project and

approved bye laws.

9. Agreed to permit GPWSC to Constitute sub-committees, street/cluster level committees to

continuously support, guide and monitor the activities of GPWSC.

10. Agreed to authorize GPWSC for nominating members for SLC and electing office bearers of SLC

as per Govt. guidelines.

11. Agreed to support and assist Scheme Level Committee (SLC) for collection of community

contribution for constructing common facility and bulk water charges as required from GPWSC.

12. Have no objection for supplying water to other villages of scheme from water works if situated in

the village or have no objection if water works is located in other village for receiving water.

13. Agreed to give land free of cost for water supply and sanitation works.

Signature:

Sarpanch:

Date:


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2.4 Model bye-laws on GPWSC

GOVERNMENT OF PUNJAB

DEPARTMENT OF WATER SUPPLY AND SANITATION

The --------- Gram Panchayat, in accordance with -------------has resolved towards establishing a water and Sanitation Committee (GPWSC) for ______________village _____________ block, ____________district _____________dated_______________and has approved this byelaw. The committee is hereby authorized to undertake all RWSS activities in _______________ village as per this byelaw. GPWSC members have been chosen from a meeting of the Gram Sabha. GPWSC will operate through the office of the Gram Panchayat located in____________

1. Background

1.1 The Government of Punjab proposes to implement a state wide reform approach oriented project to improve water and sanitation service levels, reduce open defecation, and strengthen service delivery arrangements in targeted villages in Punjab.

1.2 The reform approach being implemented through the Department of Water Supply and Sanitation

is based on the following key principles

Decentralising the responsibility of all intra- village water supply and sanitation services to the Gram Panchayat and an inclusive and representative body of the user community in the village -the GPWSC

Adopting a demand responsive approach

Partial cost sharing of capital investments and full recovery of operation and maintenance expenses by user communities,

Focusing on the system and source sustainability

1.3 Central to the reform approach is constituting the GPWSC and building its institutional and financial capacity for managing the responsibility of planning, implementing, operating, maintaining and continued management of all intra village water supply and sanitation facilities and services. Therefore, the Gram Panchayat Water and Sanitation Committee is being formed.

2. Objectives of GPWSC

To manage Water Supply and Sanitation activities in the village including planning, constructing, procuring, managing, operating and maintaining all Water Supply and Sanitation facilities and services in the village.

3. Composition of GPWSC

3.1. The GPWSC will consist of a minimum of 11 members and a maximum of 21 members depending upon the village population.

3.2 .Sarpanch shall be the ex-officio chairman and member of the GPWSC. 3.3 Three Panches as ex-officio members of the GPWSC out of which one shall be a woman, one

shall be a Schedule Caste and one shall be a general member.


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3.4 The remaining members of the GPWSC shall be directly selected by the Gram Sabha subject to

the conditions hereunder:

One third of the GPWSC members shall be women.

One fifth of the members of GPWSC shall be from Schedule Caste and Backward Class persons.

One third of the GPWSC members shall be from BPL Families or land less families.

3.4 The GPWSC members other than the Panches and Sarpanches shall be from amongst all social sections of the village community who have demonstrated committed leadership, voluntarism and worked in the past for the overall development of the village and community. This may include youth in the village, Self Help Group members, retired teachers, ex-service men, Anganwadi workers etc.

3.5 All geographic regions / clusters of the village shall be adequately represented in the GPWSC.

3.6 From among the members will be chosen a Secretary, and a Treasurer. 3.7 The Junior Engineer or any other officer deputed for the purpose from Department of Water

Supply and Sanitation shall be Technical Member cum Convenor of the committee. 4. Tenure of Membership 4.1. The tenure of all ex-officio i.e. Sarpanch and Panches, in the GPWSC shall be coterminous with

their holding the office of Sarpanch or Panch. 4.2 All members selected by Gram Sabha will have a tenure of three years and will be eligible for re-

selection by Gram Sabha. 4.3 In the extra ordinary event of the Gram Panchayat being dissolved, the Sarpanch being

suspended or removed and the office of the chairperson of the GPWSC falling vacant, an officer not below the rank of Sub divisional Engineer shall be appointed by the Department of Water Supply and Sanitation to perform the functions of chairperson. The officer so appointed shall hand over the office of the chairperson as soon as the Gram Panchayat is reconstituted or the Sarpanch assumes office.

5. Roles and Responsibilities of Gram Panchayat Water and Sanitation Committee 5.1 Planning Phase Responsibilities

i. Identify all water and sanitation related needs of the village community. ii. Plan, construct, operate and maintain all water supply and sanitation schemes, facilities and

services in the village iii To select feasible and cost-effective technology choices for solving water and sanitation related

problems of the village. iv Prepare and approve the detailed plans for water supply and sanitation schemes for the village. v Prepare and implement the operation and maintenance plan for the water supply and sanitation

schemes including the tariffs to be collected from users. vi Secure the services of DWSS for all engineering related support. vii Secure the services of support organisation for obtaining necessary social mobilisation,

institutional development and other software support. viii Liase with Gram Panchayat, support organizations and DWSS as true voice of the people.


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ix. Mobilize the agreed contribution towards capital cost-sharing of the planned water and sanitation services.

x. Identify capacity building needs for the members of GPWSC to facilitate in implementing the same.

xi. Ensure that the lands necessary for the construction of water and sanitation facilities are made available (free of cost).

xii. Ensure that the planned service levels are equitable within the village. xiii Identify and implement awareness building and IEC programmes that would empower the

community with relevance to water and sanitation, health & hygiene.

5.2 Implementation (Construction) Phase Responsibilities

i Directly receive funds from DWSS and expend the same for approved water supply and

sanitation schemes for the village. ii Invite bids for awarding tenders and finalise contract for works with approval from DWSS. iii Enter into contracts with contractors and other technical service providers and to release their

payments with the approval from DWSS iv Supervise the water and sanitation works and ensure that the works are implemented as planned

agreed and approved by DWSS. v Monitor the quality of materials and works and implement checks and measures for the same. vi Ensure that the availability of land is made as agreed during the planning process vii Meet regularly and take stock of the progress in work, community involvement, support required

and quality assurance. viii Maintain books of accounts and other records relating to implementation and other activities of

the GPWSC. ix Appraise Gram Panchayat and DWSS periodically the progress of works, any deviations from

original plans, any additional requirements, non-performance of the executors and quality issues. x Make available all books of accounts and other records, provide information and co-operate for

audit by DWSS. xi Implement environmental mitigation measures agreed in the approved plans. xii Submit monthly progress reports on physical and financial progress on implementation aspects to

the DWSS and GP. xiii Maintain transparency and cost-effectiveness in all transactions. xiv Facilitate and co-operate for visit and inspection of works, stores, books records etc. by DWSS. 5.3 Operation and Maintenance Responsibilities

i Develop a detailed Operation and Maintenance plan including fixing tariffs, roles and

responsibilities of DWSS, GP and GPWSC in operation and maintenance activities. This may include contracting out the O&M services

ii Collect water charges from users and meet the operation and maintenance expenses of water supply and sanitation facilities in the village.

iii Identify and implement training needs for members of the community in operation and maintenance of the water supply and sanitation facilities in the village.

iv Assign specific responsibilities to different members of GPWSC for specific tasks by forming sub-committees e.g. sub-committee for distribution network, sub-committee for collection of water tariff, sub-committee for maintenance of stand-posts, sub-committee for disinfection, sub-committee for maintenance of drainages, sub-committee for solid waste management, sub-committee for accounts and book-keeping, sub-committee for liaison with DWSS.

v Operate and maintain the project provided facilities and other water and sanitation facilities in the village to the best of its capacity.

vi Develop checks and measures for defaulters in payment of water tariff.


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vii Implement measures for conservation of water resources, prevention of wastage of water and maintaining environmental sanitation.

viii Develop regulatory measures for preventing unauthorized connections, water rationing as and when needed.

ix Attend immediately to leakages and other repairs. x Monitor performance of maintenance staff. xiii Promote environmental friendly practices like vermi-compost, rain-water harvesting etc., xiv Promote different models of operation and maintenance systems for public stand posts and other

common facilities provided by the project (eg. Franchising of maintenance of public stand posts to an unemployed youth, or a single woman or a self help group)

xv Liase with Gram Panchayat and DWSS on the items of maintenance that shall be taken care of by GPWSC, Gram Panchayat and the Department and come to a common agreement

xvi Maintain regularly accounts and records of operation and maintenance expenditure. xvii Prepare the Income and Expenditure statement of Operation and Maintenance to be publicized in

the community through hand bills/display in public places to ensure transparency and accountability.

6. Rules and Regulations

i GPWSC members shall be chosen from a meeting of the Gram Sabha. ii Both elected and selected members shall be chosen in the Gram Sabha to formalize the

committee iii The GP shall pass a resolution to appoint the GPWSC as a Committee to be in charge of all

water and sanitation services (planning, implementing, operation and maintenance, monitoring, quality assurance) in the village, approving the bylaw and empowering the GPWSC to undertake all roles and responsibilities as specified in the bylaw.

iv The GP Shall pass a resolution appointing the office-bearers of the GPWSC. v The Office-bearers will be President, Secretary, Treasurer and Technical Member cum

Convenor. vi The quorum for the meeting shall be at least 50% of the Committee. 7. Roles and Responsibilities of Office-bearers 7.1 Chairperson i Chair all the GPWSC meetings

ii Lead the GPWSC in taking all decisions regarding water sanitation services to the village

iii Liaison between GP and GPWSC for smooth functioning of the Committee

iv Facilitate fair and just decisions for equitable services within the village

v Ensure active participation of women, SC members and BPL families

vi Lead all lobbying work with the DWSS and other departments for betterment of the villages as

relevant to water, sanitation and hygiene promotion issues.

vii Will be one of the signatories of the bank account opened in the name of GPWSC

viii Responsible for mobilizing community contribution towards capital costs and Operation and

Maintenance

ix Responsible for land being made available for water and sanitation services to the community.

x Responsible in mobilizing household connections.

xi Responsible in guiding the Committee in Monitoring, quality assurance, ensuring User

Satisfaction, Operation and Maintenance and cost sharing by the community.

7.2 Secretary i Responsible for calling the meetings


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ii Assist the Convenor in for setting the agenda, sending letters, writing of minutes iii Assist the Convenor in maintaining of records and book keeping of all proceedings, and

resolutions iv Responsible for correspondence between the Committee and GP, DWSS, Community and others v One of the signatories of the bank account opened in the name of GPWSC vi Assist the President and the Treasurer in their duties vii Responsible for mobilizing community contribution towards capital costs and Operation and

Maintenance 7.3 Treasurer i Responsible for all financial matters related to GPWSC ii Responsible for maintaining of accounts of expenditure incurred on the implementation of

schemes. iii Responsible for mobilization and collection of community contribution towards capital costs,

operation, and maintenance and maintaining proper records and accounts iv Responsible for all receipts and payments 7.4 Technical Member cum Convenor i Informing the community about the water quality of existing sources. ii Responsible for all engineering aspects including preparation of line estimates for different

technological options along with O & M cost and advising about best cost-effective & technological option.

iii Setting the agenda, sending letters, writing of minutes for convening meetings with the assistance of Secretary GPWSC.

iv Maintaining records and book keeping of all GPWSC proceedings, and resolutions v Enabling in monitoring as well as quality control. vi Securing necessary approvals from the concerned Engineer of DWSS for the issue of certificate

for the release of payments. vii Progress reporting to the DWSS. 8. Financial Arrangements i Bank Account shall be opened (separate for Capital and O&M expenditures) in the name of

Village Water and Sanitation Committee as resolved in the Gram Sabha. ii Gram Sabha shall pass a resolution that all funds related to water and sanitation services coming

from DWSS, community, GP Shall be placed in this account. iii Bank Account shall be operated by Chairman and Secretary as joint signatories. iv All decisions related to finances shall be taken in a GPWSC meeting with a minimum quorum of

50% of the Committee. v A monthly receipt-expenditure note shall be prepared and displayed in the GP office and in other

public places to ensure transparency. vi Auditing will be done as per agreed stipulations.


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2.5 GP Resolution recognising GPWSC



District

Block

Gram Panchayat

Gram Panchayat meeting of ………………………………… held on ………………has resolved the

following:

1. Resolved to recognise the GPWSC with the following numbers selected in Gram Sabha meeting held on ___________.

Sl.

No. Name of the Member

Classification

(Women/SC/BPL/

landless)

Designation (President /

Secretary / Treasurer/ Member) Signature

A. Sarpanch

B. Panches

C. General Members

D. Technical Member cum

Convenor

2. Resolved to approve the by-laws of GPWSC and to authorise the GPWSC in carrying out its business as per the by-laws and program guidelines issued by DWSS.

3. Resolved to authorise GPWSC in deciding on technology options and schemes for water supply and sanitation and execute the scheme as per guidelines of the programme.

4. Resolved to authorise GPWSC in opening and operating bank accounts for handling programme funds.

5. Resolved to authorise GPWSC in receiving programme funds for implementing water supply and sanitation related schemes and services in the village including community contributions, connection charges, fees etc. from users.

6. Resolved to authorise GPWSC in fixing user charges for water supply and sanitation schemes and services so as to recover the full operation and maintenance expenses.

7. Resolved to provide all support and enabling environment to the GPWSC in undertaking its activities.

Signature:

Sarpanch:

Date:


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2.6 GPWSC’s Resolution for sending list of members for SLC

GPWSC’s Resolution for sending list of members for SLC

A meeting of Gram Panchayat Water and Sanitation Committee of Village:

____________Block:_________ District:______________ was held on ___________ in the village and

has resolved the following:

1. Resolved to send following list of members for the Scheme Level Committee village (name of

village where water works is located) as per notification dated_________ of Department of

Water Supply and Sanitation.

Sl.

No.

Name of the

Member

Classification

(Women/SC/BPL/

landless)

Designation

(Chairperson/ Secretary /

Treasurer/ Member etc.)

Signature

1. Resolved to authorize SLC to carrying out its business as per approved By Laws of SLC by GP’s and guidelines approved by Government for the project and approved By- Laws of SLC.

2. Resolved to authorize members to select office bearers for SLC.

Signatures of members of GPWSC: -

Sr. No. Name of member Signature


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2.7 GPWSC’s Resolution for Recognising SLC

GPWSC’s Resolution for Recognising SLC

A meeting of Gram Panchayat Water and Sanitation Committee’s of village

1. ____________Block:_________ District:______________

2. ____________Block:_________ District:______________

3. ____________Block:_________ District:______________

4. ____________Block:_________ District:______________

held on ………………in village___________has resolved the following:

1. Resolved to recognise the Scheme Level Committee village (name of village where water works is located) with the following members selected in the meeting held on ___________ as per notification dated_________ of Department of Water Supply and Sanitation.

Sl.

No.

Name of the

Member

Classification (Women/

SC/BPL/ landless)

Designation (President /

Secretary / Member etc.) Signature

A. President

B. Secretary

C. 1. Members

2.

3.

4.

5.

6.

D. (Name of J.E./A.E.

incharge of scheme)

Technical member

2. Resolved to authorise the SLC in carrying out its business as per the by-laws approved by GPs

for SLC and project guidelines issued by DWSS.

3. Resolved to authorise SLC supervising monitoring the water supply and sanitation works as

per guidelines of the project.

4. Resolved to provide all support and enabling environment to the SLC in undertaking its

activities as per project guidelines.

5. Resolved to authorize SLC to liaise with various departments, institutions or GPWSC’s and

GP’s for managing various activities of project.


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1) Signatures of members of GPWSC of village___________:









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2.8 Tripartite Memorandum Of Understanding (MOU) Between Gram Panchayat, Gram

Panchayat Water & Sanitation Committee and Department of Water supply &

Sanitation, Government of Punjab



This Memorandum of Understanding (MoU) is entered on --------------- day of --------- (Month)............(Year)

between:

(i) The ________________ Gram Panchayat (hereinafter called the first Party), (ii) The ________________ Gram Panchayat Water & Sanitation Committee (hereinafter called

the second party) and (iii) The Department of Water Supply and Sanitation (DWSS) (hereinafter called the third party).

1. Preamble

The Government of Punjab proposes to implement a state wide reform approach oriented project

to improve water and sanitation service levels, reduce open defecation, and strengthen service

delivery arrangements in targeted villages in Punjab.

i. The Department of Water Supply and Sanitation has selected the first party based on an

approved selection criteria for participation in the Project.

ii. The first party, in its Gram Sabha meeting has resolved to accept the key program

principles and implement the project in the village, constituted the second party and

entrusted with it the responsibility of implementing the Project in accordance with the

guidelines and rules framed by the Department of Water Supply and Sanitation.

iii. The third party has been established by Department of Water Supply and Sanitation and

entrusted with it the responsibility to spearhead the implementation of the project at the

District Level including provision of technical, social, financial, organizational and

managerial support to the first two parties in successfully implementing the Project.

Now therefore, this MoU is entered into among the authorized representatives of the three parties.

2. Objective

This MoU defines the roles and responsibilities of all the three parties to this MoU, so as to

enable them to work together as partners.

3. Scope of the MoU

i. The three parties undertake to co-ordinate, collaborate, support and manage the planning

and implementation of the Project including operation and maintenance of the assets,

existing or newly created, in accordance with this MoU.

ii. The activities under this MoU shall be carried out in accordance with the Project

Implementation Plan as approved by the Department of Water Supply and Sanitation and

also as per the Operational Guidelines developed and communicated to the first and

second parties from time to time by the third party.


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iii. The activities and the work shall be carried out within the geographic boundaries of --------

---village.

4. Duration of the MoU

i. The third party has developed a Scheme Cycle consisting of the various activities, the

duration for each activity and inter-relationship of activities and has divided the activities

into pre-planning, planning, implementation and post-implementation phases [as per

appended Scheme Cycle].

ii. DWSS, GP and GPWSC having completed the Pre-Planning phase, the agreement is for

the period up to the completion of all activities listed in the scheme cycle and shall be

completed within a period of 12 months from the date of signing of this MoU.

5. Roles and Responsibilities of the First Party (----------------- Gram Panchayat)

The first party agrees to undertake the following roles and responsibilities:

i. To adopt a village vision, strategy and action plan for developing the water supply and

sanitation sector in the village.

ii. To entrust with the second party the responsibility for implementing the vision, strategy and action plan for solving the issues and problems in the water supply and sanitation sector of the village.

iii. To support and enable the second party by suitably empowering it to perform the roles and responsibilities assigned to it as per this MoU and the guidelines of the Programme.

iv. To authorize the second party to receive eligible funds under the programme for capital works and expend the same in accordance with the provisions of this agreement and as per the guidelines issued by Department of Water Supply and Sanitation.

v. To authorize the second party to open and operate separate Bank Account in the name of second party for transacting the funds for implementing water supply and sanitation schemes taken up under the RWSS Project and also for the operation and maintenance.

vi. To own all movable and immovable assets of the Water Supply and Sanitation infrastructure facilities and to entrust with the second party all the rights of operation, maintenance, management, up keep and safe custody of the assets.

vii. To utilize all the powers conferred on it as per the Punjab Panchayati Raj Act, 1994 and subsequent amendments to ratify all actions of the second party done in accordance with this MoU for the purpose of achieving the objectives of the Project.

viii. To support the second party in all IEC and capacity building activities in the villages for the purpose of water supply development, improvement and sustenance; promotion of Sanitation, Health and Hygiene.

ix. To provide support to the second party in mobilizing community contribution and recovery of operation and maintenance expenses.

x. To monitor as well as audit all activities undertaken by the second party so as to ensure that all social, technical and financial processes and procedures are in compliance with the guidelines issued by the third party.

6. Roles and Responsibilities of the Second Party (----------- Gram Panchayat Water &

Sanitation Committee)

The second party agrees to undertake the following roles and responsibilities:

i. To manage Rural Water Supply and Sanitation activities in the village including designing, implementing, undertaking procurement activities, fund management, operating and maintaining all Water Supply and Sanitation facilities and services.

ii. To assist the first party in preparing and implementing the village vision, strategy and action plan for developing the water supply and sanitation sector of the village.

iii. To perform all activities in respect of providing water supply and sanitation facilities and services to the village community.


25 | P a g e

iv. To discuss the Community Action Plan prepared by community with the third party for obtaining Administrative and Technical approval from DWSS.

v. To act as a link and liaison between Gram Panchayat, Department of Water Supply and Sanitation, other departments and institutions working in the water supply and sanitation sector.

vi. To disseminate information, create awareness and educate the village community on all aspects of water supply and sanitation including health and hygiene aspects and water resource management.

vii. To carry out all activities under this MoU utilizing participatory methodologies so as to ensure participation of women, youth, scheduled castes and poor in the village community.

viii. To receive funds from the third party and utilise the same as per rules and the guidelines of the Project and in accordance with prudent financial management principles.

ix. To comply with the principles, rules and guidelines issued by the third party from time to time.

x. To open and operate bank accounts for transacting all amounts received and expended for implementing the Project as well as operating and maintaining the schemes.

xi. To maintain up to date and accurate books of accounts and make available records for audit/inspections.

xii. To procure works, goods or services for carrying out various activities under this MoU in accordance with the guidelines issued by the Department of Water Supply and Sanitation.

xiii. To mobilize the villagers for community action to solve the water supply and sanitation related problems of the village.

xiv. To mobilize users’ share of capital cost of setting-up water supply and sanitation facilities from among the village community.

xv. To operate and maintain the facilities created under the Project and meet full operation and maintenance expenses by collecting user charges.

xvi. To do all the activities under this MoU in a transparent manner providing key information to all members in village community including setting up of display boards.

xvii. To report monthly progress of Project activities to the first party and to the third party on a regular basis.

xviii. To supervise all works and other activities under this MoU and to ensure conformity with quality and design parameters as per approved plans, estimates and other guidelines.

xix. To co-operate with first and third parties for inspection, verification, audit, evaluation and studies by the first and third parties or agencies authorized by them and implement corrective actions recommended.

xx. To carry out surveillance and monitoring of water quality and environmental sanitation. xxi. To prepare Implementation Completion Report in respect of all Community Action Plans

and submit to the third party.

7. Roles and Responsibilities of Third Party (DWSS)

The third party agrees to undertake the following roles and responsibilities:

i. To arrange for dissemination of Project information including key principles, approaches

and methodologies, components and activities etc. to the village community.

ii. To arrange for implementing social mobilization, IEC and capacity building activities for the

benefit of the first and second parties.

iii. To make available the services of the sub divisional offices including the services of JEs of

the Department of Water Supply and Sanitation to spearhead all Project related activities.

iv. To assist the second party in contracting the services for availing social mobilization, IEC

and other capacity building support services, as applicable.

v. To arrange for providing technical support in collection of field data, helping the village

community on deciding affordable and feasible technical options, preparing rough cost


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estimates, preparation of Detailed Scheme Reports etc. and completing the Community

Action Plans.

vi. To build the capacity of the first and second party in technical and engineering aspects

including water quality monitoring, operation and maintenance aspects.

vii. To accord / obtain administrative and technical sanction for the Community Action Plans.

viii. To release Project funds to the second party in instalments as per the guidelines of the

Project

ix. To measure works, check quality of works and materials, internal audit bills and pass bills

for payments to the contractors.

x. To carry out evaluation studies, impact assessment surveys etc. and share the key learning

with first and second parties.

xi. To commission quality surveillance studies and evaluations and recommend corrective

measures wherever needed.

8. Terms and Conditions of Fund Release

i. The third party will release to the second party the Project funds in instalments, as

prescribed in the Financial Manual, once the latter fulfil the conditions for release of each

instalment.

9. Termination of the MoU

i. The first party and the second party can terminate the MoU in the events of:

a. Undue delay in providing technical support, administrative sanctions, technical

sanctions etc. by the third party.

b. Delay of more than 60 days, without valid reasons, in releasing Project funds by the

third party in spite of the first and second parties successfully fulfilling all the

conditions for releasing the payments.

ii. The third party can terminate the MoU on the occurrence of one or more of the following

events after reasonable notice:

a. Mismanagement of Project funds, materials and/or assets by the first and second

parties

b. Failure on the part of the first and second parties to complete the activities in

accordance with the agreed Scheme Cycle

c. Providing incorrect data or information by the first and second parties with malafide

intentions to mislead the third party

d. Either of the first two parties losing interest in Project activities and becoming

dormant

e. The first and second parties cannot undertake the Project activities due to technical,

financial, social or other reasons

f. Failure of the first and second parties to rectify the defects pointed out by the third

party within reasonable time.


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Conditions for Release of Project Funds – Refer to Financial Management Manual for conditions for

release of Project Funds.

10. Disputes

Any disputes between the parties arising out of this MoU shall be settled, in the first instance,

through mutual and amicable consultation. If the dispute is not settled through such consultation,

the matter shall be referred for arbitration to the Principal Secretary, Department of Water Supply

and Sanitation, Government of Punjab.

11. Appendices

The following documents given in appendices to this MoU shall be deemed as part of this MoU:

i. Gram Panchayat Resolution by the first party dated …………..

ii. Scheme Cycle

We the undersigned on behalf of the respective institutions shall maintain the integrity in functions and

abide by the contents of this MoU for effective implementation and achievement of the objectives of the

Project.

For first party

……………………………

… Sarpanch, Gram

Panchayat

For second party

………………………………

…… Secretary, GPWSC

For third party

………………………………

…… Executive Engineer

(Concerned Division), DWSS

Witnesses1

Name and Address

Signature………………

…..

Name and Address

Signature………………

…..

Witnesses

Name and Address

Signature…………………..

Name and Address

Signature………………..

Witnesses

Name and Address


Name and Address


At least one of the witnesses of the first and second parties shall be a woman.


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2.9 Quadrilateral MoU for Multi Village Scheme (For multi village schemes) Between

Gram Panchayat, Gram Panchayat Water & Sanitation Committee, Scheme Level

Committee and Department of Water supply & Sanitation, Government of Punjab

Quadrilateral MoU for Multi Village Scheme (For multi village schemes)

This Memorandum of Understanding (MoU) is entered on --------------- day of --------- (Month)............(Year) between:

(i) The following Gram Panchayat (hereinafter called the first Parties),

Sl. No. Name of Gram Panchayat

(ii) The following Gram Panchayat Water & Sanitation Committee (hereinafter called the second parties)

Sl. No. Name of Gram Panchayat Water & Sanitation Committee

(iii) The_________________ Scheme Level Committee (hereinafter called the third party) and

(iii) The DWSS (hereinafter called the fourth party).

1. Preamble

The Government of Punjab proposes to implement a state wide reform approach oriented project to improve water and sanitation service levels, reduce open defecation, and strengthen service delivery arrangements in targeted villages in Punjab.

i. The Department of Water Supply and Sanitation has selected the first parties based on an approved selection criteria for participation in the Project.

ii. The first parties, in their Gram Sabha meetings have resolved to accept the key Project principles and implement the Project in the village, constituted the second parties and entrusted with them the responsibility of implementing the Project in accordance with the guidelines and rules framed by the Department of Water Supply and Sanitation.

iii. The second parties after conducting a techno- economic feasibility has decided to come together to plan, implement and operate and manage a Multi Village Water Supply Scheme (hereinafter called the scheme) and constituted a joint committee i.e. Scheme Level Committee, the third party in accordance with the guidelines and rules framed by the


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Department of Water Supply and Sanitation vide Government of Punjab notification number-------------------.

iii. The fourth party has been established by Department of Water Supply and Sanitation and entrusted with it the responsibility to spearhead the implementation of the Project at the Division Level including provision of technical, social, financial, organizational and managerial support to the first two parties and technical support to the third party in successfully implementing the Project.

Now therefore, this MoU is entered into among the authorized representatives of the four parties.

2. Objective

This MoU defines the roles and responsibilities of all the four parties to this MoU, so as to enable them to work together as partners.

3. Scope of the MoU

i. The four parties undertake to co-ordinate, collaborate, support and manage the planning and implementation of the Project including operation and maintenance of the assets consisting of both intra-village facilities and common facilities in respect the scheme, existing or newly created, in accordance with this MoU.

ii. The activities under this MoU shall be carried out in accordance with the Project Implementation Plan as approved by the Department of Water Supply and Sanitation and also as per the Operational Guidelines developed and communicated to the first three parties from time to time by the fourth party.

iii. The activities and the work shall be carried out within the geographic boundaries of the first parties.


i. The fourth party has developed a Scheme Cycle consisting of the various activities, the duration for each activity and inter-relationship of activities and has divided the activities into pre-planning, planning, implementation and post-implementation phases in respect of Multi Village Water Supply schemes [as per appended Scheme Cycle].

ii. DWSS, SLC,GP and GPWSC having completed the Pre-Planning phase, the agreement is for the period up to the completion of all activities listed in the scheme cycle and shall be completed within a period of ___ months from the date of signing of this MoU.

5. Roles and Responsibilities of the First parties (----------------- Gram Panchayat)

The first parties agrees to undertake the following roles and responsibilities:

i. To adopt a village vision, strategy and action plan for developing the water supply and sanitation sector in the village.

ii. To entrust with the second parties the responsibility for implementing the vision, strategy and action plan for solving the issues and problems in the water supply and sanitation sector of the village.

iii. To recognise and empower the third parties with all powers and resources so as to enable them perform their roles and responsibilities under this MoU.

iv. To support and enable the second parties by suitably empowering it to perform the roles and responsibilities assigned to it as per this MoU and the guidelines of the Project.


30 | P a g e

v. To authorize the second parties to receive eligible funds under the Project for capital works and spend the same in accordance with the provisions of this agreement and as per the guidelines issued by Department of Water Supply and Sanitation.

vi. To authorize the second parties to open and operate separate Bank Account in the name of second parties for transacting the funds for implementing water supply and sanitation schemes taken up under the RWSS Project and also for the operation and maintenance.

vii. To own all movable and immovable assets of the Water Supply and Sanitation infrastructure facilities and to entrust with the second parties all the rights of operation, maintenance, management, up keep and safe custody of the assets.

viii. To utilize all the powers conferred on it as per the Punjab Panchayati Raj Act, 1994 and subsequent amendments to ratify all actions of the second parties done in accordance with this MoU for the purpose of achieving the objectives of the Project.

ix. To support the second parties in all IEC and capacity building activities in the villages for the purpose of water supply development, improvement and sustenance; promotion of Sanitation, Health and Hygiene.

x. To provide support to the second parties in mobilizing community contribution and recovery of operation and maintenance expenses.

xi. To monitor as well as audit all activities undertaken by the second parties so as to ensure that all social, technical and financial processes and procedures are in compliance with the guidelines issued by the fourth party.

6. Roles and Responsibilities of the Second parties (----------- Gram Panchayat Water & Sanitation Committee)

The second parties agrees to undertake the following roles and responsibilities:

i. To nominate their representatives to constitute the third party, participate in all its activities and abide by the decisions taken by the third party.

ii. To manage Rural Water Supply and Sanitation activities inside their respective villages, including designing, implementing, undertaking procurement activities, fund management, operating and maintaining all intra- village Water Supply and Sanitation facilities and services.

iii. To assist the first parties in preparing and implementing the village vision, strategy and action plan for developing the water supply and sanitation sector of the village.

iv. To perform all activities in respect of providing water supply and sanitation facilities and services to the village community.

v. To discuss the community action plan prepared by community with other three parties for obtaining Administrative and Technical approval from DWSS.

vi. To assist third party which acts as a link and liaison between Gram Panchayat, GPWSC, Department of Water Supply and Sanitation, other departments and institutions working in the water supply and sanitation sector.

vii. To disseminate information, create awareness and educate the village community on all aspects of water supply and sanitation including health and hygiene aspects and water resource management.

viii. To carry out all activities under this MoU utilizing participatory methodologies so as to ensure participation of women, youth, scheduled castes and poor in the village community.

ix. To receive funds from the fourth party and utilise the same as per rules and the guidelines of the Project and in accordance with prudent financial management principles.

x. To comply with the principles, rules and guidelines issued by the fourth party from time to time.


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xi. To open and operate bank accounts for transacting all amounts received and spend for implementing the Project as well as operating and maintaining the schemes.

xii. To maintain up to date and accurate books of accounts and make available records for audit/inspections.

xiii. To procure works, goods or services for carrying out various activities under this MoU in respect of the intra-village components of the scheme in accordance with the guidelines issued by the Department of Water Supply and Sanitation.

xiv. To mobilize the villagers for community action to solve the water supply and sanitation related problems of the village.

xv. To mobilize users’ share of capital cost of setting-up water supply and sanitation facilities from among the village community and remit the share pertaining to the common facilities to the fourth party.

xvi. To operate and maintain the facilities created under the Project and meet full operation and maintenance expenses of the scheme by collecting user charges.

xvii. To pay the bulk water charges to fourth party for the water supplied by the fourth party on the basis of charges fixed by DWSS.

xviii. To do all the activities under this MoU in a transparent manner providing key information to all members in village community including setting up of display boards.

xix. To report monthly progress of Project activities to the first parties and to the fourth party on a regular basis.

xx. To supervise all works and other activities under this MoU and to ensure conformity with quality and design parameters as per approved plans, estimates and other guidelines.

xxi. To co-operate with first and fourth party for inspection, verification, audit, evaluation and studies by the first and fourth party or agencies authorized by them and implement corrective actions recommended.

xxii. To carry out surveillance and monitoring of water quality and environmental sanitation. If any agency is hired for this purpose will cooperate with them.

xxiii. To prepare Implementation Completion Report in respect of all Community Action Plans and submit to the fourth party.

7. Roles and Responsibilities of Third Party (SLC)

i. SLC will function as Co-ordinator with jurisdiction on all issues concerning the planning, construction and operation and maintenance of the multi village scheme (MVS).

ii. It is a decision making body concerning all stages and parameters of the multiple village water supply schemes as per guidance/ rules approved by DWSS.

iii. It has the responsibility of initiating dialogue amongst the GPWSCs, participating GPs, DWSS and other institutions such as Block and Zilla Parishad, Electiricty Board, Health Department , Education Department and other stakeholders on all matters pertaining to the conception, planning, implementation and post implementation phase of operation and maintenance of the scheme.

iv. The SLC shall, together with DWSS, organize the survey and initial planning for a MVS and then will be responsible for helping GPWSC in preparing estimate and getting approval of the Rough cost estimates and detailed scheme report (DSR) from appropriate authority. SLC will be responsible for preparation of Implementation Phase Proposal which includes both technical and social interventions with the help of the DWSS.

v. The SLC shall play a decisive role in ensuring timely commencement of the Project, supervising the quality of works undertaken under common facilities and ensure successful attainment of the Project and scheme objectives.

vi. The SLC shall supervise all stages of construction and accord concurrence for each payment to be made to contractor by the competent authority, after obtaining a


32 | P a g e

resolution from the SLC to the effect that the work has been carried out as per specifications contained in the approved DSR.

vii. To prepare and implement an operation and maintenance plan for the common facilities as per guidance of DWSS.

viii. To ensure the quality of the water supplied to the second parties by periodically monitoring water quality and taking such other remedial measures.

ix. To draw up and implement a schedule of water supply to the second parties on equitable basis.

x. To ensure with the help of DWSS that requisite quantity of water reaches to the second parties as is agreed in the meetings of the third party.

xi. To mediate resolution of any disputes that may arise within or amongst the first and second parties.

xii. To organise common activities that may benefit the second parties relating to water supply and sanitation sector

8. Roles and Responsibilities of Fourth party

The fourth party agrees to undertake the following roles and responsibilities:

i. To arrange for dissemination of Project information including key principles, approaches and methodologies, components and activities etc. to the village community.

ii. To arrange for implementing social mobilization, IEC and capacity building activities for the benefit of the first and second parties.

iii. To make available the services of the sub divisional offices including the services of JEs of the Department of Water Supply and Sanitation to spearhead all Project related activities.

iv. To assist the second parties in contracting the services for availing social mobilization, IEC and other capacity building support services.

v. To arrange for providing technical support in collection of field data, helping the village community on deciding affordable and feasible technical options for the intra village facilities and common facility, preparing rough cost estimates, preparation of Detailed Scheme Reports etc. in respect of all intra-village facilities, common facilities and completing the Community Action Plans.

vi. To build the capacity of the first, second and third parties in technical and engineering aspects including water quality monitoring, operation and maintenance aspects.

vii. To accord/ obtain administrative and technical sanction for the Community Action Plans.

viii. To procure works, goods or services for carrying out various activities for the planning ,construction, operation and maintenance etc. of the common facilities of the scheme.

ix. To release Project funds to the second parties in instalments as per the guidelines of the Project for the implementation of the intra-village components of the scheme.

x. To release payments to the contractors upon recommendation from the third party as to the contractors having satisfactorily undertaken the tasks entrusted for common facility.

xi. To measure works, check quality of works and materials, internal audit bills and pass bills for payments to the contractors.

xii. To carry out evaluation studies, impact assessment surveys etc. and share the key learning with first, second & third parties.

xiii. To commission quality surveillance studies and evaluations and recommend corrective measures wherever needed.

xiv. To fix bulk water charges for the operation and maintenance of common facility and revise the same as per requirement in consultation with the second & third party.


33 | P a g e

xv. To obtain funds for capital cost sharing of common facility and operation & maintenance of common facility from second parties.

xvi. To ensure the quality and requisite quantity of the water supplied to the second parties by periodically monitoring water quality and taking such other remedial measures.

xvii. To construct and operate and maintain common facility for the villages, including designing, implementing, undertaking procurement activities.

9. Terms and Conditions of Fund Release

i. The fourth party will release to the second parties the Project funds required for the completion of the intra village facilities in four instalments, once the latter fulfil the conditions for release of each instalment as summarized in Financial Management Manual.

ii. The second party will deposit full amount of required beneficiary share for construction of common facility to the fourth party before signing of MoU.

10. Termination of the MoU

i. The first parties , the second parties and the third parties can terminate the MoU in the events of:

a. Undue delay in providing technical support, administrative sanctions, technical sanctions etc. by the fourth party.

b. Delay of more than 60 days, without valid reasons, in releasing Project funds by the fourth party in spite of the first and second parties successfully fulfilling all the conditions for releasing the payments.

ii. The fourth party can terminate the MoU on the occurrence of one or more of the following events after reasonable notice:

a. Mismanagement of Project funds, materials and/or assets by the first , second and/or third parties

b. Failure on the part of the first, second and/or third parties to complete the activities in accordance with the agreed Scheme Cycle

c. Providing incorrect data or information by the first, second and /or third parties with malafide intentions to mislead the fourth party

d. Either of the first two parties losing interest in Project activities and becoming dormant

e. The first,second and/or third parties cannot undertake the Project activities due to technical, financial, social or other reasons

f. Failure of the first, second and/or third parties to rectify the defects pointed out by the fourth party within reasonable time.

Conditions for Release of Project Funds: Refer to Financial Management Manual for Conditions for release of Project Funds.

10. Disputes

Any disputes among the parties arising out of this MoU shall be settled, in the first instance, through mutual and amicable consultation. If the dispute is not settled through such consultation, the matter shall be referred for arbitration to the Principal Secretary, Department of Water Supply and Sanitation, Government of Punjab.

11. Appendices


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The following documents given in appendices to this MoU shall be deemed as part of this MoU:

i. Gram Panchayat Resolution by the first parties dated …………..

ii. GPWSC Resolution by all the second parties dated ----------------

iii. Scheme Cycle

iv. Approved Detailed Scheme Report

We the undersigned on behalf of the respective institutions shall maintain the integrity in functions and abide by the contents of this MoU for effective implementation and achievement of the objectives of the Project.

For first parties 1.Sarpanch,………………………………, Gram Panchayat 2.Sarpanch,………………………………, Gram Panchayat 3.Sarpanch,………………………………, Gram Panchayat 4.Sarpanch,………………………………, Gram Panchayat 5.Sarpanch,………………………………, Gram Panchayat

For second parties 1.Secretary……………………………………, GPWSC 2.Secretary……………………………………, GPWSC 3.Secretary……………………………………, GPWSC 4.Secretary……………………………………, GPWSC 5.Secretary……………………………………, GPWSC

For Third party The Secretary -------------------------------SLC

For fourth party ……………………………… Executive Engineer, Division

Witnesses1

Name and Address Signature………………….. Name and Address Signature…………………..

Witnesses Name and Address Signature………………….. Name and Address Signature………………..

Witnesses Name and Address Signature………………….. Name and Address Signature…………………..



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2.10 Tripartite MoU for Sewerage Schemes Between Gram Panchayat, Gram Panchayat

Water & Sanitation Committee, and Department of Water supply & Sanitation,


OPERATION AND MAINTENANCE OF SEWERAGE SCHEMES

TRIPARTITE MEMORANDUM OF UNDERSTANDING

Between Gram Panchayat, Gram Panchayat Water & Sanitation Committee and

Department of Water Supply & Sanitation, Government of Punjab

This Memorandum of Understanding (MoU) is entered on --------------- day of --------- (Month)............(Year) between:

(i) The ________________ Gram Panchayat,-------- Block, ---------- District

(hereinafter called the first Party),

(ii) The ________________Gram Panchayat Water & Sanitation Committee (hereinafter called the second party) and

(iii) The Department of Water Supply & Sanitation (DWSS), Government of Punjab (hereinafter called the third party).

1. Preamble

The Department of Water Supply and Sanitation, Government of Punjab is implementing the

Punjab Rural Water Supply and Sanitation Improvement Project (hereinafter called the Project)

with the objective to improve rural water supply and sanitation service levels, reduce open

defecation and strengthen service delivery arrangements in targeted villages in Punjab.

i. Gram Panchayat willing to participate in the Project will act as a first party for O&M of sewerage scheme.

ii. The first party will entrust to second party i.e. GPWSC constituted in the Gram Sabha, the responsibility of O&M of sewerage schemes and oversight of environmental compliance in accordance with the guidelines framed by the Department of Water Supply and Sanitation.

iii. Department of Water Supply and Sanitation through concerned Executive Engineer will act as third party and is entrusted with the responsibility for implementation of sewerage scheme in village. Third party will also provide technical, social, organizational and managerial support to the first two parties for successful Operational & Maintenance of sewerage scheme in the village.

Now therefore, this MoU is entered into among the authorized representatives of the three parties.

2. Objective

This MoU defines the roles and responsibilities of all the three parties to this MoU, so as to enable them to work together as partners.


36 | P a g e

3. Scope of the MoU

i. The three parties undertake to co-ordinate, collaborate, support and manage the operation and maintenance of newly created assets, in accordance with this MoU.

ii. Under this MoU, operation and maintenance of the sewerage scheme including compliance of environmental management plan shall be carried out in accordance with the Operation & Maintenance Contract Agreement and also as per the Operational Guidelines developed and communicated to the first and second parties from time to time by the third party.


i. The Memorandum of Understanding among GP, GPWSC and DWSS shall be for the period of ____ months from the completion of Construction stage.

5. Roles and Responsibilities of the First Party (----------------- Gram Panchayat)

The first party agrees to undertake the following roles and responsibilities:

i. To adopt a village vision, strategy and action plan for Operation & Maintenance and oversight Environmental compliance of sanitation facility in the village.

ii. To entrust with the second party the responsibility for implementing the vision, strategy and action plan for solving the issues and problems for operation and maintenance of sewerage system of the village.

iii. To support and enable the second party by suitably empowering it to perform the roles and responsibilities assigned to it as per this MoU and the guidelines of the Project.

iv. To assess the performance of second party and to give advice for improvement of performance, first party would also take help of third party.

v. To authorize the second party to open and operate separate Bank Account in the name of second party for transacting the funds for operation and maintenance of sewerage scheme.

vi. To authorize the second party for fixing and collecting user charges, fees under the guidance of Third party as it may deem fit for fully recovering the operation and maintenance cost of sewerage infrastructure, facilities and services

vii. To own all movable and immovable assets of the sewerage system infrastructure facilities and to entrust with the second party all the rights of operation, maintenance, management, up keep and safe custody of the assets.

viii. To authorize second party to sign O&M Contract Agreement for sewerage scheme with contractor.

ix. To authorize the second party for making payment to the contractor for carrying out the operation and maintenance services as per conditions of O&M Contract Agreement.

x. To utilize all the powers conferred on it as per the Punjab Panchayati Raj Act, 1994 and subsequent amendments to ratify all actions of the second party done in accordance with this MoU for the purpose of achieving the objectives of the Programme.

xi. In the event of the second party failing to meet and transect business for three consecutive months, not performing its roles and responsibilities in effective manner as prescribed in the notification, mis-utilization, misappropriation, embezzlement of funds of office bearers acting in manners benefiting themselves or close relatives, the first party can request the third party (sample letter attached) to take over the functions of second party. In the event of such takeover, the third party must initiate activities through the first party and reconstitute second party within one month ( if ex-officio member i.e. Chairman is not involved in misappropriation, embezzlement otherwise procedure as per Clause


37 | P a g e

200(1) of Punjab Panchayati Raj Act, 1994 would be adopted) and entrust it back with the takeover responsibilities.

xii. To support the second party in all IEC and capacity building activities in the villages for achieving sustainability of sanitation facility and promoting Health and Hygiene.

xiii. To provide physical support to the second party for recovery of outstanding operation and maintenance charges/ bill from defaulters.

xiv. To monitor as well as audit all activities undertaken by the second party so as to ensure that all social, technical and financial processes and procedures are in compliance with the guidelines issued by the third party.

