Rural Water Supply & Sanitation Project World Bank & Government of India Supported Rural Water Supply & Sanitation Project INSTITUTIONAL ARRANGEMENTS Training of Trainers (ToT) At UAA, Nainital State Project Management Unit (SPMU), RWSSP-UP State Water & Sanitation Mission (SWSM), Uttar Pradesh February 09, 2015

Present Institutional Arrangements State Level State Water & Sanitation Mission (SWSM) Apex Body Headed by Chief Secretary Executive Director SWSM – Member Secretary Overall policy guidance, co-ordination and oversight of all Rural Water Programme Executive Committee headed by PS Rural Development; ensures implementation as per policy guidelines, reviews progress and accord routine approvals. Water & Sanitation Support Organization (WSSO) – Software Support for programme implementation to SWSM (like, IEC, HR Support, studies etc.). State Level Scheme Sanctioning Committee (SLSSC) – Chaired by PS, RD for review and sanctioning of Rural Water Projects/Schemes under NRDWP UP Jal Nigam A statutory board – designated statewide technical agency for Rural Water Programme State Sanitation Mission (SSM) Headed by Chief Secretary. Principle Secretary (PRI-Member Secretary) Apex body for oversight aspects of Rural Sanitation Programme

District Level District Water & Sanitation Mission (DWSM) Headed by Zila Panchayat Chairman District Development Officer (DDO) – Member Secretary District body for oversight aspects of all Rural Water Programmes/Schemes Responsible for policy directions with regard to Rural Water Programmes District Water & Sanitation Committee (DWSC) Headed by Chief Development Officer (CDO) Responsible for implementation with regard to Rural Water Programmes District Sanitation Mission (DSM) Headed by Zila Panchayat chairman District Panchayat Raj Officer (DPRO) – Member Secretary District body for oversight aspects of all Rural Sanitation Programmes/Schemes Responsible for policy directions with regard to Rural Sanitation Programmes District Sanitation Committee (DSC) District Panchayti Raj Officer (DPRO) – Member Secratery Responsible for implementation with regard to Rural Sanitation Programmes

Village Level Village level committee of GP Village Water & Sanitation Committee (VWSC) Village level committee of GP Headed by One of the Members of JPS Jal Prabandhan Samiti (JPS) is one of the six committees to support GP formed by a notification no. 4077 dated 29.07.1999 For implementation of SWAJAL DHARA and NRDWP, JPS made to work as VWSC by issuing a GO from Department of Rural Development

State Level Arrangements SPMU to provide technical and managerial support for implementation of RWSSP-UP Structure of State Project Management Unit S. No Name Designation 1 Shri Ram Bahadur Executive Director/Project Director 2 Dr Mahesh Chandra Pandey Financial Specialist 3 Shri Shirish Mittal Institutional Development Specialist 4 Shri Meena Agarwal Monitoring & Evaluation Specialist 5 Sri Gyanendra Singh Procurement Specialist 6 Dr. S.M. Haider Rizvi Social & Communication Specialist 7 Shri Yogesh Joshi Technical Specialist 8 Shri Sonal Rathore Environmental Specialist Positions of SPMU have been sanctioned by GO no. 554 Dated 01.03.2013

State Level Arrangements Additional Support to SPMU: Following four full time consultants have also been taken in SPMU for Specific Assignment S. No Name Designation 1 Shri A.K. Srivastava Technical-cum-procurement Consultant 2 Shri C. Anant Rao Consultant Hydrogeology 3 Shri Gaurav Shukla MIS Consultant 4 Shri Rahul Tripathi Consultant (Accounts)

