Strategic Plan Department of Drinking Water and Sanitation Rural Drinking Water. Ensuring Drinking Water Security In Rural India

Transcription

1 Final Strategic Plan Department of Drinking Water and Sanitation Rural Drinking Water Ensuring Drinking Water Security In Rural India Department of Drinking Water and Sanitation Ministry of Rural Development Government of India 1 P a g e

2 Introduction This document sets out a strategic plan for the Department of Drinking Water and Sanitation in the rural drinking water sector for the period 2011 to Part One sets out the Aspirations and Goals for the Strategic Plan of the Department of Drinking Water and Sanitation and the rural drinking water sector as a whole. Part Two outlines the current situation, and challenges concerning the rural drinking water sector. Part Three sets out the Strategy. The Department of Drinking Water and Sanitation has identified five Strategic Objectives (Source Sustainability; Water Quality Management; Sustainable Service Delivery (O&M), Strengthen Decentralised Governance, and Build Professional Capacity) to achieve its overall objective of providing improved, sustainable drinking water services in rural communities. Part Four provides options from which each State can formulate its own Implementation Plan depending on its needs, capacity and resources, and establish a timeframe for achieving transformation. Part Five outlines the necessary Learning Agenda, Resources Required and Key Performance Indicators to monitor progress against the Strategy and Implementation Plans. The Government of India, through the Department of Drinking Water and Sanitation, has already taken significant steps to meet this challenge through the National Rural Drinking Water Programme (NRDWP). This document has been prepared to help operationalise the NRDWP by setting out a Strategic Plan in terms of aspirations, goals, objectives and strategic initiatives for the sector for the period P a g e

3 A Strategic Plan for Rural Drinking Water in India Part One: Aspirations and Goals Aspirations All rural households have access to piped water supply in adequate quantity with a metered tap connection providing safe drinking water, throughout the year, that meets prevalent national drinking water standards, leading to healthy and well nourished children and adults and improved livelihoods and education. Continuous uninterrupted water supply is an aspiration and efforts should be made to cover increasing numbers of habitations with 24x7 water supply. Goals To ensure that every rural person has enough safe water for drinking, cooking and other domestic needs as well as livestock throughout the year including during natural disasters. By 2022, every rural person in the country will have access to 70 lpcd within their household premises or at a horizontal or vertical distance of not more than 50 meters from their household without barriers of social or financial discrimination. Individual States can adopt higher quantity norms, such as 100 lpcd. It is recognized that States will adopt their own strategies and phased timeframes to achieve this goal. Three standards of service can be identified depending on what communities want: Basic piped water supply with a mix of household connections, public taps and handpumps (designed for 55 lpcd) -with appropriate costing as decided by States taking affordability and social equity into consideration Piped water supply with all metered, household connections (designed for 70 lpcd or more) - with appropriate cost ceilings as decided by States taking affordability and social equity into consideration. In extreme cases, handpumps (designed for 40 lpcd), protected open wells, protected ponds, etc., supplemented by other local sources preferably free of cost. Optimum use of rainwater should be an integrated element in all the three cases. Timelines By 2017, By 2022, Ensure that at least 55% of rural households are provided with piped water supply; at least 35% of rural households have piped water supply with a household connection; less than 20% use public taps and less than 45% use handpumps or other safe and adequate private water sources. All services meet set standards in terms of quality and number of hours of supply every day. Ensure that all households, schools and anganwadis in rural India have access to and use adequate quantity of safe drinking water. Provide enabling support and environment for Panchayat Raj Institutions and local communities to manage at least 60% of rural drinking water sources and systems. Ensure that at least 90% of rural households are provided with piped water supply; at least 80% of rural households have piped water supply with a household connection; less than 10% use public taps and less than 10% use handpumps or other safe and adequate private water sources. 3 P a g e

4 Provide enabling support and environment for all Panchayat Raj Institutions and local communities to manage 100% of rural drinking water sources and systems. 4 P a g e

5 Part Two: The current situation, and challenges facing the sector By 2022, India may have moved to upper-middle income country status with the third largest economy in the world behind only the USA and China. Though economic growth is expanding access to resources and opportunities for increasing numbers of educated people coming from rural, small town and urban backgrounds it is evident that many areas of the country and many sections of the population are unable to access the opportunities available. The challenge is to sustain and broaden the scope of the growth process, to overcome the many inequalities that exist in urban slums and lagging rural areas, for SC/ST, poor and marginalized households and habitations, and to ensure that more people have better jobs, and better access to basic infrastructure and improved public services, like health, education, water supply and sanitation. Since the First Five Year Plan ( ), Government of India (GoI) and State governments have spent about Rs. 1,10,000 crore on rural drinking water. Under the current Eleventh Five Year Plan ( ), the total expenditure is likely to exceed Rs. 1,00,000 crore, and it is certain that investment in rural water supply will increase even more. Yet despite these huge investments, the sector is beset with problems. Ground water sources are deteriorating, many areas are classified as water quality affected, and poor operation and maintenance has resulted in dilapidated facilities. The causes behind this situation are to do with competing demands on scarce water resources, weak institutional governance, insufficient support structures and professional capacity at all levels. These need urgent attention. Looking to the future, there will be rising demand for higher quality of services to match those found in urban centres, intense competition for water from agriculture and industry, and increasing scarcity and variability of water resources due to population growth and climate change. Above all, Indian citizens, across a broad base of economic and social circumstances, are demanding transparency in how decisions are made, how money is spent and to what end, and who the beneficiaries are 1. The Government of India, through the Department of Drinking Water and Sanitation, has already taken significant steps to meet this challenge through the National Rural Drinking Water Programme 1 Nandan Nilekani, writing on the advantages of information and communications technology in Imagining India, Ideas for the New Century, P a g e

6 (NRDWP) launched in April NRDWP provides grants for construction of rural water supply schemes with special focus on water-stressed and water quality affected areas, rainwater harvesting and groundwater recharge measures, and for operation and maintenance including minor repairs. It promotes conjunctive use of surface, groundwater and roof water rainwater harvesting and actively supports convergence with other development programmes such as the MNREGS and Watershed Development Programmes. Support activities include setting up of State Water and Sanitation Missions and Water and Sanitation Support Organisations at State level, District Water and Sanitation Missions, Block Resource Centres and Village Water and Sanitation Committees, provision of District and Sub-divisional water quality testing laboratories, on-line MIS, and community involvement in water quality monitoring. The current situation : The current situation: There is no question that India has been successful in providing access to basic water supply facilities for nearly everyone; the challenge now is how to provide higher levels of service with sustainable sources and systems that provide good quality water to a growing population. Under the Accelerated Rural Water Supply Programme (ARWSP) India made good progress in terms of coverage. The Uncovered habitations as of 1 st April, 2005, were 55,067 (4,588 Not Covered, and 50,479 Partially Covered) 2 the balance as of 1 st April, 2010 was only 376 uncovered habitations. However, out of the total number of 16,61,058 habitations in India, the States reported that 4,94,610 habitations (30%) had slipped back to partial coverage and 1,44,064 (9%) habitations were water quality affected as on 1 st April, The reasons for this include: a) In line with NRDWP guidelines as of 1 st April, 2009, the inclusion of newly formed peri-urban habitations and new habitations even those with less than 100 persons. 3 b) Slippage of covered habitations due to poor O&M and drying up of sources. c) Increase in population and growth of settlements. d) Increased testing of sources and improved knowledge of quality affected areas. e) Increasing contamination of sources due to deeper drilling of borewells into quality affected aquifers, contamination with untreated sewage, industrial effluent, and agricultural fertilizers and pesticides. The number of piped water supplies in rural areas is rapidly increasing, driven in part by water resource constraints, but increasingly because people want a higher level of service. In 2010, about one third of rural households already use piped water, and about one third of those have a house connection. The achievements of the last two decades in the RWS sector in India are shown in the figure below from the JMP Report However it should be noted that there are significant inequalities between the rich and the poor and this needs to be addressed in moving forwards. For example, while about 32% of the rich people have piped connections on their premises, only about 2 Covered means that at least one public investment has been made to create drinking water sources and / or systems. In addition, under ARWSP, Government of India norms were fully covered meaning 40 liters per capita per day (lpcd), partially covered meaning more than 10 lpcd but less than 40 lpcd, and not covered meaning less than 10 lpcd. In addition, a potable water source should be within 1600m in the plains and 100 meters elevation in hilly areas of any household. This is the basis on which slippage was identified. 3 This replaces the previous definition of coverage which was based on 40 lpcd, with a safe source for all permanently settled populations of 20 households or 100 persons. 6 P a g e

7 1% of the poorest have this facility. 4 This corroborates well with some field surveys which indicate that expenditure on the SC/ST population is proportionately less than on the rural population as a whole. 5 The Challenges: The Eleventh Plan document identifies the key issues facing the sector. The main ones are deteriorating source sustainability resulting from over-extraction of groundwater in large part due to irrigation demand for agriculture, water quality problems including arsenic and fluoride contamination and bacteriological contamination due to lack of sanitation which kills hundreds of children every day from diarrhea, and poor operation and maintenance including neglect of replacement and expansion resulting in rapid deterioration in the quality of water services. The other major challenges are related to inter-sector coordination, continuous professional support to GPs/ communities and emerging climate change challenge. Source sustainability: One of the most critical challenges that face rural villages is to secure an adequate source of water in terms of quantity and quality. Since 1947, with increasing growth of the population the per capita water availability has fallen from over 5,000 m3/year to about 1,700 m3/year. This is due to massive over-exploitation of groundwater mostly to meet irrigation demand and increasing scarcity in drinking water during summer months. The status of groundwater development is more than 100% in the States of Delhi, Haryana, Punjab and Rajasthan. More than 15% of the total blocks in the States of Andhra Pradesh, Delhi, Gujarat, Haryana, Karnataka, Punjab, Rajasthan and Tamil Nadu are over-exploited or critical in terms of ground water development. Due to deeper drilling of aquifers, drinking water sources are increasingly becoming contaminated with natural contaminants like fluoride, arsenic and salinity. 4 Analyzed by UNICEF in 2010 based on data from National Family Welfare and Health Surveys in 1993, 1999 and All India Impact Assessment Study of ARWSP during P a g e

8 In terms of water resources regulation, critical issues facing the sector concern inter-sectoral distribution, bulk water tariffs and water resource management. In particular, ensuring that drinking water receives priority especially during scarcity and drought is a challenge because irrigation demand dominates water demand. The current distribution of water resources in the country is about 86% percent for agriculture, 6 percent for industries and 8 percent for domestic uses. With increasing industrialization the share of industry is set to rise. The comparable share of industry in rich industrialized countries is more than 50%. The share of domestic water use will also rise with increasing urbanization and demands of rural households for urban levels of amenities and services. There is lack of a holistic approach to water resources management with communities taking the lead in preparing their own water balance to ensure that they manage their available surface water, groundwater and rainwater resources and competing demands for drinking water, irrigation and industry. The Planning Commission in its Mid-Term Appraisal of the 11 th Plan progress and the 13 th Finance Commission Report recommend establishment of independent water resources regulatory bodies at state level. The 13 th Finance Commission has earmarked a conditional grant of Rs. 5,000 Crores for this purpose. Water Quality: As indicated earlier, as of 1/4/2010 about 9% of habitations remain that face water quality issues due to chemical contamination. Out of the 1,44,064 remaining quality-affected habitations, arsenic contamination is reported in 6,548 habitations of 8 States, fluoride contamination in 26,131habitations of 19 States, salinity, both in inland and coastal areas, in 28,398 habitations of 15 States, iron contamination in 79,955 habitations of 21 States and nitrate contamination is reported in 3,032habitations of 12 States. These contaminations are either natural or associated with over-exploitation of groundwater. Many more sources report bacteriological contamination, especially during rainy season due to poor sanitation, poor O&M and hygiene leading to water borne diseases impacting on maternal and child morbidity and mortality. The main issues in dealing with water quality are related to: weak legislation and enforcement of water quality standards and testing protocols, exploitation of sources contaminated due to deteriorating groundwater levels, poor Operation & Maintenance, weak provider accountability with respect to quality of water provided and lack of awareness amongst rural citizens about the importance of safe water and poor environmental and domestic hygiene. Operation and Maintenance: Another major challenge is to move from a project mode which focuses on creating infrastructure, to a programme mode which focuses on providing, improving and sustaining high standards of drinking water supply services. Decentralization puts planning, implementation, operation and maintenance in the hands of beneficiaries. This creates ownership and commitment to action. It has been the goal of successive rural water reform programmes in India since The Sector Reform Programme ( ) and Swajaldhara ( ) have promoted a bottom up, demand responsive community based approach that has now been mainstreamed in the National Rural Drinking Water Programme (2009). The PHEDs have been concerned with physical progress and financial disbursement, not longer term sustainability. There has been poor interaction with communities to involve them in planning, implementation and managing their own schemes. As a result, the dominant approach to service delivery has remained supply driven and characterized by large investments in schemes and works, followed by deterioration of the infrastructure and long periods with low levels of service while communities wait for the government to rebuild the schemes. 8 P a g e

9 x Challenge of O&M requires ongoing planning & investment Service Level (access, quantity, quality, reliability ) No O&M, renewal, replacement Service Level (access, quantity, quality, reliability ) Ongoing O&M, renewal, replacement Rs. Rs. Rs Years Years Institutional roles and responsibilities It is clear that local governments and communities cannot succeed on their own. They need to be given clear-cut roles and responsibilities. These include Panchayat Raj institutions, line departments, training institutions, and the local private sector and NGOs. Before the NRDWP Support fund was created there was no provision for regular funding of Support activities under the main programme. It is now possible to take up capacity building programmes on redefining roles and responsibilities using these funds. Inter-sector coordination: Government of India has established many flagship development programmes to improve rural health and livelihoods and provide sustainable infrastructure. These include MNREGS, Watershed Development Programmes, BRGF, NRHM, ICDS, TSC, SSA and NRLM. However, there are multiple institutions involved, varying rules of the game and replication of projects which overwhelm village communities. There is an urgent need for convergence towards common objectives. Continuous Professional Support: The rural water sector has suffered so far from a lack of continuous institutionalized support and a programme for strengthening professional capacity. By focusing on a project mode of delivery, capacity building in rural water has been directed at infrastructure planning and implementation. State governments have generally adopted a top down approach to identify shelves of schemes and works for financing, based loosely on priorities for uncovered habitations and quality affected areas. But while many GPs and VWSCs have had facilities handed over to them, they have mostly lacked the financial and technical skills to independently manage and operate their new sources and systems. In addition, they have lacked the knowledge and experience to contract these skills. More recently, progress is being made through the establishment of Water and Sanitation Support Organisations, District Water and Sanitation Missions and Block Resource Centres. Perhaps the most important lesson over the past twenty years of rural water supply is that local government and communities should not be abandoned once project infrastructure has been built. They need continuous support including training, technical support, access to professional services and financing to supplement their own resources. Climate change identifying key risk areas and potential opportunities. The 2009 Conference of the Parties to the United Nations Framework Convention on Climate Change meeting in Copenhagen, and the latest Intergovernmental Panel on Climate Change (IPCC) Report (2007), has confirmed the consensus amongst scientists and policy makers that human-induced global climate change is now occurring. The Copenhagen meeting also confirmed the need for action to mitigate 9 P a g e

10 and adapt to climate change. India has recently signed the Copenhagen accord, agreeing to work with other nations to address the issues and threats posed by climate change. The major threats from climate change are rising temperatures, increased droughts, increased flooding, long-term wastage of the region s snow and ice stores, saline intrusion from rising sea levels, and a more variable monsoon with unpredictable intermittent breaks in the monsoon. 10 P a g e

11 Part Three: Strategy Based on the above analysis and extensive national consultations 6, the Department of Drinking Water and Sanitation has identified five Strategic Objectives to address the challenges in the sector and achieve its goals, namely: 1. Enable Participatory Planning and Implementation of Schemes and Source Sustainability a. Participatory Integrated Water Resource Management at village, district and State levels including Conjunctive Use of rainwater, groundwater and surface water and provision of Bulk Water Supply as needed b. Water security planning and implementation by ensuring cost-effective, optimal scheme design to reduce O&M requirements c. Water Source Sustainability measures including Sustainability Plans implemented at block, watershed and village level including Water Harvesting and Groundwater Recharge measures 2. Water quality Management a. Source Protection with Water Safety Plan implemented at village level to prevent contamination before it happens b. Monitoring, Surveillance and Testing through Water Quality Testing including field test kits and district and sub-divisional water quality testing laboratories c. Treatment of water from contaminated sources with cost-effective, appropriate technologies, safe distribution and household hygiene d. Legal, Institutional and Regulatory measures to make water quality standards mandatory and enforceable in a phased manner 3. Sustainable Service Delivery (Operation and maintenance) a. Operation and Maintenance measures implemented at village level to ensure skills and finance for operation and maintenance, replacement, expansion and modernisation. b. Incentivise States to take measures for decentralising functions, funds, functionaries using a Management Devolution Index c. Focus on metering, bulk and individual, to reduce Unaccounted for Water d. Service agreements for handpump mechanics and piped water supply operators 4. Strengthen Decentralised Governance a. Institutional Roles and Responsibilities to support water security planning and implementation (source sustainability, water quality and O&M) b. Convergence of different development programmes c. Results Based Financing of drinking water security plans d. Oversight and Regulation including value for money and monitoring of progress and performance 5. Build Professional Capacity a. Training to capacitate new roles and responsibilities b. Technical support 6 The DDWS organized four rounds of Regional Consultation Workshops at Chandigarh (18 th June 2010), Guwahati (on 18 th August 2010)Bangalore (9 th July 2010), Gandhinagar (on 26 th August, 2010) and a National Consultative Workshop in New Delhi (14 th Jan 2011) to discuss the challenges and way forward with various sector experts from government, NGOs, academics and media. 11 P a g e

12 c. Outsourcing including handpump mechanics and piped water supply operators Enable Participatory Planning and Implementation of Schemes and Source Sustainability Protection of Water sources indeed moving it to a higher level of sanctity of sources, rather than mere protection should be a guiding principle both to keep the sources sustainable in quantity as well as save the water from being contaminated beyond usability. This would involve participatory integrated water resource management, conjunctive use of water and source sustainability measures. It may also involve suitable legislative or regulatory measures including defining water source protection zones or water sanctuaries. 1.1 Participatory Integrated water resource management. A Holistic approach with active community and PRI participation in villages at a watershed or aquifer or a hydrological unit level, especially in areas facing water stressin the whole or part of the yearshould be followed to ensure drinking water supply as in the Andhra Pradesh Farmer Managed Groundwater Systems project. This should take into account availability of water through groundwater, surface water, rainwater and seawater (where applicable) sources; allocation of water to irrigation, and for domestic purposes; and reuse and recycling of wastewater. Strategies should include a water budget with community monitoring of water tables to balance demand (especially irrigation and industrial demand) with available water as well as local measures for rainwater harvesting and groundwater recharge. States may also consider giving GPs more power over local water sources, so that agricultural and industrial use could be regulated so as not to jeopardize domestic water requirement. Waste water should be managed to prevent contamination and for reuse and recycling. Andhra Pradesh Farmer Managed Groundwater Systems (APFAMGS) project's key premise is behavioral change leading to voluntary self regulation. In seven drought prone districts of Andhra Pradesh, thousands of farmers residing in 638 habitations have voluntarily taken a number of steps to reduce groundwater pumping, for tiding over the problem of groundwater depletion. The main intervention of the project is the capacity building of the farmers in the catchment Hydrological Units (HUs) on water budgeting and collective decision making. The project introduced two key measurement devices. The first is the rainwater gauge to measure the rainfall in their areas. The second is the long rope scale to measure the depth of groundwater in observation wells. The farmers groups were trained to collect and use data from these two sources to calculate the potential ground water availability in each season. This knowledge has empowered the farmers to collectively make their own decisions on water entitlements, crop water budget (CWB), changing crops to suit the water availability and planning recharge measures to enhance groundwater recharge potential. The efforts have led to significant changes in the overall situation in a short 3 year period from 2005 to Out of 53 Hydrological Units (HUs) the groundwater balance has increased in 57% HUs, remained constant in 34% HUs and decreased only in 9% HUs. Similarly out of 58HUs the groundwater pumping has reduced in 55% HUs, remained constant in 31% HUs and increased only in 14% HUs. About 4800 farmers in the 638 habitations have voluntarily adopted water saving methods in one form or the other without losing the incomes from agriculture. This project demonstrates the power of building capacity of local organizations to collect real time data, process it and make local decisions and regulate water use. 12 P a g e

13 1.2 Water security planning and implementation at village, district and State levels. Participation of local government and communities is the cornerstone for sustainable development. States, districts and villages should adopt a mix of top-down and bottom up planning approaches to service delivery based on Water Security Planning and implementation with training institutions, NGOs and the local private sector providing a supporting role. At the village level, GPs and VWSCs should be guided to make informed choices regarding appropriate technologies so that they get the services they want. The NRDWP prioritises coverage of remaining uncovered habitations, slipped back habitations and water quality affected habitations. Water supply schemes should have cost-effective and optimal design and timely implementation to reduce capital and O&M costs. Planning and implementation of schemes should prioritise SC/ST, poor and minority households/habitations and the role of women, make provisions for schools, anganwadis and livestock, and adopt strategies to cope with natural disasters. Cases of isolated rural houses where households have their own private safe and adequate drinking water sources would be considered as covered. Some States have low levels of piped water coverage at present and would require enhanced funding to achieve the goals set out in the Strategic Plan. This needs to be taken into consideration in the financing of rural water supply schemes by DDWS and external funding agencies. Village Drinking Water Security Plans and Implementation Efficient and effective operation depends upon sound village water supply strategies made up of (a) Water Source Sustainability Plan and implementation that provides sufficient quantity of good quality drinking water to meet demand throughout the year, including water harvesting and groundwater recharge measures for the drinking water sources, (b) Water Safety Plan that describes how water quality will be managed from source to mouth(point of consumption), (c) Operating and Maintenance Plan of the water supply scheme which describes standard operating procedures and balances expenditure and income, and (d) Service Improvement Plan summarizing provisions for new infrastructure, replacement, expansion and optimization of production cost. In addition, there should be promotion of awareness directed at water conservation and household water storage and handling. (Issues such as hand washing, excreta disposal and solid waste management being covered under other government programmes). Source: Department of Drinking Water and Sanitation, A Handbook for Gram Panchayats to Help Them Plan, Implement, Operate, Maintain and Manage Drinking Water Security 1.3 Source Sustainability Plans including Conjunctive use of surface water, groundwater and rainwater harvesting. All rural habitations irrespective of the number of households should have access to a safe, adequate and sustainable source or sources. 7 Sustainability Plans should be prepared and implemented prioritising for over-exploited, critical and semi-critical blocks using Ground Water Prospects(HGM) maps, GIS mapping and appropriate geophysical investigation with assistance from CGWB. These should be prepared on watershed/aquifer/hydrological unit basis and implemented by converging resources of NRDWP(Sustainability) for material component and MNREGS for labour component and other Watershed Development programmes. Conjunctive use of surface water, groundwater and rainwater sources offers the best chance of ensuring adequate supply all year round at the least cost. Where villages, such as those in semi arid areas, are not able to find local solutions the State, District or Block will need to take responsibility. For example, States may consider regional grids or multi village schemes to provide water to districts, blocks and groups 7 This replaces the previous definition of coverage which was based on a safe source for permanently settled habitations with populations of 20 households or 100 persons or more. 13 P a g e

