Andhra Pradesh Integrated Irrigation and Agriculture Transformation Project (APIIATP) Water User Association Manual

Transcription

1 Andhra Pradesh Integrated Irrigation and Agriculture Transformation Project (APIIATP) Water User Association Manual State Project Director APIIATP Water Resources Department Vijayawada Andhra Pradesh

2 Table of Contents SECTION 1: PROJECT OVERVIEW Project Background APIIAT Project Development Objective (PDO) Project Components Component A: Improving Irrigated Agriculture Efficiency Component B: Promoting Climate-Smart Agricultural Practices Component C: Post-Harvest Management, Market and Agri- Business Promotion Component D: Project Management and Capacity Building Project Management State level District Level Cascade Level Tank Cascade System and Its Importance The WUA Manual and its Objective Key Project Activities Project Benefits... 8 SECTION 2: MANAGEMENT OF WUA Introduction WUA and its Membership Power and Functions General Body Managing Committee General Body & Managing Committee Meetings of WUA General Body Meetings Managing Committee Meetings Process of Conducting Meeting APIIATP WUA MANUAL ii

3 2.5 WUA Sub-Committees Composition of Sub-Committee Functions of Sub-Committees Selection of Para-worker Role and Responsibilities of Para-Workers Support to WUA for Construction of Office Building Role of WUA in the Cascade Coordination Committee Institutional Arrangement in Tanks Having Ayacut below 40 Ha SECTION 3: WUAs IN THE APIIAT PROJECT WUAs and their Involvement in the Project Assessment of Participatory Planning Environment Agreement and Signing MoU with DPMU Project Planning Water Budgeting and Crop Planning Implementation Working with Partner Institutions Line Departments Support Organizations Professional Consultancy Agencies Mobilizing Beneficiary Contribution O&M of Tank System (Within Cascade) Normal Operation and Maintenance Works Deferred Maintenance Works (Rehabilitation Works) System Diagnosis for Maintenance Works Prioritizing Works Preparation of Estimates Administrative Approval Technical Sanction Method of Taking up Works APIIATP WUA MANUAL iii

4 3.9.9 Maintenance and Adherence to the Designed Hydraulic Particulars Limitation on Works Addition of Other Funds and/or Contributions Proof of Works Done Quality Control Water Distribution and Management Monitoring & Learning Transparency & Public Disclosure Settlement of Disputes and Appeal Disputes Appeals SECTION 4: INTEGRATED CASCADE DEVELOPMENT PLAN (ICDP)/TANK DEVELOPMENT PLAN (TDP) Introduction Objective of ICDP/TDP ICDP/TDP Preparation Process Awareness Generation Stakeholder Identification Assessment of WUA Preparedness and Willingness Signing of MoU between the WUA and the District Project Director Data Collection / Technical Surveys Components of the ICDP (Integrated Cascade Development Plan)/ Tank Development Plan (TDP) Compilation and Finalization of ICDP/TDP Document Approval of ICDP/TDP SECTION 5: WUA CAPACITY BUILDING Preparing WUA Capacity Building Plan Capacity Needs Assessment (CNA) Capacity Needs Assessment Process APIIATP WUA MANUAL iv

5 5.3 Training of WUA Members Managing Committee Members Sub-Committee Members Training of Beneficiaries Training of WUA Para Worker Resource Persons SECTION 6: IMPLEMENTATION OF ICDP/TDP Implementation Arrangements Procurement Procurement for Works Implementation of Civil Works by WUA Technical Support and Supervising Civil Works Implemented by WUA Measurements and Record of Works Procedure for Payment of Works Implemented by WUA Participatory Monitoring & Learning Monitoring Civil Works Monitoring Sector Specific Activities WUA Self Rating Participatory Assessment and Cross Learning SECTION 7:POST-PROJECT OPERATION AND MAINTENANCE Introduction Planning and Implementing O&M Activities Key O&M Activities Funds Raising for O&M Facilitating Water Charges Collection Monitoring Water Supply and Distribution Water Budgeting Work Book Exercise SECTION 8: FINANCIAL MANAGEMENT APIIATP WUA MANUAL v

6 8.1 Opening Bank Accounts Sources of Funds and Funds Flow Arrangements Book Keeping Levy & Collection of Fees Financial Audit Social Audit Constitution of Cascade Coordination Committee Recognition Award to WUAs ANNEXURE I: Memorandum of Understanding between WUA and the District Project Director ANNEXURE II: Agreement on CDP/TDP Implementation between the WUA and the DPD ANNEXURE III: Self-Rating of WUA (Pre-Project and Post-Implementation) ANNEXURE IV: Participatory Planning Environment Assessment ANNEXURE V: Transparency and Proactive Disclosure ANNEXURE VI: Tank Details ANNEXURE VII: WUA Committee Members ANNEXURE VIII: Irrigated Area Details ANNEXURE IX: Capacity Building of WUAs ANNEXURE X: WUA Records /Books of Accounts ANNEXURE XI: Revenue Collection and Expenditure ANNEXURE XII: WUA Maintenance OK Card APIIATP WUA MANUAL vi

7 Abbreviations ABPF AP APCBTMP APFMIS APIIATP CAD CADA CHC CIG DLIC DPMU DPR FPC FPO GoAP GoI GP ICDP INM IPM IPNM IWRM O&M PAD PDO PGM SPMU SSCBI SSP TC TDP WRD WUA Agri-business Promotion Facility Andhra Pradesh Andhra Pradesh Community Based Tank Management Project Andhra Pradesh Farmer Managed Irrigation System Andhra Pradesh Integrated Irrigation and Agriculture Transformation Project Command Area Development Command Area Development Authority Custom Hiring Centre Commodity Interest Group District Level Implementation Committee District Project Management Unit Detail Project Report Farmer Producer Company Farmer Producer Organisation Government of Andhra Pradesh Government of India Gram Panchayat Integrated Cascade Development Plan Integrated Nutrition Management Integrated Pest Management Integrated Plant Nutrient Management Integrated Water Resource Management Operation and Maintenance Project Appraisal Document Project Development Objective Participatory Ground Water Management State Project Management Unit Small Scale Community Based Irrigation Sector Specific Plan Territorial Constituency Tank Development Plan Water Resources Department Water User Association APIIATP WUA MANUAL vii

8 SECTION 1: PROJECT OVERVIEW 1.1 Project Background The Government of Andhra Pradesh has been emphasizing upon improving irrigation coverage through water conservation, distribution and management of both surface and ground water in order to augment agricultural production and productivity. An exclusive scheme, in the name of Neeru Chhetu is under implementation for the renovation of tanks. As per the assessment, most of the tanks in the state perform below their designed capacity. The gap between the irrigation potential created and actual irrigated area under tanks has been reported at about 40 to 60 percent, depending upon the rainfall during a year. Thus, the area under tank irrigation has declined, adversely affecting people who were traditionally dependent on tanks for their livelihoods. The traditional tank management systems have been undermined resulting them becoming dilapidated and under sub-optimal use. This is due to reasons like (1) poor community participation, (2) increased dependency on the government for restoration and renovation, (3) integrated planning and management of the tank system not adequately addressed in regular agenda and (4) increased population load and excessive use of natural resources worsening the situation. The APCBTMP (Phase I) was successfully implemented in 975 minor irrigation tanks from 2007 to 2016 and the results are evident in WUA strengthening, tank improvement and agriculture and fish productivity. In order to scale up the interventions in the selected minor irrigation tanks, the present project APIIATP will become the platform for innovative approaches. It is known that the tanks are the main irrigation sources where there are no major rivers and irrigation projects. In order to make the project more participatory and to ensure the transfer of responsibility of management and monitoring of civil works and Operation and maintenance of the tank systems, there is a need for involving the WUAs in the process. This will include restoration of the physical condition of the tank systems and institutional strengthening of the WUAs to make the investment sustainable. Improving the tank systems will help in increasing

9 agriculture productivity in rain fed districts across the state where a large percentage of rural poor are concentrated. In this context, the state of Andhra Pradesh has proposed to take up a next generation irrigated agriculture transformation project, called APIIATP (Andhra Pradesh Integrated Irrigation and Agriculture Transformation Project) with the support of the World Bank. APIIATP, focused on climate change adaptation and making agriculture more resilient to adverse impacts of climate variability, is the Phase II of APCBTMP (Andhra Pradesh Community Based Tank Management Project). The project intends to benefit all the tank users in a cascade, who are directly and/or indirectly dependent on it and are willing to participate in its restoration for its efficient use and improved livelihood opportunities. APIIATP is a departure from the traditional tank system improvement to cascade system improvement. In general, a cascade system is a micro hydrological unit with more than one tank that are connected with natural drainage system in which surplus water from the tank in upper catchment flows down to the tanks at the lower part of the cascade. The project proposes to adopt cascade approach to minimize water loss, improve conservation of surface water and promote efficient water management in the micro hydrological unit with a defined geographical boundary. The project intends to develop both minor irrigation tanks (>40 Ha ayacut) and tanks below 40 Ha if they are part of the cascade. The project also plans to take up independent tanks having ayacut above 40 Ha, which do not fall within any cascade, for rehabilitation and restoration. The project proposes to restore tank systems to their original design standards by applying Integrated Water Resource Management (IWRM) principles to address holistic water management in minor irrigation tank system (tanks falling in to cascades or independent tanks) for improving irrigated agriculture. With improved water availability, realized through cascade system improvement, more area can be put to irrigation and with proper management of available water resources, water use efficiency and water productivity can be improved. APIIATP WUA MANUAL 2

10 1.2 APIIAT Project Development Objective (PDO) The APIIAT Project Development Objective is to enhance agricultural productivity, profitability and climate resilience of smallholder farmers in selected districts of Andhra Pradesh. 1.3 Project Components The project has four integrated and interrelated Components to realize the Project Development Objective. Component A focuses on improving irrigated agriculture efficiency, whereas promoting adaptive sustainable agricultural practices will be dealt in Component B. Providing end to end solution to agriculture, the project will intervene in post-harvest management, marketing and agri-business of selected commodities in Component C. The overall project management aspects will be taken care of through Component D, along with capacity building of different stakeholders Component A: Improving Irrigated Agriculture Efficiency Component A comprises three sub-components: (a) Institutional strengthening and Capacity Building of WUAs, (b) Rehabilitation and Modernization of Small Scale Community Based Irrigation Systems, and (c) Improving Water Productivity and Efficiency. Activities to be taken up will be helpful to improve cascade level irrigation system, improving agricultural resilience to climate variability by bringing in more area in to irrigation coverage, strengthening community organization to improve water management and improving water productivity Component B: Promoting Climate-Smart Agricultural Practices Component B has two sub-components: (a) Support to Climate-Smart Crop Production and Diversification, and (b) Promoting Climate-Smart Aquaculture. The overall objective of this component is to improve productivity of the tank systems and enhance resilience of agriculture production systems for increasing production and managing risks associated with climate variables. This component looks at improving production and productivity of the small holders in the cascade system to improve farm APIIATP WUA MANUAL 3

