ARWSP GUIDELINES

1.1 BACKGROUND

Drinking Water Supply is a State subject. Funds have been provided in the budgets of the States for the drinking water supply right from the
commencement of the first Five Year Plan. A national water supply and sanitation programme was introduced in the social welfare sector in
the year 1954. The Government of India provided assistance to the States to establish special investigation divisions in the Fourth Five Year
Plan to carry out identification of the problem villages. Taking into account the magnitude of the problem and to accelerate the pace of
coverage of problem villages, the Central Government introduced the Accelerated Rural Water Supply Programme (ARWSP) in 1972-73 to
assist the States and the Union Territories with 100% grants-in-aid to implement the schemes in such villages. This programme continued till
1973-74. But with the introduction of the Minimum Needs Programme(MNP) during the Fifth Five Year Plan (from 1974-75), it was withdrawn.
The programme was, however, reintroduced in 1977-78 when the progress of supply of safe drinking water to the identified problem villages
under the Minimum Needs Programme was not found to be satisfactory.

1.2 National Drinking Water Mission

The entire programme was given a Mission approach when the Technology Mission on Drinking Water and Related Water Management, also
called the National Drinking Water Mission (NDWM) was introduced as one of the five Societal Missions in 1986. NDWM was renamed as
Rajiv Gandhi National Drinking Water Mission in 1991.

z The following were the objectives of the NDWM in 1986:-

z Cover 1,37,155 residual problem villages as on 1.4.86 with safe drinking water;
z Evolve appropriate technology mix;
z Improve performance and cost effectiveness of the ongoing programmes;
z Create awareness on the use of safe drinking water;
z Take conservation measures for the sustained supply of water.

ARWSP continued to be implemented till 1998-99 though it was envisaged that all the rural habitations in the country would be covered
during the 8th Plan period and the implementation of the programme would be discontinued by the end of the 8th Plan period. However, the
objectives of the programme could not be attained as envisaged due to lack of sufficient funds and re-emergence of Not Covered habitations
etc. and the programme continues to be implemented during the 9th Plan.

1.3 Need for change

The strategies of Rural Water Supply Programme hitherto adopted revolve around the basic premise that provision of safe drinking water is
the responsibility of the Government. Increased outlay by the Government, particularly in the last one decade and, a change in technology
focus to handpumps fitted on tube wells and bore wells, had resulted in an impressive increase in the total rural water supply coverage.
However, the availability of potable drinking water in rural areas, especially during the summer months, is still not satisfactory. Eventhough
about 1 lakh habitations are covered every year, the number of problem habitations has not declined proportionately. The reasons identified
for uncovered villages were:

z Fast depletion of ground water level, which also increases incidence of quality problems of Arsenic and Fluoride etc.
z Sources go dry and defunct due to deforestation with consequent reduced recharge and lack of protection.
z Heavy emphasis on new construction and poor attention to maintenance.
z Non-involvement of people in operations and maintenance.
z Neglect of traditional water management practices/systems.

This revised guidelines is envisaged to be a tool to energise the system towards overcoming the above and to achieve the goal of providing
safe and sustainable drinking water to all rural habitations of the country during the Ninth Plan period by exercising over the following:

z Control on over-extraction of groundwater

z More funds for repairs and rehabilitation
z Increasing people’s participation
z Reserve 20% funds for states promoting sector reforms
z Water to be treated as a socio-economic good
z Stronger links with watershed development programmes

Hence, the prime objectives of these guidelines are as under:

z To ensure coverage of all rural habitations especially to reach the un-reached with access to safe drinking water.
z To ensure Sustainability of the systems and sources.
z To preserve quality of water by institutionalising water quality monitoring and surveillance through a Catchment Area approach.

1.4 Programmes of RGNDWM (w.e.f. April 1, 1999):

Funds are provided to the States by the Rajiv Gandhi National Drinking Water Mission under the following programmes:

a) Accelerated Rural Water Supply Programme(ARWSP): To supplement the efforts of the State Governments in providing access to safe
drinking water to all rural habitations of the country.

b) Sector reform programme: Funds would be provided for institutionalising community participation in capital cost sharing, Operation &
Maintenance and Water Quality Monitoring & Surveillance in identified pilot districts.

c) Sub Missions: Five Sub Missions on problems of water quality and sources drying up needing construction of water conservation and
recharge structures and other measures with the States planning and approving them on their own.

d) Human Resource Development(HRD).

e) Research & Development(R&D).

f) Information, Education and Communication(IEC).

g) Management Information System(MIS).

h) Provision of water supply in rural schools.

i) Monitoring & Investigation Units, Purchase of Rigs, Water Quality Monitoring & Surveillance, Monitoring &
Evaluation Activity, Solar Voltaic Pumps and innovative projects.

1.5 Evolution of ARWSP guidelines

Though ARWSP was in existence from 1972, comprehensive guidelines for implementation of ARWSP were first issued in 1986. The present
guidelines are based on the revisions made and the following important developments that took place since 1986:-

z National Water Policy, 1987. (Annexure-I)

Revised criteria for allocation of ARWSP funds to States/UTs based on poverty criteria as was applicable to other Poverty Alleviation
programmes.
Earmarking of minimum of 25% of the ARWSP funds for SCs and another minimum of 10% for STs.
Provision for utilisation of 10% funds for O&M.
Introduction of ARWSP in DDP areas without the condition of matching funds under the MNP.
Introduction of central assistance at 75% for drinking water supply schemes for sub-missions including water harvesting
structures/water conservation, SPV pumping systems.
Central assistance for district level laboratories.
Guidelines issued by the Mission, on Human Resources Development.
Guidelines issued by the Mission, on Research & Development.
Guidelines issued by the Mission, on Information, Education and Communication (IEC).
Guidelines issued by the Mission, on Computerisation; MIS in rural water supply programme.
Complete delegation of powers to States to give technical and administrative approval for schemes under ARWSP in 1995.
Complete delegation of powers to States to give technical and administrative approval for schemes under Sub-Mission following the
procedure adopted for sanctioning normal ARWSP schemes w.e.f. 1-4-1998.
The Government of India, in March 1999, approved major policy changes for implementation of Rural Water Supply Programme
during 9th Plan period.

CHAPTER – 2

IMPLEMENTATION OF THE ACCELERATED RURAL WATER SUPPLY PROGRAMME (ARWSP)

2.1 IMPLEMENTING AGENCIES

2.1.1 The implementing agencies for the programme may be decided by the State Government. The implementation may be through the
PHED or Rural Development Department / Panchayati Raj Department / Board, Corporation or Authority. The implementation should be
entrusted to one single department in the State and not to a number of departments, with a view to better implementation, monitoring of the
progress, etc. If the programme has to be implemented in more than one department in the State due to unavoidable and certain special
considerations, one of the departments should be designated as the Nodal Department for coordinating the rural water supply programmes
and sending consolidated progress to the Central Government.

2.1.2 The Panchayati Raj Institutions should also be involved in the implementation of schemes, particularly in selecting the location of
standpost, spot sources, operation and maintenance, fixing of cess/water tariff, etc.

2.1.3 While formulating the schemes, name of the implementing agency may be indicated for each scheme.

2.1.4 The Nodal Department in the State Government will have the overall responsibility for planning, implementation, supervision and
monitoring, of the approved schemes.

2.1.5 In case the implementation is entrusted to the District Rural Development Agency (DRDA) , there should be a close coordination
between the State Nodal Department and the DRDA so as to ensure avoidance of duplication of efforts and dovetailing of the activities with
the normal schemes under MNP and ARWSP. The implementation of specific schemes through DRDAs should not mean reduction or
stoppage of flow of funds to the particular scheme/area under State Sector MNP.

2.2 NORMS FOR PROVIDING POTABLE DRINKING WATER

2.2.1 While implementing the Rural Water Supply Schemes, the following norms may be adopted for providing potable drinking water to the
population:

40 litres per capita per day (lpcd) for humans to meet the following requirements.

Purpose Quantity (LPCD)

Drinking 3
Cooking 5
Bathing 15
Washing utensils & house 7
Ablution 10

2.2.2 In addition, provision should be allowed at 30 lpcd for animals in hot and cold desert/ecosystems in 227 blocks of 36 DDP districts
already identified in the States of Andhra Pradesh, Gujarat, Haryana, H.P., J&K, Karnataka and Rajasthan.

2.2.3 With normal output of 12 litres per minute, one handpump or standpost is estimated for every 250 persons. In case of an independent
habitation/hamlet/Wadi/Tola/Majra/Mohra etc, if their population is less than 250 persons and there is no potable water source within its
location, one source may be provided . A rural habitation not having any safe water source with a permanently settled population of 20
households or 100 persons, whichever is more, may be taken as the unit for coverage with funds under the ARWSP. However, the State
Government could cover any habitation regardless of its size/population/number of households with funds under the MNP.

2.2.4 DDP areas and SC/ST habitations with less than 100 persons can, however, be covered under the ARWSP.

2.3 CRITERIA FOR IDENTIFICATION OF PROBLEM HABITATIONS

A habitation which fulfills the following criteria may be categorised as a Not Covered (NC) / No Safe Source (NSS) habitation :

a) The drinking water source/point does not exist within 1.6 km of the habitations in plains or 100 meter elevation in hilly areas. The
source/point may either be public or private in nature. However, habitations drawing drinking water from a private source may be deemed as
covered only when the water is safe, of adequate capacity and, is accessible to all.

b) Habitations which have a water source but are affected with quality problems such as excess salinity, iron, fluoride, arsenic or other toxic
elements or biologically contaminated.

c) Habitation where the quantum of availability of safe water from any source is not enough to meet drinking and cooking needs.

Hence, in case of quality effected habitations, even if they are fully covered as per the earlier norms it would be considered as a NSS
habitation if it does not provide safe water at least for the purpose of drinking and cooking.

Habitations which have a safe drinking water source/point(either private or public) within 1.6 km. in plains and 100 meter in hill areas but the
capacity of the system ranges between 10 lpcd to 40 lpcd, the habitation could be categorised as “Partially Covered (PC)”. These habitations
would, however, be considered as “Safe Source (SS)” habitations, subject to the water quality parameters.

All the remaining habitations may be categorised as “Fully Covered (FC)”.

2.3.1 Once the task of providing every habitation with safe drinking water source is completed as per the norms and criteria indicated at para
2.2.1 and para 2.3 (a) respectively, in the entire State, the State Government may consider relaxation of norms with the prior approval of the
Government of India, subject to the condition that beneficiaries of the relaxed norms are willing to share a part (which should not be less than
20%) of the capital cost and shoulder full responsibilities of subsequent O & M and replacement so as to meet their enhanced service
expectations.

2.4 PRIORITY FOR COVERAGE OF NO SAFE SOURCE HABITATIONS

The following priorities should be adopted:

- Coverage of No Safe Source (NSS) habitations. Among them priority may be given to the ones inhabited exclusively by SC/ST or having
larger SC/ST population enumerated in the Status Report of 1994 (Survey) and resurveyed in 1996-97.

- Coverage of quality affected habitations with acute toxicity first and the others later.

- Upgradation of source level of safe source habitations which get less than 40 lpcd water to the level of 40 lpcd.

- Coverage of schools and Anganwadis where safe drinking water sources could not be provided under the outlays allocated by the Tenth
Finance Commission.

2.5 Criteria for allocation of funds under ARWSP

Criteria for allocation of funds to the States under the ARWSP w.e.f. 1.4.99 will be as under:
Weightage for Percentage (%)
(a) Rural Population 40
(b) States under DDP, DPAP, HADP & special category hill States in terms of
35
rural areas
(c) NC/PC villages (at 2:1 ratio) 10
(d) Quality affected villages (40:40:15:5) 5
(e) Overall water resource availability (un-irrigated over irrigated area) 10
Total 100
However, the proportion of Union Territories, North Eastern States, and Sikkim is retained at the level of their allocation for 1986-87.

2.5.1 The allocation of Central Assistance under the ARWSP is subject to the matching provision/ expenditure by the States under the State
Sector MNP. Releases under the ARWSP would not exceed the provision for Rural Water Supply made by the State Governments under
their MNP. The shortfall in actual expenditure under the MNP vis-à-vis expenditure under the ARWSP during the previous year shall be
deducted from the last installment of the ARWSP funds for the current financial year. The allocation of central assistance under the ARWSP
for a financial year would be communicated to the States/UTs at the beginning of the financial year.

2.5.2 These are dynamic figures and allocations for the subsequent years will be made based on the data on items on 2.5 (c), (d) and (e)
above as on 31st March of the previous year. This can vary subject to changes on (c), (d) and (e) above on an annual basis .

