102624

Public Disclosure Authorized

Public Disclosure Authorized
Public Disclosure Authorized

February 2015
Public Disclosure Authorized

Supported by the Government of India,

Ministry of Drinking Water and Sanitation and
Water and Sanitation Program

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Toolkit for THE
Preparation of a
Drinking Water
Security Plan
February 2015

Supported by the Government of India,

Ministry of Drinking Water and Sanitation and
Water and Sanitation Program

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a D r i n k i n g Wat e r S e c u r i t y P l a n

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fot;y{eh tks’kh ,bZ. ,. ,l.
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Hkkjr ljdkj
VIJAYLAXMI JOSHI I.A.S. is;ty ,oa LoPNrk ea=ky;
Secretary
Government of India
Ministry of Drinking Water and Sanitation
C-3 Wing, 4th Floor, Paryavaran Bhawan, New Delhi-110003
Tel.: 24361670, 24361671, 24361572 Fax: 24361669
E-mail: secydws@nic.in
Website: www.ddws.nic.in

Foreword

The Government of India along with the States and Union Territories has been focussing on ensuring safe
drinking water supply to the rural communities from 1972-73 onwards through various national rural drinking
water supply programmes. Being a vast and diverse country, India is facing many challenges in ensuring reliable
and safe drinking water on a sustainable basis.

The Government of India—subscribing to the statement—‘It is difficult to manage what is not measured’,
has been developing its Drinking Water Security Plan with an inventory of drinking water resources, systems,
institutional arrangements, energy charges, sanitation aspects, etc., in an integrated participatory way under its
pilot project National Drinking Water Security Pilot Project (NDWSPP).

There is a need for a holistic and participatory planning approach, with clear guidance on institutional roles and
responsibilities and financing to address issues on sustainability.

Gram Panchayats and Village Water and Sanitation Committees need to prepare Drinking Water Security
Plans which address source sustainability, water quality (both bacteriological and chemical), operation and
maintenance issues, as well as provisions for replacement and expansion.

This Toolkit has been prepared for use by support agencies, field level engineers, Gram Panchayat secretaries,
Panchayat development officers, etc., who can facilitate the preparation of drinking water security plans using
the necessary tools, techniques and templates to ensure that a systematic, step-by-step approach is adopted
throughout the process.

This document, Toolkit for the Preparation of a Drinking Water Security Plan, has been prepared in
association with the Water and Sanitation Program with inputs from the user community, Gram Panchayats,
State Nodal Officers and Support Organisations.

We acknowledge the inputs provided by Nodal Officers, Support Organisations and Gram Panchayat functionaries.
I wish to place on record our appreciation for associating with us and bringing out this Toolkit.

New Delhi
6th February 2015 Vijaylaxmi Joshi

,d dne LoPNrk dh vksj / Sanitation is Next to Godliness

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Acknowledgements
This Toolkit for the Preparation of a Drinking Water Security Plan has been prepared by the
Water and Sanitation Program (WSP) and the Ministry of Drinking Water and Sanitation (MDWS),
Government of India, as part of the technical assistance to the National Drinking Water Security
Pilot Project of MDWS.

The team that prepared this Toolkit comprised Mr. Mariappa Kullappa, Senior Water and
Sanitation Specialist, Water and Sanitation Program, and Mr. Manohar S.P. (Consultant)
with support and inputs from Dr. Manish Kumar, Senior Institutional Development
Specialist, Dr. Suseel Samuel, Water and Sanitation Specialist, and Ms. Vandana Mehra,
Communication Specialist.

Officials from state, district and block levels of the participating states and representatives of
Support Organisations engaged for the National Drinking Water Security Pilot Project provided
critical inputs in addition to facilitating meetings and field visits to pilot blocks. State Nodal
Officers from the participating states and concerned sector specialists provided comments on
the draft Toolkit.

Acknowledgments are due to:

• Mrs. Sweta Banarjee, District Nodal Office, Maharashtra and Mr. Ravi Prakash, Team Leader,
for providing inputs and facilitating interactions with field functionaries, Gram Panchayats
and communities in their respective pilot blocks;

• Gram Panchayat functionaries of Domak Gram Panchayat, Morshi block, Amravati district,
Maharashtra, and of Hebbani Gram Panchayat, Mulbagal block, Kolar district, Karnataka
for all the support extended during designing and field testing activities in their Gram
Panchayats; and

• Officials from state, district and block levels of the participating states and representatives
of Support Organisations of the National Drinking Water Security Pilot Project for providing
critical inputs as well as comments on the draft Toolkit.

The guidance and support provided by Ms. Vijaylaxmi Joshi, Secretary; Mr. Satyabrata Sahu, Joint
Secretary (Water); Mr. Sujoy Majumdar, Director; Mr. Dinesh Chand, Advisor; Ms. Sandhya Singh,
Joint Director; and Mr. Sanmugasundaram (Consultant NRC) of MDWS, Government of India,
are gratefully acknowledged.

References used in the preparation of the Toolkit are included in the Bibliography.

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Table of Contents
Foreword v
Acknowledgements vii
Abbreviations 10
Glossary of Terms 12
How to Use this Toolkit 15
Chapter 1 Water Security Planning 17
1.1 Background and Need 18
1.2 Water Security Planning 18
1.3 Framework for Drinking Water Security 19
1.4 Technical Support to GP/VWSC 19
1.5 About the Toolkit 19
Chapter 2 Project Phases 21
2.1 Project Phases 22
2.2 Input, Process and Output 24
2.3 Note to Facilitator 26
Chapter 3 Process Planning 27
3.1 Phase 1: Preparatory Phase (P) 28
3.1.1 Institutional Support (Activity Code P-1) 28
3.1.2 Compilation of Data (Activity Code P-2) 28
3.1.2.1 Baseline Data 30
3.1.2.2 Delineation of the Hydrological Unit 33
3.1.2.3 Groundwater Prospects Maps 34
3.1.2.4 Toposheet 35
3.2 Phase 2: Capacity Building, Survey and Planning (C) 35
3.2.1 GP MCM (Activity Code C-1) 37
3.2.2 Gram Sabha 1 (Activity Code C-2) 39
3.2.3 VWSC Formation/Strengthening (Activity Code 3) 41
3.2.4 Participatory Rural Appraisal (Activity Code C-4) 42
3.2.4.1 Social Mapping (Activity Code C-4.1) 42
3.2.4.2 Water Resource Mapping (Activity Code C-4.2) 47
3.2.4.3 Timeline (Activity Code C-4.3) 49
3.2.4.4 Seasonality (Activity Code C-4.4) 51
3.2.4.5 Community-Led Total Sanitation (Activity Code C-4.5) 53
3.2.5 Water Transect—Walk from Source to Users (Activity Code C-5) 60
3.2.6 Establishment of Rain Gauge Station (Activity Code C-6) 64
3.2.7 WTQQ Monitoring (Activity Code C-7) 67
3.2.7.1 Groundwater Table 67
3.2.7.2 Discharge Measurement 69
3.2.7.3 Water Quality 69
3.2.8 Water Budget (Activity Code C-8) 70
3.2.8.1 Assessment of Water Availability 71
3.2.8.2 Assessment of Water Demand 73
3.2.9 Women’s Meeting (Activity Code C-9) 76
3.2.10 School Level Programme (Activity Code C-10) 77

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 3.2.11 Cross Visit (Activity Code C-11) 78
3.2.12 VWSC Workshop-2 (Activity Code C-12) 80
3.2.13 Gram Sabha 2 (Activity Code C-13) 82
3.2.14 GP Workshop 2 (Activity Code C-14) 82

Chapter 4 Implementation and Monitoring Process 83

4.1 Implementation Stage 84
4.1.1 VWSC Meeting (Activity Code I-1) 85
4.1.2 Periodic Joint Review of Works (Activity Code I-2) 86
4.1.3 Operation and Maintenance (Activity Code I-3) 87
4.2 Monitoring 91
Bibliography 93

Annex: Template for Drinking Water Security Plan 97

List of Figures
Figure 2.1: Phases of Drinking Water Security Planning 22
Figure 2.2: Phase 1: Preparatory Phase with Expected Outputs 22
Figure 2.3: Phase 2: Capacity Building, Survey and Drinking Water Security Plan 23
and Expected Outputs
Figure 2.4: Phase 3: Implementation and Expected Outputs 23
Figure 2.5: Phase 4: Monitoring and Expected Outputs 23
Figure 3.1: Institutional Arrangements 29
Figure 3.2: An Example of the Delineation of a Hydrological Unit 34
Figure 3.3: Sample Groundwater Prospects Map Showing Watershed Boundaries and 34
Watershed-wise Groundwater Prospects
Figure 3.4: Phase 2: Outputs 35
Figure 3.5: A Sample Social Map on Cloth 45
List of Tables
Table 2.1: Phase-wise Inputs, Processes and Expected Outputs 24
Table 3.1: Baseline Data of Gram Panchayat 30
Table 3.2: Phase 2: Activities and Expected Outputs 36
Table 3.3: Stakeholder Details—Format 37
Table 3.4: Meeting Report Format 40
Table 3.5: Survey Format: Social Mapping 46
Table 3.6: Survey Format for Water Resource Mapping 48
Table 3.7: Example of Seasonal Calendar 52
Table 3.8: Basics: Key Attitudes and Behaviours 56
Table 3.9: CLTS: Monitoring and Reporting Formats 58
Table 3.10: Checklist to Identify Water Security, Water Supply System and O&M Issues 61
Table 3.11: Format for Water Supply System Issues, Challenges and Possible Solutions 63
Table 3.12: Rainfall Data Log 66
Table 3.13: Format for Computing Irrigation Water Demand 74
Table 3.14: Consolidation of Information for a DWSP 81
Table 4.1: Roles and Responsibilities of Agencies Involved 84
Table 4.2: Activities within the DWSP 85
Table 4.3: Checklist for FGD 88
Table 4.4: Water Tariff Calculation 89
Table 4.5: Suggested Monitoring and Evaluation Framework 92
List of Boxes
Box 3.1: Social Map—A Dynamic Monitoring Tool 44
Box 3.2: CLTS Principles 58
Box 4.1: O&M and Water Conservation 90
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Abbreviations

APL Above the Poverty Line

ASHA Accredited Social Health Activist
BPL Below the Poverty Line
BRC Block Resource Centre
CBO Community-Based Organisation
CLTS Community-Led Total Sanitation
cu m cubic metre
DWSM District Water and Sanitation Mission
DWSP Drinking Water Security Plan
FGD Focussed Group Discussion
GoI Government of India
GP Gram Panchayat
ha hectare
HH Household
lpcd litre per capita per day
lpd litre per day
m metre
mm millimetre
M&E Monitoring and Evaluation
MCM Mobilisation & Convergence Meeting
MDWS Ministry of Drinking
Water and Sanitation
MGNREGS Mahatma Gandhi National Rural
Employment Guarantee Scheme
MoU Memorandum of Understanding
MVS Multi Village Scheme
NGO Non-governmental Organisation
NRDWP National Rural Drinking
Water Programme

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NRW Non Revenue Water

OBC Other Backward Classes
O&M Operation and Maintenance
OD Open Defecation
ODF Open Defecation Free
PHC Primary Health Centre
PHED Public Health Engineering Department
PRA Participatory Rural Appraisal
SC Scheduled Caste
SHG Self-help Group
SLSSC State Level Schemes
Sanctioning Committee
SMC School Management Committee
ST Scheduled Tribe
STA State Technical Agency
SO Support Organisation
sq km square kilometre
SVS Single Village Scheme
SWSM State Water and Sanitation Mission
VQAT Village Quality Assurance Team
VWSC Village Water and Sanitation Committee
WSP Water and Sanitation Program
WSSO Water and Sanitation
Support Organisation
WLI Water Level Indicator
WTQQ Water Table, Quantity and Quality
WUC Water Users Committee
ZP Zilla Parishad

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Glossary of Terms
Activity: Educational process or procedure intended to stimulate
learning through actual experience.

Aquifer: An underground layer of water-bearing permeable rock or

unconsolidated materials (gravel, sand or silt) from which
groundwater can be extracted using a water well.

Catchment: A catchment, or drainage basin, is a discrete area of land with a

common drainage system. A catchment area includes the water
bodies that convey the water, as well as the land surface from
which water drains into these bodies.

Environment: The physical and biological factors together with their chemical
interactions that affect an organism.

Facilitator: A person who helps to bring about an outcome (i.e., learning,

productivity, or communication) by providing indirect or
unobtrusive assistance, guidance, or supervision.

Hydrogeology: The area of geology that deals with the distribution and
movement of groundwater in the soil and rocks of the earth’s
crust, commonly in aquifers.

Indicator: A measurable or tangible (concrete) sign that something has

been done.

Input: Information/data/facilitation that helps someone make a

decision in order to achieve a desired goal.

Mapping: The process of gathering information about community water

supply by having community members create their own map.
They can draw the map on the ground or on a sheet of paper
with sufficient details to facilitate identification of the source,
utilities, consumption centre and risk zones.

Participatory A rapid and inexpensive assessment of the most important

Rural Appraisal: features of the living conditions of a population and an
environment. The assessment, done primarily by an
interdisciplinary team, takes place in the field.

Primary Data: Observed or collected directly from first-hand experience.

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Process: Sequence of interdependent and linked procedures which, at

every stage, consume one or more resources to convert inputs
into outputs. These outputs then serve as inputs for the next
stage until a specified goal is reached.

Secondary Data: Published data and data previously collected by other parties.

Stakeholder: A person, group or organisation that has some form of interest

or concern in an organisation. Stakeholders can affect or be
affected by the organisation’s actions, objectives and policies.

Transect Walks: Systematically organised walks with key informants through

the area of interest, while observing, asking questions, listening
and identifying problems and solutions. Walking through, a
community helps participants to understand power divisions,
environmental issues, solid and liquid waste management,
construction quality, operation and maintenance, etc.

Water Demand: Water requirements for a specified purpose (e.g., municipal

supply, irrigation, ecology, plant transpiration or storage).

Water Security: Availability of an acceptable quantity and quality of water

for health, livelihoods, ecosystems and productive activities,
coupled with an acceptable level of water-related risks to people,
economies and the environment.

Water A comprehensive risk assessment and risk management

Security Plan: approach embracing all the different steps in water supply, from
catchment to consumer.

Water Quality: Refers to the chemical, physical and biological characteristics of

water. It is a measure of the condition of water relative to the
requirements of one or more biotic species and/or to any human
need or purpose.

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How to Use this Toolkit
This Toolkit for the Preparation of a Drinking
Water Security Plan provides a model for taking
a Gram Panchayat/Support Organisation through
an action planning process. The Toolkit includes
a basic action planning format. It is a step-by-step
process, covering practical guidelines and a water
security plan template. The Practical Guidelines
are designed to standardise and streamline
water security planning for all the pilot blocks.
The Toolkit focusses on the planning and
community mobilisation as well as the institutional
and financial aspects of implementing a drinking
water security programme in pilot blocks.
Target Audience
The Toolkit has been prepared for use by support
agencies, field level engineers, Gram Panchayat
secretaries, Panchayat development officers, etc.,
who can facilitate the preparation of drinking
water security plans using the necessary tools,
techniques and templates to ensure that a
systematic, step-by-step approach is adopted
throughout the process.
Overview
The Toolkit for the Preparation of a Drinking
Water Security Plan contains four chapters:
1. Water Security Planning: This chapter
provides background information, and outlines
the objective of the piloting and pilot blocks.
2. Project Phases: T h e National Drinking
Water Security Pilot Project is planned to be
implemented in Gram Panchayats and their
habitations in four phases, leading to drinking
water security in project villages. The phases
and relevant activities of each stage in the process
are described in this chapter, based on the
Government of India concept note and
expected outcome of convergence of input
to the Gram Panchayats/Village Water and
Sanitation Committees.
3. Process: This chapter describes the purpose
of the activities to be undertaken in each phase.
It also serves to indicate how the activities will
be pursued (objective, methodology, duration,
facilitator, process and expected outcome), as well
as their expected outcomes.
4. Implementation and Monitoring: T h i s
chapter describes the process-based activities and
the process of empowering Gram Panchayats,
Village Water and Sanitation Committees and
the community during the implementation and
monitoring phases.
Template for Drinking Water
Security Plan
The Drinking Water Security Plan provides
documentary evidence of the planning process:
input, process and outcome of each activity,
together with a situation analysis, a stakeholder
analysis, solutions and source of funding.
In order to streamline the content and standardise
the Drinking Water Security Plan an appropriate
template is annexed.
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1
WATER SECURITY
PLANNING
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WATER SECURITY
PLANNING
1.1 Background and Need
The drinking water sector institutions have
been effective in building infrastructure, and
most habitations in rural India currently have
access to hand pumps or piped water supply
systems. However, high rates of non-use of hand
pumps and piped schemes persist due to lack
of ownership, poor Operation and Maintenance
(O&M), lower groundwater tables and water
sources going dry or becoming quality affected.
At the same time, competition for water use
continues to increase rapidly and drinking water
supply can no longer be addressed separately
from agricultural and industrial use. Although
water for domestic drinking purposes is accorded
first priority in India’s National Water Policy, it
represents a very small proportion of water use.
Around 80 per cent of the total water resources
withdrawn in India are used for agriculture. A
parallel need exists to develop and implement
a system of safeguards to satisfy drinking
water demand.
A new approach is required to achieve drinking
water security and sustainability. A holistic
and participatory planning approach is clearly
needed, with clear guidance on institutional roles,
responsibilities and financing. Gram Panchayats
(GPs) and Village Water and Sanitation Committees
(VWSCs) need to prepare water security plans
which address source sustainability, water quality
(both bacteriological and chemical), O&M issues,
as well as make provision for system replacement
and expansion. This can be achieved by the GP
and VWSC with appropriate technical and financial
support provided by the departments concerned.
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T o o l k i t f o r t h e P r e pa r at i o n o f
While Block Resource Centres (BRCs) have a key
role in facilitating technical support and training,
District Water and Sanitation Missions (DWSMs)
need to provide overall planning coordination.
This should include making decisions on
expanding water resources, merging funding
arrangements from different development
programmes, and monitoring implementation and
performance. Technical support is required from
Public Health Engineering Department (PHED)
engineers and local professionals to ensure the
preventive maintenance of hand pumps, supply
of spare parts and O&M of piped water supplies.
Financing needs to be made available to address
sustainability issues through immediate and
longer term investment planning (physical and
operational), annual budgeting and periodic
review of village water security plans.
Drinking water security planning is thus a
comprehensive approach that involves addressing
engagement, involvement and ownership at all
levels, particularly at the community level.
1.2 Water Security Planning
The main aim of a Drinking Water Security Plan
(DWSP) is to ensure that:
l The surface and ground water resource is
conserved, protected, enhanced and managed
to ensure that the quantity of drinking water
is sufficient to meet the demands of the
population. This includes measuring water
availability and metering its supply (water
budget), constructing rainwater harvesting and
groundwater recharge structures and instituting
local self-regulation mechanisms, effecting