6. Roles and Responsibilities of the Second Party (----------- Gram Panchayat Water & Sanitation Committee)

The second party agrees to undertake the following roles and responsibilities:

i. To assist the first party in preparing and implementing the village vision, strategy and action plan for operation and maintenance of sewerage system in the village.

ii. To manage operating and maintaining activities for sewerage schemes in the village after construction phase of all Sanitation facilities and services.

iii. To sign the Contract Agreement for O&M of sewerage scheme with contractor and to get all activities completed from the contractor as per Contract Agreement.

iv. To act as a link and liaison between first party, third party and other departments and institutions working in the water supply and sanitation sector.

v. To disseminate information, create awareness and educate the village community on all aspects for sustainability of sanitation facility and promotion of health and hygiene aspects.

vi. To carry out all activities under this MoU utilizing participatory methodologies so as to ensure participation of women, youth, scheduled castes and poor in the village community.

vii. To comply with the rules and guidelines issued by the third party from time to time regarding maintenance of sewerage schemes.

viii. To open and operate separate Bank Account in the name of second party for transacting the funds for operation and maintenance of sewerage scheme taken up under the PRWSS-II Project.

ix To maintain the assets register ( both for movable and immovable) and all records about the condition of sewerage system under the guidance of Third party.

x. To maintain up to date and accurate books of accounts and make available records for audit/inspections.

xi. To mobilize the villagers for community action to solve the sanitation related problems of the village.

xii. To fix and collect from the users of sanitation facilities such charges, tariff under the guidance of Third party as it may deem fit for fully recovering the operation & maintenance cost of sanitation infrastructure, facilities and services to make it sustainable.

xiii. To release the payment to contractor as per signed Contract Agreement.

xiv. The second party shall remain accountable to the first party for all its activities.

xv. The second party shall ensure that there is equity of benefits to everyone in the village from its activities.

xvi. To do all the activities under this MoU in a transparent manner providing key information to all members in village community including setting up of display boards.


38 | P a g e

xvii. To supervise all works and other activities under this MoU and to ensure conformity of quality of services, the contractor and the second party will undertake a joint inspection every month of the facilities to ensure quality of services as per conditions of contract.

xviii. In the event of the second party failing to meet and transect business for three consecutive months, not performing its roles and responsibilities in effective manner as prescribed in the notification, mis-utilization, misappropriation, embezzlement of funds of office bearers acting in manners benefiting themselves or close relatives, the first party can request the third party to take over the functions of second party. In the event of such takeover, the third party must initiate activities through the first party and reconstitute second party within fortnight ( if ex-officio member i.e. Chairman is not involved in misappropriation, embezzlement otherwise procedure as per Clause 200(1) of Punjab Panchayati Raj Act, 1994 would be adopted) and entrust it back with the takeover responsibilities.

xix. To co-operate with first and third parties for audit, evaluation and studies by the first and third parties or agencies authorized by them and implement corrective actions recommended.

xx. To carry out surveillance and monitoring of environmental sanitation facility and to ensure the compliance of Environmental Management Framework during operation and maintenance of sewerage schemes.

xxi. To take over the sewerage scheme in working condition after the completion of contract period of Operation & Maintenance.

xxii. All moveable and immovable assets shall remain in the name of first party and second party shall have no powers to transfer the title of ownership to any other individual or institutions or create any charge on the assets.

7. Roles and Responsibilities of Third Party (DWSS)

The third party agrees to undertake the following roles and responsibilities:

i. To arrange for implementing social mobilization, IEC and capacity building activities regarding operation & maintenance of sewerage scheme in collaboration with and for the benefit of the first and second parties.

ii. To strengthen the sustainability of sanitation system, the third party will assist in capacity building of the first and the second party during construction stage in all aspects of Operation & Maintenance management.

iii. To arrange for providing guidance to the first & the second party for the preparation and implementation of operation and maintenance management plan and compliance with Environmental Management Plan as per Contract Agreement.

iv. To ensure smooth functioning of second party during operation & maintenance period, third party will develop monitoring and evaluation framework format to assess details of likely revenue generation, likely expenditure, defaulters among the beneficiaries etc. Third party will also train the second party to undertake their own monitoring & evaluation activities. Second party will submit monthly monitoring and evaluation report to Third party through which performance of second party will be monitored and any mis-appropriation noticed will be reported to First party. The performance of second party will also be monitored by third party through Shikayat Nivaran Kendra (SNK) setup at DWSS.

v. In case the second party failing to meet and transact business for three consecutive months, not performing its roles and responsibilities in effective manner, the third party can take over the functions of second party at the cost of first party. In the event of such takeover, the third party will initiate activities through the first party and reconstitute second party within fortnight ( if ex-officio member i.e. Chairman is not involved in misappropriation, embezzlement otherwise procedure as per Clause 200(1) of Punjab Panchayati Raj Act, 1994 would be adopted) and entrust it back with the taken over responsibilities.


39 | P a g e

8. Disputes

Any disputes between the parties arising out of this MoU shall be settled, in the first instance, through mutual and amicable consultation. If the dispute is not settled through such consultation, the matter shall be referred for arbitration to the Administrative Secretary, Department of Water Supply and Sanitation, Government of Punjab.

We the undersigned on behalf of the respective institutions shall maintain the integrity in functions and abide by the contents of this MoU for effective implementation and achievement of the objectives of the Project.

For first party

……………………………… Sarpanch, Gram Panchayat

For second party

…………………………………… Secretary, GPWSC

For third party

…………………………………… Executive Engineer (Concerned), DWSS

Witnesses1

Name and Address


Name and Address


Witnesses

Name and Address


Name and Address

Signature………………..

Witnesses

Name and Address


Name and Address




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SAMPLE LETTER FROM FIRST PARTY (GRAM PANCHAYAT) TO THIRD PARTY (DWSS) FOR TAKING OVER FUNCTIONS OF SECOND PARTY

To

The Executive Engineer

Water Supply & Sanitation Division/ Division no.___,

__________.

Subject: PRWSS Project: (Cr. 4251-IN): Provide sewerage scheme to village __________

Block____________ District___________: Operation & Maintenance of Sewerage

Scheme.

Sir,

It is intimated that a Memorandum of Understanding (MoU) was signed among Gram

Panchayat village __________as First party, GPWSC of village_________as Second Party and

Executive Engineer, Water Supply & Sanitation Division. Department of Water Supply &

Sanitation__________ as third party for the Operation & Maintenance of subject cited sewerage scheme.

MoU contains roles and responsibilities entrusted to all the three parties. It is informed that GPWSC (i.e.

the notified second party of the tripartite MoU) is not performing duties assigned to it as per MoU.

Following glaring irregularities have been noticed in the performance of GPWSC___________:

1. Non-performance of role and responsibilities in effective manner.

2. Mis-utilization of revenue collected from the community

3. Embezzlement of funds as expenditure incurred and revenue collected is mismatch.

In view of above it is requested that the functions of second party may be taken over by you with

immediate effect to restore /ensure uninterrupted and smooth functioning of O&M of the sewerage

scheme of village ___________ till the reconstitution of second party in the next Gram Sabha meeting.

The total expenses to be incurred on the O&M of sewerage scheme shall be borne by the Panchayat as

per section 200 (1) of the Punjab Panchayati Raj Act 1994 & paid to you on monthly basis.

Dt. ………………

Signature of

1) Sarpanch ………………

(with seal)

2) Panch ………………….

3) Panch ………………….

4) Panch …………….......

5) Panch ………………….

So on.


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3 Annexure 3

Note: The unit costs used for arriving at the financial projections given in tables below (Annexure 3) are provisional only

and may be subject to change based on actual requirements and market conditions prevalent at the time of investment.

3.1 Summary of Physical and Financial Projections

PHYSICAL PROJECTIONS FINANCIAL PROJECTIONS (in INR Crores)

Sl No

Particulars

Unit Rates -

INR Lakhs

2015-16

2016-17

2017-18

2018-19

2019-20

2020-21

TOTAL 2015-

16 2016-

17 2017-

18 2018-

19 2019-

20 2020-

21 TOTAL

1A: Strengthening water supply scheme for improved service delivery

i Rejuvenation for water logged schemes

a SV Canal in water logged area (bifurcation/augmentation)

176.00 30 30 30 2 0 0 92 53 56 59 4 0 0 171

b MV Canal in water logged area- (bifurcation/augmentation)

139.00 5 5 8 0 0 0 18 7 7 12 0 0 0 27

ii Upgradation from 40 to 70 lpcd

a SV TW in plain area (bifurcation/augmentation)

42.00 50 50 50 50 50 25 275 21 22 23 24 26 14 129

b SV TW in Kandi area (bifurcation/augmentation)

46.00 20 20 20 20 20 0 100 9 10 10 11 11 0 52

c MV TW in plain area-(bifurcation/augmentation)

32.00 10 10 10 10 0 0 40 3 3 4 4 0 0 14

d MV TW in Kandi area- (bifurcation/augmentation)

37.00 5 5 5 5 0 0 20 2 2 2 2 0 0 8

e SV Canal in normal area (bifurcation/augmentation)

148.00 5 5 5 0 0 0 15 7 8 8 0 0 0 23

f MV Canal in normal area- (bifurcation/augmentation)

130.00 5 5 0 0 0 0 10 6 7 0 0 0 0 13

Subtotal (1A) 130 130 128 87 70 25 570 109 115 118 45 37 14 437

1B: Sewerage Schemes with treatment systems

i Sewerage Schemes with treatment systems

150.00 0 0 100 100 115 0 315 0 0 167 176 213 0 555

Subtotal (1B) 0 0 100 100 115 0 315 0 0 167 176 213 0 555

2A: Improved access to water through household connections

i Improved access to water 0.01500 100,000 125,000 125,000 150,000 150,000 0 650,000 15 20 21 26 28 0 110


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PHYSICAL PROJECTIONS FINANCIAL PROJECTIONS (in INR Crores)

Sl No

Particulars

Unit Rates -

INR Lakhs

2015-16

2016-17

2017-18

2018-19

2019-20

2020-21

TOTAL 2015-

16 2016-

17 2017-

18 2018-

19 2019-

20 2020-

21 TOTAL

through household connections (no. of households)

Subtotal (2A) 15 20 21 26 28 0 110

2B: Operational Improvement for improved Water Supply Service levels

i Operational Improvement for improved Water Supply Service levels

11.00 200 200 0 0 0 0 400 22 23 0 0 0 0 45

Subtotal (2B) 200 200 0 0 0 0 400 22 23 0 0 0 0 45

2C: Household Sanitation (toilet)

i Household Sanitation (toilet) (no of households)

0.06 130,000 195,000 195,000 105,000 0 0 625,000 78 117 117 63 0 0 375

Subtotal (2C) 130,000 195,000 195,000 105,000 0 0 625,000 78 117 117 63 0 0 375

3A: Water Quality Monitoring and Mitigation

i Water Quality Monitoring and Mitigation

6 10 8 5 5 5 38

Subtotal (3A) 6 10 8 5 5 5 38

3B: Improving infrastructure for providing safe and treated water to water-quality-affected villages

i Installation of Water treatment plants for retrofitting

18.00 50 50 25 25 0 0 150 9 9 5 5 0 0 29

ii Safe and Treated Water for Water Quality Affected Villages

225.00 0 40 45 36 0 0 121 0 95 112 95 0 0 302

Subtotal (3B) 50 90 70 61 0 0 271 9 104 117 100 0 0 331

4: Strengthening Institutions and Project Management Costs

4A: Strengthening Sector Institutions for service delivery and Capacity Building

32 20 11 10 7 3 84

4B: Project Management Costs

33 40 42 37 33 35 221

Subtotal (4) 65 60 53 48 41 38 305

TOTAL before Front

end fee 304 448 600 463 323 57 2,196

Front end fee 4 4

TOTAL PROJECT

COSTS 308 448 600 463 323 57 2,200


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3.2 Financing various Project Components of the Project

Sl No

Particulars GOI-

SBM-G GOI-

NRDWP GOP Comm. Private WB

Total Percenta

ge

i COMPONENT 1: TRANSFORMATION - IMPROVED LIVABILITY OF VILLAGES


0% 15% 15% 0% 0% 70% 100%

1B: Sewerage schemes with treatment systems 0% 25% 25% 0% 0% 50% 100%

ii COMPONENT 2: INCLUSIVE HOUSEHOLD WATER AND SANITATION SERVICES

2A: Improved access to water through household connections 0% 15% 15% 0% 0% 70% 100%


0% 30% 0% 0% 0% 70% 100%

2C: Household Sanitation (toilet) 60% 0% 0% 0% 0% 40% 100%

iii COMPONENT 3: IMPROVED WATER QUALITY

3A: Water Quality Monitoring and Mitigation 0% 30% 0% 0% 0% 70% 100%


0% 15% 15% 0% 0% 70% 100%

iv COMPONENT 4: STRENGHTENING INSTITUTIONS AND PROJECT MANAGEMENT


0% 30% 0% 0% 0% 70% 100%

4B: Project Management Costs 0% 0% 30% 0% 0% 70% 100%

Front end fee 100% 100%

3.3 Estimates of Financing Arrangements for various Project Components of the MTSP Program

(in INR crores)

S.N. Component Total

Project Costs

GOI* GOP Comm. Bank Fin.of total GOP

contribution

Bank Share as a % of

GoP contribution

1 COMPONENT 1: TRANSFORMATION - IMPROVED LIVABILITY OF VILLAGES

a. 1A: Strengthening water supply scheme for improved service delivery

437.33 65.60 371.73 0.00 306.13 70.00%

b. 1B: Sewerage schemes with treatment systems 555.16 140.10 415.06 0.00 274.96 49.53%


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(in INR crores)

S.N. Component Total

Project Costs

GOI* GOP Comm. Bank Fin.of total GOP

contribution

Bank Share as a % of

GoP contribution

2 COMPONENT 2: INCLUSIVE HOUSEHOLD WATER AND SANITATION SERVICES

a. 2A: Improved access to water through household connections 109.71 16.46 93.25 0.00 76.79 70.00%

b. 2B: Operational Improvement for improved Water Supply Service levels

45.19 13.56 31.63 0.00 31.63 70.00%

c. 2C: Household Sanitation (toilet) 375.00 0.00 375.00 0.00 375.00 100.00%

3 COMPONENT 3: IMPROVED WATER QUALITY a. 3A: Water Quality Monitoring and Mitigation 38.44 11.53 26.90 0.00 26.90 70.00%

b. 3B: Improving infrastructure for providing safe and treated water to water-quality-affected villages

330.67 49.60 281.07 0.00 231.47 70.00%

4 COMPONENT 4: STRENGHTENING INSTITUTIONS AND PROJECT MANAGEMENT

304.66 25.11 279.55 0.00 213.26 70.00%

TOTAL before Front end fee 2,196.14 321.95 1,874.19 0.00 1,536.15 69.95%

Front end fee 3.85 3.85 3.85 100.00%

Sub Total- SWAp Program (Plan) 2,200.00 321.95 1,878.04 0.00 1,540.00 70.00%

MTSP PROGRAM

5 O&M of Schemes 1,815.00 115.00 1,500.00 200.00 0.00 0.00%

6 DWSS establishment cost 1,000.00 0.00 1,000.00 0.00 0.00 0.00%

7 Household Sanitation (toilets): 625000 IHHLs @ INR 15000 per IHHL - INR 9000 funding from SBM-G

562.50 562.50 0.00 0.00 0.00 0.00%

8 SBM Funds-IEC, Startup activity and CB 28.13 28.13 0.00 0.00 0.00 0.00%

9 SBM Funds-Administration 11.25 11.25 0.00 0.00 0.00 0.00%

Sub Total (Non Plan) 3,416.88 716.88 2,500.00 200.00 0.00 0.00%

Grand Total 5,616.87 1,038.83 4,378.04 200.00 1,540.00 27.42%

* Note - GOI Share includes NRDWP and SBM funding

3.4 Financing various Project Components of MTSP Program

(in INR crores)

Sl No Particulars GOI-SBM-

G GOI-

NRDWP GOP WB TOTAL

Percentage of Total



0.00 65.60 65.60 306.13 437.33 7.8%


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(in INR crores)

Sl No Particulars GOI-SBM-

G GOI-

NRDWP GOP WB TOTAL

Percentage of Total

1B: Sewerage schemes with treatment systems 0.00 140.10 140.10 274.96 555.16 9.9%



0.00 16.46 16.46 76.79 109.71 2.0%


0.00 13.56 0.00 31.63 45.19 0.8%

2C: Household Sanitation (toilet) 562.50 0.00 0.00 375.00 937.50 16.7%


3A: Water Quality Monitoring and Mitigation 0.00 11.53 0.00 26.90 38.44 0.7%


0.00 49.60 49.60 231.47 330.67 5.9%



0.00 25.11 0.00 58.59 83.70 1.5%

4B: Project Management Costs 0.00 0.00 66.29 154.67 220.96 3.9%

TOTAL before Front end fee 562.50 321.95 338.04 1,536.15 2,758.64 49.1%

Front end fee 3.85 3.85 0.1%

TOTAL PROJECT COSTS 562.50 321.95 338.04 1,540.00 2,762.50 49.2%

ADD: MTSP PROGRAM

O&M of schemes 0.00 115.00 1,500.00 0.00 1,815.00 32.3%

DWSS Establishment Costs 0.00 0.00 1,000.00 0.00 1,000.00 17.8%

SBM Funds-IEC, Startup activity and CB 28.13 0.00 0.00 0.00 28.13 0.5%

SBM Funds-Administration 11.25 0.00 0.00 0.00 11.25 0.2%

Sub-Total 39.38 115.00 2,500.00 0.00 2,854.38 50.8%

TOTAL 601.88 436.95 2,838.04 1,540.00 5,616.87 100.0%

3.5 Year wise Financial Projections for various Project Components of MTSP Program

(in INR crores)

Sl No Particulars 2015-16 2016-17 2017-18 2018-19 2019-20 2020-21 TOTAL



108.69 114.56 118.17 45.27 37.10 13.54 437.33


46 | P a g e

(in INR crores)

Sl No Particulars 2015-16 2016-17 2017-18 2018-19 2019-20 2020-21 TOTAL

1B: Sewerage schemes with treatment systems 0.00 0.00 166.64 175.64 212.89 0.00 555.16

Sub-Total 108.69 114.56 284.81 220.91 249.99 13.54 992.49



15.00 19.76 20.83 26.35 27.77 0.00 109.71


22.00 23.19 0.00 0.00 0.00 0.00 45.19

2C: Household Sanitation (toilets): 625000 IHHLs @ INR 15000 per IHHL - INR 6000 funding from Project Funds

78.00 117.00 117.00 63.00 0.00 0.00 375.00

Sub-Total 115.00 159.95 137.83 89.35 27.77 0.00 529.89


3A: Water Quality Monitoring and Mitigation 6.35 9.72 7.61 4.67 4.92 5.16 38.44


9.00 104.26 117.38 100.03 0.00 0.00 330.67

Sub-Total 15.35 113.98 124.99 104.70 4.92 5.16 369.10



31.82 20.01 10.72 10.45 7.39 3.31 83.70

4B: Project Management Costs 33.38 39.77 42.11 37.46 33.22 35.01 220.96

Sub-Total 65.20 59.78 52.83 47.91 40.61 38.33 304.66

TOTAL before Front end fee 304.24 448.27 600.46 462.86 323.29 57.03 2,196.14

Front end fee 3.85 3.85

TOTAL PROJECT COSTS 308.09 448.27 600.46 462.86 323.29 57.03 2,200.00

ADD: MTSP

O&M of schemes 363.00 363.00 363.00 363.00 363.00 0.00 1,815.00

DWSS Establishment Costs 200.00 200.00 200.00 200.00 200.00 0.00 1,000.00

Household Sanitation (toilets): 625000 IHHLs @ INR 15000 per IHHL - INR 9000 funding from SBM-G

117.00 175.50 175.50 94.50 0.00 0.00 562.50

SBM Funds-IEC, Startup activity and CB 5.63 5.63 5.63 5.63 5.63 0.00 28.13

SBM Funds-Administration 2.25 2.25 2.25 2.25 2.25 0.00 11.25

Sub-Total 687.88 746.38 746.38 665.38 570.88 0.00 3,416.88

TOTAL PROJECT COSTS 995.97 1,194.64 1,346.83 1,128.24 894.16 57.03 5,616.87


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3.6 Year-wise Financial Estimates for Institutional and Project Management Component

FINANCIAL PROJECTIONS (in INR Lakhs)

Sl No Particulars Basis Gaps /

Quantity reqd

Unit Rates - INR Lakhs

2015-16 2016-17 2017-18 2018-19 2019-20 2020-21 TOTAL


1 One Time Costs

A Hardware and Software

i - Laptops/ PCs (incl softwares) for specialist

Specialist and support staff

40 0.30 7.25 5.09 0.00 0.00 0.00 0.00 12.34

ii - Laptops/ PCs (incl softwares)-CE/SE/EE

CE / SE / EE 102 0.30 18.36 12.90 0.00 0.00 0.00 0.00 31.26

iii - Printer/ Scanner/ UPS/ Server 2 for Head office,

1 each for divisions

58 0.60 20.88 14.67 0.00 0.00 0.00 0.00 35.55

iv - Office equipments - LCD, projector, etc

2 for state 2 1.00 1.20 0.84 0.00 0.00 0.00 0.00 2.04

B Furniture and Fixtures Lumpsum 57 0.20 6.84 4.81 0.00 0.00 0.00 0.00 11.65

C Vehicle Given by DWSS 81 5.00 243.00 170.75 0.00 0.00 0.00 0.00 413.75

Sub-Total 297.53 209.06 0.00 0.00 0.00 0.00 506.59

2 Monitoring and Evaluation Costs Quantity required


A One Time Expenses

i Development of a program MIS (including pilot testing, training and statewide roll out)

Lump sum 1 475.00 285.00 200.26 0.00 0.00 0.00 0.00 485.26

ii New MIS hardware devices Lump sum 1 100.00 60.00 42.16 0.00 0.00 0.00 0.00 102.16

iii Upgradation of existing hardware Lump sum 1 25.00 15.00 10.54 0.00 0.00 0.00 0.00 25.54

B Recurring Expenses

i Annual training and maintenance of MIS

Per annum 1 1.20 1.20 1.26 1.33 1.41 1.48 1.56 8.24

ii Annual awards for best GPWSC Performance - District

Award costs per year

1 50.00 50.00 52.70 55.55 58.55 61.71 65.04 343.54

iii Annual awards for best GPWSC Performance - State

Award costs per year

1 5.00 5.00 5.27 5.55 5.85 6.17 6.50 34.35

iv Statewide sample household surveys for outcome monitoring (Water Supply and Sanitation)

Lump sum per annum

1 35.00 35.00 0.00 38.88 0.00 43.19 0.00 117.08

v Third party survey Lump sum per

annum 1 5.00 5.00 5.27 5.55 5.85 6.17 6.50 34.35

vi Preparation of annual WSS sector report - state and district level

Lump sum per annum

1 6.00 6.00 6.32 6.67 7.03 7.40 7.80 41.22

vii Quarterly newsletter Lump sum per

annum 4 1.00 4.00 4.22 4.44 4.68 4.94 5.20 27.48


48 | P a g e



Quantity reqd


2015-16 2016-17 2017-18 2018-19 2019-20 2020-21 TOTAL

viii Construction Quality Management and Surveillance system

- water supply and sewerage schemes

Per annum 1,435 0.20 57.40 60.50 63.77 67.21 70.84 0.00 319.72

- surface water schemes Per annum 2 2.50 1.00 1.05 1.11 1.17 1.23 0.00 5.57

- HH connection schemes Per annum 500 0.10 10.00 10.54 11.11 11.71 12.34 0.00 55.70

- IHHL Per annum 575 0.10 11.50 12.12 12.78 13.47 14.19 0.00 64.05

ix Procurement Audit


Per annum 287 0.06 3.44 3.63 3.83 4.03 4.25 0.00 19.18


- HH connection schemes Per annum 500 0.07 7.00 7.38 7.78 8.20 8.64 0.00 38.99

- IHHL Per annum 575 0.07 8.05 8.48 8.94 9.43 9.93 0.00 44.84

x Internal Audit Audits for Head

office & divisions 56 0.10 5.60 5.90 6.22 6.56 6.91 7.28 38.48

xi Concurrent Financial Review - GPWSC level


Per annum 1,435 0.10 28.70 30.25 31.88 33.60 35.42 0.00 159.86


- HH connection schemes Per annum 5,000 0.03 30.00 31.62 33.33 35.13 37.02 0.00 167.10

- IHHL Per annum 5,750 0.03 34.50 36.36 38.33 40.40 42.58 0.00 192.16

x Environment audit 1,435 0.10 28.70 30.25 31.88 33.60 35.42 0.00 159.86

xi Third party review 1 30.00 30.00 0.00 33.33 0.00 0.00 39.02 102.35

Sub-Total 722.69 566.73 402.92 348.57 410.59 138.92 2,590.43

3 Capacity building and state training center

No of CB programs per village


A Capacity building of institutional staff

i Training programs - Strategy Level Lumpsum 470 0.40 46.78 49.30 51.97 54.77 0.00 0.00 202.82

ii Training programs- Intermediary Level

Lumpsum 7186 0.10 179.25 188.93 199.14 209.89 0.00 0.00 777.22

iii Observation / Study tours Lumpsum 16 10.00 40.00 42.16 44.44 46.84 0.00 0.00 173.43

iv Mid term evaluation Lumpsum 1 15.00 0.00 0.00 16.66 0.00 0.00 0.00 16.66

v Travel costs of participants Lumpsum 1 50.00 12.50 13.18 13.89 14.64 0.00 0.00 54.20

vi Honorarium to trainer Lumpsum 1500 0.10 37.50 39.53 41.66 43.91 0.00 0.00 162.59

vii Misc Lumpsum 1 10.00 2.50 2.64 2.78 2.93 0.00 0.00 10.84

B Training Institute

i Training Institute Lumpsum 1 2,000.00 1,500.00 527.00 0.00 0.00 0.00 0.00 2,027.00

Sub-Total 1,818.53 862.73 370.53 372.97 0.00 0.00 3,424.76


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Quantity reqd


2015-16 2016-17 2017-18 2018-19 2019-20 2020-21 TOTAL

4 Support to IEC and social development activities

Per year costs (in

INR Lakhs)

A Community Development Costs / GP Strengthening Program

i 1A: Strengthening water supply scheme for improved service delivery

CB program per village

4 0.04 5.60 21.92 22.75 16.30 13.82 5.20 85.60

ii 1B: Sewerage Schemes with treatment systems


4 0.04 0.00 0.00 17.77 18.73 22.71 0.00 59.22

iii 2A: Improved access to water through household connections


2 0.04 61.54 81.08 85.46 108.08 113.92 0.00 450.07

iv 2B: Operational Improvement for improved Water Supply Service levels


2 0.04 16.00 16.86 0.00 0.00 0.00 0.00 32.86

v 3B: Improving infrastructure for providing safe and treated water to water-quality-affected villages


4 0.04 8.00 15.18 12.44 11.43 0.00 0.00 47.05

B Program IEC Activities

i Mass media: TV, radio, newspaper Target

envisaged 1.00 30.00 30.00 31.62 33.33 35.13 37.02 39.02 206.12

ii New media: soft copies of IEC materials for use of GP

Target envisaged

1.00 5.00 5.00 5.27 5.55 5.85 6.17 6.50 34.35

iii Mid media: cultural show, audio-visuals, exhibition, mela

Target envisaged

1.00 4.00 4.00 4.22 4.44 4.68 4.94 5.20 27.48

iv Reminder media: wall writings, hoardings, bus panels, posters, banners

Target envisaged

1.00 30.00 30.00 31.62 33.33 35.13 37.02 39.02 206.12

v Advocacy workshop: political / religious meetings

Target envisaged

1.00 5.00 5.00 5.27 5.55 5.85 6.17 6.50 34.35

vi Social mobilisation: GP meetings Target

envisaged 1.00 5.00 5.00 5.27 5.55 5.85 6.17 6.50 34.35

vii Print media: leaflets, manuals, charts, toolkits, booklets

Target envisaged

1.00 5.00 5.00 5.27 5.55 5.85 6.17 6.50 34.35

viii IEC in schools Target

envisaged 1.00 10.00 10.00 10.54 11.11 11.71 12.34 13.01 68.71

ix IEC gadgets: DVD, audio-visual, PA system

Target envisaged

1.00 5.00 5.00 5.27 5.55 5.85 6.17 6.50 34.35

x Training / workshops on IEC for district, block, GP officials

Target envisaged

1.00 10.00 10.00 10.54 11.11 11.71 12.34 13.01 68.71

xi Others Target

envisaged 1.00 25.00 25.00 26.35 27.77 29.27 30.85 32.52 171.77

xii Hiring of media agency Target 1.00 30.00 18.00 12.65 0.00 0.00 0.00 0.00 30.65


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Quantity reqd


2015-16 2016-17 2017-18 2018-19 2019-20 2020-21 TOTAL

envisaged

xiii Documentation of Best Practices Target

envisaged 1.00 10.00 10.00 10.54 11.11 11.71 12.34 13.01 68.71

Sub-Total 253.14 299.47 298.40 323.16 328.17 192.52 1,694.84

5 Other Sectoral Studies and Surveys

Unit costs

(in INR Lakhs)

i Other Sectoral Studies and Surveys Lumpsum 1 150.00 90.00 63.24 0.00 0.00 0.00 0.00 153.24

Sub-Total 90.00 63.24 0.00 0.00 0.00 0.00 153.24

Subtotal (4A) 3,181.89 2,001.23 1,071.84 1,044.70 738.75 331.44 8,369.85

4B: Project Management Costs

Sl No Particulars Basis 2015-16 2016-17 2017-18 2018-19 2019-20 2020-21 TOTAL

1 Staffing Costs No. of Staff proposed

Costs per year (lakhs)

A Staff at Head Office

Head of DWSS CE / HOD Level 1 From within 0.00 0.00 0.00 0.00 0.00 0.00 0.00

Administrative / HR Unit

HR Manager on contract for 3 years SE Level 1 15.00 15.00 15.81 16.66 0.00 0.00 0.00 47.47

Legal officer EE Level 1 On

deputation 0.00 0.00 0.00 0.00 0.00 0.00 0.00

Public Relations Officer EE Level 1 On

deputation 0.00 0.00 0.00 0.00 0.00 0.00 0.00

Finance Unit

Joint Controller Finance and Accounts (JCFA)

EE Level 1 12.00 12.00 12.65 13.33 14.05 14.81 15.61 82.45

Finance Manager SDO Level 1 6.00 6.00 6.32 6.67 7.03 7.40 7.80 41.22

Finance Officers Category 2 2 3.00 6.00 6.32 6.67 7.03 7.40 7.80 41.22

Finance Assistant Category 3 2 2.40 4.80 5.06 5.33 5.62 5.92 6.24 32.98

Technical Unit

Water and Sanitation Expert EE Level 4 12.00 48.00 50.59 53.32 56.20 59.24 62.44 329.80

Sub-Unit - Designs

Senior Design Expert - Water EE Level 1 12.00 12.00 12.65 13.33 14.05 14.81 15.61 82.45

CAD based design Expert EE Level 2 12.00 24.00 25.30 26.66 28.10 29.62 31.22 164.90

Sub-Unit - Program

NA 0 0 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00

Sub-Unit - M&E / MIS

Senior M&E Expert EE Level 1 12.00 12.00 12.65 13.33 14.05 14.81 15.61 82.45

IT Hardware Expert JE Level 2 4.20 8.40 8.85 9.33 9.84 10.37 10.93 57.71


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Quantity reqd


2015-16 2016-17 2017-18 2018-19 2019-20 2020-21 TOTAL

IT Software - GIS and MIS SDO Level 2 6.00 12.00 12.65 13.33 14.05 14.81 15.61 82.45

Sub-Unit - Procurement

Procurement Specialist (on contract as reqd)

EE Level 0.25 12.00 3.00 3.16 3.33 3.51 3.70 3.90 20.61

Quality of Construction and Service Delivery Unit

NA 0 0 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00

Water Quality Testing and Evaluation Unit

Water Quality Experts / Scientist SDO Level 2 6.00 12.00 12.65 13.33 14.05 14.81 15.61 82.45

Water Quality Data Management Expert

SDO Level 1 6.00 6.00 6.32 6.67 7.03 7.40 7.80 41.22

Training and Capacity Building Unit

Training Manager SDO Level 1 6.00 6.00 6.32 6.67 7.03 7.40 7.80 41.22

Training Coordinator JE Level 1 4.20 4.20 4.43 4.67 4.92 5.18 5.46 28.86

Environmental Unit

Senior Environmental Specialist on contract or deputation with right skills

EE Level 1 12.00 12.00 12.65 13.33 14.05 14.81 15.61 82.45

Social and IEC Unit

Chief Social Development Officer EE Level 1 12.00 12.00 12.65 13.33 14.05 14.81 15.61 82.45

Social Development Manager SDO Level 1 6.00 6.00 6.32 6.67 7.03 7.40 7.80 41.22

Capacity Building Manager SDO Level 1 6.00 6.00 6.32 6.67 7.03 7.40 7.80 41.22

Gender Specialist JE Level 1 4.20 4.20 4.43 4.67 4.92 5.18 5.46 28.86

IEC - State level coordination JE Level 1 4.20 4.20 4.43 4.67 4.92 5.18 5.46 28.86

IEC - Internal communication JE Level 1 4.20 4.20 4.43 4.67 4.92 5.18 5.46 28.86

IEC - ICT and digital media JE Level 1 4.20 4.20 4.43 4.67 4.92 5.18 5.46 28.86

IEC - Messaging and content generation

JE Level 1 4.20 4.20 4.43 4.67 4.92 5.18 5.46 28.86

Sanitation Unit

Sanitation Specialist SDO Level 4 6.00 24.00 25.30 26.66 28.10 29.62 31.22 164.90

B Staff at Operational Level

Zone Level

Environmental Unit - Environment Specialist

SDO Level 3 6.00 13.50 18.97 20.00 21.08 22.21 23.41 119.17

Circle Level


JE Level 11 4.20 34.65 48.69 51.32 54.10 57.02 60.10 305.88

Planning & Monitoring Specialist SDO Level 11 6.00 49.50 69.56 73.32 77.28 81.45 85.85 436.97

Division Level

Social Unit - Community Development Specialist

Category 2 56 3.00 126.00 177.07 186.63 196.71 207.33 218.53 1,112.28

IEC Unit - IEC Specialist Category 2 56 3.00 126.00 177.07 186.63 196.71 207.33 218.53 1,112.28


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Quantity reqd


2015-16 2016-17 2017-18 2018-19 2019-20 2020-21 TOTAL

Sanitation Unit (District Level) - 4 per district

Category 2 88 3.00 198.00 278.26 293.28 309.12 162.91 171.70 1,413.27


JE Level 22 4.20 69.30 97.39 102.65 108.19 114.03 120.19 611.76

Finance Officers Category 2 56 3.00 126.00 177.07 186.63 196.71 207.33 218.53 1,112.28

SDO / Block Level

Social Unit - Community Facilitators Category 3 292 2.40 350.40 553.98 778.53 615.43 432.44 455.79 3,186.57

C Support Staff

Personal Assistant Category 2 1 3.00 1.80 2.53 3.33 3.51 3.70 3.90 18.78

Office Assistant Category 3 102 2.40 146.88 206.42 271.95 286.64 302.12 318.43 1,532.43

MIS cum DEO Category 3 173 2.40 249.12 350.10 461.25 486.16 512.41 540.08 2,599.12

Receptionist Category 3 2 2.40 2.88 4.05 5.33 5.62 5.92 6.24 30.05

Support staff Category 5 20 1.44 17.28 24.28 31.99 33.72 35.54 37.46 180.29

Driver Category 4 83 1.80 89.64 125.97 165.97 174.93 184.38 194.34 935.23

Peon Category 5 44 1.44 38.02 53.43 70.39 74.19 78.19 82.42 396.63

D Engineering and Consulting Support

Lumpsum (in INR Lakhs)

Technical Support for preparation for water supply & sewerage schemes

Lumpsum 1 500.00 300.00 210.80 0.00 0.00 0.00 0.00 510.80

Engineering Support for digital survey and documentation

Lumpsum 1 350.00 210.00 147.56 0.00 0.00 0.00 0.00 357.56

Sanitation Costs - Supplementary Costs (inlcuding costs of team leader and community mobilisers for each block) - See Note

Lumpsum 1 2,000.00 600.00 632.40 666.55 234.18 0.00 0.00 2,133.13

Sub-Total 3,021.37 3,642.72 3,858.39 3,375.67 2,932.01 3,090.34 19,920.49

2 Operating Overheads Costs per

year (lakhs)

A Operational costs at Head office

Traveling & Conveyance Per annum 1.00 5.00 5.00 5.27 5.55 5.85 6.17 6.50 34.35

Stationery & Printing Per annum 1.00 5.00 5.00 5.27 5.55 5.85 6.17 6.50 34.35

Telephone & Communication & Lease line

Per annum 1.00 4.50 4.50 4.74 5.00 5.27 5.55 5.85 30.92

Power Per annum 1.00 9.00 9.00 9.49 10.00 10.54 11.11 11.71 61.84

Fuel and lubricants Per annum 1.00 18.00 18.00 18.97 20.00 21.08 22.21 23.41 123.67

Office Rent and upkeep of office building

Per annum 1.00 12.00 12.00 12.65 13.33 14.05 14.81 15.61 82.45

Repairs & maintenance Per annum 1.00 2.40 2.40 2.53 2.67 2.81 2.96 3.12 16.49

Advertisement and PR agency Per annum 1.00 3.00 3.00 3.16 3.33 3.51 3.70 3.90 20.61

Other Overheads Per annum 1.00 3.00 3.00 3.16 3.33 3.51 3.70 3.90 20.61

B Operational costs at divisions


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Quantity reqd


2015-16 2016-17 2017-18 2018-19 2019-20 2020-21 TOTAL

Traveling & Conveyance Per annum per

divisions 1.00 0.60 33.60 35.41 37.33 39.34 41.47 43.71 230.86

Stationery & Printing Per annum per

divisions 1.00 0.60 33.60 35.41 37.33 39.34 41.47 43.71 230.86

Telephone & Communication & Lease line

Per annum per divisions

1.00 0.60 33.60 35.41 37.33 39.34 41.47 43.71 230.86

Power Per annum per

divisions 1.00 0.36 20.16 21.25 22.40 23.61 24.88 26.22 138.51

Fuel and lubricants Per annum per

divisions 1.00 1.20 67.20 70.83 74.65 78.68 82.93 87.41 461.71

Office Rent and upkeep of office building

Per annum per divisions

1.00 0.23 12.60 13.28 14.00 14.75 15.55 16.39 86.57

Repairs & maintenance Per annum per

divisions 1.00 0.60 33.60 35.41 37.33 39.34 41.47 43.71 230.86

Advertisement and PR agency Per annum per

divisions 1.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00

Other Overheads Per annum per

divisions 1.00 0.30 16.80 17.71 18.66 19.67 20.73 21.85 115.43

Sub-Total 313.06 329.97 347.78 366.56 386.36 407.22 2,150.95

3 Contingency - Percentage of 4A Percentage 0.11% 3.67 4.37 4.63 4.12 3.65 3.85 24.28

Subtotal (4B) 3,338.09 3,977.05 4,210.80 3,746.35 3,322.02 3,501.40 22,095.72

TOTAL COMPONENT-4 (4A + 4B) 6,519.98 5,978.28 5,282.64 4,791.05 4,060.77 3,832.84 30,465.57

Note: For Individual Household Sanitation (Toilets), all administrative expenses related to IEC, community development, capacity building, and

remunerations to team leaders and community mobilisers at block levels would be undertaken under the Comp-4: Project Management Costs.

Funds from SBM for administrative activities would be availed to the maximum extent available as per SBM Guidelines.


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3.7 Per Capita Costs of various project components

Sl No Particulars PHYSICAL NUMBER

POPULATION to be benefitted

Total Costs

Per capita costs

COMPONENT 1: TRANSFORMATION - IMPROVED LIVABILITY OF VILLAGES


i Rejuvenation for water logged schemes

a SV Canal in water logged area (bifurcation/augmentation)

92.00 135,329 170.99 12,634.79

b MV Canal in water logged area- (bifurcation/augmentation)

18.00 26,477 26.58 10,039.01

ii Upgradation from 40 to 70 lpcd

a SV TW in plain area (bifurcation/augmentation)

275.00 404,517 129.46 3,200.38

b SV TW in Kandi area (bifurcation/augmentation)

100.00 147,097 51.52 3,502.59

c MV TW in plain area-(bifurcation/augmentation)

40.00 58,838 14.04 2,385.70

d MV TW in Kandi area- (bifurcation/augmentation)

20.00 29,419 8.02 2,726.52

e SV Canal in normal area (bifurcation/augmentation)

15.00 22,064 23.42 10,614.46

f MV Canal in normal area- (bifurcation/augmentation)

10.00 14,709 13.30 9,041.40

1B: Sewerage Schemes with treatment systems

i Sewerage Schemes with treatment systems 315.00 463,356 555.16 11,981.30

COMPONENT 2: INCLUSIVE HOUSEHOLD WATER AND SANITATION SERVICES


i Improved access to water through household connections (No. of HHs)

650,000.00 3,357,160 109.71 326.78


i Operational Improvement for improved Water Supply Service levels

400.00 588,389 45.19 768.00

2C: Household Sanitation (toilet)

i 2B: Household Sanitation (toilets): 625000 IHHLs @ INR 15000 per IHHL - INR 6000 funding from Project Funds

625,000.00 3,228,039 937.50 2,904.24

COMPONENT 3: IMPROVED WATER QUALITY


i Installation of Water treatment plants for retrofitting

150.00 220,645 28.75 1,303.18

ii Safe and Treated Water for Water Quality Affected Villages

121.00 177,987 301.91 16,962.69

3.8 Comprehensive Program Cost Estimate Model

A comprehensive program costs estimate model has been prepared in MS-Excel for the project.

The model has assumptions sheet covering input costs of various components, phasing of

various components (RWSS infrastructure components and non-infrastructure components),


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sources of financing these components and other general assumptions related to population,

inflation, exchange rate etc.

Based on these assumptions, the model dynamically generates physical outputs related to

number of schemes under each components to be targeted on year wise basis. It also

generates financial estimates of funds required to fund these components on year wise basis.

The financial outputs also generates estimates of funds required from each sources of finance

(World Bank, Govt. of India, Govt. of Punjab etc.) based on the financing assumptions. The

model also covers estimates for the MTSP program.