14 of villages. Unbundling bulk supply and retail distribution can ensure that local governments and communities manage distribution, while PHEDs manage bulk supplies. Sustainability Plan Sustainability of drinking water sources is probably the most important factor determining whether a rural drinking water supply system will function satisfactorily for an appreciable length of time. Interventions to ensure source sustainability include Software inputs (raising awareness on need for recharge, avoiding water wastage and the need to plan for balancing availability and consumption) and Hardware inputs (Building physical structures which can capture rainwater and surface water runoff, and/or help recharge ground water like ooranis, checkdams, subsurface dykes etc.). The following steps are suggested for the preparation of a Sustainability Plan with a view to appropriately locating sustainability structures to sustain drinking water sources. i. Prioritising Difficult Areas - Identification of overexploited, critical and semicritical blocks, areas with water stress in the whole or part of the year and quality affected areas, identification and testing of all sources there. ii. Identifying the respective micro watershed/aquifer/hydrological unit - hydro geo morphological study of the area iii. Preparation of a plan for recharge, water impounding(optimizing evaporation losses) and roof top harvesting with peoples participation. iv. Preparing Estimates, Building Capacities and Institutionalising the System v. Financing the Plan by converging NRDWP-Sustainability, MNREGS and Watershed Development Programmes. 2. Drinking Water Quality Management: The focus of this strategy is to ensure that the water supplied to rural citizens meets the national water quality standards. In investments under NRDWP priority should be given for coverage of quality affected habitations. The strategies to ensure drinking water quality will broadly be protection, monitoring and surveillance and treatment. Improvement programmes should be based on village water safety planning and implementation with verification by water quality testing. 2.1 Legal,Institutional and Regulatory issues: The DDWS, in coordination with state governments and appropriate national agencies, will strive to make the national water quality standards mandatory in a phased manner. This involves strengthening existing legislations and also issuing necessary guidelines to the service providers. Water quality monitoring and enforcement will be part of the regulatory mechanisms existing/ designed by various agenciesdescribed in section P a g e

15 Water Quality Cells need to be set up in each State manned by technically qualified staff with expertise in testing and treatment of major chemical and biological contaminants found in the State. 2.2 Drinking Water Safety Planning and Implementation: Source Protection. Existing drinking water sources and freshwater resources in general should be protected by implementation of the Total Sanitation Campaign to make villages opendefecation free and maintain a clean environment; by safely disposing of solid and liquid wastes; by ensuring the control and treatment of industrial effluents; and by raising awareness about impacts of use of high concentration of fertilisers and pesticides on water. The regulatory authority of the CPCB, SPCBs and the Water Quality Assessment Authority will be applied to protect the quality of drinking water sources polluted by industrial effluents and untreated sewage Monitoring and surveillance. Modern methods of water quality monitoring and surveillance should be provided in all districts and sub-district level laboratories and adopted for all drinking water sources and systems (water safety to prevent contamination with verification by water quality testing) along with standard operation and maintenance procedures. VWSCs will be trained in preparation and implementation of water safety plans, and protocols introduced for water quality testing based on Field Test Kits and District and Sub-divisional water quality testing laboratories Treatment, Distribution and Household hygiene. Highest priority should be given to provision of safe water in arsenic and fluoride affected habitations. Cost effective solutions are needed. Dilution of chemically contaminated sources in case of fluoride and salinity is a cost effective option that should be promoted. Roofwater harvesting, development of traditional village tanks/ponds/wells to make them safe can provide safe water for cooking and drinking. Alternate safe sources are generally preferred in case of arsenic affected areas. Chemical treatment of water may be taken up in cases of bacteriological and chemical contamination where the other options are not available. In addition to chemical contamination, there should be focus on measuring, reporting and tackling bacteriological contamination in sources, storage, transmission, delivery points and within households during storage and use. Distribution systems should be protected from contamination with untreated sewage in leaking pipes, by regular checks. Contamination in storage and handling at household level should be tackled through awareness campaigns under NRDWP and TSC on simple remedial actions such as boiling, filtering etc Case Studies: Water Quality Management Tackling Arsenic contamination In West Bengal, arsenic contamination of ground water was first detected during the early 1980s in different districts adjoining Bhagirathi/Hooghly rivers. Investigation showed that arsenic beyond permissible limit of 0.05 mg/l existed in the ground water. The arsenic problem was found to be geogenic, i.e., due to the presence of excessive arsenic in the geological formation. Ground water was the main and staple source of drinking water in such areas due to its easy, inexpensive and location specific abstraction. Therefore, the drinking water supply systems in the affected areas received a serious setback owing to arsenic contamination of ground water. Ground water in 79 Blocks (out of 341 blocks in the state) in the Districts of Malda, Murshidabad, Nadia, North 24 Parganas, South 24 Parganas, Howrah, Hooghly and Bardhaman is at risk of arsenic contamination. In order to tackle the arsenic menace in West Bengal, three types of mitigation measures have been taken up so far: 15 P a g e

16 Short-term Measures: Hand pump fitted tube wells at deeper aquifers; Ring wells Medium-term Measures: Arsenic treatment unit with existing hand pump fitted tube wells; Arsenic removal plants for existing ground water based piped water supply schemes; Large diameter deeper aquifer tube wells for existing/new piped water supply schemes; New ground water based piped water supply schemes Long -term Measures: Surface water based water supply schemes Tackling Fluoride contamination Andhra Pradesh is among the worst fluoride affected states in the country, with an estimated 1,881 habitations reporting fluoride incidence in addition to other types of contaminations (physical and bacteriological). The incidence and intensity of water pollution is higher among poor households. Provision of safe drinking water in a sustainable manner, therefore, is crucial for improved quality of life in the rural areas, in general, and that of poor households, in particular. During the mid 2000, some NGOs such as Byrraju Foundation, Water Health International, Naandi Foundation, Center for Water and Sanitation (CWS), Smaat Aqua, etc., established water treatment plants in different parts of the state. These NGOs worked in collaboration with technology providers like Water Health International and TATA Projects for developing technologies at one end and with the communities and PRIs for establishing and the running the plants on the other end. Some of the technologies adopted in the state are: Roof water harvesting methods promoted by both Government of Andhra Pradesh and some NGOs Household deflouridation methods promoted by some NGOs as well as Government of Andhra Pradesh Private enterprisers selling water in rural areas particularly in coastal districts and Nalgonda Water treatment plants with ultra violet (UV) and reverse osmosis (RO) technology with public private participation Micro filter technologies promoted by some of the organizations to the government and other agencies 3. Sustainable Service Delivery (Operation and Maintenance) Operation and Maintenance Policy: States should draw up O&M policy for rural drinking water supply focusing on ensuring sustainable service delivery at the village level and laying out the roles of VWSCs, GPs, PHEDs, operators, outsourcing agencies. The policy should also lay down standard operating procedures for O&M of handpumps and piped water supplies. It should build capacities of GPs and water operators and incentivise GPs/VWSCs to maintain accounts of their income and expenditure on O&M, improve collection of water charges and generate surplus for replacements. States should consider imposing conditions of continued maintenance of a scheme for 3/5 years and building local capacity for taking over the scheme, on the contractor who is entrusted with execution of the scheme. Incentive Fund: The Incentive fund of 10% of NRDWP allocation at the National level will be used to incentivise specific steps taken by States to devolve functions, funds and functionaries and improve finances of GPs in managing their water supply systems. For this purpose a Management Devolution Index will be prepared and given weightage in allocation of the Incentive fund. 16 P a g e

17 Water Metering and Unaccounted for Water: Water metering, both bulk and individual household, will be promoted in all piped water supply schemes to reduce unaccounted for water. Case Study: Impact of adopting metering Dakshina Kannada, a coastal district in Karnataka bordering Kerala, is situated on the western coast of India, which spreads from the Western Ghats to the Arabian Sea. The major part of its length lies along the seaboard. The population is about 1.3 million people (2001 census). The district is characterized by scattered habitation, isolated households, hilly terrain and saline water in the coastal belt in the summer months. The district is made of five blocks and 203 Gram Panchayats (GPs) including 368 villages and 2,683 habitations. In 2010, 128 of 203 GPs adopted meters for household connections coupled with volumetric-based tariff and computerized billing and collection in Dakshina Kannada District. This is unique in rural India. In 2010, there were about 43,000 metered connections against less than 4,500 prior to adoption of this practice. This has led to reduction of water losses, improvement of service delivery hours with GPs able to provide 24x7 water in some cases, improved collection of charges and financial sustainability of schemes. 17 P a g e

18 Management Devolution Index In the inter-state allocation criteria for allocating National Rural Drinking Water Program (NRDWP)funds the Govt of India has given a weightage of 10% for Rural population managing rural drinking water supply schemes to encourage State governments to devolve management of rural water supply schemes to PRIs. At present, some states have transferred the full range of functions to GPs, others have transferred only a few functions. Moreover some States have transferred only handpumps management to GPs, whereas some have transferred single village piped water supply schemes(pwss) and some have even transferred multi-village pwss. Fund flows to the Panchayats remains a problem in many States. Functionaries support to the Panchayats is also a weak area. The net result is that due to lack of substantive devolution the Panchayats are handicapped in managing the schemes leading to poor O&M of the schemes, non-functionality and poor service delivery. In order to incentivize States to devolve greater functions, funds and functionaries in respect of rural water supply schemes it is proposed to define a Management Devolution Index based on selected indicators that measure the depth of management devolution for use in allocation of incentive grants. Some of the major indicators proposed for measuring the Management Devolution Index are: Whether the state Acts and/ or executive orders clearly define the transfer of responsibility for infrastructure creation and/or for operation and maintenance to PRIs for hand pumps, single village and/or multi-village piped water schemes Whether the VWSC is a Standing/Sub-Committees of GPs under the State Act/Rules Proportion of NRDWP (Coverage, Quality and/or O&M) funds (Central + State share), transferred to PRI/DWSM subordinate to ZP accounts Whether unit charges of electricity for pumping in pwss by PRIs are equal to or lesser than the lowest slab of unit charge for domestic consumers Percentage of water charges demand collected by PRIs Proportion of filled up positions of RWS engineers at block and sub-block level Proportion of VWSC members trained in RWS functions for atleast two days Proportion of filled up positions of DWSM Consultants and BRC Coordinators 18 P a g e

19 4. Decentralised Governance The RWS sector should promote the overall programme for decentralization set forth in the Constitution and the NRDWP Guidelines and strengthen the implementation approaches adopted by the government. 8 Diversity of conditions in the States will be recognized. The major issues related to strengthening sector decentralized governance are: clear policies, appropriate institutional arrangements, financing mechanisms and appropriate oversight mechanisms, including regulation. 4.1 Policy environment: Drinking water is a state subject and most policies have to be defined by the states in line with the Constitution and sector policies. Policies set out the broad objectives for the sector to ensure drinking water security. The key issues include institutional roles and responsibilities (activity mapping), service standards, cost recovery/subsidies and access for SC/ST and poor habitations and households. As of 2010, very few states have a comprehensive Water policy and O&M policy. All states will be encouraged to develop appropriate policies by The Department will incentivize States to devolve functions, funds and functionaries to gram, block and district panchayats to plan, implement and manage their drinking water schemes with NRDWP Incentive funds using a Management Devolution Index. 4.3 Appropriate Institutional Arrangements: This again varies from state to state based on the prevailing institutional arrangements and strengths. As of date in most States the Public Health Engineering Departments are providing the leadership to the sector management, perform functions related to policy, investment planning, execution, measuring outcomes and in some cases O&M of schemes. This may result in conflict of interest. In some States Corporations/Boards/Authorities have been set up to address this issue and to bring in greater accountability. Reforms in Institutional set up of Public Health Engineering Departments States could consider restructuring Departments into Boards/Authorities or Corporations in order to bring in greater transparency, accountability and improved management practices at the State level. This would also enable them to raise finances from different sources. 4.4 However, after the 73 rd amendment to the Constitution there has been a growing trend to devolve the drinking water responsibilities to PRI institutions. This devolution is at various stages in different States. The experience from some of the States has led to an understanding of the issues involved in unbundling the sector, in order to arrive at appropriate institutional arrangements. Unbundling bulk water production, bulk water supply and village distribution: The Strategic Plan emphasises conjunctive use of water and rejuvenation of traditional sources of water. In water stressed areas where water has to be transported from long distances service provision can be unbundled in terms of bulk water production, bulk water distribution, and retail water distribution including management of local water sources. Unbundling and corporatization of sector functions of production, bulk transfer and distribution have been done in some States. Other States should study and appropriately develop their own institutions. 8 For example, the Planning Commission Manual for Integrated District Planning (2008), and the Ministry of Panchayati Raj guidelines for, Planning at the Grassroots Level, An Action Programme for the Eleventh Five Year Plan (2006). 19 P a g e

20 It should be recognized that the three functions need different levels of capability in management and operations and can be assigned to the appropriate institution or level of government. Bulk water production Bulk water distribution in Retail water distribution and management of multi-village schemes and management of local large scale water grids water sources Based on the emerging experiences Creation in the country of necessary and elsewhere the following options can be considered. Creation of necessary infrastructure and its Creation of necessary infrastructure and its O&M infrastructure and its O&M O&M Bulk water production. Priority must be given to local sources. However where local sources may not be sufficient, bulk water may need to be transported. Highly specialized agencies are required for design and maintenance of bulk water production. This involves skills related to engineering, construction management, hydro-geology, financing, etc. There would be a need to serve different stakeholders such as drinking water, irrigation and industry, and deal with different ministries / departments. Bulk water distribution. Many states have taken up multi-village schemes with piped bulk water supply to a group of villages and in some cases towns or local industries. The end customers are the GPs and/ or ULBs who are responsible for distribution. However GPs would require technical support on a continuous basis for taking up major repairs, replacement, modernization, renovation etc. A model of VWSCs or GPs setting up a federation or a O&M society run by representatives of VWSCs, GPs, PHED etc. at block or district level would enable such a body to provide reliable, continuous and sustainable O&M services and capacity building of societies at lower cost. In-village water management. This is the responsibility of GPs/VWSCs with appropriate institutional and technical support. Such an approach will provide needed clarity on roles and responsibilities for various institutions within the state. The NRDWP guidelines articulated well the roles and responsibilities of various actors which are summarized in the chart below. 20 P a g e

21 Institutional Structure in States suggested under NRDWP SDMA in natural disasters DDMA in natural disasters The Block Resource Centre provides motivation, training, support etc. to the VWSC/GP and the Block PHED staff and Block Panchayat members Gram Sabha: The community talks about what it wants in the Gram Sabha, approves decisions about water supply, monitors the implementation and management of in-village drinking water systems, and conducts social audit. SWSM/Board /Corp/Authori ty SLSSC, PHED, WSSO, CCDU, STA Zilla Parishad, PHED DWSM PHED, Block Resource Centre Gram Panchayat VWSC State support:swsm/boards/corporations/authori ties provide policy guidance, and water security planning at State level; SLSSCs approve schemes and support activities to be taken up and review implementation progress and operational performance; WSSOs deal with software aspects of RWS; STAs support PHEDs through technical expertise District support: ZPs/DWSMs undertake water security planning and implementation at district level; help organize financing, training and technical support, and review plans and monitor implementation and performance The VWSC is a standing committee of the GP and is responsible for planning, implementation, operation, maintenance and management of in-village schemes/distribution network and providing annual reports on progress and performance Service Contract: Contracts set out handpump mechanics and operators tasks and what they will be paid Gram Sabha Operator Citizens / Households Citizens / Households pay charges as decided by the Gram Sabha for drinking water services with subsidies for SC, ST and BPL households Handpump Mechanics 21 P a g e

22 4.5 Financing. It is desirable to align financing of service augmentation and operation and maintenance of schemes with reforms like recovery of user charges, maintenance of accounts at GP level, reduction of water wastage, protection of drinking water sources etc. so that investments are linked to service outcomes, i.e., they are performance based. Financing should not be a one-time grant. Water security planning requires annual investments in new schemes and works, operation and maintenance, replacement and expansion as well as support activities like water quality testing and IEC. States should establish clear policies for Operation and Maintenance including service standards and cost recovery, and may like to ensure that their policy on cost recovery provides SC, ST and BPL households with appropriate subsidies in user fees. In addition, it is critical for VWSCs to establish a corpus fund from discretionary grants and user fees to meet future costs of replacement. The table below summarises the key needs and available funds under NRDWP and other Government schemes as of Rural water supply schemes are predominantly financed from public funds. State Governments can tap private sources of financing through PPP models like in the PURA scheme to supplement public funding with suitable safeguards to ensure universal supply of a minimum quantity of drinking water to all families without social or financial discrimination. The allocation for O&M under NRDWP should be reduced from 10% in 2010 to 5% in 2017 and phased out in 2022 and the reduction should be diverted for Renovation and Modernization(R&M) costs increasing from 5% in 2017 to 10% in Key needs Available funds (as of 2010) New schemes, augmentation, expansion of existing schemes. Source sustainability (rainwater harvesting, groundwater recharge, development of traditional structures) Operation and Maintenance (including minor repairs) Replacements Potable water in water quality affected areas (treatment technologies, new sources - to address arsenic, fluorides, iron, nitrates, salinity, etc.) Water quality monitoring and surveillance Training and IEC Water Supply in Natural Disasters NRDWP coverage State Plan, BRGF, DoNER funds and Externally Aided projects, MoMA, Others NRDWP - sustainability MNREGS, Watershed Development Programmes, Others NRDWP O&M Central and State Finance Commission grants User charges, Gram Panchayat revenues, State Plan and non-plan grants/subsidies, Others NRDWP Coverage (and later under a Renovation and Modernisation component to be introduced) VWSCs corpus fund which can include funds from BRGF, Central and State Finance Commission grants, and user charges, Others NRDWP - water quality State Plan, BRGF, DoNER funds and Externally Aided Projects, MoMA, Others NRDWP support Others NRDWP support BRGF, TSC, Others NRDWP natural calamities NDRF, SDRF 22 P a g e

23 4.6 Convergence of different development programmes. District or Block Water Security Planning is required to optimise the use of water resources within the constraints of financial and human resources to meet the basic needs, manage convergence of different development programmes, and take decisions about broader water resources management and investments. Convergence takes place at all levels but it is the DWSMs responsibility to coordinate matters relating to water and sanitation among district representatives of Health, Education, Forests, Watershed Development, Agriculture, Rural Development, Urban Development, Women and Child Development etc., and National programmes/grants such as SSA, NRHM, ICDS, IWMP, BRGF, MNREGS, AIBP, JNNURM, 13 th FC etc. They should follow the Guidelines for Effective functioning of SWSMs and DWSMs issued by DDWS. 4.7 Oversight mechanism (including Regulation): The success of achieving the targets listed under this Plan can be measured only against the correct baseline. The IMIS will be strengthened and regularly updated to make it more reliable as an essential input to policy and planning. With respect to the rural drinking water sector, there is a need for States to establish processes for setting service standards and tariffs, customer grievance redressal, water quality monitoring, ground water abstraction and environmental pollution. There is also a need to put in place the necessary procedures for effective monitoring, audit and reporting on preparation, implementation and performance of village water supplies which can support M&E systems which focus on demand side outcomes. It might not be possible for one organization to play this role and hence can be played a set of organizations based on their expertise and location advantage. The tiered approach to oversight can be summarized as: Gram sabha: At the village level, monitoring and approving the activities carried out by the GP/ VWSCs. This can also include local regulation on water resources use and conservation. Water budgeting, Social audits etc can be appropriate tools at this level. Zilla Parishad/ DWSM: At district level monitoring the activities and services provided by various sector agencies (GPs, PHED etc) and ensuring that they are adhering to the sector policies and rules. The ZPs should also establish appropriate grievance redressal systems to capture citizen s voices. The role of the district can be seen as planning coordination. Various State agencies: This can be the existing state level agencies like the : SWSM for over all sector coordination, State Pollution Control Boards for water quality issues, especially industrial and urban effluents, sector regulators like: Water Resources Regulatory Authority (WRRA) for ensuring water resources allocations and its use 9. The Central Ground Water Authority should notify over-exploited blocks to regulate further abstraction. The Water Quality Assessment Authority should regulate quality standards and testing. States need to introduce legislation for water resources regulation as a priority to address concerns regarding distribution of resources for different categories of users, improving water use efficiency, tackling impacts of climate change, priorities during scarcity and bulk water tariffs. 10. It may not be possible for a single State level regulator to be able to reach out to many numbers of localised water supply services. The NRDWP advocates a number of steps to build the 9 Various states governments are in different stages of setting up state level water resources regulatory authorities. The Maharashtra Water Resources Authority (MWRRA) was the first state level regulator to be established and various states governments are in different stages of setting up such state level water resources regulatory authorities. One of the roles of the regulator is to ensure allocation of water resources as per state decided entitlements and monitor its use. 23 P a g e