changes in agricultural practices and crop
patterns, using more efficient irrigation
systems, etc.
l The quality of drinking water conforms
to acceptable standards through the
implementation of a series of preventive
measures at the basin, source, system and
household level (a ‘water security plan’), with
monitoring through application of field test
kits and district or sub-divisional water quality
testing laboratories.
l The water supply service is managed efficiently
and sustainability with clear operational,
maintenance and management procedures.
Procedures include a clear O&M cost recovery
policy together with transparent arrangements
for the renewal, replacement and expansion of
the source and/or the scheme (i.e., operating
and service improvement plans).
1.3 Framework for Drinking
Water Security
To better understand how these procedures can be
operationalised in different contexts throughout
the country, the Ministry of Drinking Water and
Sanitation (MDWS) initiated a National Drinking
Water Security Pilot Programme in 15 blocks in
10 different states.
The pilot programmes have been designed and
implemented on the basis of a community-driven
approach involving the respective state-level nodal
agencies and district-level teams. The states will
use their regular allocations from the MDWS for
these pilots and ensure effective convergence
of other sources of funds such as the Mahatma
Gandhi National Rural Employment Guarantee
Scheme (MGNREGS), State Sector Funds, Finance
Commission grants, etc.
The DWSP will be implemented through VWSCs
or Water Users Committees (WUCs) and GPs in
coordination with the BRCs. The latter centres
will facilitate technical support and training and
the DWSMs are to be responsible for planning
coordination. Qualified Support Organisations
W A T ER S ECURI T Y P LANNING
(SOs) are in place to assist the communities in
implementing the Water Security Pilot.
1.4 Technical Support to GP/VWSC
The planning approach to be adopted by the
facilitator (SO, BRC, DWSM) to achieve drinking
water security is based on participatory bottom-up
Village Water Security Planning.
All the planning activities will involve working
with the community and will take account of local
conditions, issues and challenges. The unit of
management will be the block-level Panchayat.
Village water security plans will be prepared
overall at the block level, with the individual
villages/GPs benefiting from the planning
arrangements at a later stage.
The SO and line department will be responsible
for carrying out the following tasks in order to
support the village/GP/block to prepare and
successfully implement DWSPs and achieve long-
term water security:
l Community mobilisation
l Initial
benchmarking at the local levels of
amounts of water available
l Improve water resources monitoring, protection
and recharge measures
l Improve drinking water supply
system management
l Ensure water quality
l Ensure accountability through regular and
credible auditing and reporting
l Build capacity of the BRC’s staff
l Monitor water security planning preparation
and implementation
1.5 About the Toolkit
Field-level functionaries such as SO practitioners,
engineers, GP secretaries, development officers,
etc., are required to facilitate the preparation
of DWSPs using the requisite tools, techniques
and templates with a view to ensuring that a
systematic, step-by-step approach is adopted by
the implementers. With this objective in mind, the
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Water and Sanitation Program (WSP) and MDWS
have developed the Toolkit for the Preparation of a
Drinking Water Security Plan. The Toolkit explains
the phases, tools and techniques in this process-
oriented activity.
This Toolkit has been developed after close
consultation with SOs/GP functionaries and the
Nodal Officer.
The design of the Toolkit is based on the
Government of India’s (GoI’s) concept note,
institutional framework and a scope of work for
SOs. The core content of the Toolkit includes an
assessment of the social environment, a supply/
demand assessment and opportunities/possible
ways of addressing identified drinking water
security issues.
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T o o l k i t f o r t h e P r e pa r at i o n o f
Key features of the planning process leading to
Village Water Security Plans are:
l Establishment of meaningful partnerships
through convergence
l Participatory assessment and analysis
l Assessment of the social environment
l Technical inputs during the process
l Environmental concerns
l Institutional and financial sustainability
Who can Use the Toolkit?
This Toolkit is aimed at the following categories
of users:
l SOs involved in project planning
and implementation.
l GP functionaries, government agencies and
VWSC members involved in project planning
and implementation.
l Agencies/individuals involved in the technical
and administrative approval of the project.
2
PROJECT
PHASES
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PROJECT
PHASES

2.1 Project Phases The Phases of Drinking Water Security Planning is

The National Drinking Water Security Pilot Project abbreviated as PCIM:
is planned to be implemented in the respective
GPs and their habitations in four phases. Phase 1: Preparatory Phase
Phase 2: Capacity Building, Survey & Drinking
In order to prepare an effective DWSP for villages, Water Security Plan
the phases and relevant activities in each phase Phase 3: Implementation
have to be thoroughly understood. Phase 4: Monitoring

Based on the GoI concept note and expected
outcome of convergence of input to GPs/VWSCs,
the phases and relevant activity are described in
the Toolkit. The purpose of each activity and the
way to operationalise the relevant activity needs to
be studied in advance.
Since each of the phases is linked to the outputs
of the preceding stage, monitoring the process
at each stage and the quality of output against
a schedule is vital for the success of the project.
The broad outputs expected at each phase of the
project are as follows:

Figure 2.1. Phases of Drinking Figure 2.2. Phase 1: Preparatory

Water Security Planning Phase with Expected Outputs

Water Security Phase 4 Monitoring

Phase 3 Implementation

Phase 4 Monitoring Capacity Building, Survey &

Phase 2
Drinking Water Security Plan

Phase 3 Implementation Preparatory Phase

Phase 1

Phase 2 Capacity Building, Survey &

Drinking Water Security Plan Outputs:
• DWSM • Active BRC • Nodal person
from line departments
Phase 1 Preparatory Phase • GP • Secondary data compiled and
approved by DWSM • SO in place

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 P RO J EC T P HA S E S

Figure 2.3. Phase 2: Capacity Building, Figure 2.5. Phase 4: Monitoring and
Survey and Drinking Water Security Expected Outputs
Plan and Expected Outputs
Phase 4 Monitoring
Phase 4 Monitoring
Phase 3 Implementation
Phase 3 Implementation
Capacity Building, Survey &
Phase 2
Capacity Building, Survey & Drinking Water Security Plan
Phase 2
Drinking Water Security Plan
Phase 1 Preparatory Phase
Phase 1 Preparatory Phase

Outputs:
• Drinking water sustained • Decision making on cropping
Outputs: pattern based on water budget • Water consumption
• Active VWSC • Village DWSP • Plan for ODF village by sector • O&M by VWSC
• Water tariff initiated • Water tariff based on volume

Figure 2.4. Phase 3: Implementation and Considering the project objective, output of each
Expected Outputs stage and project duration, the DWSM should
adopt a Dynamic Logical Approach for the entire
project duration. This Dynamic Logical Approach
Phase 4 Monitoring is a combination of socio-technical and project
management features. In this approach, the process
Implementation outputs and quality are frequently measured with
Phase 3
suitable performance indicators, and appropriate
actions should be initiated in order to guide the
Capacity Building, Survey &
Phase 2 project to achieve the desired objective within
Drinking Water Security Plan
the specified timeframe and budget.

Phase 1 Preparatory Phase

Outputs:
• DWSP implemented • Drinking water conservation
• Knowledge camps with farmers on cropping patterns,
groundwater awareness and local aquifers
• 100% ODF • 100% water tariff recovery

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2.2 Input, Process and Output
The proposed activity under each phase with
inputs, processes and expected outputs, leading
to the DWSP, is shown in Table 2.1. The input,
process, tools and techniques required to achieve
the output are explained in a subsequent section.
It is envisaged that the DWSM will take necessary
action to provide input and to monitor the
process. Activities are coded as per the
PCIM model.

Table 2.1. Phase-wise Inputs, Processes and Expected Outputs

Inputs Processes
Outputs
Tools & Techniques

Activity Phase Expected Output

Code
P Phase 1: Preparatory Phase (P)
P1 Institutional arrangement for DWSP • Block-level institutional arrangement
covering DWSM, BRC and SO, contact
line department person for the water
security plan to be put in place
P2 Compilation of secondary data by • DWSM approves secondary data for all GPs
District Nodal Officer
C Phase 2: Capacity Building, Survey and Planning (C)
C1 GP-level Mobilisation & • Agreed to participate
Convergence Meeting (GP-l-MCM) • GP resolution to participate
C2 Gram Sabha (Habitation-level • Gram Sabha resolution to participate
Meeting)-1
C3 Formation/strengthening • List of VWSC members, VWSC bank
of VWSC1 account and Swacchatha Dooth selection
C4 Participatory Rural Appraisal (PRA) • Social map
• Resource map
• Timeline & seasonality (water availability
and diseases)
• Community- Led Total Sanitation (CLTS) and
development of sanitation plan
C5 Water transect—walk from source • Identification of issues
to users
C6 Establishment of rain gauge station • At least one rain gauge station per GP,
regular observation and recording of
rainfall data

24
 P RO J EC T P HA S E S

Activity Phase Expected Output

Code
C7 WTQQ (WT‐ Water Table, Q ‐Quantity • WTQQ monitoring and recording of data of
and Q Quality) monitoring of selected bore/tube well
selected bore/tubewell
C8 Water budget estimation • Domestic and drinking water demands for
human consumption
• Livestock, institutional demands
• Current draft/use for agriculture and other
purposes, with current sources and their
yield potential
• Gap analysis of demand and supply
• Equity & sustainability
C9 Women’s meeting • Awareness-raising and updating water
budget and input for plans
C10 School-level programme • Dissemination of information gathered
during PRA and water budget
• Developing school action plan for
DWSP and sanitation
C11 Exposure visit—village • Learning DWSP plan and implementation,
implementing DWSP clarifying issues and constraints
• Exchange of outcomes of water budget
and DWSP plan
C12 VWSC- 2 Workshop—Water Security Moving towards water security planning
Plan Development • Technical
• O&M management
• Institutional
C13 Gram Sabha II • Approval of DWSP
C14 GP-level compilation meeting (GP-2) • Consolidation and approval of
village DWSP
I Phase 3: Implementation Stage
I1 VWSC meeting • VQAT in place
• Details of works • Project components together with project
• Mode of implementation cost is displayed in a prominent place
• Formation of Village Quality
Assurance Team (VQAT)
I2 Periodic joint review of works by • Project progress and quality reviewed by
VWSC, GP, PHED, Zilla Parishad (ZP) the VWSC and VQAT
I3 O&M of existing scheme and drinking • O&M initiated by VWSC
w ater conservation programme • Water conservation programme
implemented by VWSC
• % reduction of water consumption and
electricity demonstrated

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a D r i n k i n g Wat e r S e c u r i t y P l a n
Activity Code Phase
M Phase 4: Monitoring
M1 Monthly monitoring of WTQQ
M2 Survey to assess the number of
individuals using toilets
M3 Water consumption survey for
various sector s
M4 Media scanning
2.3 Note to Facilitator
l The expected output of the each activity mainly
depends on the input and effectiveness of the
processes adopted. This, in turn, depends
on the effectiveness of the facilitation. The
facilitating role of the SO and line department
is crucial.
l Most activities involve effective communication
with communities, and our role as facilitators, as
well as the community’s role as a stakeholder in
the process. Therefore, it is important to realise
that mere information dissemination to the
communities is not enough.
l The facilitator is also responsible for helping
communities to interact, debate, discuss
the information and arrive at appropriate
organisational and technical decisions.
Some Tips for the Facilitator
l Seating arrangements for the discussion meeting
should be circular as far as possible and the
meeting place should have sufficient light
and ventilation.
l Always start the meeting with appropriate
greetings (Namaskar, Pranam, etc.).
26
T o o l k i t f o r t h e P r e pa r at i o n o f
Expected Output
• Water table, quality of drinking water
source monitored and quantity of other
sector analysed
• % increase in number compared to
baseline data
• Sector-wide water consumption
• Increased number of success stories and their
dissemination at local, regional, national and
international level
l Everyone is encouraged to participate—at their
own comfort level.
l Allow everyone to be heard—no single person
should dominate the discussion.
l All views will be respected—everyone’s
input is valuable.
l Keep the group focussed on the content of
the discussion.
l Monitor how well the participants are
communicating with each other—who has
spoken, who has not spoken—and attend to
those participants whose points have not yet
received a fair hearing.
l Put off intervening yourself as long as you can.
Too many interruptions stifle discussion.
l Do not interrupt unless you are sure that the
group has lost track of the discussion.
l Allow participants to respond directly to one
another. The most effective facilitator often
says little, but is always thinking about how to
inspire the group towards achieving its goals.
l Don’t be afraid of silence. It will sometime take
a while for someone to offer an answer to the
question you pose. People need time to think.
3
PROCESS PLANNING

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a D r i n k i n g Wat e r S e c u r i t y P l a n
PROCESS
PLANNING
3.1 Phase 1: Preparatory Phase (P)
The major output at the preparatory phase is the
establishment of the institutional arrangement
and approval of the data that have been compiled.
The institutional support envisaged in the project
design and the basic data required for the project
planning are described below.
3.1.1: Institutional Support
(Activity Code P-1)
The institutional roles and responsibilities set forth
in the National Rural Drinking Water Programme
(NRDWP) guidelines should be followed:
1. Gram Sabha: The community submits its
demands to the Gram Sabha and approves
decisions about water services based on techno-
economic criteria.
2. The GP is responsible for ensuring that every
person has access to an adequate supply of
safe water.
3. Water Operators: Contracts set out caretakers’/
operators’ tasks and respective payment.
4. The VWSC is a standing committee of the GP
responsible for planning, implementation, O&M
and management of the water supply system at
the habitation level.
5. The BRC helps communities to prepare and
implement plans by providing motivation,
training and organising technical support from
the PHED, as well as by providing information
on water quantity and quality and public health
matters. The GP/VWSC should contact the BRC
to seek advice on any issues on which they
need help.
28
6. District Support—Zilla Parishads (ZPs) and
DWSM: The DWSMs are responsible for setting
priorities for investment in the district based on
their available budgets, reviewing and approving
village plans and compiling them to form an
overarching District Plan. The DWSMs also assist
communities by organising finance, training and
technical assistance.
7. State Support: The State Water and Sanitation
Mission (SWSM) provides policy guidance.
The State Level Schemes Sanctioning Committee
(SLSSC) approves schemes, supports activities
to be undertaken and reviews implementation
progress and operational performance. The
Water and Sanitation Support Organisation
(WSSO) deals with the software aspects
of rural water supply. The State Technical
Agency (STA) supports PHEDs by providing
technical expertise.
3.1.2 Compilation of Data
(Activity Code P-2)
This phase is of substantial importance in
terms of obtaining baseline information on the
village which can be used in discussion with
community members during the planning stage.
It is the District Nodal Officer’s responsibility
to compile the GP-level information jointly with
line departments through the BRCs and to get it
certified by the DWSM. The following information/
data and maps need to be obtained/compiled:
l Baseline data from various departments
l Toposheet
l Groundwater prospects maps
 P ROCE S S P LANNING

Figure 3.1. Institutional Arrangements

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a D r i n k i n g Wat e r S e c u r i t y P l a n

3.1.2.1 Baseline Data

The format for the compilation of baseline data is shown in Table 3.1.

Table 3.1. Baseline Data of Gram Panchayat

SL No. Details Village I Village II Total

Name of village
1. Demographic profile
i Population—total
a. Male
b. Female
c. Children
ii. No. of households—total
a. APL
b. BPL
c. SC
d. ST
e. General
iii Literacy level of village (%)
2. Socio-economic profile of village
i. Occupation
Farmers
Agricultural labourers
Artisans
Employed in (Govt./Private)
Others
ii. No. of MGNREGA job cards
iii. Village area in ha
a. Forest area in ha
b. Fallow land in ha
c. Barren land in ha
d. Cultivable wasteland in ha
e. Uncultivable wasteland in ha
iv. Landholding pattern
a. No. of landless farmer HHs
b. No. of small farmer HHs
c. No. of marginal farmer HHs
d. No. of large farmer HHs

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 P ROCE S S P LANNING

SL No. Details Village I Village II Total

v. No. of educational institutions
a. Anganwadi
b. Primary school
c. Middle school
d. High school
e. Others (Higher Secondary)
vi. Health facilities
a. PHC/Dispensary/CHC/Sub-centre
b. Private clinics
vii. Power supply
Availability of electricity connectivity in village
Average hours of electricity supply per day
No. of HHs with electricity connectivity
No. of electricity connections for irrigation
viii Social organisations
a. VWSC
b. No. of SHGs
c. No. of youth clubs
d. Cooperative Societies
e. Others (specify)
ix. Road Connectivity
a. Pucca (cemented/asphalt) road
b. Kuchha (mud) road
x. Agriculture
a. Area under cultivation in ha
- Irrigated area in Kharif
- Irrigated area in Rabi
- Irrigated area in summer
- Unirrigated area
b. Irrigation type (area in ha)
- Area irrigated by canals
- Tanks
- Dug wells
- Dug-cum-bore wells
- Bore well/tube well
c. Water lifting sources
- Bullock drawn
- Diesel pump
- Centrifugal pump
- Submersible pump
d. Water-level issues
% of defunct wells
% of drinking water wells going dry in summer
% of irrigation wells going dry in summer
% of wells with falling water levels

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a D r i n k i n g Wat e r S e c u r i t y P l a n

SL No. Details Village I Village II Total

Principal Kharif Crops (area in acres)
1. Jwar
2. Bajara
3. Tur
4. Urad
5. Moong
6. Groundnut
7. Til, Corn
8. Soyabean
9. Karali
10. Cotton
11. Kaddhanya, Chilli, Vegetable, Other
Principal Rabi Crops (area in acres)
1. Corn, Ginger
2. Vegetables
3. Grain
4. Chana
Principal Summer Crops (area in acres)

1. Onion
2. Orange
3. Chilli
4. Groundnut
5. Vegetable
Water saving devices such as sprinklers, drips, etc.
in use (number of farmers)
1. Drip
2. Pat
3. Sprinkler
Animal Population (number)
1. Ox
2. Cow
3. Buffalo
4. Dog
5. Goat
6. Hen
7. Other

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 P ROCE S S P LANNING

SL No. Details Village I Village II Total

3. Drinking Water Systems (No.)
a. Open wells
b. Hand pumps—public
c. Hand pumps—private
d. Piped water supply (SVS or MVS)
e. O t hers (specify)
f. Access to drinking water
- No. of HHs with own source
- No. of HHs depending upon public source
- Daily hours of piped water supply
f. Tariff of water supply
g. Average monthly collection of water charges
by GP
h. Water supply metered or not
4. Sanitation (numbers)
a. HHs with toilets
b. HHs without toilets
c. Community toilets, if any
d. Anganwadis without toilets
e. Schools without toilets

Note: APL: Above the Poverty Line; BPL: Below the Poverty Line; SC: Scheduled Caste; ST: Scheduled Tribe; ha: hectare; HH: household; PHC: Primary
Health Centre; SHG: Self-help Group; SVS: Single Village Scheme; MVS: Multi Village Scheme.

