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Guidelines for Community Participation in Implementation

of Urban Water Supply

Guideline No. : NWSDB / RWS / GUI / 10

NATIONAL WATER SUPPLY AND DRAINAGE BOARD

Prepared by Third ADB Assisted Water Supply Sanitation Sector Project

December 2008

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TABLE OF CONTENTS

PART ONE – GUIDE LINES FOR COMMUNITY PARTICPATION IN URBAN

WATER SUPPLY PROJECTS

1 Introduction 4

2 Guidelines for Community Participation in Urban Water Supply 5

2.1 Objectives of the Guidelines 5

3 Why Community Participation for Urban Water Supply Programmes? 5

3.1 Community Consultation During Planning & Design of Scheme 6

3.2 Inclusion of Urban Low-income Groups 6

3.3 Water Rights Related Social Conflicts 7

3.4 Reduce NRW by Minimising Waste and Eliminating Waste of Water

at Common Stand Posts 7

3.5 Promotion of Water Savings 8

3.6 Consumer Pressure Groups 8

3.7 Protectors of Community Services 9

3.8 CBO as Tariff Collectors 10

4 Objectives of Community Participation in Urban Water Supply 10

5 Community Contribution 11

5.1 Mobilising Community Contribution 11

6 Community Mobilisation 13

6.1 Strategy and Activities in Mobilising Communities 13

7 Institutional Arrangements to Obtain Community Participation in

Urban Water Supply Schemes 17

7.1 Community Coordination Unit 17

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7.2 CBOs in Urban Water Supply and Their Sustainability 19

PART TWO - PO SELECTION PROCEDURES

8 Introduction 21

9 Selection and Mobilisation of POs 22

9.1 Selection Process 22

9.2 Eligibility of POs 22

9.3 Methodology for Selection of POs 22

9.4 PO staff and Time frame for the services of POs 23

10 Technical Proposal 24

10.1 Submission of Technical Proposal 24

PART THREE- SUBMISSION OF TECHNICAL PROPOSAL

Section One 27

Section Two 29

Section Three 31

Section Four 34

Section Five 37

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PART ONE - GUIDE LINES FOR COMMUNITY PARTICPATION IN URBAN WATER SUPPLY PROJECTS

1 Introduction It is a fact that many of the urban water supplies currently under operations in the country have been implemented on top down or supply driven approach. In the past, the water supply was considered to be a privileged service and therefore, up to early 80’s not only the capital investment but also the operation and replacement costs were borne either by the Central Gov-ernment or Local Governments. In late 70’s, the necessity of providing rural population also with pipe borne water was realized by the Government and many small scale water supply systems were put in to operation still on the supply driven approach. Local Government was responsible for O&M of these economically not viable systems. Many Local Authorities were unable to maintain these rural systems due to lack of their capabilities in respect of technical and financial terms and as result many small scale water supply systems fell in to dilapidated condition. Many of them were abandoned while leaving the rural poor without water. However, with the development of new strategies for the rural sector in 90’s, the involvement of community in the project implementation from the inception was found to be very successful. Thousand examples of successful stories can now be seen all over the country as a result of the involvement of rural communities in decision making and in sharing the capital investment and sustainable system operations. Such systems are no longer a burden to the society. Experiences gained through these good practices has enlightened the sector actors to think of an innovative strategy to scale up the rural water supply models to suit the urban sector too. It has been the informal practice of the NWSDB during the last decade, to employ the services of the community on excavation and backfilling of trenches for pipe laying. In urban areas this practice is adopted merely as a cost reduction method in the capital investment. People them-selves get organized and contributes the unskilled labour component during pipe laying and then obtains the service connection after paying the formal connection fee. In certain occasions, it has been noted that some urban poor families in spite of their labour inputs during pipe laying, are still unable to afford the connection fee and therefore depend on other unreliable alternative supplies. The National Water Supply and Drainage Board (NWS&DB) emphasises the importance of community participation for the implementation of urban water supply schemes and for the involvement in O&M phases. Beneficiary involvement in construction of schemes and establish the consumer organisations to safeguard their rights will undoubtedly strengthen civil society. Rigorous study and corrective actions are to be assessed in par with the urban water supply policies and community willingness to participate in implementation. There are several questions to be addressed in promotion of community participation into ur-ban water supply programmes as follows: • What do we expect from consumers? • What would be the strategy in obtaining community participation? • How to organise community participation in urban sector? • Who is going to motivate consumers for the participation and monitor the activities during the implementation phase?

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• What would be the strategies used to keep the momentum of consumer groups through project implementation and continue during the O&M phase ? • What would be the mechanism to link consumer groups with the O&M set-up of NWS&DB 2 Guidelines for Community Participation in Urban Water Supply These Guidelines provide a comprehensive description of the activities to be carried out during the implementation of urban water supply projects. 2.1 Objectives of the Guidelines The main objectives of the provision of these Guidelines will be to: • provide conceptual background to implementers in the community participation in urban water supply programmes; • make implementers (NWS&DB staff) aware about the expected outputs from the urban communities; • outline methodology or activities to be carried out by the implementers and Partner Organisations to achieve the desired outputs; • develop a uniform approach for mobilisation activities in all urban communities in implementation; • describe the mobilisation process in urban communities; and • streamline a uniform approach to ensure consumer rights & their contribution to-wards the O&M functions of the urban schemes.

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3 .Why Community Participation for Urban Water Supply Programmes? Community participation in urban water supply is a new phenomenon. Unlike in rural water supply schemes, involvements of beneficiary communities in urban schemes are limited and community cannot involve in each and every decision or activity, due to it’s complexity. However, beneficiary participation for certain matters is mandatory in order to ensure the smooth implementation of urban schemes and other factors in long-term sustainability. Community participation is suggested obtaining followings: • Community consultation on the scheme under implementation • Solve probable conflicts related to funding and water rights/sharing issues by using them as a pressure group • Safeguard water rights and ensure service levels through Consumer Pressure Groups • Inclusion of urban low income groups in to project activities and benefits from inception • Share capital investment by ways of cash and labour • Use consumers as protectors of Schemes against unfeasible extensions and over exploitation of Water Sources • Reduce NRW and eliminate illegal connections in urban schemes • Promote water conservation in urban households • Utilise Community Groups for the collection of monthly tariff efficiently 3.1 Community Consultation During Planning & Design of Scheme Community Consultation is one of the important approaches in implementation of large-scale projects. This will be beneficial to the NWS&DB in many ways. • Assess the reaction of potential beneficiaries of the scheme and take management decisions accordingly • Assess the expecting level of community participation for the implementation of project In urban water supply schemes consumers could easily get involved and provide opportunity for them to express their concerns over issues in implementation of schemes especially in af-fordability and willingness to pay for water. In addition, potential consumers could be mobilized to provide voluntary unskilled labour for the laying of pipes within their communities and some other small community construction. These activities will reduce the construction cost of the schemes and create a sense of owner-ship of the schemes and subsequently act as partners of the schemes rather than service receivers. 3.2 Inclusion of Urban Low-income Groups Since independence, the Government of Sri Lanka invested largely on the development of ur-ban water supply but majority of urban poor have been left out of benefits due to some of the deficiencies in the approach adopted. General practice in water supply was to select the most developed geographical areas of the Urban to provide facilities. However, due to high demand for water in such areas and to improve the financial viability of the system the NWS&DB has unintentionally excluded poor and low-income groups from benefits. With all these constraints the NWSDB has provided water supply to the considerable percentage of urban poor but more to cover. It is important to change the