11 based income of the farmers and other water users through adoption of climate smart diversified agriculture production systems Component C: Post-Harvest Management, Market and Agri- Business Promotion Given the size and nature of landholdings, the project focuses on expanding farm incomes through forward market linkages. The objective is to revive the agriculture sector by enhancing value addition of farm produce (pulses, oilseeds and high value grains, horticulture, and fisheries) by creating the required infrastructure, facilities and services. For improved market access and value addition of the commodities, Farmer Producer Organizations (FPOs) will be promoted and strengthened. The project will establish an Agribusiness Promotion Facility (ABPF) to foster and accelerate the growth of agribusiness, thereby helping to commercialize agriculture production, increased value addition and agricultural incomes Component D: Project Management and Capacity Building Component D basically ensures that the project is managed as per plan and the stakeholders, associated in the project execution are well capacitated to implement the project effectively. Objectively, this component ensures implementation of project activities in a desired and result oriented manner. The project management aspects like, planning, monitoring, supervision, evaluation etc. will be a part of the overall project management strategy which will be facilitated by the State PMU and the District PMU. The Capacity Building of the project staff includes trainings and exposures to SPMU, DPMU, Line departments and SOs. An external Monitoring and Evaluation Agency will conduct concurrent and periodic monitoring of key performance indicators related to the project results framework. 1.4 Project Management State level The project at the state level will be implemented by the Water Resources Department (WRD)of Government of Andhra Pradesh. The Project will be headed by the State Project Director, CADA, Department of Water Resources, Government of Andhra Pradesh. The project implementation and related policy aspects will be guided by a Project Steering Committee, APIIATP WUA MANUAL 4

12 which will be constituted at the project level, headed by the Chief Secretary as the Chairperson. The Principal Secretary, Water Resources Department, will be the Convener of the Project Steering Committee. At the State level, the Command Area Development Authority (CADA) in the Water Resource Department of Government of Andhra Pradesh will be the state level agency responsible for implementation of the project. The State Project Management Unit (SPMU), comprising subject experts in different sectors/sub-sectors, will provide the required guidance for the smooth implementation of the project. The SPMU will be headed by the State Project Director District Level At the 12 project districts (except Guntur), the District Project Director will be in-charge of the project. Similar to the State level structural arrangement, there will be a District Level Implementation Committee (DLIC), headed by the District Collector and DM as the Chairperson. The District Project Director will be the Member Secretary of the DLIC. In each project district, the implementing agency of the Government (CADA) will establish a District Project Management Unit (DPMU), headed by the District Project Director. Each DPMU will have experts / subject matter specialists to guide the project and provide required technical support as per the requirement. At the district level the DPDs shall be supported by the Support Organizations (SOs) to facilitate the WUA strengthening process and ensure that the WUAs function as per the APFMIS Act Cascade Level At each cascade, there will be a Support Organization (SO) who will be engaged by the Project and will remain accountable to DPMU with regard to implementing different activities. The SO will facilitate community mobilization and other project designed activities as per the requirement of the project and based on their scope of work. One SO will look after about tanks within a defined geographical area. The SPMU will be responsible for selection of SOs and placing them at the project districts. The SO will engage the required number of experts to carry out the project activities. APIIATP WUA MANUAL 5

13 As one cascade will have more than one tank of different irrigation capacity, Water User Association (WUA) of the respective tank will be responsible to implement the project activities that are planned during the initial phase of the project. The WUA will be supported by a para-worker, identified and engaged at the tank level. Para-worker will be paid an honorarium by the WUA to support them in carrying out their functions. 1.5 Tank Cascade System and Its Importance In the small valleys of undulating dry zone terrain, less rapidly moving water cascades from the crests of the low ridges to the keels of the small valleys are intercepted with man-made small and earthen bunds of low elevation to create tanks of different sizes. The small tanks are constructed in the upper slopes of the small valleys and the bigger ones are constructed in the keels of the valleys. Furthermore, the tanks in a keel usually become bigger and bigger as one moves downstream of the valley. Water in these reservoirs, in a valley, cascades from one to another, starting from upstream towards downstream in to a large reservoir far below and finally the volume of water spilled over from the large reservoir at the far end enters in to a large stream. Also, the word cascade refers to the interconnected tanks while sub or micro watershed refers to the land mass surrounding the cascade, contributing to its runoff. A Tank is a water body, where water gets collected from the catchment and stored. The physical structure of a tank consists of an earthen bund to store water, a surplus system to let off excess flows safely, sluices to release water for irrigation and a tank bed to cover the water spread when the tank is full. The canal system comprises of a main canal to carry water for irrigation of required discharge and field channels that carry water to the farmers field. A tank cascade can be defined as a chain of tanks in which surplus water from the upper tank flow to the lower tank/s. The Minor Irrigation department and APSAC is delineating the tank cascades taking the geohydrological parameters in to account. In the project, minor irrigation tanks of three types of different irrigation capacity have been considered for the restoration, i.e., less than 40 Ha ayacut area, 40 to 400 Ha ayacut area and more than 400 Ha ayacut area. Looking at the need, the project also considers independent tanks, not in a cascade, for restoration. APIIATP WUA MANUAL 6

14 As one of the innovative approaches, the project will adopt cascade system development to improve water efficiency. In the cascade system, the available water will be influenced by the flow from upstream tanks and seepage/excess water can be reused in the downstream. In the present approach water distribution needs to be considered in its entirety, which will enable more efficient and equitable water use than an individual tank based approach. Historically, tank irrigation in Andhra Pradesh has played a vital role in the development of its agricultural economy. Andhra Pradesh has the distinction of having about 40,817 minor irrigation tanks and the largest area irrigated under tanks in India. Tanks play a significant role in irrigation and in the local ecosystem in low rainfall areas. As engineering systems, they are historically one of the oldest in their designs and financially viable structures. As social systems, the tanks serve and benefit various groups and sections of the village community i.e., farmers, fisherman, cattle growers. 1.6 The WUA Manual and its Objective The purpose of the Water Users Association (WUA) Manual is to provide operational guidelines to facilitate effective participation of WUAs in the Andhra Pradesh Integrated Irrigation and Agriculture Transformation Project (APIIATP). The manual explains the basic concepts and processes of the project. It will guide the WUA to function as per need to meet the project objectives and make the project to achieve its development objective. It will also help the WUAs in cascade/tank level planning and implementation of the Integrated Cascade Development Plan (ICDP)/ Tank Development Plan (TDP). The Manual describes the various stakeholders of the tank system, the roles and responsibilities of WUAs and the financial and technical arrangements of the project. It also describes the required skills and capacities of WUAs and other stakeholders in the project, funds flow arrangement, levels of farmer contribution, tax collection, etc. which will help the WUAs in implementing the project effectively. The WUA Manual is primarily an information booklet providing operational guidelines on what WUA will do and how it will implement the project. It systematically presents the concepts, processes, and procedures related to the project. For easy use of the Manual, it is structured as a step- APIIATP WUA MANUAL 7

15 by-step approach in this document. As the WUA Manual is directly linked to the APFMIS Act, 1997 and APFMIS Rules,2017, the Act and Rules may be referred to for clarity. 1.7 Key Project Activities APIIATP intends to take up a number of activities that will improve water conservation and management, along with promotion of climate resilient practices and their adoption. The main activities proposed under APIIATP are (refer to PIP for details): 1. Preparation of Integrated Cascade Development Plan (ICDP)/Tank Development Plan (TDP); 2. Strengthening of WUAs and other CBOs; 3. Crop planning and water budgeting; 4. Supporting Revenue Department for collection of water tax from water users; 5. Restoration of the bund, sluices, surplus weirs, feeder channels, distributary system etc. 6. Participatory groundwater management and hydrological monitoring 7. Technology promotion 8. Promotion of climate resilient agriculture production systems 9. Measuring Carbon emissions 10. Introduction of climate resilient aquaculture models 11. Improved post-harvest technology and value chain participation 12. Establishment of an agribusiness promotion facility (ABPF) to foster and accelerate the growth of agribusiness. 1.8 Project Benefits The APIIAT Project is for all the tank users who are directly or indirectly dependent on it and are willing to participate in its restoration for its efficient use and improve their livelihoods. The project intends to benefit a range of stakeholders such as farmers, fishermen, livestock owners, etc. who are expected to be the primary beneficiaries of the project. While the project will focus on improving the tank cascade system, covering all the project tanks, it will adopt participatory approach in its execution APIIATP WUA MANUAL 8

16 process. The project will engage the local community through their community organization, i.e., the WUAs for the restoration and rehabilitation of the cascades and improving the socio-economic condition of the people depending upon the cascade tank system. The WUA, as a community level organization of the farmers, will be associated directly in the process as a planner, implementer and beneficiary of the project interventions. The project is expected to benefit the WUA in the following ways: 1. Strengthening the WUAs to operate and manage the cascade/tank system; 2. Modernization of irrigation infrastructure including irrigation canals; 3. Improving water productivity and efficiency by improving irrigation coverage; 4. Promotion of climate resilient sustainable agriculture practices; 5. Facilitate in promoting agribusiness with forward and backward linkages; 6. Promotion of climate-smart aquaculture in the cascade tanks to benefit the fisher community. The planned interventions will be helpful to enhance income of the farmers and other stakeholders with higher production and productivity. Agribusiness and value chain improvement will add to the price realization of the farmers and fishers in the tank cascades. Improved physical condition of the tank systems in the cascade will help to conserve more water which will facilitate improved irrigation coverage. The strengthened WUAs will prepare crop water budgets and manage the water resources with improved efficiency and productivity. The WUA will support the collection of revenue from the farmers, which when ploughed back, will be used for operation and maintenance of the tank systems. The decentralized management system will help to foster a sense of ownership by the people and motivate them to adopt water saving methods and climate resilient practices. The agribusiness initiative will further improve market access, strengthen supply chain management and create opportunities for value addition. APIIATP WUA MANUAL 9

17 SECTION 2: MANAGEMENT OF WUA 2.1 Introduction Water Users Associations (WUAs) have been formed as per the APFMIS Act with defined set of roles and responsibilities. The WUAs are formed in all the tank systems having command area above 40 hectares with the representations from the entire command area. This section deals with the roles of WUA in tank management as per the mandate defined in the APFMIS Act along with the specific roles pertaining to the project. 2.2 WUA and its Membership Every WUA shall consist of all the water users who are the land holders in the tank ayacut area; where a tenant is cultivating the land, the tenant will be the member of the WUA. The WUA will also comprise all other water users as co-opted members. However, if a person has land in more than one Territorial Constituency (TC), he/she can be a member of only one TC and shall exercise his option thereof as prescribed in the APFMIS Act (Annexure VII). 2.3 Power and Functions General Body The general body of the WUA shall comprise of all members, and shall have the following powers and functions, as specified in the Andhra Pradesh Farmers Organisation Rules, 2017: 1. To identify their representatives by convening meetings as per the directions of the Government (or) Commissioner, Command Area Development Authority (CADA); 2. To approve operational plan of each crop season and review its implementation in the area of operation; 3. To allocate water amongst various main canals distributaries / minors / outlets, according to the operational plan approved; 4. To decide on the manner of regulation and distribution of water; APIIATP WUA MANUAL 10