Functions of SPMU Overall Support Monitoring Support Programme Policies Institutional arrangements Develop Annual Workplan, Systems & Norms as per project Design Co-ordination with NPMU & DPMU Co-ordinate with implementing agencies at State/District/PRI Level for insuring effective implementation Monitoring Support Report on Project Progress (Reforms Financial & Other Indicators) Monitor Sanctioned Schemes – Physical Financial & Other Monitoring Parameter Follow up with the DPMU, SOs and PRI/GP/GPWSC – Ensure updation of data Maintain and Update MIS System Develop and Implement M&E & Social Audit Systems Impact Evaluation Capacity Building and Social & Communication Development Develop and Implement Annual Capacity Building Plan Evaluate impact of Capacity Building Programme Ensure Social Safe Guard Compliance Prepare and Ensure implementation of Comprehensive Capacity Building Strategy Prepare and Implement Communication Strategy and Plan Prepare IEC material for different phases Procurement Support Engagement of Agencies, Development of Standard Bid Documents Procurement Related Capacity Building Activities Review and Handle Technical/Commercial and Legal aspects Prepare a range of procurement related Document & Reports Monitor procurement related activities and reports

Functions of SPMU Environmental Safe Guard Compliance Ensure that Legal & Regulatory provisions relevant to environmental safe guard are met. Support in Environmental Sanitation Activities Support Water Quality Programme of the Project Financial Management Support Prepare realistic budget of SPMU Monitor Variances between Plant Expenditure/Receipt and Actual Expenditure/Receipts of SPMU/DPMU Maintain Accounts of SPMU – Ensure Up-dation Prepare Quarterly consolidated interim financial reports Proper Planning and Execution of External/Internal Audits Technical Support – Water & Sanitation Technical Hand Holding Support to the State/District Level Agencies, SOs, PRI etc. Technical/Engineering inputs in Water and Sanitation Coordinate and review the cost estimates Review and finalize the Detail Projects Reports of the Schemes.

District Water & Sanitation Mission(DWSM) jk’Vªh; xzkeh.k is;ty dk;ZØe ds fn”kk funsZ”kksa ds Øe esa “kklukns”k la0 2211 fnuakd 29-11-2010 ls Mh-MCyw-,l-,e- dk iquZ xBu ftyk is;ty ,oa LoPNrk fe”ku ds lnL; ftyk iapk;r v/;{k lEcfU/kr tuin ds eka0 lakln ¼yksdlHkk@jkT; lHkk½ lEcfU/kr tuin ds ek0 lnL; fo/kku lHkk@ fo/kku ifj’kn v/;{k ¼f”k{kk lfefr] @fuekZ.k dk;Z lfefr½ LokLF; ,oa dY;ka.k lfefr@ty izcU/ku lfefr½ ftyk iapk;r ftykf/kdkjh eq[; fodkl vf/kdkjh eq[; fpfdRlkf/kdkjh ftyk fo|ky; fujh{kd ftyk iapk;rjkt vf/kdkjh ftyk dY;k.k vf/kdkjh v/kh{k.k@vf/k”kklh vfHk;Urk m0iz0 ty fuxe v/kh{k.k@vf/k”kklh vfHk;Urk ty laLFkku ¼>kalh o fp=dwV/kke e.My ds leLr tuin gsrq½ ftyk dk;ZØe vf/kdkjh vf/k”kklh vfHk;Urk] y?kq flpkbZ ftyk d`f’k vf/kdkjh jkT; is;ty ,oa LoPNrk fe”ku }kjk ukfer lEcfU/kr tuin ds nks izfrf’Br ,u-th-vks- ftyk fodkl vf/kdkjh v/;{k lnL; lnL; lfpo ftyk is;ty ,oa LoPNrk fe”ku ¼Mh-MCyw-,l-,e-½ dh cSBd izR;sd rhu ekg esa ,d ckjA

Roles & Responsibilities of DWSM Receive policy guidance from SWSM/SPMU Translate them to district level policies/ guidelines Administrative approval of all SHS/ SGS/ Sanitation schemes Oversee the overall management and ensure monitoring the progress of the projects