3.1.2.2 Delineation of the Hydrological Unit
The administrative boundary and hydrological
boundary of the project may not be the same.
Therefore, during the preparatory stage, it
is important to delineate the administrative
boundary and hydrological unit. The Survey of
India’s toposheet (1:50,000) should be used for
delineating the hydrological unit.
Groundwater does not operate independently
but forms part of the larger catchment area of
any hydrological system. Topography, rock type
and the degree of development play a role in the
occurrence of groundwater. The best unit for
managing groundwater is the watershed except
in cases where there is inter-basin flow. This is
especially true in the case of hard rock areas where
groundwater occurs in an unconfined or semi-
confined state. Understanding the aquifer system,
at least in hard rock areas, is thus directly related
to the accurate delineation of the watershed.
Delineation of the aquifer system, in the case
of inter-basin flows, is somewhat complicated
and calls for a thorough study of the structural
map, together with on-site checking. A
standard procedure has yet to be developed
for the delineation of these areas. The common
assumption is that the inflow into the watershed/
basin is equal to its outflow. A simple method for
delineating the watershed is based on surface
drainage, especially in hard rock areas (Figure 3.2).

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a D r i n k i n g Wat e r S e c u r i t y P l a n

Figure 3.2. An Example of the
Delineation of a Hydrological Unit
network and water bodies. These data are available
on an integrated environment platform. The maps
can be used as a suitable database for developing
a groundwater-based DWSP for a habitation or
group of habitations (Figure 3.3). The DWSM is
required to download/assemble the maps and
use them at the planning stage. It is assumed
that all the support agencies possess copies of
groundwater prospects maps of the respective
project area.

Figure 3.3. Sample Groundwater

Prospects Map Showing Watershed
Boundaries and Watershed-wise
Groundwater Prospects

The drainage pattern should first be studied

and independent units converging to form
independent drainage networks need to be
defined. The boundaries of the watershed need
to be defined and examined in the field to enable
visualisation of the ridge points and the basin
outlet. Calculations should be made using the
mapped area of the watershed.

3.1.2.3 Groundwater Prospects Maps

Groundwater prospects maps are prepared under
the Rajiv Gandhi National Drinking Water Mission
by the MDWS. These maps show the locations
of habitations, occurrence and distribution of
groundwater prospects areas and location of site-
specific recharge structures. Further, they indicate Source: Groundwater Prospects Maps, Ministry of Drinking
the hydrological data including the river/stream Water and Sanitation, GoI.

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 P ROCE S S P LANNING

3.1.2.4 Toposheet As a first step, this process involves a participatory

The Survey of India, the National Survey and situation assessment and analysis followed by
Mapping Organisation, under the aegis of the preparation of implementable action plans
the Department of Science & Technology, has containing clearly defined roles, responsibility and
prepared topographic maps. These maps, based milestones. The assessment process calls for the
on a detailed survey of the areas concerned, show active involvement of the community, Community-
small areas on a larger scale. The Survey of India Based Organisations (CBOs), GP, VWSC, village-
has published topographic maps covering relief level key government functionaries and a technical
features, rivers, land use, vegetation, settlements, expert group.
roads, railway lines, administrative units and their
The objective of Phase 2: Capacity Building, Survey
boundaries. The maps are invaluable for planning
and DWSP, is to:
a DWSP.
l Enhance community capacity to manage water
3.2 Phase 2: Capacity Building, Survey resources, the water system, water quality
and sanitation to ensure delivery of safe and
and Planning (C) adequate drinking water
The output of Phase 2 is the development of a l Prepare a Village Water Security Plan
DWSP based on the participatory planning process
facilitated by support agencies/BRCs. The key features of the VWSC planning
process are:
Figure 3.4: Phase 2 Outputs
l Establishing a meaningful partnership
l Demonstration
Phase 4 Monitoring l Participatoryassessment and analysis
l Technical inputs
l Action plan with clearly agreed ownership
Phase 3 Implementation and timeline
l Approval of Gram Sabha
Capacity Building, Survey &
Phase 2 Drinking Water Security Plan
The suggested process-oriented activities to
achieve the desired output are explained in
subsequent sections which indicate the tools/
Phase 1 Preparatory Phase process required to undertake the specific activity.
Support agencies can fine-tune the process based
on the village dynamics/on-site circumstances.
These changes in the process are acceptable
provided the purpose of every step in the process
is accomplished.
Outputs:
• Active VWSC The duration required for the Phase 2 process may
• Village DWSP
• Plan for ODF vary according to the population and size of the
• Water tariff initiated village. For planning purposes, 10 to 15 days can
be considered adequate.

The suggested C1-C14 activities with expected

outputs are as shown in Table 3.2. It is expected
that the support agency/facilitator is thoroughly
familiar with the baseline data of the GP and
villages before initiating Phase 2 activities.

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a D r i n k i n g Wat e r S e c u r i t y P l a n

Table 3.2. Phase 2: Activities and Expected Outputs

Activity Code Phase Expected Outputs
C Phase 2: Capacity Building, Survey and Analysis (C)
C1 GP-level MCM (GP-l-MCM) Agreed to participate
GP resolution to participate
C2 Gram Sabha (Habitation Level Meeting)-1 Gram Sabha resolution to participate
C3 Formation/strengthening of VWSC 1 List of VWSC members, VWSC bank
account and Swacchata Doot
C4 PRA • Social and resource map
• Timeline and seasonality (water
availability and diseases)
• Sanitation assessment and community-
level triggering creating demand and
preparation of sanitation plan
C5 Water transect • Identification of issues of drinking
water supply scheme and
environmental sanitation
C6 Establishment of rain gauge station • At least one rain gauge station per GP
and regular observation and recording
of rainfall data
C7 WTQQ monitoring of selected • WTQQ monitoring and record of data
bore/tube well of selected bore/tube well
C8 Water budget estimation • Domestic and drinking water demand
for human consumption
• Demand for livestock,
institutional demand
• Current draft/use for agricultural and
other purposes, with current sources
and their potential yield
• Gap analysis of supply and demand
• Equity & sustainability
C9 Women’s meeting • Awareness-raising and updating water
budget and input for plans
C10 School-level programme • Dissemination of information
collected during PRA and
water budget
C11 Exposure visit—village • Exchange of outcome of water budget
implementing DWSP and DWSP plan
C12 VWSC 2 Workshop—draft water security • Moving towards water security
plan development planning
- Technical
- O&M management
- Institutional
C13 Gram Sabha 1—Approval of DWSP • Approval of DWSP
C14 GP-level compilation meeting (GP-2 ) • Consolidation of village DWSP

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 P ROCE S S P LANNING

3.2.1: GP MCM (Activity Code C-1)

The GP owns/manages the water supply scheme for the community and is
responsible for:
a Liaison between the Gram Sabha and various programmes

a Approving annual budget and user charges after discussion in the Gram Sabha

a Approving Memoranda of Understanding (MOUs)/contracts with operators

a Coordinating with block and district SOs such as BRC

a Hiring trained mechanics for preventive maintenance of hand pumps and piped water supply

Objective: Dissemination of information Participants: GP Chairman and members, GP-level

about the project purpose and principles and functionaries, Anganwadi and school teachers,
of the modalities of the drinking water security Accredited Social Health Activist (ASHA) workers,
programme, seeking a GP resolution and inviting Self-help Groups (SHGs) and CBO leaders and
participation of all stakeholders (including line other village leaders.
departments) at the GP level. The GP and all
stakeholders at the GP level agree to adopt the
drinking water security programme.

Table 3.3. Stakeholder Details—Format

S. No. Name Designation Department

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a D r i n k i n g Wat e r S e c u r i t y P l a n
Methodology: Chaired by the GP Chairman, the
Support Organisation (SO) coordinator explains
the purpose and details of the DWSP and answers
questions from the floor. All stakeholders,
including line departments, agree on the process,
phases and steps involded in the preparation,
implementation and monitoring of the project.
Agenda:
1. To explain the purpose of the pilot
DWSP initiative.
2. To share the project process and various phases
and steps involved.
3. To explain the roles and responsibilities of the
different players.
4. To agree on initiation of the project in the GP.
Facilitator: SO (Support Organisation)
coordinator and staff.
Duration: Three hours.
Process:
1. Inform participants well in advance of the
date and place of the GP meeting. Discuss
the meeting agenda and process with the GP
Chairman and functionaries. A good idea is to
hold this meeting at the GP office.
2. Ask the GP Secretary to open with a welcome
address and explain the purpose of the meeting.
3. Explain to members, in clear terms, the
project objective and the significance of water
security, emphasising that the GP, all CBOs and
38
T o o l k i t f o r t h e P r e pa r at i o n o f
functionaries have to play their part in steering
the programme in the GP.
4. The GP takes a proactive role in managing the
programme and driving the agenda to each of the
habitations through ward members, community
leaders and the Gram Sabha, with support from
line departments.
5. List of stakeholders prepared with respect to the
water and sanitation components, to contain
the names of respective functionaries/extension
workers of the relevant departments (Agriculture,
Public Health and Engineering, Health, Irrigation,
Electricity, Social Welfare, etc.).
6. Drafting and signing a resolution agreeing to
adopt the programme in the habitations of
the GP.
7. An action plan to engage community
leaders to operationalise the programme at
the habitation level.
Output: The GP, CBO leaders and functionaries
approve the water security programme and
commit to preparing, implementing and sustaining
the DWSP.
The GP resolution will be submitted to the
departments concerned with a request to assist
the GP in the preparation and implementation of
the DWSP.
Tip: Ensure that the GP takes a leadership role in
organising the event, with the SO taking a back seat.

3.2.2 Gram Sabha 1 (Activity Code C-2)
Gram Sabha
The Gram Sabha has been defined by the Constitution (Article 243 A) as an institution for exercising
powers and functions at the village level according to the laws of the State. The Gram Sabha is
responsible for safeguarding natural resources including water, forest land, minerals, etc., and for
ensuring that resources are utilised in such a way that:
i) Livelihood means are sustained
ii) Inequality does not increase
iii) Resources are not confined to a few people
iv) Sustainability involves full utilisation of local resources
Objectives:
l To promote participation by all sections of
the village—women, Dalits, tribals and other
marginalised groups—in the planning and
implementation of the DWSP.
l To prepare and approve the Gram Sabha’s
resolution for undertaking DWSP in
the habitations.
Participants: The Gram Sabha consists of all those
registered on the village voter list.
Methodology: Interactive session of Gram Sabhas.
Location, date and time of meetings scheduled to
ensure the participation of women and daily
wage workers.
Agenda: The agenda for this special Gram Sabha on
drinking water security can be organised to discuss
water availability and usage issues. The Gram Sabha
agrees to participate, plan and implement the DWSP.
Facilitator: The Facilitator for the Gram Sabha
is generally the GP Secretary, and the meeting is
chaired by the Sarpanch or President. A Support
Organisation staff member will, however, provide
support through input on the DWSP.
Duration: Up to three hours.
P ROCE S S P LANNING
Process:
1 The GP or its standing committee organises the
Gram Sabha.
2. The venue of the Gram Sabha meeting to
be located to facilitate participation by all
concerned, irrespective of caste, religion or
political affiliation.
3. A notice about the Gram Sabha meeting must
reach the population at least seven days in
advance. Written notices can be put up in public
places. Notice can also be given by beating of
drums, or through SHG group leaders. The
notice should contain information on the date,
time and place and agenda.
4. The meeting of the Gram Sabha to be chaired
by the GP President/GP ward member, in
accordance with the state directive.
5. At the beginning of the meeting, the Secretary
welcomes the participants and informs them of
the agenda.
6. As this is a special Gram Sabha for DWSP, the
objective, methodology and participatory
process to be adopted for the planning,
implementation of the DWSP should be
presented by the SO.
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a D r i n k i n g Wat e r S e c u r i t y P l a n
7. The Chairperson should ensure that everyone
is allowed to speak, and avoid just a few
people dominating the proceedings. Special
care to be taken in case of women and
marginalised groups.
8. During the meeting, the Gram Sabha will discuss
the agreement to participate in the programme
and the roles and responsibilities of the Gram
Sabha and VWSC. If the VWSC is not formed
earlier, a resolution to form a VWSC needs to be
submitted for approval.
9. At the end of the meeting, minutes should be
read out and signed by persons designated to
do so. The minutes should be displayed in the
GP office.
Outputs:
1. The Gram Sabha agrees to undertake to
implement the DWSP in the habitations.
2. The Gram Sabha agrees to participate in the
planning process of the DWSP, and to propose,
implement and monitor it.
Tip: Maximum participation of women and
marginalised groups should be ensured by
visiting the wards and canvassing for
their participation.
Table 3.4. Meeting Report Format
S.No. Topic discussed Views expressed
40
T o o l k i t f o r t h e P r e pa r at i o n o f
Format of the Gram Sabha Report
Organisation of the meeting:
1. Date of the meeting held.
2. When was the meeting notice issued?
3. What were the main agenda items of the meeting?
4. Were regular absentees especially requested to
attend the meeting?
Conduct of meeting
1. How many people attended the meeting:
Scheduled Caste (SC): ; Scheduled Tribe
(ST): ; Women: ; Other Backward
Classes (OBC): ; Others:
2. Did members of SCs/STs/women participate in
the discussions:
a. If “Yes”, report the issues raised by each group.
3. What were the topic discussed at the meeting?
4. Were all members given a chance to express their
opinions before taking a decision? If “Yes”, how?
Objective: To establish and promote a habitation-
level water and sanitation institution for managing
the water security programme and to select a
Swacchata Doot for the sanitation programme.
Participants: Members of the VWSC and GP
ward members.
Decision taken Mode of arriving at
the decision
 P ROCE S S P LANNING

3.2.3 VWSC Formation/Strengthening (Activity Code 3)

The VWSC is a standing committee of the GP responsible for planning, implementation, O&M and
management of the village DWSP. The VWSC is responsible for:
a Collecting household contributions and user fees
a Opening and managing a bank account
a Preparing the annual budget and recommendations for user fee charges
a Encouraging people to be vigilant about not wasting water and keeping water clean
a Ensuring professional support for hand pump caretakers and piped water supply operators.
It is important to check whether a VWSC has already been set up in the habitations under
earlier programmes.
In the event that a VWSC exists and is active, it is a good idea to invite its members to participate
in the water security programme. If it is not active, focus on the possibilities of reviving it. If a VWSC
has never been established, consider setting one up under the aegis of the Gram Sabha.

Methodology: To invite members of the VWSC
for an initial meeting on water security planning.
Facilitate the meeting and explain its purpose.
Agenda: Establishing/strengthening the VWSC for
undertaking the implementation of the DWSP.
Facilitator: Support Organisation coordinator and 6. Ensure that the VWSC bank account is operational.
staff and VWSC convenor.
Duration: Three hours.
Process:
1. Inform participants well in advance of the date
and place of the VWSC meeting. Discuss the
meeting agenda and process with the
VWSC convenor.
2. Invite GP ward members to participate in
the meeting.
3. Clearly explain to members the project
objectives and significance of water security,
placing prime emphasis on the VWSC’s
responsibility for managing the water security
programme in the habitations.
4. The VWSC takes a proactive role in managing
the programme and driving the agenda at the
habitation level through community leaders
and members.
5. An action plan to engage community leaders to
introduce the programme at the habitation level.
7. Raise the need for identifying Swacchata
Doots in the habitation to promote sanitation-
related work.
8. After seeking suggested names, ask participants to
select a few names for Swacchata Doots.
Output: The VWSC is proactively engaged in water
and sanitation programmes at the habitation level,
especially those concerning water security.
Tips:
l Assess the VWSC by posing some questions to
provide a basis for reviving it, if needed:
l When did the VWSC last meet?
l Does it have a bank account?
l How was the issue discussed last time resolved?

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3.2.4 Participatory Rural Appraisal (Activity Code C-4)

What is Participatory Rural Appraisal?

Appraisal: The first stage in any project, to elicit information about the problems, needs and
potential in a project area.

Participatory: People’s involvement in the process—a “bottom-up” approach requiring good

communication skills and attitudes by project staff.

Rural: The techniques can, in fact, be used in any situation, whether rural or urban.

The PRA tool is a technique for enabling local communities to conduct their own analysis and to plan
and take appropriate action. The PRA involves project staff learning about the village together with
the villagers themselves. The aim of the PRA is to help strengthen the capacity of villagers to plan,
make decisions and to take action towards improving their own situation.

The PRA materials suggested for preparing the DWSP are:

a A social map
a A water resource map
a A water timeline (historical map)
a Seasonality information (water availability and diseases)
a CLTS

3.2.4.1 Social Mapping (Activity Code C-4.1)

Social mapping is a PRA tool used to present information on village layout, infrastructure,
demography, ethno-linguistic groups, etc.
After completing the social mapping, a more detailed survey and Focussed Group Discussion (FGD)
could also take place to follow up on specific thematic areas, such as population, water demand,
sanitation, health, education, etc.