18 5. To prepare annual and long term financial and works plans and priorities works for maintenance/ repair/upkeep, rehabilitation of irrigation system as per the directions of the Government (or) Commissioner, Command Area Development Authority (CADA) 6. To approve annual financial budget and review performance of the previous year budget; 7. To appoint auditors for the annual audit and/or concurrent audit and to fix fees for the same; 8. To set-up sub-committees of members for various activities and functions of the organization; 9. To crate or set-up such fund as may be required for different activities / works; 10. To levy a fee as defined in the Act; 11. To decide on permissible administrative expenses within the ceilings prescribed, from time to time by the Government (or) Commissioner, Command Area Development Authority (CADA); and 12. To carry out the recall proceedings as per the Act. From the project point of view, the WUA shall have the following responsibilities, which are in agreement with the Act and Rules thereof: 1. The general body will approve the operational plan for each crop season and review its implementation. The ICDP/TDP and crop plan have to be prepared and approved by GB by duly organizing meetings and discussions with the concerned users. 2. Allocate water according to the approved operation plan. The prepared operation plan should be explained to the water management sub-committee that arranges and provides support to watermen (neeradi) to implement the operational plan. 3. Prepare annual and long term financial and works plans and prioritize works of maintenance/ repairs/rehabilitation of irrigation system. 4. Approve annual financial budget and review previous year s budget. 5. Set-up sub-committees of members for various activities and functions of the organization. 6. Levy fee (water chargers or other fees) for achieving the objects of the WUA and performing its functions, and collect such fees as may be APIIATP WUA MANUAL 11

19 decided by the committee, and 7. Take decisions on raising resource such as: (a) grants from Government as a share of the water tax collected in the area of operation of WUA, (b) resources raised from any financing agency for undertaking any economic/development activities in its area of operation Managing Committee 1. To prepare and implement operational plan for each season in its areas of operation; 2. To prepare and implement Kharif and Rabi plans for various crops to be grown; 3. To prepare budget and allocate resources for various activities; 4. To prepare and implement annual and long-term plans for repairs, maintenance, rehabilitation for the development of the irrigation and drainage systems and to accord administrative sanction as per the orders given by the Government from time to time and taking up works as per availability of resources on priority; 5. To prepare or cause to be prepared annual accounts of incomes and expenditures, and assets and liabilities; 6. To ensure equitable distribution of water among various water users; 7. To evolve and implement systems of regulation control, monitoring and reporting of water use and land use; 8. To recommend appointment of auditors for annual audit or concurrent audit to general body; 9. To organize execution of work as per orders issued by the Government (or) Command Area Development Authority (CADA) from time to time; 10. To recommend formation of sub-committees to the general body for undertaking various activities; 11. To settle disputes amongst the members; 12. To nominate one of its members to operate the funds of the organization when the post of President or Vice-President falls vacant; 13. To provide development services to the members related to irrigation and agriculture; APIIATP WUA MANUAL 12

20 14. To take up training programme for the members; 15. To prepare annual list of all water users and members with voting rights; 16. To assist the Revenue, Water Resources and Agriculture Departments in the preparation and maintenance of basic records; 17. To maintain and operate a reserve fund as per the directions of the Government (or) Command Area Development Authority (CADA); 18. To scrutinize the audit reports and rectify defects and report to the general body; 19. To establish a management information system and submit periodical report as may be prescribed by the Government. 2.4 General Body & Managing Committee Meetings of WUA General Body Meetings 1. The General Body shall meet at least twice in a year, once before Kharif and one before the Rabi season. The meetings shall be presided over by the Chairman / President and in his/her absence Vice-Chairman / Vice- President, as the case may be; 2. The General Body may also be called at any time by the President or Managing Committee members through a majority resolution or by members of the WUA through a requisition signed by not less than 1/3 of the members with voting rights; and 3. A General Body meeting shall also be held on receipt of a direction to do so from the Government or from the Commissioner, Command Area Development or by the next higher tier of the farmers organization in respect of matters relating to urgent public importance and for any specific purpose Managing Committee Meetings The meetings of the managing committee shall be held at least once in every month at the office of the organization. The meeting may however be held more frequently if it so requires. A meeting requisitioned shall be held APIIATP WUA MANUAL 13

21 within 7 days of the receipt of the requisition for such a meeting by the chairman / president Process of Conducting Meeting General Body 1. On receipt of a notice (under sub-rule 2 or 3 of rule 10), the managing committee of the WUA shall convene a general body meeting within 20 days by giving 7 days prior notice of the date, time and place of the meeting and also the agenda; 2. Notice for general body meeting shall be sent at least 7 days in advance of the date of the meeting along with the agenda. Notice may be sent by hand / post / publication / beat of tom-tom and display on the notice board of the organization; 3. At all the meetings of the general body, the quorum shall be 1/3 rd of the members and all resolutions shall be carried by a majority of the members present and voting; 4. If there is no quorum of the meeting, the meeting shall be adjourned and be convened again at a date and time not later than two days of first / original meeting; 5. For the adjourned general body meeting, no quorum is required and resolutions would be carried by a majority of the members present and voting; 6. At a requisitioned general body meeting, the items specified in the agenda alone will be discussed. No other subjects will be discussed without the expressed permission of the Chairman / President or the majority decision of the members present in the meeting; and 7. Every proceeding of the general body shall be recorded in the minutes book maintained for the purpose and authenticated by the Chairman / President or the person who has presided over the meeting, as the case may be. A copy of the minutes shall be sent to the authority at the next higher tier. APIIATP WUA MANUAL 14

22 Managing Committee 1. Notice for the meeting shall be sent by hand / post / delivery or published on the notice board; 2. The chairman / president shall preside over the meetings of the managing committee. In his/her absence, the vice-chairman / vicepresident shall preside over the meeting as the case may be; 3. Every proceeding of the managing committee shall be recorded in the minutes book, maintained for the purpose, by the person chairing the meeting. A copy of the minutes shall be sent to the authority of the next higher tier; 4. The quorum of the meeting shall be 1/3 rd of the members. All resolutions shall be carried by a majority of the members present and voting; 5. If there is no quorum for the meeting, the meeting shall be adjourned to a date and time not later than three days and be convened again. For an adjourned meeting, no quorum is required. 2.5 WUA Sub-Committees As per the APFMIS Act, there are four (4) types of Sub-Committees to be constituted by a Water Users Association, which are as follows: 1. Finance and Resources sub Committee 2. Works sub Committee 3. Water Management sub Committee 4. Monitoring, Evaluation and Training sub Committee As per the APFMIS Act, the general body of WUA may constitute specific sub-committees. Wherever the Sub-committees do not exist, they should be formed by the WUA. The SO and WUA has to convene the meeting with the members of the WUA. The information about the meeting should be intimated to all the members with the agenda. The SO should ensure the attendance of all TC members. Though the election of the Sub-committee leader is formal activity, the selection of the members of the Sub-committee is crucial. In the meeting, WUA has to identify the suitable members to be the member of the sub-committee in the meeting through consensus. In APIIATP WUA MANUAL 15

23 case, the WUA is not able to build consensus in selecting the candidates, voting may be conducted in the same meeting with the existing members. The para worker shall write the proceedings of the meeting, mentioning the name of the members elected / selected to different committees Composition of Sub-Committee Each sub-committee shall comprise of a member from the Managing Committee other than the Chairperson/ President, along with other members not exceeding four, elected / selected from the members of the WUA with voting rights: 1. Convener of the Sub-committee shall be a member of Managing Committee other than the Chairman/President; 2. The other members of sub-committee should not exceed four members, selected from members of the WUA with voting rights; out of four one may be women preferably; and 3. No member shall represent more than one sub-committee Functions of Sub-Committees 1. Finance and Resource Sub- Committee To mobilize and collect resources To ensure collection of dues from Members as levied under section 20 of the Act To recommend to Managing Committee the use 2. Works Sub- Committee To recommend estimates of works for administrative approval To supervise works and ensure quality control To approve payments for the works 3. Water Management Sub-Committee To carry out the decisions of the Managing Committee and of the general body on water regulation, schedule of water release To organize patrolling of the canal, channels and regulate the use of water To check the irrigation and drainage system 4. Evaluation and Training Sub-Committee To identify training needs and organize training to the Water Users To educate in optimum use of water To monitor specific items like area irrigated, APIIATP WUA MANUAL 16

24 1. Finance and Resource Sub- Committee and deployment of resources To maintain records relating to financial matters 2. Works Sub- Committee 3. Water Management Sub-Committee regularly To record the water deliveries To report to the Managing Committee any violations in the use of water To maintain the records of land owners and water users 4. Evaluation and Training Sub-Committee productivity, disputes settlement and resources building The Sub-committee shall meet as frequently as necessary. The members of Managing Committee, who is also the in-charge of the sub-committees, will preside over the meetings and maintain the record of discussions and decisions. The sub-committees shall function under the general superintendence, control and direction of the Managing Committee of the WUA. 2.6 Selection of Para-worker To assist a WUA in performing its roles and responsibilities, each WUA will have a Para-worker. The para-worker identified will be an educated person from the WUA area identified by the respective WUAs and trained by the project to perform specific tasks. The para-worker will be paid monthly honorarium by the project through the WUA. The project will cover the full amount of the honorarium of the para-worker for an initial period of 3 years which may be extended based on the project requirement. After the withdrawal of the project, the honorarium of the para workers will be paid by the respective WUA, if they continue to retain them. In case the para worker is disassociated, he/she may work on the basis of payment for service mode, i.e., para-worker s service may be hired by any WUA member or WUA itself on payment basis. APIIATP WUA MANUAL 17

25 For the selection of the para worker, the WUA will convene a meeting to identify the paraprofessionals (female/male) taking into consideration their educational qualification, present engagement and interest in the work. Women shall be encouraged to work as para-workers at-least in 30 percent of the tanks. The para workers may be selected based on certain criteria such as: 1. Be a member of the WUA; 2. Be a practicing farmer and a resident of the village; 3. Be educated enough to maintain WUA records, prepare minutes of meetings, and write letters etc.; 4. Has good relationship with WUA members and community in general; 5. Has No criminal record and/or questionable engagement in prohibitory activities; 6. Is willing to spend the required time for the job, apart from other engagements Role and Responsibilities of Para-Workers Para-worker The Para-worker will be a person selected from the community and trained in Community mobilisation for implementation of Agriculture, Horticulture, Aquaculture and water management aspects of the project. It helps to create a local cadre with specific knowledge, which remains locally available beyond the project period. The para-worker has to coordinate the project activities and support the WUAs in implementation and monitoring of activities. The para-worker will have an agreement with the WUA and will be paid remuneration of Rs.1,000 per month for the period of 3 years. The para worker will perform the following tasks, as per the need of the project. 1. Facilitate the WUA meetings in the tank village/villages. 2. Assist the Support Organisation in organizing meetings (MCs, Sub Committees and General body) 3. Advance information to WUA members on date and time of meetings and the same communicate to all of the WUA members. 4. Maintain close coordination with WUA, SO and DPUs in APIIATP WUA MANUAL 18

