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Andhra Pradesh CommunityAndhra Pradesh CommunityAndhra Pradesh CommunityAndhra Pradesh CommunityBased Tank Management ProjectBased Tank Management ProjectBased Tank Management ProjectBased Tank Management Project

Project Implementation PlanProject Implementation PlanProject Implementation PlanProject Implementation Plan

28282828 thththth FebruaryFebruaryFebruaryFebruary 2007200720072007 ____________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________

Irrigation & CAD DepartmentIrrigation & CAD DepartmentIrrigation & CAD DepartmentIrrigation & CAD Department Government of Andhra PradeshGovernment of Andhra PradeshGovernment of Andhra PradeshGovernment of Andhra Pradesh


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Foreword

The Government of Andhra Pradesh has initiated the process of providing substantive and enabling

role to farmers benefiting from irrigation projects for management, operation and maintenance of the

irrigation infrastructure by enacting the APFMIS Act, 1997. Following this, I&CAD Department has

carried out minimum rehabilitation of the M.I tanks through Water User Associations. Performance

evaluation of the WUAs highlighted the need for investment in institution building to enable WUAs to

take up irrigation system management responsibilities. This has now been initiated in the I&CAD

Department as part of the ongoing sector reforms process under the flagship of Jalayagnam

programme of Government of Andhra Pradesh in tune with the Mid-Term Appraisal of the X Plan and

observation of the Sub-Group on Agriculture and Irrigation of the National Development Council.

I&CAD Department is already implementing a project on Repair, Renovation and Restoration of

water bodies directly linked to Agriculture with assistance from Government of India in the districts

of Ananthapur and Mahaboobnagar. I&CAD Department has developed a step-by-step process

guideline towards scaling up of the above programme to benefit 2.5 lakh ha under 3000 tanks at an

estimated cost of Rs. 1000 crores with financial assistance from the World Bank and the Government

of India under the AP Community Based Tank Management Project. This restoration work is

proposed to be undertaken in three batches over a period of next five years.

The Project Implementation Plan has been prepared to act as a guiding document, describing the

activities of the project on spatial and temporal scale. In addition, a set of six Operational Manuals on

various components has also been prepared to steer the project stakeholders in effective

implementation of the project. Present volume is one of the series of these six manuals. Though

sufficient care is taken to avoid any contradiction with the existing provisions, however in cases of

any ambiguity or contradiction, the existing statutes and government orders would prevail. We

welcome any suggestions for further modifications and improvement.

Commissioner,

Irrigation & CAD Department

Government of Andhra Pradesh


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List of Contents

Chapter /Section No.

Chapter / Section Name Page No.

1 Introduction1.1 About the state 1

1.2 Agro-climatic features 11.3 Geographical distribution of tanks 21.4 Status of tanks 41.5 Reason for decline to tank irrigation 41.6 State strategy on tank management 51.7 Community involvement in tank management 61.8 Groundwater and tank 81.9 GoI pilot on renovation and rehabilitation 101.10 GoI National Framework for design of project 101.11 Related Bank projects 12

2 About the Project2.1 Project description 132.2 Tank selection process 162.3 Project approach and strategy 162.4 Project financing 19

3 Project Component 1: Strengthening communitybased institutions

3.1 Over all objective, design principles, benefits 203.2 Description of component, sub-component and

activities20

3.3 Implementation of TIMP 243.4 Maintenance of Records & Book Keeping 253.5 Capacity Building & Training 263.6 Implementation arrangement 283.7 Monitoring 32

4 Project Component 2: Tank systems improvements4.1 Improvement of minor irrigation tanks4.1.1 Objectives 394.1.2 Activities under the component 394.1.3 Approach and design principles 394.1.4 Selection criteria for tanks 39

4.1.5 Hydrological assessment 404.1.6 Dam safety 414.1.7 Project interventions 424.1.8 Technical manual 424.1.9 Implementation arrangements 444.1.10 Costing of tank improvement system 474.1.11 Quality assurance 474.1.12 Quality control manual 474.1.13 Creation of minor irrigation database for Andhra 47


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Pradesh4.1.14 Post project sustainability strategy 47

4.2 Participatory groundwater management4.2.1 Objectives 634.2.2 Approach 634.2.3 Coverage 634.2.4 Activities 644.2.5 Implementation arrangements 654.2.6 Monitoring 66

5 Project Component 3: Agricultural livelihoodssupport services

5.1 Overall objective, design principles, benefits 675.2 Agriculture / horticulture 695.2.1 Objectives 695.2.2 The approach 69

5.2.3 Project interventions 705.2.4 Capacity building 755.2.5 Implementation arrangements 765.3 Livestock development 955.3.1 Objectives 955.3.2 The approach 955.3.3 Project Interventions 975.3.4 Training 1005.3.5 Implementation Arrangement 1015.4 Fisheries Development5.4.1 Objectives and framework 1075.4.2 Coverage and approach 1075.4.3 Selection criteria 1085.4.4 Project interventions 1085.4.5 Implementation arrangements 1115.5 Foreshore Plantation5.5.1 Objectives 1165.5.2 The approach 1165.5.3 Project interventions 1175.5.4 Implementation arrangement 1185.6 Marketing and business development5.6.1 Background 1215.6.2 Problem Analysis 121

5.6.3 Agri business development process 1215.6.4 Project interventions 1275.6.5 Capacity building 1305.6.6 Implementation arrangements 131

6 Project Component 4: Project Management6.1 Introduction 1496.2 Objectives 149


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6.3 Implementation arrangements 1496.4 Project Management Support 1546.5 Partnering institutions 1566.6 Support Organization selection criteria 1566.7 Terms of Reference for Support Organization 1606.8 Capacity building objective and strategy 1656.9 Project Monitoring and Learning 1696.10 Project Sustainability 1726.11 Project Risks 173

7 Social and Environmental Management Framework7.1 Introduction 1787.2 Stage-specific SEMF interventions and outcomes 1787.3 Processes for Implementation of SEMF activities 1837.4 Guidelines for selection of appropriate social and

environmental management measures184

7.5 Monitoring environment and social aspects 188

7.6 Guidelines for Preparation of SEMF Plans 189

8 Tank Improvement and Management Plan (TIMP)8.1 Project cycle in a tank system 2098.2 TIMP planning process 2118.3 TIMP contents and details (including social and

environmental management plans)215

8.4 TIMP approval process 2158.5 TIMP implementation arrangements 216

9 Procurement policy, plan & strategy9.1 Procurement policy 2389.2 Procurement plan 2389.3 Methods of procurement 2399.4 Financial delegation 240

10 Financial Management10.1 Annual Action plan preparation 24510.2 Head of Account 24510.3 Drawing Disbursing Officer 24510.4 Fund Release Process 24510.5 Audit 246

11 Monitoring and Evaluation11.1 Background 24711.2 Objectives 24711.3 The Approach 24711.4 The M&L framework 24811.5 Component-wise details of M&L 25011.6 Participatory monitoring and learning 25311.7 Organizational structure / implementation

arrangements255


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11.8 Capacity building 25711.9 Reporting arrangements 257

12 Project Disclosure Strategy12.1. The approach 27812.2. Lessons learnt 27812.3. Pro-active disclosure 27812.4. Consultations 28112. 5. Implementation of RTI Act 28112.6. Project management systems facilitating transparency

and public disclosure282

12.7. Grievance redressal mechanism 28312.8. Implementation arrangements 283

13 Cost TablesTable 01 Component 01: Institutional DevelopmentTable 02 Component 02a: Minor Irrigation Systems

ImprovementTable 03 Component 03a: Agriculture & HorticultureTable 04 Component 03b: Animal HusbandryTable 05 Component 03c: FisheryTable 06 Component 03d: Foreshore PlantationTable 07 Component 03e: Agri-business & MarketingTable 08 Component 04: Project Management


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1. Introduction

1.1. About the state

Andhra Pradesh is the fourth largest state in India in terms of geographical area of 27.44million ha, i.e., 8.4 % of the countrys territory. It is the fifth largest in terms of population at75.7 million (2001 Census). The state is bound in the north by Maharashtra and Chattisgarhstates, on the east by Bay of Bengal, on the north-east by Orissa state, on the west byKarnataka state and on the south by Tamil Nadu state. It lies between the north latitudes of12 14 and 19 54 and east longitudes of 76 50 and 84 50. The state is divided into 23districts and three popular cultural regions of Coastal Andhra, Rayalaseema and Telengana.

The population of Andhra Pradesh was about 75.7 million in 2001, with a population densityof 272 per km 2. The female population is about 37.4 million, which is slightly less than 50 %of the total population, giving the state a sex ratio of 978 females per 1000 males. The statewitnessed a population growth of 24.2 % between 1981 and 1991, which reduced to 13.8 %between 1991 and 2001. Off the total state population 20.5 (27 %) million lived in urban areas

in 2001 and 55.2 million (73 %) lived in rural areas, making the state populationpredominantly rural.