The methodology of the model can be described in the diagram below:

Snapshot of these aspects of the model is presented below:

General Assumptions

Assumptions related to Financing Pattern

General Assumptions

Assumptions related to

Financing Pattern

Assumptions related to

input costs and phasing

Physical Outputs

Financial Estimates

MTSP Program

Estimates

Program

Cost

Estimate

Model


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Assumptions related to inputs costs and phasing of various components

Physical Outputs

Financial Estimates

MTSP Program Estimates


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4 Annexure 4:

4.1 Terms of Reference for Support Organization

The proposed PRWSS-II will be implemented across 22 districts of Punjab. It will be implemented over a

period of 6 years. To follow the objectives of PRWSS-II, the DWSS needs support for community

mobilisation and strengthening the capacities of Gram Panchayats and the GP level Institutions to carry

out the activities of pre-planning, planning, management, implementation, monitoring and supervision,

Operation and Maintenance of the PRWSS-II facilitated schemes.

The social mobilisation support should ideally come from Non-Government Organisations (NGOs) in the

State who are expected to have experience and expertise in social development.

Given the capacity of the NGOs in terms of infrastructure and human resources they will be able to cover

a maximum of about 20 villages in a district per scheme cycle with good support from DWSS. Considering

that some district have over 500 habitation, some district need to have more than one NGO.

NGOs may also be mandated to carry out the social mobilisation activities in selected villages with the

Technical Support by Junior Engineer/SDE of DWSS.

The project will support employing services of the Support Organisation (SO).It is proposed that a Junior

Engineer (who will lead the SO) and GPWSC will monitor the performance of the SO from time to time.

SOs will be compensated with _______________(Rupees __________only per scheme for the entire

scheme cycle) including all expenses of IEC, capacity building, transportation charges and miscellaneous

expenses.

As soon as the SOs are identified for the districts, a comprehensive training programme will be held to

build the capacities of the SOs to carry out the project specific activities.

It is recognized that the Support Organisations would also need inputs to strengthen their capacities for

project specific community mobilisation processes. The Capacity Building Plan that will be developed for

PRWSS project will take care of the Capacity Building Needs for Support Organisations.


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4.2 Terms of Reference for Independent Review and Quality Surveillance and

Monitoring Agency

Scope of Work

The Independent Review and Monitoring Agency (IRMA) is expected to review and monitor all

projects sanctioned under the PRWSS-II project. The scope of services covering various

activities in all stages of the project development cycle is described below.

Pre-planning and Planning Phase:

Review of the project at this stage is to primarily review and monitor the preparatory activities

that go into a project prior to beginning actual procurement and construction. Such review

should cover:

i) Review of project design documentation

a. Check extent of completion of design with respect to the sanctioned DSR/DPR

b. Review adherence to technical standards in the detailed designs / drawings prepared

c. Review the project implementation plan (level of detail, interdependencies, linkage to resources, etc.)

d. Check the sequence of design documentation with respect to project implementation plan

e. Review the probability of escalation in project cost and time delay in implementation on account of variation in design criteria, estimated quantities, unit costs, and other reasons related to design aspects

f. Review the test reports to examine adequacy of all surveys that are needed to be carried out for project design.

ii) Review of bid documentation and bid process1

a. Completeness of the bid documents with respect to designed / planned project configuration, and the packaging of bids including battery limits of scope. This should include review of clarity in roles between DWSS and the contractors.

b. Compliance of the bid documents with respect to design standards, especially with respect to Materials of Construction

c. Alignment in the sequence of preparation of bid documents and release of tenders with respect to interdependencies in the project plan

d. Review whether due transparent and fair procurement processes have been followed as per the rules of the DWSS, and good practices followed in the industry

e. Review the probability of escalation in project cost and time delay in implementation on account of inefficiencies and mistakes in procurement

1 This work of IRMA will be limited to the primary contractors engaged by the DWSS. IRMA will not extend its documentation review

to sub-contractors of primary contractors.


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f. Review the bid documents with respect to appropriateness of commercial terms and conditions of the contracts

iii) Review of site preparation and clearances to begin construction

a. Undertake site visit to examine availability of land / right of way for the project, to examine that the project site is free of encumbrances; access to site is available; etc. Report on handing over of site to the contractor for construction.

b. Report on progress with respect to shifting of utilities, if applicable.

c. Review the probability of escalation in project cost and time delay in implementation on account of delays in site preparation and statutory clearances

iv) Review of project management mechanisms

a. Report on whether mechanisms have been put in place for independent monitoring of physical quality of materials / construction / fabrication

b. Assess the institutional capacity of DWSS to manage implementation of the project in terms of dedicated man power, internal systems, and technical capacity, etc. Assessment should take into account agencies hired by DWSS to assist in project implementation.

Implementation Phase

Review of the project through the course of its construction is to primarily review and monitor

physical progress, financial progress, commercial performance, project quality, compliance to

statutes and other requirements. Such review to be conducted periodically over the construction

period should cover:

i) Report on Physical progress of the project:

a. Review the physical performance accomplished in the project with respect to the milestones projected in the DSR/DPR or the project implementation plan finalized at pre-construction stage.

b. Review of rescheduling of milestones on the basis of performance.

c. Report on abnormal delays in project activities and advice on remedial measures.

ii) Report on Quality assurance systems and Project quality

a. Report on methodology and frequency of tests carried out by the contractor/quality assurance consultant by examining Requests for Inspection (RFI) and reports. Ensure that they are in line with good industry practices.

a. Confirm that the materials used for construction are as per the specifications of contract agreement2

b. Report about cases of non-conformance from quality reviews based on available documents and interactions.

iii) Report on the Commercial performance and Financial progress of the project:

2 IRMA shall not themselves undertake any physical testing of material / product / construction quality. However, IRMA may prevail

on the DWSS to conduct necessary tests. Costs for such testing should be borne by the DWSS.


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a. Commercial performance

i. Review and report on commercial performance of contractors under the project with respect to commercial terms and conditions, i.e. performance with respect to clauses such as – guarantee / warranty, defects–liability, licenses, bank guarantee, insurance, payment schedule, taxes, dispute resolution mechanisms, etc.

ii. Highlight and report on enforcement of critical commercial terms and conditions by either party that has an impact on time and cost of the project.

iii. Suggest remedial measures to improve commercial performance

b. Financial progress of the project

iv. Report on adequacy of systems for project related financial management.

v. Report the quantum and timelines of contribution of funds from all the counter parties of the project by verifying receipts statements.

vi. Review documents related to claim for payments and payments made. Such documents will include – Invoices, Measurement Book, Bank statements, etc.

vii. Report on utilization of funds in verification with bank reconciliation statements.

viii. Remedial measures to improve financial progress

iv) Report any major variation in overall project cost, due to changes in the Bill of Quantities as per the contract.

v) Compliance to the statutory requirements

a. Report on compliance to directives by State and Central environmental agencies stated during the environmental clearance of the project, compliance with the Environmental Management Plan for the project, and good environmental management practices of the industry.

b. Report on provision, installation, and usage of health and safety equipments, procedures and practices at site by visual observation and examination of records. The report should include health and safety issues concerning workers at site.

c. Report on standards of health and sanitation arrangements maintained at campsite by visual observation and discussion with the concerned stakeholders.

d. Report about the progress of Resettlement and Rehabilitation of Project Affected Persons, if applicable

e. Report on persons requiring resettlement and rehabilitation assistance as reported for land acquisition team and the DSR/ DPR, if applicable.

f. Report on compensation awarded and / or to be paid as per the records, if applicable.

g. Report on court cases, which likely to affect the physical progress of the project.


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Commissioning, Trial run and Testing Phase

i) Report on necessary training imparted to the operations and maintenance (O&M) team for taking over the completed project. The agency will check with records and discussion with participants.

ii) Report on stages of testing and level of participation by the O&M team.

iii) Reports on handing over of all documentation, “As Built” drawings operational instructions and equipment manuals to the O&M team.

iv) Report on trial runs and completion of project.

Post Construction Phase (if applicable)

i) To report on overall performance of the asset created (project) with respect to

i) Capacity – delivering capacity requirements

ii) Functionality – meeting all functional requirements

iii) Usage – extent of usage, break downs and shut downs

iv) Performance of the O & M team


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4.3 Draft Terms of Reference for Upgradation and Maintenance of existing MIS,

development of mobile based system and dashboard for monitoring all the

activities of DWSS

OBJECTIVES OF THE CONSULTING ASSIGNMENT

Under Bank support from the ongoing RWSS project, a web enabled MIS (with modules for Contract

Management, Financial Management System and all other project related activities has been developed

and deployed. The system is currently in use for past three years and allows for generating various

reports related to monitoring of the project activities at state and district level.

The availability of up-to-date and valid data from the field is a critical element of project management and

monitoring of all DWSS activities. Government officers associated with project implementation in RWSS

project and other DWSS activities face significant challenges in collecting such data due to the logistical

challenges and non-availability of data capturing equipment in field. The challenges in collecting reliable

and up-to-date data from widespread and remote locations lead to significant gaps in the information

available to program managers and policymakers.

The existing MIS system however is not enabled to leverage the potential of mobile and new media

technologies to capture data at the source along with geo-tags and time stamping. The complete geo

tagging of all water supply schemes has been done through software developed by another government

agency. The department wishes to upgrade the current system with additional modules developed for

mobile based data capture from the field and integrate this with the GIS system developed. In addition,

the department wishes to enhance the feature of the Grievance Redressal System (ShikayatNirvan

Kendra) with facilities for SMS /IVRS/Smart phone application/ web based complaint registration and

tracking system and integrate SNK system with the upgraded MIS system.

DWSS seeks to hire a qualified and competent consulting firm/System Integrator (‘Consultant’) to

upgrade the present MIS and develop a new mobile based system integrated with the upgraded MIS

covering entire state. The Consultant hired through this Scope of Work (SoW) will be responsible for:

a. Upgrading the existing and ongoing MIS; b. Developing additional modules for mobile data capturing from the field c. Developing dashboards and analytical framework for real time monitoring of all the activities of

DWSS d. Developing software module (CBT) for capacity building and training officials of DWSS to use

enhanced MIS effectively. e. Delivery of training to the officials of DWSS in enhanced MIS.

The solution developed under this assignment will act as a standardize and unified database/repository

for entire water and sanitation sector activities handled by DWSS in the state of Punjab.

This system so developed will thus help the DWSS in its intentions to allow better reporting of its

achievements, monitoring of its activities and evaluation of performance information which is a requisite

both by the public and by the donor community. It will help the DWSS to deliver infrastructure in quality,

time and within the specified cost and hence quality service on its commitments to the people. . All

agencies including the World Bank and other donor agencies, state and central government should be

able to pull the information from the system developed under the assignment as per their access and

authorization levels using standard API’s.

This assignment will require the Consultant to demonstrate innovation in plans and actions. The

Consultant shall set up a system that the DWSS staff will ultimately manage and use.

SCOPE OF WORK

Enhanced Systems under the assignment are envisaged to act as a single database for DWSS in the

government of Punjab. The principle is data entry at source once and reporting multiple times. The


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system will fulfill the reporting requirements of DWSS to various state and central government agencies.

The system developed by the consultant should be able to enable fulfillment of the reporting requirements

by making available the sector data to various agencies through appropriate APIs and other tools

confirming to Open Data standards. In order to ensure inter operable on various platforms, the consultant

will ensure the solution to be developed should conform to technological standards notified by department

of electronics and information technology (DeitY). (http://egovstandards.gov.in/published_standards).

The details of the work to be done by the consultant are as follows:

1. System upgrade and operational maintenance

The DWSS Engineers/ staff supervise and monitor various maintenance and construction works. To

verify the quality and progress of the works for reporting purpose they currently prepare manual

reports and send these to the DWSS located in each district / division of the state.

The upgraded / developed solution will use mobile devices (Preferably Tablets computers with mobile

network based connectivity) and available software solutions, it will facilitate the work that field

engineers are already doing including the following:

In addition to supervising the works in terms of quality and recording progress on the physical aspects also report on financial and social aspects pertaining to the work and quality status,

Management will have real time access to all the DWSS activities.

The system will allow for requesting technical help from management in the case of any challenges.

Monitoring of all DWSS activities as specified

With the proposed systems, DWSS Engineers/ staff will use smart phones / tablets to take photographs, make qualitative and quantitative assessment of the works in specified format and directly report from the field using the interfaces of MIS and CMS, as necessary. The photographs taken are also automatically geo-tagged (with tamper-proof latitude and longitude, date, and time).

2. MIS

Existing MIS is a web based system, consultant will need to upgrade all the modules of the existing MIS

and develop mobile interface to enable direct entry of data by field officers along with photograph and GIS

coordinates directly into the MIS. The upgraded MIS will need to be made interoperable with various

systems such as IMIS of NIC, Bhuvan Portal and other state government reporting systems.

The problems/ shortcoming of present MIS system

Present interface is not user friendly.

Mismatches of similar parameter among the reports

Present system provides output in form of tabular reports only.

Generic report generation tool for ad-hoc reporting requirements, needs to be simplified and upgrade

Manual Updation of website contents (not through CMS) Features

The upgraded system should have personalization feature which enable user or admin to configurable system according to the needs and details required to a particular user.

The Work flow of information in the system should be configurable to absorb the changing needs of the departments.

The upgraded system should be able to monitor physical, financial, social and quality related status of scheme being implemented under all programs i.e not only of project related schemes

All relevant historical data will be migrated to the new system.


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3. PRWSS website – Upgrade from static website to fully functional Content Management

System (CMS)

Consultant will be required to develop a fully functional content management system with features for officers at the village, district and state level to update the content on the PWRSS website based upon on agreed workflow. Provided below is indicative but not exhaustive list of featuresto be incorporated :-

Multimedia content

News room with information library

Data visualization and statistics for storytelling

Success stories with image libraries and video content

Section on citizen journalism

Chat helpline for beneficiaries/GPWSC

Integration with social media platforms

Event/ Calendar Management

Theme Managers

Consultant will be required to submit complete CMS framework, design and metadata structure and get

this approved by the department (IEC,IT and domain). The developed system should comply with all W3C

standardsfor mobile and web accessibility.

4. Shikayat Nirvana Kendra (SNK) – Existing SNK software is a standalone application

Associated call center activities are addressing only drinking water related Grievances. The consultant will add functionality for sewerage complaints and upgrade the standalone system into mobile/SMS/Email/web enabled system and integrate additional citizen access channels for mobile, SMS for grievance redress and feedback.

5. Development and integration of new modules

Mobile based Monitoring and Evaluation applications

Consultant will develop new suite of mobile applications enabling the field staff to carry out the following

functions:

Base line survey tool including the pre-defined forms to report on the present status of water and sanitation facilities at the village level including household, institution and organizational details at the village and district level.

Integration of Water billing application being maintained by other agency.

Integration activities as identified

The data uploaded through mobile applications will be appended into the MIS in real time along with GIS

coordinates, time stamping and photographs.

Citizen engagement tools Consultant will develop a generalized mobile application made available through play store and other

similar mobile application stores which can be downloaded by citizens and used for reporting any

problems in the field as well as for grievance reporting and redress. The tools will be developed in

consultation with IEC team of DWSS, Punjab. The consultant will be responsible for uploading the mobile

application into on-line mobile stores on the behalf of DWSS, Punjab.

Outreach and communication system

Mobile applications as already specified at 3.1.5.1 will be developed by the consultant to be part of the

mobile application suite to carry out the communication and outreach activities.


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Dashboards and Reporting Interface

The consultant will develop analytics interfaces and dashboards to analyze the data uploaded

by the field officers and partners and present GIS enabled dashboards as per the reporting

requirements of the department and associated external agencies. The users should be able

to produce various graphical representations along with time / geographic slicing of the data

as well as compare the performance of various villages, officers , schemes etc.

6. Trainings, Documentation and System Transfer

Consultant will provide appropriate training to different user groups in addition to developing the self

explanatory training modules that can be run through the RWSS website. Following trainings are

expected to be carried out:

Train the trainer program for 20 senior officers designated by DWSS, Punjab

Training of the 5 system administrators for creating new users , adding new locations, adding additional forms and new reporting templates. The training will be carried out at DWSS office in Chandigarh/ Patiala.

Training of all the DWSS Staff (approx. 650 nos)

Development and delivery of CBTs as defined in the section 2 objectives.

Venue, Infrastructure, training equipment will provided by DWSS.

Additionally, the consultant will be required to create documentation on the MIS along with technical and

operational manuals for all the modules pertaining to the MIS and mobile applications.

7. Interoperability of the upgraded MIS with other systems

The updated MIS will follow Open Standards principles.In order to ensure inter operable on various

platforms, the consultant will ensure the solution to be developed should conform to technological

standards notified by department of electronics and information technology (DeitY). (http://

egovstandards.gov.in/published_standards).

The consultant will need to develop and deploy the necessary APIs for read and write to and from the

MIS using rights based access.

The developed APIs will need to provide following features in the MIS to interoperate with other systems

both in online and offline modes:

Online Mode

• Mobile Apps to MIS using Synchronization

• MIS to External Application and vice versa using

the Interfaces Available

• MIS to Web Service using HTTP Interface

Offline Mode

• MIS to External Applications using Export

• Data from External Application using Import

8. Infrastructure requirement for proposed solution:

The Consultant shall define the technical specifications of the System that will include all required

technology (hardware and software) and services (telecommunications services and data plans) to make

the System fully functional, keeping in view the already available IT infrastructure (Data centre) etc. with

DWSS.The consultant can suggest other features which can add capabilities to use MIS as a single

window solution across entire DWSS


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The Consultant will work under the direction and supervision of the Project Management Team (PMT) of DWSS.

APPROACH AND METHODOLOGY

Recognizing that the mobile telephony is relatively ubiquitous across Punjab, this project aims for DWSS

Staff to use mobile telephone and device based data collection systems in their work. The project may

use a range of media to collect data, including textual (e.g. Short Message Service (SMS), interactive

Unstructured Supplementary Service Data (USSD)), and data (e.g. over mobile data services, Wi-Fi

networks).

The database should be extensible and allow for future expansion. The reporting system should be

flexible to accommodate changes.

The mobile based reporting system shall accept data sent in over various media channels from various

sources and process this data. The reporting system will use this processed data to produce required

reports and maps, and feed processed data into the MIS and other government systems such as IMIS

and IFMS. The existing database systems at DWSS for the different applications have been developed

using PGSQL, MySQL and other platforms. The solution (including data collection devices, data formats

& structures, APIs and reporting system) to be developed under this assignment, needs to be

interoperable with those existing systems at DWSS which are not being enhanced in order to ensure that

applications are optimally utilized. The tools should use internationally recognized standards, xforms or

equivalent, for the data structures.


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5 Annexure 5

5.1 Panchayati Raj Institutions and Decentralisation in Punjab

Note on the status of rural decentralization in Punjab and its implications for the proposed PRWSS II Program Punjab initiated rural decentralization early on; however, much remains to be done to empower the PRIs The State of Punjab had established Panchayats under the Punjab Village Panchayats Act of 1939 followed by The Punjab Gram Panchayat Act 1952 with a formalized three tier system in 1961 under the the Panchayat Samitis and Zila Parishad Act 1961. Subsequently, in consonance with the 73

rd constitutional

amendment 1992, the State enacted the Punjab Panchayati Raj Act in 1994 to devolve authority to PRIs and undertaken the “first generation” reforms. A three tier PRI system has been established in the state. 13 subjects have been devolved to the PRIs including drinking water, public health and sanitation. State Election Commission was set up in 1994 and the first elections to the Gram Panchayats were held in 1998. Recent Panchayat elections were held in 2013. Gram Sabhas have been constituted for each village. The first State Finance Commission was appointed in July 1994 and the third State Finance Commission gave its recommendations in 2006. However, subsequently the pace of the process of devolution has been limited and much remains to be done to empower the PRIs. The Organisational Set-up of the Three Tier PR System in Punjab. The three-tier organisation set-up of the Panchayati Raj Institution in Punjab is shown below.

Organisational Set-up of the Three Tier PRI

Zila Parishad – 22 District level

Members 10-25 members Directly elected from territorial Constituencies of the district depending on the

population Chairpersons of Panchayat Samitis in the district Members of Lok Sabha and State Legislative Assembly representing a part or whole of the district

Chairperson and Vice- chairperson Elected from among the elected members of the ZP in a meeting of the directly elected numbers of

the ZP including the chairpersons of the Panchayat Samitis of the district

Chief Executive Officer Additional Deputy Commissioner (Development) as CEO Officer of the rank of District Development and Panchayat Officer as Deputy Chief Executive

Officer

Panchayat Samiti – 146 Block level

Members 15-25 members Directly elected from territorial constituencies in the Panchayat Samiti

Chairperson and Vice chairperson Elected from among the elected members of the PS

Executive Officer Block Development and Panchayat Officer

Gram Panchayat – 128273 Village level

Sarpanch and Panches 5-13 members (Depending on the population) Directly elected by Gram Sabha – Multi Member

Single Constituency

3 IMIS, MoDWS, September 2014


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Panchayat Secretaries One PS will be in charge of a circle consisting of 3-5 GPs serving as secretaries to al the GPs in

the circle.

Source: Statistical Abstract of Punjab, 2004. Gram Panchayats – The bottom tier of PRI is the Gram Sabha comprising of every person who is entered as voter in the electoral role prepared by the State Election Commission pertaining to any revenue village or group of contiguous villages having population not less than 200. More than one Gram Sabha can also be constituted with in the boundaries of the same revenue village if the population is above 500. Each year every Gram Sabha shall hold two general meetings one in the month of December after the harvesting of Swani crop called the Swani meeting and in the month of June after the harvesting of Hari crop called the Hari meeting. The quorum for the Gram Sabha is one fifth of the total number of members. The development plans and budget estimates of the Gram Panchayats are discussed and approved in Swani meeting. The development plans of the previous year and statements of accounts are taken up in Hari meetings. A schedule for the Gram Sabha meetings for each of the village in the entire Block will be prepared in advance and published. The dates for the meetings are thus permanently fixed and prominently displayed in the village. BDPOs give wide publicity to the schedule of the Gram Sabha meeting. A representative of the BDPO will attend the Gram Sabha meeting. The Punjab Panchayati Raj Act provides that in the event of the Sarpanch failing to hold two consecutive General Meetings of the Gram Sabha, the Sarpanch shall automatically cease to hold office

4.

Each Gram Sabha elects from among its members (Single constituency) a Gram Panchayat bearing the name of the Gram Sabha consisting of a Sarpanch and Panches (Multi member) based on the population

5. The Gram Panchayat is the Executive Committee of Gram Sabha and is the body corporate.

The Panchayat Secretary is in-charge of the office of the Gram Panchayat and performs the roles under the control of the Sarpanch and is responsible to the Gram Panchayat. The Gram Panchayats in a Panchayat Samiti area are organised into Panchayat Circles of 3 contiguous Gram Panchayats. One Panchayat Secretary is in-charge of a circle. When the Gram Panchayats are small, 5 Gram Panchayats constitutes one Panchayat Circle. Section 25 of the Punjab Panchayati Raj Act, 1994 provides for constitution of Amenities Committee to perform functions in respect of education, public heath, public works and other functions of Gram Panchayat. The Sarpanch is the ex-officio member and chairman of the committee which can have co-opted members as well as the prescribed number of women and Scheduled Caste members. The Panchayat Secretary convenes the meetings of the Gram Panchayats under the direction of Sarpanch, records proceedings of the meetings, and maintains account books such as the cash book and stock register. The Panchayat Secretary also acts as the link between the Gram Panchayat and Panchayat Samiti. The Junior Engineers are attached to the BDPO and work under the supervision of Sub-Divisional Engineers. The Junior Engineer assists the Gram Panchayat in preparing technical estimates, inspecting the works implemented and in issuing utilisation certificates. Panchayat Samiti – The Panchayat Samitis are constituted for every block and consist of 15-25 members directly elected from the territorial constituencies in the Panchayat Samiti area. The Block Development and Panchayat Officer (BDPO) is the ex-officio executive officer of the Panchayat Samiti. The BDPO office has two branches, General Branch and Accounts Branch. The General Branch to which Panchayat Secretaries are attached with are the employees of the Panchayat Samitis and is under the direct administrative control of Panchayat Samiti. The Accounts Branch consists of accountant, Gram

4 Section 5 (2) of the Punjab Panchayati Raj Act

5 For Population 200 to 1000 five Panches, 1001 to 2000 seven Panches for population 2001 to 5000 nine Panches,

5001 to 10000 eleven Panches and exceeding 10000 thirteen Panches.


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Sewaks, two Junior Engineers etc. and are treated as on deputation to the Panchayat Samiti. The Panchayat Samiti also has some staff from other departments like Industries department, Planning department etc. Zila Parishad – Zila Parishad is the highest tier having jurisdiction over the entire district excluding the areas of municipality, cantonments area or notified area. The Zila Parishad consists of one member each directly elected from territorial constituencies of the district, all chairpersons of Panchayat Samitis, members of Lok Sabha and members of State Legislative Assembly representing a part or whole of the district. The Chairman and Vice-chairman of the Zila Parishad elected from among the directly elected members of Zila Parishad by the elected members of Zila Parishad including Chairman of the Panchayat Samitis. The chairman of the Zila Parishad is also the Chairman of the DRDA. The Additional Deputy Commissioner (Development) is the Ex-officio Chief Executive Officer of the Zila Parishad and Officer of the Department of the Rural Development and Panchayats not below the rank of a District Development and Panchayat Officer is the Deputy Chief Executive Officer. The staffing pattern except the post of CEO and Deputy CEO differ from district to district. Some districts have less than 10 numbers while some other have up to 100 staff in the Zila Parishad. Status of Functions, Funds and Functionaries- While some progress has been made for devolution, GPs still lack adequate resources & capacities for effective functioning In terms of functions, the State Government has approved the devolution plan in respect of seven key departments holding 13 subjects wherein crucial village level function of the same has been transferred to the PRIs. Over 876 single village water supply schemes have been transferred to PRIs. Amongst the schemes implemented by the GPs include works projects e.g. village roads and drains; small maintenance works; and other miscellaneous activities. However, integrated planning exercises are not undertaken and bulk of these activities are primarily undertaken based on scheme funds made available to the PRIs. Other schemes directly implemented by line agencies at the village level include the Sarva Shiksha Abhiyan (SSA, schools education guarantee) for which a schools committee is the implementing agency; similarly, Anganwadi workers implement the Integrated Child Development Scheme (ICDS) mid-day meal schemes. The Health department runs the primary health centres, implements schemes for pregnant women and children.

Table: Departments/ Functions devolved

S.No. Department Subject devolved

1. Social Security, Women and Child Development

Women and Child Development

Social Welfare including welfare of handicapped and mentally retarded

2. Welfare of Scheduled Caste and Backward Classes

Welfare if weaker sections and in particular of the SCs and STs

3. Public Health Drinking water

4. Rural Development and Panchayats

Rural Housing

Libraries

Cultural Activities

.,Markets and fairs

Maintenance of community assets

5. Health and Family Welfare

Health and Sanitation, including hospitals, primary health centres and dispensaries

1186 Subsidiary Health Centres transferred to PRIs

Family Welfare

6. School Education Education, including primary and secondary school

Education department transferred 5752 primary schools along with 13034 posts of ETT teachers*


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7. Animal Husbandry Animal Husbandry Department had transferred 581 veterinary hospitals*

* However, in 2014, the Department of Rural Development & Panchayats transferred veterinary hospitals along with posts working under Zila Parishad to Department of Animal Husbandry as also the primary schools & posts to Education Department

The functions relevant to the water and sanitation sector for GPs include: “any public place including its sanitation and drains; “wells, water-pumps, baolies, springs, ponds and tanls for the supply of water for drining, washing and bathing; “supply of water for domestic use and for cattle; “prevention and control of pollution; “cleaning of public roads, drains, tanks, wells and other public places; “construction and maintenance of public latrines; and *Management and control of washing and bathing In terms of functionaries, a typical GP has between 5 and 13 directly elected members (Panches) apart from the Sarpanch who is also directly elected. Panchayat Secretaries look after the executive and secretarial functions of the GP, often having to cover between 5 and 10 GPs. Casual staff may be hired and paid for specific tasks e.g. chowkidars, lambardars, etc. Where there are GPWSCs with functioning water schemes, bill collectors/water maintenance worker may be hired by the Committee. Hence, GPs have elected representatives but few or no staff at their disposal. The GPs, Panchayat Samiti and Zila Parishad are empowered to levy taxes under the Punjab Panchayati Raj Act, 1994. As per the third State finance commission report, “The taxation powers of the Panchayat Samitis and Zila Parishads are virtually non-existent considering the conditions under which they can be exercised. As such, while there is a mix of some tax income in the own revenues of the Gram Panchayats, there is no such content in the revenues of the Zila Parishads and Panchayat Samitis. The bulk of own revenues of all classes of Panchayati Raj Institutions come from management of the lands and properties in their ownership and a few odd fees and levies, the nature of which is not entirely clear.There is heavy dependence on state subventions, which come in the form of share of taxes and grants as per the recommendations of the state and central finance commissions, share of excise dues, grants in lieu of liquor tax, grants in lieu of profession tax, MPLAD funds and funds for the implementation of centrally sponsored schemes.” In general, the sources of GPs’ finances include:

a. Central Thirteenth Finance Commission Award for repairs and maintenance works b. Cleanliness Scheme (one time grant) c. Rural Infrastructure fund grants (from proceeds of cattle auctions) d. Rural Infrastructure Development Board Discretionary funds given one-time to GPs in

select districts e. Special area scheme grants (e.g. Kandi scheme) f. Occasional and discretionary funds from Members of Parliament Local Area

Development Funds (MPLAD Scheme) g. Funds from national flagship schemes like Nirmal Bharat Abhiyan, MNREGA etc. h. Part of the proceeds from lease of Shamlat (commons) Lands of the GP if available

The above underlines following aspects of GPs’ funds and activities:

a. There is a predominance of discretionary and one-time grant funds – this seems to the primary method of fiscal transfer to GPs from the State Govt.

b. The national flagship programs make funds available to GPs but these are tied to specific uses – many of the schemes completely by-pass the GPs as these are implemented directly by line departments

c. The GPs do not have an instituted practice of their own planning and implementation – and systematic untied block transfers (for spending by the GP according to its own


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priorities) are limited only to the Central Thirteenth Finance Commission award (even this is to dedicated to maintenance activities only)

The Ministry of Panchayati Raj (GoI, 2012-13) conducted a comparative empirical assessment of devolution across States, and ranked Punjab 17th amongst the 20 main states of the country. In terms of the index of legal and institutional framework for devolution, Punjab scores 60 (of 100) compared to the national average of 51 (of 100). The legal framework (the Act) provides the enabling conditions but in terms of the index of

actual devolution of functions6, Punjab scores much lower at 24 against the national average of 34

(IIPA/MOPR, 2013). The Financial devolution index in Punjab fares rather poorly compared to other states – scoring only 17 against a national average of 29. The index of devolution of personnel or functionaries in PRIs in Punjab again compares very poorly – only 24 against a national average of 37. About 1,919 of 2,319 GP secretary positions (for 12,800 GPs) were filled. No personnel from line departments were transferred to PRIs (Lok Sabha, 2013). The indices for Capacity building and Accountability for Punjab were 39 and 47, compared to national averages of 50 and 43 respectively. (IIPA/MOPR, 2013) In consonance with the 74th Constitutional Amendment, the key mechanism for effecting fiscal transfers from the State to local bodies, is the State Finance Commissions (SFC). Punjab had constituted its First (1996-97 to 2000-01), Second (2001-02 to 2005-06), and Third (2006-07 to 2010-11) Finance Commissions. It is reported that the recommendations of the three SFCs were only partially accepted and issued for

implementation. Since 2010-11, there has been no SFC7 nor has there been any award. Hence, GPs in

Punjab receive only the GoI Central Thirteenth Finance Commission awards at present. The Ministry of Panchayati Raj Task Force on SFCs termed the status of Punjab’s devolution not compliant with the fiscal transfer and audit conditions set out by the Central Thirteenth Finance Commission (MoPR, 2013). Key areas of interventions required Following are important interventions required for strengthening the PRIs:

Capacity building and skill development: The capacities of the PRI functionaries continues to remain low and need to be enhanced in a structured manner.

Devolution of funds and functionaries

Systems for Vigilance and Grievance redressal such as audits, MIS, etc. Role of PRIs in the PRWSS Program (Phase I) and Envisaged role in PRWSS II GPWSCs are in the forefront of the reforms in RWSS sector. Under the World Bank assisted Project and the SWAp principles, GPWSCs have been given the responsibility to design, implement and maintain various water supply schemes. GPWSCs are also given the responsibility to undertake IEC activities. Significant efforts have also been made to build capacities of the functionaries through structured training programs and exposure visits and strengthen GPs and GPWSCs as important grass root level institutions to take over this role effectively, going ahead. The State’s policy for RWSS sector also defines GPs/ GPWSCs roles for scheme implementation and O&M, in line with its vision of decentralised management of RWSS. GPs will be mainly responsible for seeking project assistance following a self-selection process, constituting a GP level GPWSC representing the user communities and empowering the GPWSCs to take responsibility for project implementation on its behalf. During the post-implementation phase, the GPs will monitor the sustainability of scheme operations and ensure that the GPWSCs satisfactorily discharge their O&M management function including levying and collecting user charges from the beneficiaries. For MV schemes, GP will be responsible for payment of bulk water charges to DWSS.

6 The Eleventh Schedule of the Constitution lists 29 functions for devolution. Devolution of seven key departments relating to 15

subjects was approved (Lok Sabha, 2013) but in actual practice this remains to be implemented. 7 A Fourth State Finance Commission was reported to have been constituted in Nov 2008, that presented its report in May 2011,

but there has been no progress reported since.


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GPWSC: GPWSCs have been formed in previous schemes under the first program as standing committee of the GPs. Existing GPWSCs are managing SVS as well as intra village infrastructure in MVS. In the project also, GPWSCs will be formed for new water and sanitation schemes and the existing GPWSCs will continue to function for O&M of schemes. The key functions of GPWSC are: (i) planning, and technology selection, (ii) partial user financing of capital costs, (iii) procurement and construction, and (iv) management and full financing of O&M, including levying and collecting sufficient user charges. The composition of GPWSCs, their functions, and method of selecting members, bylaws, legal framework and relationship with the GPs has been agreed (included in PIP). The project would make vigorous efforts to maximize women's role in the GPWSCs. For Multi Village schemes, Scheme Level Committees (SLCs) which has representatives from participating GPWSCs to perform the same functions. For sanitation/IHHL, at the GP, the forum for interaction will start with the GPWSC. This forum will be used for planning, monitoring and any financial decisions. A Monitoring (Nigrani) committee will be formed from the community members that come forward for attaining ODF, after the triggering events. The GP role is as follows:

(i) Involve people in awareness campaigns

(ii) Identify natural leaders/resource persons in the village who will take the campaign forward

(iii) Identify masons and suppliers of different sanitary materials. Note – the GPWSC should not construct toilets, this should be done by the household themselves, its role is to facilitate the supply of masons and materials, if required

(iv) Actively participate in outcome based competitions

(v) Monitor usage at village level

At Panchayat level, Social Mobilisers will be engaged to work closely with the panchayat and villagers.


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5.2 Strategy for achieving an ODF State status

1. Background: A rapid assessment was undertaken to analyze the status of rural sanitation coverage and usage, institutional arrangements and service delivery approaches, with a view to providing a baseline situation analysis for the design of a rural sanitation strategy to achieve the goal of open defecation free (ODF) rural Punjab.

2. Defining the Goal of ODF Rural Punjab: The goal of the strategy detailed in this document is to achieve an ODF Rural Punjab by 2

nd October 2019

8. The Punjab State Water Supply and Sanitation

Policy aims to ensure that 100% of rural households have access to and use safe sanitation facilities that do not contaminate the environment, particularly ground water. In line with this, ODF is defined as safe confinement of human excreta through usage of an improved toilet by all persons at all times. The ODF program will be implemented and monitored taking the Gram Panchayat as a unit.

3. Open defecation is a private behavior that has public consequences. Therefore, even if a few individual households switch to using toilets in a community, overall risks to public health remain. Hence, a focus on behavior change, collective and not just individual, is important for safe sanitation to take effect and sustain over the long term. A Gram Panchayat, by virtue of its Constitutional mandate, is ideally placed to promote and sustain community-wide sanitation. A focus on GP as the unit of implementation is in line with the State Water Supply and Sanitation Policy (2014) which advocates for decentralized management. It also builds on the successful efforts made by the on-going project to strengthen the DWSS’ capacity to work with communities and build the capacity of the GPWSC as the key local institution for the sustainable delivery of water supply.

4. Elements of successful ODF approaches: The strategy proposed is underpinned by the following, which have been seen as elements of successful ODF approaches in different states, namely: 1. Focus on behavior change rather than latrine construction alone as the goal of the rural sanitation

program 2. Community-led approach to achieving total sanitation; 3. Clearly delineated institutional roles for managing the demand creation and supporting the

provisions for household sanitation at the state and districts; 4. Enabling choice of latrine technology by household (not prescriptive or promoting a single model

only); 5. Working in partnership with the Gram Panchayat (GP) and its committees (or suitable intra-GP

structure, in case the statutory ones are not functional); 6. Monitoring and assessments aimed at ODF as outcome (and not only on latrines constructed but

also latrines used) with GP as a unit; 7. Transfer of financial incentive to households that build and use a toilet in a timely and predictable

manner on achievement of ODF by GP.

5. Key Elements of Program

The key elements of the program proposed for achievement of ODF rural Punjab are:

a. Dedicated Rural Sanitation Cells and Teams for Behavior Change i. Creation of State and District Sanitation Cells for management and oversight of the behavior

change campaign

8 This is in line with the national goal (announced on October 2

nd 2014) to achieve ODF Rural India by the 150

th birth

anniversary of the Father of the nation.


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ii. Training, selection and facilitation of a dedicated frontline cadre of District Resource Group (expert mobilisers) and Block level motivators to carry out triggering and follow-up in village communities for awareness, behavior change and demand generation

b. Institutional Structures at GP/Village: Capacity-building and facilitation of representative village-level committees for planning, interpersonal communication and monitoring (includes both GPWSC structures and Nigrani (monitoring) committees;

c. Transparent and Clear Rules of Program i. Clear enunciation of financial incentive for latrine construction and eligibility criteria; ii. Clear enunciation of incentives for GP on ODF achievement; iii. Formulation of a menu of technology options for latrine construction suitable in different

terrain conditions and at different price points; iv. Formulation of transparent and simple monitoring and verification protocols for latrine

construction and ODF attainment and sustainability; v. Facilitation of financial support options

9 for households identified as poor or not eligible under

project rules, e.g. households who have received assistance for latrine construction earlier vi. Fund transfer mechanisms to GP/Households; vii. Assessment and Reporting ODF

d. Post-ODF Sustainability Measures: Post-ODF planning – Household sanitation (new households10

) and allied initiatives.

9 This could take the form of tie-up with commercial banks by the project, use of microfinance channels to get bank

loans to SHGs and thence to households. 10

GoP support for this could be channeled through Inter-governmental Fiscal Transfers to GP or cash transfer to

households.


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5.3 Format for Implementation Proposal

A - Project Identification Details

1. Name of the Village: 2. Name of GP:

3. Name of Block: 4. Name of District:

5. Name of Subdivision: 6. Name of Division:

7. Identification Number: 8. Name of GPWSC:

B – GPWSC Details

1. Date of constitution: 2. No. of members:

3. No. of women members

4. No. of SC members

5. Bank account No. 6. Name of bank and branch:

C – Basic Data

1. Number of Households:

2.No. of schdeule Caste Households: 3. No. of BPL Families:

4. Population:

2001(…...) Present (…....) Designed (……)

5. Approximate cattle population:

6. No. of houses electrified:

7. No. of irrigation wells:

8. No. of electrified irrigation wells:

9. Details of hamlets:

Name of hamlet No. of households

D– Existing Water Supply

1. Details of the existing Water Supply Schemes if any:

2. Existing sources of Water Supply:

Name of Source No. of Households

served Service Level Months of Availability Remarks on Quality

a. Sources within premises of the households

i.

ii.

iii.

iv.

b. Sources outside premises of the households

i.

ii.

iii.

iv.

E – Existing Sanitation Situation

1. Describe existing drainage system in the village (both open drains as well as other systems):


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2. Details of sanitary latrines:

Type of latrine No. of units No. of Households benefited

3. Describe number of ponds and its existing status:

F. Proposed Water Supply Systems

1. Population benefited:

Total (current) Schedule Caste Population Future population (….year)

2. No. of households to be benefited:

Total Schedule Castes BPL Households

3. Proposed service level:

Designed Supply level (lpcd) Total Daily Demand:

Current (LPD) Future (…. years) LPD

4. Proposed connections:

Category Number Population covered Household served

a. Private Connections

b. Public stand posts

c. Cattle trough

5. Technology / Design option selection process followed (mention the options considered and reasons for acceptance / rejection including details of community consultations):

6. Technology choice (tick appropriate)

Tube well SV Tube well MV Canal based SV Canal based MV

7. Technical details for Tube well based schemes

a. Design period for head works b. Design period for distribution system

c. No. of tube wells d. Expected water discharge

e. Details of pumping machinery (include type of pump, horsepower, no. of pumps, pump discharge – lph, proposed pumping hours, designed head etc.):

f. Details of rising main, head works lines etc.:


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g. Details of Over Head Service Reservoir (include capacity, height, FSL etc.):

h. Details of distribution system (include details of number of public stand posts, private connections, different pipe sizes of distribution, peak demand etc.)

i. Details of disinfecting arrangements:

8. Technical details for Canal based Schemes:

a. Design period for head works b. Design period for distribution system

c. Details of inlet channel (include details of type, length, capacity, name of canal, sanctions etc.):

d. Details of Storage and Sedimentation Tank-SS Tank (include details of number, type, capacity etc.):

e. Details of Suction cum Scour Well – SS well (include details of number, size capacity etc.):

f. Details of high level tank:

g. Details of filter bed:

h. Details of clear water reservoir:

i. Details of over head service reservoir:


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j. Details of pipelines at head works:

k. Details of pumping machinery (include type of pump, horsepower, no. of pumps, pump discharge – lph, proposed pumping hours, designed head etc.):

l. Details of distribution system (include details of number of public stand posts, private connections, different pipe sizes of distribution, peak demand etc.):

m. Details of disinfecting arrangements:

9. Abstract of estimates

Sl. No. Item Total Cost (Rs.) Community

contribution (Rs.) Project contribution

(Rs.)

10. Schedule of implementation

Sl. No. Name of activity Responsibility Duration Start date End date

11. Operation and Maintenance Plan

a. Estimation of O&M expenses

Sl. No. Item of expenses Estimated monthly

expense (Rs.)

i Electricity charges (based on number of hours of pumping, electricity consumed and unit rate of electricity)

ii. Operator charges

iii. Maintenance of head works

iv. Maintenance of distribution system

v. Preventive maintenance of machinery

vi. Chemicals for disinfecting

vi. Insurance

Total direct expenses

vii. Contingency fund for break down repairs @ 10% of direct expenses

viii. Reserve fund for replacement @5% of direct expenses

Total expenses per month


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b. Water quality monitoring arrangement:

c. Institutional arrangement for operation and maintenance (mention terms of contract if contracted):

d. Water tariff for private connections per month Rs. e. For public stand posts per month Rs.

f. Arrangement for collection of water tariff (Also include policy for revising tariff):

G. Proposed Community Sanitation

a. Describe the proposed sewerage collection system:

b. Describe the proposed treatment system:

c. Describe the renovation of ponds:

d. Abstract of estimate:

Sl. No. Item Total Cost (Rs.) Community

contribution (Rs.) Project contribution

(Rs.)

e. Schedule of implementation

Sl. No. Name of activity Responsibility Duration Start date End date

f. Estimation of O&M Expenses

Sl.No. Item of expenses Estimated monthly expense (Rs.)

g. Institutional arrangement for operation and maintenance (mention terms of contract if contracted):


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h. User fees per month Rs.

i. Arrangement for collection of user fees (Also include policy for revising tariff):

H. Capital Contribution Plan

a. Amount of capital contribution to be mobilized

Item of investment

Total cost (Rs.)

Amount of community

contribution (Rs.)

Instalment – I Instalment - II

Amount (Rs.) Date Amount (Rs.) Date

I. Capacity Building Plan

Sl. No CB Activity Date and Duration

Target Group

No. of participants

Estimated cost (Rs.)

