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Swajaldhara Guidelines
PALAT
MOHANDAS
SECRETARY
Government of India
Ministry of Rural Development
Department of Drinking Water Supply |
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| FOREWORD |
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Reforms in the Rural Drinking Water
Sector were adopted in 1999 and also a few projects were launched
as pilots. They were intended to be implemented during the
Ninth Five Year Plan and, with the experience gained thereon,
the reform initiatives were to be firmed up and scaled up
during the Tenth Plan period for adopting the demand responsive
strategy and also for institutionalising community participation
for the sustainability of drinking water supply systems and
sources in rural areas. On 25.12.2002, the reform initiative
in the Rural Drinking Water Sector were scaled up throughout
the country by launching the Swajaldhara by the Hon’ble
Prime Minister. Further consultations held, as part of a continuous
exercise to hasten the process of adoption of the sector reforms,
with the State Governments, Non-Government Organisations and
the External Support Agencies brought out the extreme need
for convergence, promotion of social mobilisation and capacity
development of the community and their institutions. Thus,
there was need to issue comprehensive Guidelines on Swajaldhara
encompassing all aspects of the reforms initiated. The Guidelines,
as issued now, it is expected, would meet all the requirements
as they incorporate the components of the reform principles
and policies. These Guidelines clearly delineate the responsibilities
of the State Governments to provide an enabling environment
and also encourage them to enter into a Memorandum of Understanding
with the Government of India with specific vision statements
and clear road maps of action. The suggested institutional
set up provides prominence to the Panchayati Raj Institutions
at the District and the Gram Panchayat levels. The two streams
namely, Swajaldhara-I and II also provide enough flexibility
to the State Governments and the implementing agencies.
These Guidelines on Swajaldhara, I am confident, would be
of great help to the State, District and Gram Panchayat level
functionaries, above all, to the communities, for a meaningful
implementation of the community led and participatory rural
drinking water supply initiative, Swajaldhara throughout the
country.
New Delhi
13 June, 2003.
(PALAT MOHANDAS ) |
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Dr.
Ramesh Chandra Panda
Joint Secretary
Government of India
Ministry of Rural Development
Department of Drinking Water Supply |
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| PREFACE |
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| Reforms in the rural drinking water supply
sector were adopted in 1999 in the country and Pilot Projects
in selected districts were taken up. The basic concepts of the
reforms include community participation in the planning, implementation,
operation and maintenance of the schemes of its choice. This
is a paradigm shift from supply driven to a demand responsive
approach, centralised to the decentralised service delivery,
from the top down to the bottom up approach and ultimately to
change the role of the Government from that of a service provider
to a facilitator. More than three years have lapsed since the
pilot projects were initiated. On 25.12.2002, the Hon’ble
Prime Minister launched Swajaldhara by scaling up the said Sector
Reforms initiatives throughout the country.
From the experience gained from these Projects, and considering
the inputs received from the State Governments and also the
information obtained from States by the evaluation of the
Projects undertaken by the Government of India, a consultation
was held on 17.4.2003 with the Non-governmental Organisations,
External Support Agencies and the State Governments. It took
stock of the processes and the problems cropped up in the
implementation of the Sector Reform Pilot Projects and the
Swajaldhara and also considered the possible road map for
the future of the reform initiatives introduced under the
Rural Drinking Water Supply Sector. There was consensus amongst
the participants that a holistic approach for drinking water
and sanitation was required to have additional impetus and
the reform initiative should be scaled up to cover the entire
country by the end of 10th Five Year Plan. It was also suggested
that all the reform initiatives in rural drinking water sector
should be brought under the Swajaldhara and a comprehensive
guidelines formulated there of. Involvement of the three tier
Panchayats, requisite social mobilisation, communication,
capacity development processes were considered to be important
components of the Swajaldhara and for inclusion under the
Guidelines. In order to provide fillip to the reform initiatives,
the State Governments have to play a pro active role and provide
an enabling environment for proper implementation, and draw
up a clear vision statement with specific road maps for action
plans. These should ultimately result in a Memorandum of Understanding
to be entered into by the State Governments with the Government
of India.
Taking these facts into account, comprehensive Guidelines
on Swajaldhara covering Sector Reform Pilot Projects as well
as Swajaldhara have been brought out. Swajaldhara will have
two streams: (i) Swajaldhara-I which will have Gram Panchayat
as the lowest unit for implementing reform initiatives; and
(ii) Swajaldhara-II which will have the district as the unit
for implementation. The Guidelines provide operational flexibility
to the State Governments and implementation flexibility to
the districts and Gram Panchayat level institutions. Community
participation has been further strengthened. Role of the Panchayati
Raj Institutions and, involvement of women in the entire scheme
cycles have been emphasized.
These new guidelines will supercede all earlier guidelines
issued in respect of Sector Reform Pilot Projects and the
Swajaldhara initiated in December 2002. However, Government
of India will be meeting the financial commitments of the
schemes approved earlier for Swajaldhara during 2002-03. Sector
Reform Projects sanctioned on pilot basis would be brought
under these Guidelines.
These Guidelines not only address the basic and non negotiable
principles of reforms but also lay down the implementation
processes. These also provide effective tools for evaluation,
monitoring and financial procedures. These Guidelines also
attempt to clear to a large extent, various doubts, answer
questions which arose earlier and programme difficulties experienced
in the implementation process. Swajaldhara reform initiatives
are process projects. We learn as we implement the schemes.
So also, the implementation guidelines get modified and amended
as we go along. I am hopeful that these Guideline on Swajaldhara
would be helpful to all those participating in the implementation
of the Reform Projects in the Drinking Water Supply Sector
in the country.
I also solicit suggestions for improvement of these Guidelines.
New Delhi
13 June 2003.
(Ramesh Chandra Panda)
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| SWAJALDHARA |
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| 1. BACKGROUND |
1.1 Water is today perceived by the public
as a social right, to be provided free by the Government, rather
than as a scare resource which must be managed locally as a
socio-economic good. This perception has grown out of the fact
that the present rural water supply systems are designed and
executed by the Government Department/Board for the end-users.
Demand preferences of the people are generally not taken into
account while planning and executing the schemes. In other words,
rural water supply programme has been adopting a supply driven
approach. Experience has shown that the present approach has
led to the failure of a number of water supply systems / schemes
due to poor operation and maintenance.
1.2 Since substantial investment had been made in the sector
and huge infrastructure and large number of systems built up,
it was felt in 1999, that the water supply systems and programmes
call for re- examination to achieve sustainability. There was
a general recognition that a transformation from a target based,
supply-driven approach which pays little attention to the actual
practices and/or preferences of the end users, to a demand-based
approach, where users get the service they want and are willing
to pay for, was urgently required. Implementation of a participatory,
demand driven approach was expected to ensure that the public
obtained the level of service they desired and could afford
to pay part of the capital cost and full operation and maintenance
cost. Further, full cost recovery of operations and maintenance
and replacement costs is expected to generate a sense of ownership
and ensure the financial viability and sustainability of the
schemes. The conditions under which people would be willing
to pay capital cost partially and operate and maintain water
supply schemes are (a) if they own the assets, (b) if they have
themselves planned and installed the systems and been actively
involved throughout in the process, (c) if they have been trained
to do simple repairs, (d) if they know the Government will not
maintain the asset, (e) if they have sufficient funds for maintenance,
and (f) if they have to pay for operation and maintenance of
the systems. Hence, it was considered necessary to institutionalise
community based rural drinking water supply programme with the
Panchayati Raj Institutions and local communities to generate
resources and equip them to plan, implement, use, maintain and
replace water supply schemes themselves.