24 foundation for regulation: District Water and Sanitation Missions have the responsibility of coordination to check that village plans meet policy objectives and are what communities want; assess technical, financial and operational viability; facilitate financing, and monitor progress and performance. At the local level, village social audits involving the Gram Sabha and mechanisms of customer grievance redressal need to be established. District planning coordination The importance of district planning coordination for rural water supply is that it provides an institutionalized means of scaling up and capacitating village planning, as well as coordinating planning within the district vertically (from villages to blocks to the district), horizontally (at least between water, environmental sanitation and health, and source conservation and protection) and spatially (between villages and towns, where common water resources are to be utilised). A planning coordinator s job includes reviewing plans in terms of service levels vis a vis costs, providing advice on tariffs and subsidies, and monitoring implementation and performance. Source: Planning Commission, Guidelines for Integrated District Planning 5. Professional Capacity 5.1 Training. DDWS and States should develop appropriate job specifications and training programmes based on Training Needs Assessment, new roles and responsibilities to capacitate the new approach to rural drinking water. Key Resource Centres, NIRDs, SIRDs and other training institutions have a key role in developing appropriate modules and materials and delivering a combination of class room and field based training programmes. Village Water Security planning and implementation lends itself to a process of learning by doing, which should be the basic principle for such training. Key Resource Centres: People and organizations working in the drinking water and sanitation sector need to be sensitized to the change in their role and responsibilities to cope with various critical issues facing the sector. Knowledge, skills and attitudes need to be enhanced through continuous professional development and capacity building by sector specialists through appropriate organizations. Towards this end, the Department of Drinking Water & Sanitation has identified about 25 National Key Resource Centres, institutions of repute having experience in imparting training and capacity building of different stakeholders in the water and sanitation sector. The National KRCs will be engaged in more than one State in capacity building, reorientation of different stakeholders through IEC, disseminating knowledge and information, documenting best practices, etc. targeting various stakeholders like PHED engineers, SWSM, DWSM members and staff, Master Trainers of VWSCs, PRIs, NGOs and SHGs et al. 5.2 Technical support. SWSMs, DWSMs, GPs and VWSCs need technical support to help them plan and implement and maintain village water security systems. This can be facilitated by Block Resource Centres, PHED engineers, DWSM, Key Resource Centres, educational institutions, scientific and research institutions and NGOs. 4.3 Outsourcing. GPs should be guided to explore options to access professional experience and skills for operation and maintenance. States should support the GPs with appropriate knowledge and tools to prepare, tender and manage service agreements with community based, public or private handpump mechanics, contractors, piped water supply operators and other 24 P a g e

25 service providers. Care should be taken while drawing up such service agreements that the basic requirements of poor households to minimum service levels are not violated under any circumstances. Service Agreements Whether the water supply system is being operated by community based technical and operational staff, a public utility / department, or a local private entrepreneur, a service agreement is a very useful tool. Service agreements set out the operators tasks and what they will be paid, and as such can be used to provide guidance and incentives to gather information, plan and implement as effectively and efficiently as possible. If local entrepreneurs are involved then other advantages include management expertise, tariff / financial discipline and access to private capital. In addition, performance indicators provide the basis for monitoring implementation and performance, including demand side outcomes. Source: Ministry of Rural Development, Provision of Urban Amenities in Rural Areas Operator contracts Preparatory phase Gather information Plan Service improvement phase Immediate improvements to build trust Operating phase Improve efficiency Expand services Progressive increase in user charges, reduced O&M costs, increased collection 25 P a g e

26 Part Four: Implementation Plans Drinking Water Security means providing every rural person with adequate safe water for drinking, cooking and other domestic needs on a sustainable basis, (NRDWP guidelines, 2010). It must therefore include measures to address source sustainability, water quality and operation and maintenance. This also requires appropriate institutional, financial and regulatory (monitoring) support, as well as needs based training and technical support or access to professional service providers. As discussed in Part Three the five Strategic Objectives to achieve the overall goal of drinking water security are as follows: 1.Participatory Planning and Implementation of Schemes and Source Sustainability 2.Water Quality Management 3.Sustainable Service Delivery(O&M) 4.Decentralised Governance 5.Build Professional Capacity Planning and Financing MOU Performance based financing Training and TA social audit Citizens / Households District / DWSM Block Resource Centre Gram Panchayat / VWSC PLANS Secure source Sustainability of systems and sources service agreement Handpump caretakers / Operator Source: Handbook for Gram Panchayats to Plan, Implement, Operate, Maintain and Manage Drinking Water Security (DDWS and WSP, 2020) The Strategic Objectives can be achieved through an appropriate mix of implementation initiatives. Most of these are set out in the National Rural Drinking Water Programme guidelines (DDWS, 2010) and other publications of the DDWS. Other key options are set out below, as identified in regional and national consultation workshops held with all States, inputs from water community groups and other stakeholders. Each State can formulate its own Implementation Plan depending on its needs, capacity 26

27 and resources, and establish a timeframe for achieving the Strategic Objectives. Part Five provides some Key Performance Indicators which can be used to monitor progress. 1: Participatory Planning and Implementation of Schemes and Source Sustainability These implementation measures encompass Integrated Water Resource Management, including conjunctive use, planning and implementing drinking water supply projects and ensuring source sustainability. The measures are set out below: 1.1 Integrated Water Resources Management National level: The DDWS, through the National Water Mission and the National Drinking Water and Sanitation Council,would prepare a convergent approach with the Ministries of Water Resources, Agriculture, Environment and Forests, Power, Industry and others. The Central Ground Water Authority will be requested to regulate drilling of non-drinking water supply wells in over-exploited blocks. The Water Quality Assessment Authority, Central Pollution Control Board and the National River Conservation Directorate will be requested to identify and take steps for suitable prevention and regulation of pollution of drinking water sources. State level: The SWSM with the Irrigation, Agriculture, Environment and Forests, Power, Industry and Aquaculture Departments, would promote a common State Water Policy addressing the availability of overall water resources and water requirements of irrigation, rural and urban drinking water, and industry. In this context, the steps to be taken to meet the needs of domestic water, as the priority, would be agreed by the different sectors. This would include monitoring of ground water levels and rainfall at sub-block levels, monitoring and regulating over-abstraction of ground water in over-exploited blocks, water efficient agricultural practices, recycling and reuse of wastewater, water treatment by industry, and environmental water protection from industrial effluents, fertilizers, pesticides and untreated sewage. Stress will be laid on the roles of Irrigation and Agriculture Departments in increasing efficiency of water use in agriculture. District level: The DWSM would prepare a District Water Vision based on the availability of overall water resources and water requirements for irrigation, rural and urban drinking water, and industry. It should systematise the monitoring and recording of groundwater levels and rainfall at sub-block or GP level. Based on this plan it should take steps in coordination with Agriculture and Irrigation Departments for diversification of cropping patterns, appropriate sowing calendars to reduce abstraction of groundwater, improve water-use efficiency in irrigation, ensure reduction, reuse and recycling of water by industry, environmental protection of drinking water sources, ensure open-defecation free villages, and cost-effective management of solid and liquid wastes. It should draw up plans for water harvesting and groundwater recharge structures to benefit drinking water sources on a watershed basis using Ground Water Prospects maps, GIS and Watershed Development Department technical inputs. These would be done on a priority basis for over-exploited, critical and semi-critical blocks. The works planned on this basis would be taken up under MNREGS, NRDWP (Sustainability) and IWMP. Village level: At the village level water security planning should start with knowledge of water resources management in the village, aquifer or watershed. A water budgeting exercise should consist of understanding water resources available, and methods of increasing the utilisation of available water resources, water requirements of different sectors like drinking water, livestock, agriculture, industry and commerce. Monitoring of ground water levels and rainfall with rain gauges will lead to knowledge of availability of water resources. Understanding of water conservation and recharge should lead to planning of water harvesting and groundwater recharge structures which maximise recharge and minimise evaporation losses. Demand 27

28 management of water by the irrigation sector would focus on use of less water intensive crops, efficient irrigation methods like drip and sprinkler, reuse and recycling of water, and regulation of groundwater over-abstraction. The water budgeting exercise should culminate in arriving at a shared Village Water Vision on managing this resource and equitable allocation for landless villagers and land holding agriculturists while protecting the domestic requirements. This collective approach requires considerable work with by trained persons with the villagers. The Village Water Vision should deal with the impacts of declining ground water tables, increasing competing demands and vagaries caused by climate change. Aquifer Management Pune, Buldhana and Aurangabad Districts, Maharashtra. The hydro-geological features of Maharashtra (93 percent hard rock, variability in rainfall) impose limitations on ground water availability. Competing demands on ground water, particularly for agricultural purposes through indiscriminate pumping, have led to an unsustainable situation, warranting innovative solutions through community partnership. The aquifer pilots implemented in Pune, Buldhana and Aurangabad Districts through the Jalswarajya World Bank-assisted project are a step forward in achieving sustainable aquifers through community participation. The pilot experiment has proved that the community at aquifer level can be brought together for participatory ground water management, and therefore it has emerged as a rational tool in ensuring the sustainability of ground water to meet the needs of the village community. The additional quantity of ground water retained in the aquifer translates to an availability of about 1,690 kilolitre of water per household per year; or it can irrigate an additional area of 3,900 hectare per year, in addition to providing round-the-year drinking water security to the villagers. The pilot has also resulted in cost savings of Rs. 88 lakh per year for the Government of Maharashtra by avoiding tanker supplies to villages. Conjunctive use and bulk water supply All habitations should move from dependence on a single source to conjunctive use of rainwater, groundwater and surface water sources. States or districts can consider regional grids or multi-village schemes based on surface sources wherever feasible to supplement in-village sources, especially in drought prone areas. Services of qualified hydrogeologists should be made available to support the PHED, DWSMs, BRCs and VWSCs in all districts. GIS mapping of sources, water bodies and inter-village pipelines should be done to help prepare district and regional drinking water security plans, identify uncovered habitations, design schemes and reduce duplication in planning and investment. Roof water harvesting and storage or recharge should be done on all village Institutional and community buildings and promoted in private buildings. States need to be incentivised to make recharge or storage of roofwater compulsory for private buildings of appropriate size and design. 28

29 In extremely remote habitations in hilly areas, where sources are very distant and laying of pipelines would entail a very high per capita cost, roof water harvesting can be considered as a cost-effective alternative to provide drinking water to households in such habitations. Case Study : Conjunctive Use of water Jepar of Chuda Taluka in Surendranagar District, Gujarat, is a village that embraced the decentralized community managed water supply system in It has developed a water distribution system, which allows all 160 households to have tap connections and enjoy 24x7 water supply. The village s two sources of water a well and Narmada pipe water supply system supplement each other to ensure regular safe water supply to the village. The total storage capacity is an Elevated Storage Reservoir (ESR) of 50,000 litres and one sump of 20,000 litres. Before the village adopted 24x7 water supply system in 2006, the supply was available for about two hours a day and the average consumption of water was around 400 litres per day per household. When each household was assured of 24x7 supply, the consumption per household reduced to 250 litres per household, thus saving 25,000 litres per day which represents 38 percent of the water previously distributed. Power consumption reduced too by 4.39 units per day or a decrease in one-third of the previous electricity bill; an annual saving of about Rs. 7,900. The reduction in consumption of water occurred primarily because people abandoned the practice of storing water to cover several days needs. Now, 125 villages in Gujarat are successfully operating the 24x7 water supply system. Universal access and participation From 2013, planning, investment and implementation of all new single-village piped water supply schemes or in-village distribution systems of multi-village schemes should be preceded by constitution of Village Water and Sanitation Committees, their training, and their preparing their Village Water Security Plan with approval by the Gram Sabha/GP and implementation by the GP/VWSC. All new drinking water supply schemes should be designed, estimated and implemented to take account of the water supply cycle, with (i) recharge and water conservation structures wherever necessary and feasible, for the sources, (ii) constitution, training and support to VWSCs to plan, implement, operate, maintain and manage the schemes (in-village), and (iii) waste water management through stabilisation ponds and other options by convergence with MNREGS, TSC, etc. Communities should be enabled to plan and implement schemes to have piped water supply with metered household connections and volumetric tariffs with appropriate cross subsidy for SC/ST and BPL households. 29

30 Where households within a habitation are self providing (for example, they have installed their own shallow hand pump or open well), the GP/VWSC still has a responsibility to ensure that they have an adequate supply of safe drinking water. The GP/VWSC can (i) provide public taps/ handpumps, (ii) provide water quality tests, and (iii) provide the services of a qualified mechanic for preventative maintenance. GPs/VWSCs should ensure a minimum level of safe drinking water and sanitation for transient communities. For example, enterprises and contractors should be held accountable for providing the minimum level of safe drinking water and sanitation facilities for migrant labourers and in their labour colonies. All government schools and anganwadis will be provided with water supply for drinking and for toilets in adequate quantity by convergence of NRDWP for existing schools and SSA for new schools set up under SSA. For private schools, supply of water will be ensured by enforcement of the provisions of the Right to Education Act by the Education Department. All community toilets built with public funds and maintained for public use will be provided with running water supply under NRDWP. It will be ensured that the allocations for SC and ST concentrated habitations under NRDWP are utilized for the planned purpose. Proportionate allocation and expenditure will be made under NRDWP in minority concentrated districts. Women should be included in all aspects of decision making with respect to drinking water security planning, implementation, operation, maintenance and management. Waste water treatment and recycling should be an integral part of every water supply plan or project. Management of liquid and solid waste should be promoted together with recycling and reuse of grey water for agriculture and groundwater recharge and pollution control. Design of schemes for peri-urban areas should factor in the requirements of increasing population and increasing per capita demand in the planning stage itself so as to avoid wasteful expenditure. SWSMs can make special provisions to ensure peri-urban areas get the level of services demanded by the inhabitants. Case Study: Beneficiary Groups executing and maintaining schemes Under the Jalanidhi Rural Water Supply Project in Kerala, instead of engaging contractors to build the water supply systems, Beneficiary Groups (BGs) directly procure materials and construct the schemes on their own, employing local workers both skilled and unskilled. The community contracting system adopted in the implementation of the Jalanidhi Rural Water Supply Project in Kerala has successfully demonstrated the value of empowering communities to be responsible for the implementation and management of the water supply systems. Community contracting resulted in substantial reduction in the construction costs (about 15 percent less than the approved estimates), ensuring good quality construction and transparency. This approach also helped in mobilizing local resources, especially manpower for construction, and making the beneficiaries actively involved in the entire process whereby their ownership and sustainability of the schemes are enhanced. Equally important, the water supply schemes completed and commissioned are now being operated and maintained (many of these now for more than five years) by the BGs. Water tariffs have been fixed appropriately, corresponding to O&M expenditures, and are being levied and collected in all the schemes. Source sustainability Sustainability Plans should be prepared especially for over-exploited, critical and semi-critical blocks for taking up scientifically located recharge measures and water harvesting structures on 30

31 a watershed or aquifer basis. These would be prepared using GroundWater Prospects (HGM) maps, GIS and GPS techniques to ensure maximum water conservation to benefit drinking water sources in a cost effective manner. These plans should be financed by convergence of NRDWP Sustainability MNREGS as well as Watershed Development Programmes. The GP/VWSC should plan, prepare and implement Source sustainability water harvesting and groundwater recharge measures for all existing sources of drinking water schemes, wherever feasible and required using Groundwater Prospects Maps. All plans and estimates of new schemes for drinking water supply should include provision of source sustainability measures, wherever feasible and required using groundwater prospects maps and GIS tools. Community management includes measuring water tables using simple or automated rain gauges and rope measures and preparing a water budget to match demand (especially for irrigation) and available water. 11 Water harvesting and groundwater recharge structures should be planned on watershed basis and adopted to augment available water. However, hydro-geologists should assess overall impacts of reduced runoff including reduced inflows to tanks. The GP/VWSC should also rehabilitate and develop traditional village tanks, ponds and wells. Ensuring sustainability in water stressed areas Alwar District, Rajasthan. Solutions to ensure drinking water security in highly water stressed areas as in Rajasthan exist. This has been amply demonstrated by the successful experience of local communities in Alwar District in Rajasthan, supported by the NGO Tarun Bharat Sangh (TBS) and its founder Mr. Rajendra Singh. It is possible to harvest and augment water resources through the construction of small water harvesting structures called Johads and the implementation of local water governance. Since 1985, 8,600 Johads have been built in 1,086 villages. This has resulted in the rise in water levels in the shallow aquifer, increase in the area under single and double crops, increase in forest cover and drinking water supply security. Protection of spring sources Under the North-Eastern Region Community Resource Management Project for Upland Areas, Spring Trap Chambers (STCs) have been promoted with the objective of protecting natural sources of drinking water. Two STC designs have been developed by the project in consultation with PHED staff : i) design for the plains; and ii) design for hill locations. Protection of drinking water sources that serve a population of approximately 7,12,500 has been enhanced as a result of the IFAD project. Existing rules relating to catchment protection (such as timber felling, ban on hunting and fire control) have been enforced more effectively. Multiple use of water from STCs has been emphasized (drinking water, clothes washing, livestock rearing and kitchen gardens). The average annual household economic benefits derived from the use of STCs are in range of Rs. 84,550,000 in Meghalaya alone. In addition to economic benefits derived from livestock rearing, households also derive non-economic benefits through enhanced food security provided by kitchen gardens (mustard leaves, beans and cabbage). 11 Examples include APFARGMS with measuring groundwater, and Dakshin Kannada District in Karnataka with metered household connections and volumetric tariffs. 31

32 2: Water Quality Management Modern methods of water quality management are required based on ensuring water safety and verification through water quality testing. 2.1 Ensuring Water Safety 1. States should adopt the drinking water safety planning and implementation approach for rural supplies to prevent contamination. In order to address water quality problems, the VWSC must prepare and implement a Water Safety Plan. 2. Where possible, SLSSC and DWSMs should move away from high cost treatment technologies for tackling arsenic and fluoride contamination to rainwater harvesting and development of alternative sources for arsenic and alternative sources/dilution of aquifers through rainwater harvesting for fluoride. 3. For chemically contaminated sources, the first step should be testing, marking, including colour coding,and switching of sources, before exploring other options on the mitigation ladder with higher costs and benefits. 4. Dual water supply may be adopted, as a short term measure, if treating all supplied water or providing minimum quantity of safe water is not feasible in rural habitations facing acute water quality problems. In these habitations 10 lpcd of safe water may be provided which would be sufficient for drinking and cooking purposes and the remaining 60 lpcd may be provided from untreated/unsafe sources for other domestic activities. 5. As an interim step before provision of safe tap water, point of use treatment such as boiling and filtration of water will be promoted through intensive awareness generation campaigns. 6. Setting up of Reverse Osmosis or any other water treatment plants which results in wastage of water or other adverse environmental impacts should be avoided except where there is no other option available. 7. The Jalmani Scheme for implementation of standalone drinking water purification systems in rural schools should be promoted in areas with iron, turbidity and bacteriological contamination. Why is Water Safety Planning and implementation needed? There are many advantages: i) Better management of water quality by preventing contamintation before it happens, ii) It is a 'learning by doing' mechanism to achieve improved operational management, iii) It provides an approach to prioritising improvement programmes (physical and operational) based on health outcomes which emphasise customer services, and iv) It provides a concrete means of linking sanitation and hygiene to water supply. In implementation there are other advantages. By identifying the functions required to support water safety it is possible to articulate activity mapping (roles and responsibilities), and improve needs based training programmes. 2.2 Water quality testing The VWSC and DWSM must ensure that regular sampling and analysis takes place using field test kits and district and sub-district testing laboratories. The national protocols for water quality testing should be followed. The five grass roots level workers trained for testing water quality through the use of field test kits should act as ambassadors for achieving household level drinking water security. They may be paid suitable charges for the number of samples collected and sent for lab testing and disseminating test results to the VWSC and the community. 32

33 The VWSC's responsibilities, with support from the DWSM, include maintenance of the field test kits (replacement of used materials) and meeting the sampling expenses. The VWSC should liaise with PHCs and NRHM workers (ASHA) to monitor incidence of diseases relating to water quality and the results must be shared with the community (Gram Sabha). All districts should have well equipped labs with qualified technicians. Sub-district labs may be set up by the PHED or outsourced to NGOs, educational institutions, etc. The district and subdistrict water testing laboratories should have facilities to test for all notified quality parameters. All water quality testing labs at State and district levels, should obtain accreditation from the National Accreditation Board for Laboratories. Modalities for convergence of Food Safety, Health, Pollution Control, Groundwater Labs and water quality testing labs should be worked out and implemented. 3: Sustainable Service Delivery (Operation and Maintenance) 3.1 Operation and Maintenance States should introduce standard operating procedures for O&M of handpumps and piped water supplies and GPs/VWSCs should identify and assign key functions to the appropriate person such as the handpump caretaker or operator. Timely transfer of O&M, State plan and Finance Commission funds is necessary to enable GPs to operate and maintain schemes without service breaks. Wherever it is not yet adopted NRDWP(O&M) and other funds necessary for drinking water supply to GPs should be transferred electronically to GP accounts. For handpumps, the GP or VWSC needs to be provided access to spare parts and trained mechanics by the DWSMs for regular preventative maintenance of all handpumps in the GP. For piped water supply systems with community standposts and/or household connections, the DWSM/BRC and VWSC needs to make sure that community based operators receive training to gain the technical and financial skills to do the job. Block or District Panchayats and Joint Scheme Level Committees consisting of heads of VWSCs/GPs benefited by the scheme are responsible for overseeing multi-village schemes. In multi-village schemes or large water grids, bulk supply should be managed/operated by PHEDs or private operators with tariffs set by the State government/pris/water resources regulator. Customer consultation and grievance redressal mechanisms should be established such as provision of a toll free number, call centres, mobile SMSs, linking GPs and engineers electronically with Block and District IMIS systems, citizen report cards and community score cards. Initially all bulk water supply and retail water supply to commercial, industrial establishments and private institutions should be installed with volumetric metering. Gradually all household connections should be metered. Water audits, energy audits and measurement of Unaccounted for Water (UfW) and Non Revenue Water (NRW) should be introduced for bulk and distribution piped water supplies. In time, optimisation of large water supply systems through technologies like SCADA should be promoted in all States. Automated pumps should be installed, wherever feasible, in piped water supply schemes to ensure reliable water supply and reduce operator workload. 33

34 Standard operating procedures for coping with natural disasters, including for drought and floods, will be laid down and disseminated through training and awareness generation programmes. GPs/VWSCs must also prepare and implement service improvement plans for prioritising repairs, replacement and expansion of source and system parts. Zilla Panchayats should have a Water Supply O & M Wing to provide continuous technical support to GPs in managing their water supply schemes. Federation of VWSCs can also take up major maintenance, renovation and modernization of rural water supply schemes with technical and staff support from PHEDs/Corporations/Boards. They can reduce costs by engaging local technicians trained in vocational institutes or industrial training institutes(itis) to provide services round the year. This would significantly mitigate deficiencies of technical capacity and manpower availability at block and lower levels. Coping with Climate Change Various adaptation measures need to be considered to address the risks of climate change. The Box below identifies the kinds of adaptation measures that can be considered. Adaptation measures and opportunities for rural water supplies Redesigning the engineering codes for pipelines, water treatment, water supply systems, local dams, and irrigations systems. Increasing use of rain fed systems to enhance the sustainability of local water supplies. Introducing measures to enhance groundwater recharge following all rainfall events. Addressing waste water treatment and recycling waste water. Providing improved flood forecasting measures based on measure precipitation gauges or weather radar systems, linked to catchment models. Helping refine policy at national, state, and local levels to incorporate the above four tasks. Supporting educational systems to inform local people and also encourage research to support the above five tasks as well as development of a regional climate model which can be linked to local water use patterns to better estimate impacts of climate change. Source: Water and Sanitation Program South Asia, Climate Risk Screening 3.2 Service Agreements GPs/VWSCs should explore options to access professional experience and skills for operation and maintenance, including qualified mechanics for handpump preventative maintenance and operators for piped water supplies. (See Section 5.3 on Outsourcing). Service Agreements Whether the water supply system is being operated by community based technical and operational staff, a public utility / department, or a local private entrepreneur, a service agreement is a very useful tool. Service agreements set out the operators tasks and what they will be paid, and as such can be used to provide guidance and incentives to gather information, plan and implement as effectively and efficiently as possible. If local entrepreneurs are involved then other advantages include management 34