2.5.3 The funding pattern for Sub Mission projects taken up after 1-4-1999 will be in the ratio of 75:25 by the Central and State Governments.
No separate funds will be released for this purpose. Upto 20% of the ARWSP funds released to the States can be used for these projects as
per the details given in para 5.2.

2.6 ARWSP in DDP Areas

A fixed amount (of about 5%) of annual central plan allocation is earmarked for Rural Water Supply in DDP areas in Andhra Pradesh,
Gujarat, Haryana, Himachal Pradesh, J&K, Karnataka and Rajasthan without the condition of the States providing matching provisions under
their MNP. The share of these States will be determined in proportion to the number of NSS habitations without safe source.

2.7 OPERATION & MAINTENANCE

Upto 15% of the funds released every year under the ARWSP to the States/UTs may be utilised for operation and maintenance of assets
created, subject to (i) ceiling of matching grant provided by the States out of the MNP provision and (ii) the approved norms already
circulated to all the States/UTs. The funds earmarked for operation and maintenance of assets is not to be permitted for creation of capital
assets.

2.8 EARMARKING OF ALLOCATION FOR SCs/STs

2.8.1 The State/UTs are required to earmark and utilise at least 25% of the ARWSP funds for drinking water supply to the SCs and another
minimum 10% for the STs. Where the percentage of SC or ST population in a particular State is considerably high warranting
earmarking/utilisation of more than stipulated provisions, additional funds can be utilised. As a measure of flexibility, States may utilise at
least 35% of the ARWSP funds for the benefit of SCs/STs, particularly in those states where SC/ST coverage is less than the coverage of the
general population.

2.8.2 Diversion of funds earmarked for the SC/ST Sector to other sectors is not permitted. In cases wherein the States have achieved
substantial coverage of SC/ST habitations and, do not have sufficient SC/ST population left out so as to utilise 35% of the ARWSP and the
MNP allocations, such States may be allowed by the Rajiv Gandhi National Drinking Water Mission, to incur lower level of expenditure on the
coverage of SC/ST habitations, on a case to case basis, in consultation with the Ministry of Social Justice and Empowerment and the
National Commission for SC/ST. In such cases, States are required to submit separate proposals giving detailed justification for availing of
such relaxation.

2.8.3 The State Governments may list out the SC/ST habitations separately and their coverage may be monitored as a distinct component of
the programme.

2.9 INVOLVEMENT OF WOMEN

2.9 INVOLVEMENT OF WOMEN

Since women are the principal beneficiaries of this programme, it is of crucial importance that women are involved at all the stages of Rural
Water Supply Schemes, particularly while making decisions on the location of the standpost/spot sources in the villages/habitations.
Information about sources of water should be obtained from women by the surveyors of the schemes. They should also be involved in the
following manner:-

a) At least 30% of handpump mistries under NHRD, TRYSEM and other training schemes, should be women of the local areas/habitations as
they can take better care of the operation and maintenance of the handpump schemes than others.

b) There should be women caretakers for handpumps in the habitations.

c) Certificate about satisfactory completion of the schemes may be obtained from women groups in the habitations.

d) Prominent women from the habitation should be represented on the village level water monitoring committees.
Experience has shown that where women are involved in such consultation and in the maintenance of the spot sources, the performance of
the water supply systems has been effective. This aspect should be kept in view and ensured by the implementing agencies at the time of
formulation, implementation and maintenance of the schemes. Each scheme/project for Rural Water Supply should mention the extent of the
involvement of women.

2.10 ANNUAL ACTION PLAN

2.10.1 The main objectives of the Annual Action Plan are to provide a definite direction to the programme, and also to ensure monthly and
quarterly monitoring of physical and financial progress during the course of the financial year vis-à-vis (i) the target as included in the Action
Plan and (ii) the priorities mentioned in para 2.4.

2.10.2 The States/UTs shall prepare Annual Action Plans six months before the commencement of the financial year on the basis of the shelf
of schemes, the likely size of the allocation under State Sector MNP, ARWSP as well as likely carry over funds, if any, and submit them to
the RGNDWM, by the beginning of October of the year for use at the Annual Plan discussions.

2.10.3 While preparing the Annual Action Plans, completion of the incomplete works shall be given priority over taking up of new works. It
should be ensured that the works taken up are completed as per schedule and that there should not be any delay in execution which would
result in cost escalation, non-utilisation of assets created, etc.

2.10.4 As soon as final outlay is decided, the Annual Action Plans prepared earlier may be reviewed and finalised. It should be forwarded to
the Central Govt. latest by the 30th April of the financial year to which they pertain. The Action Plans should indicate the following aspects
also:-

z Target of coverage of NC/PC habitations with their names, block, district, etc with reference of serial number from the appropriate
survey list,
z Whether the habitations will be covered fully or partially. If partially, the extent of such partial coverage in terms of either additional
segment of population to be benefited or the number of sources to be added to the sources existing at the end of the previous
financial year,
z Steps taken by the implementing agency for functioning in a mission-mode,
z In house plan for HRD and how these have bearing on the projects,
z The activities to be taken up under sub-missions, magnitude of the problem, steps to tackle it, the oranisational structure for handling
the sub-missions, details of IEC activities,.
z Population to be benefited indicating separately the SC/ST population; and,
z Clean environment around drinking water sources including handpumps , proper O&M and involvement of the Panchayati Raj
Institutions.

2.10.5 Dual Water Supply Policy may be adopted for rural habitations facing acute water quality problems. In these habitations even if safe
water is provided upto 10 LPCD, which would be sufficient for drinking and cooking purposes, it may be considered as a habitation with a
safe source of drinking water. For other activities like washing, ablution etc. water available from the unsafe sources can be utilised without
any problem.

2.11.2 The second installment to cover the balance of the annual allocation will be released on fulfillment of the following conditions:-

(a) Receipt of a specific proposal from the State/UT Govt. in prescribed proforma (Annexure II) with progress reports and returns by the end
of December in each year,

(b) Utilisation of 60% of the available resources under the ARWSP and the MNP (unutilised opening balance, if any, from the previous years
plus funds released as the first installment),

(c) Receipt of certificate of actual expenditure under the MNP and the ARWSP from the Accountant General upto the year preceding the
previous financial year,

(d) Receipt of utilisation certificate ( in the prescribed proforma as at Annexure-III) under the MNP and the ARWSP signed by the Chief
Engineer and countersigned by the Secretary, for the previous financial year,

(e) Certificate that the unfinished works are given priority for completion,

(f) Certificate that no work started more than three years ago remains incomplete,

(g) Certificate that schemes technically cleared six months ago have been taken up for implementation,

(h) Proposal for release of the second installment of funds under the ARWSP, complete in all respects as indicated above, should reach the
Mission by the 31st December. Such proposals will be entitled for receipt of full allocated amount under the ARWSP. Proposals received
after the 31st December will be subjected to progressive cuts as indicated below:

Month of receipt of proposal for release of second installment Cut on the total allocated amount of
of ARWSP fund ARWSP fund
December Nil
January 10%
 February 20%
March 30%

(i) The expenditure on O&M should not exceed 15% of the ARWSP and 15% of the MNP funds. Excess expenditure in the previous year, if
any, will be deducted at the time of release of the 2nd installment of funds for the year; and

(j) Any other condition(s) that may be imposed from time to time.

2.11.3 Release of funds for other schemes/projects will also be regulated in two installments and as per the need-based approach. In other
words, funds will be released based on the specific proposals from the State Governments indicating the actual requirement during the
remaining part of the year and utilisation of prescribed percentage of funds already released.

2.11.4 While releasing the central assistance, the quantum of unutilised funds available with the States/UTs in relation to the total allocation
for the financial year will be kept in view. From 1.4.99, a carry over of funds, to the extent of 20% of the total allocation for the year will only
be allowed. The maximum carryover of funds on 1.4.99 (from 1998-99 to 1999-2000) permissible is 20% of the total allocation. However,
from 1.4.2000, the carry over of funds, only to the extent of 15% of the total allocation for the year will be allowed. Final instalment for the
year will be reduced by the amount the carry over funds exceed this limit.

2.11.5 The States/UTs shall release the entire amount of central assistance received along with the matching MNP share to the executing
agency/agencies without any delay and in any case not later than 15 days after its receipt.

2.11.6 In the States where the programmes are implemented through Statutory Bodies like Boards, Nigam and Authority etc, central
assistance will be released direct to such Bodies and not through the States. In such cases, expenditure incurred under the ARWSP should
confirm submitting the utilisation of Central funds should be subjected to audit either by the Accountant General of the State concerned or by
Chartered Accountants.The expenditure incurred under the ARWSP should be confirmed by submitting the certificate of actual expenditure
from Accountant General or Chartered Accountant which shall be acceptable. The Audit of Central funds is mandatory from the financial year
1999-2000 onwards. In respect of expenditure incurred under the Minimum Needs Programme the statutory audit by the Accountant General
concerned upto the year preceding the previous financial year is necessary and hence the Certificate of expenditure incurred from the AG
clearly indicating the audited expenditure figures will have to be necessarily submitted

2.11.7 Copies of orders for release of funds by the State Governments both under the ARWSP and the MNP should be invariably endorsed
to the Central Govt. to ensure funds are released on time.

2.11.8 Vigilance and Monitoring Committee at State, District and Village level may be set up as indicated in the Ministry of Rural Areas &
Employment letter No.V-24011/27/95-RE-III dated 16-10-95 and regular meetings of the same held. This would also be a pre-condition for
release of funds henceforth.

2.11.9 Amount released under the ARWSP cannot be utilised/adjusted against any cost escalation of schemes or excess expenditure over
the approved cost of schemes in the previous years.

2.11.10An official of the Mission should be invited to the meeting of the Scheme Clearance Committee of the State.

2.11.11The unutilised fund under the ARWSP, due to non drawl / non utilisation of the allocated amount by any state government will be
redistributed to the better performing states, towards the end of the financial year, as per the allocation criteria.

CHAPTER – 3

SECTOR REFORMS - COMMUNITY PARTICIPATION IN RURAL WATER SUPPLY PROGRAMME

3.1 Background

Water is today perceived by the rural public as a social right, to be provided free by the Government, rather than as a scarce resource which
must be managed locally as a socio-economic good in order to ensure its effective use. This perception has been grown out of the fact that
the present rural water supply systems are designed and executed by the Department/Boards and, imposed on end-users. Demand
preferences of the people are not taken into account while executing the schemes. In other words, rural water supply programme till now has
been adopting a supply driven approach. Experience has shown that the present approach has led to the failure of a large number of water
supply systems/schemes due to poor operation and maintenance.

Now that substantial investment has been made in the sector and huge infrastructure and systems built up, it is paramount that they are
made functional to a great degree to achieve sustainability. There is a general recognition that a transformation from a target based, supply-
driven approach which pays little attention to the actual practices and/or preferences of the end users, to a demand-based approach where
users get the service they want and are willing to pay for is urgently required. Implementation of a participatory demand driven approach will
ensure that the public obtain the level of service they desire and can afford to pay. Further, full cost recovery of operations and maintenance
and replacement costs will ensure the financial viability and sustainability of the schemes

The conditions under which people would be willing to maintain and operate water supply schemes are:-

If they own the assets,

z If they have themselves installed the handpump, or being actively involved throughout,
z If they have been trained to do simple repairs,
z If they know the government will not maintain the asset,
z If they have sufficient funds for maintenance, and
z If they have to pay for O&M.
Hence, it is possible to institutionalise community based rural drinking water supply programme if the Panchayati Raj Institutions/local
communities are empowered to generate resources and are trained and equipped to plan, implement, use, maintain and replace water
supply schemes themselves in coordination with the Government agencies/Private Sector/NGOs.

3.2 Incentives to States for institutionalising community participation:

3.2.1 From the financial year 1999-2000 onwards, incentives would be given to the States which initiate steps for institutionalising community
participation in the rural water supply programme in the form of additional funds, as indicated below:

(a) 20% of the annual outlay will be earmarked in accordance with the ARWSP criteria to those Sate Governments which keeping in view the
principles of sector reform process discussed above, will implement the following broader elements:

z adoption of a demand-driven approach based on empowerment of villagers to ensure their full participation in the project through a
decision making role in the choice of scheme design and management arrangement;
z focus on village level capacity building (Village Water and Sanitation Committees);
z ensure an integrated service delivery mechanism by streamlining the functions of the agencies involved in project implementation
and;
z 10% (at least) capital cost sharing and 100% sharing of O&M cost by users. The proportion of capital cost shared should increase
proportionately with increasing service demand. This contribution can be in the form of cash or kind (labour, land or material)·
z Taking up of conservation measures for sustained supply of water through rainwater harvesting and ground water recharge
structures.