1.3 Hence the Sector Reforms Project was launched on a pilot
basis in the year 1999-2000 and is presently being implemented
in 67 Districts of 26 States. This was to be scaled up for the
whole country from the Tenth Plan. The experience gathered during
the past three years, have vindicated the reform principles.
There have been demands to scale up the reform initiatives in
the sector. The requests revolved round the fact that it was
Gram Panchayats where the reforms are to be implemented. Thus,
if the Village / Block level Panchayati Raj Institutions or
User Groups come forward and agree to adhere to the reform principles,
water supply schemes can be taken up by them in those areas.
According to the expectations and the needs to scale up reforms
in the water sector through out the country, the Sector Reforms
Project has been slightly improved and is launched as Swajaldhara
on 25th December 2002. |
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| 2. LOGO |
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| 2.1 Logo of Swajaldhara will be as follows: |
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Swajaldhara
Gram Hamara |
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| 3. PRINCIPLES |
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| 3.1 Swajaldhara has certain fundamental
reform principles, which need to be adhered to by the State
Governments and the Implementing Agencies. The principles are
as follows:-
(i) adoption of a demand-responsive, adaptable approach along
with community participation based on empowerment of villagers
to ensure their full participation in the project through
a decision making role in the choice of the drinking water
scheme, planning, design, implementation, control of finances
and management arrangements;
(ii) full ownership of drinking water assets with appropriate
levels of Panchayats,
(iii) panchayats / communities to have the powers to plan,
implement, operate, maintain and manage all Water Supply and
Sanitation schemes,
(iv) partial capital cost sharing either in cash or kind
including labour or both, 100% responsibility of operation
and maintenance (O&M) by the users ;
(v) an integrated service delivery mechanism ;
(vi) taking up of conservation measures through rain water
harvesting and ground water recharge systems for sustained
drinking water supply; and
(vii) shifting the role of Government from direct service
delivery to that of planning, policy formulation, monitoring
and evaluation, and partial financial support.
3.2 Swajaldhara will have two Dharas (streams). First Dhara
(Swajaldhara I) will be for a Gram Panchayat (GP) or a group
of GPs or an intermediate Panchayat (at Block / Tehsil level)
and the Second Dhara (Swajaldhara II) will have a District
as the Project area.
Swajaldhara - I
3.3 States can implement Swajaldhara in Blocks / Gram Panchayats
in the districts outside the Swajaldhara II project districts.
In such cases all the fundamental reform principles are to
be followed in those areas. Thus, the lowest unit for implementing
the reform initiative under Swajaldhara –I would be
a Gram Panchayat. A group of Gram Panchayats or the Intermediate
Panchayat could also come up with project proposals. Swajaldhara
–I being primarily for a Gram Panchayat should normally
have small drinking water schemes. Multi-Gram Panchayat schemes,
while not prohibited, would require specific and precise formulation
of capital cost sharing, operation and maintenance arrangements
and cost collection mechanisms.
3.4 Specific proposals under Swajaldhara - I will be sanctioned
by the District Water and Sanitation Committee (DWSC) provided
the projects conform to the Guidelines of Swajaldhara.
3.5 If more than 50% of Blocks/Gram Panchayats in any particular
District opt for rural water supply schemes under Swajaldhara
–I, the State Government could consider posing / taking
up the entire District under Swajaldhara –II to the
State Water and Sanitation Mission (SWSM).
Swajaldhara – II
3.6 The District is the unit for implementing the reform
initiative under Swajaldhara – II. The State Governments
would identify districts where chances of success of Swajaldhara
are high and prepare proposals for implementation of Swajaldhara
II. Such requests should have project proposal along with
Project Implementation Plan (PIP) and Detailed Project Report
(DPR). The District selection under Swajaldhara –II
will be made by the State Water and Sanitation Mission (SWSM)
in all States / Union Territories. |
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| 4. Enabling Environment |
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| 4.1 For the proper and effective implementation
of Swajaldhara Projects the following enabling environment is
essential: (i) Panchayati Raj Institutions (PRIs) are to be
vested with functions and finances, and supported with functionaries
to carry out the responsibilities of drinking water supply scheme
planning, designing, implementation, operation, maintenance
and management. (ii) Village Water and Sanitation Committee
will have to be a committee of Gram Panchayat. (iii) States
would need to enact and implement law on effective ground water
extraction control, regulation and recharge. (iv) Institutional
strengthening and capacity development of the State, District,
Block, Gram Panchayats and the community level institutions
is necessary. State Government should have an effective State
Water and Sanitation Mission with a competent support organisation
for implementation of Swajaldhara. (v) State Government should
integrate water conservation and rain water harvesting schemes
with the drinking water supply schemes. (vi) Rural drinking
water, sanitation, health, and hygiene programmes need to be
integrated at the State, District, Block and GP levels. |
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| Memorandum of Understanding |
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| 4.2 In order to avail of funds under Swajaldhara
I and II, the State Governments would enter into Memorandum
of Understanding (MOU) with the Department of Drinking Water
Supply, Ministry of Rural Development, Government of India.
There would be commitment of the State Government to the reform
principles in the Water and Sanitation Sector and to promote
through out the State the Swajaldhara principles. Each State
Government would be required to clearly indicate State vision,
identified road map and milestones. Each State Government would
be required to prepare a comprehensive Vision Statement, Action
plan and agreed time frame for initiating and scaling up reforms
in the sector. It should address issues like institutional reforms,
integration of Water, Sanitation, and Hygiene, Capital cost
sharing principles, water tariff/charges, operation and maintenance
of systems, and institutional mechanism for implementation,
role of Panchayati Raj Institutions, NGOs, and CBOs; water quality;
water conservation measures including legislative action. Further,
performance indicators will be laid down in the Memorandum of
Understanding which would be periodically reviewed by both Central
and State Governments. The MOU will take into account State
specific factors and incorporate milestones which are in consonance
with the reform principles. Flow of funds under the Swajaldhara
and Total Sanitation Campaign would depend upon the performance
of the State Governments in relation to the agreed programmes,
which would be evaluated by independent monitors / supervisory
missions.
4.3 In the MOU, stress would be on adherence to the reform
principles by all the stakeholders, viz. State Government,
Panchayati Raj Institutions, Non Government Organisations,
and User Groups. It would incorporate action points, which
address the issues of quantity, quality, conservation and
sustainability of drinking water sources and improved sanitation
and hygiene in the community. Towards this end, action points
for all stake holders will be identified, strategy agreed
upon and implementation time-frame laid down in the MOU. Government
of India, in turn, will also specify the system of incentives
and disincentives for the State Governments. |
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| 5. Community Contribution |
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5.1 The minimum share of community contribution
for 40 litres per capita per day (lpcd ) service level will
be 10 percent of the estimated capital cost of the project and
funding by Government of India would be restricted to 90% of
the capital cost.
5.2 In case of all habitations fully covered in the States,
with 40 lpcd drinking water facility, the service level can
be improved to 55 lpcd with 20 per cent of the capital cost
to be borne by the community. In such States, in case of water
supply schemes providing more than 55 lpcd, the additional incremental
cost would have to be borne by the community / Panchayati Raj
Institutions/ State Government. Funding by Government of India
would be restricted to 80 per cent of the capital cost of 55
lpcd schemes only.
5.3 The community contribution towards the capital cost of schemes
could be in the form of cash / kind/ labour / land or combination
of these. However, at least 50% of the community contribution
will have to be in cash. In case community contribution is more
than 10% of the scheme cost, the excess amount shall be taken
into operation and maintenance fund.