Responsibility

J. Community Monitoring Action Plan

Sl. No Monitoring Activity Date/ Periodicity Responsibility

a. Construction monitoring

a.i

a.ii

a.iii

b. O&M monitoring

b.i

b.ii

c. Water quality monitoring

c.i

c.ii

d. Progress reporting

d.i

d.ii

e. Learning sharing

e.i

e.ii

K. GPWSC Members

Sl. No Name of the GPWSC Member Designation Signature

Date:


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5.4 Outline of the Disclosure Policy and Action Plan

Topics Documents to be disclosed Frequency Mode

Project Scope Project Appraisal Document of the Bank

Financed Project

Once when Project

Agreement is signed

DWSS website. PRWSS website

Community and

Infrastructure

Development

List of Implementation phase proposals approved by SWSM and DWSC with salient features of the scheme. Scheme completion report for each scheme

for each batch /

scheme

Division & ZP office notice

board / DWSS website /

PRWSS website

Status Of Coverage Of Habitations Yearly DWSS website.

User satisfaction surveys Once in every 2

years.

DWSS website.

Environmental

Management

Environment Assessment Summary Complete EA report

finalized after

appraisal would be

disclosed and

remain available

throughout the entire

project cycle.

World Bank’s Info shop. Punjab Environment Information system’s website. DWSS website PRWSS website

Database on District wise water

resource maps including water quality of

each drinking water resource.

A systematic

assessment of deep

ground water quality

& canal based

resources from each

water supply

scheme in the state

is being conducted

once in the entire

project cycle as

district wise

assessments are

completed the

database would be

made available to

public through

website .

Punjab Environment Information system’s website. DWSS website

Periodic report of water quality including

testing for heavy metal & pesticides.

Water quality

monitoring including

testing for heavy

metal & pesticides

would be conducted.

Annual updates

would be made

available to public

through website

Punjab Environment Information System’s website. DWSS website

Financial

Management

At Project level

i) Project Financing Plans

Before the start of

the project

DWSS website/ PRWSS

website - throughout the life

and updated regularly.

ii) Budgetary allocation for the project Yearly DWSS website/ PRWSS

website


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iii) Progress report (financial and

physical)

Quarterly/ Annually DWSS website/ PRWSS

website

iv) Financial Management Guidelines Before the start of

the project

DWSS website/ PRWSS

website throughout the life.

At GPWSC level

iv) Approved Cost and financing plan of

individual schemes

Before the scheme

is officially launched

Displayed on a Sign board at

Sites / GPs

v) Different stages of contract award

(bids, offers, evaluation, selection,

award)

As per the need Displayed on a Sign board at

Sites /GPs

vi) Expenditure statement Monthly Displayed on a Sign board at

Sites /GPs

vii) Gram Sabha meeting notices Prior to notice period

requirement of

calling a Gram

Sabha

Displayed on a Sign board at

Sites /GPs

Financial

Management

Project Financing Plans Before the start of

the project &

published quarterly

during the life of the

project

DWSS website/ PRWSS website Displayed on a Sign board at Sites for the respective schemes

Budgetary allocation for the project Yearly DWSS website/ PRWSS website Displayed on a Sign board at Sites

Expenditure Statement Quarterly DWSS website/ PRWSS website Displayed on a Sign board at Sites for the respective schemes

Procurement Contracts awards for ICB [and LIB if

applicable] containing following

information:

[a] Name of each bidder who submitted

the bid

[b] bid prices as read out at bid opening

[c] name and evaluated prices of each

bid that was evaluated

[d] name of bidders whose bids were

rejected and the reasons for their

rejection; and

[e] name of the winning bidder, and the

price it offered, as well as the duration

and summary scope of the contract

awarded

If after publication of results of

evaluation DWSS receives protests

/complaints from the bidders, and if as a

result of analysis of such protests

DWSS changes its contract award

Within 2 weeks of

receiving the Bank’s

no objection to the

recommendation of

contract award

Within 2 weeks of

receiving the Bank’s

no objection to the

revised

recommendation of

UNDB online, dgMarket and

website of DWSS/ PRWSS. In

this publication DWSS shall

specify that any bidder who

wishes to ascertain the grounds

on which its bid was not

selected should request an

explanation from DWSS. The

DWSS shall promptly provide

an explanation of why such bid

was not selected either in

writing or in a debriefing

meeting, at the option of

DWSS.

UNDB online, dgMarket and

website of DWSS/ PRWSS


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recommendation and the Bank accepts

such changes, then the revised contract

recommendations containing all the

above details shall be published.

Contract awards for National

Competitive Bidding:

Publication of results of evaluation and

the award of contract consisting of the

same information as mentioned above

for ICB and LIB.

Contract awards for Direct Contracting

containing the following information:

[a] Name of contractor

[b] Price

[c] Duration; and

[d] Summary scope of the contract

Contract award for consultancies

containing the following information:

[a] the names of all consultants who

submitted proposals;

[b] the technical points assigned to

each consultant;

[c] the evaluated prices of each

consultant;

[d] the final point ranking of the

consultants;

[e] the name of the winning consultant

and the price, duration, and summary

scope of the contract.

The same information shall be sent to

all consultants who have submitted

proposals.

Contract awards for selection based on

the Consultants Qualifications and

single source selection containing the

following information:

[a] name of the consultant to which the

contract was awarded

[b] the price

[c] duration and

[d] scope of the contract

Overall project procurement plan

including its updates.

GPN, IFB, EOI

Procurement Manual after approval by

World Bank

contract award

Within 2 weeks of

completion of

evaluation/receiving

the Bank’s no

objection to award.

Quarterly in the

format of a

summarized table

covering the

previous period

After award of the

contract.

Quarterly in the

format of a

summarized table

covering the

previous period

After the Credit is

approved.

As applicable.

DWSS website/ PRWSS

website.

UNDB online, dgMarket, DWSS

website/ PRWSS website





Bank’s website, DWSS



website/ PRWSS website,

Local Newspapers.

DWSS website/ PRWSS

website


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5.5 Appraisal Format for GPWSC Plan (DSR) For Single Village Schemes

Appraisal Format for GPWSC Plan (DSR) For Single Village Schemes

1. General Details

a. Name of the village b. Name of the District

c. Present Population of the village d. Scheduled caste Population

e. Designed population f. Total number of households

2. Baseline situation

a. Status of coverage N. C. P.C FC b. If an NC village details of current sources of Water

Parameters

Details of source

Hand Pump Mechanized Hand

pump Submersible Tube

well

Number Existing

No of HH served

Average Service level

Quality (Potable / Not potable)

Other issues

c. If a PC village details of current sources of Water

Parameters Hand pump

Piped Water System Canal based Tube well based

Public Private Private connection

Public Stand Post

Number

Service level

No of HH Serving

Percentage of HH

Quality

Distribution- Equity

Other issues

3. Proposed Water Supply System

a. Technology Choice

b. Design Population

c. Water Demand MLD d. Proposed Service Level

Canal Based Tube well based

Number : Lpcd :

% of Total : % Improvement :


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d. Adequacy of Coverage

Parameter Public Stand Post HH Connection

Number proposed

Population

No HH Covered

% Of HH Covered

No of SC HH Covered

% of SC HH Covered

Measures to ensure Equity of Supply ( Specify)

Yes No --------------------------------------------------------------

Yes No --------------------------------------------------------

e. If Canal Based Schemes Permission obtained to Draw water Yes No f. Water Quality Analysis Report Yes No g. Water Treatment Option

Canal Based Tube well based Treatment and Disinfection Disinfection

h. Power Availability Near By Distant i. Measures to Ensure Power Availability ----------------------------------------------------------

4. Social Aspects

a. GPWSC formed as per guidelines Yes No b. Details of Community Contribution Mobilized

i. Total Amount to be collected ii. Amount actually Collected iii. % Collection iv. Arrangement to ensure 100% collection before Tendering------------------------------------------------

--------------------------------------------------------------------------------------- c. Land Availability Yes No d. Permission for Railway crossing (If any) Yes No e. Permission for Highway crossing (If any) Yes No f. Category of village

Border village scheduled caste village Hilly area Bet area

5. Financial Aspects

a. Capital Cost of the Scheme

Total Cost Per House Hold Cost Per capita Cost

Within Norms Outside Norms

b. Operation and Maintenance

Total Annual O&M Cost

O&M Cost per Kiloliter

Tariff Fixed

Rs: Rs: Public Stand Posts Private HH connections

Rs: Rs:

Is it Reasonable Is it Reasonable Is it Reasonable Is it Reasonable

Yes No Yes No Yes No Yes No

6. Environmental Aspects


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a. Coverage of HH Latrines % b. Status of Drainage % of Village Covered c. Condition of Ponds in the village

Number Status

1

2

3

d. Type of Sewerage System e. Treatment Type

i. -------------- ii. -------------- iii. --------------

f. Capital Cost of the Scheme

Total Cost Per House Hold Cost Percapita Cost

Rs: Rs:

Rs: Within Norms Outside Norms

g. O&M arrangement

Total Annual O&M Cost

O&M Cost per HH Tariff Fixes per HH

Rs: Rs: Rs:

Is it Reasonable Is it Reasonable Is it Reasonable

Yes No Yes No Yes No

7. Recommendation By Division Office, DWSS

Recommended Need Following Improvement

Executive Engineer

Approval By DWSC

Chairperson DWSC Date


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5.6 User Cost Sharing Rules and Procedure for Administration

WATER SUPPLY/SANITATION

Cost Sharing Remarks

I. O & M % of Total

Costs

A. WATER SUPPLY

1.New SV Schemes 100% by users

GPWSCs will fix a tariff adequate enough to cover the full O&M costs from the users. GPWSC may hire outside agencies for the O&M of the scheme in mutually agreed terms. The agency may also assist GPWSC in billing and collection.

2.New MV Schemes 100% by users

DWSS will make bulk supplies on volumetric basis and levy water charges to GPWSCs based on tariff for such bulk supplies fixed by DWSS from time to time in consultation with GPWSCs. The responsibility for the O&M of intra village distribution system would rest with the respective GPWSCs. Outside agencies may be hired by DWSS for common facilities and by GPWSCs for O&M of the intra-village

system and billing and collection. The DWSS shall fix tariff adequate

enough to recover the O&M Cost of common facilities, whereas GPWSC will fix tariff for expenditure incurred on the payment of bulk water charges to DWSS as well as for the O&M of intra village arrangements from the users.

3. Transferred SV Schemes 100% by users

O&M cost may exclude the cost of staff deployed by DWSS which will be progressively phased out over a period of time. GPWSCs will set a tariff adequate enough to cover the full O&M costs from the users. After the phasing out of DWSS operational staff, GPWSC may hire outside agencies for the O&M of the scheme in mutually agreed terms. The agency may also assist GPWSC in billing and collection.

4. Existing MV Schemes 100% by users Same as for new MV Schemes but implemented progressively linked to new investments for scheme upgradations and transfer of intra village distribution responsibility to GPs/GPWSCs.

B. Community Sanitation (Open Drains, Small Bore

Sewers, Sewerage systems) 100% by users

GPWSCs shall recover full O&M costs from the users. GPWSCs may decide on the O&M arrangement including contracting with an agency.

II. INVESTMENTS

% of Construction

Costs

A. WATER SUPPLY

1. All WS schemes for all Technology Options (incl. SV and MV schemes and other technologies like RO, etc.)

Rs. 800/- per household.

a) Capital cost shall include common infrastructure from source to distribution pipes, cost of household service connections and consumer meters.

b) ‘Difficult Areas’ (i.e. notified villages along International Border,

Kandi area, Bet area, Water-logged area and identified 2041 Quality Affected villages) will contribute a maximum of Rs. 400/- per household.

c) SC household -50% of the prescribed amount.

d) Cost (material and labour) incurred for connection from the

service pipe to house shall be borne by the Project. e) GPs will make available land for the water work site as close as

possible to the village, and the same will not be counted against ‘contribution’.

f) In the case of MV schemes, the village offering land for water


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works may be compensated duly by other benefitting villages.

B. COMMUNITY SANITATION

% of Construction

Costs Remarks

2. Community Sanitation - sewerage schemes

Rs. 800/- per household

a) Sanitation contributions will be separate from that for water supply.

b) Program will finance common facility as well as the cost (material and labour) incurred for sewer connection to the respective households.

c) Sewerage scheme/ small bore sewers scheme will not be taken up unless 70% of the households have intercepting chamber/ septic tanks and remaining households give their commitment to construct intercepting chambers in their houses before the start of sewerage scheme.

d) ‘Difficult Areas’ as explained in IIA(b) above-5%, subject to maximum of Rs. 400/- per household.

(e) SC household – 50% of the prescribed amount.

(f) Monthly tariff for meeting O&M cost shall be fixed in a manner so as to recover entire O&M expenditure.

C.Operational Improvement

e)

3. Operational Improvement for improved water supply service levels

A. Where actual cost of completion of all works is Rs. 5 lakhs or less no contribution by the community is required, provided the prescribed institutional and operational arrangements are fully complied with.

B. Where actual cost of completion exceeded Rs. 5 lakhs,

community contribution is required to be made as per B.1 and B.2 below for the investment amount which exceeded Rs. 5 lakhs only, provided the prescribed institutional and operational arrangements are fully complied with.

B.1 Where the improvement works involved repair of the existing infrastructure, augmentation of existing source of supply, extension of distribution networks, and any other, all households shall contribute at 50% of the norm prevailing for NC/PC villages subject to an aggregate amount equal to 10% of the amount which exceeded Rs. 5 lakhs. The concerned Gram Panchayat shall contribute where necessary to make up any shortfall.

B.2 Where the improvement works involved extension of distribution networks only, households which are directly benefited shall contribute at 50% of the norm prevailing for NC/PC villages subject to an aggregate amount equal to 10% of the amount, which exceeded Rs. 5 lakhs.


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5.7 Communication Strategy11

5.7.1 Communications Objectives and Target Audience

The key objective of IEC in Project will be to trigger positive behavioural change and help build sustainability. The communications strategy will focus on:

Creating awareness and motivating stakeholders to take affirmative action in community participation, water conservation and adopting safe sanitation practices

Generating demand for water supply, sewerage and sanitation services

Enabling behavioural change to achieve ODF, hygiene and water conservation

Promoting personal accountability and responsibility

This will be achieved through:

Focused messaging and rich content for community mobilisation, sustainability of services by GPWSCs and inclusion

Alignment with the project to support specific strategic objectives and address key challenges

Creation of an enabling environment through effective partnerships, strengthened coordination, effective advocacy and outreach with media and critical stakeholders

Strengthen content, documentation, monitoring and measurement

Convergence and integration with different functions of the project

Communications strategy for PRWSS II needs to have the key considerations and focus areas including:

Improving liveability of villages (water-logged districts etc)

Emphasis on sewerage scheme: technology options being considered

Performance improvement: increase connections, 100% meter coverage etc

Achieve ODF

Focus on water quality

GPWSC taking over DDWS schemes

Target Audience

State Level

• DWSS- including Head Office, Zone, Circle • Relevant Ministries and Government Departments (Health/Education/Rural

Development/Woman & Child/ the Department of Panchayati Raj) • Policy makers • Corporates

District, Division, Sub Division Level

• DWSC members, District Sanitation Cell, Division, Sub Division level set up;

11 This annexure is extracted from the report prepared by WSP through a separate consultant

for the project


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• Zila Parishad Members; • Public Representatives (MPs/MLAs/ MLCs, etc.); • Office of the District Collector/CDO; and

Village Level

• Direct beneficiaries: Community Members/End Users; • Local community leaders • Women Groups (SHGs/Mahila Mandals, etc. • Panchayati Raj Institutions (PRIs); • GPWSCs • Schools • Women and Children; • Village Level influencers • NGOs

5.7.2 Communications Strategy - Components

IEC for Project Challenges

IEC will work seamlessly with the project timelines and align with the project to support its strategic goals. IEC work will also be focused on addressing the challenges identified in PRWSS II.

The communication priorities for PRWSS II will be to generate demand for water, sanitation and sewerage services, generate awareness about water quality and sewerage schemes, help achieve financial sustainability through community participation and ownership, help capacity building and knowledge sharing among GPWSCs, make GPWSCs and schemes more inclusive by mobilising meaningful participation from women and people from BPL and backward sections, help in decentralisation of schemes by strengthening GPWSCs, communicate benefits of service delivery improvements and support grievance redressal.

Continuing PRWSS I: IEC Work

The communications strategy for PRWSS II will draw from the success of IEC activities in PRWSS I. Field visits; discussions with villagers and GPWSC committee members; IEC survey; deliberations at the IEC workshop; and inputs from the DPMC staff clearly indicate that inter-personal communication (IPC) and door-to-door campaigns; exposure visits; events like muniyadi, rallies, puppet shows, water testing campaigns are preferred and have yielded encouraging results. These activities have collectively helped in increasing coverage, improving performance and sustainability of schemes. These activities helped address challenges such as lack of awareness on water quality, community conflicts and lack of cooperation, lack of interest, responsibility sharing and people participation, among others.

These activities should be continued and strengthened in PRWSS II through focused message development and measurement.


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5.7.3 IEC SWOT Analysis

Most successful IEC campaigns from PRWSS I

• Water Quality Camps: Helped increase water connections, generate awareness on water quality

• Water metering: It has helped reduce water wastage. • Exposure Tours • Mega events and road shows with AIR: Live coverage • Muniyadi, Nukkad Natak, School Rally • Swachh Bharat Abhiyan • Hand Washing Day • Community festivals: Teej • Pond Renovation

IEC SWOT Analysis

INTE

RN

AL

FAC

TOR

S EX

TER

NA

L FA

CTO

RS

STRENGTH WEAKNESS

ES

OPPORTUNITIES THREAT

S

Past success

Exemplar role model villages

Experienced IEC staff

Fair level of understanding among

people

Water supply learnings

Effective IEC material and events

Technology challenges

Project challenges (vendor/contractor

issues/government policies)

Lack of knowledge and awareness on

sewerage

Free water and sewerage to small houses

in urban areas

Inadequate participation by women and

backward sections

Staff shortage and awareness gaps

Resource limitations

Sanitation: Behaviour change and

technology mindsets , illiteracy

Convergence communication with

various ministries and departments

Strengthen working with schools, SHGs,

NGOs and youth clubs

Develop IEC champions among GPWSC

and non-GPWSC influencers

Panchayati Secretary involvement

Sustainability and strategic support cell

Building profiles of women GPWSC

members

Sustainability challenges

Community conflicts

Proxy participation from women

Weak GPWSC

Political rivalry

Illegal connections

Payment issues

CHALLENGES

In achieving the objectives

HELPFUL

To achieving the objectives


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Gaining from Strengths

IEC has played an important role in upgradation of schemes and performance improvement; high water connections; sustainability; and beneficiary share collection, among others in intervention villages. IEC has also helped ease and facilitate water bill collection, O & M savings, removal of illegal connection and tullu pump. In some cases, it has helped enhance women participation and transparency.

IEC interventions have also helped in addressing challenges by converting non-functional and non-sustainable schemes into sustainable schemes and other issues such as lack of awareness about water quality, community conflicts and lack of cooperation, lack of interest, responsibility sharing and people participation, illiteracy, skepticism among beneficiaries and overcome constraints like weak GPWSC.

All exemplar role model villages have been converted because of successful IEC interventions and efforts. Many IEC interventions like inter-personal communication (IPC) and door-to-door campaigns; activities and events such as exposure visits; muniyadi, rallies, puppet shows and water testing campaigns have yielded excellent results and these should be carried forward in PRWSS II. Water testing kits have been proven particularly effective in driving water quality message. Similar testing kits that can be used by people to see for themselves the ill effects of poor sanitation could prove to be effective. For instance, Foldoscope: The $1 Origami-based Microscope12 developed through a Gates Foundation grant may be used for demonstrating contamination from poor sanitation.

Experienced IEC Staff who have a fair level of understanding of effective IEC tool, tactics and techniques, as well as enjoy familiarity with the locals should be further utilised for community engagement and message dissemination.

Addressing Weaknesses and Threats

The following are the main challenges for IEC in PRWSS II:

Upgradation of schemes from 40 LPCD to 70 LPCD will require extensive support from IEC especially in multi village schemes;

Beneficiary share collection could be a challenge (an “everything should be free” mindset exists) threatening sustainability of the project, especially in canal-based schemes that are costly;

More emphasis needs to be laid on sewerage IEC and generating demand for sewerage. In addition to lack of knowledge and awareness on sewerage, resistance from households to making structural and design changes in their homes needs to be addressed. Land availability for sewerage schemes and limited technology options will be a constraint

Project challenges such as vendor and contractor issues will have to be navigated as these could impact IEC work

In many parts there is a perception that water meter will automatically lead to increase in bill amount. IEC should drive demand for meters among beneficiaries even if GPWSC members are for it. The quality of water meter should be improved as poor quality meter could lead to new challenges as the project progresses.

12 http://www.npr.org/blogs/goatsandsoda/2014/09/03/345521442/a-1-microscope-folds-up-

from-paper-and-a-lens-of-glue and http://www.technologyreview.com/view/525471/the-1-

origami-microscope/

http://www.npr.org/blogs/goatsandsoda/2014/09/03/345521442/a-1-microscope-folds-up-from-paper-and-a-lens-of-glue

http://www.npr.org/blogs/goatsandsoda/2014/09/03/345521442/a-1-microscope-folds-up-from-paper-and-a-lens-of-glue

http://www.technologyreview.com/view/525471/the-1-origami-microscope/

http://www.technologyreview.com/view/525471/the-1-origami-microscope/


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Sanitation needs to be given high priority and focus to bring about behaviour change among villagers as well as educate them among the need for safe sanitation practices.

Sanitation IEC should look into convergence communications especially with the Health department, and should also address issues like educating people about technology

There is a dire need for consumer research for more impactful IEC. Currently there is not enough data on consumer behaviour indicators and this will particularly help sewerage and sanitation

Inadequate participation from women and backward sections needs to be addressed by IEC to make the project more inclusive

IEC activities will ensure the key messages address these challenges and efforts are made to allay people’s concerns with respect to costs, technology, benefits of schemes as well as encourage more participation in the project from women and backward classes.

Leveraging opportunities

This has been covered in detail under the communications strategy. The opportunities that have not been fully explored and leveraged in PRWSS I such as convergence communication with other Ministries and departments; develop partnerships with schools, SHGs and youth clubs; creating IEC champions among GPWSC and non-GPWSC influencers; and women-focused IEC are areas that need to be strengthened in the next phase.

5.7.4 Improving IEC efficiencies

While many of the IEC activities undertaken during PRWSS I have helped meet the strategic goals of the project, there is scope for improvement and strengthening of these activities in PRWSS II for increased impact. Resource limitations have restricted the reach and capacity of the IEC team. Keeping in view the long-term sustainability of the project, while an overload of resources may not be advisable, leveraging existing IEC resources may be explored. Convergent communications will be strengthened and ways of working closely with various relevant ministries and departments such as Woman and Child, Agriculture, Health and Panchayati Raj will be explored and systems developed to pool in resources and make efficient use of mechanisms such as the ASHA and Aanganwadi network.

Ways to code and cluster blocks on the basis of level and nature of intervention required would be examined to administer focused need-based IEC activities. IEC material will also be made visually appealing and less text heavy to make it more relevant and effective, especially for the illiterate audience. IEC material such as village newspaper (Swachhta Lehar), comic books, games like snakes and ladder would also be used to communicate PRWSS messages effectively.

To make IEC more effective, key messages should be developed for sanitation, sewerage and water supply for the coded cluster blocks. Non-GPWSC influencers in villages should be engaged with a view to develop IEC champions at the state, district, block, and village level. ICT should be extensively used in PRWSS II for improving internal communications as well as engagement and outreach strategy.

The IEC staff should be equipped with the requisite resources and facilities, as well as extensive communications training across all levels to perform better in PRWSS II.


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Colour Coding Pilot for IEC Work Distribution in the Project

Given the increased number of GPs, extent of IEC work and door-to-door inter/ personal communication activities involved in PRWSS II, a color coding system is being devised to cluster villages on the basis of work load involved (e.g. number of households to be covered, challenges involved in the block, etc.) and accordingly staffing will be deployed and IEC activities undertaken. The exemplar villages will fall under the green cluster where the IEC work can be deployed with less time13 spent by the IEC staff. However tough villages that have challenges like submersible pumps, low income, village conflicts, etc. would form the red cluster where more focus and attention would be needed. The categorization will take institutional, technical, quality, operational, financial and social factors into consideration. This will not only aid better resource utilization but also help measure impact. This system will be piloted in Amritsar and Mohali initially.

WSP held a planning workshop with the IEC and HRD staff of Amritsar and Mohali on 30 December 2014. The team agreed on defining village categories for the colour coding and SMART (Specific-Measurable-Achievable-Realistic-Timebound) goal-setting for these villages.

Defining Villages and SMART Goals: Pre-Planning and Planning

Identified IEC Objectives: 1. Create awareness and orientation about the scheme 2. Create awareness about water quality 3. GPWSC Resolution 4. Beneficiary share collection 5. Formation of GPWSC 6. Open Bank accounts14

13 1-2 visits every quarter and monthly phone calls to GPWSC heads 14

It is advisable to allocate clear responsibilities to the operational team on non-IEC aspects such as bank account

opening, beneficiary share collection which are currently being handled by IEC to ensure smooth functioning of

schemes. IEC at best could communicate the benefits of bank account, beneficiary share, etc. but the actual share

collection and opening of accounts should be handled by the operations team.

Message Themes (from the IEC Workshop) Sewerage Ghar ghar sewerage da connection lagwao apne pind nu swarg banao Dos and don’ts of sewerage Adopt sewerage scheme for good health Be a role model for others Participation of women and youth Sanitation Latrine da karo istemaal ban jao ghar di shaan Keep environment clean Hand washing Personal hygiene Use toilets Water Supply Safe drinking water is important for life Save water Pay water bill on time to get regular water supply Service levels message


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Pre-planning and Planning

Village Criteria (Institutional, Technical, Quality, Operational, Financial, Social)

GREEN NC, no current source of water, high economic status, 3 crops, active GP, poor water quality

SMART Goals Aim for 100% connections, target exemplar village, run a successful water supply scheme

ORANGE Villages that do not fall in the Green or Red category

SMART Goals Ensure the villages do not slip into Red category and graduate to the Green category

RED Existing sources of water supply, own submersible pumps, groupism, low income, high migrant population, political intereference

SMART Goals Move up to Orange category. Mobilise support for schemes from conflicting parties, build common consensus, Identifying opinion leaders, potential influencers and champions, convergence communication with other government departments, collaborating with ASHA and Aanganwadi workers, awareness on waterborne diseases and water quality, mobilizing schools and teachers

Defining Villages and SMART Goals: Implementation

Identified IEC Objectives 1. Encouraging people for connections 2. Monthly tariff awareness 3. Community mobilization 4. Water storage, etc. health and hygiene 5. Motivating GPWSC to monitor and take ownership of scheme

Implementation


GREEN

ORANGE Role of IEC is limited during this stage and the focus is more on smooth implementation. All villages would fall in the Orange category at this stage.

SMART Goals Encouraging GPWSCs to supervise contractor’s work and ensure quality work is being undertaken, Keep track of grievances, encourage maximum number of connections, influencer engagement where needed

RED

Defining Villages and SMART Goals: Post-Implementation

Identified IEC Objectives: 1. Training/guiding pump operator 2. Record keeping and accounts 3. O&M challenges: tullu pump, illegal connections, work from contractor if required during

liability period of six months, pay monthly tariff on time, O&M bank account

Post-implementation


GREEN >70% connections, strong and proactive GPWSCs, revenue collection > expenditure, financially sound and sustainable, technically sound (all households getting good quality water supply), exemplary villages,


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waterworks site well maintained, community well mobilized, sewerage schemes

SMART Goals Smooth running of schemes, Good record keeping, Monitoring

ORANGE

Approximately 70% connections, break-even financially (no profit-no loss), no major problems, smooth functioning of schemes, less number of defaulters, progressing on schedule, functioning GPWSC

SMART Goals Move up to Green category, encourage more connections

RED < 60% connections, Non-functional, Non-sustained, weak GPWSC, financially weak, political challenges, weak Sarpanch, Increasing number of defaulters and permanent defaulters, increasing number of complaints, increasing number of illegal connections, technical issues (low pressure, pipelines, etc.), pending electricity bill

SMART Goals

Getting electricity dues cleared, Increase connections, Clear defaulters amount, motivate GPWSC, building pressure through community leaders, Get clarity on issues, remove tullu pumps, more awareness on water quality and water borne diseases, regular follow-up

More time and efforts15 should be invested in the Red villages by the IEC staff. During field visits, they should spend less time in Green and Orange villages ensuring timely and smooth functioning of schemes whereas more time should be spent in the Red villages to address challenges and concerns. Orange villages are the ‘low hanging fruit’ and effort should be made to move those villages up to the Green category.

Bi-monthly IEC ImpactReport should include: 1) Number of villages that have moved from their colour category. Any downgrade (Green

to Orange and Orange to Red) should be explained and immediately paid special attention to. Upgrades should be noted for incentives and rewards as well as performance assessment of IEC staff

2) Increase in number of connections 3) Number of households reached through IEC activities 4) Messages disseminated 5) Influencer engagement in Red villages 6) Status on pending electricity bills, defaulters and complaints 7) Technical issues and action being taken (It is important to track these as IEC can help

little where technical issues remain unresolved). This should be followed up at the Head Office level

8) Key Achievements and Key Challenges 9) Women and minority Inclusion 10) GPWSC performance and concerns if any

Clear targets should be set on the basis of these indicators.

Block Village No. of households

No. of connections

Colour Key challenges

Scheme Cycle

Comments

15 Visits every week/fortnight/month (depending on the scheme cycle) and fortnightly calls to

GPWSC heads and ASHA/Aanganwadi workers as well as social mobilisation team members.


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During the initial phase, the data may be collected in excel sheets and maintained and quarterly analysis/reports will be shared with the department. Depending on the progress of the pilot, this data may be integrated into the MIS or a software developed for colour coding data.

5.7.5 IEC Messages/Themes

While the type of IEC activities that will be undertaken in PRWSS II will be similar to PRWSS I, the messages will be more fine-tuned and focused to leave a lasting impact on stakeholders. Currently, diverse messages on a range of themes are being used. Having scattered and multiple messages do not aid retention and these need to be condensed into 4-5 key messages under each theme for maximum impact over a period of time.

The following themes and messages will be used in all IEC activities. These will be fine tuned in message development sessions to be undertaken post the consumer research. The consumer research will help identify behaviour triggers and reasons for adopting PRWSS schemes. The messages will be developed basis these triggers and traits, and will be developed to address any concerns and doubts the consumer might have.

Safe water

Use of safe and clean drinking water

Water borne diseases

Water Quality

Disinfection of water

Pani hai ta jaan hai, jaan hai ta jahaan hai.

Pehla Pani Jio Hai, Jit Harya Sabh koai.

shudh pani pio, jug jug jio.

Save water

Protection of drinking water sources

Sustainability of water sources though various technologies

Pani di kadar karo.

Water conservation

Rainwater harvesting

Sambhaloge jal ta changa rahega kal.

Community responsibility and ownership

Be a role model for others

Participation of women and youth

Pay water bill on time to get regular water supply band help sustain the scheme

Take proper connection of water supply

Village can get award

Service levels message

SNK Toll free no.

Installation of Proper Tap/ Valve/on - off control

Connection with proper Ferrule.

Dangers of illegal connections

Agar Pani aapke ghar 30 din Khud chalke aa Sakda hai, Ta Ki assi 1din ja ke pani da bill nahi bhar sakde?

GP messages

Role of panchayats in community mobilisation and success of schemes

GPWSC’s role

Exemplar village

Pride of Punjab

PRWSS schemes

Beneficiary share money is not required for part financing but is required to increase ownership level and check demand

GPWSC working should be inclusive, non partisan and transparent but strict

Service delivery approach

Inclusion: Women and the poor should be encouraged to participate more in GPWSC

Utility of sewerage scheme

Sanitation

Use toilets

Handwashing with soap

Personal hygiene

Safe sanitation practices

Safe storage and handling of water

Stop open defecation

Personal Hygiene

Keep environment clean

School sanitation

Role of teachers

Swachh Bharat Mission

Good hygiene during menstruation

Swachtta da karo dhyan,ehey vadheve pind di shaan.

Sanitation Messages/Themes


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Latrine da karo istemaal ban jao ghar di

shaan

Sewerage Messages/themes

Ghar ghar sewerage da connection lagwao apne pind nu swarg banao

Dos and don’ts of sewerage

Adopt sewerage scheme for good health

Approved Messages from earlier Program will be used to address specific concerns and challenges:

Primary – Users

Unsafe (contaminated/Inadequate) drinking water affects public health causing severe illness and even death.

Children under five are therefore more vulnerable than any other age group to the ill effects of unsafe water, poor sanitation and poor hygiene practice, particularly lack of proper hand-washing.

Proper sanitation facilities and services for the safe disposal of human excreta, garbage collection and wastewater disposal are crucial to maintain health and protect water resources.

Benefits associated with sanitary toilets and loss due to open defecation

Secondary - Village, Block and District Level Functionaries

Simple and cost-effective household treatment and storage reduces diarrhoeal disease.

Improvements in drinking-water quality through household piped water supply, water treatment, such as boiling, filtration, solar disinfection, chlorination at point of use and adequate safe domestic storage, can lead to a reduction of diarrhoeal episodes.

Having a water source near the home decreases potential for contamination during transport and reduces the risks incurred and time that must be spent (mainly by women and girls) collecting water, thereby significantly improving safety and opportunities for education, productive activities and leisure time.

Rainwater and rooftop water harvesting, recharge of ground water/ Reuse and recycling of water

Need and benefits in the formation of User committee, VWSCs with women and

Inclusion of SC/ ST/ minority members and its capacity building and Different age groups and people viz. children, women, village elders and community leaders, etc.

All excreta, including those of babies and young children, should be disposed of safely and in an environmentally acceptable manner. Making sure that all family members have access to a toilet, latrine or dedicated “chamber-pot” that is cleaned daily is the best way to reduce exposure to faeces.

Unsafe disposal of human waste risks the contamination of unprotected water sources. Water-borne diseases are transmitted through contaminated and unsafe water. Disposal of faeces in all cases should be done so that it does not contaminate water resources, particularly those used for household supply.

Involving children at school and home and considering them as communicators for behaviour change offers hope for sustainability. As the children grow, they will continue to implement and appreciate better sanitation and hygiene practices and influence their own children and community to do the same.


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Tertiary - State Level Policy Makers

A lack of water security is an increasing problem worldwide due to climate change, over-use and degradation of water supplies. Population growth, urbanization, and increased demand for food, energy and bio-fuels are also putting incredible strain on scarce water sources This makes it essential to promote sustainable methods for managing water and extracting it efficiently, involving all users.

Increased availability of safe and sufficient water reduces the risks to children’s health and also encourages better hygiene practice.

Importance of reaching gender equality for water and sanitation systems

Equity issues (SC/ ST/ minorities, Cost effectiveness of various options as well as Low cost technological options

5.7.6 Strengthening IEC efficiencies

Effective IEC engagement and delivery mechanisms will be strengthened in PRWSS II for increased impact. Some of the action items are:

IEC material

While IEC material such as merchandise with messages printed on it such as umbrellas, notebooks, water bottles, bags, water testing kits have been largely successful, the recall value for IEC material such as brochures and fliers have been relatively low. The challenges in getting people to accept IEC material is largely. The text heavy IEC material is not taken seriously because as it has been noticed during the field visits, people like ‘watching and listening’ more than reading. In certain areas, illiteracy and partial illiteracy is also a reason behind people not taking adequate interest in this material.

Most popular IEC material: Department notebooks, Water testing kit, Newsletter, Wall painting, Bottles, Bags, Notebooks.

IEC material challenges: Old mindsets, not habitual, illiteracy, People like watching and listening more than reading, material is text-heavy, IEC material not taken seriously, distribution to all households a challenge

There is a need for IEC material to be made more interesting, exciting and visually appealing. The IEC material for PRWSS II will contain more impactful messages, call to action and will be made more pictorially vibrant. Towards this end, it is proposed that PRWSS II introduces new IEC material like village newspaper and comic books for sanitation to generate more interest among the beneficiaries.

It is proposed a village newspaper called Swacchta Lehar is launched either in tie-up with a media house or independently. This should be circulated in all villages where the PRWSS schemes are being implemented. This Punjabi newspaper with the look and feel of any regular newspaper will not only have information regarding the PRWSS schemes Information on water supply, sewerage and sanitation schemes, but also include general information of interest to the villagers. This could include information on seasonal crops, agriculture, events and entertainment activities in neighbouring villages, and also entertainment information bollywood news, comic strips, TV schedule, etc. to make it more appealing. A section called GPWSC of the month may be introduced where the best performing GPWSC on the basis of work undertaken, sustainability and inclusion-led practices will be profiled. This would also include individual profiles of GPWSC members. Profiles of IEC staff, ASHA and Aanganwadi workers should be included to help people familiarise themselves with the grassroot workers as well as know them better. Participation in Swacchta Leher could also be sought from villagers in the


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form of content contribution: stories, paintings, poems written by village women and children may be published. Best stories and poems could also be selected and prizes given when PRWSS IEC activities are undertaken. Message from Chief Minister and other senior government officials may also be included to motivate villagers and GPs to perform better and to acknowledge the work being undertaken by villagers. Tips on saving water and better and safe sanitation practices may also be included. Local influencers and community leaders’ messages could also be included.

To make Swachhta Leher sustainable, in the future corporate sponsorships could be sought and companies encouraged to advertise in the paper. This community newspaper could also be a platform for other government ministries and departments to disseminate information on their schemes.

The village newspaper could follow the model of Khabar Lahariya , a rural newspaper which reaches more than 600 villages in Uttar Pradesh and Bihar every week. It is a newspaper run entirely by woman. The Khabar Lahariya women may be invited to train a team in Punjab.

Comics:

PRWSS should use grassroots comics as medium of expression and communication to allow beneficiaries to use comics as an interpersonal communications tool. A tie-up with World Comics India, a collective of grassroots activists, cartoonists, artists, development journalists and students, is proposed to undertake a grassroots comics campaign and workshops in Punjab to mobilise communities for development activities. This would be particularly effective for sanitation. Popular characters like Chacha Choudhary may also be used to spread sanitation messages. A tie-up with Diamond Comics or Pratham Books maybe explored for the same.

Other IEC material may be explored such as board games, calendars, notebooks, stickers and comic books, kaleidoscope to form sanitation messages. New IEC material ideas that emerged from the IEC workshop include water/electricity bills, bus tickets, messages on public transportation, Facebook and other social networks and stickers.

Customised IEC material for cluster blocks based on challenges should be developed for maximum impact. IEC material guidelines and templates should be used for standardisation in terms of quality and visual appeal across districts. Professional media agencies may be engaged to develop and design IEC material. Community participation and contests may also be held to crowdsource ideas for IEC material.

ICT in IEC

States across the country are increasingly deploying IT and ICT for effective, impactful and transparent governance. Maharashtra, for instance, is clearly emerging a leader in e-governance using a wide variety of ICT tools and services such as cloud computing, mobile solutions and social networking platforms to deliver citizen-centric services across the state. A WSP pilot study16 has proven smartphones as reliable aid to provide quick, credible real time information. Technological features such as geo-tagging and data maps can also be used for effective monitoring of progress.

16You Manage What You Measure: Using Mobile Phones to Strengthen Outcome Monitoring in

Rural Sanitation, October 2012 http://www.wsp.org/sites/wsp.org/files/publications/WSP-Manage-What-You-Measure-Using-Mobile-Phones-

Strengthen-Outcome-Monitoring-Rural-Sanitation.pdf

http://www.wsp.org/sites/wsp.org/files/publications/WSP-Manage-What-You-Measure-Using-Mobile-Phones-Strengthen-Outcome-Monitoring-Rural-Sanitation.pdf

http://www.wsp.org/sites/wsp.org/files/publications/WSP-Manage-What-You-Measure-Using-Mobile-Phones-Strengthen-Outcome-Monitoring-Rural-Sanitation.pdf


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It was observed during a recent mission to Punjab that some of the villages are fairly progressive in the adoption of technology and new media. People are using Skype, Whatsapp and Facebook to stay in touch with their relatives abroad; youngsters, especially male members, use smart phones and some mobile applications; mobile penetration is high with >70-80% villagers including women owning a mobile phone in many villages.

With Punjab poised to emerge as a role model in water supply and sanitation and the conducive environment in villages, adopting technological and e-governance solutions is highly recommended to increase and strengthen the PRWSS schemes. Pilot projects could be undertaken in some of these villages to test these.

From the communications point of view, it is imperative to consider some technological solutions to connect villages for showcasing success as well as exchanging ideas and data collection.

Some recommendations:

Workshop on e-governance and mobility solutions with participation from organisations and bodies like National Informatics Centre, Oneworld Foundation, BBC Media Action, Digital Empowerment Foundation andmbillionth (http://mbillionth.in/) to adopt best practices and solicit ideas

SMS gateway to enable dissemination of information and easy access to services, reminders to pay bills, etc. (reference case study: http://nextdrop.org/services/)

Document Management System (DMS) for scanning and digitisation of IEC material

Mobile VAS/Mobile voice campaigns: Since inter-personal communication is more effective and there are resource limitations to undertake door-to-door campaigns, mobile voice campaigns may be undertaken with celebrities/political leaders lending their voice to issues like sanitation and water conservation. Voice artists may also be hired. (Reference case study: http://mbillionth.in/event-2013/f2013-m-governance/and http://www.business-standard.com/article/companies/mobile-vas-takes-healthcare-information-to-bihar-villages-112101100266_1.html

IVR to make audio content accessible for both field workers and villagers on a variety of issues – especially for involving ASHA and Aanganwadi workers (Case study: Mobile Kunjihttp://www.ananya.org.in/tools/96-mobile-kunji Video: https://www.youtube.com/watch?v=TU7Zg6bPFWs

Concept of mobile sanitation: Msanitation for reporting usage, effective maintenance and cleanliness of toilets ( Reference: http://appcircus.com/apps/msanitation-1)and mschool to monitor sanitation in schools (Reference: http://appcircus.com/apps/mschool)

Yammer like platform for villages to showcase their success stories

Citizen journalism and village community radio like GraamVaanihttp://www.gramvaani.org/

Data apps and Analytics for data storytelling: (Reference: http://www.indiawaterportal.org/data-apps/)

Strengthening grievance redressal via technology (Reference case study: http://taarifa.org/

Online and mobile games for young adults and children to learn more about water conservation, sanitation and sewerage

Can technology play a role in behavioural change? Reward systems for conserving water? Concept of water passport/water bank account?

MIS and IEC

MIS should include IEC inputs and the following aspects (representative list) need to be covered: Number of individuals/households covered per intervention (eg muniyadi/ nukkadnataks etc); Number of activities in each village categorised under water supply,

http://mbillionth.in/

http://nextdrop.org/services/

http://mbillionth.in/event-2013/f2013-m-governance/

http://www.business-standard.com/article/companies/mobile-vas-takes-healthcare-information-to-bihar-villages-112101100266_1.html



http://www.ananya.org.in/tools/96-mobile-kunji

https://www.youtube.com/watch?v=TU7Zg6bPFWs

http://appcircus.com/apps/msanitation-1

http://appcircus.com/apps/mschool

http://www.gramvaani.org/

http://www.indiawaterportal.org/data-apps/

http://taarifa.org/


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sewerage and sanitation; Target v/s Output and outcome details; ASHA/Aanganwadi workers involvement; Benchmarking performance and apply performance measures; Measuring BCC; IEC executive visits; Head Office visits; GPWSC meetings; Inclusion and participation from women and weaker sections; exemplar villages achieved; colour coding for IEC on track.

PRWSS website

In the website, a robust online news room should be set up with information library; data visualisation and statistics for storytelling; Include success stories with image libraries and video content. There could also be a section on citizen journalism to bring stories from beneficiaries and GPWSCs on ground. Online tours of GPWSC schemes and chat helpline for villagers/GPWSC may also be included.