26 providing required information and arranging WUA meetings. 5. Assist the WUA in maintenance of records related to water release data and schedule of water release. 6. Assist the WUA in water measurements aspects (cutthroat flumes, PHM) 7. Assist the support organisation and departments to implement various project activities. 8. Attend to any other project related tasks assigned by the WUA/SO/DPU from time to time. 2.7 Support to WUA for Construction of Office Building The project will support selected WUAs in establishing their own office for smooth functioning. For constructing the WUA Office, up to 5 cents of land is to be provided by the WUA, in consultation with the local GP and concerned officials of related Department. The project will provide financial support for the construction, if the land identified is encroachment and litigation free and does not involve displacement in any form and the WUA is willing to contribute, either in cash or in kind, 10 percent of the total cost Guidelines for construction of WUA office buildings Specific guidelines for construction of WUA Office building under the APIIATP Project are as follows: 1. WUA shall identify minimum of 5 cents of land ( sqm/ 242 sq. yards approx.) and shall ensure its voluntary transfer in the name of the WUA. 2. The location identified will not be a part of Gram Panchayat Office. If it is in the GP campus the WUA should get NOC from the GP. 3. WUA shall contribute 10% (Rs. 1,00,000/-) of the total building cost (Rs. 10,00,000/-), through labor, cash and kind to complete the construction of WUA Office. 4. WUA shall take up the responsibility of constructing the WUA Office building. The DPU/SOs will guide WUAs in the construction of their offices. 5. APIIAT Project will specify the layout and other specifications of APIIATP WUA MANUAL 19

27 the building for the WUA Office. 6. Tribal, Gender and Remote WUAs shall be encouraged to take up the construction of WUA office buildings. 7. In some villages, new Gram Panchayat Offices have been constructed and the Gram Panchayat is willing to transfer the old office building to the WUA. This office space will be usable after carrying out certain repairs and improvements. In such cases, a separate estimate shall be prepared by the competent authority and approval taken from the State Project Director, APIIATP. The WUA contribution component will be applicable. 2.8 Role of WUA in the Cascade Coordination Committee Selected Managing Committee members of the WUA, preferably President and Secretary will be a member of the Cascade Coordination Committee. The representatives of all the WUAs that are within the cascade shall be the members of the committee. They will be participating in different meetings, organized by the coordination committee and discuss different aspects of the works/activities taken up at the tank / cascade level and resolve any such issue that comes to the coordination committee for solution. As more than one WUA will be the involved in the cascade coordination committee, representatives of all the WUAs shall participate and discuss matters of importance pertaining to the cascade (refer to Section VIII for details). 2.9 Institutional Arrangement in Tanks Having Ayacut below 40 Ha. At present, Water User Associations have been formed in the tanks that are having more than 40 ha. of ayacut. It is observed that, many cascades will have tanks that are having less than 40 ha ayacut where no WUA is formed. In such tanks, project will promote formation of WUA, considering the feasibility of forming such community institution. In some cases, there may be more than one tank with less than 40.0 ha ayacut under one WUA for effective management and governance. Apart from this, economic feasibility aspect will also be examined during the promotion of new WUAs as the WUAs in small tanks also must become financially viable in the long run. The new WUAs will be formed in conformity with the APFMIS Act, APIIATP WUA MANUAL 20

28 SECTION 3: WUAs IN THE APIIAT PROJECT 3.1 WUAs and their Involvement in the Project The Andhra Pradesh Farmer Managed Irrigation Schemes Act, 1997 (APFMIS Act) created a legal entity, the Water Users Association for all irrigation systems in the state. The Act entitles the WUA to operate and maintain the irrigation system by involving all the farmers who are its members. Consequently, the primary responsibility for the management of the tank lies with the WUA. Therefore, for effective restoration of the tank and for its sustainable management it is imperative that the project is implemented through the WUAs. Association of WUA in the project is evident where tanks cascades are the focus and project intends to improve the irrigation scenario in the cascades. The WUA is expected to perform different roles, as per the APFMIS act, so that irrigation situation in the cascades improve and the farmers get benefit. At the same time, the WUAs will also be strengthened in the process. Sustainable restoration of the tank requires not only the co-operation of the ayacut farmers but also catchment farmers to ensure protection of the catchment area of the tank. The fishermen have traditional rights of fishing in the tank. Existing fishermen will be continued the practice of fishing in the project as per the rules prescribed by the fishermen cooperatives. Wherever there are no fishermen, the WUA will have option to auction the fishing rights to any group of people in consensus with the gram panchayat. The WUA will also facilitate in imparting necessary training to the fishermen to improve their livelihood. 3.2 Assessment of Participatory Planning Environment To analyze the preparedness and willingness of the WUA to participate in the project, an assessment of the environment for participatory planning within the WUA will be carried out by the DPMU, involving SOs, in case of requirement (if SOs are selected and engaged by that time). The assessment will be carried out on the following aspects: a) Organizational & Financial Environment; APIIATP WUA MANUAL 21

29 b) Planning Environment; and c) People s Participation. The format for carrying out the assessment of environment for participatory planning is given in Annexure IV. 3.3 Agreement and Signing MoU with DPMU Before the actual work starts, a Memorandum of Understanding (MoU) will be signed between the WUA and the DPMU. The objective of executing a Memorandum of Understanding (MOU) is to arrive at an agreement between the WUA and the DPMU on their respective roles and responsibilities in implementation of the project. The MoU will remain effective during the project period till the project ends (the format of MoU in Annexure I). 3.4 Project Planning A participatory planning process will be adopted in the project. Through the planning process an Cascade Development Plan will be prepared by the WUA in consultation and active cooperation of the line departments, DPMU, SO and any other agency/is associated in the process. The ICDP/TDP will include activities of all the three components (Pillar I, II and III) of the project including the WUA training plan and Institution Development aspects. The ICDP/TDP will have two parts, i.e., Detail Project Report for the civil works and the Sector Specific Plans for Agriculture, Horticulture, Fishery, agribusiness, Institution Development (ID) and Capacity Building (CB). The SO and the DPMU officials / experts will assist the WUA in the preparation of the ICDP/TDP. After signing the agreement with the DPMU, the WUA shall prepare the annual plan by convening the meeting with the WUA Managing Committee along with all members of sub-committees. The major objectives of annual plan are: 1. To draw plans for activities to be undertaken by WUA in a particular year 2. To identify specific interventions for tank/cascade development and institutional strengthening. APIIATP WUA MANUAL 22

30 3. To coordinate efforts being made by various stakeholders like Panchayati Raj Institution (PRI), SOs, along with WUA and allied institutions 4. Preparation of activity calendar, budget and assigning responsibility to person / agencies and get the approval of the general body. The annual planning process should start with meeting of the Managing Committee and all the sub-committee members. The SO and competent authority from SPMU / DPMU will facilitate the meeting in coordination with WUA. The Works sub-committee shall list out the activities planned in the ICDP/TDP and in consultation and consensus of the participants, the activities are to be finalized for first year implementation. The Managing Committee shall approve the annual plan duly identifying the person/agencies for implementation. 3.5 Water Budgeting and Crop Planning Based on availability of water, taking into account both surface the ground water, crop plan is to be prepared by the WUA. The WUA has to facilitate the planning process during Kharif and Rabi season. The TC member and farmers of each TC has to discuss and plan the crops. 3.6 Implementation In the context of the project, after the preparation of ICDP/TDP and its approval by the WUA s in their general body meeting, the District Project Management Unit (DPMU) will enter into an agreement (Annexure II) with each WUA in the cascade/tank for the implementation of the ICDP/TDP. The agreement would form the basis of implementation of the ICDP/TDP, which include: 1. Roles and responsibilities of the parties to the contract; 2. Utilization of funds, maintenance, and operation of bank account; 3. Collection of beneficiary contribution and its utilization; 4. Financial management including maintenance of accounts, execution of wor procurement, reporting, and audit of accounts; and 5. Dispute settlement / conflict resolution APIIATP WUA MANUAL 23

31 Works, as approved by the Managing Committee of the WUA, shall be taken up for execution by the farmers organization itself. Under no circumstances, the WUA Chairperson/President/any Managing Committee member shall execute the work directly in his/her individual capacity. The WUA should ensure that the cost of works executed shall not exceed the estimated costs and there should not be time overrun and cost escalation. The competent authority shall record the pre-measurement and final measurement for quantifying the works done for making payment by the WUA. 3.7 Working with Partner Institutions The tank has mainly two types of stakeholders, i.e., direct stakeholders and indirect stakeholders. The direct stakeholders are: (a) farmers having land in the tank ayacut, i.e., Ayacutdars (command area farmers) and (b) the fishermen who depend on the tanks. The indirect stakeholders comprise: (a) washer men, (b) cattle grazers and (c) ground water users. The WUA and its sub-committees should work hand in hand with partner institutions that are associated in the execution of the project. The institutions/ organizations that are to be associated in the project execution are: Line departments, Support Organizations, and Professional Consulting Agencies Line Departments The line Departments, as co-implementing agencies, will provide project specific services in their respective domains, i.e., in Agriculture, Horticulture, Fisheries, and Ground Water and Water Audit Support Organizations Select Support Organizations will provide services of community mobilization and institutional strengthening of the WUAs. The SO will work with the WUA and support the WUA in all the activities to be implemented / taken up by the WUA. The following are the list of the main activities that the WUAs will be supported by SOs in implementation. 1. Awareness creation, 2. Stakeholder identification, 3. Assessment of WUA preparedness, APIIATP WUA MANUAL 24

32 4. Facilitate signing of MOU / agreement between WUA and DPD, 5. Organising training programmes to the WUAs and other CBOs, 6. Training WUA & its committees in ICDP/TDP training and its preparation, 7. Facilitating WUA general body meeting and managing committee meetings, 8. Monitoring and supervision support to WUA, 9. Supporting in book keeping / record maintenance, 10. Extending required support to other agencies associated in the project implementation, and 11. Mobilization of farmers for implementation of different project activities. It is planned to associate Support Organizations (SOs) for Capacity Building of the WUAs. They will assist in providing the required training / exposure services to the WUAs. The WUAs are expected to enhance their capacities in technical, institutional and financial aspects by undergoing trainings and exposure and ensure that they perform their roles effectively to achieve project objectives Professional Consultancy Agencies The project will engage professional service providing agencies for monitoring, learning & evaluation; thematic studies; documentation; GIS; MIS; knowledge management, etc. The WUA will cooperate with such agencies for completion of the assignment to meet the project management requirements. 3.8 Mobilizing Beneficiary Contribution The project strategy explicitly states that, there should be an element of beneficiary contribution in cash or kind. The rationale for this strategy is that cost sharing will instill a sense of ownership and will form the basis of longer-term sustainability. The WUA will mobilize 5.0 percent beneficiary contribution (cash or kind as per the decision of the WUA) during the life of the project. This amount will be deposited in WUA bank account and it can be used for the purpose of O&M after the completion of the project period. APIIATP WUA MANUAL 25