5.4 Contribution from the community based institutions / organisations
like Youth Club, Self-Help Groups, local Institutions and Gram
Panchayats may also supplement the community contribution. However,
such contribution will be over and above the community contribution
and will not be included as part of the community contribution.
Further, contribution from Member of Parliament Local Area Development
Scheme (MPLADS) or Member of Legislative Assembly Constituency
Development Scheme (MLACDS), which are Government Programmes,
is specifically prohibited. |
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| 6. Operation, Maintenance and Management
(O&M) |
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6.1 Operation, maintenance and management
cost of the water supply schemes will have to be fully borne
by the concerned Community / User Group / Village Water and
Sanitation Committee / Panchayati Raj Institution. This would
include recurring costs like salary of operators, electricity
charges as well as cost of periodic repair and renewal. It would
be imperative on the part of the Panchayati Raj Institution
/ community to have a full understanding and appreciation of
the likely O&M costs of various technology options before
they select the technology for their water supply scheme.
6.2 The Gram Panchayat which has opted for a new scheme and
/ augmenting the existing scheme, should take over the O&M
of the existing schemes in the respective area. Towards this
end, the Gram Panchayat / User group will contribute to an Operation
& Maintenance (O&M) Fund. The size of the corpus should
be sufficient to meet the O&M cost of the scheme for at
least six months. This corpus should remain intact and may be
made use of to meet renewal / replacement / major repairs cost
.
6.3 Gram Panchayats would require to mobilise funds through
levy and collection of user charges for the operation and maintenance
of the schemes taken over. Further, upon completion of Swajaldhara
schemes under both the streams and their successful operation
for at least 12 months from the date of completion, Government
of India may provide up to 10% of the capital cost as a one-time
incentive to the O&M Fund created by the Panchayati Raj
Institution / User Group and the State Government should also
make an equal matching contribution to the O&M Fund.
6.4 The District Panchayat / DWSC shall take steps to provide
training to persons selected by the Gram Panchayat / community
to operate and maintain the drinking water schemes. Funding
for the capacity development of Panchayat and Users Group functionaries
will be met from the Swajaladhara.
6.5 It is difficult to have all Gram Panchayats in a District
under Swajaldhara simultaneously. They are taken up batch by
batch. Under Swajaldhara-I, ARWSP funds for O&M will be
available for non-Swajaldhara Gram Panchayats.
6.6 Since funding for operation and maintenance will not be
available under ARWSP for all the villages in a Swajaldhara
project district under Swajaldhara -II, the State Governments
may continue to provide funds, if necessary, for O&M for
non-Swajaldhara Project Gram Panchayats from their own funds
to the Gram Panchayat till the Gram Panchayat is covered under
the Project. However, the State Governments should take positive
steps to hand over existing rural water supply schemes to GP
/ VWSC, after undertaking requisite rejuvenation / repair works
under the guidance / supervision of GP/ VWSC, for operation
and maintenance after a specified date (to be decided by the
State Government) so that there is one uniform rural water supply
system in the District where GP / VWSC meets full operation
and maintenance expenditure. Towards this end, communication
and capacity development activities must commence in the district
at the earliest |
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| 7. INSTITUTIONAL SETUP |
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| 7.1 The State Government would be the
coordinating agency for the project. Panchayati Raj Institutions
should be the Implementing Agencies. It is necessary to have
a State Water and Sanitation Mission (SWSM) under the chairmanship
of the Chief Secretary/ Officer of Chief Secretary rank. The
SWSM may be a registered society. The State Governments would
provide necessary operational flexibility to the SWSM for integrated
implementation of Swajaldhara and Total Sanitation Campaign
(TSC). At the District level, the District Panchayat / Zilla
Parishad shall perform all the functions hitherto performed
by the DWSM. At the village level Gram Panchayat / VWSC will
be the Implementing Agency.
7.2 State level
7.2.1 The State Water and Sanitation Mission (SWSM) would
have the following functions:
(i) Provide policy guidance on Swajaldhara Projects;
(ii) Periodic review of implementation of the MOU signed with
the Department of Drinking Water Supply ;
(iii) Consideration and approval of all schemes pertaining
to water supply and sanitation sector programmes funded wholly
or partially by the Government of India or the External Funding
Agencies (including ARWSP, Sub-Mission, TSC);
(iv) convergence of water supply and sanitation activities
including Special Projects;
(v) coordination with various State Government Departments
and other partners in relevant activities;
(vi) monitoring and evaluation of physical and financial performance
and management of the water supply and sanitation projects;
(vii) arranging independent certification of the quality of
construction of Swajaldhara projects;
(viii) integrating and operating communication and capacity
development programmes for both water supply and sanitation.
7.2.2 The SWSM would have (i) Apex Committee and (ii) Executive
Committee.
7.2.3 The Apex Committee would be headed by the Chief Secretary/
Officer of Chief Secretary rank with Secretaries in-charge
of Rural Drinking Water Supply, Rural Development (RD), Panchayati
Raj (PR), Education, Health, Finance, Planning, Information
and Public Relations and a Government of India representative
as members. In addition, three experts in the field of rural
water supply and sanitation could also be made members of
the Apex Committee. Secretary of the Department concerned
with rural water supply and sanitation shall be the Member
Secretary of the Apex Committee. This Committee shall meet
at least once in every quarter and not less than 4 times in
a year.
7.2.4 An Executive Committee with about 15 members shall
be constituted to aid and advise the Apex Committee and shall
be headed by the Secretary of the Department concerned with
Rural Drinking Water Supply and Sanitation, and, an officer
not below the rank of a Joint Secretary of the same Department
shall be its Member Secretary. Chief Engineer in charge of
Rural Drinking Water Supply, officers from the Departments
of Rural Development, Panchayati Raj, Health, Education, Social
Welfare, Planning, Finance and Information and Public Relations
shall be ex-officio members. Experts, not exceeding six, in
the field of drinking water; communication and rural development;
community health and hygiene; community mobilisation; Media;
and NGOs may be co-opted as members.
7.3 District level:
7.3.1 At the District level, the District Panchayat/ Zilla
Parishad shall perform all the functions which hitherto were
being performed by the District Water and Sanitation Mission
(DWSM). However, in States where elected District Panchayats
are not in place, the DWSM as a society under the chairmanship
of the District Collector could perform the functions. The
District Water and Sanitation Committee (DWSC) will be a Committee
of the District Panchayat/DWSM.
7.3.2 The Drawing and Disbursing Officer (DDO) of the District
Panchayat / DWSM shall also act as the DDO for all funds received
under Swajaldhara.
7.3.3 The District Panchayat / DWSM shall meet as often as
possible but not less than four times a year. It will consider
and take note of all schemes under Swajaldhara which have
been technically scrutinised and approved by the DWSC. It
would review the implementation, progress of Swajaldhara and
the Total Sanitation Campaign (where it has been launched)
in the district.
7.3.4 The District Water and Sanitation Committee (DWSC)
will be headed by the CEO of the District Panchayat where
District Panchayat is performing functions of DWSM. In other
cases, DWSC will be headed by the District Collector / District
Magistrate. DWSC will have District level officers such as
the Executive Engineers of Drinking Water, and District Panchayat;
District Education Officer, District Health Officer, Project
Director DRDA, District Panchayati Raj Officer, District Social
Welfare Officer, and District Information & Public Relations
Officer. In addition 3 members who shall be experts and/ from
reputed NGOs, may be co-opted into the Committee as members
with the prior approval of the SWSM. The Executive Engineer
of Drinking Water or District Panchayat or an Officer chosen
by the DWSM and concurred to by the Executive Committee of
SWSM shall be the Member Secretary of the DWSC.