35 expertise, tariff / financial discipline and access to private capital. In addition, performance indicators provide the basis for monitoring implementation and performance, including demand side outcomes. Source: Ministry of Rural Development, Provision of Urban Amenities in Rural Areas 4: Strengthen Decentralised Governance These implementation measures are concerned with creating the enabling environment for drinking water security; this requires institutional support, financing and regulation/monitoring. 4.1 Institutional roles and responsibilities Institutional roles and responsibilities laid down in the NRDWP Guidelines should be followed: Gram Sabha: The community talks about what it wants in the Gram Sabha and approves decisions about water services based on techno-economic criteria. The GP is responsible for ensuring that every person has access to an adequate supply of safe water. Water Operators: Contracts set out caretakers/operators tasks and what they will be paid. The VWSC should be a standing committee of the GP as per the Panchayat Raj Act/Rules and responsible for planning, implementation, operation, maintenance and management of the water supply system. GPs/VWSCs implement plans to agreed budgets and timeframes, and provide annual reports on progress and performance to the Gram Sabha and the Block Panchayat. The Block Resource Centre provides motivation, training, support etc. to the GP/VWSC. District support: ZPs and DWSMs help organize financing, training and technical support, review plans and monitor implementation and performance. In Union Territories and smaller States the full complement of BRCs and DWSMs and their staffing would not be required nor could it be funded from the Support funds. The UTs and smaller States can appropriately plan the staffing, remuneration and setting up of BRCs and DWSMs depending on the availability of funds and requirements. All States should have a dedicated line Department/ Board/ Corporation for rural water supply with dedicated Rural Water Supply engineers and other staff at district, block and section levels located within the PRIs or to support them. State support: SWSMs provide policy guidance; SLSSCs approve schemes and Support activities to be taken up and review implementation progress and operational performance; WSSOs deal with software aspects of RWS; State Technical Agencies (STAs) support PHEDs through technical expertise. The SWSM and DWSM are responsible for getting the GPs and VWSCs to participate in planning for improved drinking water security. Awareness creation and IEC: Awareness of all stakeholders on various aspects of ensuring drinking water security is very vital to achieving the overall sector objective. This involves not just communication of messages but also adequate behavior change. States should design and implement appropriate behavior change communications and monitor the progress on the change achieved periodically. 35

36 Linkages with R&D institutions, national and State level scientific institutions and educational institutions at all levels will be strengthened through R&D projects, tie-ups for water quality monitoring, training, technical support, monitoring, evaluation, impact assessment studies etc. Role of NGOs and CSOs will continue in community mobilization, information dissemination, institution building, planning and technical support and monitoring. In addition they may also be involved in planning, designing and piloting of model innovative schemes by the States. Case Study: Role of NGO in Decentralised Water Supply on 24x7 basis with Equity Gram Vikas, Orissa. Unique to Gram Vikas is the adoption of the social inclusion approach wherein all families of a habitation, irrespective of their economic, social and caste considerations, are provided the same infrastructure and service. Under the Gram Vikas scheme, every family gets access to good quality toilets and bathrooms, coupled with three taps per household and 24x7 piped water supply. Gram Vikas scheme integrates the concepts of demand-led supply through decision making processes and cost sharing. In addition, this scheme differs from other approaches by breaking with the formula that equates poor people with low quality services and products. The quality, convenience and privacy of the design have really changed the daily lives of these poor rural communities and led to widespread behaviour change, inducing communities with no history of fixed point defecation to adopt new habits. Gram Vikas Movement and Action Network for the Transformation of Rural Areas (MANTRA), as on March 31, 2010, has served about 2,50,000 people in 787 villages in 22 districts of Orissa. Department of Drinking Water and Sanitation, Ministry of Rural Development would be in charge of policy making at the national level, revising policy and guidelines from time to time, financial and technical support to the States, facilitating States to avail external assistance, macro-monitoring of sector performance, programme monitoring, advising and coordinating with other Ministries/Departments and their subordinate offices, institutions, autonomous bodies on matters relating to drinking water supply in rural areas and for coordination with urban water supply where required and other functions as laid down in the rules and by the competent authorities. Convergence of different development programmes Regular meetings of the National Drinking Water and Sanitation Council should be held for better coordination and convergence at the national level. SWSMs are responsible for convergence of policy and programmes for water supply and sanitation with other related Departments and programmes at the State level. DWSMs are responsible for coordination of activities relating to water and sanitation among district officers of Health, Education, Forests, Agriculture, Rural Development, etc., and National programmes/grants such as TSC, SSA, NRHM, ICDS, BRGF, MNREGS, FC. 36

37 The SWSMs and DWSMs should meet regularly. The issues for discussion listed in the SWSM and DWSM Guidelines for effective functioning of SWSMs and DWSMs indicate many activities and areas of convergent action. These should be discussed, followed and built upon. Convergence with Health and Women and Child Development Departments to spread the message of safe water use, safe sanitation and hygiene has to be ensured by SWSMs and DWSMs. A concurrent monitoring system for water borne diseases and health should be set up for clinical assessment for arsenical dermatitis and fluorosis and regular monitoring done for other water borne diseases especially diarrhea through the community health monitoring approach. Capacity building should be provided to Medical Officers on detection of arsenic and fluoride poisoning cases and other water borne diseases and their management in the affected GPs/blocks. 4.2 Financing of Drinking Water Security Funds would be allocated according to NRDWP Guidelines, including allocations for Sustainability, Water Quality and O&M. GPs/VWSCs should have an annual workplan with activities, budget and timeframe/milestones. Funds should be devolved to GPs from DWSMs to implement their village water security plans/annual workplan, with DWSMs reviewing operational and financial viability of plans and monitoring whether planned activities are on schedule and to budget. States should ensure clarity on O&M policy, including subsidies and tariffs, so that VWSCs and operators can estimate their revenues and plan accordingly. Incentive schemes should be introduced to reward good performance by GPs/VWSCs and BRCs. An incentive award Sajal Gram Puraskar will be instituted to encourage Panchayats that provide safe and adequate drinking water supply to all households on a convenient and sustainable basis. Various indicators will be used for measuring devolution of functions, funds and functionaries (3Fs) by States to PRIs. A Management Devolution Index based on these indicators will be used to allocate the 10% incentive under NRDWP for States where PRIs manage RWSS. This will encourage States to devolve the 3Fs to the PRIs. 4.3 Oversight and Regulation Transparency of information is a critical first step towards effective regulation. States should provide access to information through online reporting mechanisms with information placed in the public domain to bring in transparency and informed decision making 12. States are required to establish a regulatory body as a condition of the 13 th Finance Commission. However, many interim steps can be taken to establish sound regulatory functions. 12 A good example is the Madhya Pradesh State Planning Commission web portal for integrated district planning carried out in five pilot districts under the Planning Commission - UNDP Joint Programme on Convergence. 37

38 Water resources regulation 13 States should ensure mainstreaming of drinking water sector concerns like primacy to drinking water in overall water resource allocations, service delivery and maintenance of water quality in water regulatory bodies set up by them. Water resources regulation should: Put in place systems for measuring availability of water through monitoring groundwater levels and rainfall in every village and GPs. Calculate existing usage of water by various categories of users. Determine the equitable allocation and distribution of water within each category of use (irrigation water supply, rural water supply, municipal water supply or industrial water supply). Determine the priority of equitable distribution of water available, and adjustment of allocations during droughts. Establish a water tariff system for bulk supply, and fix the criteria for water charges. Keep in mind inter-state water resources apportionment on river systems. Improve water use efficiency over existing levels. Economic regulation (setting, monitoring and enforcing tariffs and service standards for water service providers) States must establish O&M policy on service standards and user charges with appropriate subsidies and protecting the supply of basic needs without any financial constraints. The GP and VWSC should support a process of social audit by placing key issues for discussion and decisions in the Gram Sabha, including selection of sources and systems, community contributions, user fee charges and connection fees, and subsidies/concessions provided to ST, SC and BPL households. DDWS, SWSM, DWSMs, VWSCs and operators should have mechanisms in place for client/consumer grievance redressal. Value for money E-procurement should be introduced for rural water supply schemes in all States. States and districts should adopt computerised inventory management in all offices. Third party or Departmental Quality Control Laboratories for testing materials used in RWSS should be set up at State and/or regional levels by all States and strengthened. Engineers will be trained in efficient design of new schemes and in rehabilitation and restoration of old schemes to ensure value for investments. Environmental regulation (regulating water abstractions and discharges back to the environment so as to manage resources in a sustainable manner) States should enact and effectively enforce water resource legislation to regulate abstraction of ground and surface water. 13 Adopted from Key Provisions of the Maharashtra Water Resources Act of 2005, based on MWRRA (2005). 38

39 GPs should be empowered to address the issue of controlling irrigation and industrial demand within their boundaries to secure their own drinking water supply. Larger schemes and works such as storage tanks require attention to environmental and social impacts. Public health (water quality) regulation (setting standards and monitoring drinking water quality) The DDWS and States should notify and enforce drinking water quality standards in a phased manner in line with IS and NRDWP guidelines. A Uniform Protocol for Drinking Water Quality Monitoring should be developed and disseminated for guidance to all States for following in all labs. States should obtain assistance of agencies like CPCB, SPCBs, CGWB, State Ground Water Boards/Departments, NIH, scientific and educational institutions with established water quality testing facilities for training and technical assistance. Impact assessment studies of water quality on health and environment should be done regularly. Monitoring, audit and reporting In monitoring coverage, focus should move from achieving habitation level coverage towards household level drinking water coverage. Habitations with uncovered households cannot be considered fully covered. IMIS with GIS mapping will be improved for transparency, effective monitoring, and reporting on preparation, implementation and performance of drinking water schemes. Cross checking and independent verification of IMIS data including through reputed NGOs, academic institutions etc. would be done to improve reliability of the database. Workwise monitoring from estimate to payment will be integrated in the IMIS to link the physical and financial reporting systems. All drinking water sources, storage structures and delivery systems, will be mapped using GPS on GIS and their date of installation should be added to the GIS database. Social audits should be mandated by States. The existing Mahatma Gandhi National Rural Employment Scheme (MNREGS) model can be replicated for rural water. Detailed guidance will be provided by DDWS on conducting social audits. Training programmes will be conducted for this purpose. Exclusion of habitations with concentrations of Scheduled Caste, Scheduled Tribe, minorities, and, remote habitations should be prevented by use of IMIS and GIS maps., Overtime State WSSOs and DWSMs should establish process and metric benchmarking (see Box below). Conduct annual / biennial independent verification and monitoring survey and beneficiary assessments to verify coverage, service levels, satisfaction etc. 39

40 There are two forms of benchmarking performance, metric and process, which WSSOs/DWSMs should take up and establish over time. Process benchmarking involves identifying and learning from best in class, i.e., GPs/VWSCs can learn from other GPs/VWSCs that are doing well. The approach is to find out which GP/VWSC is currently the best at some aspect of planning or operations. For that particular aspect, the other GPs/VWSCs can then learn how to perform at a level comparable with the best. If this learning process can be established not as a competition, but as experience sharing, there can be great enthusiasm to take part in the workshops and to work together to the benefit of all. This can be a part of existing training/refresher training programmes. Metric benchmarking aims to establish league tables of performance to stimulate GPs/VWSCs to improve performance. It is important to start in a simple way with a few key performance measures, obtain sound baseline data, and initially concentrate on looking at performance trends for each GP/VWSC. Each GP/VWSC should be aiming to improve on its own performance year by year. This can be a part of the existing annual reporting process, where year by year operational performance can be compared. States can begin by identifying the critical aspects for process benchmarking. Workshops can be held to develop the approach for learning from best in class in a State. At the same time a few critical parameters could be chosen for making a start on metric benchmarking, for which simple league tables can be established and linked to national or state incentive reward schemes. Training of the benchmarking facilitators (DWSMs and others) is critical for success. 5: Build Professional Capacity 5.1 Training Training should be based on Training Needs Assessment on all identified issues and specifically targeted to new institutional roles and responsibilities to support village, district and State water security planning and implementation States should identify State Key Resouce Centres at State and regional/district levels to provide continuous training and resource support to districts, blocks and GPs/VWSCs in drinking water supply service delivery. National Key Resource Centres, State KRCs, SIRDs and other training institutions should establish training modules and programmes on all issues related to drinking water supply including for village and district water security planning and implementation, sustainability, promoting community involvement for operators, pumpmen, lab technicians, engineers, VWSC and PRI representatives, WSSO, BRC and DWSM staff. Polytechnics and industrial training institutes and vocational education institutions should offer courses to develop practical skills for rural water supply. WSSOs (CCDUs) should operate a Help Desk and Outreach Training Programme. Pilot demonstrations at GP or Block level to provide an opportunity for learning by doing should complement class room sessions. Technology parks can be established to showcase cost effective technologies Such as the rural technology park and mela at NIRD, Hyderabad. 40

41 State workshops should be held with participation of practitioners to share case studies of good practice. Exposure visits for key stakeholders are the best way to facilitate peer to peer learning from cases of good practice. Written documentation and short films on success stories should be used to help disseminate lessons learned. PHED engineers should have the opportunity to learn new skills so that they are better able to offer technical support to local governments and communities. Staff (institutions) should be results orientated, people focused, effective and efficient in resource utilisation, and able to deal with unknowns. Change management training programmes will be imparted in all States to re-orient roles of engineers towards greater participatory planning and implementation and provide better value for money. Case Study : Communications at the Core of Reform People working in rural development agencies realize the importance and value of communications. Yet very often, their definition of communication is out of date; they think in terms of extension-type activities, such as advice disseminated with no feedback mechanism, or the production of mass media, such as leaflets, posters or radio programs commonly called IEC which does not measure the impact of the products and what messages they convey. Strategic communication must ensure that development policies and goals are understood and shared by all stakeholders so that there is ownership and commitment to action. With new age media TV, mobile phones, satellite, internet reaching the deepest corners of our country, there is an opportunity to disseminate messages more effectively. In addition, evidence shows that face to face contact through grass roots functionaries and performance arts can be most effective in reinforcing these messages and give participants a chance to seek clarifications. Simple, consistent messages are needed that clearly articulate major issues, explain individual, community and institutional responsibilities, provide information for decision makers to take action, and emphasize the role of women and other marginalized groups, as well as providing feedback mechanisms. In terms of the critical issues for drinking water such as source sustainability, water quality management and better operation and maintenance, it is critical that strong grass roots demand is generated. While individuals and communities may see Panchayat Raj Institutions and PHEDs as responsible for providing water services, it is critical that more participatory processes are adopted to involve all sections of the community in making decisions. 5.2 Technical support The Public Health Engineering/Rural Water Supply Departments/Boards/Corporations are the key to successful implementation of the Strategy. The expertise and experience available with them should not be lost or duplicated while outsourcing any activity. PHED engineers are a key resource for engineering designs, cost estimates and troubleshooting technical problems. Therefore, professional capacity building of water supply engineers in knowledge, skills and attitudes should be taken up through STAs, National and State KRCs, 41

42 regular training programmes in reputed institutions both within the country and abroad, and through online and distance education courses. Posts of field level engineers have to be filled regularly. States should plan recruitments by manpower planning and ensure that not more than 5% vacancies exist in the district, block and sub-block level cutting-edge technical posts. WSSOs, DWSMs and BRCs should be set up and staffed depending on the availability of funds and requirement in each State/UT. Key Resource Centres at State and district level can be identified and tasked with providing technical and managerial support. Services of qualified hydrogeologists should be made available to support PHED, DWSM, VWSCs in all districts. Groundwater survey and development, hydrology, geology, geomorphology should be integrated in the RWSS Departments of States on the GSDA model of Maharashtra. Water Operators Partnership among water operators working in irrigation, industry and drinking water sectors, will be promoted with the objective of recognising, sharing and learning from good practices and providing mutual support. 5.3 Outsourcing Public private partnerships allow States to retain regulatory and supervisory responsibilities while accessing skilled operators and service providers of the private sector. The private sector may offer management expertise, tariff and financial discipline, and private capital. Service Agreements (whether with community based, public or private operators) should be in place since they bring transparency to service deliverables and how the operator will be paid. Service agreements also help to orientate inexperienced operators in gathering information, planning, routine operations, efficiency improvements and expansion. While formulating State specific PPP policy the PURA scheme Guidelines and documents prepared under it may be considered for guidance. States should develop and disseminate appropriate knowledge and tools to prepare, tender and manage service agreements with community based, public or private handpump mechanics, contractors, piped water supply operators and other service providers. 42

43 Part Five: Learning Agenda, Resources Required and Key Performance Indicators Learning agenda for the Department of Drinking Water and Sanitation Training and technical support has been presented in Part Four. The implementation of a learning agenda is built upon the following strategies, which are led by DDWS: Laying down national policy framework in the NRDWP Guidelines Issuing detailed guidance on individual strategies and implementation plan options where necessary e.g. on regulatory model, convergence of schemes etc. to help States. Guiding States to prepare State specific Strategic Plans within one year to achieve the goals set out. Bringing out Handbooks/ Manuals for guidance of PHEDs and PRIs. A national pilot in selected blocks in different States to demonstrate participatory integrated water resource management, drinking water security and source sustainability planning and implementation. Development and provision of training modules and materials by National Key Resource Centres and NIRDs. Sharing field experiences from good practices/ case studies in India and internationally in surface water management, ground water management, water safety planning, etc. Setting up and strengthening the National Resource Centre to provide techni cal and knowledge support to DDWS. Arranging trainings and exposure visits within and outside the country for senior officers of RWSS in States and staff of DDWS. Promoting strengthening of curriculum on rural drinking water supply, water quality and sanitation in curricula of school, engineering, technical and vocational educational institutions. Resources required by DDWS Manpower resources The National Resource Centre consultants will be utilised to strengthen the Departments policy making and guidance roles. The NRC will be strengthened to become an autonomous institution on the lines of National Rural Roads Development Authority. All Technical Advisors posts in the DDWS will be filled up and suitable cadre management adopted to attract good talent. 43

44 Financial Resources The Financial resources required to achieve the goals set out in this Plan according to NRDWP funding components for the period have been worked out on the following basis: per capita cost of PWSS of each State is calculated from IMIS with minimum cap of Rs per capita plus Rs. 250 for household metering Cost escalation and population increase were not considered in this calculation. The amount required to raise the coverage level from 40lpcd to 70lpcd is assumed as 40% of present per capita cost. Community contribution of 6% of total cost; present NRDWP sharing pattern between Centre and States Apart from 10% for O&M(R&M), 10% Sustainability and 10% for Support and Administrative including Calamities has been provided for Based on the above the amount required to increase service level of population covered with PWS at present from 40lpcd to 70lpcd for the present population is estimated at Rs.37,471 cr. The amount required to covered remaining population with to reach 90% coverage is estimated at Rs. 3,03,457 cr. The table below shows the Statewise requirement of funds. The total funds required at present per capita cost and population to cover 90% of the rural population with piped water supply is estimated at Rs. 3,40,928 cr. Assuming the NRDWP sharing pattern the Central Share would be Rs.2,01,898 cr., the State Share Rs 1,18,575 cr. and community contribution the balance of Rs. 20,456 cr. At the macro level this level of funding appears to be within the feasible range. The total planned investments by Centre and States under the XI Five Plan is about Rs. 1,00,000 cr. including NRDWP, State Plan funds, Finance Commission grants and external assistance. It is therefore feasible to invest the required higher amounts in the next two Five Year Plan periods given the necessary demand. However the crucial detail is that the major funding requirements are for States where the proportion of rural population covered with piped water supply schemes is less than the national average like the States of UP, Bihar, Rajasthan, West Bengal, MP, Jharkhand, Orissa, Assam, Chhattisgarh, Uttarakhand etc. Therefore there is a need to explore the pattern and possibilities of funding this requirement in these States if the goals set out in this Plan are to be achieved. 44

45 Rural population covered with Piped Water Supply as per IMIS data as on date Name of the State/ UT Total Population Population covered with PWS as per IMIS on date Percentage of population covered with PWS ANDAMAN and NICOBAR ANDHRA PRADESH ARUNACHAL PRADESH ASSAM BIHAR CHANDIGARH CHATTISGARH DADRA & NAGAR HAVELI DAMAN & DIU DELHI GOA GUJARAT HARYANA HIMACHAL PRADESH JAMMU AND KASHMIR JHARKHAND KARNATAKA KERALA LAKSHADWEEP MADHYA PRADESH MAHARASHTRA MANIPUR MEGHALAYA MIZORAM NAGALAND ORISSA PUDUCHERRY PUNJAB RAJASTHAN SIKKIM TAMIL NADU TRIPURA UTTAR PRADESH UTTARAKHAND WEST BENGAL INDIA 86,34,94,741 27,24,05,