33 3.9 O&M of Tank System (Within Cascade) Operation and maintenance of the irrigation system is an important activity of the WUA. The tank system requires O&M on a regular basis comprising a set of activities carried out with local resources at WUA level. The WUAs shall take up the normal operation and maintenance and deferred operation and maintenance works, i.e., regular works costing up to Rs. 5.0 Lakh or as per the limit prescribed by the Government from time to time. The works shall be executed by the WUAs under the supervision of the Water Resources Department at the rate not exceeding the estimated rates. The works costing above Rs.5.0 Lakhs or the limit prescribed by the Government, are to be entrusted by the Department duly calling tenders Normal Operation and Maintenance Works 1. Desilting (feeder channels, irrigation channels and if required tank bed 2. Weed removal / Jungle clearance in the tank system 3. Embankment repairs 4. Revetment 5. Repairing of shutters 6. Repairs to masonry and lining 7. Cleaning and oiling of screw gears and gate groves 8. Painting of hoists gates etc. 9. Emergent breach closing works 10. Maintenance of inspection paths 11. Formation of cross bunds; and 12. Lifting of water by oil engines / generators Deferred Maintenance Works (Rehabilitation Works) 1. Reconstruction of sluices 2. Reconstruction / repairs to drops and regulators 3. Reconstruction of measuring devices 4. Rehabilitation of the system APIIATP WUA MANUAL 26

34 The WUA shall take over the O&M activities and bring in regularity, with collective action at village level. The WUAs have to develop a corpus fund for regular O&M through collection of water charges, fisheries lease money, contributions etc. and take over the entire responsibility of O&M. The procedures for the works to be taken up by the WUA are discussed below System Diagnosis for Maintenance Works Prior to the commencement of every crop season (Kharif & Rabi) the managing committee and competent authority (Engg) of every farmers organization shall undertake to assess the condition of the system (System diagnosis) through a participatory walk through exercise. The farmers organization shall inspect each and every hydraulic structure and record its status. They have to identify all the critical reaches which need immediate repair as listed out in above. The Competent Authority (Engg) shall assist the Farmers Organization in preparation of detailed list of works to be undertaken Prioritizing Works The Managing committee of the Farmers Organisation shall discuss the list so prepared and fix up priority of works to be taken up immediately Preparation of Estimates The competent authority ( Engg) and works sub-committee shall prepare estimates for the works so prioritized according to the hydraulic particulars as maintained by the Water Resources Department at the prevailing schedule of rates within a fortnight. The proposals for taking up various works under various categories required scrutiny of CAD committee for approval of the annual Action Plan for O&M and deferred maintenance in each of the project that would include tax re-plough, category B and other capital and revenue grant Administrative Approval Managing Committee of the Farmers Organisation shall accord administrative approval for the works' taken up with water tax plough-back amounts and own resources. The works sub-committee shall recommend estimates of works for administrative approval. The administrative approval is subject to availability of funds. Each administrative approval shall be recorded in the register of administrative approvals. For the works taken up APIIATP WUA MANUAL 27

35 with the funds including government grants other than water tax ploughback amounts and own resources, the administrative approval shall be as per the departmental rules in vogue Technical Sanction The power for giving technical sanction by the competent authority (Engg) shall be based on the approval of the Executive Engineer/ Superintending Engineer / Chief Engineer as per the existing Government limits. The Competent Authority, shall record all the technical sanction in the register of technical sanction. The technical sanction shall not exceed the administrative approval Method of Taking up Works 1. Works as approved by the Managing Committee of the Farmers Organization shall be taken up for execution by Farmers Organization itself; 2. Under no circumstances can a Chairman / President or Managing Committee Member of the Farmers Organisation execute a work directly in his individual capacity; 3. The cost of works executed shall not exceed the estimated costs; 4. The competent authority shall record the pre-measurements and final measurements for quantifying the work done for making payments by the Farmers Organization. These measurements shall be check measured by higher authorities as. per rules and procedure of Water Resources Department; 5. The procedure adopted by the Competent Authority in preparation of estimates, bills etc., shall be subject to verification by higher officials as normally applicable to department; and 6. In exigencies, when any of the Farmers Organisation is not existing or function by any reason the normal Operation and Maintenance, Deferred Maintenance works i.e., regular works costing up to Rs, 5.00 lakhs or the limit as prescribed by the Government from time to time in the jurisdiction of such Farmers Organisation shall also be taken up by the department duly following the rules and procedures in vogue. APIIATP WUA MANUAL 28

36 3.9.9 Maintenance and Adherence to the Designed Hydraulic Particulars The competent authority shall be responsible for the maintenance and adherence to the approved hydraulic particulars. He shall ensure strictly that the designed hydraulic particulars of an irrigation system are not altered with. He shall guide the Farmers Organisation in supervising works Limitation on Works No Farmers Organisation shall have the power to interfere with the designed hydraulic particulars of an Irrigation system. Any violation will invite the penal provisions under Section 23 and also prosecution under Section 24 of the Act; and the rules made there under Addition of Other Funds and/or Contributions The members are free to contribute resources either in cash or by way of material or labour Proof of Works Done The Competent Authority shall maintain L.F Book and M Book for recording the work done by the Farmers Organisation. The L.F Book and M. Book shall bear the number assigned by the Division duly attested by the Executive Engineer and these books shall be under the personal custody of Competent Authority Quality Control Quality control checks shall be as per departmental norms. However, in case of special programmes or External Aided Projects, the quality control checks shall be as prescribed from time to time. The OK Card developed by the Water Resources Department for quality control will be used (See Annex 12) Water Distribution and Management Water distribution at the farm field level is the most important issue that needs to be planned and managed efficiently by the WUA. In the project, it is proposed to strengthen WUA with adequate capacity to deal with water distribution and its efficient management. Based on the water available in APIIATP WUA MANUAL 29

37 the system, the water management sub-committee shall prepare the water distribution plan in accordance with the demand of the farmers (estimated crop water requirement). The sub-committee gets endorsement of the plan from the management committee. The plan can be implemented through the Laskar, the water distributing person, who can be a government personnel or traditional practitioner (Neeradi or Neeruganti). The water distribution and management is to be taken up by the WUA in the following manner. The managing committee of the WUA shall prepare a water budget, with the assistance of the competent authority, for the area of operation under its control as detailed in the WUA Rules 2017.One month before the on-set of the Kharif season, the WUA shall, subject to such directions as may be given by Government from time to time, work out the anticipated inflows and existing availability of water in the tanks and workout the water allocation. Equitable distribution of water shall be achieved by adopting circular rotation over a period. The WUAs shall draw up an operational plan which shall specify the quantum of water to be drawn on a fortnightly basis. The drawls of water shall be monitored each day at specified gauge points as decided by the WUA. Review of drawls and distribution shall be done by the WUA at the end of each fortnight and corrective measures taken. At the end of each season, the WUA shall prepare a report of water received and utilized along with the area irrigated, quantity of water supply and extent of crops. The WUA shall analyse the shortcomings and deviations in water budget and report to the next higher tier. The WUA shall decide the operational plan and date of release of water for irrigation depending upon the storage / inflows in to the tank. After a water budget is prepared, the WUA shall draw up a plan of water regulation as follows. 1. The dates of release and closure shall be informed to all the members well in advance; 2. Equitable distribution of water amongst all users shall be the main principle in water regulation; 3. A farmer organization shall draw water and monitor flows based on the operational plan prepared; 4. A Warabandi schedule (turn schedule) shall be prepared for each outlet by the WUA; APIIATP WUA MANUAL 30

38 5. The WUA shall carryout Azmoish of the ayacut with the assistance of the competent authority along with the Agriculture and Revenue Personnel; and 6. A WUA may, for the purpose of monitoring, install measurement and other such devices, as may be required, within its jurisdiction Monitoring & Learning Monitoring of the project activities will involve verification and checking of physical activities and ensuring that the activities are implemented as per the design and schedule and with the prescribed quality. Since the project emphasizes participatory monitoring, stakeholder will be involved in identifying the monitoring indicators and in measuring them. At the tank level, monitoring of the project activities is the joint responsibility of the DPMU, WUA and the Support organization. It requires recording of actual field implementation compared to the plan to determine the degree of achievement and reasons for discrepancy (short falls) if any. Monitoring will be carried out using both quantitative and qualitative/participatory methods Transparency & Public Disclosure The list of works to be taken up should be given wide publicity by means of display in the WUA Office and other public places like Gram Panchayat office and other prominent public places and institutions with in the WUA operational area. Along with the lists, other particulars of works, estimates, values and mode of execution should be given publicity through the charts given in Annexure. The WUA shall take all the required measures for maintaining transparency related to the works taken up and suo-moto disclosure of activity related information. If any member wishes to have access to any of the records relating to works taken up, he/she may do so on payment of the fee as fixed by the WUA (Annexure V). APIIATP WUA MANUAL 31

39 3.13 Settlement of Disputes and Appeal Disputes Any dispute or difference touching the constitution, management, powers or functions of a Water User Association arising shall be determined as follows: 1. Any such dispute or difference arising between members in a Water User Association shall be determined by the Managing Committee of the Water User Association concerned; 2. Any such dispute or difference arising between Water Users and the Managing Committee of Water Users Association or between two or more Water Users Associations shall be determined by the Executive Engineer concerned, and 3. Every dispute or difference under the rule shall be settled within 30 days from the date of reference of the dispute or difference Appeals. 1. Any party to a dispute or difference aggrieved by the decision made or order passed by the Managing Committee of a Water User Association may appeal to the Executive Engineer Concerned, whose decision thereon shall be final. 2. Any party to a dispute or difference by the decision made or order passed by the Executive Engineer may appeal to the Superintending Engineer concerned, whose decision thereon shall be final. 3. Any appeal under the rule shall be preferred with in thirty days of communication of the decision or the order to the person aggrieved. Every appeal under the rule shall be settled within 30 days from the date of filing of the appeal. APIIATP WUA MANUAL 32