ICT and Internal communications:

ICT for internal communication with the IEC staff should include using of simple tools like WhatsApp and Google groups for dissemination of information, exchange of ideas and query clarification. Intranets should be set up for easy and immediate access to recent information. Periodic online surveys should be undertaken to assess efficacy of IEC work, take feedback from the staff and monitor and assess impact of programs/IEC material and course correction required. An internal PRWSS blog for all members working on the project to share experiences may also be initiated.

5.7.7 Effective engagement mechanisms

Content and Media:

Content and media strategy should be strengthened for deeper and more meaningful engagement with stakeholders. Emphasis will be provided on the following in the content marketing strategy for PRWSS II: Content should be developed for transmedia storytelling including folk media, mainstream media, digital media, outdoor media and owned media.

A Content hub should be created drawing from and combining the best inhouse talent as well as external specialists to develop appealing and relevant stream of content. Adequate capacity building should be undertaken to train inhouse resources for content creation and using multimedia. A citizen journalist network may also be created to identify community members – especially women and children – who could help produce content for PRWSS.

Content should also be developed for varied IEC material such as games and comics as well as channels like community radio. Key messages should be incorporated in all key content developed. Multiple stories and story angles should be created to produce compelling content not only for community engagement but also media engagement. The PRWSS Punjab success story should be developed and packaged for state-level and national-level media to motivate GPWSCs and GPs. A PRWSS information library should be set up capturing anecdotes and storytelling from citizen journalism network and other information including: Data on GPWSC villages, images and audio visuals, fact sheets, anecdotes, testimonials, GPWSC member profiles, IEC material, logos, electronic footage, photographs of villages, schemes, beneficiaries and GPWSC members.

Newspapers read Ajit Jagbani Punjabi Jagran Punjabi Tribune English Tribune Spokesman Punjab Kesri Desh Sevak Bhaskar


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Effective stakeholder and influencer engagement

Stakeholders are important and reliable sources for assessing the social, economic and environmental needs. Stakeholder engagement will be a continuous process and IEC for PRWSS II will have an engagement and consultative mechanism to mobilize support from key influencers and community leaders at state, district and village level. IEC should provide special focus to local community leaders and keep them informed at all times about the activities as well as engage them in special roles during IEC activity rollout. They could be involved in the form of speakers, special guests, and for activities like prize distribution, testimonials and door to door campaign. Influencers and leaders among women in particular should be identified and baithaks should be held periodically combined with some entertainment activity to update them about IEC activities.

A water and sanitation pledge drive may be initiated to get local influencers to pledge their support to PRWSS and a dedicated wall in the village may be utilized to showcase this pledge. Commitment from religious leaders should be sought for periodic public broadcast of water, sewerage and sanitation messages from religious premises. IEC material should be provided to all influencers so they are able to effectively communicate the PRWSS key messages.

Community engagement should be strengthened through activities like talent and cookery contests that allow for women to not only showcase their talent but also provide them an opportunity to participate in PRWSS activities. These activities can be used to encourage women to play a more active role in community mobilization for the PRWSS schemes.

Non-GPSWC Influencers to be engaged for creating IEC champions

Farmers, medical practitioners, deputy commissioner, development commissioner, community leaders, religious

leaders/granthis, MPs, MLAs, zila parishad and block samiti members, market committee and coop society in charge,

Shiromani Gurdwara Parbandhak Committee (SGPC) members, tehsildars /patwaris, BDPO/panchayat secretaries,

youth welfare clubs, social workers, ex-servicemen, aanganwadi workers, former ministers, jathedars, government

doctors, MLAs, teachers, icons (sports, music), religious heads (deras)

Internal Communications

The Internal Communication plan for PRWSS has been developed on the following core guiding principles: The three-fold objectives of internal communications for

PRWSS are:

Generate sense of pride and ownership among

the staff for PRWSS;

Equip them with adequate information and skills

to deliver better results; and

Create PRWSS champions and advocates in

rural Punjab.

Listening

Informing

Enabling

Engaging

Recognising

Improving


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Method of Communication

Frequency

Details Medium Monitoring and Evaluation

Staff Survey Annually

The annual PRWSS staff survey will be an important tool to assess staff opinion on PRWSS activities and support being provided to them.

Written

Survey completed. Percentage of staff completing the survey. Tracking of improvement in morale/perception of improved communications.

Staff Panel – PRWSS Champions drawn from different departments

Quarterly

The internal communications panel will provide a qualitative method of gaining more in-depth information on staff views. It will also be a means of testing out messages before they are communicated.

Focus Group

Staff willingness to participate. Improving outcomes of annual staff survey. Development of communications through the staff panel.

Swachh Punjab: Internal newsletter

Quarterly

A newsletter summarising all PRWSS activities with a focus on the staff. Staff contribution may be sought for content.

Print

Readership survey Percentage of staff that read the newsletter and contributed to it

PRWSS Intranet

Ongoing

The evolving intranet will provide a source of information for all staff. It is important that staff without a PC on their desk do not become ‘second class citizens’ in terms of access to information.

Electronic Access rate

Swachh Saathi Awards and appreciation certificates

Annual

All staff nominate the people they feel have made an outstanding contribution to PRWSS

Annual award presented by local leader at annual function

Improved number of entries.

Capacity building

All staff to receive training as

Media, IT, soft skills development, PRWSS schemes, project management, time

Training Improved competencies

Listening: Gathering periodic feedback from staff on PRWSS activities and support received. Informing: As the first source of information about PRWSS schemes, it is important to keep the staff informed at all times about activities and project timelines. Enabling: It is critical to provide them with the support – be it by way of capacity building, adequate staffing or infrastructure support – and skills to effectively contribute to PRWSS vision Involving/Engaging: It is important to engage the staff in a variety of ways so they feel like a part of the project. Recognising: It is critical to motivate staff by recognising their efforts Improving: Monitoring is an important aspect of internal communications and this will help in adapting and improving communications mechanisms to ensure they are responsive to the staff’s needs


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Method of Communication

Frequency

Details Medium Monitoring and Evaluation

needed management, conflict resolution, technical skill development, stress management, public speaking, presentation skills,

PRWSS Facebook page/Blog

A Facebook page for group sharing of activities undertaken across all districts on PRWSS. An employee blog may also be launched for employees to contribute.

Social Media Engagement (Likes, follow, etc.)

English training As required

Plain English training using external facilitator.

Training sessions

Improved communication skills

Volunteering at PRWSS villages

As required

Opportunity for PRWSS staff to contribute to community development through volunteering. Sapling planting drive could be organised in PRWSS villages

Deeper engagement with stakeholders

5.7.8 IEC Staff Support Inputs

The following areas need to be paid special attention to in order to enable and empower the IEC staff to optimise efficiencies: Increase capacity by adding more IEC workers and specialists : There is a need to hire additional resources for IEC work and these may be outsourced. The roles and responsibilities for the staff should be clearly defined including functions such as managing communications cell, press office function, working with other government departments and Ministries, and better utilizing resources and network like Aanganwadi and ASHA workers should be included.

Support in the form of resources such as more vehicles, audio visual aids, public address system, projector, laptop would also help in improving quality of IEC output. Resources at offices of department for improvement and updating knowledge should also be made available to the IEC staff. IEC staff should also be sent on exposure tours different areas where water supply schemes are running well for better understanding of successful communications interventions and mechanisms. Support to ease operational performance by releasing of funds in advance for activities like wall writing, street plays, Mega events etc. will also help in better time management and resource utilisation.

5.7.9 IEC Staff: Capacity building

Training required in these areas (based on IEC survey and discussions)

Gender Issues Detailed knowledge on Sewerage

Schemes Motivational &Behaviour Changing

Approach Stress management Waste Material management How to reduce, recycle and re-use

Social Media Technical Aspects of Water Supply

and Sewerage Schemes Meditation/Yoga Camps Workshop on Technical Aspects. Workshop on Financial aspects. Workshop on Institutional

Sustainability


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solid waste Computer Training and Social Media Cross Training Water utility reform Exposure / Study Tours including

international exposure in the areas where community run schemes are running successfully

More Aspects of Solid Free Sewerage System

HTML Public speaking Messaging Results/impact measurement Sustainability and O & M Sustainability in Kandi Area Shift to volumetric tariff More Aspects of Conservation of

Water

Collective Workshop with DWSS (including OP wing)

To Conduct a workshop PRI / Health Department

Punjab Panchayati Raj Act RTI Act International and national exposure

to the community run schemes Designing ,planning and

implementation of IEC /social marketing campaigns

Conflict resolution Tackling Groupism IT/computer literacy Graphic designing IPC ( inter personal communication ) BCC ( Behavior change

communication ) FGD ( Focus group Discussion)

5.7.10 Increased emphasis on Sewerage and Sanitation

IEC activities will focus more on sewerage and sanitation in PRWSS II. On the water supply front, the collective experience from PRWSS I will be utilised and strengthened. Awareness levels are low on sewerage benefits and schemes not only among end users but also GPWSCs and the IEC staff. Capacity building will focus on generating more awareness for the sewerage schemes and IEC will focus on driving behaviour change in sanitation among villagers. Triggers and tactics to be employed in the villages for sanitation (pride, dignity, shame, and health) will be determined basis a consumer research being proposed. Messages will also emerge from the findings as well as message development workshops among GPWSC and village level.

Awareness on sewerage was relatively low in general in all the visited villages not just among beneficiaries but also among GPWSC members and the IEC staff in many instances. Lack of understanding of the complete importance of sewerage was noticed as well as a lack of appreciation of the implications of the linkages between safe water, sewerage, hygiene and sanitation to the well being and prosperity of individuals and the community. Capacity building in PRWSS II should focus more on sewerage schemes to enhance awareness on benefits of sewerage schemes among all stakeholders.

Detailed district level IEC interventions are needed for sewerage schemes, focusing on the salient features of the technology and the do’s and don’ts - at the household level, to address overall O&M of the scheme - at the village level. Relevant communication material should also

IEC for sanitation

Sensitizing communities on basic hygiene practices, and hand washing

Campaigns focused on children and schools

Mobilizing communities for sanitation and hygiene promotion activities,

Addressing mindsets of users regarding effectiveness of technology (two-pit latrine)

Generating demand for sanitation and encouraging usage of toilets Community ownership of sanitation

Swachh Gram awards


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be developed for solids free sewers (SFS) to be distributed in advance to prospective villages to expedite implementation.

IEC objectives, challenges and strategy

IEC activities will help generate demand for sanitation, create awareness on the linkages between safe sanitation, hygiene and health, and focus on the following critical sanitation and hygiene areas:

o Construction and usage of toilets o Handwashing with soap o Safe storage and handling of drinking water

IEC will also focus on addressing the following challenges:

o OD is socially accepted traditional behaviour o Lack of awareness on the dangers of OD and linkages between open defecation

and diseases o Bridging gap between knowledge and practice – need for behaviour change o Differentiating between access and usage o Toilets not seen as a step up the social ladder o Sanitation as government responsibility and adopted for financial incentives

instead of genuine demand o Mindset regarding efficacy of technology

The communications strategy for an ODF Punjab will be three-pronged:

Immediately and urgently highlight the need for safe sanitation practices by highlighting the ills of OD creatively and in an impactful manner

Incentivise, reward and recognise those who adopt and advocate/evangelise safe sanitation practices and position safe sanitation as an aspiration and OD as unacceptable

Focus IEC interventions, especially inter-personal communication, more on women and children, while using other IEC activities to mobilise the community to collectively strive for ODF

Key Target Audience:

Beneficiaries and influencers

Primary: Women, children and men, individual households/families Secondary: PRIs, teachers, Religious leaders, SHGs, community leaders, NGOs,

frontline workers Influencers and local celebrities

State Level

DWSS-including Head Office, Zone and Circle Relevant Ministries and Government Departments (Health/Education/Rural

Development/Woman & Child/ the Department of Panchayati Raj) Policy makers Corporates

District, Division and Sub-Division Level

DWSC, District Sanitation Cell, Sub Division set up Zila Parishad Members;


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Public Representatives (MPs/MLAs/ MLCs, etc.); Office of the District Collector/CDO;

A consumer research is proposed to identify reasons for OD as well as assess specific social norms, mindset regarding technology and interdependent behaviour patterns for focused IEC intervention and better guidance for activities. Following this, a message development workshop is proposed to fine tune messages on sanitation.

IEC Interventions

The Communications tactics and activities will combine community outreach and advocacy focused on community mobilisation and demand generation. Some of the proposed activities are:

Introduction of a mascot (Dirty Fly: Gandi Makki) for IEC activities. IEC material will be developed with the mascot to communicate key messages around safe sanitation and to explain the linkages between hygiene, health and sanitation. Comic books and animated videos and games will be developed for appealing especially to the younger audience.

Sanitation traffic light or ‘Swachh Ghar’ flag/stamp branding: To positioning sanitation as an aspiration, sanitation flags or a sanitation ‘green light’ will be used as prominent markers on houses to brand them as safe sanitation houses. Kids will be given special school bags and water bottles with branding to incentivise toilet construction and usage17.

School campaigns and workshops including training to convert all village teachers as sanitation champions

The IEC material will be creative, simple and effective: Snakes and ladder18 games, school bags, note books, whistles, soaps, pop-up cards on technology options and toilet brushes with messages will be used to drive the messages. Stickers and tattoos of flies and bugs19 may also be used for generating awareness among children

Media: A mix of mass media, digital media, ICT, folk media will be used to promote critical behaviours and to raise awareness. Events like school rallies and activities like puppet shows will be conducted for promoting awareness.

Reality show: A reality show to pit villages against one another to become the best Swachh Gaon. The top villages will be awarded by the Chief Minister.

Nigrani Samitis will be set up in each village primarily constituting women and children for monitoring and tackling OD

IEC implementation

The Communications strategy will support all the key elements of project implementation and will also use convergence communication as a key implementation strategy for effectively leveraging existing assets of Ministries and government departments. Activities will be drawn from PRWSS I experience as well as rural sanitation interventions in other states like Rajasthan and Karnataka.

17 This tactic has been successfully deployed in several districts (“Phutro Pali” branding is an

example in Pali district) in Rajasthan with excellent results. 18 Poor sanitation practices lead to snakes and safe sanitation will help climb the ladder 19 This has been used in UNICEF’s poo2loo campaign


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IEC Monitoring and evaluation

The monitoring and evaluation framework will draw from the Ministry of Drinking Water and Sanitation’s ‘Sanitation and Hygiene Advocacy and Communication Strategy Framework 2012-2017’ which considers outcomes indicators, output indicators and process indicators. The outcome indicators are determined by behavioural change and changes in social norms and are most critical. These are studied through baseline, midline and endline surveys.

The outputs are measured through increase in levels of awareness and knowledge among people, especially on linkages between health, sanitation and hygiene (linkages between hand washing with soap and diarrhoea), and other factors such as number of IEC interventions, availability of soaps in/near toilets at home and school. Hygiene surveys can also be undertaken.

Other measurement metrics are increase in media coverage on sanitation; regular supervision by state and district department staff of all IEC activities; inclusion of sanitation in public speeches; capacity, knowledge and skill assessment of frontline workers, school teachers, self help groups to conduct interpersonal communication (IPC) and community mobilisation to promote use of toilets; number of volunteers and influencers engaged, among others.

‘Jal Nirmal Project’ of Karnataka The ‘Jal Nirmal Project’ of Karnataka Rural Water supply & Sanitation Agency, Government of Karnataka covers eleven districts in northern Karnataka (Bagalkot, Bidar, Belgaum, Bijapur, Dharwad, Gadag, Gulbarga, Yadgir, Koppal, Raichur, and Uttara Kannada). The project aims at providing improved and sustainable drinking water supply & sanitation services to the rural communities and Institutionalising decentralisation of rural water supply and sanitation (RWSS) service delivery to Gram Panchayats and User Groups.Details of the IEC activities carried out under the project are as listed below:

One-to One interaction & counselling Focused group discussion ( FGD) Informal sessions at individual homes, health centers, community settings , religious gatherings etc Peer to peer communication Role model initiative Sharing success stories to influence the individual & community

Exposures visits/cross learning: Best practices Community Mobilization:

Mapping & identification of local leaders/influencers Community dialogue and local meetings, Events by community leaders, PRI’s, volunteers, religious leaders and women groups

Social Marketing: Promoting different technical options for construction of toilets Providing families with necessary linkages(material) & facilitate construction of toilets

Capacity Building: Masonry Training to meet the construction demand from community Capacitating school & Anganwadi Teachers/children's:

Prominence of Hand Washing in critical times Importance of personal hygiene Building awareness on linkages between water, Sanitation & health Capacitating Individual HH’s ( Men, Women & Children)

Personal Hygiene Water Handling & Managing at HH level Benefits of safe sanitation facilities Cleanly home, neighbourhood & surrounding

Capacitating PRI’s & field functionaries on CLTS approach Orientation to VWSC, JC, SHG’s, CBO’s, ASHA workers, ANM etc

Campaign: Swachatha Utsava, Jatha, Shramadhaan etc., Addressing Religious Leaders:

Develop partnership with existing religious organization to sensitize them on appropriate sanitation and hygiene behaviours and lead by example.

Local events/festivals: Use it as platform for promoting WASH messages Strengthening Institutional capacity: Strengthening the capacity of State, district, Taluk, GP administration, elected representatives at various levels,

NGO etc.


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5.7.11 IEC Implementation and programming Framework

All IEC activities are undertaken on the principle that for any programme to be successful, it is imperative to ensure the conscious and active participation of all the stakeholder groups at every stage of the scheme cycle. Accordingly, activities are aligned with the pre-planning, planning, implementation and post-implementation stages of the water supply schemes. Given the success of this model, the following approach is recommended for PRWSS II.

IEC should support the PRWSS project at every stage of the scheme cycle and should be aligned with the project goals. The IEC team should work closely with the engineering team to ensure phase-wise program alignment. Better collaboration and convergence communication with the Health department and other ministries should be explored to ensure all resources are being adequately leveraged for IEC. Ministry of Rural Development should be engaged more actively for involvement of the Panchayati Secretary. There should be better alignment and involvement with schools particularly for sanitation activities.

IEC can also drive inclusion by actively encouraging women to participate more in community activities. IEC could also help build the profile of women GPWSC members by inviting them to play leading roles (as Chief Guests, speakers, etc.) in IEC events and activities.

Post-Implementation Phase - Sustainability through collective responsibility and ownership, impact measurement

In this phase the scheme has to be made running and sustaining. The major task is O&M. Develop the sense of Collective Responsibility and long term commitment of self sustainability. IEC impact is measured to undertake any course correction if needed

Implementation Phase - Support through empowerment and inclusion

In this phase, the scheme gets real shape and the installation and erection of the machinery and pipe laying civil works are done. IEC activities are implemented and community is mobilised at all levels with special emphasis on women and children as well as backward classes for sanitation.

Stakeholders are also educated about their rights and duties, and sensitised about O&M issues

Planning Phase - Participation through mobilisation, IEC goal setting, influencer and community engagement program

In this phase, the influencers galvanise the end users to contribute their share to the scheme. This phase is also utilised for clear goal setting and activity plan for IEC based on challenges and perceptions identified in the pre-planning phase and influencer engagement. Capacity building is critical

during this stage to ensure complete awareness about all aspects of the scheme. IEC advocates are created.

Pre-Planning Phase - Awareness through sensitization and education, champions identification, perceptions assessment

This phase focuses on preparing ground and laying the foundation for the scheme through awareness generation and sensitization of stakeholders. Demand is also triggered during this stage. The initial phase wherein the stake holders need to be made aware about the project and the importance of aspects such as clean water, safe sanitation and sewerage benefits. Details about the schemes are also shared. The focus during this stage is mainly

the GPs and community leaders, followed by beneficiaries. Influencers and potential champions and women leaders are identified and perceptions/challenges of stakeholders recorded for appropriate IEC interventions in the later stages.


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A workshop with the IEC staff is proposed to discuss components and rollout of the communications strategy as well as develop a yearly plan. Following key points shall be considered while implementing the IEC campaign:

1. Baseline survey to understand basic information about the target audience and their felt needs, problems and services available;

2. Preparation of State, district, block and village Panchayat specific IEC strategy and modules for carrying out the campaign;

3. Development and supply of IEC materials; 4. Pre test of IEC material developed; 5. Using effective interpersonal communication 6. Conducting focus group discussion to understand needs, challenges and perception of

the community about the programmes; and 7. Monitoring and evaluation of the IEC

A Standard Operating Procedure and toolkit should be developed (updated from PRWSS I) to include aspects like crisis management, crisis protocol, scenario planning (village situation, over extraction, diseases, activism, etc.) undertaking events post assessing strategic fit and incorporating messages, GPWSC guidelines, seamless coordination between departments and teams, processes and systems, monthly meetings and reviews.

5.7.12 Convergence Communication

The IEC strategy for the project will straddle the project as well as the on-going NRDWP and SBM (Grameen) programs. It will be a three-pronged strategy covering strategic issues such as messaging, sustainability of services by GPWSSCs, behavioural change to achieve ODF, Hygiene etc. at the state level by DWSS; advocacy on local issues and programs will be covered at District level; project support and sustainable operations will make best use of the assets created through capacity building and awareness campaigns at the village level.

IEC in NRDWP

The GoI strategy for NRWDP focuses on inculcating a sense of responsibility and accountability towards water among people; bringing behavioural change in water conservation; and preventing contamination for improving water quality, prosperity, and sustainability. This is done by informing and educating people about citizen roles and responsibilities as well as the benefits of adopting right practices. The campaign targets diverse age groups with a focus on children, women, village elders, community leaders, and takes into account socio-economic barriers as well as the socio-cultural practices and traditions.

The IEC Strategy also promotes roles and benefits of community management of service delivery from the centralized supply-driven approach to the decentralized, demand-driven, community-managed approach to be overlooked by Panchayati Raj Instititutions (PRIs). IEC helps prepare the PRIs and rural community to take over the responsibility of managing and providing safe drinking water to all households sustainably.

The four pillars of the IEC strategy are:

Awareness: Campaigns are organised to raise awareness among rural communities on the ill effects of contaminated water, safe drinking water, appropriate technologies, water quality standards and testing, waste management, and wise management of local water resources, etc.

Transparency: Relevant details of the schemes are shared with the local community. Transparency walls have been installed in villages where water


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supply schemes were adopted, which displayed details of funds collected and utilized.

Community involvement: Focused on community involvement and people participation in planning, implementation, and monitoring of the programme. The design takes into account community needs, resources and challenges.

Accountability and responsibility: This aspect rested with the Gram Panchayat and the Gram Sabha who play a key role in monitoring the programme.

The IEC strategy aims towards creating an enabling environment and ecosystem through strengthened coordination, effective outreach and advocacy and effective stakeholder management to promote community participation, understanding, personal accountability, and responsibility for ensuring provision of safe drinking water to all.

IEC and Sanitation

IEC has also played a critical role in improving sanitation in the country. An issue that demands significant behavioural change across stakeholders and end users, the Total Sanitation Campaign (TSC) was launched in 1999 as a demand driven, community-led program with significant IEC interventions to make sanitation a felt need of the people. TSC replaced the Central Rural Sanitation Program which was initiated in 1986, which was supply-driven and high subsidy-oriented program. The shift to a demand-driven approach in TSC required consistent and engaging IEC intervention. It was determined that much of the breakdown in Nirmal Gram Panchayats was due to non-availability of water heralding the transition from TSC to Nirmal Bharat Abhiyan (NBA) which combined water supply and sanitation. An increased focus on IEC was placed by allocating 15% of total outlay for IEC activities. The Ministry also launched a Communication and Advocacy Strategy and proposed a conjoined approach with National Rural Drinking Water Programme (NRDWP) to ensure water availability for sanitation in Gram Panchayats. Focused convergence of rural sanitation with associated Ministries including Health, School Education, Women and Child Development with NBA.

The restructuring of NBA to SBM has been made to speed up progress in rural sanitation. The efforts from CRSP and TSC have resulted in 33% sanitation coverage in rural households as per the Census 2011 Survey and National Sample Survey Organisation (NSSO) Study estimated a little over 40% coverage. With the ambitious vision of achieving Swachh Bharat (Gramin) by 2019 to make all Gram Panchayats open defecation free, SBM aims to eliminate bottlenecks and prioritise key issues to focus on the outcome. These include creation of enhanced demand through strengthened IEC and Inter-personal communication (IPC); strengthening of execution and delivery mechanisms; monitoring outputs and outcomes at GP and household levels; and mobilizing support through CSR and multilateral sources.

The revised elements of SBM include transfer of the responsibility of construction of school toilets to the Department of School Education and Literacy, and of Anganwadi toilets to the Ministry of Women and Child Development.

The IEC strategy for sanitation will emphasise on behavioural change to encourage ODF behaviour including construction and usage of toilets. Targeting behaviour change at individual and community level, the priority will be on increasing demand for sanitation. In Punjab, this will be done through an impactful and judicious mix of technology and media to communicate messages on safe sanitation and hygiene.

In addition to tackling the challenge of open defecation, SBM is also expected to significantly improve the level of cleanliness, quality of life and health in rural India, and enhance dignity and safety of women and children.


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Convergence Communications

The IEC team from PRWSS should engage and work with various Ministries and government departments to pool in resources for common goals. Some of the immediate opportunities are greater engagement and involvement to be sought from Panchayati Secretary. The Ministry of Panchayati Raj has also developed a handbook20 on sanitation “Gram Panchayat and Sanitation” for the use of Gram Panchayats. This handbook is meant to assist Gram Panchayats in planning for sanitation in their area and also implementing their plans. It attempts to provide information as well as suggests strategies. In the future, the Ministry intends to interact in detail with States regarding this handbook. States may also modify it as per their own context.

The handbook focused on the following areas: Role of Gram Panchayats in provisioning of drinking water, Drinking Water Sources and Water Supply Systems, Sustainability of Drinking Water Supply, Drinking Water Quality Management, Village Water Safety Assessment, Operation and Maintenance (O&M) and Revenue Management, Management of Drinking Water during Disasters, Village Water Security Plan, National Rural Drinking Water Program (NRDWP), Obligations and Duties as a Member of Gram Sabha.

This may be modified and used for GPWSCs.

Periodic meetings for deliberating on introduction of joint campaign/meeting by rural, health, education, agriculture, ITI and other Government departments at least every quarter should be considered for better collaboration and convergence.

5.7.13 Measurement: Goal-oriented and impactful IEC

IEC for PRWSS II will be target-driven and goals-oriented not in terms of the number of activities undertaken but the outcome desired from the project. Efforts will be made to measure behaviour change, community mobilisation and impact. Other indicators like cohesive seamless functioning of GPWSC, knowledge sharing, increase in awareness for sewerage schemes, ODF status, usage of toilets, demand for services, extent of water conservation, exemplar and role model villages, among others will be some of the indicators for measurement.

Measurement of IEC in PRWSS I has been largely undertaken on the basis of the number of IEC activities undertaken across districts. This has also resulted in certain unrealistic targets being imposed on the IEC staff without adequate resources or reasoning to support realisation of these targets. A more systematic approach to measurement will be undertaken in PRWSS II. Some of the measurement methods include qualitative and quantitative assessment of IEC activities undertaken; targets should be set on the basis of needs, goals and challenges in districts and cluster blocks on the basis of colour coding.

A colour-coding exercise is also proposed to cluster blocks on the basis of the level of activities needed and challenges for ‘tough blocks’ that demand more intensive IEC interventions to be able to allocate resources and employ IEC tactics on the basis of work load and challenges. The exemplar villages will fall under the green cluster which will require routine IEC activities with regular monitoring; however tough villages that have challenges like submersible pumps, village conflicts, low literacy rates, weak women participation, etc. would form the red cluster where closer supervision, more focus and attention would be needed, as well as additional allocation of resources. This will allow the IEC team to focus specific interventions in

20 http://www.panchayat.gov.in/documents/10198/456811/water%20-%2028_08.pdf

http://www.panchayat.gov.in/documents/10198/456811/water%20-%2028_08.pdf


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these areas for better impact. Measurable goals should be defined at the outset before the IEC interventions and the outcome should be measurement against these clearly defined goals.

Since village level clustering would become tedious, this would be done at the block level.

The colour coding exercise will be undertaken jointly with the IEC staff either by administering a questionnaire (asking them to grade villages/blocks on a range of parameters such as literacy, women participation, strong GPWSC, awareness level, internal conflicts, etc.) and will be finalised through a team meeting with IEC staff. This will allow the state level team to deploy the right resources and activities, and focus on areas that will need more attention. This will also reflect in the monthly calendar of activities with additional/different activities included in the calendars for red cluster. The colour coding exercise will be piloted in 2-3 districts to begin with.

Goal setting should follow the SMART21 criteria and should be Specific, Measurable, Attainable, Relevant and Time-Bound. The bi-monthly or quarterly PRWSS IEC plans at district levels should include specific goals that are clear and unambiguous; have clear criteria for measuring progress (how many households, beneficiaries to be reached, what key messages to be disseminated, etc.); ensure the goals are realistic and attainable, taking all constraints under consideration and is a reasonable stretch without putting pressure on the system; align goals with the project mission and scheme cycles and helps focus on the key messages; and are time-bound with target deadlines and ensure adherence and commitment to these deadlines. Behaviour change should be measured through baseline, midline and endline surveys which will help identify behaviour change required and areas of interventions which in turn will allow IEC activities to be measured against these indicators at the end of the campaign.

All activities will be undertaken based on research and user insights and messages fine-tuned to address specific needs and concerns of people in specific districts/clusters. For this, a consumer research is proposed in the first quarter of 2015 to understand behaviour trends, perceptions, and concerns specifically with reference to challenges foreseen in PRWSS II. Message development sessions with GPWSCs are also proposed for strengthening messages and focus on sustainability and inclusion. These sessions will also be used to motivate them to pursue sustainability.

The communications strategy will also leave room for periodic reviews, research, and mid-course correction should there be a need. Documentation will form a key component to record and monitor IEC work undertaken. Internal communication will be strengthened for better team work and increased efficiencies through a variety of tools and technology.

21 http://en.wikipedia.org/wiki/SMART_criteria

Specific

Measurable

Attainable Relevant

Timebound

http://en.wikipedia.org/wiki/SMART_criteria


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Implementation Action Plan22

(Indicative)

Sl No Phase Activity

Time Frame

1st

to 6

th

Month

7th

to 18

th

month

19th

to 24

th

month

1 Awareness Building Phase

State level Workshops

Press Conferences and Briefings

Capacity Building of District and village level facilitators

Outdoor painting of all water points / sources

Designing, printing and distribution of habitations and posters

2 Implementation Phase

Creation and Management of media resource group (MRG)

Design and Launch of Community Newspaper (CNP)

Launch of WATSAN related Messages through the rural cable television network (CTN)

Issue of motivational letters to PRI Heads and Project Facilitator

Mass Outdoor Campaigns, including – IPV, village level meetings, NukkadNataks and Awareness special campaigns for school children and women

3 Review and re

planning Phase Review and evaluation of activities undertaken in phases 1 and 2

Identification of gaps in implementation and re planning for the remaining project cycle (if necessary)

Feedback and re orientation of Facilitator Groups

IEC WORKING PLAN23: Punjab Rural Water and Sanitation Sector Improvement Project

Sr.No24

Activities Responsibility IEC Activities/Messaging SMART

25 Goals and IEC

Impact Measurement Metrics

PRE PLANNING : Awareness through sensitization and education, champions identification, perceptions assessment

This phase focuses on preparing ground and laying the foundation for the scheme through awareness generation and sensitization of stakeholders. Demand is also triggered during this stage. The initial phase wherein the stakeholders need to be made aware about the project and the importance of clean water, safe sanitation and sewerage benefits. Details about the schemes are shared for transparency and for each stakeholder to understand their roles and responsibilities. The focus during this stage is mainly the GPs/ GPWSCs and community leaders and beneficiaries. Influencers and potential champions and women leaders are identified and perceptions/challenges of stakeholders recorded for appropriate IEC interventions.

Develop a strong/ strengthen GPWSC

Community mobilisation

Develop IEC champions

Generate demand

Increase awareness for the schemes

1. Initiate IEC campaign at village level

JE/SDE/IEC specialist

Gram Panchayat outreach and community meetings, information dissemination on schemes. Benefits of water supply and

%age of GPs that passed resolution from the total no. of villages reached out to

22 Detailed working plan has been developed and shared as annexure 23

The plan is indicative and activities can be improvised with full consultation as required 24

Sr No. not changed from the Mott Mac scheme cycle for easy reference. Items not relevant for IEC have been deleted

from the scheme cycle in this document. Once finalised, the serial numbers can be changed. 25

SMART: Specific, Measurable, Achievable, Realistic, Time-bound


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Sr.No24


25 Goals and IEC


sanitation.

2.

GP to pass resolution showing willingness to adopt the scheme along with providing panchayat land free of cost for water works

Social Development Specialist

IPC, Identification of community leaders

A ready list of community leaders and influencers developed

3.

Collection of resolution from GP for adopting the scheme along with willingness to provide fee land for water works

Social Development Specialist)

Identify and tap ASHA/Aanganwadi network

Good working relationship with ASHA and Aanganwadi workers

4. Selection of GP through transparent Processes and procedures

EE

Study selection, alert DWSS on concerns if any.

Documented list of challenges and concerns if any

26, colour

code villages Red/Orange/Green

5.

Intimation to selected GP’s and to GP’s which are selected with reasons through letters, and community meetings

EE

Social Mobilisers

6.

Formation of the GPWSC (if not already existing) or strengthening (if already existing) as standing committee of in the Gram Sabha meeting

JE/SDE/IEC Specialist

Social Mobilisers

Communicate benefits on selection criteria and encourage selection of strong GPWSC

7.

Displaying List of GPWSC members along with their phone numbers through 2-3 wall writings at public places

GP

1st IEC Community event to

celebrate village selection and formation of GPWSC. Benefits of quality water and safe sanitation.

Attendance levels

8.

Opening of separate bank account by GPWSC and addition Govt. signatories SDE and JE in charge of the scheme

JE/SDE

GPWSC

Social Mobilisers

Information dissemination on bank account opening

9.

Stakeholder mapping in the village to identify key stakeholder groups, undertake PRA and prepare social mapping and initiate community mobilization

Social mobilisers

Door to door communication, IEC material distribution, build relationship with school teachers

Number of households reached, obtain stakeholder list from social mobilisers, support enlisted from teachers

10. Collection of Rs 50000/- or 50 percent of community contribution (whichever is less)

GPWSC

JE/IEC specialist

Social Mobilisers

% of collection made

11.

Selection of suitable Panchayat land by Technical staff among various options offered GP arranges land for construction of units pertaining to water supply including water treatment plan (required in case of supply of surface water)

EE/SDE/JE

Social Mobilisers

12. Digital Survey done Agency appointed

by EE

13. Training and orientation of GPWSC

Social Mobilisers/Social Development Specialist

IEC

JE

14. Tripartite MOU (Agreement) (for SVS) signed among EE, GP and

EE

GP

District-level media campaign, issue press

Coverage generated in local media

26 Record challenges such as existing sources of water supply, own submersible pumps, groupism, low income, low literacy, high migrant population,

political influence, etc.


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25 Goals and IEC


GPWSC GPWSC release

15.

Habitation level IEC campaigns and community mobilization 1. Water Quality testing camp of existing sources (1 camp for 50 houses) 2. Information on health and hygiene issues 3. Exposure Tour to nearby existing role model village

JE

IEC team

Social Mobilisers

Exposure tours, Water quality testing camps, nukkad nataks/puppet shows, school rallys

Message dissemination, participation levels, number of households/community members reached, IEC material response

16.

Special training camp in the village for members of GPWSC frpm SC /Women/Poor category explaining their roles and responsibilities in the working of GPWSC

JE

Social Mobiliser

Identify women champions and engage in IEC activities

Number of women enlisted in IEC activities

17.

Special training to office beares of GPWSC like Chairman, Secy, Cashier and Technical member of GPWSC (JE in charge) on their role and responsibilities

SDE/JE

Social Mobiliser

Set up PRWSS Information Library

All details uploaded online and offline. Info kits available with all IEC staff

18.

Focus group discussion in the village (@ 1 FGD per 0 houses) explaining salient Swap principles like community contribution, user charges, GPWSC bye laws etc

SDE/JE

IEC team

Social Mobiliser

Planning Phase : Participation through mobilisation, IEC goal setting, influencer and community engagement program In this phase, the influencers galvanise the end users to contribute their share to the scheme. This phase is also utilised for clear goal setting and activity plan for IEC based on challenges and perceptions identified in the pre-planning phase and influencer engagement. Capacity building is critical during this stage to ensure complete awareness about all aspects of the scheme. IEC advocates are created.

Achieve >70% connections

Keep GPWSC motivated

Community mobilisation

Develop IEC champions

Convergence communication

Full beneficiary share collection

Minimise illegal connections, defaulters

Map and address challenges

1. Collecting 100 present community contribution

GPWSC

Social Mobiliser

IEC Activities, door to door,

%age of connections and community contribution collected

2. Display of details of scheme, contribution collected

GPWSC

Social Mobilisers

3. Award letter to the selected contractor and disclosure of selection to all the bidders

EE

GPWSC

4. Signing of Contract between the GP/GPWSC and the selected contractor

GPWSC

5. Organising regular meetings by GPWSC documentation of minutes of meeting

GPWSC

6. Community monitoring by GPWSC members Social audit committee coordinating with EE

SAC

School rallies, Increased Influencer management and activities in Red villages, Initiate work on Swacchta Lehar, school comic campaigns, Grassroot comics

Monthly activity plans and calendars with SMART goals


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25 Goals and IEC


campaigns

Implementation Phase : Support through empowerment and inclusion

In this phase, the scheme gets real shape and the installation and erection of the machinery and pipe laying civil works are done. IEC activities are implemented and community is mobilised at all levels with special emphasis on women and children as well as backward classes for sanitation. Stakeholders are also educated about their rights and duties, and sensitised about O&M issues

1. IEC on water, hygiene and environmental sanitation continue coordinated by IEC team,

IEC team

SM

Quarterly report on schedule of communication

2.

Displaying Key Information (project details, details of members, completion timeline, emergency contact details)

Contractor

SM

Swachh Saathi awards launched – internal and external

3.

Technical and Social Audit to check that the water system work as intended, vulnerable inclusion plan implemented as intended etc..

SAC Social Audit Report to be submitted to DWSS

Begin IEC Survey to study behavior change, impact of messaging, IEC material, community perceptions

Survey conducted

Begin work on Swachhta Lehar

Content generated from community and feedback from villages

Operation & Maintenance Phase: Sustainability through collective responsibility and ownership, impact measurement In this phase the scheme has to be made running and sustaining. The major task is O&M. Develop the sense of Collective Responsibility and long term commitment to sustainability. IEC impact is measured to undertake any course correction if needed

1. Training of GPWSC members on O&M Activities

EE IEC material dissemination, IPC

2. IEC on water consumption, wastage, meter connection coordinated by IEC TEAM.

IEC TEAM

SM

All IEC activities: Muniyadi, rallies, road show, puppet shows

3. Handholding activities of GPWSCs members for O&M to ensure sustainability

EE

GPWSC

Social Mobilisers

Profiling of successful GPs in Swachchta Lehar

Swachchta Lehar launched

4. Maintaining Books of Accounts GPWSC

5.

Monitoring for Sustainability- Continuous IEC activities with monitoring at household and community level.

IEC team

MIS TEAM

Social Mobiliser

6. Impact Evaluation – 100 present of households with water connection, use and maintain them.

DWSS IEC survey completed

Learning incorporated in ongoing IEC plans and course correction if any made

7. Collecting user fees by GPWSC GPWSC

8. GPWSC taking over works from EE EE

IEC Survey and workshop to assess work and evaluate impact

IEC Impact evaluation report prepared

The proposed IEC activities for PRWSS II include:

• Muniyadi • School rallies/competitions • Puppet shows, Nukkad nataks • Exposure visits


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• Important Days e.g. Girl Child Event, Women Day, Environment Day, Handwashing Day, Independence Day, Children Day etc

• Community Festivals like Teej • Mobile VAS/Mobile voice campaigns • Citizen journalism and community radio • Grassroots comics campaigns • PRWSS website revamping • Whatsapp and Google groups • A PRWSS information library • Swachh Punjab – Internal newsletter • PRWSS Intranet • Swachhta Lehar – village newspaper • Swachh Saathi awards • PRWSS Facebook page • School Campaigns • Comic book campaigns • Mascot events • Swachh Ghar branding • Stickers and Tattoo campaigns for children • Focus Group Discussions • Water Quality Testing • Wall writings • Display of transparency wall • Swachh Gram awards • Reality show • Standard Operating Procedure and toolkit • Surveys and audits to measure IEC impact • Goal-oriented IEC quarterly activity plans • Influencer and advocates engagement • Women champions program • Capacity building programs


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6 Annexure 6

6.1 Job Descriptions of Select Positions27

The job descriptions with skill requirements have been described in the institutional study report for positions in the department where changes have been proposed. The positions for which the roles are proposed to continue in the same manner have not been included in the report.

1. JD of Head - DWSS/ HOD

A. QUALIFICATIONS AND SKILLS REQUIRED

The Head -DWSS shall be selected by GOP out of serving / retired Chief Engineers or an IAS officer not below the rank of Special Secretary.

B. REPORTING TO

Government of Punjab represented by the Principal Secretary

C. ROLE PURPOSE

The Head of DWSS will be the sole point of contact for the Principal Secretary for all matters related to the Project and for the Principal Secretary. All the unit heads in the headquarters would report to the Head of the DWSS

D. ROLE ACCOUNTABILITIES

To act as Head of the Department, administrative and functional head in context of the project

To guide, lead and review the performance of the various units in the department such as technical, social, finance, construction quality and service delivery, water quality and sanitation unit etc.

To co-ordinate with state level stakeholders ,liaison with World Bank and Govt. of India

To meet the departmental targets set for various programs

To ensure smooth functioning and coordination of the activities of the various units and territories within the department for the purposes of achieving the objectives of the project

To ensure transparency in all departmental activities

The HOD will steer the overall project planning and management such as to ensure that the Project development objectives are fully achieved in a timely manner, management of sector funds, capacity building of all project partners, managing statewide IEC campaigns, ensuring appropriate community empowerment and participatory framework, ensuring appropriate procurement practices and high quality of engineering designs and construction, implementing enhanced transparency and disclosure Action Plan, and regular monitoring and evaluation of the sector performance. These would also ensure that the non-IDA schemes follow the same principles as that adopted by the project and move towards the objectives set out in the Punjab Rural Water and Sanitation Policy 2014.

To achieve the PDOs such as higher no. of habitation with higher service level, quality water & ODF village & the GPWSC's are managing O&M on sustainable basis.

27 The Job Descriptions for various positions have been prepared and finalized by the SPMC

team and provided for incorporation in the PIP. These are indicative and may be modified as the

project progresses.


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ADMINISTRATIVE HR UNIT

2. JD of HR Manager


A MBA in HR with Graduation in Sociology/ Anthropology, Social Work, Political Science , Psychology, Business, Economic, Law, Psychology, Management , Public administration, Social studies etc.

Having 10 years’ experience of working in multinational companies or a well-established organization handling HR issues,

Must have sufficient knowledge of Punjabi language. (At least Matriculation passed with Punjabi language)

B. REPORTING TO

Head of DWSS

C. ROLE PURPOSE

Human Resource Development Activities

Perform the role of the Head of the Training Centre

Make recommendations and plans to enhance social benefits


Developing HR planning strategies with line managers by considering immediate and long-term staff requirements

Recruiting staff by preparing job descriptions and job adverts; deciding on how best to advertise

Shortlisting applicants for interview using a variety of selection techniques including psychometric testing

Interviewing shortlisted candidates

Advising on pay and other issues, including promotion and benefits; administer payroll and maintain staff records

Interpreting and advising on employment legislation; develop and implement policies on a variety of workplace issues e.g. disciplinary procedures, absence management, working conditions, performance management and equal opportunities

Listening to grievances and implementing disciplinary procedures

Analysing training needs in conjunction with line managers; planning and delivering training, including staff inductions for better quality & improved water supply & so that ODF status is achieved.