(b) The share of the States which do not introduce the reforms will be given to the States implementing the reforms measures for coverage of
NC/PC quality affected habitations as an incentive.

Explanation: 20% of the ARWSP central outlay will be earmarked and kept aside for implementation of the sector reforms (implementation of
the pilot projects), and only the balance amount will be intimated to the respective states, as their allocation at the beginning of the financial
year. The unutilised sector reform funds of any state would be given to the states reporting better implementation of sector reforms. If funds
are still not fully utilised, the balance available funds would be distributed to all the eligible states as per the allocation criteria, as additional
central assistance under ARWSP(Normal).

3.2.2 The State Governments are required to prepare projects incorporating the above elements as per the operational guidelines explained
in Chapter –4, indicating institutional arrangements and sequencing of project activities.

3.2.3 States are now required to implement the project reports in the identified pilot districts in accordance with the project concept.

3.3 National Scheme Sanctioning Committee

A National Scheme Sanctioning Committee consisting of experts drawn from the sector/field will appraise the project and approve it for
implementation. A six monthly visit by subject matter specialists/experts will review the implementation in accordance with the guidelines and
recommend remedial action and release of funds.

3.4 Release of funds

3.4.1 For districts which have District Water & Sanitation Mission (DWSM) (PRAKALP) constituted as per Para 3.8.1.b, funds will be released
directly to the District Water and Sanitation Mission which will have their own separate Bank accounts (SBI or its associate banks ) to receive
and disburse the funds for project implementation.

For any alternative district level implementing agency constituted as per para 3.8.1.b funds would be directly released to them. The
implementing agency is required to have a separate Bank account (SBI or its associate banks) to directly receive and disburse funds for
project implementation.

3.4.2 30% of the funds will be released immediately after the approval of the National scheme Sanctioning Committee. Further releases will
be made periodically depending upon the progress of implementation based on the recommendations of the experts visiting the projects.

3.5 The successful experiences of implementation of the projects in identified pilot districts will be replicated all over the State subsequently
in the second phase.

3.6 Some States like Maharashtra, Karnataka, Mizoram, Goa, Kerala, etc. have already made a beginning in the concept of community
participation in rural water supply programme. All States are required to endeavour to bring in this concept throughout the State outside the
pilot districts also. Panchayati Raj Institutions and the user community should be encouraged to adopt the concept of community participation
in rural water supply programme.

3.7 Gradually, over a period of time in all the districts of all the States/UTs community participation in rural water supply programme will be
institutionalised. On completion of the projects, the States/UTs will take upon the responsibility to plan, approve and implement such projects
based on their experience gained from implementing the pilot projects. Consequently ARWSP(Normal) may cease to exist as a Centrally
Sponsored Scheme. In order not to lose any time, States/UTs shall initiate activities for final adoption of the three principles of sector reforms
in the rural water supply sector on the conclusion of the pilot projects during the implementation of the pilot project itself. Finally at the end of
the 9th Plan, States will strive to strengthen the concept of community participation in rural water supply programme all over the country and
continue to plan and implement rural water supply schemes on their own.

3.8 Institutional set up

3.8.1.a Constitution of Water and Sanitation Mission (WSM) at the State Level:
Ideally there should be a single department in the States/UTs looking after both water and sanitation. As a first step towards achieving this
objective, it is proposed to have a Water and Sanitation Mission at the State/UT level. It shall be a registered society under the aegis of the
Department/Board/ Nigam/ Authority/Agency implementing rural water supply programme in the State. It will be providing the operational
flexibility to the States/UTs, so that the desired thrust is made available for an integrated implementation of institutionalising community
participation under Rural Water Supply Programme and Total Sanitation Campaign (TSC) under the Rural Sanitation Programme.

The State level Water and Sanitation Mission shall consist of :

i. an Apex Committee headed by the Chief Secretary/Additional Chief Secretary and Secretaries in-charge of PHED, Rural Development
(RD), Panchayati Raj (PR), Finance, Health, Education, Information and Public Relations (I&PR) as members. Secretary(PHED) (or the
Department concerned with rural water supply) shall be the nodal Secretary responsible for all the Mission activities and for convening the
meetings of the Apex Committee. The Apex Committee shall meet atleast twice in a year.

ii. an Executive Committee shall be constituted by the Apex Committee and shall be headed by an officer of PHED (or the Department
concerned with rural water supply), not below the rank of Joint Secretary, who shall be its Executive Officer. Officers from the Departments of
Rural Development, PHED(Chief Engineer), Panchayati Raj, Health , Education, Social Welfare, Information and Public Relations shall be
nominated by the respective State Departments and shall be the ex-officio members of the executive committee. Experts in the field of IEC,
HRD, MIS, Media and NGOs not exceeding six, may be co-opted as members. It may be ensured that the strength of the Executive
Committee does not exceed 15. The State HRD cells, IEC cells and MIS shall work within the State Water and Sanitation Mission.

iii. However, the States may continue with their existing institutional set up or constitute appropriate institutional set up as deemed fit, to
supervise the implementation of the pilot projects at the State level, so as to demonstrate implementation of community based rural water
supply programme in the pilot districts with a view to encourage PRIs to take up similar initiatives in other districts in conformity with the
principles envisaged in the 73rd Constitution Amendment.

3.8.1.b Constitution of Water and Sanitation Mission at the District Level:

The District Water and Sanitation Mission(DWSM) constituted at the district level shall be called as “PRAKALP”, which shall be a registered
society under the overall State laws and should function under the supervision, control and guidance of Zilla Parishad subject to the
following:

(1) Wherever Panchayati Raj Institutions are firmly in place and are ready and willing to take up the responsibility of effective implementation
of Sector Reform Project and the PRIs are strong enough to do so, they may be allowed to implement the project in those districts instead of
the DWSM. In such districts constitution of DWSM may not be mandatory. However, the districts need to ensure that separate bank account
in State Bank of India or any of its Associate Bank is opened to receive the central funds and are not mixed up with other funds provided to
the Panchayati Raj Institutions for carrying out other activities. Such districts may ensure proper methodology for ensuring proper and
accurate monitoring and utilisation of the funds and intimate the mechanism to the Dept. of Drinking Water Supply, Government of India.

(2) Districts which do not have a proper PRI set up in place and desire to supervise the working of the DWSM through alternative
mechanism, may prepare a detailed proposal explaining the mechanism through which the project is intended to be supervised and submit
the same to the RGNDWM for consideration.

The Governing Body shall invariably be headed by Chairman of Zilla Parishad. In Districts where Zilla Parishads have not been constituted
and there is no Chairman in place, the Chairman of the District Planning Committee or the District Collector/Deputy Commissioner, as may
be decided by the State Water & Sanitation Mission / State Govt / institutional set up created at the State level (as the case may be) will be
the Chairman of the Governing Body. The members would be – all MPs/MLAs and MLCs of the District; Chairman of the Standing
Committees of the Zilla Parishad; District Collector/Deputy Commissioner, District Officers of Education, Health, Panchayati Raj, Social
Welfare, ICDS, PHED, Information and Public Relation; Project Director, DRDA. CEO of the Zilla Parishad would be the Member Secretary.
The Governing Body shall meet atleast twice a year. In case of MPs / MLAs / MLCs of the district who are also Ministers in Central/State
Governments, they may be allowed to depute one representative each on their behalf to the Governing Body of the District Water and
Sanitation Mission.

The actual implementation of institutionalising community participation in rural water supply programme and TSC at District level would be
done by the CEO of ZP/District Collector, as the case may be, and shall be the chairperson of the district level Water and Sanitation
Committee(DWSC), comprising of the Executive Engineer of PHED/Executive Engineer, ZP; District Education Officer, District Health Officer
(Civil Surgeon), Project Director DRDA, District Panchayati Raj Officer, District Social Welfare Officer, Community Development Project
Officers (CDPOs of ICDS) and District Information & Public Relations Officer. NGOs (not exceeding 3 in number) shall be identified by the
District Water & Sanitation Committees and co-opted into the Committee as members with the prior approval of the Government of India. The
Executive Engineer of PHED/District Engineer of the ZP shall be the Member Secretary and the Drawing and Disbursing Officer. The
Member Secretary shall ensure utilisation of the existing infrastructure with him for administrative support for day to-day functioning. No
additional post shall be created for this purpose

CHAPTER - 4

OPERATIONAL GUIDELINES FOR SECTOR REFORM PROJECTS FOR IMPLEMENTING COMMUNITY BASED RURAL WATER
SUPPLY PROGRAMME
(Extracts from the Project Concept Document, as amended)

4.1 Funding of the project

Funding is governed by paras 3.2.1and 3.4. The fund kept aside for sector reforms is to be utilised inter-alia for implementation of approved
sector reform projects in identified pilot districts, which would be fully financed by the Govt. of India. . The unutilised sector reform funds of
any state would be given to the states reporting better implementation of sector reforms. If funds are still not fully utilised, the balance
available funds would be distributed to all the eligible States as per the allocation criteria, as additional central assistance under ARWSP
(normal).

As such, normal ARWSP funds allocated to each State should not be utilised for Rural Water Supply activities in the pilot districts once the
sector reform pilot project proposal in respect of identified districts are approved. However, ongoing schemes may be completed under
normal programme simultaneously.

4.2 Institutional Arrangements

The State government and its lead sector institution viz. PHED/Water Supply and Sanitation Boards/Nigams/Authority would be the
coordinating agency for the project. However, their role in the project would primarily be that of a facilitator rather than that of an implementor.
An exclusive institutional structure consisting of State-level and district-level and grass root level units would be set up for project
implementation. The salient features of the institutional framework are as under.

The new institutional framework would:

(a) promote adoption of a demand driven and participatory approach to service delivery through maximum empowerment of villagers in
decision making on the choice of service levels;
(b) provide government at State, district and village level (PHED or Water Suppy and Sanitation Boards, Zilla Panchayat and Gram
Panchayat) with a facilitating role in scheme selection, and effective monitoring and evaluation mechanisms to ensure a high-quality of
construction and sustainability of investments;
(c) ensure the effective integration and co-ordination of project components at the village and district level;
(d) have sufficient autonomy to take decisions and implement them promptly;
(e) have an incentive structure conducive to hiring and retaining highly qualified staff;
(f) have a good mix of professionals from private sector, NGOs and government and reflect an adequate gender balance; and
(g) be replicable for district-wide and eventually state-wide transformation of service delivery system.

4.2.1 The State level Water and Sanitation Mission (SWSM) would be overall responsible for the following

(i) Overall policy guidance

(ii) Liaison and coordination with various concerned departments of the State Government and other sector partners
(iii) Monitoring and Evaluation of the project implementation
(iv) Ensure coordination among various pilot districts
(v) Ensuring of Audit by competent authority
(vi) Interaction with the Central Government

4.2.2 The role of District Water and Sanitation Mission (DWSMs)

(i) Formulation and management of project implementation in the district and ensuring that the project development objectives are achieved
in the district.
(ii) Receipt of central funds for the project and its management for effective implementation of the project.
(iii) Selection, of private sector agencies and/or NGOs on a competitive basis, and signing MOU with them for project implementation and
overall supervision.
(iv) Sensitizing the Panchayati Raj functionaries, related Govt. officials, local opinion makers, and politicians regarding the merits and
modalities of the community managed programme.
(v) Formation of Village Level Water and Sanitation Committee (VWSC) at every Gram Panchayat(GP) level after generation of demand for
any particular scheme as per the sector reforms concept.
(vi) For taking up the scheme under this programme there should be a bi/tripartite agreement between VWSC, GP/Block Level Panchayat
Samiti as the case may be and the DWSM. Contract documents may be prepared by DWSM in consultation with the VWSC and GP.
(vii) Should tie up with key institutions for imparting training on all aspects of the programme with special emphasis on community managed
programme implementation to all levels of stakeholders.
(viii) Carrying out IEC (awareness) campaign and Training (HRD) activities.
(ix) Interaction with Government of India

4.2.3 Village Water and Sanitation Committees(VWSCs)

(i) To be set up after the demand for any particular water supply scheme is generated as per the sector reforms concept explained above.

(ii) To be set up in each Gram Panchayat for implementation of Water Supply Scheme of their own choice with active participation of the
villagers. In case the scheme covers more than one GP, such Committee may be constituted by involving representatives from all concerned
Panchayats.