40 SECTION 4: INTEGRATED CASCADE DEVELOPMENT PLAN (ICDP)/TANK DEVELOPMENT PLAN (TDP) 4.1 Introduction The ICDP/TDP is a plan document that will provide the details of all the activities to be implemented in a tank cascade, individual tanks covering all the project supported tank systems. The Water Users Associations will have to prepare the ICDP/TDP for its tanks in a cascade, individual tanks covering all the area under its operational jurisdiction, to implement the project. The DPMU and the SO along with the technical agency associated in the process will assist the WUAs in preparing the ICDP/TDP. A cascade may comprise of more than one tank and accordingly, may have more than one WUA. Unlike the Phase I Project (APCBTMP), where Tank Improvement and Management Plan (TIMP) was prepared, in Phase II, in adherence to the cascade approach, an Integrated Cascade Development Plan (ICDP) would be prepared, taking cascade as the unit of planning and tank system as the sub-unit. The ICDP can be prepared taking the cascade as a whole (taking together all the tanks and habitations) or each tank level plan can be combined to form the Integrated Cascade Development Plan and/or Tank Development Plan in case of individual tanks. 4.2 Objective of ICDP/TDP The overall objective of ICDP/TDP is to develop a perspective around a micro geo-hydrological unit (cascade) for conservation and efficient management of water resources while promoting agricultural practices that are climate resilient and improving livelihood security through value chain promotion and management in cascade/tank villages. APIIATP WUA MANUAL 33

41 4.3 ICDP/TDP Preparation Process Awareness Generation The process of ICDP/TDP preparation will start with awareness generation about the project in the tank cascade system villages/tank villages. Village level meetings will be organized in each of the tank cascade area villages and tanks. A notice about the meeting will be givenat-least3 days in advance in the villages through the WUA. During the meeting, the villagers will be informed about the project, its objectives, approach and processes, possible interventions and expected benefits. The villagers will also be informed about the role of the WUA in the project and in operation and maintenance of the tank system in the future. A number of meetings will be organized in each tank /cascade area villages, besides the awareness generation process, including Kalajatha, wall writings, audio-visual shows, documentaries etc Stakeholder Identification As awareness about the project development among the villagers, social mapping of the villages will be carried out to identify the various social and economic groups in the cascade / tank. During the process, various stakeholders of the tank will be identified, including the groundwater users in the tank influence zone, by listing out all the ways in which the villagers are using the tank and the household in each user category. This will be recorded on the social maps Assessment of WUA Preparedness and Willingness Once all the tank stakeholders have been identified, a detailed Participatory Planning Environment Assessment will be carried out. To analyze the preparedness and willingness of the WUA to participate in the project, an assessment will be carried out on the following aspects: 1. Organizational & Financial Management 2. Preparedness for Planning 3. People s Participation Participatory Planning Environment Assessment formats are given in Annexure IV. APIIATP WUA MANUAL 34

42 4.3.4 Signing of MoU between the WUA and the District Project Director At the completion of the awareness generation process and the assessment of environment for participatory planning, the willingness of the WUA in participating in the project will be determined. If the WUA is willing to participate in the project a Memorandum of Understanding (MoU) will be agreed upon and signed between the WUA and the District Project Director (DPD), which will delineate the commitments and the mandates of the two agencies towards each other. This will include the willingness of both the WUA and DPD to take the roles and responsibilities specified below: Roles and Responsibilities of WUA Mobilize community contribution for the project from among the tank users at the rate of 5.0 percent of the total civil works (in cash or in kind). The contribution, if made in cash, will be deposited in the WUA bank account for future O&M activities. 1. Prepare ICDP/TDP to carry out restoration and revival of the tank cascade system 2. Supervise and actively participate in the ICDP/TDP implementation 3. 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 time to time 4. Undertake management and O&M works of the tank system from the water charges collected as per the provisions of the APFMIS Act (1997) covering the following activities: i) Desilting (feeder channels, irrigation channels and if required tank bed ii) Jungle clearance in the tank system iii) Embankment repairs iv) Revetment v) Repairs to shutters vi) Repairs to masonry and lining vii) Cleaning and oiling of screw gears and gate groves viii) Emergent breach closing works ix) Reconstruction/ repairs of sluices x) Reconstruction / repairs to drops and regulators xi) Repairs to waste weir and surplus system APIIATP WUA MANUAL 35

43 5. Distribute water among all the tank users equitably 6. Create an awareness on economic use of water and promote efficient water use technologies & practices among the tank users 7. Collectively prepare water use and agricultural plans for each irrigation season 8. Arbitrate and resolve any disputes over distribution of water among the tank users 9. Prevent future encroachment and protect tank system 10. Maintain execution of works and supervise the quality 11. Open and operate one bank account in any Nationalized Bank: The WUA will have single bank account for making financial transactions. Funds received / generated from different sources, such as water charges, O&M funds, 5% contribution (cash) etc. will be deposited in the account. This account will be operated jointly by WUA President and Vice President, on behalf of the WUA Managing Committee and the project technical staff (DPMU staff co-opted into the works sub-committee). 12. Record / maintain transactions in two different heads of accounts, i.e., O&M head and Works head. 13. Maintain regular ledgers and accounts of the WUA as required under the project 14. Perform any other functions to accomplish the objectives of the project as and when required under the project Role and Responsibilities of the 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 2. Provide finances, technical support, supervision and training to WUA to carry out all WUA functions and activities listed above 3. Ensure quality of civil works carried out under the project 4. Provide continued technical support, supervision and training to the WUA subsequent to the handing over of the tank system to the WUA 5. Provide resources to carry out repairs of the tank system for damages caused by natural calamities, subsequent to restoration APIIATP WUA MANUAL 36

44 4.3.5 Data Collection / Technical Surveys After signing of the MoU between the WUA and the DPD-DPMU, the process for ICDP/TDP preparation will start. Available secondary literature / data will be collected and reviewed appropriately related to demographic composition, land holding, tank irrigated area etc. The analysis of secondary literature review will follow the participatory planning process. The participatory planning process will be carried out using Participatory Rural Appraisal method, using participatory tools in the cascade / tank area villages. It is planned to conduct PRA over a period of 5 days, however, in case of requirement, days of participatory planning in a tank system, within the cascade may be extended looking at the ground situation and 3 days in case of individual tanks. Different tools to be used in PRA are highlighted in the table with expected outputs. The WUA and its supporting agencies may use additional and innovative tools to identify the key issues and prepare the plan giving priority to need based activities. Table 1: Participatory Rural Appraisal for ICDP/TDP Preparation Day for cascade Day for Individu PRA Tools Output of the Tool al tanks Day 1 Day 1 Resource Mapping / Transect Day 2 Day 2 Production System & Livelihoods Mapping Day 3 Institutional Mapping / Infrastructure, Availability & Mobility Mapping Day 4 Day 3 Time Line / Seasonality Chart / Trend Analysis of Groundwater based Irrigation Day 5 Problem Tree / Problem Identification / Problem To assess the nature and levels of production system in the tank area and identify the problems in the tank system that would require restoration To assess the social and physical capital existing in the tank area and the linkages and networks through which inputs and services are acquired by the tank users and markets accessed by them To assess the significant historical trends and annual events that has influenced the prevailing condition of the tank system / groundwater use in the tank influence zone Identification of key problems, driving and restraining forces and planning the activities as per the priority of the community. APIIATP WUA MANUAL 37

45 Day for cascade Day for Individu al tanks PRA Tools Prioritization / Identification of interventions Output of the Tool Problem identification and its prioritization is an essential part of the overall planning exercise to identify root problems of the tank system and its effect on the tank users. Once the causal analysis is done (cause and effect analysis), key activities will be finalized based on the identified areas of intervention. The activities, so identified by the stakeholders should be reviewed at different levels, including at DPMU level and it should be aligned with the overall project objectives and its components. The identified interventions should be segregated into the following categories: 1. Civil Works 2. Land / Water Resources Management Activities 3. Agriculture / horticulture / fishery promotion and agribusiness 4. Social / Environmental Management Activities 5. Institutional Development and Management 6. Capacity Building The proposed interventions will also be segregated into categories based on the resources to be used to implement them. The resources to be used are: 1. Community resources / community contribution 2. Project resources 3. Convergence / linkage with other schemes / programmes (some activities may require pooling resources from different sources for execution) 4. Credit financing etc. During planning, required interventions for the social inclusion, tribal inclusion and gender development activities will be identified and planned (Refer Annexure VI and VIII for Details). APIIATP WUA MANUAL 38

46 4.3.6 Components of the ICDP (Integrated Cascade Development Plan)/ Tank Development Plan (TDP) Cascade System Improvement Plan (CSIP) The CSIP basically covers all the structural and civil works that are necessary for restoration and improvement of cascade system. All such activities that are required in a cascade, covering all the cascade tanks will be finalized. A detail assessment study / survey will be conducted in each cascade, covering all the project tanks, to identify the repair and renovation requirements. A detailed list of activities to be prepared for each cascade, taking each tank as the sub-unit, by activity categories like bund strengthening, sluice repair, drainage treatment etc. Detail design and cost estimation should also be prepared for the identified works to be taken up in each cascade by project tanks. After identification of the works, the design and cost estimates for the civil works will be prepared by the project technical staff in association with the Works Sub-Committee members of the WUA. With respect to interventions to be implemented through convergence / linkages with on-going government schemes like National Rural Employment Guarantee Programme (NREGP), the WUA will pass a resolution to that effect and present it to the concerned Gram Panchayat for consideration through its coopted Gram Panchayat members. The WUA Gram Panchayat members will represent the WUA s interest in the Gram Panchayat meeting and will follow up inclusion of these interventions into the Gram Panchayat NREGP plan Sector Specific Plans (SSP) The specific interventions to be undertaken in a tank cascade will be included in the Sector Specific Plan (SSP), covering key livelihood sectors, such as agriculture, horticulture, fishery, and agribusiness and value chain promotion. This SSP will be a part of the overall ICDP/TDP. The SSP will be prepared by each WUA at the cascade level, with the support of the SO, the DPMU staff and technical staff from relevant line departments as a part of the ICDP/TDP preparation process. It will be developed in a participatory manner and will take in to account the existing production systems, socioeconomic conditions, water availability and distribution and emerging market opportunities. Feasibility aspects of the activities planned in the process is to be examined and suitable activities that are implementable and APIIATP WUA MANUAL 39

47 having potential to contribute to the overall project objective should be considered. During prioritization and finalization of activities, available resources should be considered and plan should be finalized accordingly Compilation and Finalization of ICDP/TDP Document After the design, cost estimates and the implementation plan for all the interventions have been prepared, it will be compiled into the ICDP/TDP document. The ICDP/TDP document will be prepared in a log frame format and with GANTT charts, designs and estimates and cost sheets. It will also include a brief profile of the tank cascade system area and the tank stakeholders. The identified interventions will be segregated in the following categories: 1. Civil Works 2. Land / Water Resources Management Activities 3. Segregated Sector Plans (agriculture, horticulture, animal husbandry, fishery, agribusiness) 4. Social / Environmental Management Activities 5. Institutional development and management aspects 6. Capacity building The proposed interventions will also be segregated into categories based on the resources to be used to implement them. The resources to be used are: 1. Community resources 2. Project resources 3. Convergence / linkage with other programmes 4. Credit financing Approval of ICDP/TDP Once the draft ICDP (compiled by WUA)/TDP document is ready it will be presented to the WUA in their General Body meeting for discussion and approval. The General Body meeting of the WUA will be organized at least within a fortnight of the preparation of ICDP/TDP document. During this meeting / discussion on ICDP/TDP, SO along with officials and experts of associated agencies will discuss and clarify all queries of the WUA members related to the implementation plan, designs and cost estimates. APIIATP WUA MANUAL 40