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present approach in Urban water supply and try to mitigate the issues related to social inequity prevail among urban communities This issue has to be addressed very seriously and an innovative strategy is required to provide services to the urban population including poor segment. It is prerequisite to make a strong link between credit institutions and urban poor through extensive social mobilisation process enabling them to obtain credit facilities to get house connection. Fulltime service of an ex-perienced Community Development Specialist/ Consultant Sociologist is very much required to formulate an appropriate strategy (and necessary changes in strategies as and when required) to include the urban poor into NWSDB facilities. 3.3 Water Rights Related Social Conflicts Use of water sources for drinking purpose has been a major issue during last few years. Strong resistance from farmers, traditional villagers, groups with vested interests and environmentalist had created public outcry against the use of water sources for urban water supply. The main issue in this process is (i) lack of awareness on the impact of using water sources for multi-purpose among the people in the areas where water sources available (ii) top down approach during the planning of urban water supply schemes and unavailability of mechanism for people to express their feeling towards the water supply schemes (unavailability of community consultative mechanism) (iii) exclusion of present users of water sources for the bene-fits of drinking water supply General notion is that people, especially farmers in the areas where water sources are located do not receive any benefits from the WS schemes while penalizing them of having same op-portunity to use water for their farmlands. Certain groups of people and organisations have capitalised the issues related to the extraction of water from the sources and created social un-rest among the farmers and other users. On the other hand, no action have been taken to in-vest towards water resource development (including water management) and also this has not been considered as compulsory elements in the competitive situation in obtaining raw water for urban water supply. Being the leading responsible organisation in urban water supply sector, NWS&DB should understand their responsibility in mitigating adverse impact in social, environmental and cultural aspects in using existing water sources and continue the provision of water supply to urban communities. Also the implementers (NWS&DB) should respect the right of exiting users of water sources and to take initiatives to formulate innovative systems to safeguard the livelihood of the existing users eg. Compensation for the existing users in the event of bad effect in their livelihood, comprehensive relocation programme for the existing users if necessary etc. In addition the implementing agencies (NWS&DB) should, as far as possible, include the people in the vicinity of the water sources for the benefits. 3.4 Reduce NRW by Minimizing Waste and Eliminating Waste of Water at Common Stand Posts Provision of water supply facilities at low cost for the urban people live in absolute poverty has to be ensured. Generally this is fulfilled with the provision of water to such groups by in-stalling common taps.

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It is evident that water supplied by the stand post to urban poor is wasted at large scale. This is due to unawareness among urban poor on (i) value of portable water (ii) production cost of piped water and (iii) social obligation of individuals toward the society. With this new challenge that NWSDB is facing in reduction of NRW, it is important to rethink about an appropriate institutional arrangement to prevent such illegal actions and wastages of water at water points. Community based institution with its own norms and procedures are important tools to ensure the continuity of water supply to urban poor and the cost recovery along with political will. Wastage of water at domestic supplies is another area to be addressed. Elevated tariff would not be the only option to control wastages especially at domestic level. Mass scale awareness programme is required to address all issues in this respect. 3.5 Promotion of Water Savings A globally accepted norm of per capita consumption of water is around 120 litres per day or ever less. However, in Sri Lanka per capita consumption of water (domestic) is between 140-160 litres per day, which is considerably very high. It is important to make all consumers aware on the value of water rather than cost of water and their obligation to create opportunity for other people to have piped water by reducing the pre-sent overuse of water. An effective programme including training should be introduced to educate consumers especially for the second generation, school children in this regard. Innovative devices could be introduced for the reduction of domestic water consumptions. 3.6 Consumer Pressure Groups In urban water supply schemes consumer rights are generally ignored give low consideration for the grievances. It is important for providers to understand that consumers do have all the right to receive high quality water and reasonable quantities around the clock. Consumers, feel that they will be provided with water to meet the total requirement for domes-tic activities such as drinking, sanitation, washing, bathing and home gardening. However, in reality, due to the provision of unplanned expansions and domestic connections beyond the capacity of schemes (because of political pressure to the NWS&DB) original consumers are forced to relinquish their service in supply hours for the benefit of new consumers. The ad-verse impacts of this situations are; (i) complete disruption of water supply to the original consumers who live in high elevation areas or limitation of water supply for few hours in the night (ii) loss of pressure in the water supply system affects all the consumers (iii) over pumping of water to meet the lowest level of services affect the scheme components and the overall maintenance of the schemes (iv) negative effect for the water sources (v) increase of expenditure in operation (overtime for pump operates, care takers, OICs and cost of chemicals, electricity supply etc.) It is the responsibility of NWS&DB to make aware the consumers on their rights and work closely with them and encourage them to be “Pressure Groups” to safe guard their rights from the shortsighted political decisions, which cannot be ignored by the NWS&DB. The NWS&DB could easily use the consumers as watchdogs of the schemes by organising them as pressure groups.

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3.7 Protectors of Community Services Promotion of CBOs (consumers) vigilance on safety of common services and assets is a new global development in community participation. It is argued that beneficiaries have a social obligation and personal responsibility to ensure the continuity of services and the safety of assets. This could be easily adapted in water supply sector for two important areas viz. • Safety of the water schemes, water source; and • Ensure the continuity of services. The representatives from the CBOs of water schemes could be included in the River Basin Committees established at district level. In all these instances (CBOs) consumers can play a greater and wider role. 3.7.1 Safety of the water Scheme In many urban water supply schemes, water is being transported from far areas, often 25-30 kilometres away. Generally raw water is purified and treated close to the sources. In future, water will be a scarce resource and with the new social/political changes there will be a possibility to challenge the water rights. Also conflicts can be expected among different end users for water rights and subsequent sabotage acts by certain elements (political sponsored conflicts or actions of social extremists) could be expected. These conflicts on water sharing may lead to disrupt the water supply schemes including damages to components eg. though there is an agreement between judiciary and NWSDB to maintain water balance in Thuruwila irrigation tank, any crop failure/losses may annoy farmers on water extraction of NWSDB. In implementation of urban water supply schemes, it is important to include the neighbouring community of the water sources for the benefits as to trigger out to mindset change of the people towards the sharing of water and the need of the development of water supply in urban areas. 3.7.2 Ensure the Continuity of Services Continuity of services is not only depending on the safety of water schemes. Pollution of water sources both surface and ground water and availability of water in these sources play a greater role in the continuity of services. These two factors are beyond the control of the water consumers of the urban schemes and new vision and progressive approaches are required to address these issues. Several actions could be taken to mitigate these issues by changing the land use pattern (agriculture activities) and other human intervention of the catchments areas and the surrounding of the water sources. This should be a joint effort by the water consumers in urban schemes and the O&M Authorities (NWSDB) and required funds has to be generated from the scheme itself. Being a national level institution, the NWSDB should take initiatives to prepare a reasonable and creative grievance redress mechanism for the other users of the water sources. It is important to make consumers of urban schemes aware how other users of water sources sacrifices their opportunities for the provision of drinking water for them. Willful agreement have to be taken from the urban community to assist the affected population (farmers) living close to water sources by way of providing training towards the change of land use practices. In