46 Sl. No. Name of the State/ UT Total Population Population covered with PWS as on date Financial requirements for covering 90% of rural population with Piped Water Supply Population yet to be covered with PWS 90% of Total Population to be covered with PWS Population yet to be covered with PWS to reach 90% population coverage Total funds requirement in Rs. Crore to provide PWS to uncovered population to reach 90% Total funds requirement in Rs. Crore to provide PWS to uncovered Total funds requirement in Rs. Crore to provide PWS to uncovered and Sustainability,Sup % Funds required to provide 70lpcd to population already covered with PWS Total funds required to provide PWS to existing population and 90% of Total Central Share 1 ANDAMAN and NICOBAR , , ANDHRA PRADESH ,221,844 10,453, , ,156 6,015 3, ARUNACHAL PRADESH ,599 74, ASSAM ,716,533 18,279, , ,624 8,660 5, BIHAR ,373,804 79,005, , ,812 24,169 14,194 2,449 6 CHANDIGARH ,257 73, CHATTISGARH ,540,969 13,243, , ,991 4,140 2, DADRA & NAGAR HAVELI , , DAMAN & DIU ,397 70, DELHI GOA , , GUJARAT ,464,702 4,804, , ,077 3,599 2, HARYANA ,753,011 2,010, , ,036 2,390 1, HIMACHAL PRADESH ,622,506 1,597, , ,018 2,972 1, JAMMU AND KASHMIR ,633,172 4,888, , ,942 4,111 2, JHARKHAND ,195,160 21,132, , ,650 11,045 6,486 1, KARNATAKA ,351,402 5,843, , ,061 3,589 2, KERALA ,924,328 3,608, , ,101 2,429 1, LAKSHADWEEP ,852 45, MADHYA PRADESH ,422,440 43,530, , ,215 13,156 7,726 1, MAHARASHTRA ,293,811 25,466, , ,097 13,086 7,685 1, MANIPUR ,230, , MEGHALAYA ,086, , , ,131 1, MIZORAM , , NAGALAND ,549, , ORISSA ,267,622 22,425, , ,199 7,816 4, PUDUCHERRY ,296 16, PUNJAB ,903, , ,848 1, RAJASTHAN ,795,859 34,531, , ,105 15,460 9,079 1, SIKKIM , , TAMIL NADU ,599,901 10,515, , ,582 4,490 2, TRIPURA ,531,975 1,478, UTTAR PRADESH ,337, ,362, , ,797 40,741 23,928 4, UTTARAKHAND ,354,117 4,994, , ,252 6,663 3, WEST BENGAL ,579,387 57,137, , ,740 22,349 13,126 2,264 Total fund requirement for 40 lpcd service level ,145, ,739, , , , ,575 20,456 Total State Share Community

47 Key Performance Indicators Level Description Key Indicators Means of Verification Impact Household health and livelihoods improved - % Reduction in prevalence of diarrhea in children under 5 from base year - % Reduction in IMR from base year Data from MoHFW Outcomes (Results) Outputs Every rural person has enough safe water for drinking, cooking and other domestic needs as well as livestock at all times in all situations. Physical infrastructure created to support drinking water security for rural households. -% of households accessing drinking water through piped water supply with household connections (i)metered and (ii) unmetered. -% of households accessing drinking water through public taps -% of households access drinking water supply through handpumps throughout the year. -% of households accessing drinking water through other means throughout the year -% of habitations with service level of 70 lpcd or more -% drinking water sources with safe drinking water as per IS norms throughout the year. -No of labs set up/upgraded No. of water samples tested for quality with field test kits No. of water samples tested for quality in labs -% age of public drinking water sources with chemical contamination -%age of private drinking water sources with chemical contamination -%age of public drinking water sources with bacteriological contamination -% households accessing safe drinking water as per IS norms throughout the year. -% of villages with 24x7 safe water supply throughout the year No. of schools covered with water supply No. of anganwadis covered with water supply No of schools covered with Jalmani units -% of village schools with water supply -% of anganwadis with water supply -No of habitations covered by single village piped RWS schemes -No of habitations covered by multi-village piped RWS schemes -No of quality affected habitations covered -No of partially covered habitations taken up for augmentation IMIS Monthly report IMIS-Annual Report -do- -do- -do- Based on sources tested in IMIS -do- IMIS-Annual Report -do- -do- All through IMIS- Annual and Monthly reports Strategic -No of rainwater harvesting structures created -No of groundwater recharge measures implemented - No. of quality affected habitations covered % of districts with district level labs -% of sub-districts with sub-district level labs -% of all drinking water sources tested during the year

48 objectives 1 Drinking water security plans developed and implemented 2 Conjunctive use of water sources adopted 3 Convergence of various programmes 4 Institutional arrangements strengthened 5 Financing of plans adopted 6 Regulatory processes adopted 7 Training of all key stakeholders undertaken 8 Technical support strengthened -Release of BE plan allocation under NRDWP - -% age of GPs/VWSCs managing in-village water supply -% age of single-village/in-village water supply schemes implemented by GPs/VWSCs -No. of village drinking water security plans developed -No of village drinking water security plans implemented -No. of district drinking water security plans developed -No of district drinking water security plans implemented -% of villages served only from groundwater sources -% of villages served only from surface water sources -% of villages served only from rooftop water harvesting -% of villages using recycled water -% of villages served from surface and ground water sources, -% of villages served from surface, ground water and rooftop water. - Number of drinking water supply schemes using funds from programs other than NRDWP -No. of districts reporting on funds used through convergence -No of states that have carried out an activity mapping exercise for PRIs -No. of states transferring capital and O&M finances to PRIs. - Management Devolution Index of States to measure nature and extent of management of RWSS by PRIs. - % of GPs with a corpus fund for replacement and expansion. - % of GPs with more than 75% of demand of user charges collected -No. of states adopting regulatory legislation to prioritise allocations for drinking water. -No of states institutionalizing regulatory bodies. -No. states with an O&M policy on service standards and cost recovery. -No. of states adopting Uniform Protocol for Drinking Water quality testing. -No. of DWSMs meeting twice in previous year -% of GPs reporting monitoring of drinking water quality -% of groundwater sources for which groundwater levels are reported. -% of Unaccounted for Water in rural multi-village piped water supply schemes -No. of training workshops completed at different levels -No of village level persons trained for water quality testing -No. of trained people at different levels -No of exposure trips and no of participants -% of BRCs set up % of BRC Coordinator positions filled All through IMIS Annual Report All through IMIS - Reports Through IMIS Reports Through reports from State Governments IMIS - Reports As per State Govt. reports -IMIS Reports Page 48 of 121

49 -% of DWSM and SWSM support staff positions filled % of district, block and sub-block level engineer posts filled up -No. of State and district Key Resource Centres established -No. of activities undertaken by STA -No. of activities undertaken by State Referral Institute R&D projects approved Monitoring and Evaluation studies initiated Manuals/Handbooks released 9 Outsourcing -No. of PPP contracts in rural water supply Page 49 of 121

50 Towards Nirmal Bharat Rural Sanitation and Hygiene Strategy, Department of Drinking Water and Sanitation Ministry of Rural Development Government of India Dated 4 th February 2011 Page 50 of 121

51 Overview This document presents the Rural Sanitation and Hygiene Strategy of the Department of Drinking Water and Sanitation for the period 2012 to The purpose of the Strategy is to provide a framework to realize the vision of Nirmal Bharat, an environment that is clean, healthy and contributes to the economic and social wellbeing of all rural citizens. The Strategy is structured as follows: Chapter 1 sets out the Context and Baseline in terms of current status and trends in rural sanitation and hygiene as well as lessons learnt from experience as distilled through regional and other consultations that underpinned the development of this Strategy Chapter 2, About the Strategy, outlines the Aspirations, Vision, Goals and Objectives Chapter 3 details the Building Blocks of the Strategy. This provides options based on which each State can formulate its own roadmap depending on its needs, existing coverage and capacity. Chapter 4 outlines an Implementation Plan. Towards Nirmal Bharat: Snapshot Vision: A Nirmal Bharat A Nirmal Bharat is the dream of a clean and healthy nation that thrives and contributes to the wellbeing of our people. To achieve this in rural areas, we are committed to: Completely eliminating the traditional habit of open defecation and making this a relic of the past Operationalizing systems for the safe management of solid and liquid waste at scale Promoting the adoption of improved hygiene behaviors Addressing inequalities in access with special attention to vulnerable groups such as women, children, aged and disabled Ensuring that providers have the capacity and resources to deliver services at scale Stimulating and enabling cooperation across public sector agencies concerned with rural development, health, environment and vulnerable sections Working with business, academic and voluntary partners to achieve the goals of the strategy Goals Our strategy has 3 goals: Creation of Totally Sanitized Environments By 2017: The end of open defecation and achievement of a clean environment where human fecal waste is safely contained and disposed. Adoption of Improved Hygiene Practices By 2020: All people in the rural areas, especially children and caregivers, adopt safe hygiene practices during all times. Solid and Liquid Waste Management By 2022: Effective management of solid and liquid waste such that the village environment is kept clean at all times. Page 51 of 121

52 CONTENTS Vision: A Nirmal Bharat 51 CHAPTER 1: CONTEXT AND BASELINE The Sanitation Impacts Evolution of Policy Framework for Rural Sanitation Sector Reforms: Total Sanitation Campaign (1999 onwards) Baseline: Status of Sanitation Coverage and Trends Impact of Total Sanitation Campaign The profile of rural sanitation Challenges Poverty continues to be a curse Going Beyond ODF: Integrating Sanitation, Hygiene and Environmental Sanitation SWOT Analysis Lessons Learnt 73 CHAPTER 2: ABOUT THE STRATEGY Aspiration Vision: A Nirmal Bharat Goals Emerging Priority areas for focused approach 80 CHAPTER 3: STRATEGY BUILDING BLOCKS Institutional Structure and Capacity Other Institutions Approach to Demand Creation Technology Options Supply chain Solid and Liquid Waste Management Financing Monitoring Sustainability 108 Page 52 of 121

53 3.10 Incentives 109 Chapter 4: Implementation Plan Phasing The implementation measures Communication Strategy Incentives Institutional Sanitation Facilities Solid and Liquid Waste Management Sustainability Adoption of improved hygiene practices Monitoring Sanitation Budget 119 Page 53 of 121

54 CHAPTER 1: CONTEXT AND BASELINE Page 54 of 121

55 CHAPTER 1: CONTEXT AND BASELINE The Indian economy has been growing rapidly and the 10 th Plan ( ) clocked the highest growth rate (7.2%) of any plan period to date 15. The paradox is that while India is now in the front ranks of fast-growing emerging economies, it is also one of the countries wherein a lot of efforts are still required to eliminate the practice of open defecation (see Fig 1). In rural areas, open defecation though reduced in scale continues to be a socially and culturally accepted traditional behavior at large. Lack of priority to safe confinement and disposal of human excreta poses significant health risks manifest in the sanitation challenge facing the nation today. Fig 1: Open Defecation by Country (Urban+Rural) as of year 2008 The Sanitation Impacts Diseases linked to poor sanitation and hygiene lead to substantial loss of life and potential. It is estimated that one in every ten deaths in India is linked to poor sanitation and hygiene. Diarrhea, a preventable disease, is the largest killer and accounts for every twentieth death. Around 450,000 deaths were linked to diarrhea alone in 2006, of which 88% were deaths of children below five (WSP Economics of Sanitation Initiative 2010). Prevalence of child undernutrition in India (47 per cent according to National Family Health Survey III, ) is among the highest in the world. 15 Planning Commission (2006) Towards Faster and More Inclusive Growth: An Approach to the 11 th Five Year Plan ( ) Page 55 of 121

56 Studies (UNICEF, 2009; Dillingham and Guerrant, 2004) have shown the impact of diseases caused by poor sanitation among children to their cognitive development. Due to the decreasing immunity suffered by the children in their early years as a result of sanitation linked diseases, the development of cognition is found to be significantly hampered, resulting in a lifelong impact on their development. Studies (IRC 2009a; UN Water 2008; Wash in Schools, undated) have also shown that the education of children, especially the girl child, is also significantly impacted by poor sanitation. Frequent bouts of illnesses among children leads to their missing school for significant number of days. Elder children have to stay at home to take care of their sick siblings, again leading to loss of attendance. Girls are often forced to miss school or even drop out of education due to lack of sanitation facilities in their schools. Another impact of poor sanitation and the resultant illnesses is the loss of productivity of the family members. The adult members of households have to either forego going for productive labor, or become weak to fully realize their productive potential or have to stay home away from work to take care of sick members of the household. This leads to loss of wages, which leads to them getting trapped in the vicious cycle of poverty. It is also known that lack of adequate sanitation leads to significant losses for the country. As per a recent study carried out by Water and sanitation Program (WSP), if the economic losses linked to poor sanitation are monetized, the results are staggering. The adverse economic impacts of inadequate sanitation in India as reported in the study based on published details like sanitation coverage, child mortality etc as of the year 2006 is of the order of Rs. 2.4 Lakh crore (US$ 53.8billion), or Rs. 2,180 (US$ 48) per person. This works out to 6.4% of Gross Domestic Product (WSP Economics of Sanitation Initiative 2010). While the country has come a long way since then and all these indices stands improved to a great extent, the linkage between inadequate sanitation coverage and economic loss is of extreme significance. Evolution of Policy Framework for Rural Sanitation The responsibility for provision of sanitation facilities in India is decentralised and primarily rests with local government bodies Gram Panchayat in rural areas and municipalities or corporations in urban areas. The state and central governments have a facilitating role that takes the form of framing enabling policies/guidelines, providing financial and capacity-building support and monitoring progress. In the central government, the Planning Commission, through Five Year Plans, guides investment in the sector by allocating funding for strategic priorities. Page 56 of 121

57 Pre-1986: Ad hoc Investments through Five Year Plans Rural sanitation did not feature on the investment horizon during the first five plan periods as reflected in its negligible funding share. However, it received prominence from the Sixth Plan ( ) onwards amid the launch of the International Drinking Water Supply and Sanitation Decade in In addition, responsibility for rural sanitation at the central level was also shifted from the Central Public Health and Environmental Engineering Organisation to the Rural Development Department. Conventional Approach: Central Rural Sanitation Programme ( ) In 1986, the Rural Development Department initiated India s first national programme on rural sanitation, the Central Rural Sanitation Programme (CRSP). The CRSP interpreted sanitation as construction of household toilets, and focused on the promotion of pour-flush toilets through hardware subsidies to generate demand. The key issue of motivating behaviour change to end open defecation and use of toilets was not addressed. As a result the programme in the supply driven mode had limited intervention in improving rural sanitation coverage. Although more than Rs. 660 crore were invested and over 90 lakh latrines constructed, rural sanitation could grow at just 1 percent annually throughout the 1990s and the Census of 2001 found that only 22 percent of rural households had access to toilets vis-a-vis a rural sanitation coverage of 1% as of the year Sector Reforms: Total Sanitation Campaign (1999 onwards) In light of the relatively limited intervention of the CRSP in improving the rural sanitation coverage, the Government of India restructured the programme, leading to the launch of the Total Sanitation Campaign (TSC) in the year A key learning that formed the basis of TSC design was that toilet construction does not automatically translate into toilet usage, and people must be motivated to end open defecation if rural sanitation outcomes are to be achieved. A second key learning was the recognition of the public good dimensions of safe sanitation and the realisation that health outcomes will not be achieved unless the entire community adopts safe sanitation. Accordingly, the TSC introduced the concept of a demand-driven, community-led approach to total sanitation (DDWS 1999). This was further strengthened with the introduction of the NGP in the year 2003, which incentivised the achievement of collective outcomes in terms of 100 percent achievement of total sanitation by a Panchayati Raj Institution (PRI). Page 57 of 121

58 Key features of the TSC include: A community-led approach with focus on collective achievement of total sanitation; Focus on Information, Education and Communication (IEC) to mobilise and motivate communities towards safe sanitation; Minimum capital incentives to be disbursed post construction and usage; Provision of revolving funds Flexible menu of technology options; Development of a supply chain through alternate delivery mechanism to meet the demand stimulated at the community level; Priority to School (and anganwadi) Sanitation and Hygiene Education (SSHE) and Community sanitary complexes for landless/public places Fiscal incentive in the form of a cash prize NGP (Box 2). Page 58 of 121

59 Box 2: Nirmal Gram Puraskar The Nirmal Gram Puraskar of the Government of India, introduced in 2003, is an innovative programme that offers fiscal incentives in the form of a cash prize to local governments that achieve 100 percent sanitation, that is, they are 100 percent open defecation free (ODF) and have tackled issues of solid and liquid waste management (SLWM). The amount of incentive is based on population as shown in Table 2.1. Table 2.1: Population-linked Incentives (All figures in Rs. 100,000) Particulars Gram Panchayat Block District Population Criteria Less than to to to and above Up to and above Up to 10 lakh Above 10 lakh PRIs Individuals Organisations other than PRI Providing post-achievement incentives is a significant shift from the upfront subsidy promoted by conventional rural sanitation programmes. The NGP has elicited a tremendous response with the number of GPs winning this award going up from a mere 40 in 2005 to over 22,000 to date. The NGP helps to raise the status of the winning Panchayat, and create peer pressure among neighbouring Pancahyats as well as tough competition at all tiers of the administration. Baseline: Status of Sanitation Coverage and Trends Source: Government of India, Department of Drinking Water and Sanitation < National Level Sanitation Performance After sluggish progress throughout the eighties and nineties, rural sanitation coverage received a fillip with the implementation of the TSC. As can be seen from Figure 3 below, individual household latrine coverage has nearly tripled from just 21.9% at national level as reported by the Census in 2001 to around 65% in 2010, according to the latest data reported by districts to the Department of Drinking Water and Sanitation through on line monitoring system. This translates to 35 crore of rural people gaining access to sanitation in the last decade. Fig 3: Rural Sanitation Coverage in India Page 59 of 121

60 70% 64% 60% 56% 50% 48% 40% 30% 20% 1999: Launch of Total Sanitation Campaign 31% 32% 27% 22%22%23% 17% 18% 39% Launch of Nirmal Gram Puraskar 10% 0% 1% 4% 11% 3% 10% 11%14% 6% Source: Government of India, Department of Drinking Water and sanitation Accessed March Since its launch, the NGP has been successful as a fiscal incentive to motivate scaling up of rural sanitation. The number of winners has gone up from approximately 40 in 2005 to 22,512 in 2009, as can be seen from Figure 4. The number of people who are living in Nirmal Grams is well above 14 crore (18% of the total rural population). Figure 4: NGP Winners ( ) Page 60 of 121

61 Source: Government of India, Department of Drinking Water and Sanitation Accessed March State Level Sanitation Performance Despite the undeniable upward trend at the national level, these aggregated performance figures do not reflect disparities between and within states in terms of coverage on IHHL. The national level TSC monitoring system demonstrates this wide disparity. In terms of Individual Household Latrines (IHHL) coverage, whereas some states have achieved full coverage, some others could only achieve about 30%. Fig 5: State wise Performance on Rural Sanitation Page 61 of 121

62 On the achievement of NGP GPs, while the State of Sikkim is already a Nirmal State, and other like Kerala are approaching Nirmal status, there are some States which have still to go a long way to attain Nirmal status. Figure 6: % of GPs that have won NGP In terms of achievement of NGP too, there has been significant variation among the states this includes number of NGP won and the population that they cover. Page 62 of 121

63 Impact of Total Sanitation Campaign Increase in coverage There has been an exponential increase in the coverage of households having access to a sanitation facility. In the course of about a decade (2001 to 2010), the sanitation coverage has tripled to reach 65%, which translates to an average of about 4.5% increase every year, compared to the 1% increase per year in the previous two decades. This has resulted in some of the states achieving 100% or close to that status in a short period of time. The increase in coverage is more in the second half of the decade with the introduction of NGP. Page 63 of 121

64 Increase in number of Nirmal GPs Recognizing that sanitation is a public good and health benefits are only achievable if the entire community becomes ODF, an outcome based incentive program, the Nirmal Gram Puraskar (NGP), was introduced by the Government of India. There has been a number of GPs which have worked together to achieve this status more than 22,000 GPs have now been awarded the NGP. The profile of rural sanitation The profile of rural sanitation has been increasing over a period of time among political representatives, government servants, civil society and rural communities. The increasing allocation by the national government for sanitation over successive five year plans, the introduction of the NGP with incentives for outcomes given away by the President of India are some of the milestones for this. Challenges Scaling up to meet the population challenge Although the rural sanitation coverage has increased exponentially in the last decade, the real impact could not be appreciated due to increase in total number of rural households. The strategy therefore needs to take into consideration the impacts of population increase. The graph below shows the trend in sanitation coverage vis-à-vis population increase Assumes a 21.9% coverage in 2001; 5 family members per household Year Yr 2001 Yr 2002 Yr 2003 Yr 2004 Yr 2005 Yr 2006 Yr 2007 Yr 2008 Yr 2009 Yr 2010 Rural Population 742,490, ,627, ,932, ,406, ,052, ,873, ,871, ,049, ,410, ,956,353 Toilet Coverage 166,541, ,523, ,208, ,119, ,976, ,405, ,043, ,286, ,681, ,638,171 Page 64 of 121

65 Sustaining Behaviour Change A limitation noted while achieving sanitation coverage is that various Field studies have pointed to various levels of latrine usage depending upon the community awareness and also slippage in the status of NGP villages again varying from state to state due to non usage or linked to quality of the toilets constructed to accelerate the sanitation coverage in rural areas. For example, in one such study undertaken by UNICEF in 2008, it was found that out of the 81% of the population having access to sanitation only 63% was using the facilities. Page 65 of 121

66 The study also suggested that only 109 Gram Panchayats out of 162 GPs surveyed were having toilet usages more than 60%, i.e. the balance slipped back to the open defecation status. TABLE (E.2) PROPORTION OF NGP AWARDED GPs REPORTING USAGE OF TOILETS Proportion of People Using Toilet State None < 20% 20% - 40% 40% - 60% 60% - 80% > 80% 100% Total Andhra Pradesh Chhattisgarh Maharashtra Tamil Nadu Uttar Pradesh West Bengal Total Source: TARU study This is further corroborated by the top line results coming from a recent study with bigger samples undertaken by Government in India in 12 states, 56 districts and 664 GPs, which found that toilet usage was less than 100% in some NGP villages (see Figure 7 below). Fig 7: % Households Using Toilets in NGP Villages Source: Government of India (2010) Page 66 of 121

67 Third party monitoring like Joint Monitoring Program (JMP), the NSSO studies also point to the challenges of usage keeping pace with coverage. Handling disused/misused sanitation facilities One of the important factors as emerging from various studies for lag between coverage and usages has been poor quality construction of sanitation facilities and dysfunctional toilets for reasons like pit/septic tank full, no water available, chocked pan/pipes, wrong location, filled with debris and used as storage space among others. This also got corroborated by the top line results coming from the study undertaken by Government in India. REASONS FOR DYSFUNCTIONAL TOILETS Page 67 of 121

68 Source: CMS Study, 2010 Poverty continues to be a curse While the policy of Government of India under TSC has been to disburse incentives to the BPL households, considered the poorest in the rural areas, poverty continues to be a curse and a barrier for accelerating rural sanitation coverage. This gives an indication of continuing with the practice of incentives to the poor in recognition of their achievement to construct and use sanitation facilities with corrections as may be required to get the intended results. The CMS Study referred above identified some of the reasons for not having sanitation facilities as poverty, not enough land, neglected lot among others. Page 68 of 121

69 Source: CMS Study, 2010 Going Beyond ODF: Integrating Sanitation, Hygiene and Environmental Sanitation The focus of the TSC has been on sanitation in households, schools and institutions leading to the creation of ODF communities. Improved hygiene behaviour is included in the program guidelines but as a component of IEC and not as a specific behaviour change issue. In addition, the management of solid and liquid waste leading to environmental cleanliness is also a key component of the TSC, but has not relatively picked up till date in the campaign due to concentration on creating an ODF environment first. Figure 8 presents the results of a field study on hand-washing behavior at critical times, before eating and after defecation. Page 69 of 121