Monitor HR activities of the department.

Guide & advise the Social and HR policies.

Amendments and preparation of guidelines for HR issues

Perform the role of Head of Training Centre

3. JD of Executive Engineer Estt. (Gaz)


Education and experience as specified in the Service Rules of the organization for Executive Engineers

B. REPORTING TO

Head of DWSS

C. ROLE PURPOSE

Will handle Gaz. Estt. w.r.t. Service record, earned leave, loan cases, ACRs, promotional cases, pay scales etc.


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To assist the HOD w.r.t.

Maintain seniority list of gazette officer (Executive Engineer and SDE)

All issues such as Earned Leave, GPF, Promotional scales and maintenance of service records of gazettes officers

To take guidance from HOD for taking disciplinary actions.

Handle the issues such as loan cases, deputation cases, court cases w.r.t. seniority/promotion

Correspondences with Government.

4. JD of Executive Engineer Estt. (Non Gaz.)



B. REPORTING TO

Head of DWSS

C. ROLE PURPOSE

Will handle Non-Gaz. Estt. w.r.t. Service record, earned leave, loan cases, ACRs, promotional cases, pay scales etc.


To assist the HOD w.r.t.

Maintain seniority list of non-gazetted officer (JEs, Clerical Staff, Class IV and regular work charge staff)

All issues such as Earned Leave, GPF, Promotional scales and maintenance of service records of all non-gazettes staff

To take guidance from HOD for taking disciplinary actions for non-gazette establishment.

Handle the issues such as loan cases, deputation cases, court cases w.r.t. seniority/promotion

Correspondences with Government with issues related to non-gazette establishment.

5. JD of Legal Officer


An officer from the Legal Department/ office of the Advocate General of appropriate rank on deputation OR on contract

Experience of 7 years in handling cases in District Court, High Court and Supreme Court.

Education as specified in the Service Rules of the organization

Must have sufficient knowledge of Punjabi language. (At least Matriculation passed with Punjabi language) if on contract

B. REPORTING TO

Head of DWSS

C. ROLE PURPOSE

Responsible for handling all court cases filed by or against the department.


To manage the day-to-day legal operations of the department

To represent this organization in various courts and handling civil and criminal cases


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Developing guidelines and monitoring of court cases

Identifying operational issues and bring to the notice of HOD

Legal guidelines and opinions

FINANCE UNIT

6. JD of Chief Finance & Accounts Officer (Regular)


Preferably an officer from Finance Department with at least 3 years of experience at JCFA grade

B. REPORTING TO

Head of DWSS

C. ROLE PURPOSE

Chief F&A Officer would handle the funding coming from various programmes and oversee their allocation as well as utilization across the state in consultation with HOD


Managing entire department finances, fiscal discipline. Meet accounting standards laid out by AG/ WB etc.

Guide Divisions and field units in preparing annual action plans and budgets proposal

Consolidate the state level annual budgets from the divisional plans

Consolidate periodic reimbursement claims from all divisions and submit to GoP/ GoI/ World Bank

Liase with GoP for timely release of funds

Prepare and submit periodic financial management reports, annual financial statements etc.

Disbursement of salaries and other allowances to staff, payment to Consultancies, Service Agencies etc.

Be responsible for auditing of Divisions and monitor auditing of GPWSC

Design and guide implementation of social accountability and transparency framework for account matter

Be responsible to monitor the preparation and acceptance of PCRs

* Monitoring the trainings given to the account assistant working in the field which will ultimately result into successful achievement of PDO i.e. better quality water & with maximum no. of ODF villages.

7. JD of Joint Finance & Accounts Officer (On contract)


Education and Experience and specified in the service roles of the organization of J. C ( F & A) at least 3 years of experience at JCFA grade

B. REPORTING TO

CF (AO)

C. ROLE PURPOSE

JC F&A Officer would handle the funding coming from various programmes and oversee their allocation as well as utilization across the state in consultation with HOD.



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Will assist CFAO:

Managing entire department finances, fiscal discipline. Meet accounting standards laid out by AG/ WB etc.

Guide Divisions and field units in preparing annual action plans and budgets proposal

Consolidate the state level annual budgets from the divisional plans

Consolidate periodic reimbursement claims from all divisions and submit to GoP/ GoI/ World Bank

Liaise with GoP for timely release of funds

Prepare and submit periodic financial management reports, annual financial statements etc.

Disbursement of salaries and other allowances to staff, payment to Consultancies, Service Agencies etc.

Be responsible for auditing of Divisions and monitor auditing of GPWSC

Design and guide implementation of social accountability and transparency framework

Be responsible to monitor the preparation and acceptance of PCRs

* Monitoring the trainings given to the account assistant working in the field (which will ultimately result into successful achievement of PDO i.e. better quality water & with maximum no. of ODF villages).

8. JD of Finance Manager (On contract)


Qualified Chartered/Cost Accountant with 6 to 8 yrs experience in the maintenance of accounts, monitoring of expenditure and forecasting the budget requirement

Strong accounting skills, incl. Consolidation of accounts and familiarity with govt accounting procedures.

Familiar with the use of off the shelf accounting packages./ good hands on working knowledge of MS Office (Excel/ Word/ PowerPoint)


B. REPORTING TO

JC (F&A)/Jt. F&AO

C. ROLE PURPOSE

Support the Controller/ Joint Controller (Chief F&AO and Jt. F&AO) deputed to the program from the Dept. of Finance.


Effective implementation of the financial management arrangements for the project

Assist to ensure preparation of the Annual Work Plan and budget and prepare and review quarterly budgets and fund request to the State Finance Dept.

Timely consolidation of accounts/financial statements at the state level (of all the implementing entities.

Developing training strategies for imparting training to division office finance staff and the accountant at the GPWSCs.

Facilitate in getting the accounts of the program audited by the AG and coordinate with the implementing agencies for settlement of Audit Disallowance’s, is any.

Monitoring expenditure and preparation of reimbursement claims to be sent to the IDA on a quarterly basis.

Consolidation, Preparation and submission of quarterly FMR’s to the IDA.

Coordinate with the IDA and the State Finance Dept on all financial matters.


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Monitor and review monthly expenditure reports and grant in aid to GPWSCs

9. JD of Finance Officer (On contract)


CA (Intermediate)/ ICWA (Intermediate)/ M.Com Graduate

Experience 6 to 8 yrs in the maintenance of accounts and monitoring of expenditure etc.

Strong accounting skills, incl. Consolidation of accounts and double entry accounting.

Good hands on working knowledge of MS Office (Excel/ Word/ PowerPoint)

Ability to manage, monitor a large and spread out operations.


B. REPORTING TO

JC (F&A)/J F&AO and FM

C. ROLE PURPOSE

Support the Controller/ Joint Controller (Chief F&AO and Jt. F&AO) deputed to the Project from the Dept. of Finance.


Ensure that adequate internal controls (including segregation of duties) are in place to support the payments and receipts.

Ensuring timely consolidation of accounts/financial statements.

Render monthly accounts to the AG on a timely basis.

Assist to ensure that the funds (LOC) are allocated to the DOs in a timely manner for better results

Maintaining a database for monitoring the fund release to GPWSC’s, audit reports and compliance with audit reports of the concurrent auditors

Facilitate internal audit of the Divisions and other levels.

Support in imparting FM training to the GPWSC accountants and members

Facilitate external audit by the AG

Review the accounts and records of the GPWSC on a periodic basis against a pre designed checklist and document/ report any adverse findings to the HOD/Chief Finance officer

Manage contracts with SOs, VFT etc..

10. JD of Finance Assistant (On contract)


Graduate with B.Com degree

Experience 5 years in the maintenance of accounts and monitoring of expenditure etc.

Strong accounting skills, incl. Consolidation of accounts and double entry accounting.

Good hands on working knowledge of MS Office (Excel/ Word/ PowerPoint)

Ability to manage, monitor a large and spread out operations.


B. REPORTING TO

JC (F&A) /JF&AO and FM


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C. ROLE PURPOSE

Support the Controller/ Joint Controller deputed to the program from the Dept. of Finance.


To assist and prepare all the financial documents for making payments

To keep a proper record of all the contract persons, payments against agreements

Prepare sanction letters

Maintain the record for payments made category wise

TECHNICAL UNIT

11. JD of SE Technical (Regular)


Education and experience as specified in the Service Rules of the organization for Superintending Engineers

B. REPORTING TO

Head of DWSS

C. ROLE PURPOSE

Technical advisor to HOD


Guiding the EE design for designing the water supply and sewerage scheme with various technology options.

Looking after the work of EE programme management, EE Procurement and EE MIS.

Guiding the field officers in preparing technical implementation plan in line with the project objectives

Developing and communicating guidelines to the field officers w.r.t. technical manuals covering all aspects of water supply, sanitation and drainage, water quality monitoring, water resources and environment management etc.

Monitoring and Organising capacity building activities relating to technical aspects.

Coordinating the activities of the divisions so that the technical objectives of the annual state plans are achieved

Monitoring the implementation of the DSRs for completion of the technical milestones

Monitoring the various technologies being used in the field from the neighbouring State/Countries so that the there is no lapse in achieving the goals prescribed by World Bank authorities.

Will also guide the technical staff at HoD Level and give directions to the field staff w.r.t. procurement manual, technical manual, environmental and social management framework and PWD Specifications vis a vis WB guidelines.

SE (T) will have a major role to play to achieve the improve service level, water quality & project beneficiaries

12. JD of SDE (On contract)


Education as specified in the Service Rules of the organization for Sub-divisional Engineers or BE Civil first class along with an experience of 5-10 years working with a reputed organization. Must be proficient in MS-Word, MS-Excel and MS-Powerpoint. Must have Passed Punjabi up to Matric.


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B. REPORTING TO

SE, Technical

C. ROLE PURPOSE

Responsible to the SE(T) for the design.


To assist the SE(T) in procurement, design, PWD specifications, SMF and EMF, goods, services

Will support SE(T) w.r.t. all technical issues so that the goals targeted for improved quality of water may be achieved.

13. JD of Water & Sanitation expert (on contract)

A. QUALIFICATIONS

Must be post graduate preferably PHD in water suply & sanitation or might be a retired Chief Engineer from DWSS with atleast 5-10 years experience as Chief Enginer for water supply and sanitation

B. REPORTING TO

SE (T)

C. ROLE PURPOSE

Will formulate guidelines and assist SE(T) w.r.t. various Technical Options in the field of design , procurement, MIS etc.


He will work with SE(T) and develop and suggest new techniques to achieve the Project Development Objectives such as habitations with higher service level, good quality water and ODF vilages etc.

14. JD of Executive Engineer, Design (Regular)

A. QUALIFICATIONS

Education and experience as specified in the Service Rules of the organization for Executive Engineers. Preferably Post Graduate in Structural/PHE subjects will be posted as Executive Engineer design.

B. REPORTING TO

Superintending Engineer (Technical)

C. ROLE PURPOSE

To develop capacity of the department in designs with latest technologies available in the market


• To train department’s staff in designing the schemes

• To manage team of in-house experts who develop water supply and sewerage schemes

• To ensure quality and safety aspects of water supply and sewerage schemes

• To ensure that standard operating procedures are complied with

• To ensure that the latest economical and feasible designs followed in the department

* Will supervise and audit to the work done by SDE Design.

* Will submit the report to SE (T)

* Will support SE(T) w.r.t. all technical issues so that the goals targetted for improved quality of water may be achieved.


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15. JD of SDE Design (Regular)

A. QUALIFICATIONS

Education as specified in the Service Rules of the organization for Sub-divisional Engineers. Preferably Post Graduate in Structural/PHE subjects will be posted as Executive Engineer design. Must be computer savvy.

B. REPORTING TO

EE, Design

C. ROLE PURPOSE



• To train department’s staff in designing the schemes

• To manage team of in-house experts who develop water supply and sewerage schemes

• To ensure quality and safety aspects of water supply and sewerage schemes

• To ensure that standard operating procedures are complied with

• To ensure that the latest economical and feasible designs followed in the department

* Will follow the guidelines for designing so that the project objectives are achieved..

* Will report EE Design for all work supervised by him

16. JD of JE Design (Regular)

A. QUALIFICATIONS

Education as specified in the Service Rules of the organization for Junior Engineers . Preferably Graduate in Civil engineering will be posted as JE Design. Must be computer literate/comfortabe with day to day use.

B. REPORTING TO

SDE, Design

C. ROLE PURPOSE



Will support the SDE design, make available IS codes, manual on water supply & sewerage

Will also assist and look after other works supervised by SDE/Executive Engineer design will support the SE (T) to achieve the PDOs

17. JD of Sr. Design Expert (Water) (on contract)

A. QUALIFICATIONS

A water resource and /or environmental management qualification is required.

At least 10 years relevant experience of which at least five years. Practical experience in water resources program design and management is required.

Experience of working with or for major international development agencies is required.

Must have worked as Senior Engineer in a reputed organization dealing with Water Supply issues.


B. REPORTING TO

EE Design


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C. ROLE PURPOSE

Design, management, monitoring and evaluation of the effectiveness of water and sanitation project


• Expert advice for design, management, monitoring and evaluation of the effectiveness of the specific water resources

• Expert advice and support technical Unit in implementing the new delivery strategy for Water and sanitation program.

• Policy and technical advice on proposals engagement in water resources management through other programs of assistance .

• Collaboration with relevant national agencies, regional organisations, donors, multilateral development banks, civil society organisations and other non-state actors in relation to capacity building and knowledge sharing in support of implementation of their water resource initiatives.

• Engagement in and representation at policy dialogues at relevant national, regional and international water policy

• Identify, initiate, conduct and/or coordinate research into emerging water resources management challenges and policy issues.

• Assist in facilitating strategic access in the region for expertise in water resource management through linkages with relevant whole of government partners, universities and the private sector.

• Support the network on water resources management, including knowledge sharing with other water and sanitation programme

18. JD of CAD based design expert (on contract)

A. QUALIFICATIONS

Degree in IT in computer Science , information science , Mathematics, Engineering, statistics operation research

Candidates should have minimum 5 years of experience in AutoCAD, Revit, and Adobe CS is also strongly preferred.

Good communication and creative problem solving skills are a must.


B. REPORTING TO

EE Design

C. ROLE PURPOSE

Support the EE Design in carrying out/evaluating CAD based design


Prepare engineering drawings on CAD System, which may involve design

Review drawings for various projects as required from time to time

19. JD of Executive Engineer Programme Management (Regular)

A. QUALIFICATIONS


B. REPORTING TO

SE(Technical)


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C. ROLE PURPOSE

To act as in-charge of all interdepartmental and interdivisional technical co-ordination with respect to all programmes undertaken across the state.


To ensure smooth interdepartmental coordination

To train department’s staff in Standard Operating Procedures

To ensure that standard operating procedures are complied with

To take necessary disciplinary actions for non-compliance as per PWD specifications.

The position will assist the HOD in matters of coordination with the Government of India for NRDWP and SBM funds and interdepartmental coordination. The sub-unit will develop and promote uniform protocols and practices amongst different units.

Will ensure that all the project development objectives are achieved in a systematic, comprehensive manner.

Will consolidate the progress achieved by the Department and update the higher authorities. He will also work as a Liasion Officer with Government of India and the Department w.r.t. the fundings given by GoI.

WIll also oversee the working of SDE/JE under his jurisdiction

20. JD of SDE Programme Management (Regular)

A. QUALIFICATIONS

Education and experience as specified in the Service Rules of the organization for SDE

B. REPORTING TO

EE(Program Managementl)

C. ROLE PURPOSE

To assist the Executive Engineer, in-charge of all interdepartmental and interdivisional technical co-ordination with respect to all programmes undertaken across the state.


Will assist the Executive Engineer, Program Management w.r.t all day to day activities performed by him

21. JD of JE Programme Management (Regular)

A. QUALIFICATIONS

Education and experience as specified in the Service Rules of the organization for JE

B. REPORTING TO

SDE(Programme Management)

C. ROLE PURPOSE

To assist SDE, Program Management,


Will assist the Executive Engineer/SDE, Program Management w.r.t all day to day activities performed by him.


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22. JD of EE M&E MIS (Regular)

A. QUALIFICATIONS


B. REPORTING TO

Superintending Engineer (Technical)

C. ROLE PURPOSE

To act as MIS and M&E in charge


To track the performance of the Medium Term Sector Program of the GoP, the World Bank supported PRWSS-II project and the state’s performance in various national and state programs pertaining to water supply and sanitation.

Will focus on outcome monitoring and generate periodic reports to facilitate taking management decisions

To ensure tracking performance keeping in mind funds allocated and expected date of completion

To prepare and update MIS on monthly basis

To submit non-compliance events to SE(Technical)

Will monitor the working of SDE M&E.

23. JD of SDE M&E (Regualr)

A. QUALIFICATIONS


B. REPORTING TO

Executive Engineer M&E EMIS

C. ROLE PURPOSE

To support Senior M&E Expert


To track the performance of the Medium Term Sector Program of the GoP, the World Bank supported PRWSS-II project and the state’s performance in various national and state programs pertaining to water supply and sanitation.

Will assist to focus on outcome monitoring and generate periodic reports to facilitate taking management decisions to avhieve project development objectives.

To ensure tracking performance keeping in mind funds allocated and expected date of completion

To prepare and update MIS on monthly basis

To submit non-compliance events to Senior M&E.

Will supervise MIS and report to Sr. M&E Expert

24. JD of Sr. MIS Specialist

A. QUALIFICATIONS

MCA/B.Tech Computer science/ IT & 5 years experience in relevant field

B. REPORTING TO

EE (MIS)


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C. ROLE PURPOSE

Assist EE (MIS) on IT related activities.


Administration of Management Information System related activites.

To assist HOD in Monitoring and evaluation activities through Management Information System.

To assist in imparting training to field staff regarding use and operation MIS from time to time.

Monitoring the Technical (IT related) aspects of activities of MIS consulting firm.

25. JD of IT Hardware Expert (on contract)

A. QUALIFICATIONS

3 years of study in the IT Hardware field from an accredited college or university. Five (5) years of experience related to the described duties.


B. REPORTING TO

EE, MIS

C. ROLE PURPOSE

• Assists in the supervision of and participates in the repair and service of all small computer systems, servers and peripherals


• Assists in the supervision of and participates in the repair and service of all small computer systems, servers and peripherals.

• Evaluates service support needs for hardware and software.

26. JD of IT Software -GIS and MIS (on contract)

A. QUALIFICATIONS

Degree in IT in computer Science , information science , Mathematics, Engineering, statistics operation research

Relevant experience in managing MIS operations

Relevant experience on GIS


B. REPORTING TO

EE, MIS

C. ROLE PURPOSE

• Specialist inputs on design, maintain and implementation database management systems, computer applications, MIS operations and use of GIS applications as relevant


• Oversee all aspects of MIS and meet the service levels of response for release of customized reports required by the Head Office from time to time

Provide specialist inputs on GIS related aspects in design and roll out water schemes as appropriate.


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27. JD of Executive Engineer, Procurement (Regular)

A. QUALIFICATIONS


B. REPORTING TO

SE (T)

C. ROLE PURPOSE

To manage and monitor all the procurement activities of the department


Prepare Procurement Plans and undertake all the procurement functions at the state level

Guide procurement activities at the Division and GP level as per guidelines of WB/DWSS

Periodically update Procurement Manual and arrange for capacity building on procurement aspects

Guide preparation of procurement plan at the Division level

Ensure transparency in all procurement activities of the project

Will ensure that the subordinate officers are giving feedback to support the activities to be performed by him.

28. JD of SDE, Procurement (Regular)

A. QUALIFICATIONS


B. REPORTING TO

EE(P)

C. ROLE PURPOSE



To suport and assist Executive Engineer(P) as per his requirement.

29. JD of JE, Procurement (Regular)

A. QUALIFICATIONS

Education and experience as specified in the Service Rules of the organization for JE

B. REPORTING TO

SDE(P)

C. ROLE PURPOSE



To suport and assist Executive Engineer/SDE(P) as per requirement.


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WATER QUALITY UNIT (Water Quality Testing & Evaluation Unit )

30. JD of SE, Water Quality (Regular)

A. QUALIFICATIONS


B. REPORTING TO

HOD

C. ROLE PURPOSE

Will help in monitoring the quality parametters of water and sewerage efflunt and mitigation measures to be taken


•Taking water samples (although routine sampling may be carried out by technicians);

• Carrying out laboratory testing of samples for chemical or microbiological parameters and, in the case of drinking water, assessment of the quality of taste and clarity;

• Analysing statistical data on water quality samples;

• Visiting sites of concern, for example, potential sources of pollution or contamination, and sources of complaints about drinking water quality;

• Liaising with customers and representatives from regulatory authorities;

• investigating reasons for lapses in water quality and suggesting changes or solutions to these problems;

• Providing advice on avoiding problems, for example, to businesses discharging effluent;

• Negotiating charges for effluent discharges;

• Contributing to projects concerning water quality improvement;

• Checking customers' premises and the construction of drains for proper sanitation;

• Investigating pollution incidents from a scientific and legal viewpoint;

• Arranging for emergency action in response to pollution-causing incidents;

• Conducting research related to water quality and setting up field surveys;

• Sharing information with water quality professionals from other agencies.

Work activities may vary according to the current issues of concern; an ongoing and serious problem with water quality may cause other activities to be suspended or minimised until it has been dealt with.

Providing quality water to the stakeholders is the main target of the project.

31. JD of EE, Water quality (Regular) state level

A. QUALIFICATIONS

Education and experience as specified in the Service Rules of the organization for Executive Engineer

B. REPORTING TO

SE, Water Quality

C. ROLE PURPOSE

Will work as Water quality Engineer & report to SE water quality


•Taking water samples (although routine sampling may be carried out by technicians);

• Carrying out laboratory testing of samples for chemical or microbiological parameters and, in the case of drinking water, assessment of the quality of taste and clarity;

• Analysing statistical data on water quality samples;


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• Visiting sites of concern, for example, potential sources of pollution or contamination, and sources of complaints about drinking water quality;

• Liaising with customers and representatives from regulatory authorities;


• Providing advice on avoiding problems, for example, to businesses discharging effluent;

• Negotiating charges for effluent discharges;

• Contributing to projects concerning water quality improvement;

• Checking customers' premises and the construction of drains for proper sanitation;

• Investigating pollution incidents from a scientific and legal viewpoint;

• Arranging for emergency action in response to pollution-causing incidents;

• Conducting research related to water quality and setting up field surveys;

• Sharing information with water quality professionals from other agencies.

Work activities may vary according to the current issues of concern; an ongoing and serious problem with water quality may cause other activities to be suspended or minimised until it has been dealt with.

Providing quality water to the stakeholders is the main target of the project.

32. JD of SDE, Water Quality (Regular) State level

A. QUALIFICATIONS


Knowledge of water pollution causes, sources and controls, scientific research techniques, hydrology, fluvial processes, water chemistry, aquatic ecology

B. REPORTING TO

EE, Water Quality

C. ROLE PURPOSE

Will monitor the working and look after water testing Lab at state level


• Will assist EE for state and federal water pollution control laws and regulations including water quality standards and/or Total Maximum Daily Loads (TMDLs)

• He will assist SE Water Quality in all works related to Management of Lab., testing of water samples on day to day basis

• He will also assist SE, Water Quality with respect to RO plants

33. JD of JE, Water Quality (Regular) State level

A. QUALIFICATIONS

Education and experience as specified in the Service Rules of the organization for Assistant Engineer

Knowledge of water pollution causes, sources and controls, scientific research techniques, hydrology, fluvial processes, water chemistry, aquatic ecology

B. REPORTING TO

SDE, Water Quality

C. ROLE PURPOSE

Will assist SDE water quality and SE water quality


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• Will assist EE for state and federal water pollution control laws and regulations including water quality standards and/or Total Maximum Daily Loads (TMDLs)

• Will be responsible to SE Water Quality/EE in all works related to Management of Lab., testing of water samples

• Will be responsible to SE Water Quality/EE with respect to RO plants

34. JD of Water Quality Expert/Scientist (on contract) State level

A. QUALIFICATIONS

BSc, Biochemistry

Lab experience of 5 year in a reputed lab.


B. REPORTING TO

SE/Executive Engineer Water Quality

C. ROLE PURPOSE

The check water quality parameters and suggesting mitigation measures


• Taking water samples (although routine sampling may be carried out by technicians);

• carrying out laboratory testing of samples for chemical or microbiological parameters and, in the case of drinking water, assessment of the quality of taste and clarity;

• analysing statistical data on water quality samples;

• visiting sites of concern, for example, potential sources of pollution or contamination, and sources of complaints about drinking water quality;

• liaising with customers and representatives from regulatory authorities;


• providing advice on avoiding problems, for example, to businesses discharging effluent;

• negotiating charges for effluent discharges;

• contributing to projects concerning water quality improvement;

• investigating pollution incidents from a scientific and legal viewpoint;

• arranging for emergency action in response to pollution-causing incidents;

• conducting research related to water quality and setting up field surveys;

• sharing information with water quality professionals from other agencies.

35. JD of Water Quality Data Management Expert (on contract) State level

A. QUALIFICATIONS

Three years post secondary education in Computer Science or related discipline.

1-3 years experience working with time series data management structures, experience using WISKI software suite considered an asset.

Excellent knowledge and demonstrated experience interacting with relational databases, programing and web-based application development using REST-API and JAVA programming language.

B. REPORTING TO

SE/ Executive Engineer Water Quality


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C. ROLE PURPOSE

Monitoring the data on Water Quality


The Water Management Data Specialist will contribute to the time series water resource data management needs of the authority by leading the technical development and implementation of a WISKI data application.

Primary responsibilities include development and maintenance of information management structures/databases to organize, store, analyze and facilitate custodianship of water quantity and quality time series data.

He will lead an innovative water management data modeling exercise and the development of a web-based application

The Water Quality Data Specialist will report to the EE for Planning and Research.

The position holder will be helpful in monitoring the supply of good quality of water to the stakeholders as per World Bank guidelines.

QUALITY OF CONSTRUCTION & SERVICE DELIVERY UNIT

36. JD of Executive Engineer QM &S (Regular)

A. QUALIFICATIONS


B. REPORTING TO

HOD

C. ROLE PURPOSE

Overall in charge of Construction Quality, Quality Monitoring & Surveillance across the department


To ensure quality checks are conducted for various components of W/S & Sewerage schemes during implementation phase and submit report on monthly basis

To ensure type of construction for water supply and sewerage schemes are compliant with the quality standards fixed by the Department in Technical Manual, PWD Specification

To oversee all capacity building, advocacy, communication and IEC strategy related with construction quality delivered to field Engineers in time

Will ensure that all the observations/identification of defects in the construction are rectified in the course of time to the full satisfaction of stakeholders.

Will ensure that the subordinate officers are checking the works as per guidelines.

37. JD of SDE, QM&S (Regular)

A. QUALIFICATIONS

Education as specified in the Service Rules of the organization for Sub-divisional Engineers

B. REPORTING TO

Executive Engineer, QM&S

C. ROLE PURPOSE

Responsible to the Executive Engineer for checking the construction quality monitoring surveillance


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Will assist to ensure quality checks conducted in various components of W/S & Sewerage schemes during implementation phase and submit report on monthly basis

Assist to ensure type of construction for water supply and sewerage schemes are compliant with the quality standards fixed by the Department as per Technical Manual, PWD Specification

Assist to EE to oversee all capacity building, advocacy, communication and IEC strategy related with construction quality delivered to field Engineers in time


38. JD of JE, QM&S (Regular)

A. QUALIFICATIONS

Education as specified in the Service Rules of the organization for Junior Engineers

B. REPORTING TO

Executive Engineer, QM&S

C. ROLE PURPOSE

Responsible to the Executive Engineer for checking the construction quality monitoring surveillance


Will assist to ensure quality checks conducted in various components of W/S & Sewerage schemes during implementation phase and submit report on monthly basis

Will assist EE/SDE to ensure type of construction for water supply and sewerage schemes are compliant with the quality standards fixed by the Department in Technical Manual, PWD Specification

Will assist EE/SDE to oversee all capacity building, advocacy, communication and IEC strategy related with construction quality delivered to field Engineers in time


39. JD of EE/SNK (Regular)

A. QUALIFICATIONS


B. REPORTING TO

HOD

C. ROLE PURPOSE

Will manage the SNK unit and day to day reporting will be done to the higher authorities


Will monitor the schedule fixed for complaints registered with SNK and necessary reporting to the higher authorities.

Monitoring of day to day complaints and mitigation measures taken will definetly improve the satisfaction level of stakeholders


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TRAINING AND CAPACITY BUILDING UNIT

40. JD of SE Regular or Sr. HR Manager (on contract)

A. QUALIFICATIONS


or an experience of 5-10 years as SE working in a Govt. Deptt. /Semi Govt. Deptt.

B. REPORTING TO

HOD

C. ROLE PURPOSE

Will manage the traning unit , conduct trainings


To collect training proposals from SIRD and other training institutes /agencies / trainers

To identify suitable experienced officers and institutions for conducting training sessions on relevant issues.

To prepare of training schedule as per the approved budget and selected training programmes

To review the post training feedback and recommend improvements in the curricula and methods of imparting training sessions.

To review training module(reading material/PowerPoint presentation /graphical representation) and validate the authenticity of the information before the programme

Monitor training costs for the purpose of ensuring services are provided in compliance with department’s budget objectives and guidelines.

To help the Department officials as well as the stakeholders to improve the Capacity w.r.t. beneficiary share, execution, social, environmental and procurement issues.

41. JD of Training Manager (on contract)

A. QUALIFICATIONS

Post-graduation degree in management, human resources, economics, operations & project management, public relations & corporate communication or related field

At least 5 years of experience in developing training curricula, workshop agendas, presentations and training exercises.

Strong facilitation and training skills required

Excellent oral and written communication


B. REPORTING TO

SE (Regular) or Sr. HR Manager (on contract)

C. ROLE PURPOSE

To gather resources for training as per training budget and plan


To collect training proposals from SIRD and other training institutes /agencies / trainers

To identify suitable experienced officers and institutions for conducting training sessions on relevant issues.


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To prepare of training schedule as per the approved budget and selected training programmes

To review the post training feedback and recommend improvements in the curricula and methods of imparting training sessions.

To review training module(reading material/PowerPoint presentation /graphical representation) and validate the authenticity of the information before the programme

Monitor training costs for the purpose of ensuring services are provided in compliance with department’s budget objectives and guidelines.

To help the Department officials as well as the stakeholders to improve the Capacity w.r.t. beneficiary share, execution, social, environmental and procurement issues.

42. JD of Training Coordinate Officer (TCO) (on contract)

A. QUALIFICATIONS

Post-graduation degree in management, human resources, economics, operations & project management, public relations & corporate communication or related field

At least 2 years of experience in conducting and managing training exercises, workshop and presentations

Strong facilitation and training skills required

Excellent oral and written communication skills


B. REPORTING TO

Training Manager

C. ROLE PURPOSE

To prepare Training Calendar and execute training plan as approved


He will also interact with SIRD and other training institutes /agencies / trainers for training proposals and report to TM

To prepare invitation letters with terms & conditions for the Officers who have been identified for training,

To get logistic support approved and available for the trainings conducted by the division.

To prepare training calendar as per the approved budget and selected training programmes considering availability of the resources and participants

To ensure that the post training feedback forms are filled and entered into the records.

To make suitable arrangements required for training programme i.e. printing of reading material/projecting the PowerPoint presentation /displaying of graphical representation and necessary stationery before the programme

Respond to inquiries for the purpose of resolving problems and address to specific training requests from the staff.

ENVIRONMENTAL UNIT

43. JD of EE, Environment State level

A. QUALIFICATIONS

Education and experience as specified in the Service Rules of the organization for Executive


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Engineers

B. REPORTING TO

HOD

C. ROLE PURPOSE

Overall in-charge of Environmental unit


• He will do Environmental assessment and appraisal of RWSS schemes

• He will do obtaining approvals from other departments

• He will do monitoring activities of Environmental staff of the department

• He will do Environmental monitoring of the completed RWSS schemes/ auditing of 15% of completed Category I RWSS schemes, Category II water supply schemes and Category II sewerage schemes

• He will do water and wastewater quality monitoring of the completed RWSS schemes

• Organize state/ circle level training programs

•To ensure that relevant environmental issues have been identified as per Designed Environmental Management Framework and appropriate mitigation measures have been designed and their costs are integrated in Detailed Scheme Report of Water Supply & Sanitation Schemes and implemented (including construction stage).

• Supervision, monitoring and evaluation of water quality and environmental indicators are conducted as part of the overall project monitoring programme.

• IEC activities are undertaken for awareness and sensitization regarding personal and public hygiene, environmental sanitation, and water conservation, as an integrated component of project IEC activities.

• The environmental issues taken care of will improve the health of the community

44. JD of Sr. Environment Specialist (on contract) State level

A. QUALIFICATIONS

Post Graduate in Environment Engineering or Environmental Science or Graduate in Civil Engineering or Chemical Engineering with about 10 years experience

Experience in water supply and sanitation sector and in Training & Capacity Building activities will be of advantage,

Experience in the preparation of Power point presentation and use of MS Excel is essential).


B. REPORTING TO

Executive Engineer Environment

C. ROLE PURPOSE

To prepare Training Calendar and execute training plan for Environmental sector


• Assist EE in Environmental assessment and appraisal of RWSS schemes state level

• Assist EE in obtaining approvals from other departments

• Assist EE in monitoring activities of Environmental staff of the department

• Assists EE in Environmental monitoring of the completed RWSS schemes/ auditing of 15% of completed Category I RWSS schemes, Category II water supply schemes and Category II sewerage schemes

• Assist EE in water and wastewater quality monitoring of the completed RWSS schemes

• Organize state/ circle level training programs


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45. JD of Environment Specialist (on contract) Zone level / circle level

A. QUALIFICATIONS

Post Graduate in Environment Engineering or Environmental Science or Graduate in Civil Engineering or Chemical Engineering with about 8 years experience

Experience in water supply and sanitation sector and in Training & Capacity Building activities will be of advantage,

Experience in the preparation of Power point presentation and use of MS Excel is essential).

Must have sufficient knowledge of Punjabi language. (At least Matriculation passed with Punjabi)

B. REPORTING TO

Executive Engineer Environment

Division level

C. ROLE PURPOSE



• Assist EE in Environmental assessment and appraisal of RWSS schemes zone level





• Organize Circle / Division level training programs

46. JD of SDE Environment on contract

A. QUALIFICATIONS

Graduate in civil engineering and must have experience of 5 years working with water supply and sanitation field

B. REPORTING TO

Executive Engineer

C. ROLE PURPOSE



• Assist EE in Environmental assessment and appraisal of RWSS schemes zone level





• Organize division / block level training programs

47. JD of JE/AE Environment on contract

A. QUALIFICATIONS

3 year diploma in civil engineering and must have experience of 5 years working with water supply and


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sanitation field

B. REPORTING TO

Executive Engineer

C. ROLE PURPOSE

Will execute Training Calendar and execute training plan for Environmental sector


• Assist EE in Environmental assessment and appraisal of RWSS schemes block level




• Organize village level training programs

SOCIAL & IEC UNIT

48. JD of Chief Social Development Officer (CSDO) (on contract)

A. QUALIFICATIONS

Post Graduation in Social/Behavioural Sciences (Sociology, Social Work, Political Science , Psychology, etc. )

At least 15 years of progressively responsible work experience in the design, planning and management of strategic communication programmes.

Proven ability to work with range of task teams across multiple sectors.

Strong oral and written presentation skills, creativity and problem-solving skills. Outstanding interpersonal skills and demonstrated ability to work in multi-disciplinary teams and multicultural environments


B. REPORTING TO

HOD

C. ROLE PURPOSE

Monitor, prepare traning calenders for capacity building with respect to social, gender, equity , inclusion, IEC/HRD activities and ensure their implementation


• Formulate strategies for effective Capacity Building and social development issues, training programmes at strategic, intermediary, block and grass-root level, trigger communication for targeted stakeholders, draw out activities for producing effective and result oriented programmes.

• Address social development issues during all stages-identification, preparation, appraisal and supervision.

• Develop and guide implementation of social mobilization, communication, community participation and village level capacity building activities so that the social issues i.e. inclusion, equity participation ,transparency, gender main streaming is ensured.

• Implement State Level IEC activities

• Human Resource Development activities

• Develop and implement strategies for gender mainstreaming

• Develop and advise mechanisms for inclusion of women, scheduled castes and poor in decision making and other activities of the GPWSC


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• Arrange for capacity building of Circles, Divisions, Sub Divisions on participatory techniques

• Formulate policies for effective social development strategies which will convey the message of safe water and sanitation to the community

• Provide policy and operational guidance on social development issues to strengthen the performance of the sector as a whole

• Address social development issues during all stages- identification, preparation, appraisal, and supervision.

• Design framework for social impact monitoring and evaluation of outcomes.

• Make recommendations and plans to enhance social benefits

49. JD of Social Development Manager (SDM) (on contract)

A. QUALIFICATIONS

Post graduate or advanced degree in Social/Behavioural Sciences (Sociology, Social Work, Political Science , Psychology, Health, Education etc. ) or

At least 10 years experience in areas such as social development/social policy, socio-economic or specific issues such as health, education, gender, poverty etc.

Work experience in strategic planning for behaviour development/ social mobilization/advocacy / participatory development


B. REPORTING TO

Chief Social Development Officer

C. ROLE PURPOSE

To oversee that the social management targets with respect to the project responsibilities may be met


• Assist the CSDO in formulating the social development strategy

• To assist Monitoring and evaluation activities on the basis of applied communication research and frequent visits to project sites.

• Organizes/manages the development, pre-testing and production of culturally relevant communication materials to ensure effective and efficient programme delivery, including facilitating behaviour change, where necessary.

• Ensure implementation of social development activities within the pre-specified budget.

• Ensure consistency in standard of social work and related activities

• Should work to ensure inclusion, equity participation ,transparency, gender main streaming issues are implemented in true spirit of the project for better service delivery to the community

50. JD of Gender Specialist (on contract)

A. QUALIFICATIONS

A postgraduate qualification in Social Work and or development studies or a related field.

Minimum 10 years of work experience.

Strong understanding and in-depth knowledge of gender issues and experience in integrating these into programme practice.

Experience of working on the issues of gender and social exclusion, power and rights.

In-depth knowledge of international instruments on gender and development

Awareness on gender programmes at national and sub-national level of donors, government and civil society.


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Well-developed analytical and planning skills

Proven ability to design and manage programme evaluations

Excellent communication, facilitation and representation skills

Excellent research and documentation skills

Ability to work autonomously within agreed framework

Some experience in providing advisory support to both senior managers and programme staff and good ability to facilitate learning and knowledge management


B. REPORTING TO

CSDO

C. ROLE PURPOSE

The specialist will be responsible for analysis of gender issues in all phases of the project cycle and develop systems, processes and mechanisms


• Conduct secondary literature review on the existing gender impact, gaps and opportunities under the rural water supply programme

• Design field inquiry process, travel to the field areas and conduct the study

• Develop a result framework with project matrix containing with goals, result areas, outcomes, outputs, activities, deliverables and means of verification

• Develop a gender framework for inclusion of women in the rural water supply programme which has monitoring and evaluation indicators as well as systems to track gender outcomes

• Respond to ongoing information and reporting needs of the project

• Design and implement capacity building programmes for all project staff on gender and inclusion for succesful solving the social issues.

• Produce quality reports and incorporate feedback

51. JD of IEC - State Level Coordinator (on contract)

A. QUALIFICATIONS

Post graduate degree in social work, communications, journalism, public relations or related field

At least 10 years experience of working in social sector at district or community level



B. REPORTING TO


C. ROLE PURPOSE

Review and finalize the Department’s communication strategy and work plan


Collate the plans of different units-social development, capacity building and IEC and develop a work plan for community coordinators.

Develop short-term and long-term plans and budgets for all IEC activities

Ensuring effective measurement of impact of all activities in the pre-designed frameworks.

Suggest and implement measures for improvement in quality of achievements.

Develop Monitoring and Evaluation indicators for periodic assessment of performance

To inform educate and communicate the project information to the community will capacitate the


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community to takefull responsibility for sustainability

52. JD of IEC - Internal Communication (on contract)

A. QUALIFICATIONS

Post graduate degree in social sciences work, communications, journalism, public relations or related field




B. REPORTING TO

State Level IEC Coordinator

C. ROLE PURPOSE

Implementation of district and village level IEC campaigns


• Assist the state level IEC specialist in designing IEC tools and materials

• Guide GPWSC, Support Organizations/village Support Teams in organizing IEC activities

• Collate the plans of different units-social development, capacity building and IEC and develop a work plan for community coordinators.

• Develop short-term and long-term plans and budgets for all IEC activities

• Ensuring effective measurement of impact of all activities in the pre-designed frameworks.

• Implement measures for improvement in quality of achievements.

• Monitoring of activities carried out by IEC Messaging and Content Generations

• IEC Internal Communicator must be able to deliver the right messages of CSDO and higher authorities to the community so that the activities performed by him must result into better services delivery to the public

53. JD of IEC - ICT and digital media (on contract)

A. QUALIFICATIONS

Post graduate degree in social sciences work, Mass communications, journalism, public relations or related field

Relevant expereince in ICT and Digital media


B. REPORTING TO


C. ROLE PURPOSE

Provide inputs in the IEC strategy in context of ICT and Digital media platforms

Oversee implementation of IEC strategy and action items related with Digital Media


• Coordinate all digital media related inputs in the communication plan


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54. JD of IEC Messaging and Content Generation (on contract)

A. QUALIFICATIONS

Post graduate degree in social sciences work, Mass communications, journalism, public relations or related field




B. REPORTING TO


C. ROLE PURPOSE

Implementation of IEC Messaging & Content Generation activities at district and village level


• Assist the state level IEC specialist in designing IEC tools and materials

• Guide GPWSC, Support Organizations/village Support Teams in organizing IEC activities

• Collate the plans of different units-social development, capacity building and IEC and develop a work plan for community coordinators.

• Develop short-term and long-term plans and budgets for all IEC activities

• Ensuring effective measurement of impact of all activities in the pre-designed frameworks.

• Implement measures for improvement in quality of achievements.

• Monitoring of activities carried out by IEC Messaging and Content Generations

• IEC Messaging & Content Generator must be able to deliver the right messages of CSDO and higher authorities to the community so that the activities performed by him must result into better services delivery to the public

55. JD of Capacity Building Manager (on contract)

A. QUALIFICATIONS

Post graduate degree in public health, public policy, political science, public administration, communication or a related technical degree.

At least 10 years’ experience in designing and implementing capacity building activities preferably in rural water and sanitation sector

Experience in designing training curricula and training needs assessment

Excellent written and oral communication skills


B. REPORTING TO


C. ROLE PURPOSE

Identify, plan and execute the capacity building activities for staff, GPWSCs and contractors


• Determine capacity building needs of staff, community, GPWSCs and contractors at all levels of implementation.

• Design the framework for execution of the capacity building programme

• Identify and develop appropriate training material for target group.


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• Develop plan and budgets for conducting capacity building activities and ensure adherence to the plans.

• Ensure appropriate training for the trainers to maintain consistency in standard of activities.

• Suggest and implement measures for improvement in quality of achievements.

• Develop Monitoring and Evaluation indicators for periodic assessment of performance

Division level

56. JD of Community Development Specialist (CDS) (on contract )divisional level

A. QUALIFICATIONS

Post graduate or advanced degree in Social/Behavioural Sciences (Sociology, Anthropology, Social Work, Political Science , Psychology, Health, Education etc. ) or




B. REPORTING TO

Executive Engineer, Field Division and SDM at HOD level

C. ROLE PURPOSE

To capacitate the field Engineers along with community people for various activities to be performed in the field.


• Assist the EE and formulate the social/ IEC/ capacity building strategy



• Ensure implementation of social/ IEC/ capacity building activities within the pre-specified budget.

• Ensure consistency in standard of social/ IEC/ capacity building strategy related activities.