In the rural areas of the state, in 1991 the main work force formed about 47 % of the totalrural population. Off the total main work force, 61 % were men and 39 % women. Among themarginal workers, however, women constituted 93 % of the work force and men only 7 %. Inurban areas the main work force constituted about 30 % of the total urban population. Menmade up 82 % of this work force while the women constituted of only 18 %. However, amongthe urban marginal workers women made up 80 % of the work force, while the men only 20%.

Agriculture is the mainstay of the states economy and also the largest employment provider.

The total cropped area in the state is about 13 million ha, contributing about 34 % (Rs. 372billion) to the net state domestic product (Rs. 1,105 billion) 1. Out of the 29.9 million workforce in the State as much as 19.5 million (65 %) are occupied in agriculture.

Food crops occupy about 67 % (8.8 million ha) of the cultivated area of Andhra Pradesh. Theannual total food grain production in the State is about 13.7 million tones. The major foodcrop is rice, which is cultivated in about 4 million ha with an average annual production ofabout 10.6 million tones. The other principal crops are cotton, sugarcane, tobacco, onion andchili. Horticulture and plantation crops occupy about 1.37 million ha (10.5 %), with anaverage annual yield of more than 9.5 million tones. The other important agriculturalactivities are dairying, poultry and fishery.

1.2. Agro-climatic features

The cropped area in Andhra Pradesh state is divided into seven distinct agro-climatic zones.The classification mainly concentrates on the range of rainfall received, type and topographyof the soils. The seven agro-climatic zones are as follows:

Soil Type Crops GrownZones Districts Rainfall(mm)

1 As per the 1999-2000 prices


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KrishnaGodavariZone

E. Godavari part, West GodavariKrishna, Guntur, and Contigousareas Khammam, Nalgonda,Prakasham

800-1100

Deltaic Alluvium,Red soils with clay,BC soils, redloams, costalsands, saline soils.

Paddy, Groundnut,Jowar, Bajra,Tobacco, CottonChillies, Sugarcaneand Horticulturalcrops

NorthCoastalZone

Srikakullam, Vizainagaram,Vishakapatnam & uplands ofEast Godavari

1000-1100Red soils with claybase, pockets ofacidic soils, lateritesoils, soils with pH4-5

Paddy, Groundnut,

Mesta, Jute,Sunhemp,Sesamum, Jowar,Bajra, Black gram& Horticulturalcrops

SouthernZone

Nellore, Chittoor, Southern Partsof Prakasham and Cuddapah &Eastern parts of Ananthapur

700-1000Red loamy soils,Shallow toModerately deep

Paddy, Groundnut,Cotton, Sugarcane,Millets andHorticultural crops

NorthTelanganaZone

Adilabad, Karimnagar,Nizamabad, Medak, (Northernpart) Warangal (Except N.WPart) Eastern tips of Nalgondaand Khammam

900-1500

Chalkas, Red sandysoils, Dubbas,Deep Red loamysoils and very deepBC soils

Paddy, Castor,Jowar, Maize,Sugarcane,Sunflower,

Turmeric, Pulsesand Chillies

SouthernTelanganaZone

Hyderabad, Ranga Reddy,Mahaboob- nagar,(ExceptSouthern border)Nalgonda,(except North easternborder) Medak (Southern parts)Warangal (North Western part)

700-900Red eaths withloamy subsoils(Chalkas)

Paddy, Safflower,Grapevine,Sorghum, Millets,Pulses, Sunflowerand Orchard crops

ScarceRainfallZone

Kurnool, Ananthapur,Prakasham, (Western parts)Cuddapah (Northern part),Mahaboobnagar (Southern-border)

500-750

Red Earths withloamy soils(Chalkas) Redsandy soils and BCsoils in pockets

Cotton, Korra,Sorghum, Millets,Groundnut, Pulses,Paddy

High

Altitude &TribalAreas

Northern borders of Srikakullam,Vizianagaram, Vishakapatnam,East Godavari and Khammam

1400Hill slopes,Undulatingtransported soils

Horticultural crops,

Millets, Pulses,Chilles, Turmericand Pepper

Source: I&CAD Department, GoAP

1.3. Geographical distribution of tanks

Tanks are an essential feature of Andhra Pradesh, especially in the rural areas. There areirrigation tanks, percolation tanks or general-purpose village ponds. They could be perennial,long-seasonal or short-seasonal, based on the water retention period.

Historically, tank irrigation in Andhra Pradesh has played a vital role in the development ofits agricultural economy. Andhra Pradesh has the distinction of having large number of tanksand the largest area irrigated under tanks in the country. These structures are very common inthe Deccan plateau and have survived over centuries providing water for irrigation anddomestic uses. The native rulers and the communities have ingeniously designed andconstructed these structures over the past several centuries. As a local ecosystems, the tanksystems consists of the water body, the tank structure, the feeder & supply channel and canal,the well, the catchments area and the command area it irrigates. Other than this it alsoincludes the bio-mass produce and the local flora and fauna supported within the tank systemarea.


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Tanks in Andhra PradeshType of Tank No. of

TanksCommand(ha)

Tanks < 40ha

66,195 594,968

Tanks > 40ha

11,277 1,155,119

Total Tanks 77,472 1,750,087Source: GoAP, 2006 JALAYAGNAM

According to the 2 nd Minor Irrigation Census, thereare 79,953 irrigation tanks in Andhra Pradesh. Ofthe data available for 73,604 tanks, the area coveredunder the tanks is about 1,750,087 ha. Theirrigation provided by the tanks in the kharif and

rabi season during the year 2000-01 is illustrated inthe maps below.

Source: I&CAD Department, GoAP

The district wise distribution of tanks in the state is given in the table below.Tanks > 40 ha Tanks < 40 ha TotalName of

District No. of sources

Command (In ha) No. of sources

Command (In ha) No. of sources

Command (Inha)

Srikakulam 1026 64933 7638 72451 8664 137384Vijayanagaram 1173 53253 8318 63715 9491 116968Vishakhapatnam 389 67372 3111 29501 3500 96873E. Godavari 332 53436 1253 15953 1585 69389W. Godavari 254 37462 1054 12716 1308 50178Krishna 284 41894 663 10082 947 51976Guntur 83 10019 213 3737 296 13756Prakasam 354 48338 551 7406 905 55744Nellore 775 106372 984 14708 1759 121080Ananthapuram 445 48445 2199 21068 2644 69513Chittoor 627 52898 7395 55285 8022 108183Cuddapah 309 30841 1542 13068 1851 43909Kurnool 163 26747 454 4785 617 31532Mahaboobnagar 655 60456 5374 41732 6029 102188

Ranga Reddy 280 31647 2037 19242 2317 50889Nalgonda 541 69034 4076 32287 4617 101321Warangal 756 75482 3920 30253 4676 105735Khammam 393 57870 2097 21914 2490 79784Nizambad 325 34492 2272 25078 2597 59570Medak 889 66348 5174 41048 6063 107396Karimnagar 622 64977 4495 42583 5117 107560Adilabad 602 52802 1375 16366 1977 69168Total 11,277 1155118 66195 594978 77472 1750096

Source: Calculated from GoAP, 2006 JALAYAGNAM


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Status of tanks not in use in AP Status No. of TanksTemporarily not in use 24,170Abandoned 448Dried up 2,384Silted 982Other reasons 1,203Total 29,187Source: GoI, 1993 2 nd M. I. Census

1.4. Status of tanks

Tank, as an important source of irrigation, has lost its significance during the last two to threedecades. The proportion of area irrigated under tanks showed a significant decline from 39 %in 1955 to 14 % in 2005. Most of the tanks in the State perform below their capacity level and

the gap between the irrigation potential created and actual irrigated area under tanks has beenreported at about 40 to 60 % depending upon the rainfall during a year.

The 2 nd Minor Irrigation Census reported that atthe time of the census, 29,187 tanks were not inuse in the State, which is 36.4 % of the totalnumber of tanks. The reasons cited weresiltation, weed infestation, closure of link /feeder channels between chains of tanks,encroachment into tanks and cultivation in tankbeds, etc. This has happened as during the post-Independence 5-year plans, more importancewas accorded to the major projects, with minimum attention to minor irrigation programmes.Also the change to energized bore well irrigation, supported by electricity supply andsubsidized schemes, contributed to the neglect of tanks and all the functions they served.

In the process, area under tank irrigation has declined, which has adversely affected poorpeople who are traditionally more depended on the tanks for their livelihoods. Though theirrigation potential created through the tanks is estimated at 17 lakh ha, the actual areairrigated is only about 6 - 8 lakh ha.