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some instance compensation arrangement for the affected people also have to be made in the event low crop due to change of land use and excessive water extractions in the sources. 3.8 CBO as Tariff Collectors Collection of tariff in many urban communities is time consuming and expensive exercise. This has to be made efficient and at present several options are discussed. One option of efficient tariff collection is to delegate the responsibility to CBOs formed at zonal level. At present NWSDB is contracting out meter reading to the private sector as an experimental basis. Such responsibilities could be vested to the CBOs formed by the NWSDB it may likely to be a low cost and reliable. Such arrangements will ensure the continuity of the Zonal level CBOs as effective pressure groups and expand their activities. Income of CBOs could be utilised for the benefit of the consumers by way of providing small business loans, recreation facilities for youth etc 4 Objectives of Community Participation in Urban Water Supply The main objectives of community participation in the urban scheme are to: • motivate to provide share the capital investment by way of cash and labour by consumers (community) in pipe laying and temporary reinstatement of roads • mobilise community appropriately for the construction of valve chambers, culvert crossings and other allied civil work at the pipelines within their preview; • develop the capacity of beneficiary communities to obtain water rights and safeguard their rights having agreed service level in water supply; • institutionalise urban communities to safe guard their rights ( eg. in the event of privatisation of urban schemes) and to influence O&M activities or regulatory bodies in urban water supply; ; • ensure the safety of water supply schemes being vigilant . Voluntary or nominal payment based Caretaker arrangements during O&M for remote components of the scheme (intakes, isolated reservoirs etc); • Implementing total sanitation programme including latrine, solid waste disposal, clean water body programme etc; and • Donation of lands materials and services for the construction of scheme compo-nents. • Act as a pressure group to obtain water source approvals and source protection (including assistance from other institutions such as CEB, RDA etc.) The responsibility of consumers in any urban scheme is not limited to the provision of un-skilled labour and constructs some components of the scheme. The consumers should also be prepared to voice on their rights.

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5 Community Contribution As a principle, depending on the circumstances, consumers are expected to contribute in implementation of schemes. Unskilled labour and cash for all activities or some of the activities indicated below should be contributed by the respective communities. • Share investment on laying pipes ≤90mm in their communities and for small civil construction indicated in the chapter 4 of this document; • pipe storage and security of pipes during construction; and • undertake the responsibility of assisting pressure testing and disinfections of pipes lines at the commissioning. . Unskilled labour should be obtained for the laying of pipes in the urban schemes. However, laying of pipes by the community has to be limited to 90mm pipes and below, as the community will not be able to handle larger diameters pipes. Community cash contribution for some of unforeseen activities in pipe laying may need in implementation of urban schemes. In some urban schemes, cost of the construction of valve chambers, reinstatement of roads and pressure testing has to be borne by the respective communities. It is important to estimate the total unskilled labour and cost of civil construction to be provided by the consumers (new consumers in the news areas and existing areas) and stipulate per household cost. All new consumers should contribute unskilled labour and cash or cash to fulfil both cash and labour irrespective of their location of residence (where pipes are laying below 90mm or above 90mm). There could be some delays expected from the labour and cash contribution from the new con-sumers those who are living in the areas where bigger pipes are laid and the areas where water is available at present. In such cases the NWSDB should provide the required cash for civil construction to CBOs and at the time of house connection the required amount, which is estimated value of labour and cash, could be collected from the new consumers. Hence, it is important to mobilised communities live in by-roads/ streets/lanes (where 90MM pipes are laid) to provide total unskilled labour and their share of cash for civil constructions to complete the work. It is suggested that these surcharge money and the connection fee should be deposited in the Revolving Account at the RSC-NWSDB and could be used for the development of respective water supply schemes. The new customers who are living in the areas where the pipes of 90mm and below should provide community contributions. There are two options for these beneficiaries to participate • provide unskilled labour for laying of pipes below 90mm • pay required cash for the civil construction to be undertaken by the consumers Provisions should be available for consumer households to employ someone to provide labour days on behalf of him/her or contribute cash instead to hire machineries when applicable.

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5.1 Mobilising Community Contribution Unlike rural water supply schemes, mobilising of communities in urban areas is not easy due to magnitude of the schemes and heterogeneous society in urban schemes. This is more difficult in schemes where augmentation and improvements (expansions) are taking place, as commitments are completely different between existing and new consumers. Reluctance to contribute unskilled labour could be expected from the existing consumers as they are enjoying the water supply facilities already even though issues or dissatisfaction of currant services are in existence. 5.1.1 Motivational Factors in Community Contribution Creation of a sense of ownership among the beneficiaries on water schemes stimulates beneficiaries in rural schemes to contribute cash and labour towards capital cost. In contrast, con-sumers in urban schemes do not have any stimulant to participate. It is important to create some benefits for the consumers in order to motivate them to participate. Some of the benefits should be: • Consumer families who contributes unskilled labour will be given a reduction of 20% or Rs. 3,500 which ever is high from the connection charges; • Priority will be given to the consumer who has contributed for implementation when service connections are provided; and • Opportunity will be provided for poor and low-income families to pay connection charges in 20, monthly installments. For this purposes a comprehensive database on community participation during implementation has to be maintained by the respective CBOs and handover finalized list to the NWS&DB at the time of commissioning. • Possibility in using Consumer Groups as tariff collectors on payment basis and the utilisation of profits to the benefit of total community in the area. 5.1.2 Community Contribution from New Consumers In augmented /rehabilitated schemes, all new consumers are supposed to provide total required unskilled labour for the laying pipes (90mm and below). In addition expenditure for the civil work identified in paragraph 5.1 should be borne by the new consumers. 5.1.3 Community Contribution from Existing Consumers Existing consumers in improved schemes also received equal benefits as new consumers in terms of quantity and quality improvement and the improvement of service level. Hence, it is compulsory for all consumers whether they are new or existing consumers to contribute unskilled labour and/or cash for implementation. In augmented schemes, payment of Rs.1000/= is suggested to collect from the existing consumers as their contribution within a period of 20 months (Rs.50/= per month). This money will be collected along with the monthly water bill but clearly indicated that it is used for the development of the particular scheme. O&M Authority should maintain a separate vote/ ledger for this money

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5.1.4 Community Cash Contribution Community cash contribution is required for activities (eg. expenses for rock excavation) listed out in this document and unforeseen activities. Households should be educated about the potential cost involved in community contribution, which may need in cash and labour. Community funds will be deposited in the bank account of the CBO formed or already established. The CBO are accountable to the beneficiary communities and the NWS&DB in all financial transactions. The PO should train CBOs in simple book keeping system and provisions should be made available for beneficiary households to inquire about their individual accounts maintained at CBO. The CBO will manage the community fund and maintain the books at zonal level. However, provisions should not be made available in order to withdraw the money from this account prior to the decision made on the requirement of money for activities. This is important because it ensures the cash collected by the beneficiary households will not be wasted and used only for the purpose. 6 Community Mobilisation Generally, communities selected for project intervention do not have experience in provision of their inputs for the government-sponsored projects. Therefore, services from qualified, skilled experienced NGO (Partner Organisation) should be obtained to mobilise communities for the contribution. All partner organisations are free to apply their knowledge and experience in mobilisation of communities to contribute if the methodologies are appropriate, useful and acceptable to the project. Selection of POs should be done using the similar procedure as in rural programme. Senior Sociologist should undertake the responsibility for the selection and mobilising of POs for the assignment. The overall supervision and administration of the POs should be by the respective O&M managers and Senior Sociologists who are specifically responsible for the performance and quality of work of the POs. 6.1 Strategy and Activities in Mobilising Communities There is a logical sequence in community mobilisation The Community Facilitator (CF) of the partner organisation is responsible for community mobilisation with the assistance of the Pro-ject Officer (PO) of the PO. Broadly the sequence of social mobilisation could be as follows: 6.1.1 Activity -1 Understanding Urban Communities Benchmark data established on the scheme has to be studied to identify the nature of the community served water from scheme. Community reaction on the community contribution, affordability and willingness to pay for improved water supply also has to be studied with the existing data. Then PO should visit the community with the overall idea of the community. Also, the PO should discuss with the potential beneficiary households and understand about the common desires and their attitude on contribution.