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Objectives:
1. To learn about the social structures in the
village in terms of caste, religion, education
and income.
2. To form a picture of how assets and services,
such as water and sanitation facilities,
are distributed.
3. To assemble human and animal population
figures in order to help with assessing
subsequent water demand.
Participants: A good number to work with is 10-
12 participants, with up to 25 members prepared
to stay for the whole session.
An inclusive approach sets a good example for
future activities. Therefore, the number of literate
community members (teachers, healthcare
workers, village leaders, etc.) should be gender
balanced, with participation also by seniors and
people from vulnerable and marginalised groups.
Methodology: Encourage discussion and
understanding of issues with visual aids to
facilitate communication.
The steps to be used are:
1. A map of the village is drawn on the
ground by the community members using
white powder.
2. Streets, houses, water and sanitation facilities
are captured. Information on existing water
and sanitation sources and facilities are colour-
coded (blue if these are in operation and red if
a facility is deemed to be defunct).
3. The facilitator and note-taker take down
details on the profile of the village and of the
number of households (e.g., number of
SC/ST members).
4. The facilitator also captures hygiene and
sanitation details (open defecation practices)
and makes a note of the number of households
that have built latrines.
5. To help assess water demand, a detailed survey
is conducted of all the habitations to gather
information on the number of people and
animals in the households.
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Agenda: To capture, in a participatory mode, the
social structures in a specific community or village
and to assess water demand therein.
Facilitator: A facilitator (SO staff) together with a
co-facilitator is required to facilitate the group and
steer the procedure correctly. A note-taker is also
needed to reproduce the map on paper and record
the information arising from the discussion.
Duration: Up to three hours (depending on the
size of the ward/village).
Process:
1. Finalise the date, time and venue for the
exercise with community members. The
purpose of social mapping must be made
very clear to all participants in order to avoid
the wrong conclusions being arrived at (e.g.,
perhaps giving them the impression that you
will provide housing facilities or that there
might be some political purpose behind
the exercise).
2. Use a prepared set of questions (refer to
questions on the next page) to steer the
discussions and draw a map of the community
using the information collected. Use different
colours to indicate which groups live where, the
location of water sources (functioning or not),
and so on.
3. In addition to producing a map, it is essential to
give someone specific responsibility for writing
down all the information gathered, including
the number and type of households, different
ethnic and social groups, existence of
facilities, etc.
4. Review the map in the presence of the
community members. Is there anything else that
should be entered on the map? Ask members for
their thoughts on the distribution of water and
sanitation facilities on this map.
5. Ask people the following questions: Who is
responsible for providing water and sanitation
facilities? Why do they think facilities do not
reach everyone? What about service providers (if
any)? How would they like the relationship with
providers to be?
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6. Summarise key points from the map: number
of households, different groups, water
sources, toilets and their distribution. Tell the
community about plans for drinking water
security, setting up a VWSC, identifying a
Swacchata Doot.
7. Based on the number of households, conduct
a survey after completing the social map
exercise. This survey should cover information
on the human and animal population, toilet
availability and use.
Questions to steer the discussions:
l How many households are there in the village
and where are they located?
l Is the number of households growing or
shrinking (i.e., by migration)? Why has
that happened?
l What religious and caste groups exist in
the village?
l Are there female-headed households in the
village? Where are they located?
l What are the main water supply sources used
for drinking, washing and cooking?
l Where are these water supply facilities
located in the village?
l How many facilities are currently
functioning effectively?
l Is there open defecation?
l How many households have
constructed and are using latrines?
l What resources do you have main
problems with?

Box 3.1. Social Map—A Dynamic Monitoring Tool

Map on Cloth and Bindi Method

In most cases, the social map is transferred onto brown or white paper and retained in the
corresponding village file kept by the SO/NGO and will soon be forgotten.

It is, therefore, important to transfer the social map onto white cloth (A3 size) to ensure its durability
and usefulness as a monitoring aid. A social map on cloth could be used subsequently at VWSC
meetings for discussions. Using different coloured bindis to denote household status is a useful aid
to monitoring.

Component Legend—Bindi Colour

Household headed by women Pink
Household with differently-abled members Red
Household with toilet, but not used by all Brown
Household with toilet but not used at all Black
Household without toilet Yellow
Household with tap connection Blue
Household not paying water charges regularly Orange

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 Figure 3.5. A Sample Social Map on Cloth

Sample PRA map courtesy Sahyog Youth Welfare Society. Village Domak, block Morshi, district Amravati.
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Table 3.5. Survey Format: Social Mapping

S. No. Name of Is this a Family Any Toilet Used by Animals
head of female- size differently availability members of
household headed abled in Yes/No household? Cattle Sheep Dogs
household? household? and and
goats cats

A sample social map, prepared for a similar Outputs:

project and transferred onto white cloth, is shown
in Figure 3.5. These maps should be treated as the
first material assets developed by the VWSC and
should be used for the monthly monitoring
of houshold latrines, water charges and
system functionality.
This household survey data will be particularly
useful for assessing water demand.
1. Social map and community information on water
and sanitation.
2. Sensitised community willing to take action.
3. CBO formation and Swacchata Doot considered.
Tips:
l Social mapping requires well-prepared facilitation.
Be aware that some of the issues are sensitive
within the community.
l Be flexible, patient and maintain a good sense
of humour.

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3.2.4.2 Water Resource Mapping (Activity Code C-4.2)

The village water resource map is a tool to help us learn about the community and its water
resource base.

A need exists to understand and value traditional management and livelihood systems, indigenous
technologies, and the ways in which people feel, see, think and act in the project area, and their
reasons for doing so. The main aim should be to focus on relationships rather than on any single
event, feature or activity. This enhances participation and the generation of information and ideas.

The village map is a good tool to begin with. It is easy and fun for the villagers to make. It helps
initiate discussion among community members and with the facilitating team. The map can
display water sites and sources, agricultural plots (locations and crop varieties), soil types, slopes,
elevations, woodland, grazing areas, etc.

Objectives: To learn about the villagers’ Process:

perception of which water resources are available
in the community and how they are used.
Participants: Mixed groups consisting of men and
women from the village. Participants who take part
in the social mapping exercise can go on to lend
a hand in village water resource mapping. As with
the social mapping exercise, at least eight to 12
members should participate until the end of
the exercise.
Methodology: Mapping of land, water and
tree resources, land use, land and soil types,
crop patterns, land and water management,
productivity, watersheds, degraded land, treatment
plans, etc. This is done by the villagers themselves
with paper and pen (when mapped on paper) or
with coloured chalk or powders (rangoli) when
mapped on the ground.
Agenda: Village water resource mapping to obtain
a picture of the current situation through a process
of joint observation, interaction and shared
analysis aided by mapping.
Facilitator: Experienced SO staff member.
Duration: Two hours.
1. Fix the date, time and venue for the exercise
with community members. The purpose of
village water resource mapping must be made
very clear to all participants so that they do
not come to the wrong conclusions. It should
be made clear that the exercise is a precursor
to the development of a DWSP.
2. Use a prepared set of questions to steer the
discussions and draw a map of the community
using the information collected. Use different
colours to indicate the location of water
sources (functioning or not), etc.
3. In addition to producing a map, it is essential
to give someone specific responsibility for
writing down all the information assembled,
such as that on water sources, nallahs,
groundwater, tanks, canals, etc.
4. Review the map with the community members
present. Is there anything else that should
be marked on the map? Ask them what they
notice about how water is distributed on the
map. Why do they think this is so?
5. Ask people why they think there is water
scarcity in the village and when.

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Questions to steer the discussions:

1. Which resource do you have the most problem with?
2. What is the annual amount of rainfall?
3. Where are the water sites and sources?
4. How many ponds and lakes?
5. How many open wells? How many of them contain water?
6. How many bore wells? How many of them contain water?
7. What is the average water table level?
8. What is the average water yield?
9. What is the capacity of pumps?
10. What are the average pumping hours?
11. Which crops use more water?
12. Where do people graze their livestock?
13. What kind of development activities do you carry out as a community?
14. What is the approximate area under irrigation from bore wells/canals/ponds?
15. What is the water period of canals?

6. Summarise the key points from the map Output:

regarding water sources and distribution. Tell
the community about plans for drinking water
security, establishing a VWSC, etc.
7. Discuss the range of options for ensuring
drinking water security throughout the year.
1. Village water resource map and information on
issues and options.
2. Sensitised community willing to take action
leading to drinking water security.

Table 3.6. Survey Format for Water Resource Mapping

No. of Tanks Numbers—Capacity in cubic metre (cu m)
Canal ....... Kilometre (km) in village area
....... Area under irrigation
Bore well/Open well with ....... Number
submersible pumps ....... Average yield in litre per hours
....... Maximum depth ....... in metres (m)
....... Average horsepower of each pump
....... Hours of pumping
....... Area under irrigation
....... Approximate water drawn per year
Type of crop grown
Non-functional bore wells/open well

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3.2.4.3: Timeline (Activity Code C-4.3)

A chronology of events referring to the evolution of the village, agricultural practices, availability of
water and fluctuations in the groundwater table is prepared based on the consultation process.

The timeline is a list of key events, changes and landmarks in the past, presented in chronological
order. This is often a useful way of putting an individual’s or community’s history into perspective by
identifying the broad framework of events which shaped its past.

It is a way of charting trends, showing how past events led to present situations and illustrating
recurring themes. A timeline is constructed by looking back over a given period and mapping critical
events to do with water and agriculture. This provides an opportunity to discuss who was present at
that particular time, what happened and why, what were the factors that contributed to the event. In
addition, can key trends be observed? What are they? Which key trends can be expected to recur in
the future?

Objectives: The timeline with basic events can be used for

l To explore the temporal dimension from
a historical perspective and to design a
chronology of events as recalled by local people.
l To provide a composite of various landmark
events as perceived by local people.
l To learn from the community what they
consider to be important past events, to put
current issues into historical perspective and to
generate discussion on changes regarding issues
of agriculture, irrigation practices, groundwater
levels, groundwater quantity and quality.
Participants: About 10 elderly village persons.
Methodology: The facilitators meet a small
group of villagers and discuss with them the
most important events in the community’s past
and prepare, with the information, a historical
timeline which serves as the base for further work.
It is important to involve different groups of the
communities to get varied perspectives.
focussed discussions on water problems, social
and technological innovations or on communities’
history of cooperation and activities which helped
them to solve their problems successfully in
the past.
Key questions
l When was the village established?
l What are the important events in the history
of the village?
l What major changes took place?
l What are the reasons for these changes?
l When was the first bore well drilled, what
was the yield and water table depth?
l When was a recent bore well drilled and
what is the yield and water table?
l Timeline of crop grown

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Agenda: Timeframe and events, history, evolution
of village, agricultural practices, etc., done by
constructing a chronology of events that have
taken place in consultation with the people. This is
inputted into the DWSP.
Facilitator: SO staff member and Agriculture
Extension Officer.
Duration: One hour.
Process:
1. Identify some elderly persons in the village,
explain the purpose of the exercise.
2. Ask key questions.
3. Make note of the key points on cards in
bold letters.
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4. Once you feel that the list is more or less
complete, ask them to put the cards in
chronological order—earlier events on the top
and the later events further down the pack.
5. Read out the events and ask them whether they
are happy with the order.
6. Add years to the left side of events.
7. Triangulate with other elders in the village to
check the correctness of information given in
the timeline. Secondary sources of information
can also be added.
Output: Information on timeline of events,
changes and landmarks in the village.
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3.2.4.4 Seasonality (Activity Code C-4.4)

Variables such as rainfall, labour, income, expenditure, debt, animal fodder, pests and harvesting
periods can be drawn (or created with stones, seeds and sticks) to show month-to-month variations
and seasonal constraints and to highlight opportunities for action.

An 18-month calendar can illustrate variations better than a 12-month calendar.

To obtain seasonal patterns of rainfall, employment, income and expenditure, debt, credit, food and
nutrition, diseases, fodder, milk production, marketing, etc., use stones, sticks and different coloured
seeds to represent months, quantities of rainfall, number of days of employment, income, etc.

Objectives: To learn about changes in the water
resources and disease patterns across various
months of a year.
Participants: Mixed group of women and men.
Methodology: A time chart or seasonal calendar is
prepared by drawing a two-dimensional matrix and
writing the time period (i.e., month, year) on one
axis and the required variable on the other axis.
Villagers are encouraged to fill in the matrix of the
chart/calendar by marking the grid or by placing
stones or other objects on the matrix.
Agenda: A seasonal calendar is a PRA method that
determines patterns and trends throughout the
year in a certain village. For the purpose of DWSP,
seasonality is used to elicit information on disease
patterns and water issues.
Facilitator: SO staff member.
Duration: Two hours.
Process:
1. Find a large open space for the group. The
calendar can be drawn on the ground or very
large sheets of paper/a large piece of cloth.
2. Ask the participants to draw a matrix, indicating
each month along one axis by a symbol.
3. It is usually easiest to start the calendar by
asking about rainfall patterns. Choose a symbol
for rain and put/draw it next to the column
which participants will now use to illustrate the
amount of rainfall. Ask the group to put stones
under each month of the calendar to represent
relative amounts of rainfall (more stones
meaning more rainfall).
4. Move on to the next topic and ask people during
which month water is usually scarce. Discuss the
reasons why it is scarce and make sure that this
information is shown on the map. Continue like
this, topic by topic, covering other water issues
and the diseases suffered by people. Some of
the topics that could be covered are:
1) Rainfall
2) Water availability for human consumption
and livestock
3) Water availability for irrigation
4) Diseases over a 12-month period
5. After the calendar is finished, ask the group
which linkages they see between the different
topics on the calendar. Encourage the group to
discuss what they see.
6. Make sure that your copy of the seasonal
calendar has a key explaining the different items
and symbols used on the map.

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Key questions
1. What are the busiest months of the year?
2. At what time of the year is water/food scarce?
3. How does rainfall vary over the year?
4. How does water availability for human consumption vary over the year?
5. How does livestock forage availability vary over the year?
6. Which could be the most appropriate season for additional activities for men and women?
7. Which months do villagers have to visit hospital the most?
8. What time constraints exist and for what reason?

Table 3.7. Example of Seasonal Calendar

Month Disease Working Days Groundwater

Table Depth
Female Male

April

May

June

July

August

September

October

November

December

January

February

March

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3.2.4.5 Community-Led Total Sanitation (Activity Code C-4.5)

CLTS is an innovative methodology for mobilising communities to eliminate open defecation

(OD) completely.
Communities are encouraged with the help of a facilitator to conduct their own appraisal and
analysis of OD and take action themselves to become ODF.
CLTS focusses on the behavioural changes needed to ensure real and sustainable
improvement: investing in community mobilisation instead of hardware, and shifting the focus
from toilet construction for individual households to the creation of ODF villages.
By raising awareness that, when even a minority of inhabitants continues to defecate in the
open, everyone is at risk of disease, CLTS triggers the community’s desire for collective
behaviour change, spurs people into action and encourages innovation, mutual support and
appropriate local solutions, thus leading to greater ownership and sustainability.

Output: Participatory assessment of sanitation
situation with suggested action plan to achieve
total sanitation through collective action and
behaviour change.
Objective:
1. To analyse the sanitation situation in the
community and to encourage people to
collectively internalise the disastrous impact
of OD on public health and on the entire
The CLTS method involves using certain tools
and techniques in a participatory way to help
community members diagnose their sanitation
profile, appraise the situation and consider what
action needs to be taken to remedy it. CLTS is a
‘trigger’, best described as:
l An approach or concept/tool/event/situation,
which makes people think and act.
l An approach that can be employed at both

neighbourhood environment. community and individual levels.

2. To encourage urgent collective local action The trigger is useful for:
aimed at becoming ODF. l Encouraging self-appraisal of

Participants: The maximum number of defecation practices.

community members, particularly community l Drawing attention to the link between OD

leaders, representatives of SHGs, etc. and impacts on health.

Methodology: The CLTS strategy focusses on:
l Collective outcomes as opposed to
hardware inputs.
l Mobilising the community as a whole
rather than establishing contact with
separate households.
l Highlighting a sense of disgust and shame
among community members.
l Motivating and empowering rural communities
to stop OD.
l Setting a precedence for working together
on future issues.

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Trigger tools: to CLTS triggering in different ways. Some are

l Rapport building inspired to make changes immediately while
l Defecation area transect others are initially reluctant or undecided but
l Community defecation mapping come round after seeing or hearing how other
l Calculation of amount of faeces communities have changed for the better. The
l Water contamination flow chart more successful villages generally have enthusiastic
l Faeces to mouth transmission leadership provided either by an established
l Water quality testing leader or by new leaders that emerge in the course
l Costs of illness of the process. Natural leaders may come from
different backgrounds: wealthy or poor members
What makes people change their of the community, men, women, younger people,
sanitation behaviour? individuals respected for their skills such as village
l Privacy
midwives, religious leaders, teachers, etc. In
l Convenience addition to leadership, many other local social,
l Dignity/shame physical and institutional circumstances can play
l Peer group pressure a key role in how communities respond to
l Fear CLTS triggering.
l Economic reasons
l Demonstration effect TRIGGERING
l Health Facilitating community appraisal and analysis
l Breach of trust involves arousing a collective sense of disgust and
l Reward/incentive shame among community members when they
are faced with the crude facts about mass OD and
The trigger can produce the following: its negative impacts on the whole community.
l The entire community analyses its own The basic assumption is that people cannot stay
sanitation situation. unmoved once they have learned that they are
l A sense of collective shame, disgust and ingesting other people’s excreta. The facilitator’s
helplessness creeps in. aim is simply to help community members see for
l The community is compelled to think and act. themselves that OD has disagreeable consequences
l The community resolves to eliminate OD. and creates an unpleasant environment.
l Natural leaders emerge. Empowered with this knowledge, community
l Collective local action is initiated. members can then decide how to take appropriate
action to deal with the problem.
Agenda: To employ CLTS tools to sensitise the
communities towards total sanitation through Transect walks are the single most important
collective behaviour change and action. motivating tool. The embarrassment experienced
during this ‘walk of disgust’ can result in an
Facilitator: A well-trained, strongly motivated
immediate desire to stop OD and get rid of these
CLTS triggering facilitator with appropriate
areas. Although everyone sees the dirt and excreta
attitude/behaviour, enjoying flexible support from
on a daily basis with their own eyes, they only
his/her organisation(s).
seem to wake up to the problem when forced to
Duration: One to two hours. do so by outsiders.

Process A transect walk involves walking with community

Pre-triggering: SELECTING A COMMUNITY members from one end of the village to the other,
This is a crucial stage. Communities respond observing, asking questions, and listening.

