Guidelines for Planning and Implementation of Village ... · process, are presented in a separate guideline, “Field Manual for Technical Assistants of POs - Planning and Designs

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Guidelines for Planning and Implementation of Village

Sanitation Programmes

Guideline No. : NWSDB / RWS / GUI / 17

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

1 Introduction 4

2 Sub-Project Implementation Process 5

3 Community Participatory Planning Process 6

3.1 Stages in Community Participatory Planning Process 6

3.2 Steps in Community Participatory Planning Process 6

4 Rejection Criteria and Process of Rejection 24

List of Appendices:

Appendix 1: Rejection Criteria and Process – Investigation Stage

Appendix 2: Rejection Criteria and Process – Feasibility Stage

Appendix 3: Rejection Criteria and Process – Final Design Stage

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List of Abbreviations: ADB : Asian Development Bank BOQ : Bill of Quantities CBO : Community Based Organisation CF : Community Facilitator (of PO) CDA : Community Development Assistant CDO : Community Development Officer CPPP : Community Participatory Planning Process DIU : Divisional Implementation Unit DLCC : Divisional Level Co-ordinating Committee DM : District Manager of NWSDB DTO : District Training Officer DS : Divisional Secretary EA : Engineering Assistant GND : Grama Niladhari Division(s) GOSL : Government Of Sri Lanka HH : Household(s) m

3 : Cubic metres (1,000 litres)

MoU : Memorandum of Understanding NGO : Non-Government Organisation NORAD : Norwegian Agency for Development (Assistance) NWSDB : National Water Supply & Drainage Board O & M : Operation and Maintenance PEC : Project Evaluation Committee (of NWSDB) PCC : Provincial Co-ordinating Committee PIU : Project Implementation Unit PMU : Project Management Unit PO : Partner Organisation PS : Pradeshiya Sabahs Rs. : Sri Lanka Rupees RWS : Rural Water Supply Section of the NWSDB RWSS : Rural Water Supply and Sanitation TA : Technical Assistant (of the PO) USD : United States Dollars (1 USD ~ 70 Rs.) WSS : Water Supply and Sanitation

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1 Introduction This final version has been prepared almost two months after issue of a draft version. Commentshave been received only from the DM, Kalutara, for which we are grateful. These Guidelines for Sub-Project Development are explaining the mechanisms and sequence of the Village Participatory Planning process. The Guidelines have been prepared in order to describe and guide the planning process to its successful conclusion,

ensure that the planning process incorporates a demand driven approach to identify the responsibilities of activities to be carried out within the time period stipulated in the sub project cycle.

The Guidelines is thought to be a tool for the Technical Assistant (TA) of the Partner Organisation (PO) regarding the; a) methodology of the participatory planning process; and b) strategy to ensure the involvement of project beneficiaries in the process of decision making.

The project Implementation Units (PIUs) are required top read and understand these Guidelines in order to facilitate and supervise proper, uniform implementation of the process. For the purpose of supervision of activities carried out by the POs the Guidelines may also be used by Divisional Implementation Units (DIUs) with considerable advantage. The Guidelines also include the rejection criteria applicable, i.e. the drop-out criteria to be applied. The village participatory planning and design process is a very important phase or stage in the project cycle. Hence, due attention has to be paid in order to en-sure that this process is carried out properly.

These Guidelines do not present the details or the technical aspects of each of the steps in the participatory planning process. Such details, together with relevant formats to be used in the process, are presented in a separate guideline, “Field Manual for Technical Assistants of POs - Planning and Designs of Village Schemes”, issued by COWI in January 2000. The relevant technical staff should refer to these Guidelines and Manuals.

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2 Sub-Project Implementation Process The village sub-project implementation process includes several phases Community Mobilisation Process

Community Decision Making Process (village participatory planning and design)

Construction Phase

O&M Phase.

The consolidation activities, which focus on the O&M and sustainability of the facilities provided, are carried out in parallel with the other activities through-out the process. Hygiene education programmes and sanitation programmes too are carried out concurrently. This is illustrated in Figure 1 as a bar chart. The detailed process of community mobilisation has been described in Volume I of these Guidelines

1.