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During this initial period of observation the PO should understand the social strata (layers) of the location The PO should develop close relationship with the beneficiaries and respected people. 6.1.2 Activity -2 Beneficiary Awareness Formal and informal discussion with the beneficiary households in road, street or garden basis should be conducted. Identify the cluster of community groups location wise. If there is a homogeneous group of people in a particular location, group them in manageable number (25-50 households). All beneficiaries of the (potential consumers) scheme should be organised in small groups on road, street or garden basis and discuss in details of the scheme and the pre-sent status of drinking water supply and their expectations on future level of service after the commissioning of scheme. Beneficiaries should be made aware on the socio-economic data collected during the planning & design of the scheme. The affordability of the communities and their willingness to pay for improved water supply also to be discussed along with the baseline data. During these discussions, requirements of community contributions should be put forward to the communities and community consent on the contribution should be taken. Possibility to dropout the areas due to non-compliance with the contributions also should to be highlighted in these meetings. Benefits gained by the communities should be clearly disseminated to the consumers who will contribute for the implementation. During these formal and informal discussions motivate households in each location to select their representatives (spokesmen). The importance of selecting the suitable person for this position is to be emphasised and explained them that these representatives may eventually be elected to the executive committee of Community Groups. 6.1.3 Activity -3 Preparation of Community Profile PO should prepare the community profiles based on the information gathered during meetings. These data should be compared with the socio-economic data of the urban schemes. A content of the community profiles will be prepared focussing the exiting impact area and the proposed area of the urban scheme. • List of households in the existing impact area of the urban scheme • List of households in the proposed areas of scheme • List of households who have piped water supply in existing impact area • List of households who do not have water supply in existing and proposed areas • Reasons for the households who have not obtained piped water supply in existing areas. 6.1.4 Activity - 4 Formation of Community Groups A strong Community Group is prerequisite in organising beneficiaries and to undertake full responsibility for the provision of community contribution toward the construction activities. This Community Group may be already in existence or a new one formed. The Community Groups will be the community institution that work hand in hand with Part-ner Organisation (PO) and encourage beneficiaries to participate in construction activities by way of providing unskilled labour and cash. It should posses the following characteristics (i) well

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represented (ii) totally committed (iii) socially accepted and (iv) financially sound and transparent. Working with an existing strong Community Group would be more appropriate if they possess required characteristics mentioned above. The PO should assess the status of the existing Community Groups in line with the above qualities. Community Groups should be formed at gardens, roads and street basis or combination of several of these locations in close proximity. Use of existing community-based organisations in these locations is encouraged if it has a strong leadership. Otherwise, formation of new community organisation is more appropriate . 6.1.4.1 Methodology in Formation of Community Groups The project should work with the existing strong Community Groups as much as possible as they have experience in working with their communities. The POs should look at following factors: • appropriateness and compatibility of the functions of existing Community Groups with the project objectives and possibility to make use them for participatory construction activities • whether the member ship of the Community Group is limited to certain group of people • whether the poor and disadvantaged groups are involved in the Community Groups • whether the activities of the Community Group are accepted by the general public and they have experience in carrying out collective activities • whether the Community Groups have experience in raising funds to implement common activities • If the existing Community Groups have these characteristics, they can be amalgamated as CBOs for the implementation. 6.1.4.2 Formation of a new Community Groups Partner organisation is expected to form new Community Groups in the event of non-existence of strong Community Groups in urban areas (based on the assessment made under the para 6.1.4.1). The PO should understand the socio-economic conditions and identify the physical features of the urban community. It is important to hold formal and informal discussion at garden, street, road or hamlet level. During these formal and informal discussions motivate households in each locations to select their representatives (spokesmen). The importance of selecting the suitable person for this position is to be emphasised and ex-plained them that these representatives may eventually be elected to the executive committee of Community Groups formed at particular location or group of locations according to the situation. The maximum number of office bearers in Community Groups would be depending on the features of the locations. Following could be used as guidance • Group member for 50-100 HH would be elected • Minimum of four women group members should be included into the Exco of the Community Groups • Two strong personality respected by majority of households to be included into the Exco of Community Groups • Representation from existing consumers (at least 25%)

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6.1.5 Activity-5 Formation of CBO Formation of CBO/CBOs is depending on the population of urban schemes and nature of the area covered by the schemes. Commanding area of some urban schemes will be limited to few square kilometres while some covers a large area eg. Anuradhapura group town covers a vast area under few small townships. The other governing factor in formation of CBO in Ur-ban schemes is that the areas and population covered at present and amalgamation of the population into these CBOs. Hence, it is important to analyse these factors thoroughly prior to the formation of CBOs. Ac-cordingly in some urban schemes there will be 1 CBO and in some schemes it is more than 1. Comprehensive training for POs in formation of CBOs and strategies adopted has to be pro-vided by the experienced personnel. Following outline provides idea in formation of CBO. a. CBOs are to be formed at zonal level (zones has to be defined by the NWSDB based on the proposed distribution network of urban schemes) b. Each Community Group formed at street, garden and hamlet level will elect their rep-resentatives to CBOs formed at zonal level (maximum of 1-2 representatives from each Community Group) c. The zonal level CBOs has to be closely link with the NWSDB, PS, DS, Political Au-thorities and other Line Agencies and extend their assistance to implementation 6.1.6 Activity-5 Registration of CBO It is suggested that the CBOs, which are formed at location basis, should be registered at NWSDB and exist as a consumer pressure groups. These community organisations could be registered under appropriate legal frame and diversify their activities. For the implementation of water supply projects legal entity (registration) of the CBO with the NWSDB or Ministry of Housing is adequate. It is easy to have a similar name in all community organisations in NWSDB activities and hence all Community Institutions should be registered as CBOs. 6.1.7 Activity -6 Assessment of Community Readiness for Contribution During mobilisation, PO should assess the community affordability and willingness to pay for improved facilities. The output will be location based (street/gardens/roads) information as follows: • List of households who are willing to contribute unskilled labour • List of households who are willing to pay cash if required • List of households who are willing to contribute both unskilled labour and cash • List of households who disagree with community contribution in existing areas • List of households who disagree with community contribution in new areas • List of households who are destitute and disadvantaged in both areas 6.1.8 Activity-7 Organise Local Resource for Road Reinstatements