1.5. Reason for decline to tank irrigation

The fall in efficiency of the tank system could be due to one or more of the following reasons:1. Decrease in inflows to the tank due to

i. Inadequate rainfallii. Up stream abstractions (watershed development and other water harvesting structures)iii. Poor condition of feeder channel (including the pick up weirs / diversion works

wherever relevant)2. Deterioration of physical system

i. Breach in bundii. Poor condition of the bund with unstable side slopes not to standards and non uniform

TBLiii. Improper condition of surplus system needing repairs to the masonry structures such

as body wall, abutments, returns, wing walls, etc, along with apron, talus checkingretrogression if any

iv. Defunct or inadequate functioning of sluice because of absence of shutters, leakagesfrom shutter or masonry structure

v. Decrease in the storage of the tank due to silting, encroachments into the tank bed3. Poor canal system

i. Improper shape of the main canal with disfigured cross sections and disturbed bedslope

ii. Poor condition of cross masonry and cross drainage structures that increase thedistribution losses


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iii. Improper maintenance of the field channels4. Poor water use efficiency due

i. Mono cropping of water intensive crop like paddyii. Improper distribution and scheduling of water to cover the entire ayacut

5. Institutional deficiencies i. Inadequate management structure and management capacity at CADA

ii. Inadequate performance of Water Users Association iii. Sub-optimal management systems iv. Diverse tank users and livelihood optionsv. Lack of voice to poor in decision making on tank

The decline in tank irrigation is taking a serious turn and possesses threat to the agriculturaleconomy of the State. It is estimated that there is an economic return of about Rs 37,500 perha of area cultivated under minor irrigation per year. This amounts to a loss of about Rs 2,250crores per year for the 6 lakh ha of land lost under tank irrigation. This loss is furtheraggravated as these tanks also provide other vital uses like domestic and drinking water to thepoor people.

A comprehensive programme for restoration of tanks and revitalization of irrigation potentialunder them in a decentralized manner through community involvement is the primary need ofthe State now. This programme will bring about 4 lakh ha of land under irrigation by restoringtanks of more than 40 ha ayacut, while converting the smaller ones into percolation tanks torecharge ground water in ground water distressed area.

1.6. State strategy on tank management

To provide policy and statutory support for the promotion of participatory management ofirrigation, including tank irrigation, in the State, GoAP enacted the Andhra Pradesh FarmersManagement of Irrigation Systems Act of 1997. It is the first of its kind in the country andseeks to bring about a paradigm shift in irrigation management. The Act contains broadprovisions relating to all types of irrigation schemes (major / medium / minor) specifying thetiers of farmers organizations to be formed, procedure for their constitution and election ofManaging Committees, functions of the various farmers organizations, resources, etc.

The salient features of the APFMIS Act are:1. Transfer of power for the management of state-owned assets to the farmers2. Creation of new autonomous institutions (WUAs) as legal entities3. Areas defined on a hydraulic basis4. Equity achieved within the structure of a WUA by introducing the concept of territorial

constituencies5. All land holders in possession of land in an irrigation system become WUA members with

voting rights6. One member, one vote7. Elections by secret ballot8. Functional and administrative autonomy9. Freedom to raise resources10. Resolution of disputes and compounding of offenses11. Simplified procedures for taking up works12. Six-year tenure for Managing Committee members with one-third changing every two

years


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13. Irrigation Department, as competent authority, is made fully accountable to the farmerorganizations

14. Right to recall an elected member after one year15. Social audit and annual accounts audit

1.7. Community involvement in tank management

The primary farmers organization for the minor irrigation tanks is the Water UserAssociation. A WUA is created by delineating the command area under a minor irrigationtank system. All land holders (farmers and tenants) within the delineated area constitute themembers of the WUA. The area of a WUA is subdivided in order to equitably handle watermanagement, maintenance, and governance. These constitute the Territorial Constituencieswithin a WUA, which are 6 in numbers. The elected representatives of these territorialconstituencies constitute the Managing Committee of a WUA. The managing committeemembers in turn elect the WUA President from among themselves. The area covered by aWUA ranges from 40 to 3,500 ha. A typical structure of a WUA is given in the figure below.

Elections to the WUAs are conducted through a democratic process of secret ballots under theAndhra Pradesh Farmers Management of Irrigation Systems Act 1997. Detailed rules havebeen notified under the Act for the delineation, notification and functioning of the WUA.

The process of formation of a WUA entails the following steps:1. The area proposed to be constituted into a WUA is delineated by the irrigation agency,

under an irrigation project either in full or in part depending on the irrigation system. Inthe case of a minor irrigation tank, the area could be as low as 40 ha to a maximum of2000 ha. While delineating natural and administrative boundaries are preserved as far aspossible. Delineation is done on a hydraulic basis.

2. The District Collector of the District in which the WUA is located notifies the proposedWUA in the District Gazette and calls for objections. After hearing the objections a finalnotification is made in the District Gazette and the WUA is constituted. Along with theWUA a Competent Authority to the WUA is notified by law. The competent authority

President

Territorial Constituency Members6 er WUA

Farmers(Any person using water for the purpose of irrigation and

paying water tax as recorded in the revenue records)

M a n a g

i n g

C o m m

i t t e e

G e n e r a

l

B o

d y

o

f

t h e

W U

A


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provides technical advice to the WUA and assists in the technical supervision of the worksundertaken by the WUA.

3. The Commissioner CADA is the authority who notifies the process of election to theWUA. The District Collector of the District concerned issues the election notification. Theprocess of election starts with the following sub processes:

i. All the members of a WUA who use water and pay water tax as recorded in the

revenue records and who are 18 years and above are the voters of a WUA. Eachmember has a vote regardless of the extent of his or her land holdings. The electoralrolls are prepared Territorial Constituency wise and listed against each survey number.The voters list is then issued Territorial Constituencies wise.

ii. The District Collector issues a schedule for calling for nominations of interestedcandidates for the post of member of the Territorial Constituencies. A time frame forthe scrutiny and withdrawal of nominations is specified in the election schedule and afinal list of contesting candidates is put up on the notice board.

iii. The elections are conducted immediately. Each voter casts his/her vote. The candidatesecuring the maximum number of votes is declared the winner. In some cases theelections may be unanimous. The consensus candidate is then declared as the winner.The winner is handed over the election certificate. For minor irrigation WUAs, theentire election process i.e., from receiving nominations to election of MC members,President and Vice President is accomplished within one day.

iv. Where a dispute arises in the election of a member, the aggrieved could redress in theDistrict Civil Court as an election dispute. All the District Civil Courts have beendesignated as the election tribunals for the purpose of the election disputes.

v. The WUA notifies a place as its office and the work begins for a period of six years -the tenure of the WUA. However, every two years the term of one third of themembers expires, who are then replaced through elections. The term of the Presidentand Vice President is also for two years.

4. Each WUA has a separate bank account. The President and a member are the signatoriesto the Bank Account.

The primary roles and responsibilities of the WUA as designated in the APFMIS Act are asfollows:1. To prepare and implement a warabandi schedule for each irrigation season, consistent

with the operational plan, based upon the entitlement area, soil and cropping pattern.2. To prepare a plan for the maintenance of irrigation system in the area of its operation at

the end of each crop season and carry out the maintenance work of feeder channels andfield drains in its area of operation with the funds of the association from time to time.

3. To regulate the use of water among the various pipe outlets under its area of operationaccording to the warabandi schedule of the system.

4. To promote economy in the use of water allocated.5. To assist the Revenue Department in the preparation of demand and collection of water

rates.6. To monitor flow of water for irrigation.7. To resolve the disputes, if any, between the members and water users in the area of

operation.8. To raise resources.9. To maintain records and to cause annual audit of its accounts.10. To encourage avenue plantation on canal bunds and tank bunds by leasing such bunds.11. To conduct regular water budgeting and also to conduct periodical social audit, as may be

prescribed.


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12. To encourage modernization of agriculture in its area of operation.13. To maintain the feeder channels of minor irrigation tanks by the respective WUAs in the

manner prescribed.

To fund the activities of the WUA the GoAP has notified aportion of the water chargecollection that would be shared among the various concerned organizations in the operation

and maintenance (O&M) of the tank.

Minor Irrigation TanksIn INR %

Water Tax (INR / Acre) 100.00 100Share in Tax Collection

Water User Association 90.00 90Gram Panchayat 10.00 10

1.8. Groundwater and tank

Groundwater in Andhra Pradesh is being exploited heavily in recent years and unheralded andunnoticed the area irrigated under groundwater has equaled the area irrigated under all othersurface water sources together (Figure 1). This situation now causes concern in terms of itssustainability and the electric-power required to get the groundwater to the surface. In theearly days both were not worrisome as the wells were shallow dug-wells hardly deeper than 8or 10 metres and animal power was used to draw the water. Therefore, from the energyrequirement angle the villages were self-contained. During most of the year, small streamshad water and tanks were rarely dry. But now it is likely that groundwater exploitation istwice that of annual recharge. Thus in days ahead the well yields will go down and extractionwould decrease leading to fall in the area irrigated under groundwater.