7.3.5. The functions of the District Water & Sanitation
Committee (DWSC) are as follows:
(a) formulation, management and monitoring of Swajaldhara
projects;
(b) scrutiny and approval of the schemes submitted by the
Block Panchayat/ Gram Panchayat,
(c) selection of agencies and/ NGOs and enter into agreements
for social mobilisation, capacity development, communication,
project management and supervision,
(d) sensitising the public representatives, officials and
the general public about the Swajaldhara principles;
(e) engaging Institutions for imparting training for capacity
development of all stakeholders, and undertaking communication
campaign; and
(f) interaction with SWSM, State Government and the Government
of India.
7.3.6 The DWSC will utilise the official premises, equipments,
vehicles, telephone etc. of the Zilla Parishad / line Department
for the official activities. Recurring costs like propulsion
charges of vehicles, transport hiring charges, telephone bills
etc. can be met form the project fund. No separate vehicle
shall be purchased under the project. If absolutely necessary,
vehicles may be hired as and when needed for the project purpose.
7.3.7 The Core Group may be positioned to assist the District
Water & Sanitation Committee in implementing the project
activities. The Core Group will have professionals in the
field of community development, drinking water supply, engineering,
rural management, sociology/social sciences, communication,
human resource development, etc. The Core Group will meet
at least once a month and review the progress made under Swajaldhara.
It would give its inputs on communication and development
strategy, technology options, sustainable exploitation of
drinking water resources, community health, financial viability
of schemes, etc. to the DWSC. In order to make the Core Group
fully functional and effective, State Governments and District
Panchayats may have to be supported in this regard, both financially
and technically, by the Government of India from within the
project fund.
7.4 Gram Panchayat (GP) / Village Water and Sanitation Committee(VWSC)
7.4.1 VWSC under the Gram Panchayat will implement Swajaldhara
schemes in the Gram Panchayat. Each Gram Panchayat taking
up Swajaldhara schemes shall have a Village Water and Sanitation
Committee (VWSC) under the chairmanship of the Gram Panchayat
Pradhan / President / a Panchayat Member elected by the members
of the VWSC for implementation of drinking water supply schemes
of their own choice with active participation of the villagers.
7.4.2 In case the scheme covers more than one Gram Panchayat,
a Joint Committee may be constituted at the Intermediate Panchayat
level by involving concerned Gram Panchayat representatives
and the Intermediate Panchayat Chairman.
7.4.3 The composition of the VWSCs and Joint Committees can
be decided by the State Government under the Panchayat Act.
However, women, SC, ST and poorer sections, subject matter
specialists, NGOs, CBOs should be given due representation
and at least one third members of the VWSC shall be women.
7.4.4 VWSC will be responsible for
(i) ensuring GPs to take up Swajaldhara implementation in
each Gram Sabha meeting;
(ii) ensuring community participation and decision making
in all phases of scheme activities;
(iii) organising community contributions towards capital costs,
both in cash and kind (land, labour or materials);
(iv) opening and managing bank account for depositing community
cash contributions, O&M funds and management of project
funds;
(v) signing of various agreements with the DWSC;
(vi) planning, designing, and implementing all drinking water
and sanitation activities;
(vii) procuring construction materials/goods and selection
of contractors (where necessary) and supervision of construction
activities;
(viii) commissioning and takeover of completed water supply
and sanitation works through a joint inspection with DWSC;
(ix) collection of funds through a tariff, charges and deposit
system for O&M of water supply and sanitation works for
proper managing and financing of O&M of the services on
a sustainable basis; and empowering of women for day to day
operation and repairs of the scheme;
(x) creating and promoting integration of drinking water,
sanitation and hygiene in the Panchayat; and
(xi) participation in communication and development activities
in other villages. |
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| 8. PROJECT ACTIVITIES |
8.1. Scheme Cycle
8.1.1 During project preparation, a detailed project implementation
schedule would be developed. The projects under Swajaldhara
would follow a scheme cycle of about 36 months consisting
of four distinct phases and a post project completion phase.
Since mostly small schemes are likely to be taken up in a
single Gram Panchayat under Swajaldhara –I, the duration
of scheme cycle could be between 12-18 months. It may, however,
be clarified that the period indicated is indicative and in
some cases the projects may take a longer period.
8.1.2 Start up Phase – This
phase should not take more than 3 months. This comprises of
–
- Creation of the Institutional set-up at State, District,
and Gram Panchayat levels.
- Opening of bank account for receipt of funds from the
Government of India at the district level by the District
Panchayat.
- Generation of bench mark data through Base line survey.
- Identification of NGOs and Training Institutes, Resource
Center etc. for activities like communication, Information,
Education and Communication ( IEC), Human Resource Development
(HRD), capacity development, social mobilisation etc.
- Monitorining mechanism to be put in place (familiarising
the proforma, questionnaire for obtaining information from
the field and submitting information to the State Government,
SWSM, and Government of India)
8.2 Sensitisation and Identification phase
– This would involve –
- sensitizing and awareness creation among implementers
(Government functionaries/ political representatives / PRIs
/ NGOs etc.) at all levels through various communication
channels about the programme assessment and analysis of
the existing water supply and sanitation systems (habitation-wise)
through primary data collection.
- analysis and identification of the Gram Panchayats/habitations
to be taken up in the various phases depending on the demand
from them and the available resources.
(a) for water supply – each phase may comprise of
construction of new schemes, augmentation and/ rejuvenation
of the existing system and taking over of the complete (acceptable)
system by Panchayats.
(b) for sanitation – the phase may comprise of setting
up of RSM/Production Centre (PC) as an alternate delivery
mechanism, and habitations where implementation is to commence
immediately should be identified (preferably NC/PC and quality
affected habitations and those where the success rate is
likely to be fast, higher and sure).
agencies for communication campaign should be identified
and action taken to develop and execute the capacity development
and communication strategy
- communication campaign for awareness creation and demand
generation should clearly give the following messages:-
(1)The beneficiaries will own the assets created;
(2)The government will not maintain the assets created;
(3) This is the one time investment in the District/ Gram
Panchayat ;
(4) On completion of the project, the District/Gram Panchayat
will be considered fully covered;
(5) Two or more alternative technologies suitable to a particular
area along with information regarding its capital cost,
the beneficiary share, the O&M cost, the replacement
cost etc. in respect of each technology;
(6) Full O&M and replacement cost; and part capital
cost are to be borne by the beneficiaries;
(7) Importance of water quality monitoring and surveillance;
(8) Importance and benefits of water recharging activities
and possible technologies for water recharging activities
in the area; and
(9) Any other local issues pertaining to the area.
various communication modules should be prepared in the
local language giving the above information.
- agencies for preparation of the above modules and carrying
out communication activities should be identified.
- Preparation of Manuals/modules for the above training
including in the local languages.
- getting the schemes of their choice identified by the
villagers (decision making process) Village Water and Sanitation
Committee (VWSC), a Committee of Gram Panchayat, to be empowered
and operationalised .
8.3 Training
Training activities to equip the villagers in the Planning,
designing, implementation, operation, maintenance and management
of schemes of their choice. Training of members of the User
Group especially women / community is an extremely important
element of the reform principles. Towards this end, the State
Water and Sanitation Mission (SWSM) could make use of the
State Institute of Rural Development (SIRD) and its branches
at Division/ District levels to provide regular training courses
for members of the User Groups, Panchayati Raj Institutions,
Implementing Agencies, line Departments, NGOs etc. covering
all aspects of water supply and sanitation sectors. Training
to be given at the following levels:
1. Departmental Level:- (a) Behavioural
sciences – interaction with the villagers. (b)Sociological
aspects (c) Importance of traditional schemes and the needs
to be propagated (d) Trainers’ training to train villagers
for installation, O&M, water quality testing, water recharging
and harvesting technologies.