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NWS&DB pays a large sum to various road authorities for the reinstatement of minor roads (PC, PS and Municipal maintained roads). It is expected that CBO should undertake this re-sponsibility either contributing cash for the reinstatements or making arrangements to obtain waive off from the payments. PO should motivate and assist CBOs of these locations to negotiate this issue with their Local Political Authorities and relieve them from these payments. 6.1.9 Activity -8 Mobilising unskilled labour by CBO Provision of unskilled labour has to be done systematically. It is the responsibility of PO to study the work programme of the Contractors and prepare the schedule for the pipe laying ac-tivities accordingly. The PO staff assigned to assist communities should work closely with the EAs of the scheme and mobilised required skilled labour (plumbers) for communities to complete the work ac-cording to the overall implementation schedule. 7 Institutional Arrangements to Obtain Community Participation in Urban Water Supply Schemes 7.1 Community Coordination Unit It is proposed to establish Community Co-Ordination Unit (CCU) at the Regional Support Centres (RSC) to handle the Community Participation aspects in urban water supply implementation. The total responsibility of the functions of the unit is liase with the Manager (O&M) and a Sociologist should be appointed to assist the O&M Manager. The proposed changes for the RSC-NWSDB organizational Structure to obtain community participation is indicated below: Figure -1 Addl GM (RO) RSC Project Inputs Manager O&M PO OIC Sociologist

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7.1.1 Tasks and Responsibilities of Community Coordination Unit (CCU) The main tasks and the responsibilities of the CCU in planning and, implementation and O&M stage are indicated below. Planning Stage • Water right issues and water source protection • Define and demarcate the service are of the water supply schemes • Approval for road excavations • Coordination with other agencies such as Local Government /RDA/ Provincial Councils/CEB etc. • Develop strategies to include low income and poor people for water supply • Selection of PO to facilitate communities in participation • Conduct socio-economic studies • Inputs for feasibility studies Implementation Stage • Organize community for implementation and provide unskilled labour for implementation • Ensure community contribution • Cary out Water resource development activities • Maintain stores for construction materials O&M Stage • Co-ordination with DE/OIC and CBO for the provision of house connection • Utilisation of CBO/community unskilled and skilled labour during the supply of house connections • Come into contractual agreements with CBOs for meter reading if they are capable to carryout such responsibilities • Use CBO for small civil construction activities related to O&M activities • Use CBOs to collect outstanding water tariff form the consumers • Use CBOs to vigilant on NRW issues such as illegal connections, damages breakdowns etc. 7.1.2 Special O&M Arrangements Implemented by CBOs and Managed by the NWSDB ADB 3rd Project has implemented 47 small town water supply schemes in it’s project districts. The O&M of large small town water supply schemes, which has more than 1000 house connections, is rather complex and respective CBOs and communities do not willing to under-take the full O&M responsibility. Subsequently they wanted NWSDB to run the small town scheme as they run urban schemes. The reason for such request were: • Complexity and scale of the schemes and extent of service area • Incompetence of CBOs –technical and institutional • Prevailing social, political and community issues in the schemes. An appropriate institutional set up should be established to look after the interest of the NWSDB being the investor and the responsible organisation in sustainability of such schemes. It is

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important to review the cost related issues of undertaking O&M of such schemes by the NWSDB. The following options could be studied more and the appropriate option to be adapted accord-ing to the situation and context. Option-1 O&M by CBO in a NWSDB Managed Small Town WS scheme Under this option CBO will obtain O&M contract from the NWSDB. The CBO run the scheme, provide water for the consumers, look after the scheme and be a collection agent of tariff. The NWSDB will pay monthly-agreed sum for CBO for the above services. O&M arrangement of this nature would be more beneficial to the NWSDB as it ensures the total tariff collection and prompt attendance for the maintenance. For the smooth implementation of such arrangements the NWSDB should provide comprehensive training for the O&M staff hired by the respective CBOs. Option-2 O&M by NWSDB in a CBO Managed Small Town WS Scheme Under this option respective CBOs should come into agreement with the NWSDB for all O&M activities. Monthly payment should be made to NWSDB by the CBO and all listed major repairs should be attended by the NWSDB. All minor repairs should be done by the CBOs themselves. However, cost implication of such O&M arrangement should be assessed with utmost care 7.2 CBOs in Urban Water Supply and Their Sustainability Formation Community Based organisation in urban schemes will depends on the size of the water supply scheme. In many cases a single CBO is inappropriate and needs several CBOs to work with. Formation of CBOs in the new urban schemes and in the new service areas of the existing schemes is an achievable task. However, formation of CBOs in the existing schemes and in- clusion of existing consumers into newly formed CBOs in the augmented schemes are chal-lenging and immense tasks of NWSDB. Also continuity of CBOs as community institutions is another aspect to be addressed if NWSDB is planning to achieve the objective of community participation in urban schemes. Many approaches could be adopted in augmented schemes to include consumers into newly formed CBOs as a large number of requests for water supply are received. Following action could be taken to motivate consumers to join CBOs in both new and augmented urban WS schemes. • The CCU-NWSDB should call households to gather identified places (street/garden basis locations) in the commanding area of the scheme to obtain application for house connec-tions. • In these meeting inquire about the CBO member ship and request all applicants to join CBOs/ their Consumer Groups • For totally new applicants in the augmented schemes request them to organise and form new consumer groups (same basis) and discuss with them the value of being in a consumer group. Future role of CBOs/Consumer Groups during the O&M could be informed to these applicants. • Fix a date for house visits and to prepare the estimates for house connection on sites. • Once the estimates are prepared request applicants to submit the applications through CBOs/Consumer Groups with the endorsement indicting their contribution towards the construction activities. In this action the CCU can establish the strong position for CBO in the community and applicants find that the working with CBOP is an important. • Absorbed such new groups of consumers into newly formed CBOs

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• Training of the CBO in O&M activities to be handed over to CBOs eg. Except the O&M activities of water meter. • Provide technical advices to the consumers through CBOs for minor leakages and minor repairs after the meter • Obtain consensus from CBOs for expansion and obtain information with regard to the pressures and satisfaction of consumers etc. to decide on expansion. • Monthly meeting between CBOs and CCU and monitor the performance of community participation activities in water supply schemes.

PART TWO- PO SELECTION PROCEDURES

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8 Introduction Often, communities in urban schemes do not have community organisations, technical capacity and required skills to provide their contributions in an organised manner in time and in quality. Many communities do not have any experience in handling construction work. Thus, the communities need outside assistance to advise on pipe laying, construction of pressures valves chembers, pressure testing and road reinstatements. Practically, NWS&DB cannot monitor the details of the community construction activities. The most appropriate mechanism to the project in this regard will be to select and mobilise POs that possess adequate experience in participatory construction. The main objectives of PO involvement in construction will be to; • ensure the provision of unskilled labour for the pipe laying • mobilise and assist consumers to negotiate with the local political authorities and obtain assistance for the road reinstatements. • motivate CBOs to collect cash from the respective consumers for the construction of pres-sure valve chambers if required. • collect funds for the unforeseen expenditure related to pipe laying eg. blasting of rocks, pumping of water from trenches etc. The objectives of PO involvement in social development are to : • empower the community to mobilise community unskilled labour systematically; • develop and organise community to take the collective actions and be a pressure group in dealing with the NWS&DB regarding the water supply services; • train CBOs to maintain necessary accounts with transparency, if cash is collected from consumers for the construction activities; • reduction of waste and avoid theft, etc. by making CBOs aware on their responsibility for materials supplied to the sites by the NWS&DB;