The Community Participatory Planning Process starts typically around the 3rd

to 4th

month of commencing the sub project implementation process. The community is supposed to have assessed their own situation (self assessment form) with respect of water supply and sanitation. The community requests technical assistance from the PO to plan their water supply and sanitation, folowing which an MoU is signed between CBO, PO and DIU, with the collection of a qualifying payment of Rs. 500 per household. This demarcates commencement of the Village Participatory Planning Process (VPPP). The PO then fields the TA who will work together with the Community Facilitator (CF) to the extent required. The Community Participatory Planning Process is presented in the flow chart in the Figure 2, and the timing and outputs are indicated in Figure 3. The process is described in detail in the following chapter. 1 Guidelines for Sub-Project Development, Vol. I, PMU,

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3 Community Participatory Planning Process

3.1 Stages in Community Participatory Planning Process The Community Participatory Planning Process can be divided into three main stages as follows: Investigation Stage - The data gathered during the mobilization period with regard to technical

matters (location of sources, flow measurements etc.) will be reviewed by the Technical Assistant

(TA) of the PO. The proposals made by and ideas gathered from the community and the

findings of the TA are formed into several possible options. These are evaluated, compared,

and any immediately un-feasible options are dropped, as decided by the community. A

maximum of 3 options are selected for further study.

Feasibility Stage - The options selected for further studies are investigated in detail. The necessary field surveys are conducted, and draft designs prepared as required. The options are evaluated in detail, compared and the most appropriate one is selected by the community.

Final Design Stage - The final option selected by the community is properly designed,

drawings prepared, cost estimates made, and cost sharing finalized, with the consent and total agreement of the community. In each of these stages, the community will be guided by the Technical Assistant on the technical matters, and assisted by the Community Facilitator in decision making. The DIU will be supervising and advising the PO. It is assumed that the Community Based Organisation (CBO) has been formed at this time and that the CBO can/want to take part of the participatory planning process.

3.2 Steps in Community Participatory Planning Process The Village Participatory Planning Process is described stepwise in the following section. The main stakeholders in the process are i) the community in general ii) The CBO as representatives of the community and as future operators of the facilities iii) the offices of the assigned PO. It should be noted that the time indicated is a recommended time frame in order to plan the activities rationally. The indicated time for each activity depends naturally on the speed of the community mobilisation process, described in Volume I of these Guidelines. Every effort should be made by the PO and the CBO, inspired by the DIU, to try to speed up the planning process.

3.2.1 Investigation Stage

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During the Investigation stage, the following steps need to be followed.

Step 1 – Village Meeting

Main Responsibility : - CF ( Supported by

TA) Output : - Identified community need

and their wish

- Report on village meeting

- Memorandum of Understanding (MoU) between Community and PIU

- Community cash payment no. 1, Rs. 500 per Household

as quali fying payment. No payment should disqualify the community. The payment shall be deposited with the CBO.

Timing /Duration : - Latest at the beginning of 5th month (end of 1st

week after community request for technical support)

Activities:

1.1 TA provides introduction of planning process to the community (CBO committee members, core group members and interested members of the community) Following are elaborated. • Stages in the Planning Process. • Process of decision making by the community. • Contributions in cash and/or kind expected from the community,

and • Cost contribution (subsidy) made by the project and subsidy

ceilings

1.2

Community assures that the formed CBO can be considered to rep- resent the community in general and that the CBO is willing to work with the PO for the entire process, irrespective of the possibility of unsuccessful planning.

CBO presents initial options identified by them to the TA, followed by clarifications and discussions

1.3

CBO provides village map prepared by them to the TA

1.4

CF writes a brief report on the initial options as presented in the meeting. The report also contains a brief summary of the discussions and the decisions taken by the community. The report must be forwarded to DIU.

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Step 2 - Verification of Need

Main Responsibility : TA

Output : Participatory confirmation of the need for improved water supply and sanitation

Duration : within 1st week

Activities:

2.1

2.2

2.3

TA and CF together with the CBO verify and confirm data and in- formation presented by the CBO and confirm the initial possibility of the options presented by the community. TA assesses the requirement of water quantities, ref. design criteria The CF and TA forwards a brief report to DIU on item 2.1 and 2.2

Step 3 - Investigation of Potential Water Sources, water supply systems


Output : Identified sources and assessed sustainable yield and quality.