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A CLTS transect walk can involve locating the OD
sites and visiting the different types of latrines
along the way.
Try to reach an agreement with the community
on what constitutes an ‘unhygienic’ latrine.
Visit latrines that are not covered or where the
faeces are draining out into the open. Flash a
torch through the hole of open latrines. Make
calculations of excreta and medical expenses.
Calculating the amount of faecal matter produced
can help to illustrate the gravity of the sanitation
problem. How much human excreta is being
generated by each individual or household per
day? Households can use their own methods and
local measures for calculating how much they are
adding to the problem.
A figure for the whole community can be arrived
at by adding up the calculations of all the
households. A daily figure can be multiplied to
know how much excreta is produced per week,
per month or per year. The quantities can add up
to several tonnes, which may come as a surprise to
the community.
Ask which household produces most, and ask
everyone to clap and congratulate the family
for contributing the most excreta to the village.
Identify the second, third and so on and show
that you value their contributions. Identify the
family that produces the least. Ask them why they
produce so little excreta. This generates a lot of
laughter but the facts emerge slowly, clearly and
unobtrusively. Ask people how much they spend
on health treatment. Stand around the map.
Environment setters make the group go quiet.
Point out the cards and ask them how much they
spend for treatment and medicine for diarrhoea,
dysentery, cholera and other OD-related diseases
that they have identified. Ask whether they want
a monthly or yearly calculation, and then ask
them to write the amount on their household
card with markers. As with calculation of faeces,
ask which family spends most. Point it out if they
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live close to the defecation area or in the dirtiest
neighbourhood. Are they poor or rich?
Who suffers most—rich, middling earners or
the poor?
Put up the flip chart and ask people to calculate
how much the whole community spends in a
month, a year, over 10 years. Put this chart next to
the calculation of amounts of excreta by month,
year and 10 years. Tell them that they must be well
off indeed to be able to spend so much. Ask if any
poor families had to borrow money for emergency
treatment of diarrhoea for any family member.
If so, what was the amount? Where and from
whom did the money come from? Was it easy to
borrow money and repay it? Who lends money for
emergency treatment and at what rate of interest?
NGOs, middlemen? Never suggest halting OD or
constructing toilets. You are not in the business of
suggesting or prescribing solutions.
From open excreta to open mouth
Ask where all that excreta goes. If your listeners
answer that it is washed away by the rain or leaks
into the ground, simply draw a picture of a lump
of excreta and put it on the ground. Put cards and
markers near it. Ask people to pick up the cards
and draw or write down the different agents or
pathways which cause excreta to enter the home.
For example:
l Flies
l Rainwater
l Wind
l Hooves of domestic animals
l Chickens that eat excreta and have it on their
claws and wings
At this point ask the community members to
confirm whether the excreta is returning to them
through various media such as flies. Ask them if a
fly comes in and lands on rice, do they avoid eating
the rice. Confirm that they do, in fact, eat it. Then
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make the point again that fly-transmitted excreta
lands on the rice and that they are eating excreta-
contaminated rice!
Point out that if excreta flows with rainwater
and reaches domestic drinking water sources, it
pollutes those sources. Confirm that this is the
case and tell them that they are drinking water
polluted with their own (and others’) excreta.
The above triggering leads to shame and disgust
and spurs the listeners to react or agree to act.
Table 3.8. Basics: Key Attitudes and Behaviours
DO
Facilitate their own appraisal and analysis of the
local sanitation profile
Let people draw their own conclusions about the
situation through their own analysis
Facilitate triggering self-mobilisation
Stand back, leave it to local leaders
Be cool and allow conversation between listeners
prior to the triggering moment
Take a neutral stand and allow heated group
discussion for and against OD. Remember their
comments are symptoms of the approaching
triggering moment
Appreciate those who take a lead and are
fully engaged
Always encourage women and poorer sections of
the community to participate
Appreciate community members’ offers to help
poorer members
Let people innovate simple latrines
Trigger local action, encourage self-help
Be bold yet cautious
Listen attentively to everything
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Based on their response, ask a simple
question: from what date do you want to
stop ingesting each other’s excreta. Refer to a
village which has achieved this in one day.
The CLTS action plan will, therefore, have
a single output—an ODF date, on which an
action plan can be initiated by community
leaders, etc.
Output: A date when OD in the village
ceases and a simple action plan to achieve
this outcome.
DON’T
Educate, lecture or tell people what to do
Tell people what is good and bad
Push for or demand action
Remain in charge
Interrupt when less restrained community
members start shaming their own people for OD
practices or other anti-hygienic behaviour
Discourage members of the community
from arguing among themselves or shaming
each other, or quickly conclude that the
‘shaming’ element between community members
should be avoided as being culturally insensitive
Overlook emerging natural leaders
Overlook women, children and others who often
get left out from the discussion
Overlook people who come forward to help
Promote particular latrine designs
Offer hardware subsidies
Be too humble or too polite. Don’t try to
convince too politely
Interrupt

Two elements are crucial:
1. The attitudes and behaviour of facilitators
Not everyone can be a good facilitator. Facilitating
CLTS is an aptitude. It can be learnt, but it will
come more naturally to some than to others.
It is different from facilitating conventional
participatory processes such as PRA. Behaviour and
attitudes are crucial. What works best for triggering
CLTS is a combination of boldness, empathy,
humour and fun, demanding a hands-off approach,
not teaching or lecturing, but facilitating to enable
people to confront their unpalatable realities.
2. The sensitive support of institutions
Not every organisation is suitable for promoting
CLTS. Institutional support needs to be
consistent and flexible. Any top-down target
and disbursement-driven approach is liable to
undermine CLTS.
General sanitation campaigns can be effective,
provided they are used in a ‘community
empowerment’ mode rather than a ‘prescriptive’
and ‘target achievement’ mode. Two significant
dangers are too much money, because CLTS
requires relatively little, and rapid recruitment
and inadequate guidance, training and socialising
of staff. This demands a form of restraint that is
difficult to achieve in many bureaucracies.
Four different types of triggering outcomes have
been experienced which provide a possible basis
for employing different strategies:
l Matchbox in a gas station: Where the
community is fully energised and all members
are prepared to start action forthwith, explain
about high and low cost toilet options and
the sources of availability. Facilitate an action
plan and the formation of a local committee.
Facilitate the weekly list of toilet constructions
for communities making the ODF commitment
and fix the probable date for completion of
household action. Decide mutually-acceptable
dates for follow-up. Facilitate a process of
initiation of community monitoring using the
social map drawn by the community. Try to
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identify someone from the community to
be the liaison between the supplier and the
community to ensure the supply of pans and
other fittings.
l Promising flames: Where the majority has
agreed but a fair number is still undecided,
thank them for the detailed analysis and
seek their permission to leave. If someone
from the community agrees to initiate local
action, bring that individual to the front and
encourage him/her to share thoughts on how
he/she is going to make a start. Ask everyone
if they are interested in knowing how other
communities have built low-cost toilets.
If all agree by raising hands, draw and
explain simple direct pit latrines using
locally available low-cost materials.
Facilitate the weekly list of commitments
of toilet construction and probable date of
completion. Decide mutually-acceptable
dates for follow-up. Facilitate a process of
initiation of community monitoring using
the social map drawn by the community. Try
to identify someone from the community to
be the liaison between the supplier and the
community to ensure the supply of pans and
other fittings.
l Scattered sparks: Where the majority of
people are undecided (fence-sitters) on
initiating collective local action but where
only a few have decided to go ahead, thank
community members for the detailed analysis
and seek their permission to leave. Ask
how many of them (by raising hands) are
going to defecate in the open tomorrow
morning. Tell them that you are surprised
that this community is fully aware that they
are ingesting each other’s excrement and
are willing to continue to do so. At this stage
identify those who have decided to initiate
local action to stop OD and bring them
to the front. It might be the case that all
members of the community were not present
during the main presentation and analysis
process. If necessary, fix a date with the
community for a second round of PRA within
a week or so.
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l Damp matchbox: Where the entire
community is not at all interested in initiating
local action, thank them and leave. Do not
pressurise. Tell them that you are surprised
this community is fully aware that they are
ingesting each other’s excrement and are
willing to continue to do so. Finally ask them
if they would be interested in visiting a village
where OD has been made history by the
community itself.

Box 3.2. CLTS Principles

l Not limited to raising awareness but with emphasis on mobilising and helping people to analyse
their own sanitation practices and hygiene behaviour
l Using Trigger Tools for behaviour change
l Collective decision and action is the key
l Social solidarity and cooperation are seen in abundance
l Local diversity and innovations are the main elements
l There is NO space for subsidies
l No externally determined mode of development or blueprint
l Natural leaders emerge from collective local actions which can lead to future collective initiatives
l Community-based monitoring

Table 3.9. CLTS: Monitoring and Reporting Formats

Format 1: Pre-triggering Report

Reporting period: From ............................. to .............................

Name of Team: ........................................... Team Leader: .............................

Name of Village Date of Pre-triggering Remarks on Quality

of Triggering

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Remarks of Coordinator:

Format II: Triggering Report

Reporting period: From ............................. to ..............................................

Name of Team: ........................................... Team Leader: .............................

Name of Date Quality of Triggering ODF No. of No. of No. of Anganwadi School School
Village of Pre- Explained House Houses with Houses Toilets with without
triggering Toilets Kuccha with No Toilets Toilets
Toilets Toilets

Poor Average Good

Tips:
l Mapping requires well-prepared facilitation. Be
aware some issues discussed are sensitive within
the community.
l Be flexible, patient and maintain a good sense
of humour.
l Avoid complicated words and concepts.
l Encourage and motivate participants and ensure
that shy and quiet members of the group are
given an opportunity to express their views.
l Make sure the groups keep to the topic but be
flexible in dealing with important additional
information that may emerge.
l Listen attentively and do not teach.
l Repeat what people say in order to confirm that
there is good understanding of the discussions.

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3.2.5 Water Transect—Walk from Source to Users (Activity Code C-5)

The Water Transect, involving a walk from source to users, is a tool for onsite assessment of the
water source, relevant equipment, O&M of facilities and monitoring compliance with the public
water system.
The Source to User Water Transect also provides an opportunity to educate community members
about water safety at the water source, transport main, reservoir and in the distribution system.
It is a technique that records visible faults and deficiencies that could lead to the pollution of
drinking water. It combines physical observation and reference to the checklists.
Involving women in the Water Transect may throw light on some new issues that have never
been considered previously.

Participants: VWSC members, GP Secretary,
Village Water Person, School Management
Committee (SMC) members, GP members,
ASHA workers, Health Club members, SHG
members and others (men and women).
Methodology: Interactive session and Transect
Walk from Source to Users.
Agenda: To identify water security, water supply
system and O&M issues.
Facilitator: SO.
Duration: Eight hours.
Process:
1. Assemble all community members at a central
place in the village. Explain the purpose and
nature of activities involved in the preparation
of the DWSP.
2. Begin the discussion about the water journey.
with “How water travels from source to the
user”. Listen to the responses carefully and
involve the participants by asking:
a. Is your drinking water source protected
from contamination?
b. Is there any leakage in the system (transport
main and distribution system)?
c. Do all the water connections have taps?
d. Have your tanks been cleaned regularly?
e. Do all households have service connections?
3. Start the water journey and give participants a
copy of the checklist to complete with Yes/No.
answers. In a large village, participants can be
divided into two groups and the water journey
can be divided into (a) source to tank or
(b) tank to distribution system.

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Table 3.10. Checklist to Identify Water Security, Water Supply System and O&M Issues
Checklist Present Issues
Status
Drinking Water Source
Is the source protected by a strong fence to prevent animals entering? Is the Yes/No
ground around the source clean?
Are animal or humans prevented from drinking water/defecating or leaving Yes/No
garbage around the source?
Latrines or seepage from latrines around the source? Yes/No
Effluent from poultry, livestock, schools or houses entering the source? Yes/No
Are people prevented from bathing, doing laundry or washing animals or Yes/No
vehicles at the source?
Is there a signboard “Drinking Water Source—Keep it Clean”? Yes/No
Pumping Machinery
Is the pumping logbook kept up-to-date? Yes/No
Is the machinery shaking and making noise when operating? Yes/No
Does the pump lift water as per its capacity? Yes/No
Does it fill the elevated storage reservoir/ground-level storage reservoir Yes/No
within the expected time?
Is a stand-by pump provided? Yes/No
Is servicing of pumps done periodically? Yes/No
Is the meter board well maintained and with no loose wires? Yes/No
Does the pump house have a working electric meter? Yes/No
Is the earthing in good working order? Yes/No
Is a safety toolkit available? Yes/No
Are the electricity bills based on actual consumption of electricity? Yes/No
Rising Main
Is a non-return valve provided? Yes/No
Are there leaks in the rising main? Yes/No
Storage Tank
Are the storage tanks kept clean and fenced? Yes/No
Are there leaks in the storage tank? Yes/No
Are the storage tanks cleaned once a month? Yes/No
Are washing dates recorded? Yes/No
Is there a fixed water-level indicator and lightning conductor? Yes/No
Is there a ladder inside and outside the storage tank? Yes/No
Is there a lid? Is it kept closed? Yes/No
Is there leakage near to the valve in the storage tank? Yes/No
Is there an overflow outlet? Is it connected to the distribution line? Yes/No
Is chlorination done regularly? Yes/No
Is the chlorine powder stored properly? Yes/No

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Checklist Present Issues

Status
Distribution Network
Are there leaks in the distribution system? Yes/No
Is there leakage in the valves fitted on the distribution system? Yes/No
Are the chambers and covers in good condition? Yes/No
Are taps fixed on the standpost and private connections? Yes/No
Are there illegal service connections? Yes/No
Is there misuse of water? Yes/No
Are meters fixed for all connections? Yes/No
Are the school and Anganwadi provided with service connections? Yes/No
Hand Pump
Is the platform of the hand pump in good condition? Yes/No
Is there a proposed arrangement to dispose of wastewater around the Yes/No
hand pump?
Is there any problem in the functioning of the handle? Yes/No
O&M Issues
Is an O&M budget for the water supply scheme in place? Yes/No
Is the water tariff sufficient to meet costs? Yes/No
Is O&M income and expenditure managed by VWSC? Yes/No
Does a logbook exist for pumping? Yes/No
Has VWSSC and water person received training in O&M? Yes/No
Solid and Liquid Waste Management
Is solid waste disposed of in a scientific way? Yes/No
Does a proper arrangement exist for wastewater management Yes/No
(sullage, soak pits, gutters, etc.)?

4. On your return from the water journey, assemble participants in the central place and consolidate the
water supply system issues, challenges and possible solutions. Alternatives should be discussed and
outcomes noted on the chart.

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Table 3.11. Format for Water Supply System Issues, Challenges and Possible Solutions

Components Possible Solutions

Drinking Water • Erecting a fence, cleaning the source area, ODF, putting up a
Source signboard, installing other signboards to prevent bathing
and laundry
• Consider source conservation measures, e.g., plantation,
rainwater harvesting, groundwater recharge, etc.
• Roofwater harvesting for schools and public buildings
• Suitable water treatment, if required
• Groundwater recharge structure, recharge shafts
• Discounting flood irrigation
• Adopting drip and sprinkler irrigation system
• Harvesting surface runoff by constructing check dams,
subsurface dykes, etc.
• Software activity: Sensitisation and awareness-raising
programme
• Additional source (surface/ground water) if required
Pumping • Repair pump house and pumping machinery, check
Machinery pumping capacity, electrical installations, etc.
• Ensure proper approach to the pump house
• Repair and up-keep of the meter board
• Maintenance of the log book
Rising • Reassessment of diameter of pipe material and number of
Main valves required, replacement of pipeline in event of serious
problems such as frequent pipeline bursts
• Stopping any leaks
Storage • Repair of tank
• Additional storage (if required)
Distribution • Extension of coverage
System • Replacement with pipe material of a suitable diameter
• Valves and zoning
• 100% service connection
• Replacement of taps
• Bulk and individual metering
O&M Issues • Technical management
• Financial management
• Capacity building of VWSC and Water Person
Solid and Liquid • Repair of drains
Waste Management • New sullage drains
Household • 100% sanitation coverage
Sanitation • Awareness raising
• Health and hygiene education

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3.2.6 Establishment of Rain Gauge Station (Activity Code C-6)

Rain is a Primary Source of Water

Since rainfall, the number of rainy days and the duration of rain occurrence vary from GP to GP
(or rather village to village), each GP needs to acquire knowledge about its own rainfall pattern.

After the rainy season, heavy rainfall is rare. Rainwater is retained in nature by vegetation, soil,
and underground water pore spaces inside rocks and decomposed rock.

Although rainfall may occur only for few days a year, the biological world sustains the whole
year. Modern agricultural practices have radically changed the traditional way of life in the
villages and the choice of crops, horticulture, livestock rearing. etc., can be reformulated at
GP/village level to ensure water availability throughout the year.

The water security plan is primarily based on GP/village-specific rainfall data corresponding to
the year for which water budget estimates are carried out. It is therefore appropriate to establish
a GP-level rain gauge station.

The rain gauge stations are non-automatic and VWSC members, GP functionaries and
volunteers need to be trained in the use of rainfall recording devices.

At least one rain gauge station needs to be established per GP project.

One rain gauge station needs to be established
per GP.
When installing a rain gauge station, the following
should be noted:
l The site should be on level ground and
easily accessible.
l The site should be an open space with no
obstructions in the form of trees, walls, etc.
l The horizontal distance between the rain gauge
and the nearest object should be twice the
height of these objects.
l The site should face away from a continuous
wind force.
l In hilly areas, where level ground is difficult to
find, the rain gauge should be located where
wind cannot form eddies.
l The rain gauge needs to enclosed by a barbed
wire fence.
l The gauge should be truly vertical.
l The observer must visit the gauge station
regularly in order to ensure that it is ready
for measurement.

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Rainfall Measurement
Rainfall measurements are based on the level of
rainwater collected in the appropriate receptacle.
The volunteers should be instructed to collect
the amount of rainfall received on every rainy day
at 8:00 a.m. The steps to be followed:
1. Measuring jar taken to the rain gauge station.
2. The gate is unlocked, then the rain gauge
is unlocked.
3. The conical flask is removed by unscrewing it
from the fixed part of the rain gauge.
4. The collection jar is removed.
5. The water collected in the jar is carefully
poured into the measuring jar.
6. If the water collected is more than the
capacity of the measuring jar, the first filling
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is discarded and the remaining water is poured
into the measuring jar.
7. If water still remains in the collection jar,
step 6 is repeated.
8. Number of measuring jar fillings is noted.
9. In the final measuring, if the water only partly
fills the measuring jar, the reading on the
measuring jar is noted.
10. The number of fillings and the last reading is
added to calculate the rainfall received on
that day.
11. The value is noted in the MR. The GP office
should display rainfall data and share it with
schools and other departments.
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Table 3.12. Rainfall Data Log

Name of Station ........................Latitude ...........Longitude ...........Altitude ..........................................................

Station Operating from ..........................................................................................................................................

Name of VWSC .......................................................................................................................................................