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9 Selection and Mobilisation of POs 9.1 Selection Process The selection of POs for the urban schemes should be simple and easy to manage. • Use the short listed NGOs and pre-qualified as POs by the RWS Division of NWS&DB for the provision of services in RWSS projects. • Submission of Technical Proposal; • Evaluation of Technical Proposal; • Selection of POs, and approval for selected POs. 9.2 Eligibility of POs The POs who were short-listed by the RWS Division of NWS&DB. There are two lists of POs (i) Provincial list and National list prepared by the RWS Division. 9.3 Methodology for Selection of POs The following steps need to be followed in the selection of POs for the urban projects. Step-1 Pre-qualification of POs The NWS&DB should use names of all POs who were short listed by the RWS Division. (cri-teria for short listing is not necessary if already short listed POs are used) Step-2 Submission of Technical Proposal All pre-qualified POs should submit a Technical Proposal including the strategy proposed for the assistance to communities to work together and complete the assigned tasks. Strategy in-cludes the time bound programme for the period of 12months with the monitoring strategy. For details on the Technical Proposal, please refer Part Two (2) of this document. Technical Proposal to be obtained as indicated below: • The project send letter of invitation to pre-qualified POs to submit technical proposal. • The POs prepare proposal and submit it to the NWS&DB within the set deadline Step-3 Evaluation of the Technical Proposal The Technical Proposals submitted by the POs shall be evaluated using the criteria. The evaluation committee should be formed to evaluate technical proposal. The evaluation will be done purely on the quality of the technical proposal. For details on evaluation please refer to the section one of Part Three of this document. Step-4 Approval of the Selected POs The selected POs should be approved by the Tender Board of the NWSDB. Following procedure to be followed for the approval • District evaluation committee prepares list of all POs with their respective markings • Final list of POs selected is prepared • List is submitted to the Tender Board of NWSDB

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Step-5 Contract Agreement The selected POs should be invited to enter into contract agreement with the NWSDB. The total sum to be paid to the POs will be pre-determined based on the staff salaries and other remuneration, rental, administrative costs, secretarial costs and profits of POs The suggested schedule of payments is indicated below: • Mobilisation advance not exceeding 20% of the total sum of the contract agreement; • Mobilisation advance to be recovered in 6 equal installments; Six equal monthly payments less the advances should be made to the POs at the end of each month after monitoring the progress and performance of POs. 9.4 PO staff and Time frame for the services of POs It is expected that the services of POs will be obtained for maximum of 12months including two months prior to the actual construction commence. The staff of the POs will be decided along with the number of the households covered under urban scheme. Table: Inputs of POs for mobilisation of communities

Scheme Size CFs TAs PO <1000 HH 1 1 1 1000-1500 HH 2 1 1 1500-2000 HH 2 1 1 2000-2500 HH 2 1 1 >3000 HH 2 To be decided 1

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10 Technical Proposal The selection of POs for the provision of services should be done purely on the quality of the Technical Proposal submitted by the prospective POs. The NWSDB should invite Technical Proposal form POs based on the requirement and area covered under urban project. If the NWSDB is intended to hire 2 nos of POs it is expected to invite at least 4 nos of POs to submit the Technical Proposals. The main components of the Technical Proposal to be submitted by the POs include: • Letter of Invitation (to submit Technical proposal) • Technical Proposal submission Form; • Brief description of the PO including the experience with the current project; • Strategy and methodology proposed for obtaining community contribution for the implementation within six months; and • Proposed staffing and their qualifications. All POs should be provided with the required information by PMU to prepare the Technical Proposal. The information includes: • Terms of reference for POs • Requirement of staff and qualification • Payment for the services of POs • PO selection criteria • Summary-partnership and submission of technical proposal 10.1 Submission of Technical Proposal Specific formats will be provided to POs for the submission of Technical Proposal. The time period allocated for the submission of technical proposal would be maximum of 21 days. De-tailed description of the submission of Proposal is indicated in the Part-3 of this document. 10.1.1 Evaluation Committee The evaluation committees at district level should be established. The Committee will evaluate the proposals and make its recommendation. The composition of these committees would be: • O&M Managers • Accountant (outside member) • District Engineer of NWSDB • Senior Sociologist of NWSDB • Project representative 10.1.2 Tender Board

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Recommendation made by the Evaluation Committee will be forwarded to the appropriate Tender Board. • DGM of RSC/NWSDB or representative of DGM • AGM of RSC/NWSDB or representatives of AGM • O&M Managers • Chief Accountant of NWSDB, • Outside member The proposer of the Tender should be the Senior Sociologist of NWSDB. 10.1.3 Award of Contract The contract will be awarded to the selected POs on fixed sum that will be calculated before inviting proposals from the POs. The sample contract document will be section 4 of Part-3 of this document.

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PART THREE- SUBMISSION OF TECHNICAL PROPOSAL

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Section One Invitation for Proposals Community Participations in Urban Water Supply ……………………………….. 1. The NWSDB/ District Manager of TWSSP, now invites proposals from pre-qualified NGOs to provide certain services as Partner Organisation for implementation of urban water supply projects. More details on the Services are provided in the attached Terms of Reference. 2. A Partner Organisation will be selected on the basis of the most appropriate Technical Proposal submitted in line with the procedures described in this Request for proposal (RFP) 4. The RFP includes the following documents, with annexes as relevant: • Section 1 –Information to Prospective Partner Organisation on Submission of Technical Proposal • Section 2 – Technical Proposal - Standard Forms • Section 3 - Terms of Reference, Scope of Work • Section 4 – Contract Agreement. 5. Please inform us, upon receipt: that you received the letter of invitation; and whether you will submit a proposal. Yours sincerely, Manager NWSDB/TWSSP Invitation for Proposals Community Participations in Urban Water Supply …………………….. ( On letter head) ( Date ) Ms………………………………………… ………………………………………………………….. …………………………………………………………….. Dear Sirs, LETTER OF INVITATION We are pleased to inform that you have been Pre-qualified as a potential Partner Organisation to provide service in ........................... urban ware supply project of .......................... District, under the NWSDB/Third Water Supply and Sanitation (Sector) Project (TWSSP). You are invited to submit a Technical Proposal as outlined below.

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The services required are for mobilise beneficiary consumers to participate in implementation of urban water supply projects. Details of the services expected are provided in the attached terms of reference (TOR). The Partner Organisation will be selected on the basis of the most appropriate Technical Proposals submitted in line with the procedures described in the attached document. The attached document includes following with relevant annexes. Section 1 - Information to Prospective Partner Organisations on Submission of Technical Section 2 - Technical Proposal Standard Formats Section 3 - Terms of Reference Section 4 - Contract Agreement Please acknowledge the receipt of this letter and inform us whether you will submit a Technical Proposal. Yours sincerely Manager NWSDB/TWSSP NATIONAL WATER SUPPLY & DRAINAGE BOARD MINISTRY OF URBAN DEVELOPMENT, HOUSING AND CONSTRUCTION RECORD OF ISSUE OF DOCUMENTS Category : .......................................... Proposal No. : …/….…/… District : ………………………………… Pradeshiya Sabha : ………………………………… PROPOSAL DOCUMENTS ISSUED TO Name of Organisation : ………………………………………………… Address : ………………………………………………… Name and signature of officer authorised to issue the document : …………………………................................................. Place of issue : Manager’s office(NWSDB/TWSSP) .................................................................. .................................................................. Date of issue ..........................................................................