2. District Level and NGOs:- (a)
Management and supervision of project implementation; (b)
Identification and selection of agencies for various activities
of the project; (c) Recruitment (on contract basis) of experts
as per the requirement; (d) Monitoring of physical and financial
progress – collection and use of data for the proper
project implementation (e) Various communication campaigns
to be carried out and related behavioural sciences –
interaction with people; and (f) Record keeping and documentation
of project implementation – both progress and process
activities.
3. Gram Panchayat / VWSC Level:-
(a) Record keeping – financial management, transparency,
maintenance of minutes of proceedings of VWSC meetings; (b)
Communication with villagers – Communication activities;
(c)Technical matters like scheme planning, designing, installation,
specification of various components, procurement and contracting
procedure, etc.(d) Matters related to O&M, replacement
of the schemes, water quality testing & monitoring, water
harvesting systems & structures etc. (during and after
implementation of the chosen scheme); (e) Collection of community
contribution – capital cost share, O&M cost, monthly
collection of water charges – maintenance of records;
and (f) Crisis and conflict management.
4. Villagers (selected / interested villagers):-
(a) Technical matters like scheme designing, planning, installation,
specification of various components, procurement procedures,
contracting procedures, etc.; (b) Matters related to O&M,
replacement of the schemes, water quality testing & monitoring,
water harvesting systems & structures etc. (during and
after implementation of the chosen scheme); (c) Collection
of funds – capital cost share, O&M cost, etc, and
(d) Crisis and conflict management
8.4 Scheme / System Planning –
This comprises of –
- Rough design and estimation of the water and sanitation
schemes/units based on the community/user choice.
- Consensus on the most appropriate scheme based on affordability
and technical feasibility.
- Further awareness and training campaign for collection
of people’s contribution and deposit in VWSC account.
- Collection of part of the community contribution for starting
detailed planning and design of the water supply schemes.
In case of sanitation, it may be as per the TSC Guidelines.
- Detailed designing, planning, estimation and seeking approval
of the competent authority as decided by the District Panchayat/DWSM.
In case of household latrines, it should be as per the beneficiary’s
choice and affordability.
- Identification of the contractors (where local community
through the VWSC cannot execute the work) and assigning
the job for implementation.
- Release of Government share from District Panchayat/DWSM
to Gram Panchayat /VWSC account.
8.5 Implementation and Commissioning:-
This comprise of –
- Collection of the balance beneficiary contribution in
terms of cash / kind / labour / combination of these (contribution
in terms of labour and kind should be quantified and treated
as the cash contribution of such contributors and a proper
record of the same must be maintained).
- Procurement of materials – the Gram Panchayat /VWSC
shall purchase the materials. No centralised purchasing
should be done. However, in exceptional cases and as the
situation demands with respect to certain items, centralised
purchasing may be opted by the DWSC on behalf of GPs but
only after receipt of due request from the Gram Panchayat
/ VWSCs. The DWSC shall guide and assist VWSCs to ensure
that materials of standard quality are purchased.
- Execution of work – actual implementation of the
scheme of choice .
- Supervision by Gram Panchayat/ VWSC and District Panchayat
/ DWSC for water supply and community based sanitation schemes.
In case of household latrines, joint supervision by the
NGO and the beneficiary is necessary.
Completion, commissioning and taking over of completed schemes
by the Gram Panchayats / VWSC for the continued O&M
and replacement.
- Awareness and training on water quality testing, monitoring
and surveillance
- Development of data base with updating mechanism
- Training to VWSC Chairman and members besides selected
villagers for O&M, etc. as explained earlier at sensitizing
stage
- Monitoring and evaluation of the scheme by the Gram Panchayat
/ VWSC
- Participation of the Gram Panchayat / VWSC whose schemes
has been completed in awareness and training campaigns in
other parts of the district
8.6 A continuous process of monitoring and evaluation, review
and mid-course correction (if any required) will be carried
out by the District Panchayat, SWSM/State Government, Department
of Drinking Water Supply of Government of India , and Implementing
Agencies.
8.7 All the above four stages may co-exist at the same time
in various places within the same district. |
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| 9. NGO Participation |
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| 9.1 Services of Non-Government Organizations
(NGOs) could be utilized for activities such as social mobilisation,
Communication and Capacity Development, Participatory Rural
Appraisal (PRA) / Participatory Learning and Action (PLA), Human
Resource Development (HRD), Training and implementation of schemes.
However, proper and transparent selection criteria should be
adopted. NGOs may be properly oriented and trained in the drinking
water and sanitation sector reform principles before their services
are utilized. |
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| 10. Participation of Women |
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| 10.1 Since collection of drinking water
in villages is primarily done by women they need to be actively
involved in planning, choice of technologies, location of systems,
implementation, operation and maintenance of water supply schemes.
Towards this end, at least one third members of the VWSC shall
be women and they should get preference in training for repair
of handpumps, etc. Formation of User Groups exclusively of women
in villages may be promoted. |
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| 11. Technology Options |
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11.1 The technology option for any
village should be acceptable, adaptable
and affordable for the community. The selection of
water supply technology for a given locality could be determined
by a number of factors, such as technical feasibility, users
preferences and requirements combined with willingness to
contribute towards capital cost and O&M. Site specific
conditions such as availability and reliability of electricity
supply, quality of ground water etc. must also be factored
in by the community while making choice of technology. The
service level shall be as per the users preference. Priority
should be given to rehabilitation and / extension of existing
schemes.
11.2 A Manual consisting of type-designs and indicative capital,
O&M and replacement costs for each of the technology options
may be prepared by the SWSM / DWSC and circulated to the Gram
Panchayats willing to take up projects under the Swajaldhara.
However, care should be taken that there is adequate room
for local level innovations and greater community participation.
Multi Panchayat / Village Schemes
11.3 Swajaldhara Project is ideally suited
for small village based self-sufficient schemes. However,
in some districts there may be need to go in for capital intensive
regional / multi-Panchayat / village schemes on account of
water quality problems like excess fluoride, arsenic, brackishness
etc; and distant location of drinking water sources. The project
may undertake the implementation of such schemes. Water could
be supplied to the GP/ community at the village entry point
with the Project bearing the cost of bringing water to the
village entry point and the community bearing the cost of
distribution system within the village/habitation, subject
to the condition that community contribution is not less than
10 per cent of the scheme cost within the village/habitation.
GP / VWSC / Communities can buy water in
bulk and arrange for distribution within the village.
The State Government, for the purpose of the Swajaldhara Project
implementation within the State would indicate the Policy
on multi Panchayat/village scheme relating to (i) capital
cost sharing between GOI, State and community (ii) operation
and maintenance and (iii) User fees, water charges and tariffs.
The Multi Panchayat/Village Schemes under Swajaldhara- I &
II within a district can be approved by the District Panchayat
/ DWSM. In case of such schemes covering two or more districts,
the State Water and Sanitation Mission (SWSM) will consider
and sanction. It may, however, be noted that financial viability
of multi-village schemes and problems of sustained operation
and maintenance would require high degree of managerial capability
by the community and these need to be carefully considered
before multi-village schemes are approved by the District
Panchayat / DWSM / SWSM. |
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| 12. Quality control |
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| 12.1 It is extremely important that the
quality of construction is supervised at all times by the line
Department providing technical support to the Gram Panchayat
/ User Groups. The responsibility for ensuring the quality of
works would be of the line Department / Agency at the District
level.