(iii) The membership of a VWSC may consist of about 6 to 12 persons, comprising members of Panchayat. Women, SC/STs and poor
sections of the village may be given due representation in the VWSC. Provision may also be made for co-option of other stakeholders,
subject matter specialists, etc.

(iv) This Committee shall function as a Committee on Water and Sanitation of the Gram Panchayat. In case a scheme encompasses more
than one GP, a similar Committee may be constituted under the Block level Panchayat Samiti. These committees should be an integral part
of the Village Panchayat / Block Panchayat for which, if necessary, appropriate amendments in the State Panchayati Raj Acts / Rules /
Bylaws may be made.

(v) The composition and functions of the VWSCs can be regulated by a set of by-laws under the State Panchayati Raj Acts.

(vi) Till such time as States make suitable amendments in accordance with the above for composition and functions of VWSCs, suitable
Government orders to that effect may be issued.

4.2.4 Role of Village Water and Sanitation Committee (VWSC)

(i) ensuring that the GPs take up the issues related to this programme in each Gram Sabha meeting;
(ii) ensuring community participation and decision making in all scheme activities;
(iii) arranging community contributions to capital costs, both in cash and kind (land, labour or materials);
(iv) opening and managing bank accounts for depositing community cash contributions and for management of project funds that may be
solely channelled through them;

z signing on behalf of the community, various agreements with the DWSM;

z planning of water and sanitation activities;

(v) Procuring construction materials/goods and selection of contractors for construction activities related to RWS and Sanitation sectors;
(vi) supervision of construction activities related to RWS and sanitation sectors;
(vii) signing off on all completed works and community development activities;
(viii) commissioning and eventual takeover of completed water supply and sanitation works through a joint inspection with DWSM;
creating hygiene awareness;
collection of funds through a tariff system for O&M of water supply and sanitation works;
(ix) managing and financing of O&M of the services, on a sustainable basis;
(x) Empowering of women of the villages for O&M and day to day affairs of the scheme;
(xi) Participation in HRD and IEC activities in other villages after completion of the scheme in own village

4.2.5 Role of Women

(i) The project envisages empowerment of community through VWSCs and GPs. It is a well known fact that collection of drinking water in a
village is primarily done by women. These women can thus involve themselves in implementation of water supply schemes by functioning in
close coordination with the VWSCs.

(ii) To strengthen women’s participation in the project activities, specially in the area of sustainability of the system, formation of user groups
comprising exclusively of women in each village may be taken up. These women groups shall act as sub-committees functioning in close
coordination with VWSCs. Since this approach is new, different methodologies based on local situation may be evolved. Lessons learnt from
other programmes may be useful.

(iii) The overall objective is to improve the user owned sustainable water supply maintenance system and related sanitation conditions
through empowering the women from all sections of the society into the mainstream of water supply maintenance process and the immediate
objectives are:

z to create awareness about the importance of community participation in establishing sustainable water supply maintenance system
and maintaining a clean environment ;
z to sensitise women to take active role in the process of maintenance of water supply and sanitation systems;
z to create a sense of empowerment and ownership responsibilities among the users;
z to improve the knowledge and transfer technical skills on the preventive maintenance/minor repairs;
z to identify suitable means for fund raising process and ensuring maintenance fund availability at all times;
z to create awareness on handling and management of water supply.

4.3 Sequencing Project Activities

Scheme Cycle

During project preparation, a detailed project implementation schedule would be developed for a three-year project implementation period.
The project would follow a scheme cycle not exceeding 36 months consisting of four distinct phases and a post project completion phase:-

4.3.1 Institutionalising Phase –Not more than 3 months: This comprises of

z Formation of SWSM, DWSM and DWSC and establish linkages vis-à-vis PRIs
z Opening of bank accounts for receipt of funds from the Centre at the district level
z Generation of base line data
z Identification of NGOs/ training institutes, etc. for various activities
z Monitoring mechanism to be put in place (familiarising the proforma, questionnaire for obtaining information from the field and
submitting information to the Government of India).
z Initiate action for amendment of State Panchayati Raj Acts/Rules / Bylaws for constitution of VWSC

4.3.2 Sensitisation and Identification phase - Not more than 12 months: This would involve –

Sensitizing and awareness creation among implementers (Government functionaries/ political representatives/PRIs/NGOs/etc.) at all levels
through various communication channels about the programme

Assessment and analysis of the existing water supply and sanitation systems (village-wise) through primary data collection

Analysis and Identification of the villages to be taken up in the various phases depending on demand by the beneficiaries and the available
resources. (a) For Water Supply – each phase may comprise of construction of new schemes, augmentation and/or rejuvenation of the
existing system and handing over of the complete (acceptable) system to village Panchayats. (b) For Sanitation – The phase may comprise
of setting up of RSM/Production Centre (PC) as an alternate delivery mechanism - Habitations where implementation is to commence
immediately to be identified (preferably NC/PC habitations and those where the success rate is likely to be fast, higher and sure )
and intimated to the Government of India.

Agencies for IEC, HRD to be identified and intimated to the Government of India along with explanation of HRD and IEC strategy.

Agencies for IEC, HRD to be identified and intimated to the Government of India along with explanation of HRD and IEC strategy

IEC campaign for awareness creation and demand generation

IEC campaign should clearly give the following messages:

1. The beneficiaries will own the assets created;

2. The government will not maintain the assets created;
3. This is the one time investment in the district;
4. On completion of the project, the district will be considered fully covered;
5. Two or more alternative technologies suitable to a particular area along with information regarding its capital cost, the beneficiary share,
the O & M cost, the replacement cost etc. in respect of each technology;
6. Full O & M and replacement cost and part capital cost is to be borne by the beneficiaries;
7. Importance of water quality monitoring & surveillance;
8. Importance and benefits of water recharging activities;
9. Possible technologies for water recharging activities in the area;
10. Any other local issues pertaining to the area.

Various IEC modules to be prepared accordingly giving the above information.

IEC modules to be prepared in the local language also.

Agencies for preparation of the above modules and carrying out IEC activity to be identified.

Training activities to equip the villagers for implementation and operation and maintenance and management of schemes of their choice

Training to be given at the following levels:

1. Departmental Level

a) Behavioural sciences – interaction with the villagers.

b) Sociological aspects
c) Importance of traditional schemes – needs to be propagated.
d) Trainers’ training to train villagers for installation, O & M, water quality testing, water recharging and harvesting technologies

2. District Level and NGOs

a) Managing and supervision of project implementation

b) Identification and selection of agencies for various activities of the project
c) Recruitment (on contract basis) of experts as per the requirement
d) Monitoring of physical and financial progress – collection of data and submission to the Govt. of India
e) Various IEC campaigns to be carried out and related behavioural sciences – interaction with people.
f) Record keeping and documentation of project implementation – both progress and process activities.

3. Village Level (VWSC)

a) Record keeping – financial management, transparency, maintenance of minutes of proceedings of VWSC meetings
b) Communication with villagers – IEC activities
c) Technical matters like installation, specification of various components, procurement procedures, contracting procedures, etc.
d) Matters related to O & M, replacement of the schemes, water quality monitoring, water harvesting structures etc. (during and after
implementation of the chosen scheme)
e) Collection of funds – capital cost share, monthly O & M cost, maintaining its records
f) Crisis/conflict management

4. Villagers (selected/interested villagers)

a) Technical matters like installation, specification of various components, procurement procedures, contracting procedures, etc.
b) Matters related to O & M, replacement of the schemes, water quality monitoring, water harvesting structures etc. (during and after
implementation of the chosen scheme)
c) Collection of funds – capital cost share, monthly O & M cost, maintaining its records
d) Crisis/conflict management

Preparation of manuals/modules for the above training including in the local language.
Identification of agencies for the above agencies and getting it done.

Getting the schemes of their choice identified by the villagers (decision making process).

Creation of Village Water and Sanitation Committee (VWSC) and opening their accounts.

4.3.3 Scheme/System Planning - Not more than 9 months: This comprises of -

Rough design and estimation of the water and sanitation schemes/units based on the community’s choice.

Consensus on the most appropriate scheme based on affordability and technical feasibility

Further awareness and training campaigns for collection of people’s contribution and its deposit in VWSC account.

Collection of part (percentage to be decided by DWSM in consultation with the VWSC) of the beneficiary’s contribution for starting detailed
planning and design of the water supply schemes. In case of sanitation, it may be as per the Restructured CRSP guidelines (TSC).

Detailed designing, planning, estimation and seeking approval of the competent authority as decided by the DWSM. In case of household
latrines, it should be as per the beneficiary’s choice and affordability.

Identification of the contractors and assigning the job for implementation.

Release of Government share from DWSM to VWSC account.

4.3.4 Implementation and Commissioning/Handing over - 12 months: This comprises of –

Collection of the balance beneficiary contribution in terms of cash/kind/labour (contribution in terms of labour and kind should be quantified
and treated as the cash contribution of such contributors and a proper record of the same must be maintained)

Procurement of materials – the VWSCs shall purchase the materials. No centralised purchasing be done. However, in exceptional cases and
as the situation demands w.r.t. certain items, centralised purchasing may be opted but only with due consultation with the VWSCs. The
DWSM shall guide and assist VWSCs to ensure that standard quality of materials is purchased.

Execution of work – actual implementation of the scheme of choice of the villagers

Supervision by VWSC and DWSM for water supply and community based sanitation schemes. In case of household latrines, joint
supervision by the NGO and the beneficiary

Completion, commissioning and handing over of completed scheme to the villagers / PRIs / VWSCs for its continued O&M and replacement.

Awareness and training campaigns for water quality monitoring and surveillance

Development of data base with updating mechanism

Training to VWSC and selected villagers for O & M, etc. as explained earlier at sensitizing stage

Monitoring and evaluation of the scheme by the VWSC

Participation of the VWSC whose scheme has been completed in awareness and training campaigns in other parts of the district

z A continuous process of monitoring and evaluation, review and mid-course correction (if any required ) will be carried out by the
DWSM, SWSM/State Government, RGNDWM and implementing agencies.
z All the above four stages may co-exist at the same time at any given point of time in various places within the same district.
4.4 Concurrent activities during and post project implementation: This would involve the following activities –

z Introduce community based appropriate water quality monitoring and surveillance;

z Development of data base with mechanism of updating;
z Monitoring and evaluation of all aspects of the project;
z Analysis of the data base generated and taking up corrective measures, if required;

4.5 Technology Options and Choices

As these projects are proposed to be community participation oriented, a part (minimum of 10% for the proposal with designs as per the
RWSP criteria) of the capital cost should be borne by the community themselves. The balance amount would fully be provided by the
Government of India.

The selection of water supply technology for a given locality (e.g. habitation, Gram Panchayat) could be determined by a number of factors,
such as technical feasibility (e.g. water quality conditions), user preferences and requirements combined with affordability and willingness to
contribute towards implementation, (capital cost), and O & M

In some cases, specially in the southern and western parts of the country, the limiting factors in relation to technololgy options and choices
are mainly related to the scarce groundwater resources and/or the groundwater quality.
The principles for the choice of water supply technology should be that:

i) the level of service shall, if at all possible, be in accordance with the user preferences and expressed demands, their level of affordability
and their willingness and ability to take active part in planning, implementation and maintenance at village and Gram Panchayat level.

ii) The criteria and technologies applied should emphasize least-cost solutions and should allow for flexibility since the community based
demand driven approach might call for a flexible interpretation of existing norms. This implies that minor deviations from the present design
criteria and standards should be allowed for, as per the requirement of the community provided they are willing to pay more for the relaxed
criteria.

iii) Highest priority should be given to rehabilitation and/or extension of existing schemes, whenever feasible, in order to gain most benefit
from previous investments.

In case of sanitation programme the vertical upgradation should be encouraged keeping in view the affordability of the economically weaker
sections of the society.

4.6 Other Issues:

z The water supply and sanitation, including health and hygiene component for rural schools should form an integral part of the project
z Water Quality monitoring and surveillance: The community based water quality monitoring and surveillance involving schools,
Institutions viz. Health Department etc. as indicated in the Rural Water Supply Programme guidelines should also form an integral
part of the project.
z Documentation (both in print & video) of the implementation of the project should be integral part of the project.

CHAPTER – 5

SUB-MISSION

5.1 SUB MISSION PROJECTS

Sub Mission projects are undertaken by the States for providing safe drinking water to the rural habitations facing water quality problems like
Fluorosis, Arsenic , Brackishness, Excess Iron etc. Sub Mission projects are also taken up for ensuring source sustainability through rain
water harvesting, artificial recharge etc.