In Andhra Pradesh, close to the global trend, groundwater is predominantly developed byindividuals, albeit some indirect interventions by the government. The first intervention came

Figure 1


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in late 1970s when the Ground Water Department and the Central Ground Water Boardstarted making exploratory-cum-production bore-wells and tube-wells to demonstrate thetechnology and understand the basic fabric of aquifers, especially the hard-rocks. Irrigationwells were designated as successful if their yields were more than 150 lpm and drinking waterwells were categorized as successful if their yields were more than 60 lpm. Also in the 1970s,under drinking water sector, the Panchayat Raj Department got sophisticated drilling

equipment under UNESCO programmes and drilled large number of wells to meet thedrinking water requirements. The second intervention, supported by the government came inthe form of service area banking system, which took National and then the Grameena banks tovery remote areas and these banks gave liberal loans for making bore-wells and for pumpingequipment. Bore-wells proliferated with this support and in 1980 there were 10 lakh wellswith 90% of them dug wells irrigating 12 lakh hectares. Now there are 22 lakh wells in thestate irrigating about 26 lakh hectares of which 70% (16 lakh) are bore wells (table below).However, spacing norms were ignored in this with large number of closely spaced clusters ofwells that lhas ed to fall in their yields over a period of time.

Growth of wells and area irrigated under groundwater

Year Dug wells lakh Bore wellslakh

Area irrigated underWells lakh ha

1971-72 6.90 1.13 8.03

1980-81 9.33 1.90 11.24

1990-91 13.67 3.94 17.61

2000-01 11.55 15.33 26.92

2004-05 8.78 16.01 24.79

Tanks, in general, have a significant impact on the groundwater resources in their influencezone including the command area. The magnitude of the impact on groundwater potentialdepends largely on the volume of the water stored in the tanks for a given period. Therecharge varies from tank to tank depending upon the geology, geo-morphology, tank design,storage capacity etc. Utilization patterns and user profiles are also not uniform in allcircumstances and are location and region specific. Some tanks, either by design or because oftheir location in a specific hydro-geological setting do not show their influence on the aquifersystem in the immediate vicinity.

The bore well users in the command and influence zones of the tanks would in fact, in asense, be using the surface water storage drawn through aquifers thus forming an importantstakeholders in a tanks project. The overall efficiency of the tank system therefore depends onthe utilization of groundwater resource both in command and influence zone of the tank

necessitating the groundwater management in that given unit.

Tank systems are managed by the Water Users Associations (WUAs) supported by theconcerned departments. The definition of water Users as per the APFMIS Act does notexplicitly include the groundwater users. Moreover, the groundwater use is also not part of thetank management within the command. However, groundwater on the whole, within the tanksystem occupies an important place in influencing the tank based livelihoods.In this context, it is necessary to adopt an integrated approach for surface and groundwatermanagement at tank as well as a hydrological unit level.


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1.9. GoI pilot on renovation and rehabilitation

To restore minor irrigation tanks in the state the I&CAD Department, GoAP is implementinga pilot project called Repair, Renovate and Restoration of Water Bodies Directly Linked toAgriculture (RRR Project). The project is funded by the GoI and covers 261 tanks in 2

districts of the state (Mahaboobnagar 224 and Ananthpur 37). The objectives of the pilotproject are:1. To restore and augment storage capacities of water bodies2. To recover and extend their lost irrigation potential

The project is focusing on four major outputs to achieve its objectives. These are:

Tax collectionRegular WUA meetingsWUA records maintenance

1 Managerial

Auditing of WUA accountsCommunity taking up for entry point activities Shramadan, desilting,etc

2 Social Issues

Identification of best practitioners (change agents) and para-workersPromotion of ID crops and SRI paddyAdoption of organic pesticide management practicesSoil sample analysis

3 ProductivityEnhancement

Farmers Field SchoolsWarabandi and water sharingAdoption of new technology in water management - drip andsprinklersWater audit and crop planning

4 Water Management

Social regulation of ground water

1.10. GoI National Framework for design of project

The meeting of the State Secretaries of Irrigation and Water Resources held on 4 and 5October 2005 at New Delhi discussed the issue of revival of existing irrigation tanks as part ofthe Bharat Nirman Programme. It was suggested to prepare a National Framework for posinga project for assistance to the World Bank. Accordingly, the Ministry of Water Resources GoIhas issued a National Framework for Renovation of Water Bodies In India 2. The NationalFramework lays down the intended objectives, institutional arrangement, types ofinterventions, implementation phases and the funding modalities for the project.

The objective of the project will be:To create additional irrigation capacity by restoring the lost irrigation command of waterbodies including treatment of catchments system through a micro basin approach. This willalso include extension of irrigation command through water use efficiency.

The key design principles of the project will be:1. Sustainability of the restored systems through community participation and empowerment

facilitated by NGO / other agency to have self-supporting groups at the level of waterbody

2. To create enabling legal and institutional environment to implement the solutionsemerging out of participatory and demand driven processes

2 Ministry of Water Resources, Government of India, No.7-7/2005-MI 13 th October 2005


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3. To promote and enhance livelihood options4. Community contribution to be made compulsory. The suggested extent is about 10 % of

the total project cost out of which 5 % may be kind and the remaining in cash.5. Although the project will benefit the farmers more, it will include the whole tank user

community involving other users

The project will include capacity building and training to secure the objective and translatethe key design principles into action along with the physical restoration of the tank systemand promotion of agricultural development as its primary interventions.

The project will include only water bodies having irrigation command above 20 ha.Restoration of water bodies of command less than 20 ha will be taken up through other centralor state schemes like employment guarantee scheme etc.

The state level agency responsible for implementation of the project will be a PMU with thefacility to function in a flexible manner, called a Special Purpose Vehicle. It will be theresponsibility of the state level agency to plan the activities and monitor them. It will alsoprovide the coordination functions with other agencies and manage the interface with theWorld Bank. It will be responsible for recruiting and monitoring the NGOs, multi disciplinaryteams and arranging for capacity building and training, etc. The state level agency may havedistrict level and sub-district level agencies. These will report to the state level agency.

NGO or any other suitable agency will be employed as facilitating teams to ensurecommunity mobilization. They will help the community to think through the issues and focuson choices available. They will make them aware of their role and responsibility including forcommunity contribution. They will facilitate the institutional strengthening of the WUAs.

The key to the sustainability of the project will be meaningful participation by the communityin design and implementation of the project and in accepting full responsibility for futureO&M of the tank system. It is, therefore, necessary that there is government commitment totransfer tank management to the WUAs through suitably designed MOUs, which are legallysupported. The roles and responsibilities of WUA will be delineated in the Memorandum ofUnderstanding (MoU), which will be signed between them and the project agency. Whileroutine O&M and some rehabilitation can be done by WUA, major repair works will be doneby government or the Panchayat depending on who owns the water body. The WUAs willalso have to be empowered to levy and collect water charges and treat the revenue that mayaccrue from the water charges and increased livelihood options, say, like from fisheries and soon, as WUA funds for O&M purposes.

The project will have a clear phasing of the activities based on the processes involved. Thephases could be pre planning, planning, implementation and consolidation. Communityorganization will be the precursor for physical infrastructure improvement in view of the IMTenvisaged. Pre planning and planning will include community organization and facilitatingcommunity in preparing the micro plan that includes net planning, water audit, crop plan andwater distribution plan. Implementation phase will also include communitys role in execution(based on the financial limit of works for tendering), monitoring and supervision.Consolidation phase will emphasis on hand holding of community based institutions andbuilding their capacities to take over the O&M.


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GoI will assist the state governments in the preparation of projects. The framework and theprinciples recommended will have to be converted into project development framework in amuch more detailed manner. This will be achieved by creating a Mission Directorate at theMinistry of Water Resources (MOWR) with funding support in order that the MissionDirectorate can effectively play its role. The MoWR will also centrally monitor the projectand ensure experience sharing, learning and dissemination. In the event of a state taking a

World Bank loan the entire assistance will be a loan burden to the state government. In viewof this and the fact that there is a definite role envisaged for GoI in the project, GOI will givea grant of at least 25 % of the project cost to the states.

The unit cost (Rupees / ha) of restoration of water bodies of command size 40-100 ha will beRs. 50,000 and of command size 100-501 ha will be Rs. 40,000. This will include 10 % forcapacity building.

1.11. Related Bank projects

The related World Bank funded projects in the state are:1. Andhra Pradesh II2. Andhra Pradesh III3. Andhra Pradesh Economic Restructuring Project4. National Hydrology Project I5. National Hydrology Project II6. Andhra Pradesh Community Forest Management Project7. Andhra Pradesh District Poverty Initiative Project8. Andhra Pradesh Rural Poverty Reduction Project


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2. About the Project

2.1. Project description

Objectives

Selected tank based producers improve agricultural productivity and water user associationsmanage tank system effectively.