• Should work to ensure inclusion, equity participation ,transparency, gender main streaming issues are implemented in true spirit of the project for better service delivery to the community as required by World Bank Guidelines.

57. JD of IEC Specialist (on contract) divisional level

A. QUALIFICATIONS

Post graduate or advanced degree in Social/Behavioural Sciences (Sociology, Anthropology, Social Work, Political Science , Psychology, Health, Education etc. ) or





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B. REPORTING TO

Executive Engineer, Field Division and IEC Manager at HOD level

C. ROLE PURPOSE



• Assist the EE and formulate the social/ IEC/ capacity building strategy






Block Level

58. JD of Community Facilitators/ BRC (on contract)

A. QUALIFICATIONS

Bachelor's degree in social or human sciences.


B. REPORTING TO

Executive Engineer

C. ROLE PURPOSE

To execute community level IEC activities


• Provides a continuous support of facilitation from exploration of aspirations, to achievement of goals, and the transition to unpaid supports.

• Practices according to the vision, values and practice of Interaction

• Establishes and maintains effective relationships with the person, including family and residential services

• Establishes and maintains effective relationships with unpaid supports and community contacts, including employers and activity coordinators

• Community facilitator must be able to deliver the right message formulated in the World Bank guidelines and communicate to the community so that the activities performed by him must result into better services delivery.

• He will also be responsible to build capacity, educate and communicate the ODF message to the community so that maximum number of village are ODF.

• He will work at grass root level and report to SDE/ EE.


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SANITATION UNIT

State Level

59. JD of SE (Regular)

A. QUALIFICATIONS



B. REPORTING TO

HOD

C. ROLE PURPOSE

Overall in charge of the State Level Sanitation Unit


• Facilitate the project management in implementing the ODF program through district, block and village level organizations, Play a mentoring role and provide guidance to the district teams on preparation of sanitation strategy and the GP-level implementation in line with the overall goal of 100% toilet usage at collective level. For selected initiatives, especially new approaches and innovations, the SSU can develop models for piloting and approaches for scaling up the activity at district and state levels;

• To assist develop strategy and operational guidelines to facilitate districts, blocks and GPs in project implementation. Periodic monitoring will be undertaken in districts to ensure quality implementation of activities prescribed under the ODF program and to suggest remedial measures if required;

• Train master trainers and resource persons at state level who can be made available to support districts in building capacity to implement a participatory approach to rural sanitation;

• He will develop for behavior change communication (BCC) material to identify the broad messages to be communicated for different target audiences.

• He will assist to specify and disseminate principles for engaging support organization/individual experts at district level as a part of the district water and sanitation cell;

• Develop guidelines for safe technology options for household sanitation at state level;

• To assist in monitoring results including behavior change and achievement of ODF status of villages and Gram Panchayats;

• To support in develop guidelines for a state-wide competition among GP, block and district to be recognized as the cleanest and modality for implementation;

• To support in develop case studies of successful implementation experiences and innovations for cross-learning.


60. JD of Capacity Development Specialist (CDS) (on contract )divisional level

A. QUALIFICATIONS

Post graduate or advanced degree in Social/Behavioural Sciences (Sociology, Social Work, Political Science , Psychology etc. ) or


Work experience in strategic planning for behaviour development/ social mobilization/advocacy /


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participatory development


B. REPORTING TO

SE (S)

C. ROLE PURPOSE



• Assist the SE and formulate the social/ IEC/ capacity building strategy for sanitation






61. JD of IEC Specialist (on contract) divisional level

A. QUALIFICATIONS

Post graduate or advanced degree in Social/Behavioural Sciences (Sociology, Social Work, Political Science , Psychology etc. ) or




B. REPORTING TO

SE (S)

C. ROLE PURPOSE



• Assist the SE and formulate the social/ IEC/ capacity building strategy for sanitation work





• Should work to ensure inclusion, equity participation ,transparency, gender main streaming issues are


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implemented in true spirit of the project for better service delivery to the community as required by World Bank Guidelines.

62. JD of M & E on contract

A. QUALIFICATIONS

Masters Degree in Social Sciences such as Economics, Statistics, Urban and Regional Development, Project Management, Business/Public Administration, Civil Engineering or relevant fields. An advanced degree in one of the above fields is desirable.

Experience:

At least 10 years of progressively responsible experience in monitoring evaluation, and research in the public or private sector, preferably related to urban development. Demonstrated experience in project planning, monitoring and evaluation in a donor funded project is highly desirable.

B. REPORTING TO

SE (S)

C. ROLE PURPOSE

Establishing and managing a robust monitoring, research and evaluation system with well-defined results, milestones and targets for the implementation of projects


Establishing and managing a performance monitoring framework with clear-cut goals, outcomes, outputs, inputs, processes, indicators, data needs and sources, and reporting formats and frequency, for effective monitoring, reporting and updating progress of donor-funded programs and projects in different sectors;

Developing a comprehensive baseline of infrastructure provisions, basic services and socioeconomic conditions in the target areas and collecting periodic data and information against the baseline to assess and report on the overall development of these areas. Baseline data will be collected through survey and review of existing information;

Work closely with MIS Specialist in developing MIS for MSDP with performance indicators and targets embedded in the system for implementation and tracking;

Assisting management and Sector Specialists in developing program, project and sector-wise work plans and overall monitoring framework;

Coordinating closely with the partner town administrations for data planning, identification of data sources, and collection of data for monitoring purposes;

Preparing periodic progress reports on MSDP and related projects with the support of Sector Specialists and in close coordination with the town administrations;

Monitoring and following up progress on various proposals, meetings, reports, working papers etc. with concerned authorities;

Identifying key issues, lessons learned and best practices in projects and organize research and documentation; and

Organizing and conducting mid-term and post-project evaluations of MSDP and related projects in the target areas.

63. JD of Solid & Liquid waste management Specialist

A. QUALIFICATIONS

Bachelor degree in environmental, civil, or public health engineering, urban planning or related qualifications.


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Experience:

At least 10 years experience in managing municipal services development especially in water, sanitation and solid waste management sectors the public or private sector. Experience of working with community organizations, government officials and donor funded projects is highly desirable.

B. REPORTING TO

SE (S)

C. ROLE PURPOSE

Supporting Project Director in implementing activities related to provision of municipal services in water, sanitation and solid waste management sectors.


Designing and developing water, sanitation and solid waste management projects in the project area consistent with the national and provincial policies & strategies;

Develop, and maintain a comprehensive record of water, sanitation and solid waste management projects according to the requirements of government and donor;

Ensure use of consistent criteria for technology selection, design standards, and costing standards for water, sanitation and solid waste management projects;

Act as technical resource person for project staff , TMAs and LG&RDD on all water, sanitation and solid waste management issues;

Review the work, records, and reports of engineers and technical staff for water quality testing, and other technical services hired to perform work under the project;

Assisting other department staff to prepare manuals, reports, brochures and other related documents;

Forming partnerships with other relevant organizations and entities both within and outside of the country;

Preparation of TORs for relevant studies/surveys and supervision of the work of consultants; and

Any other task assigned by the Project Director

District Level

64. JD of District Sanitation Officer Nodal (Regular)

A. QUALIFICATIONS

Additional Charge to 1 Executive Engineer at distrcit level

B. REPORTING TO

C. ROLE PURPOSE

Overall responsibility for sanitation initiatives in the district


Overall responsibility for sanitation initiatives in the district

65. JD of Sanitation Specialist (on contract)

A. QUALIFICATIONS

Degree in Civil Engineering


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Experience of at least 5 years working in sanitation field

Experience in dealing with sensitive topics and an appreciation for how these issues are dealt with in different cultural contexts

Training in gender issues would be an asset

Experience in cross-cultural settings would be an asset

Experience in the field in the international development/humanitarian sector

Access to a resource library with guidelines and tools from the NGO sector, to a career development centre, and to advice from experienced humanitarian workers

A member forum to share and learn from experiences of other participants

Must have sufficient knowledge of Punjabi language. (At least Matriculation passed with Punjabi language

B. REPORTING TO

EE Sanitation ( Nodal)

C. ROLE PURPOSE

The position holder ensures that water, sanitation, and hygiene project, programs, and awareness are implemented effectively, professionally, and in accordance with the culture and practices of the local population.


• Representing the organization externally

• Collaborating and coordinating with the government, NGOs, and UN agencies on WASH issues at district level with your supervisor

• Participating in district and provincial level meetings and other relevant humanitarian/recovery coordination meetings

• Ensuring that all relevant stakeholders have information about the organization’s background, program, objectives, working areas, duration of programs and activities in the field

• Promoting and reinforcing relationships with district and provincial technical authorities

• Ensuring correct MOUs are in place with relevant district/province stakeholders

• Ensuring that each and every household is fullfilling the ODF criteria

( The existing IEC/HRD, SDE and JE will work as sanitation specialist )

Block Level

66. JD of Team leader

A. QUALIFICATIONS

Bechelor's degree in Business, Supply Chain Operations, Food Science, Engineering or related field required.

3 years of supervisory experience in a food-processing, pharmaceutical or chemical manufacturing organization, preferably using computerized manufacturing equipment.

B. REPORTING TO

Executive Engineer Nodal officer

C. ROLE PURPOSE

Monitor & Work with community mobilizers


• Supervises a unit responsible for monitoring and ensuring proper sanitation throughout the facility.

• Recommends improvements in manufacturing methods and sanitation practices to management.

• Coordinates plant sanitation procedures and regulatory requirements to ensure all plant equipment is clean


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and safe for production. Ensures compliance with all standard operating procedures

• Mentors and motivates associates, providing training and development to optimize their performance and personal growth. Communicates performance standards to associates, recognizing and rewarding individual and team accomplishments and counseling performance problems.

• Tailors and documents plant procedures related to approved cleaning chemicals and cleaning schedules in cooperation with plant associates and cleaning suppliers

• Monitors rodent and insect control program, including periodically checking weekly rodent reports and traps.

• Monitors microbiological reports from the plant and becomes familiar with Micro procedures to determine whether cleaning procedures are being followed.

• Participates in regular meetings with plant management to discuss quality and sanitation improvements. Maintains knowledge of Sanitation Program and Operation to assist management in problem resolution. Assists in establishing goals and timetables to meet project guidelines.

67. JD of Community mobilizers

A. QUALIFICATIONS

• Bachelor's degree in social or human sciences.

• Must have sufficient knowledge of Punjabi language. (At least Matriculation passed with Punjabi language)

B. REPORTING TO

Executive Engineer Nodal & Team leader

C. ROLE PURPOSE

To execute community level IEC activities for sanitation


• Provides a continuous support of facilitation from exploration of aspirations, to achievement of goals, and the transition to unpaid supports.

• Practices according to the vision, values and practice of Interaction

• Establishes and maintains effective relationships with the person, including family and residential services

• Establishes and maintains effective relationships with unpaid supports and community contacts, including employers and activity coordinators

• Community facilitator must be able to deliver the right message formulated in the World Bank guidelines and communicate to the community so that the activities performed by him must result into better services delivery.

• He will also be responsible to build capacity, educate and communicate the ODF message to the community so that maximum number of village are ODF.

• He will work at grass root level and report to SDE/ EE.

OPERATIONAL STAFF

68. JD of Chief Engineer (Regular)

A. QUALIFICATIONS

• Education and experience as specified in the Service Rules of the organization for Chief Engineers

B. REPORTING TO


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Principal Secretary, DWSS; however coordination role to be performed by HOD

C. ROLE PURPOSE

To take care of technical as well as administrative aspects in the respective zones


• To act as administrative head of the territory in his charge and ensure efficient functioning of his branch.

• To undertake all the administrative and management functions required for efficient functioning.

• To develop service level benchmarks for their zones after evaluating the benchmarks achieved in their zone as well as keeping in mind the policy targets.

• To assess and approve the capital investment requirements submitted by SEs in their zone.

• To oversee and evaluate the outcomes of all the activities undertaken by DWSS staff in his territory.

• To act as a functional/technical adviser of the HOD in all matters relating to his charge.

• To exercise concurrent control with the Finance Officer over the duties of officers in department in the department (only for assistance and advice in matters relating to accounts and finance).

• To prepare annual budget estimates relating to works under his control and after the close of the year should give a report of the progress made during the period on public works under his charge giving a clear and brief account of the operations of the department to the HOD and the CF&AO.

• To coordinate with the SEs in his territory and plan works and activities to be undertaken as estimated in the annual budget and ensure fulfillment of targets fixed as per work programme

• To ensure proper utilization of funds allocated, reconcile and unutilized funds report is submitted to HOD and the CF&AO.

• To identify training and skill requirements for the staff based on his understanding of the sector challenges.

69. JD of Superintending Engineer (Regular)

A. QUALIFICATIONS


B. REPORTING TO

Chief Engineer of the zone

C. ROLE PURPOSE

To manage day-to-day technical as well as administration of circle


• To exercise administrative and technical/function control on department’s officers in that circle

• To assess skills and foresee the training requirements for engineers and community mobilisers under his administrative circle.

• To get approvals for conducting specific trainings for capacity building for engineers in their circle.

• To assess the feasibility of investment requirements submitted in their circle and get approval for them from the Chief Engineer of their zone.

• To oversee the functions being carried out by each EE in his circle

• To ensure transparency in all procurement and financial related aspects

• To address and resolve complaints and conflicts in implementation at the circle level

• To ensure coordination of various functions undertaken by the staff across the circle

• To check every work that is to be approved in terms of any report, design estimate or other document before submitting it to the CE.

• To supervising local fund expenditure in communication with civil officers.

• To report any important design, serious accident or threatened danger in relation to the works within his charge.


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• To correspond directly with any local authorities, civil or military in his circle.

• To undergo communication skills training focused to develop them for community mobilization activities if necessary.

• To monitor the progress of works regularly and stick to the targets fixed

70. JD of Executive Engineer (Regular)

A. QUALIFICATIONS


B. REPORTING TO

Superintending Engineer

C. ROLE PURPOSE

Overall in-charge of operations as well as community mobilization of the territory


• To take responsibility for and manage all activities to be undertaken by DWSS in his division.

• Monitor the outputs recorded in their division and identify issues which lead to any deviations from set targets.

• To ensure achievement of service delivery benchmarks by regular monitoring of outputs.

• To assess the investment requirements submitted by the SDEs under him and prepare a funding plan for them.

• Present the investment plan to SE/CEs and get approvals for the plans.

• Evaluate and maintain the asset register for their division and identify any fund requirements which may be necessary for repair, replacement or procurement of any asset.

• To co-ordinate day to day management of all the units and staff of his division.

• To monitor the progress to village level activities in accordance to scheme cycle and district plan.

• To engage with the community as the representative of the DWSS and build confidence of the community in DWSS.

• To preserve all buildings and works in his division and to prevent encroachment on government lands in his charge.

• To promptly report to CE and SE regarding any fatal or non-fatal accident or mishap or damage to any asset and timely submit Incident/Accident Report

• To ensure effective project management under his charge including preparation of projects, designs and estimates for new works and repairs.

• To supervise and ensure quality and safety during job execution

• To comply with standards operating procedures while commencing construction of any work, expending public funds and permitting any material deviations from sanctioned design in course of execution.

• To close accounts and prepare job completion report if required by the rules.

• To maintain and submit accounts to the audit office under the rules for the time in force with the assistance of the Divisional Accounts Officer

71. JD of SDE (Regular)

A. QUALIFICATIONS

Education as specified in the Service Rules of the organization for Sub-divisional Engineers

B. REPORTING TO

Executive Engineer


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C. ROLE PURPOSE

Responsible to the Executive Engineer for the design, operations, management and execution of works as per PWD specification within their sub-divisions


• To coordinate and manage all water supply and sewerage schemes under their charge.

• To examine the investment requirements submitted by the JE and prepare a plan for funding feasible investments.

• To submit the funding requirements to the respective EE of their division.

• To conduct regular checks on the works done in their blocks to ensure adherence to annual plans.

• To identify any issues which may cause deviations from set standards and take measures to resolve them.

• To monitor the work done by JEs in their block to ensure effective service delivery for both water supply and sewerage to villages.

• To develop a progress report which shows number of villages and their service levels, operational issues, cost recovery etc. for all the villages in his block.

• To propose various water sub components for each year to improve them all over a five year period to 12 hour / 24x7 water supply with near 100% connections with full cost recovery.

• To undertake design, operations, management and execution of works within their sub-divisions

• To ensure that design parameters, technical standards etc. are followed by the Junior Engineers

• To keep the technical manual updated and available for ready reference.

• To co-ordinate with Social and Capacity Development Unit for the capacity building activities on technical aspects.

• To assist the GPWSCs in getting technical support through Junior Engineers or through technical services providers.

• To certify completion of technical milestones at village level.

• To undertake empanelment of district level environmental experts and implementation of environment management framework.

• To assist the Executive Engineer in procurement of works, goods, services and IEC activities.

• To guide the GPWSCs in community procurement activities including procurement of works.

• To guide the GPWSCs in operation and maintenance of schemes including implementation of PPP contracts

72. JD of JE (Regular)

A. QUALIFICATIONS

Education as specified in the Service Rules of the organization for Junior Engineers

B. REPORTING TO

Sub Divisional Engineer and Executive Engineer

C. ROLE PURPOSE

Overall in-charge of 20 villages allotted. JE would coordinate with the community co-ordinators who would be attached to the office of the Executive Engineer/Sub divisional Engineers.


• Primarily responsible for improved service delivery in their villages under their supervision as per guidelines.

• Interact with the community on a regular basis to reinforce the customer centric approach of DWSS.

• Maintain continuous check on meetings conducted by GPWSCs and the issues discussed in them

• To ensure demand driven development of villages, identify the key areas requiring investment and


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communicate them to SDE in charge of their block.

• Ensure regular maintenance of asset register at village level.

• Record the outcomes achieved against the annual targets set for the village and identify detriments in meeting targets.

• Responsible for undertaking the design, operations, management and execution of works as directed by the SDE

• Monitor power and water supply in the region on regular basis to identify any lapses in service provision.

• To prepare a progress report in coordination with the SDE, which shows number of villages and their service levels, operational issues, cost recovery etc. for all the villages under his purview.

• To identify the indicators and their outputs for various water sub components for each year to improve them all over a five year period to 12 hour / 24x7 water supply with near 100% connections with full cost recovery.

• To record the outputs against various performance indicators to showcase achievement of service level benchmarks among the villages under his purview.

• Guiding the GPWSC’s on design parameters, technical standards etc.

• Periodically updating and circulating technical manual.

• Co-ordinate with SDE and EE to arrange for the capacity building activities on technical aspects.

• Assist the GPWSCs in getting technical support with support from SDE.

• Certifying completion of technical milestones at village level.

• Empanelment of district level environmental experts and implementation of environment management framework.


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6.2 Model Contract Letter for Contract Employees

HEAD OFFICE

D e p a r t m e n t o f W a t e r S u p p l y & S a n i t a t i o n

<Address and Telephone>

Website: www.pbdwss.gov.in, e-mail: < email>

By Email

Only

No. Folio no./…………….. Date:

To

<< Name and address in full of the contractual staff >>

Subject: Contractual employment as <<Name of Position>> in <<Location of

Appointment>>

Reference: Interview held on dated << Date >> in << Location of Interview >>

On accepting the offer of appointment by you, DWSS (Department of Water Supply &

Sanitation) is pleased to appoint you as << Name of Position >> on contract assignment for the

World Bank Aided Punjab Rural Water Supply & Sanitation Sector Improvement Project for a

period up to <<Contract End Date>> on the following terms and conditions:-

1. You will join DWSS not later than <<Date of Joining>> at <<Location of Appointment>>.

2. Your services will be for a period of <<2>> year from your date of joining Your services

would get automatically be terminated without any notice at the completion of your contract

period which is <<Contract End Date>>. Services can be extended for particular time

subject to performance review.

3. You will be paid a fixed salary of << Salary in numbers and Words >> per month for your

first year of service and you will not be entitled any other monetary benefit/concession

except the aforesaid consolidated remuneration.

4. Your salary will be reviewed by the competent authority of DWSS and may be increased in

the second year of your service and extended period (as applicable) based on your annual

performance review. Any such revision, if so decided by the competent authority shall be

formally communicated to you through a letter.

5. You will be expected to carry out all such duties as may be assigned by DWSS some of

them are listed below:

<< Indicative Job Description >> and

<< Indicative Roles and Responsibilities >>

6. Your assignment is purely on contract basis for the specified period and it will not bestow

upon you the right for regularization or any other employment in the DWSS.

7. You will have to serve DWSS for a minimum period of << 1 years >> from the date of your

joining for which 10% of your fixed salary would be deducted for one year and the same will

http://www.pbdwss.gov.in/


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be released after completion of period, if you leave the service before completion of period

by giving one month notice, otherwise the deducted money would be forfeited by DWSS.

8. If at any time you are found non-performer or your work & conduct is not found satisfactory

or guilty of fraud, disobedience, disorderly behavior, negligence, indiscipline or any other

conduct considered by the DWSS to be deterrent to its interest or of violation of one or more

terms of this offer, your services may be terminated without notice and on account of reason

of any such of the acts or omission, the DWSS shall be entitled to recover the damages from

you.

9. You will be required to comply with all such rules and regulations as the DWSS may adopt

or frame from time to time.

10. You will not be entitled to any pension or gratuity nor allowed to subscribe to the GP fund.

11. No TA/DA will be paid to you for undertaking journey to join the duty.

12. All gazetted holidays declared by Punjab Government will normally be observed as holidays

but in case work demands you may be called to attend urgent official work.

13. You will also be entitled to 10 days casual leave in a year on proportionate basis.

14. In case you remain absent without sanction of leave for 4 days consecutively, it will be

deemed that you have left the service and you will be liable to make payment of one month

salary considering, as if you left the job without giving any advance notice and your

deducted money will also be forfeited by DWSS.

15. You will have to submit declaration that you have not been dismissed / removed from

service of Government Department or any public undertaking and not convicted by any court

of law.

16. If any declaration given or information furnished by you in the application form or joining

report or later-on turns out to be false or any material information is suppressed, the contract

would be liable to be terminated without any notice and without prejudice to take such other

action against you as deemed necessary.

17. All disputes between you and DWSS on the terms & conditions of the contractual offer or

any claim, liability in relation to or arising out of this offer shall be referred to the sole

arbitrations of the Administrative Secretary, DWSS or his nominee acting as such at the time

of reference whose decision shall be final and binding on both the parties.

For Department of Water Supply & Sanitation (DWSS)

Name of the Designated Authority


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6.3 Capacity Building Plan

Sl No Name of the Programme

Category (TOT/ Direct)

Target Group Respon-sibility

Duration in Days

Total No of Partici-pants

No. of Progr-ammes

Trainee per Program

Resource/ Inst Support material req

Total Cost of Support Material

Tool Kit

Faculty

Others Cost of One Program

Total Costs

STRATEGY AND POLICY LEVEL

1 Programme Appreciation

Direct Policy makers/ Administration/ Media

DWSS/RD Secy

1 100 2 50

Management Support

Consultant/Support

Organisation

Concept Papers on SWAp, Excerpts

from Project Implementation Plan,

Project Appraisal Document

2,500 0 0 25,000 27,500 55,000

2 Project Concept & Principles

Direct Head Office / Division / CE / SE / EE

Head Office

2 200 8 25

Management Support

Consultants from Other

States

Concept Papers on SWAp, Excerpts

from Project Implementation Plan,

Project Appraisal Document

2,500 0 30,00

0 25,000 57,500 460,000

3 Vision Building Direct Head Office / Division / CE / SE / EE

Management Support Consultants

2 200 8 25

Change Management

Experts/Infosys Leadership

Training Institute

Concept Papers, Modules from

Experts 5,000 0

30,000

50,000 85,000 680,000

4

Conflict Management & Leadership Development

Direct Head Office / Division / CE / SE / EE

Management Support Consultants

1 200 8 25

Change Management

Experts/Infosys Leadership

Training Institute

Concept Papers, Modules from

Experts 5,000 0

30,000

25,000 60,000 480,000

5 IEC Operationalisation

Direct

Head Office / Division / CE / SE / EE / SDE / GPWSC

Head Office

1 200 8 25 IEC Specialist

Guidelines for IEC Materials

dissemination, Methods, Etc

1,250 0 8,000 10,000 19,250 154,000

6 Community Sanitation Management

Direct


Head Office

1 200 8 25 External

Resource Person

Reference Material 1,250 0 8,000 10,000 19,250 154,000

7 O&M Transfer Workshops

Direct


Head Office

1 200 8 25 Head Office O&M Manual 1,250 0 8,000 10,000 19,250 154,000

8 Project Orientation Direct Contractors Head Office

1 60 2 30 Head Office A Detailed Note on

Project 1,500 0 0 12,000 13,500 27,000

9 Sustainability/WSSS Schemes

Direct DWSS Head Office

1 120 2 60 Head Office 6,000 0 15,00

0 15,000 36,000 72,000

10

Server Improvement Deliveries 8-12 Hours

Direct Head Office / Circle/Division

Head Office

1 120 2 60 Head Office 6,000 0 15,00

0 15,000 36,000 72,000

11

Training Programme on benefits of 24x7 metered water


Head Office

1 120 2 60 Head Office 6,000 0 15,00

0 15,000 36,000 72,000


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Duration in Days


No. of Progr-ammes

Trainee per Program



Tool Kit

Faculty


Total Costs

supply

12 Swachh Bharat Mission

Direct Head Office / Circle/ Division

Head Office

1 120 2 60 Head Office 6,000 0 15,00

0 15,000 36,000 72,000

13 Performance Schemes


Head Office

1 120 2 60 Head Office 6,000 0 15,00

0 15,000 36,000 72,000

14

Training Programme for sewerage and other technical options, Training on capacity to understand engineering and operational issues


Head Office

1 120 2 60 Head Office 6,000 0 15,00

0 15,000 36,000 72,000

15 Role of Network and Collaboration


Head Office

1 120 2 60 Head Office 6,000 0 15,00

0 15,000 36,000 72,000

16 Water Management & Conservation


Head Office

1 120 2 60 Head Office 6,000 0 15,00

0 15,000 36,000 72,000

17 Poverty Reduction Strategy with a aim to self sustain less


Head Office

1 120 2 60 Head Office 6,000 0 15,00

0 15,000 36,000 72,000

18 M&E Orientation Direct/TOT

Head Office / Circle/Division / GPWSC

Head Office

2 25 1 25 M&E Specialist Guidelines for M&EI 7,500 0 15,00

0 20,000 42,500 42,500

21 CAD CAM Direct JE/SDE 7 300 300 Individual I Training Inst. 0 0 0 10,000 10,000 3,000,000

22 Computerised Financial Management

Direct GP Secy & JE/SDE

5 500 25 20 Training Inst. Course Material

(Special Software) 6,250 0 0 20,000 26,250 656,250

23

Introduction to Environmental Management in Proposed RWSS project including EMF

44 10

50,000 2,200,000

24

Training on Environment Management Framework

10 10

900,000 9,000,000

7 Procurement training

100 10 10

50,000 500,000

8 Finance and book keeping

100 10 10

50,000 500,000

SUB TOTAL 486 49,260 23,940,750

DISTRICT LEVEL / INTERMEDIARY LEVEL

1 Orientation Programme for DWSC

TOT SE / Division Divisions 2 1,900 76 25 Head Office-

CSDO Note on Project 1,250 0 0 21,000 22,250 1,691,000


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Duration in Days


No. of Progr-ammes

Trainee per Program



Tool Kit

Faculty


Total Costs

2 Awareness Campaigns

TOT ZP/TPs Divisions 2 1,900 76 25 Head Office-

CSDO IEC Material 0 0 0 20,000 20,000 1,520,000

3 Planning Module Direct JE/SDE/Design Consultants

Divisions 5 1,425 57 25 MSC Project Documents 1,250 0 0 20,000 21,250 1,211,250

4 Engineering Aspects

Direct JE/SDE/ Contractor

Divisions 3 750 30 25 Technical Unit Technical Manuals 2,500 0 0 20,000 22,500 675,000

5 Imp Management Direct GPWSC /PMS Divisions 2 125 5 25 Technical Unit Contract Documents 2,500 0 0 15,000 17,500 87,500

6 Imp Management Direct EE/SDE/ Design Consultants

Divisions 1 750 30 25 Technical Unit Contract Documents 2,500 0 0 10,000 12,500 375,000

7 Progress Tracking Workshop

Direct Selected GPWSCs

Divisions 1 40 2 20 Head Office 0 0 0 8,000 8,000 16,000

8 O&M Training Workshops

TOT JEs Divisions 2 60 2 30 Head Office O&M Manual 6,000 0 0 15,000 21,000 42,000

9 O&M Workshops Issues and Action Pland

Direct GPWSC SOS 5 60,000 6,000 10 Technical Training Colleges

0 0 3,000 3,000 6,000 36,000,000

10 Village Technician Training

Direct Community SOS 6 6,000 200 30 Technical Training Colleges

0 200 2,000 4,000 6,200 1,240,000

11 Sustainability Monitoring

TOT JE Divisions 1 800 20 40 Head Office- Environment

Guidelines & Sustainability

Monitoring Sheet 2,000 0 0 2,000 4,000 80,000

12 Management Concepts & Decision Making

Direct GPWSC Divisions 2 3,000 120 25 Head office- 0 0 0 15,000 15,000 1,800,000

13 Management Concepts & Decision Making

Direct ZP/TP/GPWSC Women Members

Divisions 2 500 20 25 Head Office-

CSDO 0 0 0 30,000 30,000 600,000

14 GPWSC Formation TOT SDE/JE

Social and Capacity Development Unit

1 200 8 25 Head office-

CSDO VST Manual 1,250 0 0 5,000 6,250 50,000

15 Water Quality & Surveillance

TOT SDE/JE

Social and Capacity Development Unit

1 200 8 25 Technical Training Colleges

Guidelines 625 0 0 7,500 8,125 65,000

16 SHP-IEC(School Programme)

3 lakes per District (Lumpsum)

0 3,400,000

17 DWSC (Orientation Planning & Implementation)

Direct DWSC Circle Circle/ Divisions 0 800,000

18

DWSC (Interactive Workshop Planning & Implementation)

Direct DWSC Circle 1 Circle /

Divisions 0 400,000

19

Sustainability of Water Supply & Sewerage Schemes

Direct DWSC/Division /PRI/Distt. Admin

Circle / Divisions

1 1,000 20 50 Circle /

Divisions Guidelines 2,500 0

10,000

10,000 22,500 450,000


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Duration in Days


No. of Progr-ammes

Trainee per Program



Tool Kit

Faculty


Total Costs

20

Training Programme on benefits of 24x7 metered water supply


Circle / Divisions

1 1,000 20 50 Circle /

Divisions Guidelines 2,500

10,000

10,000 22,500 450,000

21 Nirmal Bharat Abhian


Circle / Divisions

2 1,000 20 50 Circle /


10,000

10,000 22,500 450,000

22 Performance Schemes


Circle / Divisions

3 1,000 20 50 Circle /


10,000

10,000 22,500 450,000

23

Training Programme for sewerage and other technical options, Training on capacity to understand engineering and operational issues


Circle / Divisions

4 1,000 20 50 Circle /


10,000

10,000 22,500 450,000

24 Role of Network and Collaboration


Circle / Divisions

5 1,000 20 50 Circle /


10,000

10,000 22,500 450,000

25 Water Management & Conservation


Circle / Divisions

6 1,000 20 50 Circle /


10,000

10,000 22,500 450,000

26

Gender Mainstreaming & Empowering Women Decision Makig Process


Circle / Divisions

7 1,000 20 50 Circle /


10,000

10,000 22,500 450,000

27 Poverty Reduction Strategy with a aim to self sustain less


Circle / Divisions

8 1,000 20 50 Circle /


10,000

10,000 22,500 450,000

28 Environmental Awareness and Sensitization

176

50,000 8,800,000

29 Orientation for Water/ wastewater Quality monitoring

176

50,000 8,800,000

SUB TOTAL 7186 9,987 71,702,750


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Sl No At Village Level: Capacity Building Plan for various Project Components

No. of CB programs per village

No. of CB programs to be conducted year wise

VILLAGE LEVEL

2015-16 2016-17 2017-18 2018-19 2019-20 2020-21 TOTAL

1 1A: Strengthening: Upgradation of service delivery 4 140 520 512 348 280 100 1,900

2 1B: Sewerage Schemes with treatment systems 4 0 0 400 400 460 0 1,260

3 2A: Improved access to water through household connections 2 1,538 1,923 1,923 2,308 2,308 0 10,000

4 2B: Operational Improvement for improved Water Supply Service levels 2 400 400 0 0 0 0 800

5 3B: Safe and Treated Water for Water Quality Affected Villages 4 200 360 280 244 0 0 1,084

TOTAL 2,278 3,203 3,115 3,300 3,048 100 15,044

Sl. No

Indicative list of Capacity Building Programs / Trainings at Village Level Indicative cost per training

program

1 Project Awareness 1,000

2 GPWSC Formation 1,000

3 Situation Analysis 2,700

4 Conceptual Plan 500

5 DSR preparation 500

6 Book Keeping & Accounts 1,000

7 Contract Management 500

8 Construction Supervision, Quality Surveillance 500

9 Roles of Scheme Level Committee 5,550

10 Procurement training 2,500

TOTAL 15,750

No. of Training Programs per village per component (except 2A & 2B) 4

Average costs of training Program 4,000

Sl No Other Capacity Building Costs Total Number of

activities Costs per Activity

Percentage of CB activities to be conducted year wise

VILLAGE LEVEL (in INR lakhs)

2015-16 2016-17 2017-18 2018-19 2019-20 2020-21

1 Observation / Study tours 16 10.00 25% 25% 25% 25% 0% 25%

2 Mid term evaluation 1 15.00 0% 0% 100% 0% 0% 0%

3 Travel costs of participants 1 50.00 25% 25% 25% 25% 0% 25%

4 Honorarium to trainer 1500 0.10 25% 25% 25% 25% 0% 25%

5 Misc 1 10.00 25% 25% 25% 25% 0% 25%


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7 Annexure 7

7.1 Procurement Risk Assessment Questionnaire (PRAMs)

PROCUREMENT RISK ASSESSMENT QUESTIONNAIRE

Agency: Department of water supply and sanitation.

Risk Factor 1: Accountability for Procurement Decisions in the Implementing Agency or Agencies

Question 1 Does the agency have a clear system of accountability with clearly defined responsibilities and delegation of authority on who has control of procurement decisions?

Answer: Yes, the dedicated staff has been deployed for procurement either in SPMC or at DPMC or Division level has accountability with clearly defined responsibility as per Codal provisions 2.64 of PWD code. Apart from PWD Code, Manual of Orders and DFR are also referred to for this purpose. GPWSCs also procure the single village infrastructure and intra-village components for MVS, which has been assisted by concerned Divisions having accountability as per codal provisions.

Question 2 Is the decision making process "formalized" and described in the Manual and known to staff?

Answer: Yes. For Project funded works, the implementing unit at each level is empowered to take decision as per World bank Procurement guidelines as well as by constituting Committee already described in Procurement Manual. For works funded from sources other than Project, the implementing unit at each level has to take decision on any issue as per provisions in Codal rules. So, decision making process is formalized and well known to staff. Further, capacity of Divisional staff of Department has been strengthened by imparting procurement trainings and all procurement issues have been cleared either during training sessions or during World Bank meetings/workshops. GPWSCs have also been imparted trainings on procurement guidelines through Consultant. However, more capacity building programmes regarding procurement procedures are required to be conducted at District/ village level to eliminate any negligible error.

Question 3 Is the system effective i.e. is authority delegated "on paper" applied consistently "in practice"?

Answer: Yes. For Project funded works, the authorities delegated to Project Implementing units are being applied consistently at each level for implementing Procurement practice as per World Bank Procurement guidelines. For other than project


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funded works, delegation of authority is as per Codal provisions of State Govt.’s PWD Manual and each one is responsible to adhere those provisions.

Findings: 1. Reference- Q1: There are shortages of staff at different levels at the DWSS. There are 71 EEs

against 80 sanctioned posts, 157 SDEs against 201 sanctioned posts and 501 JEs against 754 sanctioned positions. The implications for procurement at GPWSC level are more as the JE is a key member of the procurement process.

2. Reference Q2- (a)There have been specific procurement trainings to all EEs, SEs and CEs conducted by M/s Crown Agents in the year 2009. In addition 8 officers from the Department including from SPMC were trained in ASCI, Hyderabad on World Bank procurement procedures, between 2008 and 2012. Two officers have also been sent to Turin, Italy for training. The SPMC Procurement EE has also conducted several trainings at the SPMC for various SDEs and JEs. It is however noted that refresher training and exposure needs to be provided to the DWSS staff, as significant time has elapsed since their last training.

3. Reference Q2- (b) The training for GPWSCs has however been far more limited compared to that imparted to the DWSS officials. The SPMC has retained M/s Davinder S Jaaj and Co. for capacity building on financial and procurement procedures for GPWSCs. The focus of the training seems more towards financial and accounting procedures, as seen from the ToR and also as understood from discussions with select sarpanches of GPs. In PRWSS-II, this is very important area of focus as it is envisaged that GPWSCs progressively require less support from the DWSS going ahead. . This is important especially in the years post the GP elections ,where new leaders get elected

Comments/Update: 1. It is suggested that the annual training calendar include specific courses on procurement and clearly

list out the target audience for the specific year. The trainings related to procurement need to be monitored at the SPMC . A “Train the Trainers program” may also be developed for procurement for the PRWSS-II project.

2. The PWD Code and manuals are very old and require updation from time to time. A committee/mechanism needs to be established and supported so that this happens on a periodic basis. This is important to ensure relevance of the procurement practices to contemporary needs of the sector.

Risk Factor 2: Internal Manuals and Clarity of the Procurement Process

Question 1 Does the agency have a well documented set of implementation regulations/procurement manual applicable to procurement under the project and is it accessible for staff?

Answer: Yes, World Bank procurement guidelines as well as approved Procurement Manual are being implemented for procurement procedure. These procurement guidelines/ Manual have also been provided to each implementing unit in hard and also available on Project website www.pbdwss.gov.in easily assessable to all procurement units.

Question 2 Do the regulations/manual provide comprehensive and clear instructions for all steps of the procurement process (planning, evaluation, award, methods, review thresholds, record keeping etc.)?

Answer: Yes, the procurement process at each step is well detailed in Procurement Manual as well as World Bank Procurement guidelines which are available on project website www.pbdwss.gov.in and every procurement unit can approach it as and when



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desired. Further, in this regard, trainings have been provided to each implementing unit through Consultants.

Question 3 Do agency staffs understand the instructions and are confident in their actual application?

Answer: Yes. Staff is well conversant with World Bank procurement principles/guidelines and Procurement Manual prepared for implementation of Project funded works.

Question 4 Are manuals and policy documents well disseminated to and consulted by staff?

Answer: Yes. These procurement guidelines/ Manual have been provided to each implementing unit in hard and also available on Project website www.pbdwss.gov.in easily assessable to all procurement units.

Findings: 1. Reference- Q1-4: The procurement manual and guidelines are available on the Department website.

The procurement staff at the DWSS are aware of the contours of the manual and guidelines. 2. Reference – Q1-4: It is found that the DWSS is using e-procurement only for procurement of works

and manual system is adopted for procurement of consultancy services. We also understand that the e-procurement system is being reviewed with regard to compliance to the relevant WB guidelines as a part of procurement review.

3. Reference – Q 1-4: Discussions with procurement personnel indicates that the value of works being awarded in case of the World Bank funded projects are normally on higher side as compared to similar projects being funded by the department.

4. All procurement greater than value of Rs 5 lakhs (other than consultancy services) are undertaken through a e-procurement system. However, since this process commenced, no IT audit of the system has been undertaken by the DWSS.

Comments/Update: 1. We suggest that an IT Audit Consulting firm be engaged for conducting third party audit of the e-

procurement system being used by DWSS. The objective of the audit is to assess the compliance of the existing system as per the relevant guidelines and standards of the CVC/Department of Electronics & Information Technology, GoI and others as applicable in GoP from time to time and to identify loopholes/potential loopholes in implementation of the system.

Risk Factor 3: Record Keeping & Document Management Systems

Question 1 Does the agency maintain adequate written records of all procurement and contract documents?

Answer: Yes. Well maintained documents at SPMC as well as Division Level. Post Procurement Review has been conducted regularly each year to check the record keeping and documentation.

Question 2 Is there a system (manual or electronic) to easily locate relevant records?

Answer: Yes. Record is maintained both manually and computerized and easily located.

Question 3 Are records protected from loss and unauthorized access?

Answer: Yes. The records are well protected and properly bound. Nobody can assess the record without


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authorization. Proper care is taken to protect the records.

Findings: 1. Reference Q 1: The study team did find the documents related to procurement of sample contracts

available in files, maintained adequately. Post procurement review are being carried out on a sample basis for both World Bank funded and non-World Bank funded procurement contracts.

2. Reference Q 2: The records maintained in electronic form are in form of individual files on individual computers. There is no “e-room” or “workflow based document management systems in place as yet. Retrieval of records are therefore dependent on individuals and not driven by an IT system, and therefore could be prone to virus attacks in individual computers.

3. Reference Q3: The physical records are kept under lock and key. The electronic versions of files are kept in individual computers. The DWSS may consider developing a document management system to have central control over various electronic documents as well as digitize manual records and tag them for easy retrieval.

4. Reference Q4: The DWSS is reportedly following the record retention schedule as provided in the DFR. This may however be examined on a periodic basis.

Comments/Update: 1. The record retention schedule as being followed by the DWSS may also be incorporated in the

procurement manual. 2. It is also important to introduce e-filing system for durable and robust documentation system. The

DWSS may consider procuring/developing such a system

Risk Factor 4: Staffing

Question 1 Does the Agency have key staff with experience and a satisfactory track record in procurement in general and on donor funded projects specifically?

Answer: Yes. The available staff has experience and is well conversant with procurement procedures both for project funded works and other than project funded works.

Question 2 Does the agency have or have access to contract management expertise and a track record of quality and timely delivery?

Answer: Yes, the implementing unit is well conversant to Contract management responsibility and also trainings in this regard have been provided to implementing units. Further guidelines are available on Project website. However, trainings to enhance the knowledge of staff for contract management is continuous process.

Question 3 Does management ensure that staffs take quality training for continuous skill development in procurement and contract management?

Answer: Yes. Capacity building trainings of procurement are provided in routine to enhance the skills regarding procurement of contracts and their management

Question 4 Is there a published and known code of ethics that describes in appropriate behavior related to procurement?

Answer: Yes. World Bank procurement guidelines/principle and approved procurement Manual are available to each procurement officer for guidance.


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Question 5 Is staff selected on an open competitive basis and offered a competitive compensation that allows attracting high caliber staff?

Answer: As of now, departmental staff has been trained for the adoption of procurement guidelines. They have their responsibility as per Codal provisions. GPWSCs are facilitated by department officer in the procurement and had also been imparted trainings for building capacity regarding procurement of works.

Findings: 1. Reference Q1: The concerned DWSS procurement staff has gained significant experience over the

past 6 years in World Bank funded procurement processes. 2. Reference Q2: There is no post-award contract management manual presently in the DWSS. 3. Reference Q3: Please see the responses with reference to Risk Factor 1. 4. Reference Q4: The DWSS procurement staff is governed by the Codes in place for Public servants

(State Government and Government of India). 5. Reference Q 5: The response needs to be modified as follows: “All the officers/staff in the department

are selected on an open competitive basis; officers through Punjab Public Service Commission and staff through departmental committee. These officers/staff draw salary in their respective scale of pay, as decided by the state government from time to time, and is uniform across the entire state government”

Comments/Update: 1. It is suggested that the DWSS prepare a post-award contract management manual.

Risk Factor 5: Procurement Planning

Question 1 Are realistic procurement plans prepared as a matter of course in the agency (based on the objectives of the project, justifiable quantities, realistic market prices, timing of delivery, storage, etc) and approved formally?

Answer: Yes. Procurement Plan including description of contracts for goods, works, services and for consultancies for procuring of contracts of Bank funded programme is prepared and updated annually and got approved from World Bank. Prior to this annual work programme is got approved from Govt.