5.2 DELEGATION OF POWERS FOR SANCTIONING SUB-MISSION PROJECTS.

Powers have already been delegated to the States for sanctioning Sub Mission Projects w.e.f. 1-4-98. The State Governments/UTs may
approve the Sub Mission projects by following the procedure being adopted for sanctioning normal ARWSP schemes without detriment to
coverage, sustainability and quality aspects. The funding pattern of Sub Mission projects taken up after 1-4-99 will be in the ratio of 75:25 by
the Central and State Governments and expenditure thereto met out of the ARWSP in the manner indicated in the sub-para(a) below.
However, the funding pattern for the Sub Mission projects sanctioned between 1-4-98 and 31-3-1999 would remain in the ratio of 50:50
between the Central and State Governments.

The States/UTs are also required to comply with the following:

a) No separate funds would be released for implementation of Sub Mission projects. Upto 20% of the ARWSP funds are to be earmarked
and utilised for the new projects under the Sub Mission activities designed to address water quality and sustainability issues. However, if the
States/UTs have achieved the full coverage of habitations as per the national norms, they may utilise more funds to tackle quality problems,
subject to the Ministry’s specific concurrence in each case,

b) Names of habitations affected with quality problem in each district should be sent to the Central Government indicating the extent of
excess arsenic, fluoride, salinity and iron with the undertaking that the schemes are taken up in the order of priority, first covering the
habitations with the highest extent of chemical contamination,

c) An Action Plan for coverage of quality affected habitations in a year to be formulated immediately and sent to the Central Government for
information and monitoring of the progress. The Action Plan should indicate the left over and total number of habitations affected with specific
quality problems at the commencement of the year and the target for the year (with the names) of the habitations to be covered,

d) The existing Committee in the PHED with Secretary, in-charge of RWS as the Chairman and with representatives from the CGWB, NGRI,
etc., constituted for the purpose of clearing the ARWSP(normal) projects may also consider and clear the Sub Mission projects,

e) Common habitations which are NC/PC and also quality affected should be first covered fully with safe drinking water facilities. The
habitations already covered fully but affected by chemical and/or bacteriological contamination may be covered under separate
schemes/projects,

f) The per capita cost should not ordinarily exceed the cost norms under the ARWSP and the State MNP,

g) Periodic reports on the physical/financial progress of Sub Mission projects should invariably be incorporated as a separate item in the
reporting format for ARWSP schemes,

h) A representative of the Mission should invariably be associated with the Committee set up to sanction Sub Mission projects by the
States/UTs; and
i) A copy of the minutes of the meeting of the State level Scheme Clearance Committee held for sanctioning Sub Mission projects should be
sent to the RGNDWM immediately after any Sub Mission project is cleared.

5.3 Dual Water Supply Policy may be adopted for rural habitations facing acute water quality problems. In these habitations even if safe
water is provided upto 10 LPCD, which would be sufficient for drinking and cooking purposes, it may be considered as habitation(s) with a
safe source of drinking water. For other activities like washing, etc. water available from unsafe sources could be utilised without problem.

CHAPTER – 6

SUPPORT SERVICES

6.1 WATER QUALITY MONITORING AND SURVEILLANCE

Even though the coverage has been impressive over the last decade, various studies indicate that there is no institutionalised quality
monitoring and surveillance system in the country. This is going to be critical to the entire water supply sector in the future owing to increase
in pollution and depletion of water sources. The National Workshop held on 7-9 August, 1997 recommended that there is a need to
institutionalise water quality monitoring and surveillance systems in the country. Establishing of water quality labs could be only one of the
components of the programme. A “Catchment Area Approach” would be adopted by involving various grass root level educational and
technical institutions by utilising existing resources and strengthening them by providing additional financial resources to these institutions.
This may be implemented at three levels consisting of a Nodal Unit at the top level catchment like a premier technical institution, university,
etc., intermediary level units like district laboratories, polytechnics, etc. and grass-root level units like (+2) level education institutions, labs,
etc. Activities relating to preliminary water testing etc. could be carried out at the grass-root level itself and more complicated cases could be
referred to higher levels in such a way that only focussed cases of complex nature and of value and utility at State level reach the nodal unit.
The nodal units will be networked with the State headquarters(PHED). 100% funding, as per the approved norms, would be provided to the
States for strengthening water quality monitoring facilities, based on projects received from the State Governments. Restructuring the State
PHEDs with the required grant-in-aid support, as indicated in para 6.11, to bring in the much missed link up with the Health authorities will
also be attempted as a part of institutionalising the monitoring system. Health Department officials will be increasingly involved in the
surveillance activity.

6.2 RIGS AND HYDRO FRACTURING UNITS

The expenditure for purchase of Rigs/Hydro fracturing units would be made by the Central Government and State Government on 50:50
basis. The purchase of rigs on a very selective basis for sophisticated rigs for remote and difficult access areas is to be financed out of the
MNP funds. The expenditure will however, be counted as matching provision for central assistance under the ARWSP.

There should be well planned and systematic programmes for training of Drilling Crew & Supervisory Staff in the States by sponsoring or
conducting regular training programmes, under PHED/State Training Institutions, CGWB or State Ground Water organisations in coordination
with the Mission. The personnel who have undergone the above training should preferably be posted in the field. A rig monitoring plan for the
State should be drawn up right at the beginning of the year to effect optimum utilisation of these machines and the crew.

6.3 HUMAN RESOURCE DEVELOPMENT

A National Human Resource Development Programme (NHRDP) has been launched by the Mission from 1994 based on the Human
Resource Development Policy Document evolved jointly by the central and state governments. The NHRDP, interalia, aims at training at
least one grassroots level trainee through district level trainers who in turn may be trained at selected institutions forming the Indian Training
Network (ITN). Under the NHRDP, the States and UTs should set up state level HRD cells for planning, designing, implementing, monitoring
and evaluating an appropriate and need based HRD programme. The HRD programme should aim at empowerment of Panchayati Raj
Institutions/Local Bodies with the objective of enabling them to take up operation and maintenance activities related to rural water supply
systems. It should also aim at capacity building of local communities by giving requisite training to mechanics/health motivators/masons etc,
especially women to operate and maintain handpumps and the components of other water supply systems as well as to generate demand for
adequate sanitation facilities. To train the grass root trainees, the States/UTs may build up a pool of district level trainers who could be sent
for training to the participating and key institutions. The States/UTs should establish state level HRD cells. The suggested staffing pattern,
norm for equipment alongwith delineating of major functions already communicated vide D.O.Letter No. W.11038/1/94-HRD dated 15.9.94
and d.o. letter No.W-11043/1/95(Media) dated 31-12-1997. The Central Government will provide 100% assistance during the plan period for
the above activities as per the cost norms given at Annexure-IV.

6.4 INFORMATION EDUCATION & COMMUNICATION

The emphasis of IEC programme should not be on hardware aspects but should be aimed at front loading software with the objective of
generating a felt need which would result in an increased demand for safe drinking water and better sanitation facilities. Awareness on
matters related to water borne diseases manifestations and symptoms should be created. The services of the State Publicity/Public Relations
Department should be utilised to provide publicity to the rural water supply programme through mass media to disseminate information about
the programme, highlighting the achievements, emphasis on use of safe water to overcome water borne diseases, etc. The importance of
using safe water, using water as a socio-economic good and the problems related to water quality in any specific area should be highlighted.
This could be done by bringing to the public knowledge through appropriate methods like folk songs, folk drama, documentary films,
pamphlets, brochures and other local means suited to the area. Publicity should also be given in the local newspapers about the action plan
for coverage of habitations actually covered on year to year basis with other details like the type of schemes provided, the service level,
delivery system, agency responsible for operation and maintenance, etc. 100% Central funds will be provided during the plan period for
activities under the IEC, as per the cost norms (Annexure-V) communicated vide GOI letter No.W-11043/75/95-Media dated 29.12.1997.

6.5 MONITORING AND INVESTIGATION UNITS

The Government of India has been providing assistance to the States to establish and continue special investigation divisions from the
Fourth Five Year Plan to carry out investigation, planning and feasibility study of the schemes. The special monitoring cell and investigation
unit at the State headquarters should be headed by an officer suitably qualified and of suitable level for monitoring and investigation with
necessary supporting staff. Monitoring unit shall be responsible for collecting information from the executing agencies through prescribed
reports and returns (Progress Monitoring System), maintenance of the data and timely submission of the prescribed reports and returns to
the Central Government by due dates. The unit shall also be responsible for monitoring at field level of aspects of quality of water, adequacy
of service and other related qualitative aspects of the programme. The Unit shall also maintain water quality data in coordination with the
concerned Department, Central/State Ground Water Board, details of different technologies developed by institutions for tackling different
problems and to provide the same to the field level executing agencies. The Monitoring and Investigation Units should also have technical
posts of hydrologists, geophysicist, computer specialists with data entry operators, etc. A Quality Control Unit should be an integral part of
M&I Units and should work in coordination with the R&D Cell. This unit will be responsible for controlling/regulating the quality of construction
works in water supply schemes and will ensure practical application of latest technologies in the field. The expenditure will be borne by the
Central Government and the State Governments on a 50:50 basis.

6.6 MONITORING AND EVALUATION

Central Government takes up monitoring and evaluation studies through reputed organisations/institutions from time to time. The State
Governments may also take up similar monitoring & evaluation studies on the implementation of the rural water supply programme. 100%
financial assistance will be provided by the Centre to the States for taking up such evaluation studies with prior approval of the Mission. The
reports of these studies should be made available to the Mission and immediate corrective action should be initiated as a follow up to
improve the quality of programme implementation.

6.7 MANAGEMENT INFORMATION SYSTEM

For effective planning monitoring and implementation of various schemes under different programme, Information Technology(IT) based
Management Information System provides for the following:-

(i) Maintenance of microlevel status of water supply to ensure planning and monitoring based on microlevel data,

(ii) Assistance for computer facilities upto division level in phases to ensure latest technology for processing and storing data and its
communication from one office to another through NICNET,

(iii) Assistance for conducting training programmes; and,

(iv) Development of customised software for enabling States/UTs to fully utilise for power of computer systems for planning, monitoring and
implementation of various activities in the sector.

100% Central assistance will be provided for all MIS activities including training during the plan period.

6.8 RESEARCH AND DEVELOPMENT

To strengthen the R&D facilities in the concerned Departments in various States, State Governments are encouraged to establish R&D cells
with adequate manpower and infrastructure. R&D Cells are required to remain in touch with premier technical institutions within the State.
The network of technical institutions may follow the guidelines issued by the Mission from time to time for effective implementation of the rural
water supply programme. R&D Cells are also required to be in constant touch with the Monitoring & Investigation divisions and the
Monitoring & Evaluation Study Reports for initiating appropriate follow up action. The R&D Cell should keep in constant touch with the
documentation and information centre of the Mission and visit at the Mission’s web site. The Mission will provide necessary assistance to the
States.

6.9 PROVISION OF DRINKING WATER IN RURAL SCHOOLS

All the States are required to compile data regarding district-wise rural schools in existence and number of them having drinking water
facilities. The remaining rural schools and anganwadis are to be provided with drinking water facilities. A part of this work will be
accomplished through the funds provided by Tenth Finance Commission and the rest would have to be covered under the rural water supply
programme, in addition to the work of covering NC and PC habitations. Expenditure for this purpose would also be shared by the Central and
State Government on 50:50 basis from the funds allocated for ARWSP. States would be required to fix target for coverage of rural schools on
an yearly basis and intimate its achievement to the Mission on monthly basis along with the progress reports being submitted to intimate
coverage of NC and PC habitations. This activity is to be carried out in coordination with NEP, DPEP, DWCRA, Anganwadis, Department of
Social Welfare and Department of Education. All the rural schools should be covered with drinking water facilities by the end of the 9th Plan.