Annual Rainfall (in millimetre) in the Year

June July Aug Sep Oct Nov Dec Jan Feb Mar April May Total
Date
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
29
30
31
Total

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3.2.7 WTQQ Monitoring
(Activity Code C-7)
Drinking water schemes depend on the
groundwater source. Thus the development
of a DWSP crucially depends on the input of
groundwater levels, discharge and quality. The
water budget calculation should be based on
village-level data obtained within the study
area. Village-level monitoring of water levels,
discharge and quality generates interest within the
community and proves to be cost effective.
The groundwater observatory well needs to be
identified and monitored according to
the following schedule and parameters
(WTQQ monitoring):
S. No. Parameter Frequency
1 Water Table Once every 7 days
2 Water Quantity Once every 15 days
3 Water Quality Once every 3 months
The actual number of monitoring wells depends
on the ground situation. However, for the sake of
convenience, 15 to 20 bore/tube wells per GP can
be considered.
A complete inventory of wells in the hydrological
unit needs to be made during the PRA exercise.
The project hydrogeologist must prepare a
provisional list of observation wells inputting from
the state/district groundwater cell. The guiding
principles that need to be considered when
selecting the observation wells are that:
l The observation wells should be equally
dispersed over the drainage basin.
l At least two wells are located in the recharge
area, two in the central sector of the watershed
and one at the mouth of the watershed.
l Care should be taken to ensure that the highest
yielding, lowest yielding and failed bore wells
are included. The production wells are selected
as observation wells, since the aim is to obtain a
picture under pumping conditions.
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3.2.7.1 Groundwater Table
Groundwater is under constant so-called
hydrostatic pressure resulting from underground
water movement. When untapped, wells
maintain a water level known as the water table
or piezometric level (the upper limit of the
groundwater reservoir). When the groundwater
draft exceeds the recharge, the pressure is
decreased, resulting in the lowering of the
water table. The water level in wells is thus a
direct indication of the status of the
groundwater resource.
Water-level measurement can be done using
different types of equipment. The choice of
equipment depends on several factors, including
the accuracy or ease of measurement required,
type of structure (bore well/open well) and the
pumping activity of nearby wells.
Chalked Steel Tape
This method utilises a graduated tape with a
weight attached at one end. A quality steel tape
has limited elasticity and, with sufficient weight
attached, it will hang vertically down the well.
The lower part of the tape is coated with chalk
and the tape is lowered into the water until the
lower part of the tape is submerged. By lowering
the tape slowly the contact of the weight with the
water’s surface can be heard.
For wells with deep water levels, it may be
necessary to know the approximate depth of the
water or to attempt several measurements to
ensure that the tape is not submerged below its
chalked length.
The tape is held at the reference point and the
tape position is recorded. The depth to the water
level below the reference point is determined by
subtracting the length of wet tape (indicated by
wet chalk) from the total length of tape lowered
into the well. The measurement should be
repeated to ensure its accuracy and to ascertain
that the measured water level is static.
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Electric Measuring Tape

Electric measuring tapes typically consist of a
pair of insulated wires whose exposed ends
are separated by an air gap in an electrode and
contain a source of power in the circuit such as
flashlight batteries. When the electrode comes
into contact with the water surface, a current
flows through the tape circuit indicated by an
ammeter-needle deflection, a light and/or an
audible signal.

The “hold” depth against the reference point

on the well is read directly from the tape as
depth to water. Because the tape medium
might be easily bent and the weight is often
less than that used on steel tapes, electric tapes
are considered less accurate. The tape can be
calibrated against a steel tape, and if several
electric tapes are used in a study, they should all
be calibrated against a steel reference tape.

All the brands work on the same principle, with

a liquid-sensitive probe. When the probe comes
in contact with water or liquid, the electronic
circuit is completed and a ‘beep’ is generated,
indicating contact.

The following procedure is recommended:

1. The time elapsed since last pumping is noted.
2. The water-level indicator (WLI) is opened and
checked to see if functional.
3. If the WLI is functional, the probe with the
measuring cable is slowly lowered into
the well.
4. Lowering is stopped once the ‘beep’
is heard.
5. The measuring cable is slightly lifted and
jerked, before lowering it again.
6. The jerking and lowering is repeated twice or
thrice to ensure that the exact still water level
is represented.
7. The reading on the measuring cable is noted. 9. Just before the power is switched off or
8. Subsequently the well is pumped expected to be cut, the pumping water level is
continuously for at least two hours. noted, by repeating the above steps.

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3.2.7.2 Discharge Measurement
Bore well discharge can be measured using
several methods. The volumetric method is
simple and affordable for rural communities. A
calibrated drum with a capacity of 100 or 200
litres can be used together with a stopwatch
to measure the discharge of the observation
well. Ready-reckoning conversion tables can be
developed for converting the discharge in terms
of litres per minute. The Sintex type of drum
can be used for this purpose. The dimensions
of the discharge drum vary depending on the
height of the delivery pipe from ground level.
The white 100 litres capacity drum is also used
depending on the field situation and suitable
conversion tables have to be used. A steel
encased stopwatch is preferred to a digital
sports watch, being robust and simple to use.
Measuring bore well discharge is also
recommended on a fortnightly basis. On
fixed days, discharge measurement should
be done twice. The first measurement is
done after one hour of pumping. The second
measurement should be done before shutting
down the pump.
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The procedure followed
for measuring bore well
discharge is:
1. The calibrated drum should
be placed under the pipe
and the stopwatch started.
2. When the water touches
the 100 litre mark (or 200
litre mark if it is a 200
litre drum), the stopwatch
reading is noted.
3. The discharge should
be computed.
4. The measurement should
be carried out at least thrice
and the average calculated.
The drinking water supplied to the community
must conform to relevant standards in order to
minimise health hazards to the community.
Water quality is usually tested twice a year.
Water quality parameters are classified as of a
physical, chemical and biological nature.
Regardless of its nature, the water may
become contaminated due to cross-
connections and back-siphonage. Thus
a regular water quality test needs to be
undertaken consisting of a systematic sanitary
survey to identify the source of contamination,
and necessary preventive measures taken.
3.2.7.3 Water Quality
Water quality testers can be used for onsite
measurement for limited parameters. Other
parameters need to be properly calculated at a
PHED-approved water quality testing laboratory.
Records of water quality test results needs to
properly stored with the VWSC and the GP, to be
subsequently used for preparing the DWSP.
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3.2.8 Water Budget (Activity Code C-8)

A water budget is a tool for understanding and accounting for the movement and uses of water
on, through and below the earth’s surface.

The budget should take into account the following questions:

a Where is the water? Where are the hydrologic elements located in the watershed?

a How does the water move between these hydrologic elements? What are the pathways
through which water travels?

a Where are water users located and how much water are they using?

a What are the trends? Are water levels declining, increasing or constant?

Water budget (WB) = Total water available (A) – Total water demand (B)

The water budget estimates provide a useful understanding of the demand for drinking
water in the GP/block compared to total water demand. The results of the water budget
estimate will not make a difference in the water supply situation unless they are properly
understood and followed up by the required changes in water use practices.

Water availability/supply (A) Water demand (B)

A1. Surface water retained in the B1. Domestic water demand
watershed/area
A2. Groundwater recharge B2. Irrigation water demand

B3. Industrial and/or other water demand

Total water supply = cubic metres Total water demand = cu m/per annum
(cu m)/per annum

may vary by at least 10-15 per cent due to the

The water budget, calculated on the above basis,
uncertainties of land use and rainfall.
should serve as an indication and in practice

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3.2.8.1 Assessment of Water Availability

The primary source of water is rainfall.

The estimation of total rainfall received over the entire area is based on the total area and total
rainwater received over that area. The amount of rainwater will be stored on the surface in ponds,
lakes and reservoirs and some of it as groundwater.

1. Area of village ........ hectare ........ square kilometre (sq km)

2. Rainfall received from June to September millimetre (mm) ........ metre (m)
(monsoon)

3. Projected rainfall from October to May ........ mm ........ m

(non-monsoon)

4. Total rainfall from June until May the following year ........ mm ........ m

5. Total rainwater received over the area 1 x S. No. 4 ........ cu m

The water availability in the project area should
be assessed based on the ground and surface
water available.
a. Groundwater
To calculate groundwater recharge, generally the
percentage of rainfall for the watershed (village)
area and about 10 per cent of the rainfall for the
agricultural area is considered to be groundwater
recharge. Both the village’s and agricultural areas
must be computed to arrive at the total annual
groundwater recharge, estimated according to:
a) Recharge due to rainfall
b) Recharge due to seepage from canals
c) Recharge due to irrigation
d) Recharge due to seepage from tanks

a) Recharge due to rainfall

Total area available for recharge ........ ha ........ sq m

Infiltration factor
Total groundwater recharge
• Sandy area: 20-25% rainfall
• Area with higher clay content: 10-20% rainfall
• Weathered and fractured areas: 10-15% rainfall
• Un-weathered: 5-10% rainfall
• Vesicular and jointed basalt: 10-15% rainfall
• Weathered basalt: 4-10% rainfall
• Limestone, sandstone, quartzite, shale
areas: 3-10% rainfall
% x rainfall ........ cu m

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b) Groundwater recharge due to seepage from canal. A certain portion (10 per cent) of canal
water will seep into the groundwater and can be accounted for as shown below:

i) Length of the canal in the area ........ m

ii) Wetted area of canal ........ sq m

iii) Annual water available in canal i x ii = ........ cu m

iv) Seepage available as recharge from canal 0.1 x (iii) above = ........ cu m

c) Groundwater recharge due to irrigation. Artificial irrigation from canal/bore well water will
recharge groundwater. It is generally considered to be 40 per cent of the total water delivered
by the canal irrigation system and 35 per cent of the total water delivered for a bore well-based
irrigation system.

Water delivered by canal for irrigation ........ cu m

Return flow from canal irrigation: 40% 0.4 x ........ cu m = ................

Water delivered from bore well for irrigation ....... cu m

Return flow from groundwater-based irrigation 0.35 x ........cu m = ...............

d) Groundwater recharge due to seepage from tanks

Number of irrigation tanks

Water spread area of irrigation tanks ....... sq km

Seepage as recharge from irrigation ....... sq km x 0.45 = ...............

tanks: 0.45 m/year

Total groundwater recharge

a) Recharge due to rainfall ........ cu m

b) Recharge due to seepage from canal ........ cu m

c) Recharge due to irrigation ........ cu m

d) Recharge due to seepage from tanks ........ cu m

Total groundwater recharge ........ cu m

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b. Surface Water
Water that is stored in tanks, ponds and other water-harvesting structures such as check dams or farm
ponds, etc., is considered to be available surface water. These values may nevertheless vary depending
upon rainfall, its distribution and different land uses.

Number of tanks/ponds ........ tanks

Total storage capacity of surface water of each tank ........ cu m

Total water available/supply = Groundwater recharge + Storage of surface water

........ cu m cu m
........ cu m

3.2.8.2 Assessment of Water Demand a. Irrigation water demand

The water demand assessment for the project area
is estimated under the following headings:
a) Irrigation water demand
b) Water requirement by animals
c) Water requirement by households
d) Water demand by industries
e) Ecological water demand
Irrigation water demand needs to be calculated
separately for the kharif, rabi and summer seasons.
Water-intensive crops such as paddy and sugarcane
require 1.0 hectare metre (ha m) or 10,000 cu m
while other crops such as maize, jowar, sunflower,
groundnuts, etc., require less than 0.5 ha m (5,000
cu m). Where the land is irrigated, the total area
under different crops in each season has to be
computed in order to quantify the irrigation water
requirement for the whole year.

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Table 3.13. Format for Computing Irrigation Water Demand

Crop Kharif Crop (Monsoon) Rabi Crop (Winter) Summer Crop Plan
Sown
Area Sown Water Area Sown Water Area Water
(Bigha/ Required (Bigha/Acre) Required Sown Required
Acre) (cu m) (cu m) (Bigha) (cu m)
Per Total Per Total Per Total
Bigha Bigha Bigha

Total
Total water required for various crops

Projected Water Pumped from Wells

During the PRA and resource mapping of the village, identify the number of open wells and bore wells
fitted with power pumps. Based on the established average pumping rate from the open well/bore
wells for irrigation and drinking water wells and the known hours of electricity, water pumped can be
estimated thus:

Number of functional open wells with power pumps ........ No.

Number of functional bore wells with power pumps ........ No.

Average pumping discharge ........ litre per hour

Average pumping hours per day

Average pumping hours per year

Total water pumped from groundwater for irrigation

Total water pumped from ground by drinking water source

Total water pumped from ground

In areas where irrigation demand exceeds availability and affects the drinking water supply, suitable
corrective measures in crop choice and seasons for specific crops need to be developed on a participatory
basis, involving all the stakeholders in order to enforce this on an annual basis through social regulation.

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b. Domestic water demand

Domestic water demand consists of water for human and livestock consumption, and maintenance.
The demand from local institutions such as schools, Anganwadis (including water for sanitary facilities),
Primary Health Centres (PHCs), market places, offices and public places, also needs to be taken
into account.

c. Industrial and/or other water demand

Water demands by industries, livelihood enterprises such as dhobi ghat, tanning, fibre extraction, pottery,
etc., and for other needs (e.g., cremation grounds) within the village limits, need to be assessed to
quantify the village water demand.

Type Standard Unit

Human consumption (includes drinking water, 55 litres per capita per day (lpcd) (assuming 50%
domestic use) population has house connection with
70 lpcd and others with 40 lpcd)
Livestock (includes buffaloes, cows and oxen) 30 litres per day (lpd)
Small ruminants (goats, sheep, etc.) 20 lpd
Schools and Anganwadis 10 lpd
Offices, markets and public places 5,000 to 10,000 lpd depending
upon activities
Total domestic water demand per day will be the sum total of the above. This will be multiplied
by 365 days to arrive at the annual water demand.

Total water demand of the village per annum = Domestic + Irrigation + Other water needs

Projected water balance

Water balance can be further analysed based on the available water versus total water demand.

Total Available Groundwater ....... cu m

Total agricultural water demand ........ cu m
Total water demand for drinking purposes and other uses ........ cu m
Total animal water demand ........ cu m
Total water demand ........ cu m
Amount of water used in excess of supply ........ cu m

Summary of balance estimate

Stage of groundwater development ........ %
= (Total water demand/Total available groundwater) x 100
Percentage of agriculture water use out of total water use ........ %
= (Total agricultural demand/Total available groundwater) x 100

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3.2.9 Women’s Meeting (Activity Code C-9)

Women’s SHGs are increasingly seeking a more vibrant role in village programmes and are
participating more in village development activities. All SHGs of a habitation generally come
together as a village-level organisation or federation. This provides an opportunity for involving
women in village development activities. Women’s inputs for developing a DWSP are crucial,
given that women are the undisputed managers of domestic water. Following the village survey
and water demand assessment, it is vital to share the survey and water supply/demand result in
the village with women’s groups. This will also help to obtain the necessary inputs.

Women’s meetings to update the water budget may be organised as a separate meeting or form
part of their monthly meeting. Water demand, water security issues, distribution of water supply
to all areas and issues such as user charges and their collection should be discussed.

Objectives l Issues concerned with water availability

1. To share the village water demand assessment
produced by the survey
2. Functionality of water supply systems
3. User charges issues
4. Water security issues
5. Inputs for developing the DWSP
Participants: Members of all women’s SHGs of
the village.
Methodology: Discuss with the village women
federation leaders the proposal for a meeting to
provide inputs to the water demand assessment
and drinking water security planning. Decide
the venue, date and time for the meeting.
Organise the meeting, share the water demand
assessment results.
Agenda: The agenda of the special women’s input
meeting to DWSP will consist of:
l A presentation and discussion on the water
demand assessment results.
l Issues in current water supply and
its functionality.
and accessibility.
l Water scarcity issues.
l Issues threatening water security in the village.
l Proposed measures for addressing
water security.
Facilitator: The women’s federation convenor to
chair the session and SO staff member to facilitate
the proceedings.
Duration: Two hours.
Process:
1. Before the meeting, prepare the water demand
assessment results on a chart.
2. The venue of the women’s meeting to be
located in order to facilitate participation of
all group members.
3. The meeting to be chaired by the convenor of
the village federation.
4. At the beginning of the meeting, the
Chairperson should inform those present of the
purpose of the meeting and then hand over the
proceedings to the SO staff members.
5. Presentation of water demand assessment
findings to the members and their discussions.

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6. Discussions on the issues of water system
functionality, scarcity and water security.
7. The facilitator should keep a note of all the
issues raised by the group members.
8. The Chairperson should ensure that everyone
is allowed to speak and avoid a few people
dominating the proceedings. Special care to be
taken in the case of women from SC/ST groups.
9. Time should be allowed for individuals to
present proposals and resolutions.
Output:
1. Review of water demand assessment findings.
2. Inputs to the water security plans.
Tips:
1. Ensure participation of all members of all SHGs
in discussions.
2. Ensure that all members are present for
the meeting.
3. Ensure that inputs are recorded and
incorporated into the DWSP.
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3.2.10 School-level Programme
(Activity Code C-10)
Objective: To inform and involve school
management and children in DWSP planning,
implementation and monitoring.
Participants: School principal, teachers
and children.
Methodology: With the approval of the Principal,
school interface meetings and events with children
should be held with interactive facilitation provided
by the SO, focussed on water security and
sanitation topics.
Agenda: The following agenda is suggested for the
school programmes:
1. What are water budget and water security?
2. Methods for addressing water security issues.
3. Roles and responsibilities of various parties in a
community to address water security issues.
4. Sanitation progress and issues in the habitation.
Facilitator: NGO coordinator/staff member
and/or school teacher.
Duration: 30 minutes to one hour.
Process: With the active participation of the school
management, the support agency (NGO) should
organise school-level educational programmes
related to dissemination of water security plans,
such as quizzes, an essay-writing competition,
debates, etc. This should lead to school children
learning how to play a simple role in water security
interventions and sanitation plans.
Output: School-level action plans for the
development of water security and
sanitation plans.
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3.2.11 Cross Visit (Activity Code C-11)

The cross visit is an important part of the project in which the team gets an opportunity to
observe and learn from other communities’ development activities. Exposure visits also help
considerably to boost skills. This cross visit programme aims to enhance participants’ knowledge
through exposure to the best DWSP practices. Cross visits are organised so that people living
in one place can visit another location to observe and learn by direct interaction from another
community’s relevant activities outside their own community. Participating communities may be
located quite near one another (within the district) or some way off (in another district).

Advantages of a Cross Visit: 3. Subsequently to identify measures to be taken

l The visiting groups take lessons which are learnt by the VWSC to address any impediments.
from people who live in similar circumstances
Participants: VWSC members, GP members from
very seriously.
the habitation and any other key/opinion leaders.
l Learning takes place in a real life situation,
which allows visiting groups to ask questions Methodology: Discuss the proposal of a cross
about the development activity being visit to a habitation implementing DWSP with
implemented and obtain first-hand feedback. the VWSC members in their meeting. Seek their
l It is practical, not theoretical, willingness, decide the date and place of the visit
experience-based learning. and formulate a brief plan.
l Broader information exchanges often take place
Agenda: The following agenda could be used in
between the two groups, going beyond the
the cross visit:
core topic.
1. Transect the village.
2. Discussions on the DWSP developed by the
In the context of drinking water security planning,
target village.
creating a forward view for the community is an
3. Discuss issues of implementation and successes
important pre-planning activity. When a cross visit
in overcoming obstacles.
to a habitation already implementing DWSP is
4. Understand various methods of addressing
imminent, this will enable the aspirant VWSC to
water security issues in the village.
consider the possibilities, understand the strengths
5. Programme and issues for making progress on
and limitations, explore opportunities and develop
sanitation in the habitations.
its own vision of a secure drinking water village.
6. Discuss roles and responsibility-sharing in a
community with regard to sanitation and water
Objectives: security issues.
1 To expose members of the VWSC to a habitation
7. Question and Answer session.
already implementing DWSPs.
2. To help the VWSC gain insights and inputs for
developing its own DWSP.