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Section Two DATA SHEET Information to Prospective Partner Organisation

Clauses ref. in Section -1

1.2 The name of the assignment:------------------------------------- ----------------------------------------------------------------- ------------------------------------------------------------------

1.3 The pre-proposal meeting will be held (date, time and venue):- ------------------------------------------------------------------ ------------------------------------------------------------------

The name(s), address(es) and telephone nos. of TWSSP offi-cial(s) are: -------------------------------------------------------------------- -------------------------------------------------------------------- -------------------------------------------------------------------- --------------------------------------------------------------------

2.1 The latest date to request a clarification is :-------/----/2000 The address for requesting clarification is: -------------------------- -------------------------------------------------------------------- -------------------------------------------------------------------- Facimale:-------------------- Email--------------------------------

3.7 Proposal must remain valid 90 days after the submission date: until --------/------/2003

4.4 The information on the envelop is;---------------------------------- -------------------------------------------------------------------- The proposal submission address is: ----------------------------------------------------------------------------------------------------

4.5 The proposal must be submitted no latter than the following date and time:-- --------/--------/2000

5.1 The address to bring information to the NWSDB is:- --------------- -------------------------------------------------------------------- --------------------------------------------------------------------

5.3 The points given to evaluation criteria are:

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Points 1 Performance of PO during Project Development

Phase 25

2 Specific experience of the partner related to the assignment

10

3 Compatibility of the proposed methodology to the participatory monitoring and the supervision of construction activities

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4 Methodology proposed in social development activities during construction

10

5 Qualification and competence of the staff proposed 25

Total Points 100 The points allocated for the qualification of staff to be given as follows

1 General qualifications 05 2 Adequacy for the project 15 3 Work experience in the

district 05

Total 25 5.4 The date time and address of the technical proposal opening are:

---------------------------------------------------------------------------------- ---------------------------------------------------------------------------------- -------/------/2000 at--------am/pm

6.1 The address for negations is:- ------------------------------------------------------------------- -------------------------------------------------------------------

7.3 The assignment is expected to commence on -----/-----/2000 District Manager TWSSP-NWSDB ………………………………..District

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Section Three Technical Proposal - Standard Forms 2A. Technical proposal submission form. 2B. Experience of Partner Organisation 2C Methodology and strategy proposed in assisting, monitoring and supervision of construction 2D. Composition of the staff and task(s) of each person. 2E. Curricula vitae of proposed staff. 2A TECHNICAL PROPOSAL SUBMISSION FORM …………………………….. …………………………….. …………………………….. …………………………….. To: The Chairman, Tender Board, NWSDB/TWSSP RSC/District Manager’s Office, …………………………………. …………………………………. We, the undersigned, offer to provide the services for mobilising beneficiary communities for participation in ………………………………………………………… (Name of the urban scheme) in accordance with your proposal dated ……………………………[Date], and our Proposal. We are hereby submitting our technical proposal for the same. If negotiations are held during the period of validity of the proposal, i.e., be-fore…………………………… [Date] we undertake to negotiate on the basis of the pro-posed staff. Our proposal is binding upon us and subject to the modifications resulting from contract negotiations. We understand you are not bound to accept any proposal you receive. We remain, Yours sincerely, ……………………… Authorized Signature Name and Title of Signatory: …………………………………. Name of Partner Organization: …………………………………………….. Address: ……………………………………………………. ………………………………………………. ……………………………………………….

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2B EXPERIENCE OF PARTNER ORGANIZATION Relevant services carried out within the last five years that best illustrate qualifications

Assignment Name: District: Divisional Secretariat Division: Staff Provided: No of Staff-

Months; duration of assignment Name of Client: Address: Start Date (Month/Year):

Completion Date (Month/Year):

Approx. Value of Services (in Rs ):

Name of Associated Partners, if any: Nos .of Months of Staff Provided by Associated Partners:

Narrative Description of Project: Description of Actual Services Provided by Your Staff:

Name of the Partner Organization: ……………………………………………………… Signature of Authorised Officer……………………………………………………………… 2C Methodology And Strategy For Mobilising Beneficiary Consumers for Participation Describe the work plans to achieve the project objectives in line with the terms of reference (Describe briefly, using not more than 2 pages per topic) 1. Methodology you propose in mobilising beneficiary consumers to participate in pipe laying, construction of pressure valves, road reinstatements. 2. Methodology in empowering communities to be a strong pressure groups to safeguard their rights and ensure the continuity of service level etc. 2D Composition of the Staff (Personnel), and Task(s) of each Person

Name Position Task 2E. Format of Curriculum Vitae (CV) For Proposed STAFF 1. Proposed Position:………………………………………………… 2. Name of Staff:…………………………………………………….. 3. Profession:…………………………………………………………. 4. Date of Birth:……………………………………… 5. Years with Partner Organization:………………….. 6. Detailed Tasks Assigned:……………………………………………

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……………………………………………………………………………..... 7. Key Qualifications: [Give an outline of staff member’s experience and training most pertinent to tasks on assignment. Describe degree of responsibility held by staff member on relevant previous assignments and give dates and locations. Use about half a page.] 8. Education: 9. Qualification Year Institution 10. Employment Record: [Starting with present position, list in reverse order every employment held Use about three-quarters of a page.] 11. Proficiency in Languages: [For each language indicate proficiency: excellent, good, fair, or poor; in speaking, reading, and writing ] 12. Certification: I, the undersigned, certify that to the best of my knowledge and belief, these data correctly describe me, my qualifications, and my experience. Date: [Signature of staff member and authorized representative of the Partner Organization]Day/Month/Year Full name of staff member:______________________________________ Full name of authorized representative: ___________________________

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Section Four 4.1- Terms of Reference (TOR) for Partner Organisation The PO should be able to produce outputs during mobilisation of beneficiary consumers described below. The PO shall undertake, but not be limited to, the following activities: • Assist beneficiary consumers to organise themselves to be strong community based Organisations • Mobilise beneficiary consumers to provide unskilled labour for pipe laying according to the main implementation plan of the urban schemes • Assist CBOs to prepare labour mobilisation schedules for the provision of unskilled labour • Conduct regular monitoring meeting jointly with consumers and assess the status of the provision of unskilled labour for pipe laying • Submission of fortnight progress reports of the pipe laying activities to the project management • Ensure the quality of pipe laying according to the standard stipulated by the NWSDB • Preparation of as built drawings for the pipe laying • Preparation of work completion report and handed over to the project staff • Assist beneficiary communities to form CBOs and empower community and CBOs to be strong pressure groups • Assist CBOs to collect cash contribution for the construction of pressure valves and for reinstatements of roads • Motivate and assist CBOs and consumers to link with the local political authorities and obtain assistance for the road reinstatements. • Assist CBOs to be accountable to the beneficiary households by introducing appropriate financial book keeping system at the CBOs if cash is collected form the consumers

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4.2 Estimated Cost for the Services of Partner Organisation

Item No Rate Mths Payment Rs.