6.10 Central Assistance for various components of the programme is given as under:

Central
S.No Programme/Scheme State Share
Share
(%age of total approved cost)
1. ARWSP
Atleast
ARWSP-normal 100 Matching
MNP
 a) Purchase of rigs/Hydrofracturing units 50 50
b) Water supply in rural schools 50 50
Sub Mission Schemes
c) Schemes for quality control of drinking water under the Sub-Missions on control 75 25
of fluorosis, brackishness, arsenic, nitrates, eradication of guineaworm, removal
of excess iron etc. (based on alternative safe sources from a distance or
treatment plants)
d) Solar Photo Voltaic Pumping systems 75 25
e) Water harvesting structures, conservation of water, recharge of aquifers 75 25
2. ARWSP-DDP 100 Nil
Other Schemes
3. Institutionalising Water Quality Monitoring and Surveillance Systems including 100 Nil
suitably restructuring the PHEDs/Boards so as to promote active involvement
community/ Panchayats/ Supplier Departments / Directorates in the States
4. Monitoring & Investigation Units: 50 50
5. S&T and R&D projects as per the norms prescribed in the quidelines approved 100 Nil
by SSRC
6. Management Information System: 100 Nil
Training Equipment etc 100 Nil
7. Human Resource Development:

State HRD Cell Equipment as per norms of HRD guidelines 100 Nil
Training courses as per norms 100 Nil
HRD Cells for the Plan Period 100 Nil
8. IEC
100 Nil
(as indicated for HRD above)
9. Monitoring & Evaluation as per the prescribed norms 100 Nil

6.11 Restructuring of PHEDs/Boards.

PHEDs/Boards are the primary executing agencies for commissioning water supply schemes at the state level. These organisations as they
are organised, give greater emphasis on the technical parameters. They are not trained/organised to address other softer concerns and
socio-political issues at the grass-root level which are essential for ensuring sustainability of sources and systems under the water supply
schemes. It has, therefore, been found necessary to strengthen and restructure the existing PHEDS/Boards by making them responsive to
the needs of the community and the evolving scenario by studying their strengths and weaknesses, reviewing their systems and procedures,
staffing pattern, decision making process(es) of implementation, keeping in view the future role to be played by these organisations while
pursuing the new policy of adopting a demand driven approach to supply, promoting community participation and cost sharing etc. of the
systems under the rural water supply programme. As indicated in para 6.10 (iii), 100% Central assistance will be provided for meeting the
additional requirements towards restructuring of the PHEDs/Boards during the plan period.

CHAPTER – 7

EXTERNALLY AIDED PROJECTS

7.1 External Support Agencies

Various external support agencies like World Bank, DFID, KFW, JICA/OECF, DANIDA, etc. are willing to support projects in rural water
supply sector. States who desire to avail such assistance may prepare project proposals as explained below.

7.2 PROJECT FORMULATION

7.2.1 Projects submitted for external funding should include strong component for institutionalising community-based demand driven Rural
Water Supply Programme with cost sharing by the communities, gradually replacing the current Government driven centrally monitored non-
people participating Rural Water Supply Programme and should adhere to the following key elements:

i) Adoption of demand driven approach.

ii) People’s participation through a decision-making role in the choice of key design and management arrangements.

iii) 10% capital cost share and 100% share of O&M cost by users.

7.2.2 These projects should include software component, drinking water supply, environmental sanitation, health education, income
generating and other components.

7.2.3 A shelf of integrated projects of substantial cost should be prepared in accordance with the guidelines, terms and conditions and the
formats of the respective External Support Agency and kept ready for being sent to the Central Government as and when required. The
name of the Externally Support Agency need not be given as it will be for the Ministry of Finance to pose the Projects to different Agencies.
Approval of State Finance and planning Departments should be obtained to ensure that counterparts of Rural Development, after receipt of
the projects, will scrutinise their technical soundness and socio-economic viability.

7.2.4 Funds flow from the State should be smooth and should not result in impediments in implementation as per schedule. The feed back
from various Review Missions of the External Support Agencies (ESAs), indicates that once the State Government completes the hardware
part (Construction works leading to commissioning of Schemes), they are not very keen on the software aspects (Health education;
awareness IEC and KAP components ) and this should be avoided. Follow up action may be taken promptly as per the observations of
Review Missions.

7.2.5 The progress reports in the formats prescribed for specific projects by different ESAs should be sent to the Department of Rural
Development by the scheduled dates. The progress should be monitored at the level of Secretary in the State to ensure the completion of
projects on time to avoid cost overrun and to take appropriate remedial measures.

7.2.6 The claim for reimbursement of assistance should be sent by the State to the Department of Rural Development for being forwarded to
the Ministry of Finance;

CHAPTER – 8

SUSTAINABILITY OF SOURCES

8.1 Control on withdrawal of groundwater

As known, 85% of the drinking water needs are met from ground water, although only 5% of total groundwater extraction is needed for
domestic water supply. Irrigation accounts for 90% of all groundwater extraction, whereas industry takes the remainder 5%.

The rapid development in groundwater based irrigation in many states has caused ground water depletion, because of which the life of
drinking water supply source becomes short. Highly subsidised irrigation electricity tariffs have led to an indiscriminate and disproportionate
level of ground water extraction. Although significant areas in States, such as Punjab, Haryana, Gujarat, Karnataka, Maharashtra, Rajasthan,
Tamil Nadu and Uttar Pradesh (in all 144 districts in 10 States) have been declared `dark’ and `grey’ zones, there has been no let up in the
depletion of ground water aquifers.

Recently, it has been noticed that ground water depletion has aggravated water quality problems due to excess fluoride, arsenic and
brackishness, in certain areas, forcing the Public Health Engineering Departments to abandon low-cost handpump based systems and to
undertake costly and complicated piped water supply schemes.

The need for regulating the extraction of ground water arises from the following considerations:

z Protection of resource against over exploitation

z Protection of resource against quality degradation
z To ensure social equity and to guarantee minimum provision to all sections of the society.

In view of the above and to regulate and develop ground water resources in a scientific manner, a Model Bill was framed by the Government
of India in 1970, and was circulated to the States. Based on the experiences in the past two decades, the Bill was revised and circulated to
states in 1992. The Bill has again been recently revised and circulated to States in 1996. Apart from ground water legislation, some of the
other measures suggested for checking indiscriminate ground water development are (a) elimination of subsidies in electricity tariffs for
irrigation and (b) formation of user groups on lines of joint forest management groups undertaking continuous monitoring of ground water to
ensure that it is managed as a common property source.

The status of the legislation in various states has recently been reviewed and it was seen that except for Maharashtra, the implementation of
the provisions of the legislation was not satisfactory. States have to consider this issue in all its seriousness and to avoid a definite shortage
of safe drinking water in the immediate future, adopt appropriate measures to check over exploitation of ground water in the States/UTs and
also take up such activities in a comprehensive manner to arrest the run off as well as to collect and store rain water.

8.2 Possible strategies for conserving groundwater sources

A number of steps need to be taken urgently in order to manage ground water in a more scientific manner, especially in dark and grey zones.
Firstly, there must be a Central legislation against subsidies on electricity tariffs for irrigation. One may mention here that although the World
Bank has approved a drinking water project in principle for Punjab, further processing was withheld by the World Bank because of the Punjab
Government’s policy of providing free electricity and power for irrigation sector. In fact farmers do not stand to benefit from this due to
undependable power supply and consequent disruptions in the supply of water. Many of them are forced to operate diesel generating/pump
sets for ensuring supply. Studies have further indicated a reasonable power tariff with an assured power supply is beneficial and acceptable
to the community. Secondly, the Model Bill framed by the Government of India and circulated to the States in 1996 should be adopted by the
States and implemented seriously. Thirdly, user groups should be formed on the lines of Joint Forest Management Groups, who should do
ground water monitoring and ensure that it is managed as common property resource rather than allow it to be over exploited as an open
access resource.

In fine, a two pronged strategy is the need of the hour, to regulate indiscriminate groundwater withdrawal and to adopt appropriate measures
for augmenting its recharge through spreading techniques in alluvial areas, check dams and percolation tanks besides direct injection
methods utilising the abandoned structures available in large numbers in the hard rock region. Before undertaking direct recharge into such
abandoned structures, suitability of the structure for receiving recharge and also the quality of source water should be thoroughly examined
to confirm the technical feasibility. Rainwater harvesting is another attractive feasible option for conservation of water. Besides, ground water
re-charge can be suitably dovetailed with watershed development programmes aimed at soil and water conservation by arresting the run-off.

8.3 Earmarking of funds

State Governments can utilise up to 20% of the ARWSP funds for implementing Sub-Mission Projects for tackling Water Quality and
Sustainability issues. But the projects on sustainability of sources are very few and rare. In the wake of depleting ground water level due to a
variety of reasons, including over drawl, it becomes necessary to focus greater attention on projects relating to source sustainability, through
rain water harvesting, artificial recharging etc. Keeping in view the relevance of sustainability measures for checking the fast depleting ground
water, the State Governments may ensure that 25% of the 20% of ARWSP funds permissible for taking up Sub-Mission projects be spent
exclusively on Sub-Mission Projects relating to sustainability of water sources from the financial year 2000-2001. While planning/sanctioning
Sub-Mission projects in the States, this requirement may kindly be kept in mind.

CHAPTER – 9

OTHER RELATED ISSUES

9.1 RECORD OF ASSETS CREATED

9.1.1 Each village panchayat, block and district should have a complete inventory of the drinking water sources created under different
programmes, like ARWSP, MNP, Calamity Relief Fund, Community Development and Panchayat funds, JRY funds, other sources, etc.
giving date of the start and completion of the project, cost of completion, depth in case of the spot sources, agency responsible for O&M and
other relevant details. The inventory of assets created should also be available with the different field functionaries of the Implementing
Department or Agency concerned with implementation of rural water supply at a decentralised level for the habitations within their jurisdiction
at sub-division, circle levels, etc. The overall information should be available with the PHED / Implementing Department in the State.

9.1.2 Each source should have a plaque indicating the date and programme under which commissioned, name of the executing agency, cost
and agency responsible for maintenance. Numbers may be assigned to each source location-wise for easy identification and monitoring of
proper maintenance.

9.1.3 There should be a proper inventory control of the materials required for execution of water supply schemes. The procurement of
materials either at the headquarters or in the decentralised system should be arranged well in advance of the Action Plan for execution of
schemes to synchronise with the time-frame for implementation. A coordinated approach should be adopted for timely availability of materials
and funds. It has been noticed that sometimes, funds are available with the implementing agencies in the field but they do not have materials
(which are purchased on centralised basis) for execution of schemes or materials are available with them but funds for other expenditure
have not been made available by the State Government. This results in loss of time and idle manpower. Therefore, situations like the
availability of material but non-availability of funds or vice versa should be avoided for expeditious completion of schemes.

9.1.4 A computerised data base of the above may be maintained for easy access and retrieval.

9.2 Reports and Returns

The following reports and returns should be submitted by the States/Uts.

a) Annual Action Plan for the Financial year by 30th April.

b) Annual targets by 30th April covering the following aspects:

z Coverage of habitations; population to be benefited.

z No. of SC/ST habitations (with names ) to taken up.
z Scientific source finding, iron removal, eradication of guineaworm, defluoridation, desalination, arsenic, SPV pumping system, Water
quality testing, clearance of schemes, training of manpower under national Human Resource Development, Bilateral/multilateral
Projects and financial outlays.

c) (i) Monthly progress Monitoring Reports by 20th of the following month.

(ii) Quarterly progress Monitoring reports by 20th of the first month of the following quarter.

d) Annual progress report for clearance of schemes by 31st October and 30th April.

e) Progress of performance of drilling rigs of different types by 20th of the following month.

f) The status of functional/non-functional handpumps and other drinking water supply schemes on quarterly basis by 30th April, 31st
July, 31st October & 31st January for the proceeding quarter.

g) Annual report of achievements under the programme during the year by 30th April of the succeeding financial year.

h) Monthly progress reports in respect of installation of drinking water schemes in rural schools.

i) The details of the schemes approved under the delegated powers of the State should be sent to the Mission.

j) The Statement regarding number and type of handpumps installed, piped water supply and other schemes commissioned, the
 status of functional and non-functional handpumps/PWSS etc. should be sent alongwith the quarterly progress reports. The
population covered under handpumps and PWS Schemes may also be reported.

k) District-wise break-up of MNP provision and ARWSP allocation may be reported to the Mission before end of May every year.

l) Monthly progress monitoring report in respect submission projects sanctioned prior to 1.4.1998

These reports would enable the Central and State authorities to monitor the progress and quality of performance and to take
appropriate corrective measures.

The forms for the various reports under the programme monitoring system (PMS) are given at Annexure-VI.

9.3 SCHEDULE OF INSPECTION

For effective implementation, physical monitoring through inspection is essential. For this purpose, officers from the State government
headquarters should visit the district, block and villages regularly and ascertain whether the execution of schemes is in accordance with the
prescribe standards and specifications, the Status of maintenance, the approval given at the time of technical clearance of the schemes, etc.
Departure, if any , from the original scope of the scheme should be highlighted and brought in the inspection tour reports for appropriate
action by the State and Central Government Officers, Interaction with O & M Committees/agency, NGOs and randomly selected users should
form part of the inspection. Examination of the record and operators registers should be as thorough as possible. For this purpose, the states
may prepare a check list to be made available to the inspection officers/teams.