The four components of the project are:

1. Strengthening community based institutions to assume responsibility for tank systemimprovement and management including development of human resources, formation and /or strengthening of local institutions for tank improvement and management and developmentof mechanisms whereby the needs of traditionally vulnerable stakeholders can be addressed.

2. Tank systems improvement including physical investments in tank systems with

command area of 40 ha and above. The actual rehabilitation work required would bedetermined for each system individually with an upfront Tank Improvement and ManagementPlan (TIMP) prepared in consultation with tank users prior to undertaking any investments. Ingeneral, investments are likely to address deficiencies in feeder channels, tank bed andstructures and the water distribution and drainage systems.

3. Agricultural livelihoods support services including promotion of farmer interest groups,agricultural research and extension, support through public agencies and private serviceproviders as appropriate and facilitation of credit and market linkages for agriculturalproducers / growers (including fisheries and livestock products).

4. Project Management activities under this component would help ensure effective project

management at the state and district levels, information and logistic support, communications,project related consultancies and concurrent monitoring and evaluation.

Scope of the project

The project will carry out rehabilitation of a maximum of 3000 tank systems in the followingbatches:Sl. No. Batch No. No. of Tank Systems1 1 5002 2 10003 3 1500

Total 3000

Project area

The project will be implemented in 499 Mandals of 22 districts of Andhra Pradesh.

Strategy for decentralization and convergence with other programmers of Government

The project will adopt a Results Based Management Strategy (see figure below) fordecentralization of its planning, implementation and monitoring processes. Results Based


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Management is defined as a broad management strategy aimed at achieving importantchanges in the way organizations operate, with improving performance (achieving betterresults) as the central orientation. A key component of results based management isperformance measurement, which is the process of objectively measuring how well anorganization is meeting its stated goals or objectives. It typically involves several phases: e.g.,articulating and agreeing on objectives, selecting indicators and setting targets, monitoring

performance (collecting data on results), and analyzing and reporting those results vis--visthe targets. While performance measurement is concerned more narrowly with the productionand supply of performance data, performance management is broader. It is equally concernedwith generating management demand for performance information, i.e., with its uses inmanagement decision-making processes and with establishing various organizationalmechanisms and incentives that actively encourages its use. In an effective performancemanagement system, achieving results and continuous improvement based on performanceinformation is central to the management process.

The key stages of results based management strategy are:1. Identifying clear and measurable objectives (results), aided by logical frameworks2. Selecting indicators that will be used to measure progress towards each objective3. Setting explicit targets for each indicator, used to judge performance4. Developing performance monitoring systems to regularly collect data on actual results5. Reviewing, analyzing and reporting actual results vis--vis the targets6. Integrating evaluations to provide complementary performance information not readily

available from performance monitoring systems7. Using performance information for internal management accountability, learning and

decision making processes, and also for external performance reporting to stakeholdersand partners

Thus, integrating complementary information from both evaluation and performancemonitoring systems and ensuring management's use of this information are critical aspects ofresults based management.


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Other critical components associated with results based management strategy that reinforce orfacilitate the use of performance information are:1 Accountability: instituting new mechanisms for holding organization staff and units

accountable for achieving results at appropriate levels2 Decentralization: delegating authority to the organizational level accountable for results,

and empowering them with flexibility to shift resources to better performing activities3 Client focus: consulting with beneficiary groups concerning their preferences andsatisfaction with goods and services provided, and being responsive to their needs

4 Participation and partnership: involving partners and stakeholders in all aspects ofperformance measurement and management processes, and seeking greater harmonizationof efforts

5 Reformed operational policies and procedures: instituting new policy and proceduraldirectives aimed at changing the way the organization conducts its business

6 Supportive mechanisms: assisting organization staff to effectively implement performancemeasurement and management in various ways, such as providing training, technicalassistance, performance information databases, guidebooks, tips and best practices series

7 Cultural change: equally important for successful results based management istransforming the organizational culture, that is, the values, attitudes and behaviors of itspersonnel

The steps in defining the result based management strategy for the project are as follows:1. Agreement on and initiation of the strategic management process2. Identification and clarification of the organizations mission, objectives, and current

strategies3. Identification of the organizations internal strengths and weaknesses4. Assessment of the threats and opportunities from the external environment5. Identification of key constituents / stakeholders and their expectations6. Identification of the key strategic issues confronting the organization7. Design / analysis / selection of strategy alternatives and options to manage issues

identified in step 68. Implementation of the strategy9. Monitoring and review of the strategys performance

The primary level of convergence of the project with other on-going government developmentprogrammes and schemes will be the District Level Implementation Committee. At the timeof preparation of the TIMP itself, such a convergence plan will be prepared for each tanksystem. This will be submitted to the DLIC for approval. Since all the relevant linedepartment district heads are members of the DLIC, an approval of the convergence plan inthe DLIC will indicate willingness of the respective departments in implementation of theconvergence plan. The District Collector, as the DLIC chairperson will monitor and reviewthe implementation of the convergence plan approved by the DLIC.

To facilitate implementation of convergence of the project with on-going governmentprogrammes and schemes the Project Steering Committee, with the Chief Secretary as theChairperson, will have the powers to issue orders and rules, as required.


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2.2. Tank selection process

There are about 11,277 minor irrigation tanks in Andhra Pradesh. The performance of thesetanks is largely dependent on the rainfall during a particular year. However the deviations interms of area irrigated to the designed are noticed from tank to tank. These deviations are forthe reasons of physical status of the tank infrastructure or hydrology of the geo-hydrological

unit in which they are located. It is therefore essential to assess the chances of improvement ofperformance of the tank as a result of interventions of the project. The pattern of irrigationfrom different sources like major projects, medium irrigation projects or ground waterfluctuates between extremities. There are about 78 mandals where the only source ofirrigation is through the major and medium irrigation projects. 198 mandals are identifiedwhere the ground water based irrigation accounts for 97% or more area of the total areairrigated. In such a scenario, the principal selection criteria for the tanks is to choose thosemandals where tank irrigation is the predominant form of irrigation and surface water yield isfavourable to justify the investment on tank restoration. The criteria take into account thehydrological parameters, community willingness and tank status. The selection process isdivided into three stages for prioritizing the mandals and the tanks.

District profiling

The districts are sequenced on the basis ofpredominance of tank irrigation vis--vis the totalirrigated area on the basis of performance duringthe years 1989-91. 3 This prioritization assists inidentifying the districts that would requireintensive project interventions. The project willbe initiated in districts with prioritized mandalsthat would be selected on criteria defined in thenext stage of selection.

Mandal selection

The next stage of selection involves identificationof mandals in three batches according topredominance of irrigation by minor irrigationtanks:

more than 75 % 50 to 75 % 35 to 50 %

Details of tank selection are provided inComponent 2a.

2.3. Project approach and strategy

Defining tank system and its stakeholders

A tank is a water body, which gets water collectedfrom the catchment and stored in it. The tank consists of the catchment area from which the

3 The State average for these years was 22.7 % irrigation from tank to total net irrigated area.


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tank received water inflows, an earthen bund to store the water, surplus system to let offexcess flows safely, sluices to release water for irrigation and tank bed to cover the waterspread when the tank is full. The canal system comprises main canal to carry water forirrigation of required discharge and field channels that bring water to the farmers field. Minorirrigation source which is above 40 hectares will be considered for project.

As awareness about the project develops among the villagers, social mapping of the villageswill be carried out to identify the various social and economic groups among them. During theprocess the various stakeholders of the tank will be identified by listing out all the ways inwhich the villagers are using the tank and the household in each user category. This will berecording on the social maps. Once all the tank stakeholders have been identified a DetailedInternal Interest Analysis Matrix will be prepared of all the tank stakeholders.

In general the WUA will having two types of stakeholders i.e. direct stakeholders and indirectstakeholders1. Direct stakeholders

Ayacutdars (command area farmers) Fishermen

2. Indirect stakeholders Washer men Livestock keepers Ground water users

Community participation

The project will adopt a participatory implementation strategy. It is envisaged that the strategywill create a conducive environment for stakeholders to take part collaboratively to: Decide and articulate on what is needed Decide on directions, priorities, responsibilities and performance levels

Develop interventions to achieve the agreed objectives

The objectives of the participatory strategy will be to:1. Supporting and strengthening the capabilities of local people and their institutions2. Enable people and their institutions to establish working relationships with related

organizations3. Enhance the sustainability of the project interventions4. Enabling local level planning, implementation, monitoring and evaluation5. Creating a suitable environment for better use of capacities of people and resources

available at the community level for sustainable local development

The basic principles of the participation strategy will be:

1. Mutual Respect: All people must be accepted as they are with their strengths andweaknesses

2. Active Involvement: A prerequisite to participation is active involvement of all andparticipation must be continue from planning through evaluation

3. Agree to Disagree: Participation requires an implicit and explicit understanding to agreeand disagree and to accept the common interest above personal interests

4. Building Consensus: Collective responsibility for decisions made5. Commitment to Action: Collective commitment to action on the basis of agreed upon

decisions and plans


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Community will participate in the project primarily through the institution of the Water UsersAssociation.