District Water & Sanitation Committee (DWSC) jk’Vªh; xzkeh.k is;ty dk;ZØe ds fn”kk funsZ”kksa ds Øe esa “kklukns”k la0 2211 fnuakd 29-11-2010 ls Mh-MCyw-,l-lh- dk iquZ xBu ftyk is;ty ,oa LoPNrk fe”ku ds lnL; eq[; fodkl vf/kdkjh@eq[; vf/kdkjh ftyk iapk;r eq[; fpfdRlkf/kdkjh ftyk fo|ky; fujh{kd ftyk iapk;rjkt vf/kdkjh ftyk dY;k.k vf/kdkjh vf/k”kklh vfHk;Urk m0iz0 ty fuxe vf/k”kklh vfHk;Urk ty laLFkku ¼>kalh o fp=dwV/kke e.My ds leLr tuin gsrq½ ftyk dk;ZØe vf/kdkjh ftyk lwpuk vf/kdkjh vf/k”kklh vfHk;Urk] y?kq flpkbZ ftyk d`f’k vf/kdkjh ftyk fodkl vf/kdkjh v/;{k lnL; lnL; lfpo ftyk is;ty ,oa LoPNrk lfefr ¼Mh-MCyw-,l-lh-½ dh cSBd izR;sd nks ekg esa ,d ckjA

Roles & Responsibilities of DWSC Selection of GPs based on laid down criteria Identify and engage Support Organizations (SOs) Scrutinize SHS/ SGS and Sanitation schemes received from GPs & Administrative approval of DWSM Undertake IEC and Capacity Building Activities in consultation with SWSM/SPMU Make fund allocations to GP/ GPWSC for SHS/ SGS/ MVS (intra habitation) water schemes and Env. Sanitation schemes and to UPJN for multi village schemes

District Level Arrangements DPMUs to be set up in 10 Project Districts for providing Technical and Managerial Support to DWSC in implementation of RWSSP Structure of District Project Management Unit Sr. Name of Post No. of Post 1 District Project Manager (DPM) 2 Technical cum Procurement Consultant 3 Communication & Community Development Consultant 4 Environmental & Water Quality Consultant 5 M&E Consultant 6 District Account Manager 7 Data Entry Operator 8 Runner Positions of DPMU have been sanctioned by GO no. 551 Dated 27.03.2014

Alternative Arrangement of DPMU Certain Conditions of GO for sanctioning positions of DPMU could not be fulfilled and as it alternative arrangement GO no. 1349 dated 20.10.2014 issued for partial merger of DWSC and DPMU, having the following constitution:- Sr.no. Designation Assigned work under RWSSP at District Level (DPMU) 1 District Development Officer District Project Manager 2 Executive Engineer, UP Jal Nigam Technical cum Procurement Consultant 3 Monitoring & Evaluation Consultant 4 IEC/HRD Consultant Social Development & Communication Consultant 5 Hydro geologist/WQ Consultant Environment & Water Quality Consultant 6 Officer of Finance Department working in DRDA District Accounts Manager Presently above functionaries are discharing the duties of DPMU & it is functional in all ten project districts

Roles & Responsibilities of DPMU Support implementation of project and policies including:- Develop annual work plan Capacity & Communication Strategy system and norms of implementation Coordination with SPMU – Seeking necessary input & Providing regular/ timely reports Coordination with various department at district level Selection of GPs Formation of GPWSC and MV-WSC Orientation of GPs, GPWSCs and SOs Opening of Bank Accounts of GPWSC Tripartite agreement for MVS between DWSC, Technical department and GP District Focused Capacity Building Plan and IEC Campaigns Monitor activities of SO Administrative approvals Co-ordinate for Technical sanctions of Sanitation schemes Supervise the Schemes and Contract Awarded Quality Control Social/ Financial audits DPRO to be nodal officer for all Sanitation and Env. Sanitation activities

Gram Panchayat Peyjal Evam Swachchta Samiti (GPWSC) Need for formation Dedicated Entity Legal Sanctity to ensure complete ownership & responsibility Proposed to be headed by GP President to resolve the risk of convergence and integration of Toilet & SLWM Schemes Formation of GPWSC Notification no. 2951 Dated 28.01.2014 Issued by Department of Panchayati Raj, GoUP. GPWSC to become the 7th Statutory Committee of GP. Constitution of GPWSC GP President – Head of GPWSC Six Elected Members of GP to be Members of GPWSC GP Members to elect members of GPWSC among themselves At least one women member At least one member from SC/ST Community At least one from Backward Class Subject Specialist, any eminent person from Consumer Group of the GP to be co-opted – up to six such special invitees

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