Similarly, officers at the circle, division and block level shall closely monitoring all aspects of the programme through visit to work sites,
particularly in interior areas to ensure quality of works.

Annexure-I

NATIONAL WATER POLICY (SEPTEMBER, 1987)

The National Water Policy stipulates water allocation priorities broadly as follows:-

Drinking Water

z Irrigation
z Hydro-power
z Navigation
z Industrial and other uses

However, these priorities may be modified, if necessary, in particular regions with reference to area specific considerations.

z Water resource development projects should, as far as possible, be developed as multi purpose projects. Provision for drinking water
should be a primary consideration.
z Improvements in existing strategies and the innovation of new techniques based on science and technology base will be needed to
eliminate the pollution of surface and ground water resources, to improve water quality and to step up the recycling and re-use of
water.
z There should be a periodical re-assessment on a scientific basis of ground water potential, taking into consideration the quality of the
water available and economic viability. The exploitation of ground water resources should be so regulated as not to exceed the
recharging possibilities, as also to ensure social equity, integrated and coordinated development of surface and ground water, and
their conjunctive used should be envisaged right from the project planning stage and should form an essential part of the project.
Over-exploitation of ground water should be avoided near the coast to prevent ingress of the seawater into sweet water aquifers.
z Irrigation and multi-purpose projects should invariably include drinking water component, wherever there is no alternative source of
drinking water. Providing drinking water to all human beings and animals should be the first priority.
z Both surface and ground water should be regularly monitored for quality. A phased programme should be undertaken for improving
water quality.
z The efficiency of utilisation in all the diverse use of water should be improved and awareness of water as a scarce resource should be
& fostered. Conservation consciousness should be promoted through education, regulation, incentives and disincentives.

The guidelines issued by the Ministry of Water Resources, Government of India, stipulate that irrigation and multi-purpose projects should
invariably include a minimum of 15% of water towards drinking water component and wherever there is no alternative source, drinking water
needs of all human beings and animals should be the first charge on any available source of water. The requirement of drinking water should
be projected at the time of designing the irrigation projects.

Ministry of Water resources is about to bring out a new National Water Policy. However, drinking water would remain on top priority in the
new policy also.

Annexure-II
Proforma for release of funds under Accelerated Rural Water Supply Programme (ARWSP)
Name of the
(Rs. in lakh)
State/UT:
ARWSP

1. Unutilised opening balance as on 1st April of the previous year

ARWSP – Normal Programme
DDP – Areas
Special assistance, if any

2. Amount released during the previous year

ARWSP – Normal Programme

DDP – Areas
Special assistance, if any

3. Total Available funds during the previous year

ARWSP – Normal Programme

DDP – Areas
Special assistance, if any

4. Expenditure during the previous year

ARWSP – Normal Programme

(a) Expenditure for coverage related activities
(b) Expenditure for Sub-Mission projects sanctioned after 1.4.99

(Nil for the year 1998-1999)

DDP – Areas
Special assistance, if any

5. Unutilised closing balance at the end of the previous year

ARWSP – Normal Programme

DDP – Areas
Special assistance, if any

6. Amount released during the current financial year:

ARWSP – Normal Programme

DDP – Areas
Special assistance, if any

7. Total available funds during the current financial year:

ARWSP – Normal Programme

DDP – Areas
Special assistance, if any

8. Expenditure upto the last month preceding the date of sending this proforma

ARWSP – Normal Programme

(a) Expenditure for coverage related activities

(b) Expenditure for Sub-Mission Projects sanctioned after 1.4.99

DDP – Areas
Special assistance, if any
MNP
9. Provision during the last year

10. Expenditure incurred during the previous year

11. Provision during the current financial year

12. Expenditure upto the last month

(i) Expenditure for coverage related activities

(ii) Expenditure for Sub-Mission projects sanctioned after 1.4.99

TOTAL EXPENDITURE
13. Whether sites are selected under MLA Quota in your State. If so, details thereof. It may
be confirmed that MLA Quota as not applicable for ARWSP.

14. Expenditure incurred during the previous year under SCs/STs

MNP ARWSP
% of the total
Amount Amount % of the total expdtr.
expdtr.
(a) SCs
(b) STs
Total
15. Expenditure incurred on O&M during the previous year
MNP ARWSP
Amount % of the total alloc. Amount % of the total alloc.
16. (a) Cost of schemes cleared upto the previous year

(b) Expenditure incurred upto the end of previous year

(c) Balance liability (amount) required for completion of on-going incomplete schemes/schemes
yet to be started

(d) Schemes cleared in the current financial year upto the month of _______________
Note:

(i) As far as possible district-wise breakup of the liability may be given in a separate annexure.
(ii) If the amount in (c) above is more than the difference between (a) & (b), reasons therefor may
be given.

17. Number & Date of letter under which following reports have been sent:

(a) Monthly Progress Reports upto September

(b) Quarterly Progress Report ending 30th June
(c) Annual Report for the previous financial year

18. The following certificates/statements may be enclosed for ARWSP, MNP, DDP and M&I Units
separately:

(i) Certified Audited expenditure figures by the State Accountant General for the year before the
previous financial year. If not available, reasons thereof.
(ii) A statement indicating district-wise data of actual expenditure in the previous year and budget
provision during the current financial year
(iii) Utilisation Certificate for funds released during previous year for the following activities along
with unutilised balance as on 1st April of the previous year:

(a) Sub-Missions on:

(1) Eradication of Guineaworm

(2) Control of Fluorosis
(3) Desalination of water
(4) Removal of excess iron
(5) Any other item for which special assistance is given over and above normal ARWSP

(iv) Utilisation Certificate of actual expenditure under MNP, ARWSP, DDP and M&I Units in the
previous financial year (signed by Engineer-in-Chief / Chief Engineer and countersigned by
Secretary)

(v) State Govt. is giving priority to the unfinished works and that quality and durability of works is
given due consideration
(vi) Escalation in cost of ARWSP schemes due to time and cost over-run has not been met out of
ARWSP funds. If met from ARWSP, please give details of the amount in each year and whether
prior approval of Govt. of India was obtained

(vii) Monitoring & Investigation Unit:

(Details of the posts, their designation, number and pay scales etc. in the annexure)
Year Amount released by GOI Actual Expenditure
(a) Previous year
(b) Current financial year
(viii) Certified that:

(a) All prescribed reports and returns completed in all respects are sent to the Rajiv Gandhi
National Drinking Water Mission, New Delhi regularly as per schedule. Incorrect or inconsistent
information is not sent.

(b) No post has been created or upgraded beyond the approved staffing pattern of M&I units
without the prior approval of the Central Govt.

(c) The functions/activities of the M&I units have not undergone any departure from the original
charter of these units. The existing functions may be given in an annexure.

(d) The computers provided by the Central Govt. are being utilised for computerised MIS for Rural
Water Supply / Rural Sanitation Programme (physical and financial progress reports should be
sent in computerised statements).

(e) Expenditure on M&I units in excess of the ceiling of Rs.10 lakh for States and Rs.4 lakh per
annum for UTs is met out of States/UT Govt. fund and not out of ARWSP funds.

(f) In case, Rural Water Supply Programme is implemented in more than one Department in the
State, please certify that M&I units are coordinating activities and sending consolidated progress
reports for the State as a whole.
19. Details of funds released in the current financial year to the implementing agencies:

Programme Name of the Agency Amount released to Agency Order No. & Date of release
MNP
ARWSP

20. Funds utilised for Sub-Mission projects approved / sanctioned after 1.4.99:

Name of Estimated Cost of Expenditure Expenditure Expenditure

S.No.
the Project the Project incurred so far from ARWSP from MNP

ANNEXRE-III
FORM OF UTILISATION CERTIFICATE
S.No. Letter No. & Date Amount

Certified that out of a total fund available of Rs.____________lakhs, including the Opening Balance as on 1st April, ____ (year) and an
amount of Rs.________lakhs received as grant in aid sanctioned during the year __________________in favour of
___________________________under the Ministry’s letter No. given above, Rs.___________lakhs has been utilised for the purpose of
ARWSP schemes for which it was sanctioned leaving a balance of Rs.__________ and it will be adjusted towards the grant in aid payable
during the next year_____________. It is also certified that the expenditure indicated above does not include advances lying un-
utilised/treated as final expenditure and civil deposit etc. treated as final expenditure. The escalation in cost of schemes has not been met out
of the ARWSP funds. No expenditure on departmental/centage charges/establishment costs has been met out of the ARWSP funds.

Certified that I have satisfied that conditions in which the grant-in-aid was sanctioned have been duly fulfilled/are being fulfilled and that I
have exercised the following checks to see that the money was actually utilised for the purpose for which it was sanctioned.

Kinds of checks exercised:

1. Grant-in-aid checked from the register maintained.

2. Expenditure checked from the register maintained.

Signature of Chief Engineer(PHED)

Countersignature of Secretary in-charge of Water Supply

ANNEXURE.IV
COST NORMS FOR NHRD PROGRAMME
The equipment, staff pattern and cost norms for training approved by the Government of India are given below:

A EQUIPMENT FOR STATE HRD CELL

Sl. No. Item No. of State having districts
< 20 21-40 >41
1. Computer with Printer 1+1 terminal 1+2 terminals 1+3 terminals
2. Photo Copier 1 1 2
3. Air-conditioners 1 2 2
4. Slide and Over-head Projectors 1+D* 2+D* 2+D*
5. Binder and Laminator 1 1 1
6. TV with VCR 1+D* 2+D* 3+D*
7. Vehicles 1 jeep +1 minibus 2 jeeps + 1 minibus 3 jeeps + 1 minibus
Electric Type-writer & Cyclostyling
8. 1+1 2+1 3+1
Machine

D* Number of districts in State

Central assistance may be provided upto 100% for equipment in accordance with suggested norms and salaries and permissible allowances
for approved staff of HRD Cell.

B. STAFFING PATTERN FOR STATE HRD CELL IS AS FOLLOWS

Sl. No. Designation No. of State having districts

< 20 21-40 >41
1. Executive Director 1 SE/Addl. CE 1 Addl. CE 1 CE
2. Director/ Dy. Director 1 EE 1 SE, 1 EE 1SE, 2 EES

i. Nomination, Deployment of Trainers

ii. Grass Root Level Trainees

iii. Training Materials, Office

3. Managers 2 AEs 4 AEs 6 AES
4. Field Officers 4 JEs 8 JEs 12 JEs
5. Steno-cum -PA 2 3 4
6. Data Entry Operators 1 2 2
7. Attendents 2 3 4

Note: There shall be no deviation from these norms as far as contribution by Government of India is concerned.

The Govt. of India would provide 100% of the total expenditure on the salaries and allowances of HRD Cell staff.

C. COST NORMS FOR TRAINING COURSE:

Sl. No. Item Norm
1. Boarding and lodging i) a) Rs.150 per day for Govt. depts. and

b) Rs.200 per day for NGOs

per participant for DLTs, Sector Professional

Courses (residential in nature) for Officials,
Engineers and other Professionals.

ii) Rs. 75 per day per participant for shorter

duration Courses/ Awareness Camps for grass-
root level workers.
2. TA only for participants for course at 1 (i) As per actuals and eligibility but limited to II/I/II
above. AC. No air travel is permitted.
3. TA and DA for guest faculty Same as at (2) above
4. Course material Rs. 250 per participant per course
5. Rs.12 per Km. Subject to a maximum of
Field trips
Rs.5000/-
6. Honorarium to course Coordinator i) Rs.500/-
7. i) Rs.250/- per 75 minutes
Honorarium to faculty
ii) Rs.50/- per hour per person for laboratory work.
8. 5% of the total budget Govt. Deptt. and 7% for
Overheads/institutional charages
NGOs.

Note: Travelling expenses for participants of grass root level training courses are not to be provided as these courses are planned to be
organised at village/ block level. However, travelling and boarding & lodging expenses for grass root level trainers under going training are
permitted as per above norms.

D. NORMS FOR KEY AND OTHER INSTITUTIONS

The norms for financial assistance to Key and other Government institutions and non-Government institutions associated with NHRD
Programme are as follows:

Sl. No. Item Norm

1. Training Course: Same as indicated at Item “C” above
Rs.75,000/- per course (non residential participants) for 5 days.
a) GRLT
b) Sector Professional
2. Establishment Expences (per year) Wages Other Expenditure
 a) Govt. Institutions
b) Non-Govt. Institutions

Rs.3.00 lakh Rs.1.00 lakh

Rs.2.00 lakh Rs.1.00 lakh

Note: The Sector professional Training courses may cost higher than the norms depending on the level of participants and period of course.
In such cases the specific approval shall be obtained from the Mission.