Tank based livelihood management

Andhra Pradesh has 73% of population living in rural areas and employed mainly inagricultural activities. An estimated 21.6 percent of the population lives below the povertyline. In the state marginal (less than 1 ha) and small farmers (1-2 ha) own about 83 % of thetotal holdings but own only 46 % of the total land, semi-medium farmers (2-4 ha) own 12.34% of landholdings, medium farmers (4-10 ha) own 4.34 % of landholdings and large farmers(greater than 10 ha) own 0.57 % of the total land holdings. Irrigated agriculture provides animportant means to raise incomes and living standards for many farmers, especially the poorand marginal ones with smallholdings.

Minor Irrigation tanks contribute to 14 % of the state irrigation. The gamut of minor irrigationtanks comprises minor irrigation tanks (>40 ha ayacut), Panchayat Raj Tanks (


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livelihood options based on available natural resources and these need to be utilizedeffectively for improvement. The inference derived from a number of studies and interactionswith extension workers, professionals and academicians indicate the need and importance ofinterventions to improve productivity of crops as well as maximize returns by reducing gapsin demand-supply chain. There is a specific need for focusing interventions on effectivedemonstrations to farmers, to disseminate technology and facilitate its adoption, create

awareness on quality standards, organize farmers and promote collective sale and purchase ofinputs and produce so as to improve returns. Market led extension is the newest approach,which needs to be adopted for improving the economic returns to farmers and other tankusers.

2.4. Project financing

Extent of World Bank finance

The World Bank will finance the project to the extent of 75 % of the total cost as a loan.

GoI cost share

The Government of India will finance the project to the extent of 25 % of the total cost as agrant.

Community share

The community will contribute to the extent of 10 % of the total cost of civil works. It will be5 % in cash and 5 % in kind.


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3. Project Component 1: Strengthening Community Based Institutions

3.1. Over all objective, design principles, benefits

Strengthening community based institutions to assume responsibility for tank systemimprovement and management including development of human resources, formation and /

or strengthening of local institutions for tank improvement and management and developmentof mechanisms whereby the needs of traditionally vulnerable stakeholders can be addressed.

3.2. Description of component, sub-component and activities

Awareness Generation on Project

The process of strengthening of community based institutions will start with awarenessgeneration about the project in the tank system area villages. Village level meetings will beorganized in each of the tank area villages. At least a weeks notice about the meeting will begiven in the villages through the WUA. During the meeting the villagers will be informedabout the project, its objectives, approach and processes, possible interventions and expectedbenefits. The villagers will also be informed about the role of the WUA in the project and inthe future operation and maintenance of the tank system. A number of meetings will beorganized in each tank area village, besides the awareness generation process, includingKalajatha, wall writings, audio-visual shows, etc.

Identification of All Tank Stakeholders

As awareness about the project develops among the villagers, social mapping of the villageswill be carried out to identify the various social and economic groups among them. During theprocess the various stakeholders of the tank will be identified, including the groundwaterusers in the tank influence zone, by listing out all the ways in which the villagers are using thetank and the household in each user category. This will be recorded on the social maps. Onceall the tank stakeholders have been identified a Detailed Internal Interest Analysis Matrix willbe prepared of all the tank stakeholders.

Assessment of WUA preparedness and willingness

To analyze the preparedness and willingness of the WUA to participate in the project anassessment of the WUA will be carried out on the following aspects:1. Organizational & financial environment2. Planning environment3. Peoples participation

Signing of MoU between WUA and District Project Director

At the completion of the awareness generation process and the assessment of environment forparticipatory planning, the willingness of the WUA in participating in the project will bedetermined. If the WUA is willing to participate in the project a Memorandum ofUnderstanding will be agreed upon and signed between the WUA and the District ProjectDirector (DPD - Executive Engineer), which will delineate the commitments and themandates of the two parties towards each other. This will include the willingness of both theWUA and DPD to take the roles and responsibilities specified below:


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Roles and Responsibilities of WUA:1. mobilize community contribution for the project from among the tank users at the rate of

10 percent of the total civil works (5 percent in cash and 5 percent in kind). The 5 %contribution in cash will be deposited in the WUA O&M Account for future O&Mactivities

2. prepare a Tank Improvement and Management Plan to carry out restoration and revival ofthe tank system3. supervise and actively participate the TIMP implementation4. assist the Revenue Department in making assessment of demand for water charges and

collection of water charges from its members as per the rates notified by GoAP from timeto time

5. undertake management and O&M works of the tank system from the water chargescollected as per the provisions of the APFMIS Act (1997) covering the followingactivities:

i. desilting (feeder channels, irrigation channels and tank bed if required)ii. jungle clearance in the tank system

iii. embankment repairsiv. revetmentv. repairs to shutters

vi. repairs to masonry and liningvii. cleaning and oiling of screw gears and gate groves

viii. emergent breach closing worksix. reconstruction/ repairs of sluicesx. reconstruction / repairs to drops and regulators

xi. repairs to waste weir and surplus system6. distribute water among all the tank users equitably7. create an awareness on economic use of water and promote efficient water use

technologies & practices among the tank users8. collectively prepare water use and agricultural plans for each irrigation season9. arbitrate and resolve any disputes over distribution of water among the tank users10. prevent future encroachment and protect tank system11. maintain execution of works and supervise the quality12. open and operate two bank accounts in any Nationalized Bank

i. O&M Account: for depositing water charges collected, O&M funds, 5 %contribution towards share of the WUA in rehabilitation of the tank. This accountwill be operated jointly by WUA President and Vice President, on behalf of theWUA Managing Committee

ii. Works Account: for the purpose of rehabilitation works taken up by the WUAunder the project. This account is to be operated jointly by WUA President (onbehalf of the WUA Managing Committee) and the project technical staff (DPUstaff co-opted into the works sub-committee)

13. maintain regular ledgers and accounts of the WUA as required under the project14. perform any other functions to accomplish the objectives of the project as and when

required under the project

Role and responsibilities of District Project Director (DPD):1. provide finances, resources, technical support, supervision and training to WUA to carry

out restoration and revival of the tank system


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2. provide finances, technical support, supervision and training to WUA to carry out allWUA functions and activities listed above

3. ensure quality of civil works carried out under the project4. provide continued technical support, supervision and training to the WUA subsequent to

the handing over of the tank system to the WUA5. provide resources to carry out repairs of the tank system for damages caused by natural

calamities, subsequent to restoration

(For the text of the MoU see Annex 1 .)

Data collection for preparing Tank Improvement and Management Plan (TIMP) PRA / Technical Surveys

After signing of the MoU between the WUA and the DPD the process for TIMP preparationwill start. This will begin with a Participatory Rural Appraisal of the tank area villages. PRAwill be carried out over a period of 5 days schedule using the following tools:

Day PRA Tools Output of the Tool

Day 1 Resource Mapping / TransectDay 2 Production System & Livelihoods Mapping

To assess the nature and levels of productionsystem in the tank area and identify the problemsin the tank system that would require restoration

Day 3 Institutional Mapping / Infrastructure, ServiceAvailability & Mobility Mapping

To assess the social and physical capital existingin the tank area and the linkages and networksthrough which inputs and services are acquired bythe tank users and markets accessed by them

Day 4 Time Line / Seasonality Chart / Trend Analysis ofGroundwater based Irrigation

To assess the significant historical trends andannual events that has influenced the prevailingcondition of the tank system / groundwater use inthe tank influence zone

Day 5 Problem Tree / Problem Identification / ProblemPrioritization / Identification of interventions

Problem identification and prioritization will lead to the identification of the root problems ofthe tank system and the effect of this on the tank users. This will be done through constructionof a Problem Tree of the core problem of tank system deterioration. The construction of aProblem Tree will result in list out the causes and effects of the tank system deterioration.Once the causes and effects have been listed, they will be converted into objective statementsbased on which the required interventions will be identified. The interventions so identifiedby the tank system stakeholders can not be changed by the project staff without the approvalof the WUA. The identified interventions will be segregated into the following categories:1. Civil Works2. Land / Water Resources Management Activities3. Production / Livelihood Activities4. Social / Environmental Management Activities5. Institutional / Management Aspects6. Trainings

The proposed interventions will also be segregated into categories based on the resources tobe used to implement them. The resources to be used are:1. Community resources2. Project resources3. Convergence / linkage with other programmes


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3.3. Implementation of TIMP

The WUA will operate two bank accounts. In account 1 (the O&M Account) the beneficiarycontribution (the cash component) and the water charges collected from the WUA memberswill be deposited. This account will be operated jointly by the President and the Vice-President of the WUA. In account 2 (the Works Account) the project funds for the works and

the livelihoods funds will be deposited. This account will be jointly operated by the Presidentof the WUA and the project technical staff deputed to the WUA.