Timing / Duration : Within 2nd week

Activities :

3.1 3.2

TA visits the proposed water sources and studies the yield measurement Assess the quality of water (chemical and bacteriological analysis)

3.3 Discusses with the people regarding seasonal variations of theyield and quality

3.4 Assesses roughly the distances involved

3.5 Assesses the elevations involved roughly with an altimeter 3.6 Assesses the situation together with the CBO (possibility,

successes, problems, etc) regarding the other proposed options such as wells, tube wells, rainwater harvesting, extensions from existing schemes, etc. Consults knowledgeable persons and obtain advise from DIU if necessary.

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Step 4 - Preliminary Assessment of Options


Outputs: Preliminary assessment summary

Timing / Duration : Within 2nd week

Activities:

4.1 The TA consults the DIU regarding the water resources available

and the conceptual planning of water supply for the area 4.2 TA assesses the options forwarded by the community and

identifies the options more clearly, adding any more possibilities, if relevant

4.3 Assesses the preliminary demand for water supply and availabilityof resources

4.4 Assesses the preliminary technical aspects of the options identified4.5 TA makes preliminary assessment of the capital and O&M costs

involved, based on the “Guidelines for Preparation of Cost Estimates for Village Schemes”

4.6 Assesses the O&M implications4.7 Compares the options and makes charts for presentation, describe ing the details.

4.8 TA writes summary of options, demand technical issues and O & M issues concluding with a brief comparison of the options.

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Step 5 –Community Meeting to Identify and Select Options

Main Responsibility : CF (Supported by TA)

- Output : 2-3 selected options for Feasibility Studies.

- Community deposits second payment with CBO (if such payment is not received by the CBO within one week after the meeting the community should be dropped)

Timing / Duration : End of 2nd Week

Activities:

5.1 The TA presents the preliminary assessment of various options and

compares the options to the community, including lay outs of options on village map.

5.2

5.3

Community in general (not only CBO) discusses the results, obtains any clarifications, and agree on 2-3 options to be included in a feasibility study. Minutes of meeting must confirm the selection. If the community cannot agree on 2 – 3 options the community will be dropped.

The community pays the second cash contribution to the CBO. The CBO deposits the funds in a bank account. As no final option is selected by the community at this point in time the payment cannot be decided as a % of the capital cost of one or the other option. If the technologies involved in the selected options are other than public wells cash contribution will be required. In such cases the amount is set at Rs. 75,000. Copy of the pay-in slip must be forwarded to DIU. If only public wells are proposed by the community no cash contribution is necessary and this and following payments are suspended.

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Step 6 – Obtaining Community Agreement

Main Responsibility : CF

Output : Confirmation by the community ( Note : If no confirmation is received, community is dropped. Ref. Rejection Criteria in Table 1, Section 4

Timing / Duration : End of 3rd Week

Activity

6.1 CBO furnishes a document confirming the decisions arrived at the community meeting and confirms receipt of initial community

contribution of Rs. 75,000.

Step 7 – Preparation of Investigation Report


Output : Preliminary Investigation Report

Timing / Duration : End of 3rd week

Activities:

7.1 The TA presents in a report to the DIU the various initial options, the resource assessment and assessment of demands, summary of the discussion in the meeting and a presentation of each of the options selected by the community.

7.2

DIU verifies the data and the checks the report. Spot checks within the community for agreement shall be made. When satisfied that the report is objective and representing the opinion of the entire community the DIU approves the report.

( The TA could proceed to the next step pending the approval of the report in order to expedite the process)

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3.2.2. Feasibility Stage

The main outputs expected from this stage are:

• The community agreement on the most suitable option for final detailed designs

• A tentative cost estimate and approximate cost contributions, especially

community cash contribution, if any.

• The total agreement of the community and the CBO to the selected option, and firm commitment towards construction and operation and maintenance, with the collection of the remaining amount cash contribution. With this payment min. 25 % of the total community cash contribution shall have been made.

• The feasibility report with description of options considered during the feasibility stage, and factors contributed to the final selection.