12.2 The DWSC should work out an arrangement under which
a team of experts would visit once in a quarter, inspect the
works quality and give their report to the District Panchayat
/ DWSC. In case defects are pointed out in the report, the
same shall have to be rectified before further payments can
be made to the project.
12.3 In addition, the State Water and Sanitation Mission
(SWSM) would also put in place a system of random inspection
of projects taken up under Swajaldhara in the State by a team
of experts. The inspection should assess all aspects of the
project including adherence to the reform process mentioned
in the Guidelines, which is as important as the quality of
civil works. Further, this assessment has to continue even
after the project is completed although in such cases the
frequency of inspection could be reduced since the sustainability
of the water supply project is an integral part of the reform
initiative.
12.4 Copies of inspection reports carried out by agencies
independent of the Field Engineers will have to be attached
along with the second and subsequent instalment claims. |
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| 13. Sustainability of sources |
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| 13.1 The communities will be encouraged
to identify and take up water harvesting / recharge activities
to benefit the relevant drinking water sources. Such activities
will be essential component of project funding.
13.2 The State Government will come up with a detailed State
Water Policy and Vision Statement, which shall lay down the
policy parameters in respect of exploitation of ground water
sources and protection of drinking water sources. District
Panchayats, Intermediate Panchayats and Gram Panchayats shall
also be encouraged to take suitable local initiatives for
ensuring sustainability of safe water sources. |
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| 14. National SWAJALDHARA MONITORING
Committee (NSMC) |
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| 14.1 A National Swajaldhara Monitoring
Committee (NSMC) will be constituted by the Government of India
under the chairmanship of Secretary, Department of Drinking
Water Supply. It would have Additional Secretary & Financial
Adviser, Joint Secretary(TM), Ministry of Rural Development
and at least three experts from the rural water and sanitation
sector as the Members.
14.2 The NSMC will meet at least once every three months
and would review the progress of the Swajaldhara implementation
and provide guidance to the SWSM/ DP /DWSM on proper and effective
implementation.
14.3 The NSMC shall also periodically review the progress
made in the implementation of the reform initiative by the
State Governments against the vision set, objectives, and
milestones specified in the Memorandum of Understanding (MOU).
|
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| 15. Funding of Swajaldhara Projects |
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| 15.1 Up to 20 percent of the Budget provision
for Rural Water Supply Programme of Government of India has
been earmarked for Swajaldhara Projects. If the need arises,
this would be increased in subsequent years to ensure full coverage
of the remaining districts under Swajaldhara by the end of the
10th Plan.
15.2 Swajaldhara Project funding, excluding community contribution,
will be fully met by the Government of India.
15.3 Funds under Swajaldhara will be allocated to the States
every year as per the inter state Accelerated Rural Water
Supply Programme(ARWSP) allocation ratio fixed for the year.
The releases will be demand responsive up to the maximum allocation
for the year. The unspent amount under this will be distributed
to States by the end of December with the concurrence of the
Integrated Finance. In that, priority will be accorded to
those States where Swajaldhara projects need additional funding.
Remaining unspent funds will be pooled and distributed as
per the ARWSP, to better performing States.
15.4 While indicating tentative allocation to Districts within
the State, the following principles will be borne in mind
by the State Governments: (i) ensure equitable spread of water
supply schemes, (ii) district wise allocations may be made
and communicated by 30th April, and
(iii) the fresh proposals for the allocated amount are approved
by the District Panchayat by 30th September
of each year.
15.5 If progress under Swajaldhara is found to be unsatisfactory
in a State by the Department of Drinking Water Supply, Government
of India, it would be free to re-allocate the savings of a
State in December among better performing States.
15.6 Procedure for release of Funds
15.6.1 For the implementation of schemes approved under Swajaldhara-I,
the funds will be released in two equal instalments while
it would be released in four instalments of 20, 40, 30 and
10% for projects taken under Swajaldhara
-II. The State Governments / SWSM will indicate the
extent to which allocated funds for a year will be utilized
in the State under Swajaldhara I and II.
15.6.2 In case of Swajaldhara I,
district wise allocation indicating number of Gram / Block
Panchayats where from the proposals are expected and total
funds required will be intimated by the State Governments
and Union Territory Administration to the Department of Drinking
Water Supply. On receipt of the said information, the first
instalment (50% of the estimated amount) will be released
directly to the SWSM/ DP / DWSM by Department of Drinking
Water Supply. On receipt of the Swajaldhara I proposals from
the Gram Panchayats / Block Panchayats, the District Panchayat
/ DWSM will examine technically and financially and take decision
on the proposals. In case of sanction, 1st instalment (50%
of the sanctioned scheme capital outlay) will be released
to the Gram / Block Panchayats. Release of 2nd instalment
by Government of India would depend upon the SWSM and the
State Government satisfying and recommending release of the
funds for each DP/ DWSM with proper Utilization Certificate
and Audit Certificate. The State Government and SWSM will
consider the following before sending their recommendation
to Government of India: (i) utilization of the total available
funds. The available funds means funds released by Government
of India plus interest accrued thereon and community contribution
(cash, kind, land, labour computed in terms of amount) received
for the proposals; (ii) utilization certificates duly signed
by Chairman and Secretary of DWSC, duly verified and countersigned
by the CEO of the SWSM. The Utilization Certificate will be
in the Form enclosed (Annex-I); (iii) Audit Report of the
Chartered Accountant covering all the points indicated in
the Guidelines and the Audit certificate and statements to
be furnished in the prescribed Format A to E at Annex-II;
and (iv) the latest Inspection Report of the schemes implemented
in the respective districts by an agency (engaged by DWSC
and approved by SWSM) independent of field engineers. The
Inspection Report shall not be more than three months old
at the time of seeking release of 2nd and subsequent instalments.
The State Government will be fully responsible for the recommendation
for 2nd instalment release. Audit Certificate and Utilisation
Certificates and other records received from DWSC and Gram
Panchayats/VWSCs shall be retained at the SWSM / State Government
level.
15.6.3 Under Swajaldhara–II,
funds would be released by the Department of Drinking Water
Supply to the SWSM/ DP /DWSM in 4 instalments of 20, 40, 30
& 10 %. 20% of the project cost would be released once
the project for the District has been approved by the SWSM.
For the release of 2nd and further instalments the conditions
specified in (i), (ii), (iii), and (iv) of Para 15.6.2 of
the Guidelines will have to be met. District Panchayat / DWSM
will be responsible to release funds to GPs / VWSCs and will
ensure proper management of funds.
15.7. A separate Bank account in the State Bank of India
or its associate bank may be maintained by the SWSM/ District
Panchayat/ DWSM to receive funds from the State Government
and Government of India.
15.8 Funds would be provided to the State Water and Sanitation
Mission (SWSM) and the District Panchayat / DWSM to meet the
expenditure on activities like Start up,
Communication & Capacity development, Quality check,
monitoring etc. This would be limited to 10% of the value
of project proposals cleared during the year in the State
under Swajaldhara – I and II.
15.9 The administrative cost shall not exceed 5% of the Project
Outlay with an upper ceiling of Rs. 5 lakh per annum and would
be admissible to the District Panchayat / DWSM and Gram Panchayats
executing the projects under Swajaldhara – I & II.
No centage charges would be admissible under Swajaldhara.
Salaries of employees of the State Government / District Panchayat
cannot be charged to the project. But the contracted consultants
/ professionals can be engaged for which payments will be
funded under the administrative / IEC / HRD etc. components
of the project as the case may be.