A schedule for implementing various works in relation to the available time forimplementation and the seasonal conditions will be drawn for different works under eachcomponent. The works under each component will be prioritized for implementation by theWUA in association with the DPU and SO. Subject to the financial limits set by thegovernment, the WUA will identify works to be implemented by WUA. If necessary therequisite capacity of the WUA will be developed for this. The remaining works will be listedseparately for implementation through the tendering process.

The Managing Committee of WUA will co-opt the technical staff (AE / AEE) into the WorksSub-Committee for technical guidance and capacity building of the members during executionof works. The sub-committee will obtain technical sanction for all the works as per thedepartmental norms and entrust works that can handled by WUA to the WUA.

An advance up to 40 % of the cost of the work will be provided, if required, in installments toWUA to be deposited in the works account through a Letter of Credit by the District ProjectDirector for WUA to start work. Transfer of funds to the Works Account, however, is subjectto full and proper training of the concerned WUA members in maintaining books of accountsand on verification of the capacity of the WUA in maintaining them by the DPU. Themeasurement / check measurement for various works / items will be done by the concernedproject technical staff in association with the work sub-committee, following departmentalnorms.

The progress of the work, quality and quantity of work done will be closely monitored by theworks sub-committee of the WUA facilitated by the project technical staff and approved

jointly by them. Regular bills may be made at different stages of completion of work. Thepayment to the bills will be made by the DLIC receiving authorization from works sub-committee along with the project technical staff.

For the works, authorized by the WUA to be done through the tendering process, the DistrictProject Director will call tenders as per the procurement norms prescribed under the project.A tripartite agreement will be signed between the District Project Director, the contractor andthe WUA. Measurements and check measurements shall be recorded by the concerned projecttechnical staff along with the work sub-Committee as per the departmental norms.

The quality and quantity of the works will be monitored by the WUA works sub-committeeand project technical staff. For release of payment a resolution will be passed by the WUAworks sub-committee after ensuring the work quality, authorizing the Managing Committeeof WUA and the DPU for release of payments to the Contractor through the District ProjectDirector.


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All the works executed and records will be subject to independent third party quality controlas per the agreement with the DPU apart from the regular quality control.

The lists of works to be taken up will be given wide publicity by means of display in theoffice of the WUA or other public institutions within the area. Whenever a work is taken upthe estimated cost of the work, item of work proposed to be executed, details of the executing

agency etc., will be exhibited on a display board at the place of the work so that all membersof the WUA are aware of the details of the works being executed and the expenditures to beincurred. The abstract of work items, quantity, rate and cost will be painted on wall of theWUA office.

3.4. Maintenance of Records & Book Keeping

WUA will operate the following two accounts which will be audited as required by thegovernment as per the rules:1. O&M Account: The WUA has to operate an account in any Nationalized Bank for

depositing water charges collected, O&M funds, 5 % contribution towards share of theWUA in rehabilitation of the tank. This account will be operated jointly by WUAPresident and Vice President, on behalf of the WUA Managing Committee.

2. Works Account: The WUA has to operate another account in a Nationalized Bank for thepurpose of rehabilitation works taken up by the WUA under the project. This account is tobe operated jointly by WUA President (on behalf of the WUA Managing Committee) andthe project technical staff (DPU staff co-opted into the works sub-committee).

The WUA will maintain the following accounts and registers separately for each account.Each record will bear the name, address and the seal of the WUA and will be machinenumbered.1. Cash Book2. Bill Register3. Contingent Register4. Anamath Register (Day Book)5. Receipt Book6. Cheque RegisterThe project technical staff of the WUA will also ensure that each WUA maintains thefollowing records, other than those specifically mentioned in the APFMIS Act and rules:1. An up-to-date copy of the Act / Rules / Directions and orders of Commissioner /

Government2. Maps showing:

i. The boundaries of the tank system and jurisdiction of the WUAii. Water conveyance system within the boundaries of the WUA jurisdiction

iii. The localized / notified ayacutiv. The areas under irrigation not falling within notified ayacut

3. Registers:i. Property Register and Records

Inventory Register Register of vacant lands and building Register of income on Miscellaneous property Register of Machinery

ii. Membership Registeriii. Canal gauge Register


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iv. Sanctions Register Register of Administrative and Technical sanctions and payments

v. Special fee and tax collection Registervi. Minutes Register

General Body Managing Committee Sub committees

3.5. Capacity Building & Training

To achieve the objectives of institutional strengthening of the WUAs would require enhancingthe capacities of all direct stakeholders of the project from the WUA members up to the statelevel staff of the PMU. Accordingly, the general training plan developed for all the projectstakeholders are as follows:

1. Training of WUA Membersi. Participatory Irrigation Management & WUA

ii. Role and Responsibilities of WUAiii. Group norms, group revitalization and conflict resolutioniv. Preparation and implementation of WUA annual action planv. Water charge estimation and collection

vi. Water audit and crop planningvii. Water distribution and sharing

viii. Community based monitoring of WUA activities

2. Training of WUA Managing Committee Membersi. Participatory Rural Appraisal

ii. Preparation of TIMPiii. Preparation of WUA procurement strategy and planiv. Supervision of civil worksv. Participatory Irrigation Management & WUA

vi. Roles and responsibilities of WUAvii. Roles and responsibilities of WUA Managing Committee members

viii. Maintenance of WUA records books and accountsix. Group norms, group revitalization and conflict resolutionx. Preparation and implementation of WUA annual action plan

xi. Water charge estimation and collectionxii. Planning and implementation of O&M of the irrigation system

xiii. Resource mobilizationxiv. Water audit and crop planningxv. Water distribution and sharing

xvi. Community based monitoring of WUA activities

3. Training of WUA Sub-Committee Membersi. Roles and responsibilities of WUA

ii. Roles and responsibilities of WUA sub-committeeiii. Maintenance of WUA records books and accountsiv. Preparation and implementation of WUA annual action planv. Water charge estimation and collection

vi. Planning and implementation of O&M of the irrigation system


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vii. Resource mobilizationviii. Water audit and crop planning

ix. Water distribution and sharingx. Community based monitoring of WUA activities

4. Training on WUA Sustainability

i. Refresher Training for WUA Managing Committeeii. Refresher Training for WUA Sub Committeesiii. Refresher Training for WUA Para workers

5. Training of WUA Para Workersi. Community Organization

ii. WUA Managementiii. Water Managementiv. Livestock Managementv. Agriculture Development

vi. Groundwater Management

6. Training of Project Support Organization Staffi. Project objectives and strategy

ii. Project management and implementation processiii. Preparation of TIMPiv. Preparation of WUA procurement strategy and planv. Supervision of civil works

vi. Participatory monitoringvii. Participatory Irrigation Management and Participatory Hydrological Monitoring

viii. Roles and responsibilities of WUA, WUA Managing Committee and WUA sub-committee

ix. Preparation and implementation of WUA annual action plan

7. Training of District Project Unit Staffi. Project objectives and strategy

ii. Project management and implementation processiii. Preparation of TIMPiv. Preparation of WUA procurement strategy and planv. Supervision of civil works

vi. Participatory monitoringvii. Participatory Irrigation Management and Participatory Hydrological Monitoring

viii. Roles and responsibilities of WUA, WUA Managing Committee and WUA sub-committee

ix. Maintenance of WUA records books and accountsx. Group norms, group revitalization and conflict resolution

xi. Preparation and implementation of WUA annual action planxii. Water charge estimation and collection

xiii. Planning and implementation of O&M of the irrigation systemxiv. Water audit and crop planningxv. Water distribution and sharing

xvi. Community based monitoring of WUA activities

8. Training of Project Management Unit Staff


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i. Project objectives and strategyii. Project management and implementation process

iii. Preparation of TIMPiv. Preparation of WUA procurement strategy and planv. Supervision of civil works

vi. Participatory monitoring

vii. Organization development and strategic planningviii. Project planning, project strategy and project managementix. Project implementation, co-ordination and monitoringx. Performance management and monitoring

xi. Capacity building strategy, planning and monitoringxii. Resource planning and procurement

xiii. Data analysis and learningxiv. Documentation and dissemination

(For details on capacity building objectives and strategy see Component 4 section on capacitybuilding)

3.6. Implementation arrangement

Tank Cluster Level Implementation Arrangement

At the tank cluster level a Support Organization (SO) will facilitate community mobilizationand participation. Each SO will be assigned at least one cluster of tanks consisting of 5 to 10tanks.