Staff Salaries CF 1 8,500 6 51,000 TA 1 9,500 6 57,000 PO 1 10,000 6 60,000 PO Manager’s Inputs 10% of the total cost 16,800 Sub Total 184,800 Rental PO Office 1 4,000 6 24,000 Sub Total 24,000 Transport Cost

CF 1 1,000 6 6,000 TA 1 1,000 6 6,000 PO 1 1,250 6 7,500 Sub Total 19,500 Total for Salaries, Rental and Transport 228,300 Management Reports and Secretarial work

- 2,000 6 12,000

EPF/ETF 25,200 Overhead & profits of the PO 30%of the cost

68,490

Sub total 105,690 333,990 Payment after 5% withholding tax 317,290.50

4.3 Expected Output During Mobilisation PO can agree with the officer in charge of the project about the outputs to be achieved. The following outputs are the most important and mandatory. Sequence of achieving output should be has to be decided with the agreement be-tween NWSDB and the PO. • Community awareness on present urban water supply policies and changes • Community awareness on responsibility and participation of consumer families in implementation • Formation of Community Based Organisations (CBOs) based on locations • Assist CBOs to collect cash contribution if required • Training of CBOs in book keeping

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• Registration of CBOs under appropriate legal system • Preparation of labour schedule for mobilising unskilled labour • Assist CBOs to collect cash contribution • Assist Community/CBOs to obtain assistance from the local political authorities for road reinstatements and other constructions • Monitor the quality of CBO activities (pipe laying, construction ect) • Empower community to be a pressure group to safeguard consumer rights • Educate consumers in water saving and reduce wastage • Ensure the quality of construction if required • Assist CBOs to organise pressure testing

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Section Five Contract Agreement SAMPLE CONTRACT AGREEMENT Contract No:……/………/………/…. CONTRACT Between National Water Supply and Drainage Board And ……………………………………………………………..PO For MOBILISATION OF BENEFICARY FAMILIES in Urban Water Supply Projects National Water Supply and Drainage Board Ratmalana TABLE OF CONTENT 1. Documentation Sheet 2. Agreement Services Personnel Payment to the Partner Organization Project administration Performance standards Confidentiality Ownership of Materials Assignment Law Governing Contract Dispute Resolution Omission and Addition of Sub projects 3. Annexes Annex 1: Terms of Reference Annex 2: Outputs Annex 3: Composition of the Proposed Staff Annex 4: Allocation of Payments DOCUMENTATION SHEET Contract No :-…………/…………/…………/………….. Name of PO :-…………………………………………….. Official Address :……………………………………………… ………………………………………………. ………………………………………………. Name of Contact Person: -…………………………………………

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Telephone No :-……………………………………….. Fax No :-…………………………………………….. E-mail :-…………………………………………….. Name of urban Project :-…………………………………………….. Contract Sum Rs. :-……/………/…………… Contract Period :-……/………/…………… Date of Effect :-……/………/…………… Probable Date of Completion of Mobilization Phase: -……/………/….. Date of Completion of Contract :-……../………./…………

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CONTRACT AGREEMENT

SERVICES FOR MONITORING AND SUPERVISION OF COMMUNITY CONSTRUCTION

THIS CONTRACT ("Contract") is entered into this ____________________ [starting date of assignment] day of ________, 2003, by Third Water Supply and Sanitation Project (TWSSP) of-fice/NATIONAL WATER SUPPLY AND DRAINAGE BOARD,………………………………("the Client") having its principal place of business at ________________________ , and ____________________ ("the Partner Organisation") having its principal office located at ___________________. WHEREAS, the Client wishes to have the Partner Organisation perform the services hereinafter referred to, and WHEREAS, the Partner Organisation is willing to perform these services, NOW THEREFORE THE PARTIES hereby agree as follows: 1. Services (i) The Partner Organisation shall perform the services specified in Annex 1, "Terms of Reference", which is made an integral part of this Contract ("the Services"). (ii) The Partner Organisation shall provide the names of personnel listed in Annex 3, "Composition of the Proposed Staff”", to perform the Services. (iii) The Partner Organisation shall submit to the Client the re-ports in the form and within the time periods specified in Annex 5, “Reporting Requirements”. (iv) The Partner Organisation shall perform the Services during the period commencing from ________________ to ______________ , or any other period as may be subsequently agreed by the parties in writing. 2. Personnel (i) The services shall be commenced with the personnel specified in Annex-3, for respective period of time specified therein. (ii) Personnel of the PO should be the same as stated in the technical proposal submitted for the purpose of selection of POs. D:\SHARE\GUIDE LINE 2\GLS FOR CMMU. PARTI. IN URBAN WSS.DOC Third Water Supply & Sanitation (Sector) Project, Guidelines for Sub-Project Development, Vol. 1, Social Mobilisation 55 Any changes to the personnel should be made with the prior approval of the NWDB and the new personnel proposed should have the equal or better qualifications and experience as per the original proposal. (iii) In the event of incompetence in discharging the assigned duties by any person specified in Annex-3, the client may re-quest the PO to replace such person with another person with equal or better qualification and competence acceptable to the client. (iv) Any person provided as a replacement to 2 (ii) and (iii) above , the payment to such person shall not exceed the amount indicated in Annex-4

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(v) All liabilities including EPF, ETF and service gratuity of the personnel deployed by the PO should be the responsibility of the PO and under no circumstances the NWSDB shall be li-able for such claims by the PO. 3. Payment to the Partner Organization A. Ceiling For Services rendered pursuant to Annex 2, the Client shall pay the Partner Organisation an amount not exceeding Rs._______________ for the full contract period as described in the Annex-4. This amount has been established based on the understanding that it includes all of the costs of Partner Organisation as well as any tax obligation that may be imposed on the Partner. B. Schedule of Payments (i) Mobilisation Advance Mobilisation advance of 10% of contract sum will be paid to the Partner Organisation, on request, after signing the contract and on furnishing of a on demand grantee from an organisation acceptable to the NWSDB, equivalent to the amount requested. This advanced money will be deducted in six (06) equal instalments commencing from the first month’s payment. (ii) General Payments All payments will be paid in monthly instalments on the basis of outputs indicated in the Annex 2. Payments for completion of work prior to schedule / delays POs are eligible to claim full payments if the activities (indicated in the Annex 2-Expected Outputs during Construction) are completed prior to the stipulated time period. In contrast the POs will not be entitled to claim any additional payments if there are delays in progress of work. However, if there are delays in progress due to the reasons beyond the control of the PO, The NWSDB may consider an additional payment on the recommendation of Project Manager Payment Conditions (i) Payment shall be made not later than 30 days following the receipt of correctly filled invoices by the NWSDB/District Manager Contingency No contingency payments are involved under this contract Final Payments Final payment of this contract will be made at the end of the contract period with the achievement of satisfactory outputs stipulated in Annex-2 4. Project Administration Reports and progress Meetings. The progress review meetings schedule by the NWSDB will constitute the basis for the monitoring and evaluation of the performance of the PO and the project progress. Failure to attend these meetings by the responsible offices of PO may lead to termination of the contract. Performance Standards The Partner Organisation undertakes to perform the Services with the highest standards of professional and ethical competence and integrity. The Partner Organisation shall promptly replace any employee assigned under this Contract that the Client considers unsatisfactory.

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Confidentiality The Partners Organisation shall not, during the term of this Contract and within two years after its expiration, disclose any proprietary or confidential information relating to the Services, this Contract or the Client's business or operations without the prior written consent of the Client. Ownership of Material Any studies, reports or any other material prepared by the Partner Organisation for the Client under the Contract shall belong to and remain the property of the Client. The Partner Organisation may retain a copy of such documents. Sub contract of the Assignment The Partner Organisation shall not sub-contract any portion of the work without the Client's prior written consent. Dispute Resolution Any dispute arising out of the Contract, which cannot be amicably settled between the parties, shall be referred to adjudication/arbitration in accordance with the laws of Democratic Socialist Republic of Sri Lanka FOR THE CLIENT FOR THE PARTNER ORGANIZATION Signed by ___________________ Signed by Name: ___________________ Name: __________ Title: ___________________ Title: _________________ Witnessed by: Signature: _________________Signature: ___________________ Name: __________________Name: ____________________ Address: ___________________ Address: _____________________ ___________________ _____________________ Date

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