70 Fig 8: Hand-washing at Critical Times Source: UNICEF (2008) In SLWM, only about 0.5% of the total allocated expenditure has been spent till date Going forward, a key issue for rural sanitation policy is to integrate improved hygiene and environmental sanitation into sanitation programs at scale. SWOT Analysis An extensive consultation process underpins the development of this strategy. This has helped to identify the strengths and weaknesses of the TSC and earlier approaches, which are presented below as an analysis of Strengths, Weaknesses, Opportunities and Threats. Page 70 of 121

71 Figure 9: TSC Strengths, Weaknesses, Opportunities and Threats Strengths Political and administrative will exists to tackle rural sanitation at the national level and in many of the states. Sanitation has been included as one of the key flagship programs of the Government of India. Financial resources mobilized to support rural sanitation. The total budget of the TSC is about Rs. 20,000 crores; in addition, the Nirmal Gram Puraskar has also been well funded to reward communities which reach outcomes. Guidelines stress lead role of Gram Panchayat and advocate for a community-led, demanddriven, participatory approach. The institutional structure for delivery and sustainability has promoted decentralization by empowering the local government institutions with other arms of the government and civil society acting as facilitators to the PRI institutions. Well developed private sector for supply of sanitary products. The private market network for the key sanitary products are available in the formal (pans, pipes, cement, etc.) or the informal (bricks, sand, etc.) sectors. This is often within reach in most parts of the country, usually at the nearest market of the village or the block headquarters. The markets also provide enough variety for different affordability brackets and aesthetic senses. The guidelines support creation of Alternate Delivery Mechanism through Rural Sanitary Marts and Production centres. TSC and NGP have established the role of post-achievement incentives to achieve outcomes, which has acted as a good motivation for local governments and communities to come together and reach sanitation outcomes. Incentives for an outcome for the whole community has also ensured that the poor and the disadvantaged are also included in the outcome achieved, thereby ensuring inclusion. Weaknesses Lack of capacity to implement a demand-driven approach. The facilitating stakeholders at the state and district levels, usually the government functionaries, lack the attitude and skills to undertake a community-led approach to create demand. This results in incentives being used as subsidies and as the main driver to achieve toilet coverage, which often becomes unsustainable. Limited monitoring of toilet usage and quality, and health impacts the coverage has become the dominant indicator for monitoring with usage data not being available on a regular real time basis (except for infrequent assessments such as the NLMs, Census, DLHS, NFHS which become outdated at times by the time released) Despite intended to play a key role, Gram Panchayat often used as agent to construct BPL toilets rather than achieve sustainable outcomes. Sanitation improvement was expected to be an important vehicle for strengthening of the Gram Panchayats, however, they have ended up as a conduit to building toilets and not acting as institutions of service delivery. Inadequate incentives to the beneficiaries because of rising construction costs of sanitation facilities. Incentives for BPL households can break community spirit and lead to neglect of APL and community-wide ODF status. Often the difference in income levels between the two levels of households are marginal; in addition, there exists a subsidy culture among the people, who expect the government to pay for all developmental activities. Having a provision for incentives (subsidy) for only one class leads to difficulties in building communities, so very required for achieving community level outcomes. Page 71 of 121

72 Coordination with related departments like health, education, women and child welfare are necessary to receive the maximum benefits of sanitation, but this remains extremely weak at the implementation level due to communication gaps and tendency among the field functionaries not to converge with others and implement their programme in isolation. The sanitation program therefore tends to become a scheme of the particular department implementing the campaign, rather than as a sectoral intervention where every department should have a stake. This has become more relevant in view of the fact that finances involved in the campaign are incomparable to some of the other flagship schemes of Government of India like MNREGA, NRDWP, PMGSY, NRHM, SSA etc. Inadequate focus on hygiene promotion and SLWM. The attention tends to be narrowly focused on construction of toilets, with the exclusion of its usage or on other habits like hygiene and handwashing, management of solid and liquid waste in the village. The full benefits of a sanitation program is, therefore, not available to the community. No provision in the guidelines for operation and maintenance of existing sanitation facilities for sustained sanitation Maintenance of community sanitary facilities is also an issue Institutional support to only Government schools and anganwadis IEC is decentralized and no central communication strategy to lead the campaign at the central level No rural sanitation policy in existence Non availability of sufficient committed workforce to work for sanitation Opportunities Increased awareness among public representatives, PRIs, Women groups and government officials of the need for sanitation, understanding and desire among these stakeholders for the need for achieving community wide sanitation. Successful models in all states for scaling up, with each state having GPs which have become nirmal; in some states, blocks and districts have also become ODF and achieved Total Sanitation. Successful demonstration of Community-led approach in many states and situations, where the entire community is facilitated to analyze their sanitation status through participatory approaches to internalize the need for better sanitation, is linked to more sustainable outcomes Threats Rate of population growth may outstrip the rate of increase in scaling up rural sanitation. The The rapid pace of the coverage in the rural areas, has limited impact due to the increase in the population. Social and cultural norms that accept open defecation as a traditional behavior in rural areas. In rural India, there is no shame attached to open defecation, this is practiced by both rich and poor, leaders and ordinary people, men and women. This is serious impediment to the people accepting that their behavior has to change; any change undertaken will not be sustainable in the long run, unless the social and cultural norm is changed. Change of behavior is a slow process and attempt to accelerate the sanitation coverage at times result in slipping back to open defecation after sometimes. There is no provision in the existing guidelines to provide funding for natural calamities. This may also result in slipping back to open defecation especially in flood prone areas where sanitation facilities get washed away or go bad after floods. Page 72 of 121

73 Lessons Learnt Drawing on the Regional Consultations that underpinned the development of this strategy, the key drivers of program successes are discussed below in the form of E3i s, namely, Enabling Environment, Institutions, Information and Incentives. Role of Enabling Environment In the context of rural sanitation, enabling environment is understood at two levels. Firstly, at the macro level it refers to mobilization of political and administrative will and creation of an environment to support program implementation. Secondly, at the grassroots level, it is the inclination generated towards behavior change in ending open defecation and achieving total sanitation. At the macro level, TSC has been identified as a flagship social sector program for development of rural areas by the GoI (Planning Commission, Eleventh Plan). The strong buy-in for the program approach and goals at all levels of government is evidenced by the progressive increase in financial and other resources committed towards program implementation (from outside government also) and the up-scaling of project districts since Prioritization at the ministerial level has also been achieved at the national level, with it often taking precedence over rural water supply in attention and follow up. TSC has also received priority from Honorable President of India and Union Minister for Rural Development, who have graced the Nirmal Gram Puraskar awards ceremony and felicitated the winners in person. At the state level, there has been varying degrees of attention and priority given to the TSC and NGP at the political and administrative levels. Some of the states have considered it as a high priority program, leading to a massive increase in levels of achievement, while in some of the other States, the program is not often on the radar. This has been one of the reasons for varying sanitation coverage across the states. Another issue which has become critical in implementing TSC at the State level has been the nodal Department handling the implementation of the programme. It has been observed that the various Departments handling the implementation are Department of Public Health Engineering, Department of Rural Development, and Department of Panchayati Raj, depending on the convenience of the State. The experience shows that the progress in States where the TSC is being implemented either through the Department of Panchayati Raj or the Department of Rural Development has been better than where TSC is being implemented by PHE. This Page 73 of 121

74 obviously looks more logical in view of the fact that sanitation is more an issue social in nature than an engineering issue. At the grassroots level, enabling environment is an inclination to change behavior to end open defecation and adopt safe sanitation. Further, safe sanitation becomes meaningful and effective only when an entire community adopts it because even if a few persons practice open defecation, all are exposed to sickness and disease. Recognizing that safe sanitation is a habit and not just constructing toilets, the TSC Guidelines explicitly support a demand-driven and participatory approach at community level. In addition, the TSC envisages that the key actor in changing the sanitation status of a community is the community itself, while the role of government and outsiders is to facilitate this process of transformation. This has been demonstrated by the increase in number of local governments (communities) which have attained NGP. A Self-Help Group (SHG) is a small voluntary association of poor people preferably from the same socio-economic background. Provision of micro-credit to these groups makes them enterprising with greater bargaining power in the Society for fulfilling social objectives collectively. It has been the experience that women s groups perform better in all the important activities of SHGs. The component of revolving funds under the programme is currently being administered directly through the Government machineries without any exclusive support of manpower. As these funds are intended for extending credits at the grass root level to the needy households, the involvement of women SHGs will provide systematic administrative machinery at the grass-root level to manage the funds and would additionally empower the women for decision making in the society to support the cause of sanitation. The National Rural Livelihood Mission has a well defined coherent structure for formation and administration of SHGs. An option needed to be explored is to combine the incentive amount provided by the Government with a loan amount on soft terms to be routed through women SHGs created under the NRLM by canvassing and convergence with National Rural Livelihood Mission. Local faith leaders in developing countries across the world are working with communities to tackle poverty issues at the community level, among them sanitation. The local faith leaders are found at the heart of a community, not only upholding beliefs, cultural values and social tradition but also as a force for positive change and development. They demonstrate a close integration in their communities at a grassroots level. They often have infrastructure available and flexibility in using it so that the community adapts to the new challenges. For many communities, the local faith leaders are more than just a meeting point. They are the very heart of the community. Thus, faith leaders are in a prime position to mobilize communities and work with them to improve access to sanitation and affect behaviour change for better hygiene. By their very nature, faith leaders can most easily fulfill the role of messenger, demonstrator and implementer, depending on their knowledge and capacity. The faith leaders s long-term commitment in a community makes it ideal to act as a guardian for sustainability of projects. While a particular faith leader, or faith leaders-based organisation, may focus on one or more of Page 74 of 121

75 these roles, they are often interconnected. For example, being a messenger for improvements in domestic hygiene and sanitation is often coupled with demonstrating the same. As the faith leaders are themselves part of the beneficiary community, its members understand the aspirations and mindsets of end-users, as well as their needs. The country also has examples of successful implementation of TSC through active involvement of faith leaders. The need therefore is to organise faith leaders as stakeholders to stimulate demand and maintain supply of sanitation improvements and facilities. Role of Institutions The current institutional arrangements demonstrate a holistic approach to sanitation service delivery and involve all administrative levels of the implementation chain, from centre to village. Experience with TSC implementation shows that having two kinds of institutions, one a policy decision making one and the other an operational one is important for effective delivery of the program. At the policy level, a functioning body such as the SWSM, DWSM undertakes the broad decisions regarding the policies (within the overall letter and spirit of the TSC guidelines) and implementation approach to be adopted by the district. At an operational level, dedicated sanitation cell within this holistic framework that is concerned specifically with and held accountable for implementation of sanitation initiatives can be very effective. This dedicated sanitation cell is found useful at all levels, from the national to the state, the district and the block levels. The functions of this sanitation cell may vary according to the levels at which they are placed for e.g. at the state level, it may provide a facilitating role and undertake capacity building, communication activities, while at the district and block levels, the focus would be on actual implementation of the campaign at the GPs and monitoring them. Support organizations such as NGOs, CBOs, etc. may also play a facilitating role to the government institutions in community mobilization and capacity building. Partnerships formed between these institutions and the government (national, state, district or block levels) can be quite effective in combining the synergies to help reach the desired outcomes. Sanitation is often a local issue that has to be addressed by the community residing in a particular habitation. The Gram Panchayat or local government is ideally placed to promote total sanitation due to their outreach and mandate (as per the 73 rd amendment of the constitution and the relevant state decentralization laws, water and sanitation are primary responsibilities of the Gram Panchayat). In addition, Panchayats are in a good position to undertake or facilitate the long-term monitoring and support of rural sanitation services, as they are locally based and in close contact with the community. Experience shows that Panchayats involvement, with support from and partnership with civil society organizations, accelerates scaling up and promotes sustainability. Most importantly, however, communities must be empowered to own the process of changing their sanitation status. Page 75 of 121

76 Commercial sanitary ware suppliers and masonary skill services can support this process by responding to demand for different types of technology products and toilet options at various affordability brackets. This may be through the private sector but this can also occur through local entrepreneurs, community groups, NGOs, Rural sanitary marts or cooperatives. India has been emerging as one of the global forces in terms of industrial development. The corporate sector has emerged as leader of development. Of late, the concept of corporate citizenship has also gained momentum in the corporate world. Although sanitation has not been high on the agenda of corporate world in India, this is being suitably addressed in other developed countries. This can be taken as a ripe time to address the issue of sanitation to the corporate world and get the subject suitably inculcated in their CSR agenda. A convergence with the UN initiative, the Global Compact, particularly the Local Network in India can yield positive results in bringing together corporate houses for the cause of sanitation and help augment the activities of the Department in the adjoining rural areas of respective industrial belts. Getting sanitation on the agenda of CSR can also help bring in new technologies and innovations in this field leading not only to increase in sanitation facilities but also to better technologies in terms of management of Solid and Liquid Waste at both micro and macro levels. A positive interaction with the corporate houses can be initiated focusing TSC to influence the corporate world to suitably incorporate sanitation in their CSR policy. Role of Information TSC Guidelines advocate a departure from the traditional mode of implementing sanitation programs by focusing on behavior change rather than infrastructure. Communicating this approach across tiers and building the capacity of different actors involved in implementation is integral to the success of the program. To realize the full potential of this campaign, a key learning has been that instead of seeing IEC as a one-time activity, it cannot be considered complete until total coverage and usage are achieved and sustained. To facilitate IEC, GoI provides funding at state and district levels and has also identified reputed research and development institutions as Key Resource Centres to orient program managers in states and districts. In addition, the innovations introduced by TSC such as shift from a subsidy to a post achievement incentive regime can be scaled up based on demonstrated success on the ground through exposure visits, documentation (electronic, audio-visual and print) and exchanges at different levels e.g. a regional exchange like SACOSAN which the Department successfully hosted in year 2008 and has been actively participating in others hosted by member countries. At grassroots level, there are many approaches to mobilization but experience has suggested that conventional IEC approaches like posters, pamphlets, etc. have limited appeal and impact; the best way in terms of demonstrated impact has been found to be a holistic approach that empowers communities through participatory, visual methodologies, which enables their analysis of the situation and thereby, triggers the minds of the community members to take informed decisions regarding their sanitation status. While this change can be initiated by a facilitator (government or NGO), leadership within the community is required for scaling up and Page 76 of 121

77 sustaining change. This communication at community level to empower them can be complemented by a mass media Behavior Change Communication (BCC) initiative, which focuses on changing social and cultural norms regarding Open Defecation among the community, which will aid in changing behaviors, but most importantly, support sustainability of the behavior change. There is however, a need to supplement the decentralized IEC envisaged under TSC through an extensive national level campaign based on well defined communication strategy to create awareness among the whole range of beneficiaries to generate effective demand and sustain the same through repeated decentralized IEC. Role of Incentives The sanitation programme for the rural areas of the country started in a supply driven mode with Central Rural Sanitation Programme (CRSP) as the India s first national programme on rural sanitation. Based on the experiences gained through the limited intervention of the CRSP in improving the rural sanitation coverage a key learning has been the recognition of role of incentives in accelerating sanitation coverage. TSC therefore, moved away from high, upfront subsidy and instead provided for a post usage cash incentive for identified BPL families. According to the Guidelines, this has to be given as a reward after the BPL family has constructed its own toilet and is using it. Further, to incentivize collective outcomes, Nirmal Gram Puraskar (NGP- Clean Village Award) did play an integral role in scaling up TSC. The NGP scheme has elicited a tremendous response, with the number of Panchayats awarded going up from a mere 40 in 2005 to more than 22,000 in The key challenge as we go into the next generation of rural sanitation reforms are to improve the mechanisms for incentive delivery and strengthen the monitoring system that is the backbone of the incentive program. There is therefore a need to move further up the ladder in the incentive delivery mechanism and incentivize both, individuals and the communities at identified levels in the next phase. Further, based on the experience gained in the past, merely incentivizing individuals only on the basis of APL/BPL may not result in ODF communities in real terms. The department needs to identify weaker communities which may include SC/STs and minorities among APLs also or other categories like people with disabilities and people living with HIV rather than only BPL so as to broaden the base of beneficiaries to achieve the goal of universal sanitation. The weaker communities can also be defined in line with the policy of Government of India in other similar centrally sponsored / Government run schemes. Also there is a need to have monitoring of sanitation coverage not merely on access to sanitation but based on a combination of indicators wherein due weightage is assigned to institutional sanitation, ODF communities also apart from individual household coverage Page 77 of 121

78 CHAPTER 2: ABOUT THE STRATEGY Good Sanitation should be birthright of all citizens Dr. Manmohan Singh Prime Minister of India Page 78 of 121

79 CHAPTER 2: ABOUT THE STRATEGY 2.1 Aspiration The day everyone of us gets a toilet to use, I shall know that our country has reached the pinnacle of progress. Jawaharlal Nehru As we come to the close of the first decade of the new millennium, India can look to the future with optimism. A young nation with a vibrant democracy, our country now ranks as the fourth largest economy in terms of purchasing power parity. Yet, this picture of prosperity also conceals vast contrasts. Where India has a growing economy with annual growth rates among the highest in the world, more than 300 million Indians live below the official poverty line. Many of these lack improved sanitation facilities as well. To achieve our promise as a nation, the transformation we need is not just an economic one but one that changes mindsets. Instead of being locked into traditional behaviors and habits that unquestioningly accept open defecation as a norm, we need a new way of thinking that sees even one person practicing open defecation as unacceptable. From this perspective, a clean and healthy environment is a public good and one that each one of us has a responsibility to preserve. Tapping into the desire to be seen at the forefront of global economic movers, the aspiration of this strategy is to ignite this change in mindsets such that the fruits of development are shared by many rather than the few. It is this transformation that will lay the foundation of our sustained development and lend credence to our claim to be counted as a global leader. 2.2 Vision: A Nirmal Bharat A Nirmal Bharat is the dream of a clean and healthy nation that thrives and contributes to the wellbeing of our people. To achieve this in rural areas, we are committed to: Completely eliminating the traditional habit of open defecation and making this a relic of the past where dignity and worth of every human being is respected and quality of life is improved Operationalizing systems for the safe management of solid and liquid waste at scale Promoting the adoption of improved hygiene behaviors Page 79 of 121

80 Addressing inequalities in access with special attention to vulnerable groups such as women, children, aged and disabled Ensuring that providers have the capacity and resources to deliver services at scale Stimulating and enabling cooperation across public sector agencies concerned with rural development, health, environment and vulnerable sections Working with business, academic and voluntary partners to achieve the goals of the strategy 2.3 Goals The three specific goals of this strategy are as follows: Goal 1: Creation of Totally Sanitized Environments - The end of open defecation and achievement of a clean environment where human fecal waste is safely contained. By 2015 Access to safe sanitation by all rural households through individual or community toilets Access to safe sanitation facilities at all government buildings in rural areas By 2017 Usage of safe sanitation facilities by all the population in rural areas. Access to safe sanitation at public places e.g. markets, bus stand, religious/tourist sites in rural India Operation and maintenance of facilities including emptying of pits/tanks and re-use or safe disposal of waste and maintenance of institutional toilets Goal 2: Adoption of Improved Hygiene Behavior - All people in the rural areas, especially children and caregivers, adopt safe hygiene practices during all times. By 2020 Hand-washing at critical times By 2022 Hygienic handling of drinking water and food Goal 3: Management of Solid and Liquid Waste - Effective management of solid and liquid waste such that the village environment is kept clean at all times. By 2022 Management of all solid waste generated in the village biodegradable and non biodegradable Management of all grey water generated in the village General cleanliness of the village 2.4 Emerging Priority areas for focused approach The following are identified as the key drivers for change to achieve the vision of Nirmal Bharat: Page 80 of 121

81 Collective action to change social norms Panchayati Raj Institutions take the lead Incentives for Outcomes and Sustainability National Communication strategy to supplement decentralized IEC Covering left out institutional sanitation Incentivizing weaker communities Prioritize management of solid liquid waste at scale Increased focus and emphasis on usages Collective Action to Change Social Norms Unsafe sanitation behavior by an individual carries negative externalities since it leads to fecal contamination of the environment that can put others health at risk. A clean and sanitary environment is a public good that requires communities to achieve and sustain total sanitation in order to realize health benefits. A collective approach therefore forms the first pillar of this strategy and it is instituted on a change not just in individual behavior but a shift in social norms such that open defecation by even a single individual is seen as unacceptable behavior which can put the health of the entire community at risk. Such a collective approach lays the foundation for an approach that seeks to ensure that the benefits of a clean environment are available to all, including the vulnerable and disadvantaged, both socially and geographically. Panchayati Raj Institutions take the lead As per the Constitution 73rd Amendment Act, 1992, Sanitation is included in the 11th Schedule. Accordingly, Gram Panchayats have a pivotal role in the implementation of sanitation Box 3: Why target collective behaviour change to end open defecation? A Rapid Assessment undertaken in Himachal Pradesh in 2005 revealed that in villages with ~30 per cent household toilet use, the incidence of diarrhea was reported as being around 40 per cent. Even in villages with 95 per cent household toilets, still reported around 25 per cent diarrheal incidence. Only open defection free villages with 100 per cent usage have reported significant drop in diarrhea to less than 10%. In effect, even if a few individual households switch to using toilets, the overall risk of bacteriological contamination and incidence of disease continues to be high (see figure below). 120% 100% 80% 60% 40% 20% 0% %age of HHs reporting diarrhoea 38 95% 29% Open Defecation Villages 26 Almost ODF %age of toilet use 100% 7 100% ODF Page 81 of 121 Source: Formative research by WSP Knowledge Links for IEC Manual in Himachal Pradesh, 2005