15.10 Interest accruing to the funds available at the District
level will be added to the project funds and utilized as per
Swajaldhara Guidelines. In case of Gram Panchayat / VWSC,
interest accruing for the funds received under Swajaldhara
and on community contribution will be taken into account for
the schemes and utilised only as per the Guidelines. |
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| 16. INADMISSIBLE ITEMS OF EXPENDITURE |
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16.1 The following items of expenditure
are inadmissible under Swajaldhara :-
a) Purchase of vehicles.
b) Purchase of Land and Buildings.
c) Construction of Official Buildings and rest houses (This
excludes buildings needed for drinking water schemes).
d) Expenses for any political party and religious organizations.
e) Expenses for gifts and donations. |
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| 17. Project Accounts and Audit |
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17.1 The Swajaldhara project accounts
will be properly maintained by the Project Authorities at
the District, Block / Gram Panchayat and VWSC levels. These
accounts will be audited by Chartered Accountants to be engaged
by SWSM/ State Government. Annual audited project accounts
shall be submitted to District Panchayat/ DWSM; SWSM / State
Government and Department of Drinking Water Supply, Government
of India. The Project Authorities would submit the audited
accounts along with Project Progress Report while filing instalment
claims.
17.2 The Audit Report
should cover the following issues:
- Number of Bank Accounts being maintained by the Implementing
Agency (a single and separate Bank Account should be maintained
for the Scheme).
- Funds held in Fixed Deposits, if any (the programme funds
are allowed to be kept only in Savings Account).
- Whether interest accrued in Savings Account has been taken
as receipt and utilised for the Project.
Delay, if any, in crediting the Accounts of the Implementing
Agency by the receiving Bank - if so, the period of delay.
- Whether Bank reconciliation in respect of Cash Book balance
and Pass Book balance is being done fortnightly. The Bank
reconciliation should also cover interest accruals. The
Bank reconciliation statement as on 31st March should be
attached to the Audit Report.
- Proper maintenance of Cash Book by the Implementing Agency.
- Cheques issued but not encashed as on 31st March as per
Bank reconciliation (this should be taken as a part of the
opening balance).
- Actual expenditure village-wise out of advances to all
the VWSCs and closing balances with VWSCs.
Inadmissible items of expenditure, if any. Diversion of
funds, if any.
17.3 In order to cover all the issues
mentioned in the Guidelines the following check list shall
be specifically addressed in the Chartered Accountant’s
Audit Report:-
- Whether a separate bank account for the Scheme is being
maintained?
- Whether any programme funds are held in Fixed Deposits?
- Whether interests from Savings Bank accounts are being
credited into the account and utilised for the Scheme?
- Whether there is delay in crediting the Accounts of the
Implementing Agency by the receiving bank. If so, the period
of delay?
- Whether Bank reconciliation statement as on 31st March
has been attached to the Audit Report?
- Whether cash book is being maintained properly?
- Whether amount of cheques issued and not encashed as on
31st March of a financial year as per Bank reconciliation
statement have been indicated (the amount of uncashed cheque(s)
has to be taken as a part of the opening balance in the
next financial year)?
- Whether a schedule indicating actual expenditure village-wise
out of advances to all the VWSCs and closing balances with
all the VWSCs has been attached to the Audit Report?
- Are there any inadmissible items of expenditure? If so
the details should be furnished.
Is there any diversion of funds? If so the details should
be furnished.
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| 18. Monitoring, Review and Mid
Project Revision. |
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| 18.1 The DWSC will submit Monthly Progress
Reports within 10 days in the succeeding month; and for every
financial year on or before 25th April of the succeeding financial
year. Progress Report form is at Annex-III.
18.2 Government of India will field multi disciplinary Review
Mission comprising officers of Government of India
and the respective State / UT Government, subject Matter Specialists
/ Experts once in 6 months or as often as may be necessary
to review the implementation and recommend remedial action.
The Mission is to guide the Project Authorities for process
implementation. It is not for preparing / recommending reports
for release of funds, which shall be made based on procedure
laid down in Para 15.6 foregoing.
18.3 Mid Project Review Mission
will look into physical and financial progress of the project
and indicate specifically mid course improvement, if any,
to be carried out. In case additional funding is suggested
the NSMC would consider the revised Project proposal. |
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| 19. Completion of Swajaldhara Projects |
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| 19.1 A Swajaldhara Project in a District/Block/Gram
Panchayat, will be considered as completed on fulfillment of
the following conditions: (i) all the schemes taken up under
the project have been fully completed and taken over by the
Panchayat / VWSC for operation and maintenance (ii) the audited
project accounts for the entire expenditure has been received
and taken on record in the Government of India, and (iii) the
balance Government of India funds in the project have been fully
refunded to Government of India.
19.2 A Report on completion of projects under Swajaldhara
will be placed before National Swajaldhara Monitoring Committee
for observation and comments, which would be duly communicated
to the State Government for further action, if any. |
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| 20. POST- PROJECT ACTIVITIES |
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| 20.1 Since Swajaldhara is
a process project designed to enable the community to have access
to acceptable, adaptable, sustainable and affordable safe drinking
water system, the reform process does not end with the physical
completion of water supply schemes. In several ways, it marks
the beginning of a new and more challenging phase in the process
where the local community have to shoulder the responsibility
of operation and maintenance of the system. This entails putting
into operation the decisions taken by the community with regard
to tariff structure, collection of monthly water charges from
the users, ensuring proper maintenance of the system so as to
ensure reliable and regular supply of safe drinking water. Towards
this end, the community will have to arrange for periodic quality
checks of water being supplied as well as ensure sustainability
of sources. This may include taking decisions regulating exploitation
of ground water sources and preventing contamination of water
sources. All these activities would require high degree of community
mobilisation and awareness.
20.2 The District Panchayat / DWSM and the State Water and
Sanitation Mission (SWSM) should arrange for periodic monitoring
and review of the functioning of completed water supply schemes
by officers, experts, NGOs, Institutions etc. Suitable monitoring
mechanism and systems may be put in place in this regard by
the State Government. |
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| ANNEX - I |
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| Form of Utilization Certificate |
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Sl.No.
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Letter No. and Date
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Amount |
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Total |
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| Certified that a sum of Rs. …………………
only was received by SWSM/DP/DWSM/DWSC/VWSC (as the case may
be) as Grants-in-aid during ……… from Government
of India as per details given in the margin and a sum of Rs.
……….. was received from the State Government
during …………. Further a sum of Rs. …….only
being unspent balance of the previous year……….
Was allowed to be brought forward for utilisation during the
year …………….
The other miscellaneous receipts as given in the attached
annexure during the year was Rs…………
It is also certified that out of the above mentioned total
funds of Rs. ………. only a sum of Rs. ………….only
has been utilised by SWSM/DP/DWSM/DWSC/VWSC w.e.f. 1.4.200
to 31.3.200 for the purpose for which it was sanctioned. It
is further certified that the unspent balance of Rs. ……………
only was remaining at the end of the year has been allowed
to be utilised for the Programme next year.
2. Certified that I have satisfied myself that the conditions
on which the grants-in-aid was sanctioned have been duly fulfilled/are
being fulfilled and that I have exercised the following checks
to see that the money has been actually utilised for the purpose
for which it was sanctioned.
(i) The Agency’s statement of accounts w.e.f. 1.4.200
to 31.3.200 duly audited by the Chartered Accountant have
been received and accepted.
(ii) It has been ensured that physical and financial performance
has been according to the requirements as prescribed in the
Guidelines issued by Government of India / State Government.