48 Based on the discussions, and incorporating relevant suggestions of the community, ICDP/TDP will be finalized. Once the ICDP/TDP is agreed upon and finalized in the General Body meeting of the WUAs, a resolution will be passed in the general body meeting approving and adopting the ICDP/TDP. The WUA Managing Committee will then fill up the ICDP/TDP Implementation Agreement (refer Annex). Two copies of the approved ICDP/TDP and the Agreement will be prepared by the WUA and submit them to the DPMU for approval. On receiving DPMU approval, one copy of the ICDP/TDP and Agreement will be kept with the WUA for its records and one copy will be kept with the DPMU. The DPMU will compile all the ICDPs /TDPs prepared in one project phase in the District Action Plan and submit it to the District Level Implementation Committee (DLIC) for approval. APIIATP WUA MANUAL 41

49 SECTION 5: WUA CAPACITY BUILDING 5.1 Preparing WUA Capacity Building Plan Capacity building is an essential part of the project to ensure that the WUA functions effectively and discharge its responsibilities efficiently. In the process WUA will be imparted with suitable capacities for effective participation in planning, implementation, monitoring & evaluation of the project through community participation. The overall objective of preparing the training plan for the WUA is to improve their skill and knowledge base in order to achieve the production potential of the cascade / tanks system. The capacity development plan will help them acquire technical knowhow by which they can provide technical support in the areas of institutional development, tank system improvement, agriculture, horticulture, agroforestry, fisheries, tank-ecology, catchment treatment etc. The specific objectives of preparing the WUA capacity building plan are: 1. To improve the institutional functioning of the WUA and its development governance mechanism; 2. To strengthen stakeholder participation in the rehabilitation / restoration of cascade/tanks and its management; 3. To facilitate water and land resource management; 4. To improve their skill base in crop water budgeting, irrigation scheduling and water use monitoring; 5. To enhance their knowledge base on climate resilient practices in agricultural and allied sectors; 6. To equip them to take up agribusiness and value chain improvement activities in suitable cases. 5.2 Capacity Needs Assessment (CNA) The Capacity Building Plan (CBP) of the WUA will be prepared based on the assessment of the existing capacity. The CBP should be prepared taking in to account the desired level of skill and knowledge base required for effective implementation of the project and the gap between desired versus current capacity. The CBP should address the existing gap and ensure that the CBP fills the capacity gap. APIIATP WUA MANUAL 42

50 5.2.1 Capacity Needs Assessment Process The SPMU, the DPMU and the SO will facilitate the CNA and preparation of CBP. The capacity building needs should be classified as per the project components (Pillar A, B, C and D). A comprehensive CNA tool should be developed by the SPMU in consultation with DPMU and SOs and it should be administered by SOs for identification of capacity needs of the WUA. The CNA should be based on individual capacity as well as organizational capacity, covering MC of the WUA, sub-committees of the WUA, para workers etc. The CNA of the general body members of the WUA may also be taken up under this exercise. Table 2: Capacity Need Assessment Frame CNA Parameters MC SC I SC II Institutional Required Strengthening Existing Gap Civil Works Required Existing Gap Agriculture Required Existing Gap Horticulture Required Existing Gap Fishery Required Existing Gap Agribusiness Required Existing Gap Participatory Ground Management Other Water Required Existing Gap SC III SC IV PW Other Note: Parameters to be finalized as per the project needs; MC: Managing Committee, SC: Sub-Committee, PW: Para Worker The line departments, based on the identified needs for capacity building, will design and develop training modules which will be imparted to WUAs and other stakeholders at the tank cascade level. The CNA of WUAs, APIIATP WUA MANUAL 43

51 preparing CB plan, development of modules / manuals will be carried out by the SPMU / CADA. It is to be ensured that the CNA identify critical capacity needs adhering to the project components / sub-components. 5.3 Training of WUA Members Though, CNA will identify specific capacity requirements for the WUA and its sub-committees, still, some of the basic trainings, as a part of the capacity building of the WUA, will be taken up during the implementation of the project. The following training shall be organized for different stakeholders of WUA (refer Annexure IX for Capacity Building). 1. Participatory Irrigation Management; 2. Role and Responsibilities of WUA; 3. Maintenance of financial records and financial resource management; 4. Supervision of civil works, O & M; 5. Preparation and implementation of WUA annual action plan; 6. Water audit and crop planning; 7. Water distribution and sharing; 8. Community based monitoring of WUA activities Managing Committee Members 1. Participatory Rural Appraisal; 2. Preparation of ICDP/TDP; 3. Preparation of WUA procurement strategy and plan; 4. Supervision of civil works; 5. Participatory Irrigation Management & WUA; 6. Roles and responsibilities of WUA; 7. Roles and responsibilities of WUA management committee members; 8. Maintenance of WUA records books and accounts; 9. Group norms, group revitalization and conflict resolution; 10. Preparation and implementation of WUA annual action plan; 11. Water charge estimation and collection; 12. Planning and implementation of O&M of the irrigation system; 13. Resource mobilization; 14. Water audit; 15. Crop-water budgeting and crop planning; 16. Water distribution and sharing; APIIATP WUA MANUAL 44

52 17. Community based monitoring of WUA activities Sub-Committee Members 1. Roles and responsibilities of WUA; 2. Roles and responsibilities of WUA sub-committee; 3. Maintenance of WUA records books and accounts; 4. Preparation and implementation of WUA annual action plan; 5. Water charge estimation and collection; 6. Planning and implementation of O&M of the irrigation system; 7. Resource mobilization; 8. Water audit 9. Crop water budgeting and crop planning; 10. Water distribution and sharing; 11. Community based monitoring of WUA activities Training of Beneficiaries 1. Water management in different cropping system; 2. Improved cropping systems and farm mechanization; 3. ID crops / Organic farming; 4. Climate resilient agricultural practices; 5. INM / IPNM and IPM; 6. Composting / Vermi-compost; 7. Water use efficiency and water productivity (drip / sprinkler use); 8. Post-harvest processing and value addition; 9. Agri-business development; 10. Value addition (agriculture, horticulture, fishery); 11. Fishery development; 12. Horticultural plantation. Note: The beneficiaries include farmers, fishermen and other primary stakeholders at the tank / cascade level who are provided project support directly and/or indirectly. The beneficiaries include farmers identified for demonstration, members of the CIG, member of the FPO/FPC, individual farmers identified for micro irrigation system, protective farming, support for fishery promotion like tricycle / pushcarts, net etc Training of WUA Para Worker 1. Community Organization; APIIATP WUA MANUAL 45

53 2. WUA Management including maintenance of WUA records, books and accounts; 3. Water Management; 4. Fishery. 5.4 Resource Persons Trainings for WUAs will be organized locally, in most cases, to ensure maximum participation of members in the learning process. Selected WUA members will be trained at the mandal/ district / state level, based on the requirement. While trained persons of SOs/APDs will be associated in imparting training at local level, service of external resource persons, with required thematic understanding and expertise, will be utilized. Selected training sessions will also be facilitated by the SPMU and DPMU officials / experts. At the district and State level trainings, engagement of quality resource persons will be made by DPMU / SPMU. APIIATP WUA MANUAL 46

54 SECTION 6: IMPLEMENTATION OF ICDP/TDP 6.1 Implementation Arrangements A schedule for implementing various works in relation to the available time for implementation and the seasonal conditions will be drawn for different works under each component. The works under each component will be prioritized for implementation by the WUA in association with the DPMU, Line Dept. and SO. Subject to the financial limits set by the government, the WUA will identify works to be implemented by WUA. If necessary, the requisite capacity of the WUAs will be developed for this. The balance works will be listed separately for implementation through the tendering process. The Managing Committee of WUA will take up capacity building measures for the members during execution of the works. The sub-committee will obtain technical sanction for all the works as per the departmental norms and entrust works that can be handled by the WUA. As provision of advance is not admissible as per the Govt. rule, WUA should opt reimbursement of the expenses that are incurred by them in carrying out the activities and reimbursement will be made once the work progress as per the schedule. The WUA will maintain record of expenditure and books of accounts. The measurement / check measurement for various works / items will be done by the concerned project technical staff in association with the work sub-committee, following departmental norms. The progress of the work, quality and quantity of work done will be closely monitored by the works 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. The payment to the bills will be made by the DPMU after receiving authorization from works subcommittee along with the project technical staff. For the works, authorized by the WUA to be done through the tendering process, the District Project Director, DPMU 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 and the APIIATP WUA MANUAL 47

55 WUA. Measurements and check measurements shall be recorded by the concerned project technical 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-committee and project technical staff. For release of payment a resolution will be passed by the WUA works sub-committee after ensuring the work quality, authorizing the Managing Committee of WUA and the DPMU for release of payments to the Contractor through the District Project Director, DPMU. All the works executed and records will be subject to independent thirdparty quality control assessment as per the agreement with the DPMU apart from the regular quality control mechanism. The lists of works to be taken up will be given wide publicity by means of display in the office of the WUA, other public institutions within the tank cascade area. Whenever a work is taken up the estimated cost of the work, item of work proposed to be executed, details of the executing agency etc., will be exhibited on adisplay board at the place of the work so that all members of the WUA are aware of the details of the works being executed and the expenditures to be incurred. The abstract of work items, quantity, rate and cost will be painted on wall of the WUA office also called as social audit board. 6.2 Procurement One of the important activities in implementation of ICDP/TDP involves procuring goods, works, materials and other support services to executive the work. The procurement should be made as per the guidelines issued by the SPMU / DPMU, based on the project procurement guidelines. The procurement needs at the WUA level can be classified in to (a) procurement for works, (b) procurement of goods and materials and (c) procurement of services. As per the APFMIS Act, the Managing Committee of the WUAs will organize execution of works through the Works sub-committees. The procurement needs of the activities to be implemented by the WUA will be carried out by the Sub-committee with the support of the concerned competent authority. In case of works allotted to contractors, the APIIATP WUA MANUAL 48

56 responsibility of procurement will lie with the concerned contractor. Wherever the contractor procures goods or services, the concerned WUA /Sub-committee will monitor the quality of the procurement. The procedure for procurement will be as follows: 1. Approval of ICDP/TDP and annual work plan; 2. The procurement plan for goods / materials and services, included in the ICDP/TDP; 3. Technical and administrative approvals, obtained as per the government procedure; 4. Procurement of goods / material and services through bidding or direct purchase based on the benchmark value Procurement for Works The WUA will enter into an agreement with the DPMU to execute works of value up to 5.0 lakhs or as decided by Government from time to time. The works above Rs.5.0 lakhs cost will be tendered by the DPMU. Under the project, each structure will be treated as component and the cost for treating each component will be considered as work. No structure will be bifurcated on the basis of length or number. The following are the structure that will be treated as single component: 1. Tank bund strengthening; 2. Feeder channels; 3. Foreshore plantation; 4. Surplus weirs; 5. Irrigation channels. As per the above norms, the first preference for execution of works will be given to the WUA, in case it is less technical in nature and manageable by the WUA. In case the WUA is unable or unwilling to execute the works, the DPMU will obtain a resolution in writing from the WUA Executive Body on the same. In such circumstance, the DPMU will execute the work by contracting it to qualified contractor through bidding process or as per the procurement norm. APIIATP WUA MANUAL 49