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Ensuring the best results from
a cross visit:
l It is important for the visiting group to be
fully involved in planning the visit.
The support agency can help to identify the
host community and contacts
l Ensure that the visiting and host groups
are both clear about the purpose and
arrangements for the visit
l Prepare a programme for the visit. This
makes it efficient and cost-effective
regarding transport, accommodation and
other expenses
l Allowadequate time for discussions and
demonstrations where necessary
l Arrange a translator if the two communities
speak different languages
l Photographs, audio or video can be used to
record the experience
Facilitator: Support agency staff
Duration: Three hours in the village
Process:
1. Identify the village to which the cross visit
is planned
2. Seek permission of the village to organise a
cross visit of prospective VWSC members
3. Share the agenda and finalise the programme
including date, time and schedule
4. Organise travel logistics including travel time,
tea and snacks, lunch, etc.
5. Prepare a checklist for the visiting team to
observe items in the target village
6. Share a copy of the checklist with all the
visiting team members and explain to them
the checklist points and how to record their
observations and discussion outcomes
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7. Inform the visiting team members that there
will a discussion on the checklist points
following the visit
8. On arrival at the target village, organise a brief
meeting at which guidance is given to the
visiting team about the host village’s VWSC,
and about the DWSP they are implementing.
Tea could be organised for the visiting group
at this session
9. If possible provide copies of the target village
DWSP to the visiting team
10. Organise the village transect visit to locations
benefiting from DWSP initiatives
11. A further meeting for question-answer sessions
and discussions
12. Return to own village
13. Meeting to discuss observations
Inputs for Observation—
Checklist
1. Basic information: village name, people
met, places visited
2. DWSP
3. VWSC functioning?
4. Financial management
5. Functionality of water supply system
6. Sanitation progress
7. Initiatives to halt water wastage
8. Initiatives on cropping pattern regulation
Output: Learning from the experience of others
and inputs provided for developing DWSP
and programmes.
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3.2.12 VWSC Workshop-2 2. Begin the session praising the VWSC and
(Activity Code C-12) GP officials for actively participating and for
collecting the information displayed.
Objective: Consolidation of the information and 3. Explain to the VWSC that they will now be
chalking out a precise DWSP. finalising the plans with reference to:
Participants: VWSC members. a. Components
b. Project intervention
Methodology: Presentation by SO and relevant c. Responsibilities
concerned department. d. Timeline
Agenda: Approval of DWSP by the VWSC and the e. Budget
Gram Sabha. f. Source of budget mobilisation

Facilitator: SO. 4 Guide the VWSC to prepare the plan. Explain

Duration: Four to five hours.
Process:
1. Before starting the session, please ensure
that the following are displayed in the
meeting venue:
the planning format and its link to the chart
displayed. Allow detailed discussion and help the
VWSC members to arrive at a consensus. Provide
technical input wherever necessary. Ensure that
all the households and habitations are covered
by the plan.

Output: Draft village DWSP.

S. No. Display Outcome of Activity

1. Social map printed/drawn on A3 size cloth PRA

2. Resource map printed/drawn on A3 size cloth PRA

3. Water budget Water Budget

4. Checklist—Walk from Source to User Walk from Source to User

5. Issues identified, with possible/alternative solutions Walk from Source to User

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Table 3.14. Consolidation of Information for a DWSP

Components Project Intervention Responsibility Timeline Budget Sources
of Budget
Mobilisation
Source Sustainability
Drinking 1. Surface water harvesting ZP
Water Source 2. Drip irrigation facility Agriculture NR
for farmers
3. Desilting of tank
4. Roofwater harvesting
5. Installation of rain NDWSPP
gauge station
6. Additional source NDWSPP
System Sustainability
Pumping 1.
Machinery 2.
3.
4.
5.
Rising Main 1.
2.
3.
Storage 1.
2.
3.
Distribution 1.
System 2.
3.
4.
O&M Issues 1. Supply of O&M ledger
2. Supply of tools
3. Training for Water Person
and VWSC
Sanitation Plan
Solid and 1. Repair of existing drains
Liquid Waste 2. Construction of new drains
Management
3. Identification of landfill
and collection system
Household 1. Awareness raising
Sanitation 2.
3.

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3.2.13 Gram Sabha 2
(Activity Code C-13)
Objectives: To discuss and approve the
village DWSP.
Participants: Gram Sabha consists of all the people
registered on the village voter list.
Methodology: Interactive session.
Agenda: Discuss the findings of the planning
process and village DWSP development.
Facilitator: The facilitator for the Gram Sabha
is normally the GP Secretary. The Gram Sabha is
chaired by the Sarpanch or President. However, a
SO staff member will provide support by sharing
information about the DWSP.
Duration: Up to three hours.
Process:
1. A notice about Gram Sabha must reach people
at least seven days in advance. Written notices
can be put up in public places, or people can be
notified by beating of drums, or through SHG
leaders to their groups. The notice should contain
information on the agenda, date, time and place.
2. The meeting of the Gram Sabha is to be presided
over by the GP president/GP ward member in
accordance with the official directive.
3. At the beginning of the meeting, the Secretary
welcomes participants and informs them of
the agenda.
4. Since this is a special Gram Sabha focussed
on the DWSP, its objective, methodology and
participatory process to be adopted for planning
and implementing the DWSP should be outlined
by the SO.
5. Some of the activities in the DWSP can be
implemented immediately without any external
support. Some activities, however, do need
external support. This aspect should be clearly
explained in the Gram Sabha.
6. The proposed activities listed in the action
plan should be discussed. Activities should be
categorised according to whether they can be
undertaken through community participation/
village-level funds or with the help of government
schemes. The priorities and future direction of
these activities should be clearly explained.
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7. At the end of the meeting, the minutes should be
read out and signed by the persons designated to
do so. The minutes should then be posted in the
Panchayat office.
Output: Gram Sabha approves the village DWSP plans.
3.2.14 GP Workshop 2
(Activity Code C-14)
Objective: Consolidation of the village DWSP at
the GP level.
Participants: GP Chairman and members, VWSC
members, GP-level functionaries, Anganwadi and
school teachers, ASHA workers, SHG and CBO leaders
and village leaders.
Methodology: Presentation of the summary of the
village DWSP and discussion and consolidation.
Agenda:
1. Introduction of VWSC members.
2. Discussion and approval of consolidated village
DWSP plan.
3. Roles and responsibilities for implementation of
the village DWSP.
Facilitator: Support agency coordinator and staff.
Duration: Three hours.
Process:
1. Inform participants well in advance of the date
and place of the GP meeting. Discuss the meeting
agenda and process with the GP Chairman and
functionaries. This meeting should ideally be held
at the GP office.
2. Ask the GP Secretary to open the meeting with a
welcome address and explain its purpose.
3. Approval for the formation of the VWSC as a
GP sub-committee.
4. Discussion on village-specific DWSP and GP’s
consolidated plan.
5. GP’s role in the implementation of immediate,
short-term and long-term plans.
6. Drafting and signing the resolution for
DWSP approval.
7. An action plan to proceed further.
Output: The GP resolution for DWSP approval will
be submitted to the concerned department with a
request to assist the GP in implementing the DWSP.
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4
IMPLEMENTATION AND
MONITORING PROCESS
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IMPLEMENTATION AND
MONITORING PROCESS

4.1 Implementation Stage

Implementation and monitoring are important components of the DWSP. The roles of users/
primary stakeholders are usually limited to the planning stage and implementation agencies
take over the physical implementation of the plan with limited/no community participation during
actual physical implementation. This can hamper the efforts of the support agencies/BRCs
during the planning stage from empowering the respective GP and VWSC.

Therefore, it is vitally important to ensure that the participating GP/VWSC is involved at the
implementation stage either through direct involvement or through the various implementation
and monitoring sensitisation programmes.

As envisaged in the concept note, the roles and responsibilities of the relevant agencies are as shown
in Table 4.1.

Table 4.1. Roles and Responsibilities of Agencies Involved

Responsible Agency
Department of Drinking
Water Supply
State Government/PHED
Central Ground Water Board/Central
Arid Zone Research Institute
NGOs/SO
Department of Rural Development,
Department of Land Resources,
Ministry of Water Resources and
Ministry of Agriculture
Role
Strategic management of the pilot project involving establishing
and chairing a National Working Group, identifying the district/
blocks. Identification of NGOs and providing necessary
guidance to state, districts and blocks
Identify the blocks/hydrological units, issuing required
guidelines, implementing pilot programmes in their blocks
Technical support and monitoring
Training, capacity building and continued support to empower
GPs, VWSCs and villagers
Ensure funding convergence at the local level, technical support
and facilitation

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It is envisaged that NGOs will continue their support in empowering the GP, VWSC and
villagers during the implementation and monitoring stages. The activities described in
Table 4.2 will form part of the DWSP.

Table 4.2. Activities within the DWSP

Activity Code Phase
1 Implementation Stage
11 VWSC meeting
• Details of works
• Mode of implementation
• Formation of VQAT
12 Periodic joint review of works
by the VWSC, GP, PHED, ZP
13 O&M of existing scheme
and drinking water
conservation programme
14 Handing over and assuming
control of scheme
Expected Output
• VQAT in place
• Project components together with cost of the
project is displayed in prominent place
• Project progress and quality reviewed by the
VWSC and VQAT
• O&M initiated by the VWSC
• Water conservation programme implemented
by the VWSC
• % reduction in water consumption and
electricity demonstrated
• Scheme is handed over to GP/scheme for
further O&M

4.1.1 VWSC Meeting (Activity Code I-1)

Objective: Consolidate the information and chalk Agenda: Formation of VQAT.

out a precise village DWSP.
Facilitator: SO.
Participants: GP and VWSC members.
Duration: Four to five hours.
Methodology: Presentation by SO and the
Process:
concerned department.
1. Before opening the session, please ensure that
the following are displayed at the venue:

S. No. Display Outcome of Activity

1. Social map printed/drawn on A3 size cloth PRA
Resource map printed/drawn on A3 size cloth
2. Approved DWSP Drinking Water Security Committee meeting
3. Implementing agency/contractor’s details

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2. Open the session by praising the VWSC and
GP functionaries for actively participating,
and update the VWSC about the approval
status of DWSP, together with details of the
implementing agency.
Explain the approved VWSC:
a. Components
b. Total cost of project intervention
c. Responsibility and timeline
d. Source of budget mobilisation
e. Defect liability period
3. Guide the VWSC to evolve the plan for quality
assurance and control on a daily basis:
a. A committee comprising four or five members
of the VWSC to be formed as the VQAT, to be
later trained by the implementing agency to
ensure day-to-day quality supervision.
b. The name, contact details and value of contract,
and a timetable to be displayed in a prominent
place in the village.
c. The respective line department will train
VQAT members.
Output: Clear understanding by VWSC members
of the approved plan, implementing agency, role of
VWSC and VQAT during implementation.
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4.1.2 Periodic Joint Review of Works
(Activity Code I-2)
Objective: Progress and quality review of work
onsite by primary and secondary stakeholders.
Participants: GP, VWSC members, VQAT members,
PHED and ZP.
Methodology: Field visit to work site.
Agenda: Progress and quality review of works.
Facilitator: PHED.
Duration: Four to five hours.
Process:
1. Engineer from the implementing agency will
brief the VWSC on the progress, materials used
and quality issues.
2. A joint site inspection will be carried out and the
VWSC will be updated about the following:
a. Progress
b. Quality issues
c. Balance work and schedule
d. Expenditure incurred to date
Output: Proceedings of the VWSC concerning
joint inspection of the works.
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4.1.3 Operation and Maintenance (Activity Code I-3)

The sustainability of small piped water supply systems in rural areas is critical for securing improved
service delivery over the long term. The main emphasis of the GoI’s NRDWP is therefore on
source and system sustainability. Source sustainability depends on various factors. However, water
conservation is one of the important aspects of source sustainability. System sustainability relies on
adequate O&M, in both technical and financial terms.

Any project intervention to achieve a DWSP is incomplete without addressing the issue of Non
Revenue Water (NRW). This is water that has been produced and “lost” before it reaches the
customer. Losses can be ‘real’ (leaks, which are occasionally referred to as physical losses) or
‘apparent’ (e.g., through theft or metering inaccuracies). High levels of NRW are detrimental to
the financial viability of water utilities, as well as to the quality of the water itself. NRW is typically
measured as the volume of water ‘lost’ as a share of net water produced.

As observed in the concept note, “it is difficult to manage what is not measured”. In most rural
drinking water systems, water is not measured or metered, leading to loss of water and revenue,
and thus affecting source and financial sustainability.

Drinking water security programmes should aim to measure the amount of water supplied and
design an appropriate programme to conserve drinking water.

Objective: To initiate action towards the Facilitator: Support agency.

commitment of the VWSC to the O&M of the
Duration: Four to five hours.
existing water supply scheme and drinking water
conservation programme. Process:

Participants: GP, VWSC members, VQAT members, 1. Explain VWSC goals and topics to group
PHED and ZP. members. It is important to tell them that they
will be contributing as representatives of a
Methodology: FGD.
group of people/organisation.
Agenda: To identify the issues and challenges 2. Divide the group into three smaller groups for
involved in operating and maintaining the a FGD, using the checklist (Table 4.3) as a basis
facilities by considering technical, financial for the FGD.
and institutional aspects, including water tariff
calculation and drinking water conservation
by adopting water tariffs based on
volumetric consumption.

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Table 4.3. Checklist for FGD

Group 1: O&M Budget
• Who is responsible for O&M?
• Describe the system and
functions of the various
stakeholders involved in O&M
Group 2: Water Quality and
Energy Bills
• Are water samples tested on a
regular basis?
• Is chlorination of water
done regularly?
Group 3: Water Conservation
• How much water is consumed
per day by the village?
• Is the public water
system metered?

• Is an annual budget of water • Has a water person been • Are service connections
supply facilities prepared? appointed as per requirement? metered?

• How much is the water tariff
charged in your village?
• How many households pay
water charges regularly?
• Are the energy bills received
based on the actual meter
readings?
• Does the water supplied
match the water consumed?
• Is the energy bill based on the
actual meter reading?

• What is the system of water

charges collection?

• % of water charges recovery?

• What are the issues and

difficulties associated with
collection of water charges?

• Whether the rate of water

charges is sufficient?

• What is the system of punitive

action on defaulters?

3. Display all charts on the wall and start a
discussion about each. Explain the issues
associated with each point and then ask “what
can be done to deal with this issue?” Guide the
discussion towards the O&M budget and water
tariffs based on actual consumption.
4. Water tariff calculation. Explain that there are
two main categories of cost factors (operational
costs and maintenance/repair costs) (Table 4.4).
Each category is sub-divided:
a. Operation cost: Salary of water person,
electricity, chlorination, testing water
samples and VWSC office expenses, bill
collector’s commission.
b. Maintenance and repair costs: Maintenance
and repair of water supply system, water source
and depreciation.

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Table 4.4. Water Tariff Calculation

S. No Expenditure Monthly Expenditure (Rs.) Cost per Year (Rs.)

A Operational Cost

1 Salary of water person No. of water 1 x 12 months =

persons x monthly salary

2 Electricity bill 2a. Fixed charges per hand pump 2a x 12 + 2b x

x total hand pumps 365 days =

2b. Pumping hours x hand pump

x 0.75 x 31 x unit charges

3 Chlorination (Approx. 5 grams of

TCL per 1,000 litres)

4 Testing of water samples Lump sum

5 VWSC office expenses/bill collector Lump sum

B Maintenance and Repair Costs

1 Maintenance and repair of water Lump sum

supply system

2 Maintenance and repair of source Lump sum

C Depreciation Cost

Total

5. How to calculate water tariff: In the instance At this stage, arguments will probably erupt and
of villages without metered service connections, people will voice their opinions about the water
calculating the water tariff will be interesting tariffs. This will probably lead to discussion of a
and fun. In cases where water tariffs are on a flat volumetric-based water tariff, which in general
rate, this will lead to interesting discussions on can save on water consumption by approximately
water consumption. 30-40 per cent, thereby contributing to
source sustainability.
Water tariff per person = Total O&M cost per year/
Total population
or
Water tariff per household = Total O&M cost per
year/Total households

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Box 4.1. O&M and Water Conservation
It has been observed that lack of attention to the
important aspect of O&M of the majority of water
supply schemes often leads to deterioration of the
useful life of the systems, necessitating premature
replacement of many components. Regardless
of investments in the systems costing millions of
rupees, they are thus unable to provide effective
services to the communities for which they have
been constructed, given that they are defective or
underutilised for most of the time.
Some of the key issues contributing to the poor
O&M have been identified as:
l Lack of finance, inadequate information on O&M
l Inappropriate system design and
inadequate workmanship
l Multiplicity of agencies, with
overlapping responsibilities
l Inadequate training of personnel
l Low attraction of maintenance jobs in
career planning
l Lack of performance evaluation and
regular monitoring
l Inadequate emphasis on preventive maintenance
l Lack of operation manuals
l Lack of appreciation of the importance of facilities
by the community
l Lack of real time field information, etc.
A need, therefore, exists for clear-cut sector policies
and a proper legal framework, together with clear
demarcation of responsibilities and mandates within
the water supply sub-sector.
India’s experience reveals that, in the case of
pumping schemes, around 20-40 per cent of the
total annual O&M costs are generally accounted for
by salaries and 30-50 per cent by power charges,
with the balance utilised for consumables, repairs
and replacement of parts and machinery, and
miscellaneous charges. In most Indian cities, the
tariffs are so low that they do not even cover the
annual O&M costs.
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Measures such as leakage control and water metering
will help to reduce wastage and increase revenues for
the local providers to the maximum extent possible.
Several pilot studies conducted in India have shown
water losses in the distribution systems to be of the
order of 20-50 per cent of the total flow in the systems.
It has been noted that maximum leakage (more than
80 per cent) occurs in the distribution system and
house connections. Moreover, losses also occur at the
source, points in the transmission system, as well as in
the treatment plants and reservoirs, which may total a
further 10-20 per cent of overall output.
In India, where water supply is often intermittent
(supply hours ranging from three to 10 hours), external
pollution may get sucked into the system through
leakage points during non-supply hours (i.e., when the
system is not under pressure), thereby causing
health hazards.
A systematic approach towards wastage, leakage and
preventive maintenance needs to form an integral
part of O&M on a regular basis with the aim of
saving considerable quantities of water, preventing
contamination, improving pressure in the distribution
system and increasing revenues in order to make the
systems self-sufficient. If such measures are adopted
by the water supply agencies in India, there could
possibly be no immediate need to introduce schemes
for increasing water supply.
Water metering is desirable from two points
of view:
a) To minimise wastage
b) To maintain economically feasible water pricing
According to current practice, consumers own their
domestic meters and, therefore, they have direct
access to the meters. It would perhaps be worthwhile
to explore the possibility of the respective water
supply agencies and local bodies owning such meters
themselves to ensure that consumers do not have direct
access to the meters and avoid possible tampering.