The steps to be followed during the Feasibility stage are as follows;

Step 8 – Collection of data


Output : Accurate field data on population, households, sources, existing facilities

Timing / Duration : During 4th week

Activities:

8.1 The TA verifies village map and refine

8.2

Visits the locations of facilities/ components and assess the complications

8.3

Identifies the HH and other institutions to be served by each system/technology

8.4

Assesses the yields & reliability of sources and possibility of tube wells / shallow wells

8.5

If an extension of pipe lines from existing system is proposed, identifies the possible area of coverage, assesses the possibility of extension (after obtaining views from the maintenance authority of the scheme), roughly assesses the components needed in extension

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\ expansion

8.6 Obtains the consent from the land owners regarding sources \ structures

Step 9 – Preliminary Topographic Surveys


Output : Topographic data and maps

Timing / Duration : During 4th & 5th week

Activity

9.1 The TA identifies service areas under each scheme, technology and marks on the map

9.2

Conducts pipe line surveys with altimeter \ level instrument as required

Step 10 - Preparation of Preliminary Designs


Outputs: Preliminary assessment of water demands

Timing / Duration : During 6th Week

Activity

10.1 The TA assesses the water demands

10.2

Performs preliminary hydraulic designs

10.3

Assesses the capacities of components, sizes and depths of wells, no of tube wells, rainwater harvesting tanks etc.

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Step 11 - Preparation of Cost Estimates


Output : Cost Estimates with cost contributions

Timing / Duration : During 6th week

Activity

11.1 The TA prepares capital and O&M cost estimates for each scheme of each option based on draft “Guidelines for Preparation of Cost Estimates for Village Schemes”, November 1999, COWI (to be upgraded to final PMU version shortly)

11.2

Assesses per HH costs and respective cost contributions

Step 12 - Comparison of Options

Main Responsibility : Comparison charts/ maps

Output : End of 6th week

Activity

The TA;

12.1 Prepares tables comparing the options

12.2

Assesses the O&M implications for each option

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Step 13 – Conducting Community Meeting to Select Preferred Scheme

Main Responsibility : CF (Assisted by TA)

Output : Selection of desired system by the community

Timing / Duration : At the end of 6th week

Activity

13.1 The TO presents the comparison of options to the community,

including the maps

13.2

Community discusses the results, obtains clarifications and agrees on the option to be selected

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Output : Confirmation of community decision. ( Note : If no positive response, community is dropped. Ref. Rejection Criteria in Table 2, Section 4 )

Timing / Duration : End of 7th week

Activity

14.1 CBO furnishes a document confirming the decisions arrived at the

community meeting

14.2

CBO forwards the consent letters from the authorities for water sources and land owners of the lands involved for construction of components, wells/tube wells and laying of pipe lines

Step 15 – Preparation of Feasibility Report


Output : Feasibility Report


Activity

15.1 TA prepares Feasibility Report based on the standard format provided and submit to DIU

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Step 16 - Approval of the Report

Main Responsibility : DIU Output : Approval of the report


Activity

16.1 DIU organizes a site visit to discuss and verify the suitability of

selected option. The members of the visit comprises of the representatives of;

PIU (Senior Engineer)

DIU (EA and CDA)

PS (Tech. Officer and CDO)

Dept. of Education (if relevant)

The TA, CF and PO of Partner Organisation should be present to assist the PEC.

16.2

PEC evaluates the report in the light of the site observations, site recommendations and approves the report

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3.2.2 Final Design Stage The main outputs from the final design stage are:

• the documents required for the construction, including the detailed drawings, BOQs (or schedules of material and labour) and contract

documents.

• accurate cost estimates and proposed cost sharing

• the total commitment by the community for construction, with the collection of all balance required cash contribution.