Question 2 Are contract packages such that they will maximize interest by reputed bidders?

Answer: Yes. The contact packages are sliced in such a way that maximum bidders can participate. Further, qualification criteria in Bank funded programme has also been got relaxed.

Question 3 *Are there contract packages that will challenge the capabilities of the Agency in terms of size, complexity and timing (e.g. multi stage bidding, turnkey, concessions, S&I, simultaneous contracts etc.)?

Answer: As far as water supply schemes are concerned there are no challenges as most of the contracts are sliced. However, for the procurement of sewerage schemes, being a new concept in the state, department faced difficulties in procurement. However, after the implementation of 98 pilot sewerage schemes, the challenges will vanish.


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Question 4 Is there a track record of adhering to and updating the procurement plans taking into account cost, timing, sequencing, methods, cash flow etc.?

Answer: Yes. Record for adhering to and updating Procurement Plan taking into account cost of contract, timing, sequencing, method of procurement and cash flow system is maintained. Moreover, it is also available on project website www.pbdwss.gov.in.

Question 5 *Has the agency assessed sector risks (related to collusion, supply constraints) and taken them into account in the procurement plan?

Answer: Yes. Yearly Procurement audit is carried out by both borrower as well as World Bank. Further, all implementing units are directed to follow up for eradication of observations pointed out during review. In case of non-compliance, stringent action is taken against the delinquent staff or contractor.

Findings: 1. Reference Q1: An annual procurement plan is prepared by the department. It was made available to

the study team during the course of discussions with the department. It is approved by the GoP and the World Bank, as relevant. It is prepared in line with the timelines of the Project.

2. Reference Q2: Slicing of projects are done as mentioned in the answer. It also emerged during interaction of the study team with department officials that there was inadequate participation for projects where the projects were bundled to enlarge the scope of work. This made the department to revert back to sliceing the contract packages for each component of work.

3. Reference Q 3: The department has limited experience with PPP contract- procurement and management, with reference to RO plants. In case larger MVS schemes involving surface water sources are planned to be conceptualized on PPP, then the Department will need specialist assistance of a Transaction Advisor to structure the project, bid process assistance and consulting support for handling contract management issues.

4. Reference Q4: The procurement plan is updated based on actual performance 5. Reference Q5: A performance management system for contractor performance needs to be

developed and subsequently in the future used for procurement analysis and decisions. 6. It also emerges that sometimes the bid validity period need to be extended as the decision on award

could not be taken within the initial bid validity period. It is also noted that some of the contracts have been awarded after the expiry of the bid validity period.

7. It is also observed that the participation in the bidding process is often poor with majority of packages attracting just a single bid. The relaxations in the qualification criteria do not seem to have addressed this concern fully.

Comments/Update: 1. It is suggested that DWSS consider maintain a contract database, highlighting the ultimate cost vis-à-

vis awarded cost, actual time of completion vis-à-vis scheduled time for completion, reasons for time and cost overruns, etc. This could form a part of a contractor/vendor performance management system.

2. It is suggested that the department should analyze the factors affecting participation in the bidding process and serious efforts should be made to introduce measures to enlarge the contracting community by building their capacity through conferences or suitable forums, alerting contractors’ associations on opportunities, awarding small works directly to graduate engineers or diploma holders , etc.

Risk Factor 6: Bidding documents,(pre-)qualification, shortlisting, and evaluation criteria


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Question 1 Is (pre)qualification based on objective pass-fail criteria, clearly listed in the documents and appropriate for the project?

Answer: Pre-qualification criteria are specified in standard bidding documents clause 4.5 A(a),(b),(c),(d),(e),B(a),(b),(c),C, 4.7, are appropriate for the procurement with minor relaxation/ modification.

Question 2 Are shortlists balanced and are highly qualified firms who have expressed interest generally included?

Answer: Shortlisting is being done after evaluating the EOIs as per guidelines/criteria notified in the World Bank guidelines for selection of Consultants. In works, lowest bidder is evaluated through Evaluation process as specified in Enclosure-V of Procurement Manual.

Question 3 Will bidding documents/RFPs for procurement during the first year are ready by loan signing at the latest?

Answer: Yes. bidding documents/RFPs for procurement during the first year will be ready as Consultant for the preparation is being hired. World Bank Standard bidding documents/ RFPs will be used for the procurement of works/services. In addition procurement for construction of 1.5 lac Independent Household Latrines having cost of Rs.120 crore is ready.

Question 4 Does the agency use BDs for NCB, standardized for the agency or for the country or sector?

Answer: Yes. World Bank Standard Bidding documents are being used for NCB.

Question 5 Are NCB BDs acceptable for use under Bank projects?

Answer: Yes. Approved by Bank.

Question 6 Are the technical specifications/TORs of good quality?

Answer: Yes. In prior review cases, these are got approved in advance from World Bank.

Findings: 1. Under e-procurement of works, all bids are opened online on due date and time and bidders who

choose to attend the opening can attend the same. The minutes of bid opening are recorded and signature of all bidders present is taken for records. The financial quotes are announced during the bid opening itself.

Comments/Update: 1. No specific comment/suggestion

Risk Factor 7: Advertisement, Pre-bid/proposal Conference and Bid/Proposal Submission

Question 1 Are bids/proposals consistently advertised in media of wide circulation, easily accessible to potential bidders, in line with the

Answer: Yes. For all NCB contracts, advertisement is published in atleast three National newspapers in


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advertising principles of the Bank's Guidelines?

the line with guidelines of World Bank for wider publicity in respect of participation of potential bidders. In addition it is also hosted on project website.

Question 2 Is the content of the advertisements and EoI sufficient to enable a potential participant to determine its interest in competing?

Answer: Yes. EoI/ Advertisement notice is adequately prepared to clarify to the bidder all the contents of the consultancy/work.

Question 3 Is sufficient time allowed for bid or proposal preparation, appropriate to the complexity of the bid?

Answer: Yes. Sufficient time period stipulated in World Bank procurement guidelines is given for preparation and submission of Bids (30 days for NCB, 15 days for Shopping).

Question 4 Are bidders prevented from purchasing or submitting bids?

Answer: No. Bidding for contracts above 5 lac amount is being done through e-tendering process and no bar is applied for bidders participation in bidding as per eligibility criteria.

Question 5 Are timely and non-ambiguous clarifications to bidding/proposal documents provided to all potential bidders?

Answer: As per Bank’s guidelines, pre-proposal conference is held, if the cost of contract is more that or equal to 45 lac. In the pre-proposal conference, the queries of bidders are clarified. In case the cost is less than 45 lac, bidders are free to ask any clarification from Procurement unit.

Question 6 Are bids opened in public in the presence of bidders/representatives and immediately following the deadline for bid submission?

Answer: Yes. All the received Bids are opened in public in the presence of bidders or their representatives immediately as per deadline mentioned in the bid document. Minutes of Bid opening are prepared on standard format.

Question 7 Are the number of bids received reasonable as compared to the number of bidding document purchased/number of pre-qualified bids?

Answer: Not applicable as the bidding process is done through e-tendering.

Question 8 Is the integrity of the bids/proposals guaranteed?

Answer: Yes. Bids/ proposals for works are invited through e-tendering and all checks and balances have been taken care such as use of digital signature etc.

Findings: 1. No specific comment/finding; except that World Bank guidelines require publishing the notice in 1

national newspaper. 2. The number of bids received per tender is a matter of concern which the Department is aware of. A

separate exercise identifying specific strategies to increase the contractor/vendor base in Punjab for drinking water schemes needs to be carried out. The present set of contractors are local and operate in specific districts. There is no “tiering” of contractors and the selected contractors execute the work themselves, unlike in some other states where there are established prime contractors and sub contractors and sub contractors gradualy grow into prime contracting.


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Comments/Update: 1. A separate exercise identifying specific strategies to increase the contractor/vendor base in Punjab

for drinking water schemes needs to be carried out.

Risk Factor 8: Evaluation and Award of contract

Question 1 Are evaluations conducted professionally and by members with technical expertise in the items/services being procured?

Answer: Yes. Bids are evaluated by the professionals’ i.e. concerned Executive Engineer operation, who has full knowledge regarding the work to be executed. Tender Acceptance Committee comprising of DWSS/GPWSC members as per delegation of financial authority, has been constituted and mentioned in Procurement Manual for acceptance of bids and award of contract to lowest evaluated bidder. Moreover, Tender Review Committee headed by Chief Engineers also exists in Department for evaluation of Bids, costing Rs. 20 lac and more

Question 2 Are evaluations and qualification carried out thoroughly and on the basis of the criteria specified in the documents?

Answer: Yes. Qualification and bid capacity of Bidder is evaluated in detail as per the criteria specified in Bid document clause 4.5 (A,B,C) & 4.7, and after evaluation of bids, the work is allotted to lowest evaluated bidder.

Question 3 Are there any indicators that the bidding/selection process has been manipulated to favor a certain bidder or are there unusual bid patterns?

Answer: Standard Bidding documents are used for inviting bids through e-tendering system. The clauses for evaluation of Bidders’ qualification and bid capacity are specified in bid document and any deviation from these clauses during evaluation leads to cancellation/rebidding.

Question 4 In reviewing the Bids, are red flags of corruption identified?

Answer: As per requirement of Procurement guidelines, Post procurement audit has been got conducted by World Bank and DWSS/SPMC separately. However, during evaluation, the imbalanced items of bid, adherence to qualification criteria are identified. To check this, adequate safeguards are taken.

Question 5 Is due diligence conducted on the winning bidder to ensure that it is a legitimate, technically capable company?

Answer: Yes. The bids of all the responsive bidders are evaluated as per qualification criteria and Bidders’ capacity clauses of Bid document to know their legitimacy and technically capability for accomplishment of work and the bidder which fulfils the requirements and has lowest rates, is declared as lowest responsive bidder to award the work.

Question 6 Do evaluation reports contain all essential information necessary for approvals, including adequate justification for decisions taken

Answer: Yes. In Clause-7 of Bid Evaluation Report (BER), only responsive bidders are evaluated in the light of clause for Post-qualification and Bid


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during evaluation such as rejection of bids?

capacity of Standard Bidding document and the contract is awarded to lowest evaluated responsive bidder. Further, in clause 6 of BER, the preliminary examination of bids is done to know Completeness & Legal validity of Bids, Bids’ validity and amount & validity of Bid security, commercial responsiveness and technical responsiveness. If bid does not meet any of the above said norms, it is rejected due to non-responsiveness. Bids are also rejected, if rates quoted by lowest evaluated bidder are found substantially higher than prevailing market rates.

Question 7 Is there a protocol in place to ensure safekeeping of information during the evaluation process?

Answer: Yes, during evaluation, bids are placed in safe custody of Department officials who is binding to codal provisions. Also there is provision of clause 24 in the bid document which is met. However, exception may happen.

Question 8 Are contracts awarded and made effective in a reasonable amount of time and substantially with the same scope as in the bidding documents?

Answer: Yes, the contracts are awarded within the validity period of bids and made effective within time period specified in Bid document having same amount of work as in bid document. As and when required, bid validity is got extended, if work cannot be awarded within validity period.

Question 9 Does the agency have a disclosure policy in place (award decisions, debriefing, and right of information)?

Answer: Yes, discloser policy is in place on project website for the information regarding contracts awarded to lowest evaluated bidders. In the light of Right to Information Act, any bidder/ person can obtain the required information.

Question10 Are there serious/frequent complaints on evaluations?

Answer: No, there is no complaint on evaluation. However, Whenever any complaint was brought to the notice of SPMC, adequate measures as per procurement guidelines are taken.

Findings: 1. Reference Q1 – The procurement manual needs to be updated to incorporate the mechanism of

“Tender Review Committee” 2. Reference Q4- The imbalanced items are defined in W2???? 3. Reference Q9: There is no process of debriefing adopted in the department. The Department may

consider including this in their process. 4. Reference Q 10: A complaint management system with analytic capability help the Department

streamline this process in the future.

Comments/Update: 1. We suggest that the Department consider at least one week time for any bidder to file appeal for

redressal of grievances on procurement, before the evaluation is concluded and letter of award is issued.

2. A complaint management system with analytics capability may be considered by the department.

Risk Factor 9: Review of Procurement Decisions and Resolution of Complaints


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Question 1 Does the agency have a formal system known to the bidding community to review and resolve complaints from bidders at different stages of the procurement cycle up to contract award?

Answer: Yes, Grievances Redressal System for procurement related complaints already exists on Project Website, www.pbdwss.gov.in. Apart from this, whenever any written complaints are made by Contractor to concerned Chief Engineer/ Programme Director, SPMC, same are addressed as per World Bank guidelines.

Question 2 Does the system in place allow the complaint to be disposed of administratively besides judicial review?

Answer: Yes, as per existing system, administrative process for the disposal of complaints is in place.

Question 3 Does the agency keep data on volume of complaints and nature of complaints and report on them?

Answer: Yes, adequate record of complaints received is being maintained.

Question 4 Is the system effective and does it ensure timely and fair decision making that protects against retaliation?

Answer: Yes, decision of complaint redressal is effective.

Findings: 1. Reference Q1: There is provision for the bidders to complain in writing and through the e-procurement

system. The database of complaints received and analysis of the same can be strengthened through a IT enabled complaint management system.

Comments/Update: 1. We suggest that department may consider at least one week time for any bidder to file appeal for

redressal of grievances on procurement, before the evaluation is concluded and letter of award is issued.

Risk Factor 10: Contract Management and Administration

Question 1 Are adequate mechanisms in place for procurement and/or contract monitoring?

Answer: Yes, all the works/ goods/ services and consultancies are to be procured as per clauses specified in Standard Bidding documents/ RFPs/RFQs. After procurement, Contract clauses are there to monitor the contracts in fruitful manner. Further, there are agreed procurement procedures and guidelines for strict adherence. To streamline, the contracts are prior/post reviewed by World Bank as per threshold limit. Advisories are being issued to Implementing units from time to time for proper contract management.

Question 2 Are invoices from vendors generally paid within the contractual terms?

Answer: Yes, invoices from the vendors are generally paid within the contractual terms as per availability of funds. In this regard, general instructions have also been issued to Project Implementing units.



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Question 3 Do procedures exist to monitor delivery of goods, works and services to verify quantity, quality and timeliness, and to control inventories of goods?

Answer: Yes, there are specified procedures mentioned in clauses for Time control, Quality Control and Cost Control (Bill of quantities, Change in quantities and variations) of Standard Bidding Documents of works/ goods and services which are to be adhered for qualitative Contract Management.

Question 4 Are contracts generally implemented according to specifications, on time and without excessive changes in scope or price and are variations justified?

Answer: Yes. Generally the contracts are implemented according to specifications, on time and without excessive changes in scope of work or price. However, in some cases pertaining to sewerage schemes, during execution, some changes in the quantities were pointed out and those were paid as per relevant clause of Contract.

Question 5 Are contract amendments generally processed diligently and in a reasonable time?

Answer: Yes, generally the contract amendments are processed diligently and in reasonable time.

Question 6 Is there a backlog of unresolved contractual claims (e.g., payments, variations)?

Answer: Yes, in few sewerage contracts, there is backlog of payments due to variations.

Question 7 Is there a track record of implementing an alternative dispute resolution procedure besides the judicial avenue?

Answer: Yes, the dispute cases are to be resolved through Adjudicator to be appointed as per ITB clause 36 of Bid document, who resolve the disputed issues as per clause 25 of Conditions of Contract. As of now, no dispute case has been brought to the notice of SPMC.

Findings: 1. Reference Q6: During discussions with DWSS officials, it emerged that the payments were many a

time delayed as the final cheque needed approval from the GP sarpanch. 2. Reference Q5 . It is understood that sometimes processing of variations takes time and this needs

improvement. The delay in payment increases the investment cost of the contractor and may act as deterrent to submit a bid and perhaps is one of the major factors affecting inadequate participation in the bids.

Comments/Update: 3. The response on absence of any disputes is unusual in comparison with other departments and

states. As a systemic measure, it is suggested to maintain a dispute database, highlighting how many disputes, at what stage, pendency along with timelines, how many disputes referred to court, etc.

4. Based on experience in other states, there is often limited number of adjudicators available. It is therefore suggested to set up a dispute settlement committee of three to four adjudicators at the department level.

Risk Factor 11: Procurement Oversight

Question 1 Are procurement operations subject to regular internal, external audits?

Answer: Yes. Procurement audits are being carried out yearly by Consultants hired both by World Bank as well as by Project.


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Question 2 Is the external audit carried out by a independent body?

Answer: Yes. External audit is carried out by Independent Consultant hired by World Bank on annual basis.

Question 3 Is the scope and quality of the procurement audit satisfactory and includes physical inspections and compliance checks?

Answer: Yes. Quality and scope of procurement audit is satisfactory as it is conducted on sample basis (10%) of the contracts awarded in a year. Physical inspection of assets is also conducted by Consultants, during audit.

Question 4 Are audit reports issued in a timely manner and are recommendations related to procurement generally implemented promptly?

Answer: Yes. Consultant issued reports in timely manner and the recommendations given by Consultants during auditing are conveyed to Implementing units for compliance.

Question 5 Is there any other form of oversight of procurement exercised by other external independent organization like civil society groups, anticorruption agency or similar?

Answer: No.

Findings: 1. Though the external audit is carried out by Accountant General, Punjab on a yearly basis, this covers

mostly audit of funds and expenditure. 2. The sample checks of contracts are done for 20% of the contracts. Asset verification is done for 10%

of the contracts

Comments/Update: 1. It is suggested that any specific audit observations on the procurement need be circulated to all the

officers of DWSS/ PIUs for strict compliance so as to eliminate recurrence of such deviations.


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7.2 Financial Management Manual – Table of Contents

CHAPTER NO. PARTICULARS PAGE NO.

PROJECT SECTION

1 Introduction and Institutional Arrangement

2 Planning & Budgeting

3 Flow of Fund

4 Accounting Policies/Framework

5 Bookkeeping and Accounting

6 Financial Reporting

7 Auditing

GPWSC HANDBOOK ON PROCUREMENT & FIN. MGT

1 Introduction

2 Fund flow

3 Accounting policies and Frame work

4 Accounting at GPWSC (Implementation Phase )

5 Accounting at GPWSC (O & M Phase )

6 Disclosure and Transparency at GPWSC

APPENDIX

PROJECT SECTION

APPENDIX 1 Budget Formats

APPENDIX 2 Additional Books of Accounts At Project

APPENDIX 3 Chart of Accounts

APPENDIX 4 Reporting Formats –Both Internal and External

APPENDIX 5 TOR for the Internal Audit

APPENDIX 6 TOR for External Audit by CAG

GPWSC SECTION

APPENDIX A Draft copy of MOU

APPENDIX B Job Description of the GPWSC Accounts Assistant

APPENDIX C Format of Books of Accounts at GPWSC Level-

Implementation Phase

APPENDIX D Reporting Format – GPWSC

APPENDIX E Terms of Reference of the Concurrent auditor

APPENDIX F Additional Books of Accounts –O&M Phase


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7.3 Technical Manual – Table of Contents

Table of Contents for Technical Manual

Chapter No. Chapter Title

CHAPTER 1 INTRODUCTION

1.1 Objective

1.2 Objectives of the technical manual

1.3 Scope of the Technical manual

1.4. Methodology to be adopted for preparation of estimate

1.4.1 who can use the manual

1.5 Limitations for manual

CHAPTER 2 WATER SUPPLY

2.1 Basic Design criteria

2.1.1 Per capita supply

2.1.2 Source of supply

2.1.2.1 Water Quality

2.1.3 Storage

2.1.4 Treatment

2.1.5 Distribution System

2.1.5.1 Water Supply Duration and Peak Factor

2.1.5.2 Selection of size of Distribution Pipe

2.1.5.3 Design of velocity

2.1.5.4 Material of Pipes

2.1.6 Depth and width of Trench required to lay the Pipe

2.1.7 Pumps

2.1.8 Ground Water Recharge measures

2.1.9 Water quality standards and significance-Norms for acceptance

2.2 Attributes of Drinking Water

2.2.1 Definitions

2.2.2 Water and health of community

2.2.3 Natural water

2.2.4 Environmental significance of water quality

2.2.4.1 Physical Parameters

2.2.4.2 Chemical Parameters

2.2.4.3 Trace elements

2.2.4.4 Biological Contaminants

2.2.5 Sanitary Survey

2.2.6 Water Quality Report

2.2.7 Review of source water quality

2.2.8 Scientific selection

2.2.9 Geophysical exploration

2.3 Geomagnetic

2.3.1 Acoustic and Seismic

2.3.2 Electrical Resistivity

2.4 Assessment of yield

2.5 Water Quality monitoring

2.5.1 Water Quality Surveillance

2.5.1.1 Water Quality Surveillance programme

2.5.1.2 Present status of rural water quality surveillance and lab infrastructure proposed

CHAPTER 3 POPULATION FORECAST

3.1 Population Forecast

3.1.1 Demographic Method

3.1.2 Arithmetical Progression

3.1.3 Geometrical Progression Method

3.1.4 Logistic Method

3.1.5 Incremental increase Method

3.1.6 Graphical Comparison Method

3.1.7 Population Forecast for Peri-Urban areas


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3.2 Final Prediction

CHAPTER 4 TYPES OF SOURCES FOR WATER SUPPLY

4.1 Hydrological cycle

4.2 Ground Waters

4.2.1 Tube Wells

4.2.2 Driven Well (Hand Pumps)

4.2.3 Springs

4.2.4 Percolation Wells

4.3 Methods of Drilling

4.3.1 Percussion Drilling

4.3.2 Direct circulation Drilling

4.3.3 Reverse circulation Drilling

4.3.4 Down the Hole (DTH) Hammer Drilling

4.3.5 Hand Boring

4.3.6 Selection of Drilling Rigs

4.3.7 Classification

4.3.8 Selection

4.4 Well casing

4.4.1 Coating of Tubes

4.4.2 Types

4.4.3 Material

4.5 Design features

4.5.1 Length of screen

4.5.2 Diameter of screen

4.5.3 Slot size

4.6 Guidelines for selection of slot size

4.6.1 Determination of slot size

4.7 Gravel packing

4.7.1 Need for gravel packing

4.7.2 Criterion for gravel packing

4.7.2.1 Choice of strainer

4.7.2.2 Particle size Distribution

4.7.3 Pack Aquifer ratio

4.7.4 Thickness

4.8 Methods of Development

4.8.1 Over Pumping

4.8.2 Compressed Air

4.8.3 Calculation of Discharge

4.9 Verticality and Alignment

4.9.1 The condition that cause wells to be out of plumb are

4.9.2 The measurement made are of the plumbness and straightness of the cased bore

4.9.3 In case of gravel

4.9.4 The verticality of tubewell

4.9.5 For tubewells encased with pipes

4.9.5.1 Verticality of the tubewell

4.9.5.2 The verticality of the tubewell is to be tested

4.9.5.3 If cylindrical space ‘G’ of the actually constructed tubewell is equal

4.9.5.4 As an example, cross sections of two tubewell G1 and G2

4.10 Maintenance of Tubewell

4.10.1 Factors affecting well performance

4.11 Preventive Design features

4.12 Maintenance Planning

4.12.1 Interpretation of observed or measured changes in well Performance or condition

4.13 Well Rehabilitation and Abandonment well Rehabilitation

4.14 Surface waters

CHAPTER 5 PRELIMINARY SCHEME REPORT


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5.1 Reconnaissance

CHAPTER 6 DETILED ENGINEERING FOR A RURAL WATER SUPPLY SCHEME

6.1 Surveys

6.1.1 Total station survey system (TSSS)

6.2 Selection of source

6.3 Ground water based schemes

6.3.1 Tube Wells

6.4 Water works structure

6.4.1 Pump chamber cum staff quarter

6.4.2 Storage Tank

6.4.3 Pumping Machinery

6.4.4 Criteria for Pump Selection

6.4.4.1 Limitation on Section Head

6.4.4.2 Pump efficiencies

6.4.4.3 Pump Installation

6.4.4.4 Accessories

6.4.4.5 Electrical connection

6.4.4.5.1 Safety Procedures

6.4.4.6 Pump operation

6.4.4.7 Trouble Shooting and Remedial measures

6.4.5 Disinfection plant

6.5 Transmission

6.5.1 Hazen Williams formulae

6.5.2 Coefficients of roughness

6.5.3 Resistance due to specials and appurtenances

6.5.4 Pipe materials

6.5.5 Depth of cover

6.5.6 Hydraulic testing of the Pipeline

6.6 Appurtenance

6.6.1 Sluice valves

6.6.2 Butterfly valves

6.6.3 Scour valve

6.6.4 Air valves

6.6.5 Reflux valves

6.6.6 Anchor Blocks

6.6.7 Water Hammer

6.6.8 Economical size of Pumping main

6.7 Environment Management Framework

6.7.1 Environmental Data Sheets on Water Supply and Sewerage Schemes

6.7.2 Environmental Categorization of the schemes

6.7.3 Environmental Appraisal and approval

6.7.4 Environmental Management Plan (EMP) for pre-planning, construction and O&M phase impacts

6.7.5 Provision for Environmental Cost

6.7.6 Flow chart of EMF activities

6.7.7 Key Performance Indicators

6.7.8 Training and Capacity Building

6.7.9 Environmental Code of Practices

CHAPTER 7 DISTRIBUTION SYSTEM

7.1 Planning and Design over head services Reservoirs

7.1.1 Capacity and location

7.1.2 Staging

7.1.3 Shape

7.1.4 Standardized capacity and sizes of Pipes

7.1.5 Pipe connection for inlet, outlet, Scour, over flow etc.

7.1.6 Accessories


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7.1.7 Design Principles

7.2 Distribution System

7.2.1 Hydraulic Network Analysis

7.2.1.1 Supervisory Control and Data Acquisition (SCADA)

7.2.2 Input data

7.3 Types of valves & their location Sluice Valaves Butterfly Valaves Scour valves Reflux valves Pressure Reducing valves Air valves

7.3.1 Location of the Air valves

7.4 House service connection

7.5 Distribution of water

7.6 Design Approach for Water Supply Schemes in Severe Power shoratge areas

CHAPTER 8 WATER TRTEATMENT

8.1 Water treatment

8.2 Intake structures for surface water

8.2.1 Intake works

8.2.2 Inlet channel

8.3 Storage and sedimentation of surface water

8.3.1 Suction and Scour wells

8.3.2 Pumping units

8.3.3 High level Tank

8.4 Filters

8.4.1 Filtering media

8.4.2 Pressure Filters

8.5 Clear water Reservoir

8.5.1 Over head service Reservoir (O.H.S.R.)

8.5.2 Disinfections

8.6 Priority levels for Technical options for water quality

CHAPTER 9 ASSESMENT OF EXISTING SYSTEM

9 Assessment of Existing System

CHAPTER 10 SEWERAGE SYSTEM

10.1 Present scenario of wastewater disposal

10.1.1 Preparation of a GP/Vill. wise Liquid Waste Management Plan (LWM)

10.2 What is small bore sewerage system

10.3 Treatment Technologies

10.3.1 Stabilization Pond

10.3.2 Duckweed Pond Technology

10.3.3 Treatment by Tree Plantation /Forestry( Karnal Technology

10.3.4 Root Zone Technology /W et Land System(RZ)

10.3.5 Aerated Lagoons (AL)

10.3.6 Decentralized Wastewater Treatment System (DEW ATS)

10.3.7 Soil Biotechnology (SBT)

10.4 Merits and Demerits of various technologies

10.5 Peak factor

10.6 Disposal Standards

10.7 Environment Management Framework

10.8 Cost of the Solid free sewerage system

CHAPTER 11 RURAL SANITATION

11 Rural Sanitation

11.1 Use of locally available material for household tolets drain

11.2 Twin pit flush latrine (TPPFL)

11.2.1 TPPFL pits in water logged flood prone and high sub soil water area and rocky strata Pits in water logged flood prone and high sub- soil water areas Pits in Rocky Strata Pits in Soil with Low infiltration capacity Pits where space is a constraint what are the pollution Safeguards

11.2.2 Operation and maintenance of TPPF Latrine Removal and Disposal of pits sludge How to operate and maintain & TPPF latrine


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Diversion of flow from one pit to another Do's and Do not's Observation to be made during construction materials

11.3 Institutional and group T oilets

11.4 Soak Pit

11.5 Pucca drains Layout of drains Surveying and data collection

CHAPTER 12 OPERATION AND MAINTENANCE OF WATER SUPPLY SCHEMES

12.1 Maintenance of source

12.2 Maintenance of Pumps

12.3 Maintenance of treatment units

a) Maintenance of slow Sand filter

b) Maintenance of Setting tank

c) Operation & Maintenance of disinfection systems

C1 Differential pressure chlorinator

12.4 Maintenance of pumping main

12.5 Maintenance of OHSR/ UGSR

i Cleaning operation

ii Safety precautions

12.6 Maintenance of Distribution system

12.7 Maintenance of structure, Lawns, clean Environment

12.8 Duties of Pump operators Maintenance of record

i Log Book

ii Complaint Register

iii Movement Register

iv Meeting register with Panchayats

v Chlorination Register

12.9 Annexure of Model O& M calculation for village water supply scheme

12.1 O& M cost estimate General

1 Salient Details of Scheme

a) Requirement of water

b) Source

c) Storage

d) Distribution system

2 Cost of Scheme

3 O&M cost payee

4 Annual Maintenance and repair

CHAPTER 13 CONSTRUCTION MANAGEMENT

13.1 Sequence of construction

a) Source

b) Civil works

c) Testing of Materials

d) Construction Management

e) Payment Schedule to Contractor

f) Commissioning & Trail Run

13.2 Check list for construction quality management at site

13.3 Formats for test report

CHAPTER 14 SPECIFIC WATER TREATMENT PROCESSES

14.1 Deflouridation of Water

14.1.1 Flouride exchangers

14.1.2 Anion exchangers

14.1.3 Magnesium salts

14.1.4 Aluminum slats

14.1.5 Simple method of flouridation

14.2 Reverse osmosis

14.2.1 Consultancy support for RO plants


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14.3 Pressure filters

CHAPTER 15 COMPLETION PLAN AND REPORTS

15.1 As built drawings/completion drawings

15.2 Completion reports

15.3 Exit Strategy for Multi Village Water Supply Schemes

CHAPTER 16 RAIN WATER HARVESTING

16.1 Design considerations

16.1.1 Interception and collection

16.1.2 Groundwater recharge system

16.1.3 Recharge pit

16.1.4 Recharge well

16.2 Operation and Maintenance


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7.4 Procurement Manual – Table of Contents

CHAPTER

NO. PARTICULARS PAGE NO.

1 INTRODUCTION

2 PROCUREMENT POLICY, PLAN & STRATEGY

3 PROCUREMENT PROCESS & MODES

4 COMMUNITY PROCUREMENT

5 PROCUREMENT OF CONSULTANCY SERVICES

6 REVIEW BY BANK

LIST OF ANNEX’S

Annex.P-I/1 List of works to be Procured

Annex.P-I/2 List of Goods/ Equipment/ Vehicles/ Furniture etc. to be procured

Annex.P-I/3 List of Consultancy Services to be hired

Annex.P-I/4 Estimate of Bid Packages

Annex.P-I/5 Procurement Plan for Works/ Goods

Annex.P-I/6 Procurement Plan for Consultants

LIST OF ENCLOSURES

Enclosure I : Procurement Schedule for Civil Works

Enclosure II : Procurement Schedule for Goods & Equipment

Enclosure III : Format of Invitation of Bids (IFB) National Competitive Bidding

Enclosure IV : Formula for Price Adjustment (application in respect of contracts of Rs.45.00

lakhs and above).

Enclosure V : Suggested Format for Bid Evaluation Report for Civil Works (NCB)

Enclosure VI : Suggested Format for Bid Evaluation Reports for Goods and Equipment (NCB

Enclosure VII : Procurement Check List for Contracts Above Prior Review Threshold for Civil

Works

Enclosure VIII : Procurement Check List for Contracts Above Prior Review Threshold for Goods

and Equipment

Enclosure IX : Procurement Check List for Post-Award Review of Contracts for Civil Works

Enclosure X : Procurement Check List for Post-Award Review of Contracts for Goods and

Equipment

Enclosure XI : Format for seeking Bank’s clearance for increase in Contract Value beyond15%

of the Original Contract Value as well as for granting extension of the

Stipulated Time for performance of the Contract.

Enclosure XII : Form I-A (Progress Report on Field Review Contracts)

Enclosure XIII : Form I-B (Force Account)

Enclosure XIV : Form I-C (National Shopping)

Enclosure XV : Suggested Draft of the Letter of Appointment of Adjudication in Civil works

Contract

Enclosure XVI : Minutes of Bid Opening (NCB Goods/ Works)

Enclosure XVII : Draft Model and Inspection Clause

Enclosure XVIII : Proforma-A: Nomination of three representatives in the meeting of Users Group

of Village – as members of Procurement Sub-Committee (PSC) for purpose

of materials as required

Enclosure XIX : Proforma-B: Nomination of Facilitator for Procurement Sub-Committee

Enclosure XX : Format – I, Procurement Plan (Goods)


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Enclosure XXI : Format – II, Procurement Plan (Works)

Enclosure XX11 : Proforma-C (Part-I): Market Survey (Selection of Market)

Enclosure XX111 : Proforma-C (Part-II): Market Survey

(Collection of Sealed Quotations).

Enclosure XXIV : Format of Quotation

Enclosure XXV : Proforma-C (Part-III): Market Survey

Enclosure XXVI : Resolution for Procurement of Goods


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7.5 Table of Contents of Social Assessment Report

Table of Contents for Social Assessment Report


1 Introduction

1.1 Overview

1.2 Project Background (Rural Water Supply & Sanitation-RWSS)

1.3 The Assignment

2 Socio-Economic Profile of Punjab

2.1 Beneficiary Assessment (analysis of Quantitative Data)

2.2 Conclusions and Discussion based on Beneficiary Assessment

3 Legal Framework: Policy, Regulatory Framework

3.1 Rural Water Supply & Sanitation (RWSS) Policies

3.2 Analysis of National & State Level Policies on Water & Sanitation

3.3 The World Bank Safeguard Policies

3.4 Analysis of World Bank Safeguard Policies

4 Findings on Status of Services & Stakeholder Analysis

4.1 Inclusion & Equity in terms of Access of Services

4.2 Stakeholder Analysis

4.3 Key Strengths and Weaknesses of Rural Water Supply and Sanitation in Punjab

4.4 Conclusion Based on Stakeholder Analyses

5 Institutional Analysis

5.1 State level

5.2 District & Divisional level

5.3 Block Level - Block Resource Coordinators (BRC)

5.4 Gram Panchayat Level

5.5 Reasons for Changes required at Institutional Structural Level/ Reasons behind Recommendation of Structural Changes at Institutions

6 Grievance Redressal

6.1 Current Mechanism of Grievance Redressal

6.2 Grievance Redressal Related Responses of the Beneficiaries (Based on Primary Data)

6.3 Conclusion Based on Grievance Redressal

7 Capacity Building Strategy

7.1 Capacity Building Need Assessment

7.2 Capacity Building Strategy and Action Plan

7.3 Potential training institutions for PRWSS

7.4 Training Outlines for the proposed programs

7.5 Monitoring and Evaluation of the Capacity Building

8 Monitoring & Evaluation

8.1 Monitoring

8.2 Type of Monitoring

8.3 Social Audit

9 Action Plan for Social Management

9.1 Key Risks

9.2 Possible Mitigation Measures for the Identified Risks

9.3 Social Management action plan

9.4 Gender Action Plan (GAP)

9.5 Vulnerable Peoples Development Plan for inclusion of BPLs, Women, Landless and Disabled People

10 Scheme Cycle

10.1 Single Village Scheme (SVS) for water supply

10.2 Multi Village Scheme (MVS) for water supply

10.3 Sewerage Scheme with Treatment Unit


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7.6 Table of Contents of Environmental Assessment Report

Table of Contents for Environmental Assessment Report


1 Introduction

1.1 Background

1.2 Scope of the Assignment

1.3 Need of Environment Assessment Environmental Management Framework

1.4 Objectives of Environment Assessment

1.5 Scope of this Report

1.6 Methodology Adopted

1.7 Progress Achieved

2 RWSS - Policy, Regulatory Missions and Programmes

2.1 State RWSS Vision

2.1.1 RWSS at National Context

2.1.2 Guidelines on National Rural Water Programme (NRDWP)

2.1.3 Sector Reforms Project

2.1.4 Swajaldhara

2.1.5 Total Sanitation Campaign (TSC)

2.1.6 Nirmal Bharat Abhiyan (NBA)

2.1.7 Swachh Bharat Mission

2.2 Regulatory and Policy Framework

2.2.1 National Policies and Regulations

2.2.2 State Policies and Regulations

2.2.3 The World Bank Safeguard

2.3 State Sector Institutions

2.3.1 Nodal Institution: Department of Supply and Sanitation

2.3.2 Converging Departments

2.4 Some of the major funded projects taken up by GoP - Rural Water Supply and Sanitation

2.4.1 Punjab Rural Water Supply Sanitation - Assisted by World Bank

3 Baseline Environment Status

3.1 State at a Glance

3.2 Physical Environment

3.2.1 Location

3.2.2 Geo-morphology

3.2.3 Ecologically Sensitive Areas

3.2.4 Forests Cover

3.2.5 Climate and Rainfall

3.2.6 Demographic Status

3.2.7 Livestock

3.2.8 Agriculture

3.2.9 Land Degradation

3.3 Disasters

3.3.1 Flood

3.3.2 Drought

3.3.3 Earthquake

3.4 Water Resources

3.4.1 Surface Water

3.4.2 Ground Water

3.4.3 Water Quality

3.4.4 Current Water Supply and Treatment Practices

3.5 Sanitation

3.5.1 Incidence of Water and Sanitation Related Diseases

3.5.2 Status of Toilet Construction

3.5.3 Status of Sewerage Schemes

3.5.4 Status of Solid & Liquid Waste Management

4 Field Surveys & Study

4.1 Sample Selection


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4.1.1 Selection of Six Villages

4.1.2 Sample Details

4.1.3 Methodology of Field Study

4.2 Analysis of Peoples’ Perception and Present Status

4.2.1 General

4.2.2 Baseline Environment

4.2.3 Public Health Issues

4.2.4 Existing Water Supply Scheme

4.2.5 Existing Sanitation Facilities

4.3 Observations on the basis of Field Visit

4.3.1 Water Supply - Key Issues

4.3.2 Sanitation - Key Issues

5 Lessons learnt from the Past Project

5.1 Lessons learnt

5.1.1 Institutional Reforms

5.1.2 Sewer Connections

5.1.3 Capacity Building

5.1.4 Water Quality Monitoring

5.1.5 Waste Water Quality Monitoring

5.1.6 Regulation of Ground water abstraction

5.1.7 Empower Communities to participate in Decision making

5.1.8 Technology options for STP

5.1.9 Fencing and green buffer zone for STP

5.1.10 Develop appropriate Environment Monitoring System

6 Environmental Concerns and Management Proposals

6.1 Planning Phase or Pre-construction Stage

6.1.1 Key Environmental Issues and measures for Water Supply

6.1.2 Key Environmental Issues and Measures for Sewerage Schemes

6.2 Construction Phase Environmental Issues Water Supply and Sewerage Schemes

6.2.1 Site Clearance

6.2.2 Public Safety

6.2.3 Preservation of Top Soil

6.2.4 Access Management

6.2.5 Storage of Construction Materials

6.2.6 Construction Camp

6.2.7 Water Pollution

6.2.8 Noise Pollution

6.2.9 Air Pollution

6.2.10 Occupation Health and Safe

6.2.11 Good Housekeeping at Constructi

6.2.12 Managing Impacts from Collection, and Disposal of Households Wastewater

6.3 Operational Phase Environmental Issues Water Supply

6.3.1 Leakage from Water supply

6.3.2 Maintenance of Water Disinfecti

6.4 Operational Phase Environmental Issues Sewerage Schemes

6.4.1 Maintenance Problems

6.4.2 Effluent Disposal and utilisation

6.4.3 Impact due to Sew

6.4.4 Impact due to malfunctioning the Sewage Lift Pump

6.5 Identified Hotspots for Water within the Project Area

6.6 Identified Hotspots for Sanitation the Project area

7 Environmental Management Framework

7.1 Environmental Management Framework

7.1.1 Objectives of EMF

7.1.2 Key Elements of EMF

7.2 Collection of Environmental Data


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7.3 Classification of Water Supply Sewerage Schemes

7.4 Environmental Appraisal and Approval

7.4.1 Water Supply Schemes

7.4.2 Sewerage Schemes

7.5 Water Quality Monitoring

7.5.1 Standards for Physical and Parameters

7.6 Risk & Assumptions

7.7 Standards for Sewage Treatment

7.8 Provisions of Lawns and Plantation in water works premises and at STP site

7.9 Provisions under Environmental Cost

7.10 Institutional Arrangement

7.10.1 Village Level GPWSC

7.10.2 District Level

7.10.3 State Level

7.11 Responsibility Mat

7.11.1 EMP for Planning and Stage Impacts (Pre-construction stage) of RWSS Project

7.11.2 EMP for Construction Stage in RWSS project

7.11.3 EMP for O&M Stage in RWSS Project

7.12 Environmental Supervision, Monitoring, and Plan

7.12.1 Environmental Supervision

7.12.2 Environmental Audit

7.12.3 Third Party Environmental Review

7.13 Training and Capacity Building

7.13.1 Training Modules/Training Programs

7.13.2 Budget for Training

Appendix A Environmental Codes of (ECoPs)

A.1 Identification of Sources for Supply

A.2 Site Selection for

A.3 Identification of Quarry Sites Borrow Areas

A.4 Selection of Community Toi

A.5 Protection of Surface Water source and ensuring its sustainability

A.6 Protection of Ground Water Source and ensuring its sustainability

A.7 Safe Sanitation techniques at household and community level

A.8 Solid and Liquid Waste at individual household and community level

A.9 Safe Sullage Disposal and Waste Management

A.10 Rainwater Harvesting Techniques

A.11 ECoPs on Management of supply System

A.12 ECoPs on Rehabilitation of / Supplementary Sites

A.13 ECOPs on Schemes in Areas

A.14 Water Quality Monitoring and (WQM&S)

A.15 Water and Waste water Procedure

A.15.1 Drinking Water Sampling Procedure

A.15.2 Wastewater Sampling Procedure

A.16 Construction Site Management/ Lab

A.17 Occupational Health & Safety

Appendix B Public Disclosure Workshop Updated Environmental Management Framework

B.1 Background

B.2 Secondary Data

B.3 Cost of Land Acquisition

B.4 Institutional Set-up

B.5 Performance Indicator

B.6 Environmental Data Sheet

B.7 World Bank’s Safeguard Policies

B.8 Provision for Environmental Management (1%)

B.9 Other Suggestions

B.10 Conclusion


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Appendix C Environment Data Sheet at Preliminary Scheme Report (PSR)

Appendix D Environmental Data Sheet Water Supply and Sewerage Schemes for DSR Stage

Appendix E Environmental Audit Format Water Supply Schemes and Sewerage Schemes

Appendix F Environmental Monitoring Format Water Supply and Sewerage Schemes

Appendix G Terms of Reference Environmental Staff

G.1 Terms of Reference for Management Specialist

G.1.1 Position

G.1.2 Qualification and Experience

G.1.3 Functions and Responsibilities of

G.2 Terms of Reference for Environmental Managers

G.2.1 Position

G.2.2 Qualifications and Experience

G.2.3 Functions and Responsibilities of Environmental Manager

G.3 Terms of Reference for Manager

G.3.1 Position


G.3.3 Functions and Responsibilities of Manager

G.4 Terms of Reference for Officers

G.4.1 Position


G.4.3 Functions and Responsibilities of Officer

Appendix H H. Scope of Work Environmental Audit

Appendix I I. Guidelines on Sanitary for Water Supply Schemes

Appendix J J. Format for Declaration Contractor / Consultant

Appendix K K. International Labour Organization

Appendix L L. Punjab Pollution Control Notification

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