E. WORKSHOP AND SEMINARS UNDER PROGRAMME

SCOPE

The financial assistance will be given to conduct Workshops, Seminars, Conferences etc. having bearing on NHRD Programme with special
thrust on improving programme, capability and capacity of the officials and institutions like PRI functionaries, PHEDs/ Boards/ Nigams/ NGOs
etc. actively involved in Rural Water Supply & Sanitation sector in the States.

COST NORMS

The following fiancial assistance will be provided for conducting workshops/ seminars/ conference under the programme:

a) State Level

Amount - Rs.80, 000/- per day

Participants - 75 (minimum)

b) District Level

Amount - Rs. 30.000/- per day

Participants - 50 (minimum)

c) Components

The following programme components will be funded under these activities:

a) Boarding and lodging of participants and experts (for out Station only)
b) Travel cost of the participants & experts (for out-station only)
c) Handouts / materials/ publicity etc.
d) Honorarium to faculty and experts @ Rs.250/- per 75 minutes/ presentation.
e) Honorarium to Program Coordinators @ Rs. 500/- (Total)
f) Hiring Hall/ Venue
g) Over-head charges 10% of the total estimates
h) Field Trips, if any.

Note: The budget for the similar events of Regional and National nature will be approved by the GOI on case to case basis.

AGENCY

The State Govt. Agency implementing NHRD activities or other agency identified by them

Delegation of powers to the States/UTs for approval of HRD cost norms.

Copy of GOI Order No.W-11043/1/95-Media dt. 31.12.1997 regarding delegation of powers for approval of the cost norms by the State under
the NHRD programme is given at Appendix to this Annexure.
Appendix to Annexure-IV
W-11043/1/95-Media
Ministry of Rural Areas & Employment
Rajiv Gandhi National Drinking Water Mission
New Delhi – 110003
Date: 31.12.97.
ORDER
Sub: Delegation of powers for approval of the cost norms by the State under the NHRD Programme.

The national HRD Programme aiming at capacity, capability and institutional building in Rural Water Supply and Sanitation Sector in the
country, was launched by the Ministry in the year 1994. Guidelines for conducting HRD activities through-out the country were issued under
"the Project Profile (December 1994)".

2. Funds are provided for HRD activities under three broad sub-heads viz. Staffing, Equipment and Training. Detailed cost norms for staffing,
equipment and training courses have also been laid down in the said document.

3. During a recent review of the HRD Programme(held on 28.10.97), the State Govt. representatives highlighted the fact that the existing cost
norms were too rigid and were hampering the physical implementation of the Programme.

4. The matter has been carefully considered and it has been decided to delegate to the respective State Governments the powers for

a) the revision of cost norms for conducting training courses,

b) setting/altering staff configuration in the State HRD Cells, including the regulation of their status/ salaries and

c) the purchase/ acquisition of equipment by the State Govt.

5. Further, the norms for training course expenses (including hiring of vehicles), overheads/institutional charges, equipment etc. can be
henceforth modified by the Secretary-in-charge in the State Government in consultation with the Apex/ Empowered Committee as the case
may be. The composition of aforesaid committee shall be as stipulated in the Project Profile document.

6. Similar measures can also be taken with regard to changes in the staffing pattern within the appropriate financial allocations, on a 50:50
sharing basis between State and Central Government.

7. These powers shall be exercised with due care within the different heads/ categories of expenditure i.e. equipment, staffing and training
courses.

8. No diversion shall be allowed from one sub-head to another (i.e. from Staffing to equipment etc.)

9. Other guidelines shall remain unchanged as stipulated in the document referred herein.

10. This issues with the concurrence of Integrated Finance Division (IFD) of this Ministry.

11. Copies of the relevant orders issued by the state Govt. after this circular may be marked to this Ministry

Sd/-
(Palat Mohandas)
Joint Secretary & Mission Director
Copy to: The Secretary/Engineer-in-Chief of all states.
ANNEXURE-V
IEC COST NORMS
The project proposal for IEC activities in select districts and at State level shall be approved w.e.f. 1.1.99 as per the revised ARWSP
guidelines with 100% of the total sanctioned Project cost to be borne by the Central Government, which is in revision to be the earlier cost
norm of 50 : 50 project cost sharing between the GOI and the State Government (refer guidelines issued vide letter No. W-11043/1/95-Media
dated 17.11.95).

The funds are to be utilised for expenses under the heads given below at the village/Panchayat, Block, District and State levels :-

z Salary/Honorarium at State,District, Block and Village/Panchayat levels.

z TA/DA, Establishment & Contingency (Village/Panchayat, Block, District & State levels).
z Media Activities, training, workshops, preparation of communication material etc. (software component) at Village/Panchayat, Block,
District & State levels.

The State Government shall take immediate action to ensure that the IEC Cell is created as per the guidelines issued vide letter No. W-
11043/1/95-Media dated 17.11.95 and manpower is engaged as suggested. The State Government should ensure immediate release of
funds to the implementing agency for the smooth and speedy implementation of the IEC strategy.

The progress report on the IEC activities beginning from creation of IEC Cell, re-orientation/sensitisation of various level functionaries, setting
up of WATSAN Committees (at every level) and carrying out the Intensive Awareness Campaign in the selected districts, may be sent to the
Joint Secretary and Mission Director, Rajiv Gandhi National Drinking Water Mission on a monthly basis. The break up of approved cost (for
one year) is as follows :-
1. DISTRICT CO-ORDINATING AGENCY (PER DISTIRCT) :

z Co-ordinator (one) : Rs.2000/- per month (honorarium) on and above their salary and TA/DA upto Rs.16000/- per year as per the
State Government rules.
z Supporting Staff (three) : Rs.1500/- per month (honorarium to each) on and above their salary and TA/DA upto Rs.12000/- per year
(each).
z Asstt./Steno/Typist (one) full time : Rs.1500/- per month (to be hired on contract) and TA/DA upto Rs.6000/- per year.
z Messenger (one) full time : Rs.1200/- per month (to be hired on contract) and TA/DA upto Rs.5600/- per year.
z Establishment charges : Rs.60000/- per year.

(Total expenses for one year/per district : Rs.2.34 lakh)

2. BLOCK LEVEL CO-ORDINATORS (TWO IN EACH BLOCK)

z Co-ordinator (two) : Rs.1000/- per month and TA/DA upto Rs.6000/- per year.
z Establishment expenses : Rs.24000/- per block per year.

(Total expenses Rs.60000/- per block per year)

3. VILLAGE LEVEL EXPENSES

z Raw material/other expenses (wall writing + card making ) Rs.500/-.

z Payment to folk media (four shows Rs.150/- per show) Rs.600/-.

(Total expenses Rs.1100/- per village)

4. EXPENSES ON MOTIVATOR

One motivator per village/panchayat on contract for four months at the rate of Rs.100/- per month and Rs.100/- additional as contingency and
TA/DA. Total expenditure on one motivator would be Rs.500/-.

5. MEDIA ACTIVITIES/TRAININGS/SENSITISATION WORKSHOPS

Media activities/Training/Sensitisation workshops including software for school sanitation at district level (per year/per district )

(Total expenses Rs.10.00 lakh per district )

6. STATE LEVEL BUDGET (FOR ONE YEAR)

IEC Cell

z Consultant (one) - Rs.10000-12000/- per month average and TA/DA upto Rs.80000/- per year.
z Asstt. Engineer (water), on deployment, Rs.2000/- per month on and above their salary and TA/DA upto Rs.48000/- per year.
z Asstt. Engineer (Sanitation), on deployment, Rs.2000/- per month on and above their salary and TA/DA upto Rs.48000/- per year.
z Stenographer (one), on deployment, Rs.1500/- per month on and above their salary and TA/DA upto Rs.15000/- per year.
z Messenger/Asstt. (one), full time(on contract), Rs.2000/- per month on and above their salary and TA/DA upto Rs.10000/- per year.
z Establishment/contingency expenses upto Rs.2.00 lakh (two lakh) per year.

B. State Co-ordinating Agency

A Professional Agency (15% of the total amount allotted to SCA by implementing agency for doing necessary creative work, monitoring and
providing consultancy to PHED/RD/PR department.

(Total estimated charges upto Rs.2.00 lakh)

C. Other Activities at the State level: (upto)

1. Exhibition Rs.02.00 lakh

2. Media/Sensitisation News letter/other activities etc. Rs.10.00 lakh
3. Trainer’s training Rs.00.80 lakh
4. Re-orientation of DCA functionaries Rs.00.80 lakh

The State and District level budget shall be sanctioned on the basis of number of blocks & villages per district : -

e.g. If the Nos. of district, blocks and villages are as follows :

DISTRICT BLOCK VILLAGES

Say “Y” Nos. in
Say “X” Nos.
“X” no. of districts Say “Z” Nos. in “Y” No. of blocks of “X” No. of districts

Thus, final approved budget for one year shall be :

DISTRICT LEVEL EXPENSES

z District Co-ordinating Agencies (Rs.2.34 lakh x “X” No. of districts)

z Block level Co-ordinator (Rs.60000 x “Y” No. of blocks)
z Village level Expenses (Rs.1100 x “Z” No. of villages)
 z Expenses on Motivators (Rs.500 x “Z” no. of villages)
z Media activities/trainings/workshops including software for school sanitation at district level Rs.10.00 lakh x “X” No. of districts)

STATE LEVEL EXPENSES

IEC Cell Rs.06.11 lakh

State Co-ordinating Agency Rs.02.00 lakh
Other activities at State level Rs.13.60 lakh

Center’s share 100% of the approved cost

No.W-11043/75/956-Media
Government of India
Ministry of Rural Development
Department of Rural Development
Rajiv Gandhi National Drinking Water Mission
Block B-1, 9th Floor, Paryavaran Bhavan
Lodhi Road, CGO Complex
New Delhi – 110 003.

Dated the 29th December, 1997

ORDER
Sub:- Modified and revised financial norms for the IEC programme in the Rural Water Supply & Sanitation Sector - Rajiv Gandhi National
Drinking Water Mission.

1. IEC guidelines covering expenditure at State, district and village levels, comprising different components of IEC programmes were
circulated vide letter No.W-11043/1/95-Media in February, 1996.

2. During a recent review of IEC activities, the state representatives in-charge of the IEC programme were of the view that the existing
guidelines/cost norms were too restrictive and were hampering the actual implementation of the programme at the field level.

3. The matter has been carefully considered and it has been decided to delegate the powers to revise the cost norms to the State
Governments. The detailed modalities will be as follows :-

i) Under approved IEC budgetary provisions, the allocation of fund is broadly classified under three major sub heads :-

a) Expenses on salary, honorarium at the State, District, Block and Village level (establishment charges).
b) Expenses on media activities, training, workshop, preparation of communication materials etc. (software components).
c) TA/DA, logistic support and other contingency expenditure etc. (contingencies).

ii) Revisions would be permissible only within each of the three broad subheads mentioned above. The State Government, acting through the
Secretary-in-Charge with the concurrence of the duly constituted IEC Committee, referred to in the existing guidelines, would now be
empowered to suitably readjust the norms. For example,

(a) honoraria for the coordinator, supporting staff and other staff may be enhanced or reduced as deemed fit or (b) under village level
expenses, the raw material cost of Rs.500/- for wall writing and payment to folk media of Rs.150/- per show may if found necessary be
suitably readjusted.

iii) However, no reallocation from one subhead to the other (i.e. from establishment charges to software expenditure or to contingencies) is
permissible.

iv) The total budget of each sub-head should not be exceeded in any case.

v) The fund should be utilised only for those items of work, which have been incorporated/approved in the IEC guidelines.

vi) Quarterly progress reports, about the implementation of IEC project, should be sent to the Joint Secretary cum Mission Director,
RGNDWM.

vii) The utilisation certificate for expenditure incurred during the financial year should be sent within 6 months of the close of the financial year
and accounts of actual expenditure from the State Accountant General, within 18 months of the close of the year.

viii) The above flexibilities should be used only for improving the quality of the programme.

ix) This order issues in consultation with the Integrated Finance Division of this Ministry.

x) Copies of decisions taken in the context of these instructions may be markets to this Ministry.
 Sd/-
( Sanjay Mitra )
Director (TM)
To :

20 IEC States (A.P., Ar. Pradesh, Assam, Gujarat, Haryana, Himachal Pradesh, Marnataka, Kerala, M.P., Maharashtra, Manipur, Mizoram,
Punjab, Rajasthan, T.N., U.P., Bihar, Meghalaya, Nagaland & Orissa)