The DPU will be responsible for identification and selection of the SO in a district. Theselection procedure for the SO is provided in Component 4. Based on the selection procedureSOs will be empanelled in a district. The DPU will contract SOs, as required, when tanks aretaken up for rehabilitation in a district. At the time of contracting the SOs will be providedwith the ToR for the SOs, based on which they will prepare their implementation plan andschedule.

The expected outputs of the SO are:1. Effective mobilization of all tank stakeholders to participate in the activities of the

Water Users Association2. Capacity developed of the Water Users Association in effectively performing their

roles in:i. Collection of water charges

ii. O&M of tank systemiii. Water audit and water sharing (surface water and groundwater wherever

planned)iv. Promoting agricultural growth and tank based livelihoodsv. Resource mobilization and management

3. Effective participation of the Water Users Association in planning, implementationand monitoring of the project activities

The specific tasks to be performed by the SOs in the various stages of the project are:


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SO Staff TasksSl.No.

ActivityCommunityOrganizer

Agriculture &WaterManagement

Work Inspector

Pre-Planning Stage (2 Months)1 Social Mapping & identify all tank

stakeholders (and groundwater users) in tanksystem area and influence zone

X X X

2 Project sensitization and awareness amongthe tank stakeholders

X X X

3 Involve village level functionaries of linedepartments / PRI department

X X

4 Organize tank based consultation with allstakeholders

X X X

5 Assessment of WUA readiness forcontribution towards restoration &rehabilitation of tank

X

6 Prepare Resettlement Action (RAP) X7 Agree on draft MoU between WUA & DPU X8 Sign of MoU between WUA & DPU9 Maintenance of books and accounts by WUA X XPlanning Stage (4 Months)10 Implement RAP X11a Collect required data through Participatory

Rural Appraisal*X X X

11b Survey of technical aspects of tank,catchments area & command area / tankinfluence zone

X

12 Provide initial training to WUA members onTIMP preparation

X X X

13 Constitute four sub committees (on Works,Finance, M&E and Training,WaterManagement) of WUA

X X X

14 Provide training to all sub committeemembers on their roles and functions andresponsibilities

X X X

15 Mobilize groundwater users into groundwateruser groups and affiliate them to WUA

X

16 Awareness generation among groundwateruser groups about project groundwaterinterventions

X

17 Prepare TIMP X X X(i) Design, estimate of Civil works(ii) Training Plan X X X(iii) Livelihoods Plan X(iv) Compilation of TIMP Document x x x

18 Ratify TIMP in WUA GB meeting X X X19 Identify activities for Gram Panchayat

implementation and submit the list to the GP

X

20 Open WUA bank account for contribution(separate from WUA account)

X

21 Mobilize cash contributions X X X22 Appraisal of TIMP by DPU23 Include TIMP in District Plan for DLIC

Approval24 Sign Agreement on TIMP implementation

between WUA and DPU25 Prepare procurement plan for materials & X X X


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manpower for works by WUA26 Prepare tender documents for works to be

tendered27 Maintenance of documents, books and

accountsX X

Implementation (18 Months) Implementation(18 Months)

28 Public display of project information on wall / notice board29 Implement civil works by WUA, and other

TIMP activitiesX

30 Implement civil works by contractors31 Supervise both type of works32 Quality assurances through agreed

mechanism and reportingX

33 Work completion report34 Organize trainings for WUA35 Implement participatory hydrological

monitoringX X X

36 Crop-water budgeting & crop planning forgroundwater based irrigation in tank

influence zone

X

37 Promote water efficient technologies ingroundwater based irrigation

X

38 Institutional strengthening of groundwateruser groups

X

39 Mobilize formation of common interestgroups for agri-business promotion

X

40 Implement livelihoods/agri-business plansetc.

X

41 Strengthen linkages with departments,commercial banks and private sector

X

42 Maintain documents, books and accounts X43 Participatory monitoring at village level X XPost Implementation (6 Months & onwards)44 Assess WUA for refresher trainings X X X45 Refresher Training for WUA X X X46 Update seasonal O&M strategy, plans and

estimatesX

47 Operationalize O&M plan X48 Maintenance of O&M fund X49 Maintenance of documents, books and

accountsX X

50 Preparation of project completion report onagreed format

X X X

51 Monitoring at WUA performance every 6months

To perform these tasks the SO will depute the following staff for each cluster of tanks:1. Community Organizer2. Work Inspector3. Agriculture & Water Management Staff

Tank level implementation arrangement

At the tank level the project implementation will be the responsibility of the Water UsersAssociation. The tasks to be performed by the WUA are:


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1. mobilize community contribution for the project from among the tank users at the rateof 10 percent of the total civil works (5 percent in cash and 5 percent in kind). The 5% contribution in cash will be deposited in the WUA O&M Account for future O&Mactivities

2. prepare a Tank Improvement and Management Plan to carry out restoration andrevival of the tank system

3. supervise and actively participate the TIMP implementation4. assist the Revenue Department in making assessment of demand for water charges andcollection of water charges from its members as per the rates notified by GoAP fromtime to time

5. undertake management and O&M works of the tank system from the water chargescollected as per the provisions of the APFMIS Act (1997) covering the followingactivities:

i. desilting (feeder channels, irrigation channels and tank bed if required)ii. jungle clearance in the tank system

iii. embankment repairsiv. revetmentv. repairs to shutters

vi. repairs to masonry and liningvii. cleaning and oiling of screw gears and gate groves

viii. emergent breach closing worksix. reconstruction/ repairs of sluicesx. reconstruction / repairs to drops and regulators

xi. repairs to waste weir and surplus system6. distribute water among all the tank users equitably7. create an awareness on economic use of water and promote efficient water use

technologies & practices among the tank users8. collectively prepare water use and agricultural plans for each irrigation season9. arbitrate and resolve any disputes over distribution of water among the tank users10. prevent future encroachment and protect tank system11. maintain execution of works and supervise the quality12. open and operate two bank accounts in any Nationalized Bank

i. O&M Account: for depositing water charges collected, O&M funds, 5 %contribution towards share of the WUA in rehabilitation of the tank. This accountwill be operated jointly by WUA President and Vice President, on behalf of theWUA Managing Committee

ii. Works Account: for the purpose of rehabilitation works taken up by the WUAunder the project. This account is to be operated jointly by WUA President (onbehalf of the WUA Managing Committee) and the project technical staff (DPUstaff co-opted into the works sub-committee)

13. maintain regular ledgers and accounts of the WUA as required under the project14. perform any other functions to accomplish the objectives of the project as and when

required under the project

To assist a WUA in performing its roles and responsibilities, each WUA will have a few para-workers linked to it. These para-workers will be educated person from the WUA areaidentified by the respective WUAs and trained by the project to perform specific tasks.Nominally, there will be a para-worker for institutional development, agriculture developmentand livelihood promotion and water management with each WUA. The para-workers will bepaid a month honourium by the project through the WUA. The project will cover the full


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amount of the honourium of the para-workers for the first year and only a partial amount forthe next year. The remaining amount will have to be borne by the WUA. From year 3onwards, the para-workers will work on the basis of payment of service charge by the WUAor the member who utilize their services.

Organogram for implementation arrangement for Component 1: Strengthening of community

based institutions is given in Annex 2

3.7. Monitoring

Institution building along with the infrastructure development is the prime focus of theProject. The former includes the capacity building of WUAs and its functionaries in theoverall management. It includes institution management, system management (O&M), watermanagement and corpus management. The WUAs are expected to take over regular O&M asdefined in the Act and mobilize resources from various sources, with major portion comingfrom water charges collection. Against this backdrop it is essential that WUA becomes anactive partner in the overall process. Participatory Monitoring is thus proposed as aninstrument for facilitating active participation of WUAs in the overall process and continuingthe same beyond the project with enhanced capacities.

The inputs provided in the project and the outputs achieved against them are monitoredthrough an input output monitoring linked to MIS. The participatory M&L also gets linked tothe outputs part of the MIS providing a prominent space to the WUAs in the monitoringframework. The WUA functionaries comprising Managing Committee members, Subcommittee members and other users will participate in the M&L activities. Transparency,performance assessment and lesson learning are important aspects of participatory M&L.

1. WUA Self rating: WUA functionaries are required to perform different roles both on dayto day basis and periodically. The functions are related to institution management, systemmanagement (O&M), water management and corpus management. The functions to beperformed by different WUA functionaries are broadly defined in the APFMIS Act. Theproject through specific interventions targets the institutional strengthening that alsorequires specific roles to be performed by the WUA functionaries. Self rating enables theWUAs to assess their own performance vis--vis the functions

Documents

Pip Apcbtmp