82 programme. PRIs can carry out the social mobilization for the construction of toilets and also maintain the clean environment by way of safe disposal of wastes. Certainly, they are custodian of the assets such as the Community Complexes, environmental components, drainage etc. created under any sanitation linked scheme. Further, since provisions of incentives shall also be available at the community level through award schemes like Nirmal Gram Puraskar, Panchayats must also play a role in the monitoring of the sanitation status. At higher levels, both Block and District level PRIs may also regularly monitor the implementation along with the concerned officials. Therefore, the scaling up and long term sustainability of the intervention requires the adoption and ownership of the program by the Panchayati Raj Institutions (PRIs). Facilitating the delivery of sanitation outcomes, which has to go through a process of developing the social capital of the village, can also become the entry point for strengthening of the capacities of the GPs to ensure service delivery. Experience has also shown that GPs are ideally placed to promote total sanitation in order to ensure public benefits and well suited to address the issue of scaling up due to their outreach. In addition, they are in a good position to undertake or facilitate the long-term monitoring and support of rural sanitation services to ensure sustainability. Incentives to Achieve Outcomes and Sustainability The sanitation program has to focus on the change of behavior among the community as a whole, with incentives provided for adoption and sustained usage of safe sanitation facilities. The best strategy is to incentivize weaker communities as identified on demonstrated usage of sanitation facilities. The incentives as a strategy are also required to be given to communities once it has achieved Total Sanitation and for ensuring sustainability. This approach of incentivizing outcomes, based on a transparent and robust monitoring process, shall drive communities towards improving the situation. Another area which can be concentrated upon for total sanitation as a strategy is incentives for institutions either as a standalone (for e.g. reward for cleanest school) or as part of larger incentive programme (e.g. NGP) to have wholehearted participation of the institutions to achieve total sanitation. Page 82 of 121

83 National Communication strategy to supplement decentralized IEC Information Communication and Education (IEC) has been an important component of the campaign. The stress however has always been on decentralized IEC through financial provisions in district projects to create effective demand among the beneficiaries. A need has however been felt to have a national communication strategy to sensitize all the stake holders for a joint effort to accelerate and sustain rural sanitation coverage (Box 7). Covering left out institutional sanitation Children are more receptive to new ideas and schools/anganwadis are appropriate institutions for changing the behaviour, mindset and habits of children from open defecation to the use of lavatory through motivation and education. The experience gained by children through use of toilets in school and sanitation education imparted by teachers would reach home and would also influence parents to adopt good sanitary habits. School Sanitation, therefore, has to form an integral part of any sanitation approach. The priority therefore, has to be on covering the left out institutions with sanitation facilities once the project objectives under TSC as per the present district projects are completed. The present policy is to extend financial assistance to only government rural schools and Anganwadis. There has to be similar provisions for government aided and private institutions if universal sanitation is to be achieved in real terms. Another area which needs attention as a strategy is to evolve and standardize school toilet designs complying with benchmark set for child friendliness, gender responsiveness and to provide access opportunities to children with special needs (children with disabilities) so that the institutional sanitation facilities created are utilized in real terms by all students. Incentivizing weaker communities TSC has till now concentrated on financial incentives for BPL households with a provision of revolving fund for APL for creation of sanitation facilities. While it may be argued that financial incentives are required only for the poorest of the poor, there is certainly a case to finance weaker communities (SC/ST and minorities) among APLs to create ODF communities and get the benefits of clean environment at the community level. Prioritize management of solid liquid waste at scale An area which is yet to take off at scale certainly is management of Solid and Liquid waste. The present policy has been to concentrate more on creating ODF communities in the first stage. However, with certain states achieving relatively high sanitation coverage, they need to up the sanitation ladder with effective solid and liquid waste management to create clean environment. The policy to prioritize management of solid and liquid waste therefore has to take shape with Page 83 of 121

84 specific guidelines and financing arrangement at the GP level. As a matter of strategy, solid and liquid waste management should be the main component of the programme around which the other supporting activities to achieve total sanitation like left out household sanitation, institutional sanitation and software activities like IEC/HRD etc. can be built up. Increased focus and emphasis on usages A limitation noted while achieving sanitation coverage is that various Field studies have pointed to various levels of latrine usage depending upon the community awareness. This has also at times resulted in slippage in the status of NGP villages again varying from state to state due to non usage. There have also been cases wherein only some of the household members have been found to be using sanitation facilities while others resorting to open defecation. While the communication strategy at the national level and decentralized IEC at the district level needs to primarily generate effective demand for sanitation, repeated IEC intervention as a strategy is required especially at the community level to ensure full usage of sanitation facilities created. Page 84 of 121

85 CHAPTER 3: STRATEGY BUILDING BLOCKS Sanitation is more important than Independence Mahatma Gandhi Page 85 of 121

86 CHAPTER 3: STRATEGY BUILDING BLOCKS The building blocks of the strategy are discussed below: Institutional Structure and Capacity Other institutions Approach to Demand Creation Technology Options Supply Chain Monitoring Sustainability Financing and Incentives 3.1 Institutional Structure and Capacity Institutions set the rules and define the framework for service delivery. To effectively scale up and sustain rural sanitation outcomes, institutional arrangements must have clearly defined roles and responsibilities and the resources to fulfill these effectively. Institutional frameworks should also include mechanisms for coordination between linked activities. Capacity refers to the availability of skilled human resources for program implementation, budgetary allocations to effectively implement program activities, an organisational home within the institution that is accountable for rural sanitation, ability to monitor program progress and make revisions as needed The institutional structure envisaged for delivering on the goals of this strategy is shown in Figure 10 and roles and responsibilities of different institutions are detailed below. National Level The Department of Drinking Water and Sanitation (DDWS) will enable and facilitate rural communities with opportunities to develop their social capital and resources to effectively achieve the goals of the strategy. The DDWS will: Plan, implement and monitor centrally sponsored programs for rural sanitation Support R&D initiatives, IEC & HRD activities Enable states and local governments to access resources (technical, human and financial) from different sources Technical support to state in facilitating rural sanitation Providing inputs to other departments/ Ministries for formulation of policies imparting water and sanitation issues Page 86 of 121

87 Recognizing and awarding Panchayats and organizations for excellent work in rural sanitation Build partnership with other organizations in the sector towards common goals The DDWS will be supported by a National Sanitation Council, an autonomous body formed by ex-officio members from DDWS and individual experts of repute in the field of sanitation. The Council will be a body registered under the Societies Registration Act and will work as a support agency to the DDWS for providing technical and administrative consultancy, organizing events and undertaking pilot projects. The Council will also have the responsibility to monitor the progress made under the programmes and conduct evaluation studies. The body will have the mandate to receive funds/grant-in-aid from the Government, grants from other national and international bodies for its support activities and administrative costs. State Level A State Water and Sanitation Mission (SWSM) will develop strategies in line with the national strategy for the State on rural sanitation, which prioritize community led approaches leading to total sanitation outcomes at collective level. Specific responsibilities of the SWSM include: set milestones for achievement of various components of sanitation for the districts take proactive steps at regular intervals (of 3 months) to review the progress undertake six monthly meetings as well as annual workshops of districts, to review the progress and share experiences and best practices compare and benchmark the overall performance of districts against each other initiate State level competitive or milestone based reward programs for GPs, institutions and individuals. A nodal agency will be made responsible for sanitation at the State level. The agency will be selected based on the best fit for facilitating a participatory approach. The nodal department can be changed or strengthened depending on need to effectively manage the sanitation program. The Communication and Capacity Development Unit which shall function under Water and Sanitation Support organization (WSSO) will develop communication campaigns for the State, focusing on critical messages to change behavior of communities and make usage of safe sanitation as a norm; CCDU will develop capacity building strategies and roll out capacity building activities to bridge capacity gaps in sector on social mobilization, technical capacity and monitoring; CCDU will set up monitoring systems at State level to track processes, outcomes and sustainability to enable timely support to laggards and strengthen the leaders Page 87 of 121

88 Fig 10: Institutional Framework for Rural Sanitation National Level Develop Guidelines Funding M&E Inter-sectoral coordination Ministry of Rural Development DDWS State Level Funding Planning and regulation Technical support M&E Training Inter-sectoral coordination District Level Facilitate overall implementation Develop action plan Inter-sectoral coordination Training M&E SWSM Nodal Department CCDU Zilla Panchayat/DWSM District Sanitation Cell Private Sector Consultants and contractor providing services at different levels Academia Block Level Institution building e.g. GPs, watsan committee Facilitate supply chains Hygiene education Monitoring Panchayat Samiti Govt/NGO Extension Workers Universities and Research Institutes Village Level Mobilization Facilitate construction of hardware Hygiene education Monitoring O&M Gram Panchayat Page 88 of 121

89 District Level The District Water and Sanitation Mission (DWSM) will effectively coordinate between various departments and programs, through quarterly meetings to review the progress and chalk out the implementation strategy and plan. The DWSM/DWSC will move beyond an ad-hoc functioning and adopt a strategic planning and coordination role to drive the sanitation program in the district. A District Sanitation Cell will be set up to facilitate scaling up of message dissemination and achievement of outcomes. The cell will have various competencies like communication, capacity building, sanitatation technologies, monitoring, etc. The staff in these Cells will be either taken from within the government departments on deputation, or contracted from the open market. Box 4: Creating a Dedicated District Sanitation Cell: Example from Kolhapur District, Mahrashtra At the district level in Kolhapur, a DWSM has been set up as a policy-making body, with the Zilla Parishad President as Chairperson, the CEO as Vice-Chairperson and line department heads as members. The District Water and Sanitation Committee (DWSC) is an executive body which reviews and provides implementation support. The CEO of the Zila Parishad is the Chairperson with the Deputy CEO as member secretary. Effectively, the work is coordinated from the CEO s office and committees or Missions are activated when there is a specific need to discuss issues across stakeholder segments. The Deputy CEO, Village Panchayat, coordinates day-to-day operations. A dedicated sanitation unit for TSC implementation has been set up at the district level. This consists of three consultants (for communications, social mobilisation and capacity building) and one retired officer (former Block Development Officer - BDO) on contract in addition to one supporting staff (data entry operator). At the block, the TSC is coordinated by the Taluka Panchayat Officer, assisted by an engineer. The BDO regularly reviews the programme and further undertakes regular monitoring visits. The TSC cell has the following responsibilities: Prepare action plans and monitor project progress; Coordinate IEC campaign on its own, or through blocks and GPs; Undertake training of trainers and coordinate cascade events at sub-district levels; and Prepare reports on project progress for the state/central level This systematic institutional arrangement with clear roles and responsibilities has enabled the district to be one of the leading districts in the state in sanitation coverage and in NGP. Page 89 of 121

90 Block Level Block Resource Centres (BRC) shall be the institutional set up at the block level to provide continuous support in terms of awareness generation, motivation, mobilisation, training and handholding to Gram Sabhas, GPs and VWSCs. The BRC will serve as an extended delivery arm in terms of software support from the districts and act as a link between the District Water & Sanitation Mission and Gram Panchayats/ VWSCs/Gram Sabhas. Block Panchayat is an ideal unit for providing support as it is nearer to the Gram Panchayats than the Zilla Panchayat. Capacity building and generating awareness on various aspects of improved sanitation practices will be the first step in the preparation of Village Sanitation Plans and achieving open defecation free status. It will also help the villages in achieving Nirmal Gram Panchayat status, sustaining and building on it with effective and low cost management of solid and liquid wastes. Gram Panchayat The Gram Panchayat, being the lowest mandated local self government institution, will be responsible for service delivery, and therefore take leadership in providing sanitation outcomes to the people. It shall plan, implement and monitor the achievement of sanitation in the villages under it. It could appoint a representative committee (Village Water and Sanitation Committee or similar) to facilitate and implement the sanitation and SLWM activities. The committee depending on the local conditions may also be named as Village water Health and Sanitation Committee with good convergence with Health programme being implemented by Gram Panchayat. The Gram Panchayat will support the marginalized households of the GP to help them construct individual toilets and SLWM facilities; the GP may also identify and engage private parties (SHGs, CBOs, private sector) to operate and maintain common facilities in the village. The Gram Panchayat will be strengthened with human resources and capacitated to exclusively work on sanitation program. 3.2 Other Institutions Sanitation is an issue which cannot be the responsibility of the Government as the only institution. As a matter of fact, every citizen of the country, irrespective of his linkages to any institution (organized or unorganized) is a stakeholder in achieving the goal of ending open defecation and achievement of clean environment. The role of institutions other than Page 90 of 121

91 Government is therefore equally important. The institutions could be identified in the following broad categories. Non Government Organisation Companies/Private foundation Small Entrepreneurs / Sanitary marts Academia Non Governmental Organizations: NGOs can be an effective vehicle for mobilizing the community to raise its social capital to collectively bring about change in the sanitation situation. Engaging the NGOs to form a partnership with the governments, to push for community led approaches needs to be implemented to bring about the desired sanitation changes in the community. To supplement the efforts of Government in Sanitation Campaign, Non-Governmental Organizations (NGOs/) & Civil Society Organisation (CSOs) can play a major role. In order to achieve sustainable results in the rural sanitation program, the local NGOs have to play a major role in implementing any sanitation programme with an active coordination, support and facilitation of gram panchayats (VWSC) in creating demand for sanitation and provide post implementation support. NGOs have a distinct advantage in delivery of WASH as they have a better rapport and understanding of socio-cultural-economic status of the rural communities and therefore, have a wider reach among the marginalized and disadvantaged people in sanitation promotion. Involvement of NGOs in sanitation promotion would also help to address exclusion and gender issues. These local NGO s are expected to carry out the social mobilization, promote usage and provide timely post implementation support. With the support of GP and assistance of VWSC, NGO s can conduct preliminary baseline survey to assess the status of sanitation and hygiene practices, people s attitude and demand for improved sanitation with the aim to prepare comprehensive community based design to implement sanitation plan through participatory rural appraisal, micro planning and social auditing etc. Companies / Private foundations: The whole world has focus on India as one of the global forces in terms of industrial development. The corporate sector has contributed a lot to make the country a leader of development. Of late, the concept of corporate citizenship has also gained momentum in the corporate world. Although sanitation has not been high on the agenda of corporate world in India, this is being suitably addressed in other developed countries. This can be taken as a ripe time to address the issue of sanitation to the corporate world and get the subject suitably included in their CSR agenda. Getting sanitation on the agenda of CSR can also help bring in new technologies and innovations in this field leading not only to increase in sanitation facilities but also to better technologies in terms of management of Solid and Liquid Waste at both micro and macro levels. A positive interaction with the corporate houses can be initiated focusing TSC to influence the corporate world to suitably incorporate sanitation in their CSR policy. These institutions could provide funding for software or hardware, undertake social mobilization activities in the village, provide R&D support to Page 91 of 121

92 develop innovative approaches, technologies, etc. In addition to approaching development activities as a part of corporate social responsibility, there is scope to enlarge the role of the private sector e.g. through competitive bidding to perform social mobilization activities to make an identified area such as a cluster of Gram Panchayats or a block free from open defecation on a business model wherein private sector is encouraged to evolve business model on commercial basis. Sanitation Market: Achieving the vision of a Nirmal Bharat means that there will be a significantly huge market for private suppliers to sell sanitary products and provide services for operation and maintenance e.g. pit or septic tank emptying (see Box 5: Estimating the Size of the Sanitation Market). In addition, there will be opportunities arising out of communities adopting improved hygiene behaviors such a hand-washing with soap and address solid and liquid waste management. The strategy envisages a greater role for the private sector to respond to the demand for safe sanitation from communities. This can take the form of innovation in technology options e.g. by developing designs and price points for different types of toilets such that a range of affordable options is available to suit different income levels. Beyond the sanitation market, there is also a role for the private sector in improving service delivery. Page 92 of 121

93 Box 5: Estimating the Size of the Sanitation Market The national cumulative sanitation market from 2007 to 2020 has potential of Rs.6.87 trillion ($152 billion), of which Rs.4.4 trillion (64%) will be in infrastructure and another Rs.2.5 trillion (36%) in O&M services. The cumulative sanitation market has a potential of Rs.3.77 trillion ($83 billion) in rural and Rs.3.1 trillion ($69 billion) in urban areas from 2007 to Of this total cumulative market size, cumulative market of household toilets from 2007 is projected to be Rs.2.8 trillion by 2015 and Rs.4.8 trillion by 2020, as shown below Trends in Potential Annual Sanitation Expediture on Infrastructure, Replacement and Operation and Maintenance in India from 2007 to 2020 Source: WSP Economics of Sanitation Initiative, 2010 Rural Sanitary Marts: The Rural Sanitary Mart is an outlet dealing with the materials, hardware and designs required for the construction of not only sanitary latrines but also other sanitary facilities, such as soakage and compost pits, vermi-composting, washing platforms, certified domestic water filters and other sanitation & hygiene accessories required for individuals, families and the environment in the rural areas. RSM necessarily have these items, which are required as a part of the sanitation package. It is a commercial venture with a social objective. The main aim of having a RSM is to provide materials, services and guidance needed for constructing different types of latrines and other sanitary facilities, which are technologically and financially suitable to the area. RSMs at times, depending on their commercial model also have their own Production Centers to have cost effective affordable sanitary materials. Rural Sanitary Marts could be opened and operated by NGOs/ SHGs/ women Organizations/Panchayats etc. Support of private entrepreneurs may also be taken for ensuring an effective supply chain. Page 93 of 121

94 An important strategy could be to evolve business models for these RSMs so that they not only survive as a business identity but also contribute towards accelerating sanitation coverage to create a win- win situation. One of the important activities for RSMs would also be to participate in the IEC activities through interpersonal communication so as to generate effective demand for sanitation which would ultimately result in more business for them in terms of sale of their hardware materials. RSMs can have a Memorandum of Understanding with the implementing agencies like a system of joint monitoring evolved to ensure that the RSMs & PCs are on track with production plans and production targets and are able to respond to local requirements, have a method of quality certification of its products and a band of trained masons and motivators. They should demonstrate success as an enterprise and, function in accordance with the objectives of the sanitation Programme. Academia: The two main functions of academic institutions, teaching and research, can be harnessed to support the sanitation sector. There is a serious lack of qualified human resource, both in the social mobilization for demand generation and sanitation technology arena. It is important that there be a cadre of people who have the capacities in the above two areas, acquired through their education or through specialized trainings. Additionally, research into innovative approaches in various components of sanitation, including sanitation technology, psychology and approaches of community and individual behavior, monitoring and evaluation of outcomes and impacts, are some of the other areas which are required for the sector. Both these needs, of teaching and research, can be met through the involvement of academic institutions, as part of this strategy. 3.3 Approach to Demand Creation A programme approach consists of specific activities, their timing and sequence. At present, the TSC guidelines advocate a demand-driven approach to rural sanitation backed by postachievement incentives. Districts have the flexibility to implement this principle based on their context and capacity. It is expected that this approach is continued in the next phase as well. Decentralized Approach: The strategy will adopt a decentralized approach with the Gram Panchayat as the focus institution which has the mandate and responsibility to achieve sanitation outcomes and sustain it. Page 94 of 121

95 Box 6: Process decides outcomes The Sanitation program envisages creating demand for usage of sanitary facilities at the household and community levels in an environment where there is no felt need among the people and is low on their hierarchy of needs. The change in attitude and behavior among people is therefore challenging to achieve, but more so to sustain. A strong and robust Behavior Change Communication, where the members of the community are involved as an active participant in analyzing their sanitation situation and then deciding to change, on their own, is the only changed behavior which will sustain. This requires the adoption of a strong process of changing behavior, which will lead to sustainability. The strategy for rural sanitation will therefore focus on creating and ensuring a process which will lead to sustainable outcomes. Total Sanitation: The strategy to address total sanitation will be aimed at incentivizing both, individuals and the community as a whole, to motivate it to achieve total sanitation to achieve health and other quality of life benefits. The achievement of 100% safe sanitation, at the collective level apart from individual achievements, will be the main message disseminated through various interpersonal and mass media. Incentive Delivery Mechanism: A habitation / village / GP will be considered as one entity, for which incentives will be available against milestones in addition to the individual incentives to the weaker section (targeted group) of the society. The targeted group shall be defined in line with the policy of government of India in other similar Centrally sponsored/government run schemes. While dealing with the community, the community will decide on the level and timing of support / incentives to be given to individual households. The strategy will make incentives available to Gram Panchayats for making the village ODF these will also be used by GPs to assist needy households for construction and usage of toilets to ensure that community spirit behind making the village open defecation free is not hampered. Behavior Change Communication: Social marketing approaches will be adopted to push for attitude and behavior change among the people. An effective mass media based campaign to change the basic mindsets among people in the villages towards sanitation will be undertaken at national and state levels so that attitude towards safe sanitation and hygiene is changed. Page 95 of 121

96 Box 7: National Nirmal Bharat Communication Campaign Building on the available data and the experience of the Total Sanitation Campaign since its inception, it is clear that changing behaviour linked to total sanitation cannot be addressed by focussing mainly on individuals. The elimination of unsafe behaviour, such as open defecation are part of a system of cultural and social norms. Addressing and changing these norms would put increased pressure on individuals to adopt the new improved behaviour. While IEC materials have a role in the campaign, their effectiveness depends from the overall design of the strategy and the way these form part of a coherent programme with other interactive approaches, such as multimedia, interpersonal communication and capacity building of front line workers and service providers. A national level Nirmal Bharat Communication Campaign therefore needs to be designed and rolled out, to enable the shift in social and cultural norms on Open Defecation. The communication campaign will be focused on three areas:. The first will be focusing on sensitization and awareness raising and importance of benefits of improved sanitation, including elimination of open defecation, critical hygiene practices as well as safe disposal of solid and liquid waste. A strong awareness raising strategy is needed to bring about a seismic shift in the understanding of and response to the critical sanitation situation: people need to understand that apart from shame, poor hygiene can kill and, hits children, girls and women hardest. A redefined understanding of the importance of sanitation and hygiene at national, state, district and local levels will encourage local governments, civil society, leaders, and communities to strengthen their resolve to improve hygiene conditions for the health of the Indian nation as a whole. The second focus will specifically address the change of social norms:. This phase, while still addressing and enforcing the objective of the above, will identify key influencers and will address the rationale towards improved sanitation services and practices as well as resistance to change at community level. The third focus will be on addressing the up-scaling of advanced sanitation practices as well sustained private and public hygiene behaviour. This phase will promote specific behaviour change leading to successful achievement of total sanitation, improved private and public hygiene as well as safe disposal of solid and liquid waste in rural India. The campaign will be implemented in a phased manner, based on the understanding that there are two critical factors that need to be addressed for sustained behavioural change: 1) people need to be motivated and understand the benefits for adopting new behavior and 2) all elements allowing the adoption of the behaviour need to be in place (i.e toilets, availability of soap, water, etc). The various behaviour required to achieve the goals of the Nirmal Bharat need to deal with as one package since addressing open defecation without understanding the importance of safe disposal of waste won t impact the ultimate public health outcomes and it might even be counterproductive in the long run. Throughout the three phases specific attention should be given to the most vulnerable and marginalised communities, making Sensitizing sure that specific Political component of Leadership: the campaign are The developed political to suit leadership their social-cultural at national, reality. state and district levels will be sensitized on the principles of demand driven approaches to total sanitation, to enable high level political support for sanitation. The political support is required to enable adequate funding to be provided to the sector, given priority at all levels but especially at the implementation levels in the face of other competing public sector programs. Addressal of this Page 96 of 121