The steps that needs to be followed during final design stage are as follows;

Step 17 - Preparation of Final Designs


Output : Final Designs


Activity

17a Design of Piped Schemes

17a.1 The TA refines of layouts and field surveys

17a.2 Identifies and confirms the beneficiary households

17a.3 Finalizes the locations of stand posts

17a.4 Refines the water demands

17a.5 Refines the hydraulic designs

17a.6 Refines the sizing of structures

17a.7 Prepares / compiles drawings

17a.8 Prepares BOQs

17a.9 Prepares/ compiles specifications, contract documents

17a.9 Prepares Engineer’s Estimates

17b

Design of Shallow Wells

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17b.1 Confirms the beneficiaries, and verify whether common or individual

17b.1 Selects the sites

17b.2 Assesses the required depths

17b.3 Prepares / Compiles drawings

17b.4 Prepares Engineer’s estimates

17c

Design of Tube Wells

17c.1 Identifies the number and location of beneficiaries

17c.2 Assesses the desired locations of wells

17c.3 Obtains services of a hydrogeologist to locate the wells

17c.4 Assesses the number of beneficiary HH for each tube well

17c.5 Assesses the cost of wells

17c.6 Prepares contract document for construction of well

17d Design of Shallow Bore Holes

17d.1 Assesses the no. of beneficiaries requesting the facility

17d.2 Assesses the technical feasibility in consultation with the Hydrogeologist

17e Design of Rainwater Harvesting Tanks

17e.1 Assesses the number of beneficiaries requesting the facility

17e.2 Assesses the technical feasibility in consultation with

DIU

17e.3 Prepares cost estimates for the requirement

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17 f Design of Extensions from Existing Schemes

17f.1 Assesses the number of beneficiaries possible to be included by extensions of the pipe line

17f.2 Assesses the required water demand

17f.3 Assesses the present capacity of the scheme, discuss with

maintenance authorities regarding the future plans, assess the possibility of extensions.

17f.4 Assesses the capacity of the components needed

17g Design of Other Facilities (Pumping arrangements with wind power, solar power, hydraulic ram etc)

17g.1 Identifies the number and the coverage from each of the

technology

17g.2 Consults PIU for detailed designs

17g.3 Prepares / compiles required drawings

17g.4 Assesses the costs and prepares Engineer’s estimate

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Step 18 - Conducting Community Meeting to Endorse the Final Selection


Output : Agreement on the final design, cost contribution


Activity

18.1 The TA presents the details of final design (Coverage, cost contributions, labour requirements, construction schedules) to he community

18.2

Community discusses about the final design and obtains clarifications



Output : Formal agreement on the final design, cost contribution. ( Note : If no confirmation is received, community is dropped. Ref. Rejection Criteria in Table 3, Section 4)


Activity

19.1 CBO furnishes a document confirming the decision arrived at the

community.

19.2

CBO forwards consent of the people to contribute labour for construction and evidence of the collection of remaining part of community cash contribution (75 %).

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Step 20 – Preparation of Final Design Report

Main

Responsibility :

TA Output :

Design Report


Activity

20.1 TA prepares Design Report based on the standard format provided and submits to DIU

Step 21 - Approval for Construction

Main Responsibility :

DIU Output :

Construction Contract

Timing / Duration : 16th

Week Activity

21.1 DIU checks the report , BOQs, Estimates, cost sharing proposal, contract document etc. and forwarsds them to PIU

21.2

PIU checks the report including design report, recommends the sub-project for approaval / rejection

21.3

PIU sends the summary report of the sub-project to PMU for formal approval and budgetary allocations

Step 22 - Formal Approval & Budgetary Allocations

Main Responsibility : PMU

Output : Formal Approval & Budget Allocation Timing / Duration : End of 17th week Activity

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22.1 PMU peruses the documents and gives the concurrence to the

Approval and makes budgetary allocations for construction.

22.2 PIU enters into agreement with the CBO on construction of facilities, and instructs for the commencement of work..

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4 Rejection Criteria and Process of

Rejection

In the Community Participatory Planning Process, there are several milestones where either the community or the Project will have to decide whether the proposed project should go ahead or should be rejected. The community will decide it based on the affordability and the satisfaction of meeting their need. The project will decide it based on the technical viability, degree of community response and commitment by the people for implementation of the sub project.

The milestones of the process at which the project decides to drop the community are marked in the Figure 2. The suggested conditions / criteria based on which this is to be done and the processes of such rejection are presented in Appendixes 1, 2 and 3.

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Documents

Guidelines for Planning and Implementation of Village ... · process, are presented in a separate guideline, “Field Manual for Technical Assistants of POs - Planning and Designs