Signature Signature
Designation – Chairman Designation – Member Secretary
Date:
Place: |
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| ANNEXURE FOR UTILISATION CERTIFICATE |
| Opening Balance as on 1st April |
Receipt of Central Share |
State Share |
Refund of Unutilised Grant |
Interest received during the year |
Other Receipts e.g. Community contribution etc. |
Total Receipt of the year – Total funds available |
| A |
B |
C |
D |
E |
F |
A+B+C+D+E+F |
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| ANNEX-II |
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| AUDIT CERTIFICATE |
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It is certified that we
have audited the annual Balance Sheet as on 31st March ………..
and Receipt and Payment and Income and Expenditure Accounts
for the year ending on that date of …………
Programme of the SWSM/ DP/ DWSM/ DWSC/ VWSC from the books of
accounts, records and other documents produced to us.
In our opinion and to the best of our knowledge and according
to the explanations given to us and subject to our observations
as detailed below we report that :-
(a) The Balance Sheet read together with notes thereon gives
a true and correct view of the state and affairs of the Scheme
of SWSM/DP/DWSM/DWSC/VWSC as on 31st March 200 .
(b) the Income and Expenditure Account gives a true and correct
view of the surplus of funds over expenditure of ………….
For the year ending on 31st March, 200 .
(c) The Receipt and Payment Accounts gives a true and correct
view of the transaction of the Programme for the year ending
31st March, 200 .
(d) Not more than one Bank Account is operated for the Scheme.
(e) No funds are kept in the form of Fixed Deposits.
(f) Interest accrued in Saving A/c has been taken as receipt
for use on the Scheme.
(g) Bank Reconciliation Statement is being prepared regularly
every month.
(h) Cash Book is being written on real accrued basis.
(i) Expenditure shown in the Income and Expenditure Account
is based on the Utilisation Certificates.
(j) There is no case of diversion of funds. |
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| Seal with Signature of Chartered
Accountant |
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| FORMAT – A |
| |
District Panchayat / District
Water and Sanitation Mission/ DWSC/VWSC
Receipt and Payment Accounts for the period 1.4.------to
31.3.--------
Name of the Scheme |
| Receipt 1 |
Amount |
Payment 2 |
Amount |
1. Opening Balance
SWSM/ DWSM/ DWSC/ VWSC (as the case may be) |
|
1. Advances given to:
i) VWSC
ii) SO
iii) Service Agencies
iv) Any other Implementing Agencies |
|
2. Receipt of Grants
1. Central Government
2. State Government
3. Other Agencies |
|
2. Audit Fees |
|
3. Interest received from Banks
SWSM/DWSM/DWSC/VWSC |
|
4. Expenses on Administration
(if allowed under the scheme)
(a) Salary and Allowances
b) Traveling Expenses
c) Rent, Rates, and Taxes
d) Printing and Stationery
e) Publicity and Advertising
f) Postage
g) Telephone
h) Leave Salary and Pension Contribution
i) Hiring of Motor Vehicles and maintenance and repairs
of existing Vehicles
j) Office contingencies
k) Any other item |
|
4. Refund of Advances/Loan/Grant
from:
a. VWSC
b. SO
c. Service Agencies
d. Any other Implementing Agency |
|
4. Advances to Staff if
any (if allowed under the scheme) |
|
| 5. Refund of Advance from Staff |
|
5. 5. Bank Charges if any |
|
| 6. Miscellaneous |
|
6. 6. Payment made for creation of
Capital asset for DWSC. |
|
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|
7. 7. Miscellaneous |
|
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8. 8. Closing Balance
SWSM/ DWSM/ DWSC/ VWSC |
|
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|
|
|
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| Seal with signature of Chartered
Accountant |
| Signature
Designation – Chairman
Signature
Designation – Member Secretary |
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| FORMAT – B |
| |
SWSM/ District Panchayat / District Water and
Sanitation Mission / D.W.S.C. / VWSC
Income and Expenditure Account for the period 1.4.-------to
31.3.-------- |
| Expenditure 1 |
Amount |
Income 2 |
Amount |
Scheme Expenditure
i) VWSC
ii) SO
iii) Service Agencies
(Based on UC’s recived )
|
|
1. Grants in Aid received during the year
form
(a) Central Govt.
(b) State Govt.
(c) Other Agencies
Add: Grants in Aid receivable during the year *
Less: Grants in Aid related to previous year
|
|
| Audit Fees |
|
2. Interest received during the Year from
the Bank Accounts Received during the Year
Add : accrued during the year
Less : related to previous year
|
|
| Expenses on Administration
(I) Agency Office
(a) Salary and Allowances
(b) Travelling Expenses
(c) Rent, Rates and Taxes
(d) Printing and Stationery
(e) Publicity and propaganda
(f) Postage
(g) Telephone
(h) Leave Salary and pension Contribution
(i) Hiring of vehicles and maintenance and repairs of
existing vehicles
(j) Office contingencies
(k) Other items
|
|
3. Refund of unutilised grants by the
Implementing Agencies |
|
| Miscellaneous Expenses |
|
4. Miscellaneous Receipts |
|
Excess of Income over Expenditure
carried over to the Balance Sheet |
|
5. Excess Expenditure Carried
over to Balance Sheet.
|
|
* This item would include amount of Grants
in Aid sanctioned during the year but not received during
the current year. |
| Seal with signature of Chartered
Accountant |
| Signature
Designation – Chairman
Signature
Designation – Member Secretary |
| |
| Format-C |
| |
| Balance Sheet as at 31st of march………………. |
| |
| Name of the SWSM/ DP/ DWSM/ VWSC……… |
| CAPITAL FUND AND LIABILITIES
1. Accumulated Fund
Opening Balance ---------------
Add/Deduct Balance transferred
From Income &
Expenditure Account +/- ----------------
2. Current Liabilities.
i) Outstanding Expenses/payables
ii) Any other liability |
Current Year |
Previous Year |
Total
|
|
|
ASSETS
1.
Fixed Assets i) Furniture &
Fixtures
ii) Office Equipment
iii) Computers & peripherals
iv) Library Books
v) Others
2. Current Assets & Advances
i) stock
ii) Closing Balance
a) Cash in Hand
b) Cash at Bank
c) Account Receivables and Advances recoverable
i) SO
ii) Service Agencies
iii) Staff
c) Grants in aid receivable during the
year
But not actually received.* |
|
|
| Total |
|
|
Certified that assets amounting to RS-----------
were created during the year as per schedule attached.
- This item would include amount of Grants in aid sanctioned
during the year but not received during the current year.
|
| Seal with signature of Chartered
Accountant |
Signature
Member Secretary
Signature
Chairman |
| |
| FORMAT – D |
| |
| FORMAT OF V.W.S.C. wise PAYMENT REGISTER FOR BLOCKS |
| 1. Name of the ____________________ |
| |
| Sl. No. |
Date |
Particulars (Detail of Scheme) |
Cheque No. |
Amount Released |
Utilisation Certificate Detail |
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|
|
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|
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|
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|
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| TOTAL |
|
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|
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|
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| FORMAT –E |
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| FORMAT OF PAYMENT REGISTER FOR V.W.S.C. |
| 2. Name of the Scheme____________________ |
| |
| Sl. No. |
Date |
Particulars
(Detail of Project) |
Cheque No. |
Amount Released |
| |
|
|
|
|
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|
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| TOTAL |
|
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|
|
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| ANNEX - III |
| PROGRESS REPORT OF SWAJALDHARA
PROJECT |
As on
|
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| State |
|
District |
|
| Address |
|
|
Tel No. |
|
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|
Fax No. |
|
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|
STD No. |
|
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|
E-mail |
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| Sanctioned Project
Outlay Rs. |
|
Crore |
Project Sanctioned on
|
|
|
| GOI Share Rs. |
|
Crore |
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