97 issue at the level of Chief Ministers, Ministers, the PRI political representatives levels would need to be undertaken to convey messages of priority to the government staff implementing the project and also motivate and mobilize the communities to address this situation. Box 8: Community Mobilisation for Behaviour Change to End Open Defecation: A Case Study of Sirsa District In October 2007, Sirsa district, Haryana, drew up a strategy to implement the TSC as a time-bound mission, with government facilitating the community to change its sanitation status. To this end, dedicated teams of motivators were created. Each team comprised eight to ten members and was made responsible for five to six villages. The motivators were trained as swachhata sainiks through training programmes at the district level. The training included participatory tools and motivational songs to inspire the participants to spearhead the sanitation movement in the district. At the village level, the following steps were taken: Step 1: Village visit by the motivators, reaching out to people from all walks and all ages, working with the community members to undertake a self-analysis of their present sanitation status. Step 2: Motivating students and women to come forward and participate in the sanitation movement. Appeals to issues of shame, dignity, convenience and health costs to induce behaviour change were made. The major trigger seems to have been the realisation that open defecation was tantamount to community members consuming each other s faecal matter. Step 3: Formation of the Sanitation Committee (Swachhata Samiti) comprising natural leaders who were motivated to change the sanitation status of their village. In addition, innovative IEC techniques were used such as catchy slogans instead of traditional greetings (Jai Swachhata), rallies and processions, torch light processions, recognition and rewards, and inviting village leaders who had achieved ODF status to share their experiences with those who were in the process. Triggering was matched by dedicated follow-up. Motivators report visiting villages at 4 am and going along with the village Swachhata Samiti members to ensure that no one would defecate in the open. At the time of undertaking a visit to the district in March 2010, 277 out of 333 GPs in Sirsa had won the NGP and the remaining GPs are applying for the NGP this year. The district has declared itself completely ODF, making it one of the first to achieve this feat in India. Remote and Difficult Areas: The sanitation program for remote and difficult areas will look at developing separate guidelines on the programmatic and technical approach to sanitation in remote areas and difficult terrain which is based on an understanding of the special challenges faced in these situations. Timelines for implementation will be based on the accessibility and special provisions will be made to ensure adequate supply of sanitary products and services in response to demand. Disaster and Emergency Situations: The strategy shall address sanitation in disaster and emergency situations through information on specific requirements for emergency sanitation, developing disaster and emergency preparedness plan to ensure a timely response Page 97 of 121

98 to sanitation issues such as toilets, garbage disposal, availability of water substitutes for cleansing/disinfecting, dealing with illnesses and controlling rodents and insect breeding. Sanitation in Public Places: The approach to sanitation in public areas such as markets, religious and tourist sites will be through communication and incentives to motivate key stakeholders (tourist/religious authorities, restaurant owners) to provide sanitary facilities, as well as regulatory approaches to ensure that public place owners comply with the existing rules to provide such facilities. Various institutional models to undertake the operation and maintenance of sanitation facility, including those involve Public Private Partnerships (PPPs), shall be explored to ensure that the management is sustainably undertaken. Sanitation and PLHIV: There will be special attention given to sanitation for people living with HIV/AIDS, in form of incentives, rebates, etc. in construction and use of sanitation and waste management facilities. For this purpose, convergence with NACO shall be established for joint IEC campaign, to identify the beneficiaries and the mechanism for providing incentives. Page 98 of 121

99 3.4 Technology Options At the implementation level, technology promotion includes not just separate toilet components (for example, sanitary pans, pipes, traps, etc.) but also existing latrine technology options (for example, septic tank, ventilated double pit toilet, eco-sanitation). It also includes provision of masonry services for installation, and sanitary services for operation, maintenance and final disposal. Focus on Safe Sanitation: The strategy will promote an approach for technology which only emphasize that the technology option adopted shall effectively contain the human waste, completely eliminate the fecal oral transmission routes through water, air, insects and other vectors. Promote Informed Choice: Selection of sanitation technology options must take into account technical and demand factors. Technical factors relate to physical parameters, for example, terrain, soil permeability, ground water table level, availability of space and risk of flooding. By contrast, demand factors relate to customs and socio-economic conditions and are crucial to the acceptance of, and willingness to invest in, a sanitation option. Examples of demand factors include affordability, hygiene behaviours (for example, material used for cleansing), and preparedness for maintenance and emptying. The strategy shall promote a variety of technological options, all which correspond to the above approach, with varying affordability, site specific characteristics (see examples in Figure 11 below). The focus of this promotion shall be on the sub structure, as it is the main component of the toilet which contains waste, and leave the choice of superstructure to household preferences. Page 99 of 121

100 Fig 11: Menu of Technology Options Dry Complex High cost Wet Septic Tank Ecological Sanitation Pour flush latrine with water seal Ventilated improved pit latrine Unimproved pit latrine Shallow pit/cat method Simple Low cost Options for Special Situations: The strategy shall undertake research/use existing models to design and promote toilet options for difficult areas, for the disadvantaged and elderly, emergencies and other special requirements. Development of various technologies for sanitation and SLWM for different geo-climatic areas will be undertaken. Appropriate Technology: Resource conservation (e.g. use of limited water for sanitation) and recycling (e.g. use of decomposed human waste for agriculture) shall be other principles adopted while promoting technologies for sanitation and waste management. Environmental Sanitation: The concept of ECOSAN shall be promoted for identified areas as suitable technology. The technology for SLWM shall be decentralized, household and community level facilities for the safe disposal of solid and liquid waste. Page 100 of 121

101 3.5 Supply chain The strategy shall emphasize the establishment or strengthening of a robust supply chain mechanism for sanitary products and services, required to achieve total sanitation at scale. Some of the options that will be considered to facilitate the supply of these products and services are private wholesale and retail networks and Rural Sanitary Marts or onestop-shop retail outlets. RSMs have evolved into a sustainable alternative delivery system for sanitary products and services (see Box 9). Box 9: An Effective Rural Sanitary Mart Operation: The Bardhaman Experience In Bardhaman district of West Bengal, RSMs are the cornerstone of the district strategy to promote rural sanitation. The operation of RSMs is undertaken by NGOs and the RSM network combines supply of sanitation products with extensive social marketing. Fundamental to the success of the RSM is the support network of motivators. They campaign door to door to create awareness about sanitation and generate demand, manifest in the beneficiary contribution for construction of a toilet as per the TSC cost norms. Once a household has agreed to have a toilet, all the hardware items are delivered to the household and a trained mason installs the toilet including digging of the pit. In terms of performance, Bardhaman district report 100 percent household latrine coverage and 137 out of 277 GPs have won the NGP to date. 3.6 Solid and Liquid Waste Management The strategy for management of solid and liquid waste in the village shall be the responsibility of the Gram Panchayat, which will ensure service delivery. The institutions at other levels shall facilitate with communication, financial, technical and human resources required for the GP to ensure the undertaking of this responsibility. A GP will view SLWM service delivery as an obligation. Different sources may be considered for the upfront capital expenditure on SLWM works e.g. DDWS earmarked grant funding which may need to be increased, Finance Commission funds, state subsidy, GP resources and user fees. Users may invest their own resources (financial, labor) into on-site household level options and variable O&M costs of community schemes Community level incentives can include benefit of a clean environment and any economic benefits from waste management. In addition, achievement of SLWM at scale may attract a cash prize or recognition from higher levels of administration. A system of penalties/fines may be instituted for improper disposal of garbage and wastewater Technology Options for Solid Waste Management - Garbage is generated at household level and in public places e.g. markets, street waste. In order to properly manage this waste, the focus Page 101 of 121

102 may be on household level waste management to the extent possible. The waste which cannot be managed at household level may be handled at community level. Household Level Waste Management shall include the motivation of households to segregate at source, i.e. classification of waste according to its type or nature: Bio-degradable waste which can be decomposed by biological processes, can be treated at household level through available technology options to convert this waste into manure e.g. composting, vermi-composting, biogas plant.. Non-biodegradable waste which cannot be broken down by biological processes. Non-biodegradable waste which has economic value that can be recovered e.g. metal, will be recycled through selling to scrap dealers. Non-recyclable waste waste which does not have economic value of recovery e.g. tetra-pack, PET mineral water bottle, thermocol, will be sent to landfills for safe disposal. Community Level Waste Management shall be undertaken where all waste cannot be managed at household level; for this, segregated household waste will need to be collected, transported and treated. Secondary segregation shall be done, if required, in addition to the primary household segregation, to ensure that all waste is properly segregated. The Panchayat may select a body for collection of waste e.g. SHG group, youth group. For transporting waste, carts or tricycles may be used. The number of vehicles required may be decided based on the size of the Panchayat and density of population. Generally, one tricycle is sufficient for 100 to 200 households. The tricycle may also have separate compartments to store the segregated waste. Waste collected from households and public spaces may be transported to a place identified at community level e.g. land donated by a Panchayat. For treatment, all biodegradable waste should be composted. This can be done by adopting a technology option such as, for example, composting, vermi-composting or a bio-digester. Non-biodegradable waste may be further segregated and sold to a scrap dealer or recycled For Liquid Waste Management, wastewater generated at household level may be managed at household level itself. The waste which cannot be managed at household level may be handled at community level. Waste water generated in the kitchen, bathroom and laundry, grey water, can be treated and used for other purposes like kitchen gardening or disposed through soak pit, leach pit. At community level greywater can be managed through on-site options such as soakaway channel, leach pit or piped root zone system. Off-site options could include collection and transport of greywater and may include drainage. Here, final disposal options may include sullage stabilization pond and re-use; sedimentation, filtration and re-use, and screening stabilization tank systems. Thus it works out that there is a financial implication of approximately Rs.3000/- per household to create a self sustainable solid and liquid waste management model for a clean environment in a Gram Panchayat. Page 102 of 121

103 Approximate cost norms for Solid Waste Management at current prices Considering an average production of Solid waste 250 g/person/day and compostable matter as 50% of the total Solid waste generated, the quantity of biodegradable waste works out to 125 grams/person/day. Therefore, for 5 persons in each household, production of biodegradable Solid Waste in each household works out to approximately 600 gram/day. Collection system & composting For 300 household, requirements of equipment & manpower is estimated as follows: Manpower Particulars Estimated Expenditure Compost Pit Preparation Purchase of Rickshaw van ( nos) Container 600 Nos Dress Materials of Sanitary Workers Construction of segregation shade Tools & Plants Total 5,70, Supervisor SHG Workers (10 Nos) 30, Total 36, Therefore, total estimated expenditure for solid waste management per household works out to approximately Rs 2020/- Page 103 of 121

104 Approximate cost norms for liquid Waste Management at current prices Considering water supply to households will be 70 litres per capita per day with future projection and estimated waste water generation is about 80% of water supply, wastewater generation per household per day shall be of the order of 280 litres. Further, considering 5 persons in each household and considering black water generated with urine as 7 litres per person per day, volume of grey water from each household would be 245 litres. The liquid waste management requirement would be as follows: A. Soak Pits in each household Considering normal soil infiltration rate the cost of unlined soak pit is estimated at Rs600. B. Stabilisation Pond For a population of 300 households Land Area required is 900 sq. meter aproximately. Earthwork required may be of the order of 1600 cubic meter. The Cost may work out to approximately Rs /-. Cost per household therefore would be Rs.266/- approximately. Estimated Drainage channel cost for a community of 300 households would work out to approximately Rs.1,00,000/- at the rate of Rs.1000/- per metre. Therefore, estimated expenditure for each HH = Rs 334/- C. Total cost for Liquid waste management would therefore be Rs =Rs 1200/- per household Page 104 of 121

105 Box 10: Dustbin - a source of financing. The Tapi Model of Solid and Liquid Resource Management Solid and Liquid Resource Management (SLRM) is a new way of looking at waste not as garbage to be disposed but as a resource to be exploited. From this perspective, any disposed item, from an egg shell to a plastic bag, is a potential source of revenue. Mr C Srinivasan, Project Director of the Indian Green Service, explains: Any biodegradable waste becomes a waste only after 24 hours, when it starts emitting foul odour. If it is lifted once in 12 hours, it is a resource, which could be sold. Now we have started promoting the concept of solid and liquid resource management as against waste management which was hitherto being implemented in different parts of the country. An SLRM project has been successfully implemented in Vallod Panchayat of Tapi District in Gujarat. It all started with an exposure visit for around 96 officials (comprising Asst Project Officers, District Engineers and Consultants) from Gujarat to the Vellore Zero Waste Management Model (ZWM) in Tamil Nadu, sponsored by UNICEF. At Vellore, the Gujrat completed training on SLRM which is a system of managing solid wastes that strives for maximum waste recovery through recycling and reuse, aiming at zero waste generation. The system s strengths include: segregation of waste at source leading to maximum recovery of resources, minimization of waste and reduction in area required for storing and composting minimizes pollution of ground water and air by doing away with disposal of wastes at dumpsites and landfills provides opportunities for income generation Following this visit, the Gujarat team was motivated to replicate the Vellore experience and the Gram Panchayat of Vallod was selected for this on 19 April The project was undertaken in three phases covering 900 households in each phase. To begin with, each house was provided with two dustbins of red and green color to segregate waste into organic and inorganic at the point of generation. In the first phase, 18 members of a Self Help Group were engaged for the door to door collection of waste twice a day (morning 7:30 to 10:30am and evening 3:30 to 6:00pm) in a tricycle and were paid Rs 100 per day (ie Rs 3000 per month). Initially families were reluctant to get involved in this 'dirty work'. Gradually, a few women came forward to get involved in this initiated. The district government provided these workers with a uniform of green sari, white gloves, mask and shoes. After that, unemployed village youth also joined the women SHG members to support this initiative. A ZWM centre was established where all the collected waste is brought and workers further segregate waste into organic and inorganic lots and organic waste is used to produce compost fertilizer. District officials point out that around 4000 kg of compost was produced in the first phase that was sold at the rate of Rs 5/kg. For marketing, an MOU has been signed between district authority and District's Forest Office, which purchases all the compost produced by this project. In the first lot, forest office purchased the compost and handed over a cheque of Rs 20,000 to Mr Sanjay Rathod, the Sarpanch of Valod Gram Panchayat. At present, the price per kg of compost paid by the Forest Department has been increased to Rs 8/kg since the quality is very good and this is still below the rate Rs 10/kg at which the Department was sourcing compost earlier. To sustain this project, Gram Panchayat has passed a resolution to collect Rs 20 per family per month for waste collection and management. Following on the success of Vallod, five additional Gram Panchayats have come forward to replicate this approach. The Panchayat has also been visited by senior policymakers in the state and also used as a site to train 280 Taluka Development Officers. The Government of Gujarat plans to scale up this approach in a phased manner starting with 5000 Gram Panchayats in the first phase. Sources: Success Stories on Gujarat Sanitation, Rural Development Department, Govt of Gujarat (undated) Practising Zero Waste Management in Vellore P Amudha, in India Infrastructure Report 2007 Page 105 of 121

106 3.7 Financing Reaching the Poorest of the Poor While the policy of Government of India under TSC has been to disburse incentives to the BPL households, considered the poorest in the rural areas, poverty continues to be a curse and a barrier for accelerating rural sanitation coverage. The strategy shall therefore be of continuing with the practice of incentives to the poor in recognition of their achievement to construct and use sanitation facilities with corrections as may be required to get the intended results. A key driver of change to achieve the vision of Nirmal Bharat is an approach which is driven by incentives for achievement of various milestones at individual and collective levels. Motivating Self-Financing for Capable Households: Information Education and Communication is an important component of TSC in its existing form. The guidelines also suggest that IEC is not a onetime activity and involves all sections of the rural population in a manner where willingness of the people to create sanitation facilities for themselves is generated. The strategy shall therefore be to motivate capable households to create sanitation facilities for themselves through self-financing based on technology models meeting their affordability levels. Financing School/Institutional Sanitation: The strategy shall be to provide assistance for institutional sanitation such as school/anganwadi/health centre sanitation facilities, community solid/liquid waste management facilities. Further, in order to achieve total sanitation in real terms, the strategy shall be to finance/facilitate construction of toilet facilities in Government aided and private rural schools in a phased manner once the project objectives of having sanitation facilities in all Government schools is completed. Similarly, many of the Anganwadis are operating from Panchayat Bhawans, rented buildings, schools, other kachcha/pucca structures. The strategy shall be to finance/facilitate construction of toilet facilities in Anganwadis operating from other than government buildings in a phased manner once the project objectives of having sanitation facilities in all Government Anganwadis are completed. Tapping Diverse Funding Sources: Within the ambit of the above principle, the strategy shall promote alternative financial sources like 13 th Finance Commission, Public Private Partnerships to engage with the private sector / development sector, banks and micro finance institutions Page 106 of 121

107 Financing for Sustainability: Operation and Maintenance Sanitation facilities, if not maintained properly shall always result in slipping back of entire community to open defecation status. Strategy shall therefore be to provide funds for operation and maintenance at the Gram Panchayat level which could be used as per the defined methodology to maintain the sanitation facilities. Calamity Fund It has also been observed by States particularly vulnerable to natural calamities like flood, drought, earthquake etc., the need for provision of funds in a scenario where sanitation facilities have got destroyed due to natural calamities. The strategy shall therefore be to provide funds for natural calamities at district level which could be used as per defined methodology to restore the sanitation facilities. Revolving fund at Gram Panchayat level Provision of revolving fund is also required to be made at the Gram Panchayat level for major repairs of the damaged/disused/misused sanitation facilities to bridge the gap between access and usage of sanitation facilities and assisting Gram Panchayats to attain open defecation free status in real terms. 3.8 Monitoring Responsibility: The strategy shall adopt a strong monitoring system where the institution which is responsible to carry out an activity shall undertake monitoring of the activities. The monitoring system shall be the basis of incentivizing on achievement of various milestones. Monitoring Mechanism: Process monitoring The monitoring system tracks the processes adopted by the Box11: Mobile based monitoring of sanitation outputs and outcomes An effective monitoring is a basic necessity to implement a responsive, effective and sustainable development program. The two primary ingredients of an effective monitoring system is the timeliness and the robustness of the data. A third party monitoring system for TSC which tracks coverage and usage in near real-time can help the TSC achieve its objectives effectively. Mobile based monitoring system using SMSs are increasingly gaining currency as economical and effective monitoring approaches. Due to the spread of mobile phones and its cheapness, data can be collected through an army of data collectors, transferred to servers immediately, collated and analysed immediately, to feed into program management for Page 107 of 121 aiding decision making. Payments to the investigators can also be undertaken through the mobile. Examples of the adaptation of this approach are already

108 program in achievement of the objectives and benchmarks against ideal processes Quality monitoring The monitoring system undertakes monitoring of the quality of the facilities constructed to ensure that they subscribe to improved sanitation parameters. Usage and sustainability monitoring monitoring of usage and sustainability will be undertaken at quarterly intervals through sample studies of NGP villages, through third party organizations. Impact monitoring the impact of sanitation on health will be monitored by comparing the changes due to achievement of sanitation outcomes (NGP) on main health parameters such as diarrhea through data available from the health department (PHC, rural hospitals, NRHM, etc.) MIS System: A comprehensive MIS system incorporating the above monitoring outcomes shall be designed / strengthened the existing TSC / NGP monitoring system will be integrated into one system, with upgrades to include latest available data from processes, usage, sustainability; the MIS system will evolve composite indicators to assess the overall performance of States and districts and benchmark them against each other. Reconciling Monitoring Data from Different Sources: The monitoring system will develop common indicators for measurement and develop inherent systems to compare and reconcile data and results with other monitoring programs like NFHS, JMP, DLHS, NSSO etc. Community-level Monitoring: The monitoring system will incorporate community level monitoring, third party monitoring and social audits of achievements. 3.9 Sustainability Sustainability of sanitation facilities created and it usage is of utmost importance if rural sanitation coverage is to be consistently improved. Studies as mentioned in previously in this strategy paper have suggested that villages awarded Nirmal Gram Puraskar have slipped back to open defecation status in absence of sustainable sanitation facilities due to various reasons. Operation and Maintenance Sanitation facilities, if not maintained properly shall always result in slipping back of entire community to open defecation status. Strategy shall therefore be to provide funds for operation and maintenance at the Gram Panchayat level which could be used as per the defined methodology to maintain the sanitation facilities. Page 108 of 121

109 Calamity Fund It has also been observed by States particularly vulnerable to natural calamities like flood, drought, earthquake etc., the need for provision of funds in a scenario where sanitation facilities have got destroyed due to natural calamities. The strategy shall therefore be to provide funds for natural calamities at district level which could be used as per defined methodology to restore the sanitation facilities Incentives Multi-level Incentives: Incentives will be instituted at different levels to motivate the achievement of sanitation outcomes. These incentives could be for individuals, villages or Gram Panchayats and other local and State governments that achieve various milestones towards total sanitation as well as for sustaining the total sanitation status. Box 12: Monitoring and Incentivising Sustainability of NGP Status: Swachch Puraskar Rewa district, Madhya Pradesh, initiated Swachch Gram Puruskar in 2009 at the district level to award one GP from each block which follows demand-driven principles and sustains ODF status. The award (Rs. 50,000) is presented based on scores given in the peer review process led by sub-divisionlevel officers. The scope of the award is limited to those GPs that have applied for NGP. State-level Reward Programs: States will be encouraged to design and implement state level Reward program for villages to achieve Nirmal Gram status and existing NGP villages to sustain their Nirmal status. The State and districts will provide incentives for continued O&M of the total sanitation status. It will prioritize GPs which have received NGPs for inclusion in the various developmental programs. Disincentives: There will be disincentives for local governments, and other levels in case of slipping back from their Nirmal status to open defecation status. Further, the strategy shall be to discourage frivolous applications for Nirmal Gram Puraskar through disincentives such as bearing the cost of survey by the States, apart from any other disincentives as deemed fit. Page 109 of 121

110 Chapter 4: Implementation Plan Ultimately, it is not our capacity for prediction but our action that will determine the outcome India Vision 2020 Page 110 of 121

111 Chapter 4: Implementation Plan 4.1 Phasing As mentioned at the outset, this strategy has three main goals over the period I. Creation of Totally Sanitized Environments Access to Safe Sanitation by all Rural Households Access to Institutional Sanitation II. III. Adoption of Improved Hygiene Practices Hand-washing at critical times Hygienic handling of drinking water and food Management of Solid and Liquid Wastes A phased approach to achievement of goals will be followed through focused implementation. Therefore, the first issue to be addressed is the achievement of ODF followed by ODF+ activities such as improved hygiene and management of solid and liquid wastes. 4.2 The implementation measures to achieve the above phased goals, in addition to the existing provisions under TSC are set out below. Page 111 of 121