4.2 Monitoring
Monitoring is the continuous assessment of project
implementation in relation to agreed schedules,
and of the use of inputs, infrastructure and
services by project beneficiaries.
Monitoring provides managers and other
stakeholders with continuous feedback on
implementation, identifying actual or potential
successes and problems at an early stage to
facilitate timely adjustments to project operation.
Evaluation is the periodic assessment of a project's
relevance, performance, efficiency and impact
(both expected and unexpected) vis-à-vis
stated objectives.
For monitoring:
l Identify the activities/indicators/outcomes
to be monitored.
l Decide how the findings will be acted on.
l Identify sources for monitoring data and data
collection methods.
l Schedule monitoring.
l Design and pre-test simple forms and
questionnaires for recording information.
I M P LE M EN T A T ION AN D M ONI T ORING P ROCE S S
For evaluation:
l Review project objectives and relevant project
activities in terms of expected outcomes.
l Identify indicators/outcome measures
for evaluation.
l Determine sources of data for evaluation and
data collection methods.
l Plan for data collection, including schedule
and staff.
To plan for Monitoring and Evaluation (M&E),
specify the information that will be needed, how it
will be used for decision-making and how progress
and impacts will be measured. Plans for M&E
should be prepared at the same time and merged
with plans for the overall project. At the start of
the planning process, decide how M&E data will
be followed through. Ensure that each piece of
data that is collected has a purpose in order to
ensure that M&E is a meaningful process that can
benefit the project’s objectives. A suggested M&E
framework is shown in Table 4.5.
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Table 4.5. Suggested Monitoring and Evaluation Framework

Results Indicator Means of Verification

Reduction in No. of farmers and area Baseline, midline and endline survey report
flood irrigation under drip irrigation Agriculture Department Monitoring Report
Increased number of No. of rainwater harvesting Baseline, midline and endline survey report
rainwater harvesting structures in catchment area Agriculture Department Monitoring Report
structures
Improvement in Water quality data Water quality test reports
water quality
Reduction of No. of cases of Local clinic and hospital records
waterborne diseases waterborne diseases
Increased number of No. of toilets constructed Records provided by GP/VWSC
toilets and their usage
Regular VWSC meeting No. of regular meetings held VWSC meeting (and resolutions)
by the VWSC
Preparation of Annual O&M budget in place VWSC and GP meeting to confirm approval of
O&M budget O&M budget and expenditure
Preparation of Water budget in place VWSC and GP meeting to confirm approval of
water budget O&M budget and expenditure
Improved water % recovery of water charges VWSC and GP records
charges recovery
Reduction in Consumption of electricity Electricity bills
energy consumption per day/month
Drinking water Consumption of water Electricity bills and meter-reading
conservation and electricity
(needed for pumping)
Improvement in Groundwater table records Groundwater table monitored by VWSC/GP
groundwater table
Increased number of Parliamentarians, Members Interviews, baseline data
elected representatives of Lesgislative Assembly
who engage with the who can identify the benefits
project benefits
Media informed and No. of news items and Media monitoring and analysis
motivated to report exposure in international,
on DWSP national, regional and
local media

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BIBLIOGRAPHY

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BIBLIOGRAPHY

Some of the references which were helpful in developing the DWSP Toolkit are listed here.

Document Title and Brief Summary Web Link

Title: National Drinking Water Security
Pilot Projects

PPT by Mr. Sudhindra Mohan Sharma, Nodal

Officer, National Drinking Water Security Pilot
Projects, Ministry of Drinking Water & Sanitation,
Government of India
Title: A Handbook for http://www.indiawaterportal.
Gram Panchayats org/sites/indiawaterportal.org/
files/A_handbook_for_Gram_
Panchayats_on_managing_
drinking_water_security_
by_the_Department_of_
Drinking_Water_Supply%20_
Hindi_2010.pdf
http://www.mdws.gov.in/
sites/upload_files/ddws/
files/pdfs/GPHandbook.pdf
Title: Guidelines and Tools for http://www.rural-water-
Rural Water Supplies supply.net/_ressources/
documents/default/1-398-3-
This directory contains 42 sets of guidelines, 1348587119.pdf
manuals and toolkits on the delivery of rural
water supply services. Each resource is
categorised according to whether its primary
audience is an international, national or other
type of organisation. Icons and summary tables
are designed to help you find guidelines that are
relevant to your task. Links and references are an
aid to the original documents.
Title: Scaling up Solid and Liquid Waste http://www.mdws.gov.in/sit
Management in Rural Areas es/upload_files/ddws/files/
pdfs/Handbook%20on%20S
Published by WSP and the Department LWM%20WSP%20final%20
of Drinking Water and Sanitation, GoI, May%202012.pdf
this Handbook focusses on the planning,
institutional/community mobilisation and
the financial aspects of implementing a waste
management programme in rural areas.

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Document Title and Brief Summary Web Link

Title: Ground Water http://www.nrsc.gov.in/pdf/
Prospects Maps rgndwmum.pdf

Prepared under the aegis of the Rajiv Gandhi

National Drinking Water Mission Project,
Ministry of Drinking Water & Sanitation,
GoI, this Manual contains maps identifying
potable groundwater sources which are
sustainable for longer periods—a key issue
in the supply of drinking water to India’s
rural habitations. To address this issue, the
former Department of Drinking Water and
Sanitation, Ministry of Rural Development,
GoI—the prime organisation concerned
with the supply of drinking water in the
country—requested the Government’s
National Remote Sensing Centre, India
Space Research Organisation/Department
of Space, to prepare groundwater prospects
maps (hydro geo-morphological maps)
on a 1:50,000 scale, using remote sensing
and GIS technology. The User Manual is
invaluable for understanding the keys/
legends and the various thematic layers and
technical aspects of maps.
Title: Towards Drinking Water Security http://www.wsp.org/sites/wsp.
in India, Lessons from the Field org/files/publications/WSP_
Compendium_Water.pdf
Produced by WSP and the Department of
Drinking Water and Sanitation. Lessons and
case studies from the field.

Various Success Stories Title: Success Stories http://www.mdws.gov.in/do

and Learnings cumentreportall/term/42
Various success stories, published by
the Ministry of Drinking Water &
Sanitation, are contained in a useful
document for facilitators.

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Document Title and Brief Summary Web Link

Title: Engaging Non-state Providers in http://www.mdws.gov.in/sit

Rural Water Supply Services es/upload_files/ddws/files/
pdfs/Engaging_Nonstate_Pr
With the NRDWP prioritising household- oviders_in_Rural_Water_Sup
level water security and movement (i.e., ply_Services.pdf
working towards adequate and safe water
supply through house connections), massive
investment for responding simultaneously
to system and source sustainability issues
is proposed for dealing with rural drinking
water supply in future years. The sector’s
human and financial requirements, including
for O&M, are likely to increase significantly
against a background of increasing and broad
concern regarding the O&M of the existing
infrastructure. Unless these problems are
addressed, it is likely that the significant
future investments proposed in the sector
will be at risk. There is a case, therefore, for
exploring alternative O&M options that can
ensure appropriate and timely preventive and
corrective O&M by using dedicated, qualified
staff at reasonable cost. Such alternatives,
particularly mobilised through non-state
providers, are already being considered in
some states and the experiences to date are
described in this document.
Title: Manual on Operation and http://cpheeo.nic.in/Operat
Maintenance of a Water Supply System ion.htm

Published by the Central Public Health and

Environmental Engineering Organization,
Ministry of Urban Development, GoI,
and World Health Organization, this Manual
addresses issues such as wastage, leakages and
high-energy consumption.

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ANNEX

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Template for Drinking

Water Security Plan

Drinking Water Security Plan

Gram Panchayat (Insert name)
Block (Insert name)
State (Insert name)

Insert relevant picture/map from project area

Date (insert date)

Prepared by Gram Panchayat (insert name)
Block Resource Centre & Support Agency (insert name)
Under the Guidance of District Water and Sanitation Mission (insert district name)

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Gram Sabha resolution Gram Panchayat resolution

(Please attach the scanned copy of the Gram Sabha (Please attach the scanned copy of the GP
resolution for approval of the village DWSP Plan) resolution for approval of the village DWSP Plan)

Sample format of Sample format of

Gram Sabha resolution
This is to certify that the Village Drinking
Water Security Plan has been prepared by a
consultative process by the Gram Panchayat
with assistance and support from the Support
Organisation, the Block Resource Centre and
the District Water and Sanitation Mission.
The final Village Water Security Plan was
discussed in detail during the Gram Sabha
held on ................
We request the DWSM to endorse the plan
and provide us with technical and financial
assistance for implementing the Drinking
Water Supply Security Plan.
Chairperson ................... Gram Sabha Chairperson/Sarpanch ............. GP
VWSC President
GP resolution
This is to certify that the Village Drinking
Water Security Plan has been prepared by a
consultative process by the Gram Panchayat
with assistance and support from the Support
Organisation, the Block Resource Centre and
the District Water and Sanitation Mission.
The consolidated Village Water Security Plan
was discussed in detail during the
GP meeting held on ................
We request the DWSM to endorse the plan
and provide us with technical and financial
assistance to implement the Drinking Water
Supply Security Plan.
GP Secretary

Chapter 1: GP Profile
1.1 Project Area
Briefly describe project location, mentioning block, district and number of villages in the GP area.
Also the GP revenue area. Provide the reference of the toposheet and of the groundwater prospective
map of the project area.

Insert Toposheet scan Insert Groundwater

copy (sample) Prospects Map (sample)

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Profile Chapter 2: Planning Process

1.2 Socio-economic profile of GP
(Describe the socio-economic profile of the GP:
male and female population, sex ratio, children
under 14 years, infant mortality rate, maternal
mortality rate, labour force, etc., access to the GP,
number of schools, Anganwadi centres, etc.)
Key issues: Was a participatory planning process
adopted when preparing the DWSP facilitated by the
BRC, DWMS and SO?
2.1 Planning Activities
Describe the chronological order of activities
undertaken with the aim of involving the community
and local CBOs and SHGs in data collection,
identification of issues and problem analysis and
which assisted the preparation of the DWSP.

S. No Activity Village 1 Village 2 Village 3 Village 4

1 Gram Sabha - 1 Date Date Date Date

2 GP Workshop - 1 Date Date Date Date

3 VWSC meeting - 1 Date Date Date Date
4 PRA Date Date Date Date

5 Water Transect—Walk from Source to Users Date Date Date Date

6 Establishment of rain gauge station Date Date Date Date
7 WTQQ monitoring of selected bore/tube well
8 Water budget estimation Date Date Date Date
9 Women’s meeting Date Date Date Date
10 School health programme Date Date Date Date
11 Exposure visit Date Date Date Date
12 VWSC - 2 Workshop Date Date Date Date
13 Gram Sabha - 2—approval of DWSP Date Date Date Date
14 GP-level compilation meeting Date Date Date Date
15 Video show/street play, etc. Date Date Date Date

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Provide gender-disaggregated data on participation together with quality analysis and quality
information which can be summarised as follows:

S. No Activity Female Male Total

1 Gram Sabha - 1 No. No. No.

2 GP Workshop - 1 No. No. No.
3 VWSC meeting - 1 No. No. No.
4 PRA No. No. No.
5 Water Transect No. No. No.
8 Water budget estimation No. No. No.
9 Women’s meeting No. No. No.
10 School health programme No. No. No.
11 Exposure visit No. No. No.
12 VWSC - 2 Workshop No. No. No.
13 Gram Sabha - 2—approval of DWSP No. No. No.
14 GP-level compilation meeting No. No. No.
15 Video show/street play, etc. No. No. No.

2.2 VWSC The VWSC is a standing committee of the GP

Key issues: The VWSC has been established
in each project village, necessary capacity
building activities undertaken and the roles
and responsibilities of the VWSC are clear
and well-established.
responsible for planning, implementation,
operation, maintenance and management of
the village DWSP. It is important to build and
facilitate a dynamic VWSC involving individuals
of both sexes. Briefly explain the various processes
facilitated in the establishment of a functioning
VWSC. These processes can be listed as follows:

Activity Village 1 Village 2 Village 3 Village 4 Total

Date of formation of VWSC Date Date Date Date
No. of female members No. No. No. No. No.
No. of male members No. No. No. No. No.
Total of VWSC members No. No. No. No. No.
Details of VWSC A/C No. A/C No. A/C No. A/C No.
bank account Bank: Date Bank: Date Bank: Date Bank: Date
account account account account
opened opened opened opened

Enclose list of VWSC members.

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2.3 PRA
Key issues: Has the PRA been conducted in all the villages to identify and analyse the problems and
move towards alternative solutions?

Activity Village 1 Village 2 Village 3 Village 4

Social Mapping Date Date Date Date
Water Resource Mapping Date Date Date Date
Timeline Date Date Date Date
Seasonality Date Date Date Date

Gender-disaggregated data for the PRA activity

Activity Female Male Total

Social Mapping No. No. No.
Water Resource Mapping No. No. No.
Timeline No. No. No.
Seasonality No. No. No.

Attach photographs of PRA activity.

Issues identified during the PRA

Total no. of households

Total population
No. of drinking water wells/sources
No. of irrigation wells/sources
Historical background of water quality and quantity
Historical background of groundwater table
Historical background of cropping pattern
Open defecation and household health and sanitation
Solid and liquid waste management aspects

Enclose copies of Social and Water Resource Maps.

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2.4 Water Transect 2.5 Establishment of

Key issues: Onsite review of water facility and
identification of water security issues and water
supply system repair requirements done using
participatory process.
Rain Gauge Station
Briefly highlight the action taken to set up the rain
gauge station in the project area

Explain in details the Water Transect—Walk from 2.6 WTQQ Monitoring

Source to User and summarise the identified issues Briefly highlight the action that has been taken
regarding the following (enclose duly completed to monitor groundwater levels, discharge and
checklist as provided in the Toolkit): quality and the involvement of the community in
identifying a well for monitoring WTQQ. The water
l Drinking water source budget calculation should be based on village-level
l Pumping machinery data generated within the study area. Village-level
l Transport main monitoring of water levels, discharge and quality
l Storage
will generate interest in the community and is
l Distribution system
cost effective.
l O&M issues
l Solid and liquid waste management
Attach the detailed calculation.
l Household sanitation

2.7 Water Budget

Highlight the following:
l Where are the hydrologic elements located in the watershed? Where is the water?
l How does the water move between these hydrologic elements? What are the pathways
through which the water travels?
l Where are water users located and how much water are they using?
l Future trends? Are water levels declining, increasing or remaining constant? The
supply/demand gap should be clearly emphasised.

S. No. Village Annual Water Consumption Availability Gap %

Drinking Livestock Agriculture Industries Total

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Summarise the water situation, highlighting: 2.8 Sensitisation/Awareness Raising

l The supply/demand gap
l Water quality
l Water consumption pattern for domestic,
agricultural and industrial use
The data/information generated from monitoring the
water table, water quantity and quality and the outcome
of the water budget should be shared with various
stakeholders by means of meetings, displays, street play,
etc. In this section, describe the various activities that
have been undertaken to raise stakeholder awareness.

2.9 Drinking Water Security Plan

The DWSP should take account of source sustainability, system improvement, O&M and sanitation
aspects. The summary for each village can be presented in the following format.

Components Project Responsibility Timeline Budget Source of

Intervention Budget
Mobilisation
Source Sustainability
Drinking 1. Surface water harvesting
Water 2. Drip irrigation facility
Source for farmers
3. De-silting of tank
4. Roofwater harvesting
5. Installation of rain
gauge station
6. Additional source
System Sustainability
Pumping 1.
Machinery 2.
Rising Main 1.
2.
Storage 1.
2.
Distribution 1.
System 2.
O&M Issues 1. Supply of O&M ledger
2. Supply of tools
3. Training for
Water Person and VWSC
Sanitation Plan 1.
Solid and 1. Repair of existing drains
Liquid Waste 2. Construction of new drains
Management 3. Identification of a system
for collection
Household 1. Awareness raising
Sanitation
2.
3.

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Chapter 4: Implementation and Monitoring

4.1 Implementation
Briefly explain how the project will be implemented and describe the roles envisaged for various
stakeholders during the implementation stage, particularly those of the DWSM, BRC, GP, VWSC and SO.
Highlight the quality control and quality assurance aspects.
Phasing and implementation schedule (enclose bar chart—sample shown).

S. Activity Year 2014 Year 2015

No.

J F M A M J J A S O N D J F M A M J J A S O N D

1 Source
Sustainability

2 Sustainability

3 Rising Main

4 Storage

5 Distribution
System

6 O&M

7 Sanitation

8 Solid &
Liquid Waste
Management

9 Household
Sanitation

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4.2 Monitoring
List out the various indicators identified for monitoring project activity and intervention.

Indicator Means of Baseline During

Verification Data Monitoring
Period
No. of farmers and area under Baseline, midline and endline
drip irrigation survey report
Agriculture Department
Monitoring Report

No. of rainwater harvesting Baseline, midline and endline

structures in catchment area survey report
Agriculture Department
Monitoring Report

Water quality data Water quality test reports

No. of cases of Local clinic and hospital records

waterborne diseases

No. of toilets constructed Records provided by GP/VWSC

No. of regular meetings VWSC meeting (and resolutions)

held by the VWSC

Annual O&M budget in place VWSC and GP meeting to confirm

approval of O&M budget
and expenditure

Water budget in place VWSC and GP meeting to

confirm approval of O&M
budget and expenditure

% recovery of water charges VWSC and GP records

Consumption of electricity on Electricity bills

daily/monthly basis

Consumption of water and Electricity bills and

electricity for pumping meter-reading

Groundwater table records Groundwater table monitored by

VWSC/GP

No. of news items and exposure Interviews, baseline data

in international, national,
Media monitoring and analysis
regional and local media

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a D r i n k i n g Wat e r S e c u r i t y P l a n
Water and Sanitation Program
The World Bank
HT House, 10-20 Kasturba Gandhi Marg
New Delhi 110 001, India
Phone: (91-11) 41479301, 49247601
E-mail: wspsa@worldbank.org
Web site: www.wsp.org
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E-mail: jstm@nic.in
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