57 Procurement of goods can be done either through government approved contractors or through the open market. The procedures to be adopted for the procurement of goods or any services will be in consultation with the DPMU staff. 6.3 Implementation of Civil Works by WUA A schedule for implementing various works will be drawn up in the ICDP/TDP for implementation. Works under each component will be prioritized by the WUA in association with the DPMU and SO staff. Subject to the financial limits set by the government, the WUA will identify works to be implemented by itself, such as repairs to feeder channels, jungle clearance, revetments and distribution channels, etc. The remaining works will be listed separately for implementation through the tendering process Technical Support and Supervising Civil Works Implemented by WUA During the implementation of civil works by WUAs, the personnel of the Support Organization will assist the WUA on a day to day basis in activities like measurements of the structure, supervising material ratio, quality of the instruments to be installed etc. The competent authorities will give guidance to the WUA on need basis. The WUA Managing Committee and works Sub-committee should regularly interact with DPMU and SO to ensure the quality in works carried out Measurements and Record of Works The two Sub-committees i.e. Works and Financial Sub-committees of WUA will maintain the following records of different works taken up in the tank / cascade: 1. Muster Roll; 2. Register of technical sanctions / administrative sanction; 3. Bill Register (Form VI (C); 4. Cash Book (Form VI (A); 5. Cheque Memo Register (Form VI (D); APIIATP WUA MANUAL 50

58 6.3.3 Procedure for Payment of Works Implemented by WUA The project, through its institutional structure at the district level (DPMU), will reimburse the expenditure incurred by the WUAs in executing different civil works, as per the schedule. The reimbursement to WUA will be made based on the progress of the work on monthly basis, on submission of required documents. The measurement / check measurement for various works / items will be done by the concerned project technical staff in association with the work sub-committee, following departmental norms. The progress of the work, quality and quantity of work done will be closely monitored by the technical staff of the project. The WUA should submit bills at different stages of completion of work for reimbursement. The payment to the bills will be made by the DPMU, after receiving work progress report from the technical staff of the project monitoring the progress. All payments for works above Rs. 10, will be made by cheque. The Works Sub-committee will approve the works for payments for both works carried out by the WUA or a Contractor. The Financial Sub-committee will maintain records of all payments made in the Cashbook. 6.4 Participatory Monitoring & Learning Participatory Monitoring involves building ownership of the community, building their capacity to identify issues, prioritize them, and identify solutions to resolve the same. Going beyond extraction of information through group-based methods, the participatory M&E process would aim to involve key stakeholders in developing a framework measuring results, evaluating achievements and learning from the project experience, i.e., as joint creator and evaluator of information. This will also help in building up the local capacity to reflect, analyze, propose solutions and take actions. Participation under this project does not remain confined only to planning and strategizing project activities, but in managing the project as well, including monitoring and learning from implementation. Consequently, the WUA needs to monitor project activities to: 1. Obtain continuous feedback and provide the required information / data to project management for decision making; APIIATP WUA MANUAL 51

59 2. Facilitate appropriate and timely decisions and to assess the outcomes and impact of the project vis-à-vis the needs identified; 3. Facilitate results-based management to focus on economic gains and equity; and 4. Learning from the project and replicate the learning. Before initiating monitoring, it is important that the WUA understands theprocess and tools of monitoring. The SO will orient the WUA Managing Committee, Sub-committees and its members on the project results framework and give them clarity on modalities of monitoring, its aims and objectives, etc. Based on the monitoring, the WUA will be able to identify the gap between the plan and its implementation which require immediate action. Some of these actions will be possible at the local level itself, where the WUA could take action accordingly. The SO will assist the WUA in taking action at their level, wherever possible Monitoring Civil Works To ensure acceptable quality of construction, tank rehabilitation works carried out will be monitored. The Works Sub-Committee will monitor the day-to-day progress, executed either by the WUA or by the contractor. During the process of monitoring, the SO staff and the competent authority will provide the necessary support to the sub-committee. The sub-committee will report the progress to the WUA Managing Committee on a weekly basis during the implementation of the works Monitoring Sector Specific Activities Along with civil works, the WUA will also monitor the activities implemented under different sectors, i.e., institution development, capacity building, agriculture, horticulture, fishery and agribusiness. The WUA will regularly monitor and review the progress in implementation of the activities according to the indicators identified in the ICDP/TDP with the assistance of the SO staff. APIIATP WUA MANUAL 52

60 6.5 WUA Self Rating WUA functionaries are required to perform different roles during the implementation of the project. The functions are related to institution management, system management (Operation & Maintenance), water management and corpus management. The role and functions of the WUA functionaries are defined in the APFMIS Act. The project, through specific interventions, also intends to strengthen the WUA as a local community based institution. It is expected that involvement of the WUA will not only ensure effective implementation of the project bound activities but also in the process, WUA will be strengthened in terms of acquiring management ability, decision making and management of local resource base. So, in order to understand the improvement made in the ability of the WUA, selfrating process (Annexure III) will be adopted which will enable the WUAs to assess their own performance vis-à-vis the functions related to the aforesaid areas. Self-rating is designed keeping in view the simplicity in understanding, analyzing and awarding suitable marks / ranks by the WUA functionaries and other water users to their performance (refer Annexure III). Some parameters are identified on which the performance will be rated. Self-rating will be carried out on quarterly basis to measure the performance and ability of the WUA Participatory Assessment and Cross Learning Institutional strengthening is expected to result in the active participation of WUA functionaries in the project in all the stages of the project, viz., preplanning, planning, implementation and post implementation. The role of the WUA in project activities is well defined. They are sequential and follow a step-by-step approach linked to the project cycle with specific milestones. The processes along with the outcomes are expected to result in the overall capacity of the WUAs to manage conflicts among all the water users, thereby maximizing the utilisation of the resource and system s O&M. Livelihood component brings in new dimensions to the project with the active involvement of different tank users. Capacity building through training or exposure visits alone may not bring in the required change unless WUAs are part of the learning process. Participatory Assessment and cross learning provides space and scope for learning and improving in a collective action. APIIATP WUA MANUAL 53

61 The exercise enables the WUAs understand the implementation of the project with focus on the WUA s role in resolving issues related to stakeholder identification and the interventions proposed. It examines the sequence of activities and crossing the milestones as defined in the Project Implementation Plan (PIP) and the Integrated Cascade Development Plan (IICDP)/ Tank Development Plan (TDP). It also therefore throws light on understanding different interventions proposed under livelihood sector development component in different tank systems. It is proposed to involve the WUA from one tank to evaluate another WUA s performance on an annual basis. This arrangement will provide a cross-learning opportunity to the WUAs. It will help them learn about the methodologies and processes adopted by other WUAs working in similar situations as well as presenting themselves to the other WUAs. This participatory monitoring and evaluation tool is thus expected to result in exchange of ideas among the WUA functionaries while promoting constructive and healthy competition among WUAs. APIIATP WUA MANUAL 54

62 SECTION 7:POST-PROJECT OPERATION AND MAINTENANCE 7.1 Introduction Operation and Maintenance (O&M) is a set of activities to be carried out regularly for smooth functioning of the tank system. These activities can be carried out with the funds allocated from the department or resources available at the WUA level. These activities are defined in the APFMIS Act. They include periodic works such as de-silting feeder, canals, jungle clearance, maintenance of sluice, shutters, etc. The WUA has to take up regular maintenance activities during every season. However, during the project period these works will be limited and these can be given high priority in the post-implementation stage of the project. 7.2 Planning and Implementing O&M Activities The WUA President along with the Managing Committee members will organize a participatory walk through survey of the tank system. Through the survey, all the critical works of the tank should be identified which need immediate repairs. The Works Sub-committee will list out the identified activities. The competent authority and the staff of the SO will assist the WUA in the process of preparation of the detailed list of works to be under taken. The Managing Committee will discuss and prepare the list and fix up priority of works to be taken up immediately. The competent authority will prepare estimates as per the prevailing schedule of rates for the works so prioritized. The format for preparation of the O&M Plan will be given to the WUA by the DPMU Key O&M Activities The key O&M activities, which may be required to address are as follows: 1. Desilting (feeder channels, irrigation channels and tank bed if required) 2. Jungle clearance in the tank system 3. Embankment repair 4. Revetment APIIATP WUA MANUAL 55

63 5. Repairing of shutters 6. Repair to masonry and lining 7. Cleaning and oiling of screw gears and gate groves 8. Emergent breach closing works 9. Reconstruction/ repairs of sluices 10. Reconstruction / repairs to drops and regulators 11. Repairs to waste weir and surplus system Funds Raising for O&M To carry out operation and maintenance work, WUA will generate resources from different sources. The main sources of funds for the O&M activities are; 1. Water charge from farmers utilizing water from tank; 2. Build-up Corpus; 3. Funds received as WUA share of the fishery lease; 4. Funds raised from other sources like tank lease for fishery, CHC, agribusiness etc. (if WUA manage CHC and agribusiness activities); 5. Membership Fees 6. Members` contribution for O&M works 7. Donations etc Facilitating Water Charges Collection The WUA has to conduct joint ajmoish with the Water Resources Department and the Revenue Department to assess the water chargers for its members. It will also assist in raising demand and collection of the water charges from its members. 7.3 Monitoring Water Supply and Distribution The Managing Committee has to prepare the water distribution plan for Kharif and Rabi agriculture season. This will be done in a General Body meeting of the WUA in which all the member farmers are present. The WUA will ensure that the competent authority and other revenue personal attend the planning meeting. Wherever traditional practices such as Thaibandi, Domoshi systems, etc. still exist, they can be continued. If the tank is full, the WUA can plan for the total ayacut (command area), APIIATP WUA MANUAL 56

64 otherwise based on the water available, the ayacut irrigation can be planned. WUA will then distribute the water according to the plan and water tax should be collected accordingly. 7.4 Water Budgeting As discussed earlier (water distribution and management sub-section), water budgeting is the process of taking stock of the available water, considering both surface and groundwater, and preparing a budget based on the water requirement of different sectors. As ground water utilization is more private driven and depends upon the individual farmer, WUA should prepare a water budget taking available surface water into account, till Participatory Groundwater Management (PGM) groups are formed. However, during water budgeting, the WUA may give priority to the farmers who do not have access to groundwater. The main objectives of water budgeting are: 1. To provide irrigation to the entire command; 2. To ensure equity and dependability in water supplies to all the farmers in all the reaches in the command; and 3. To improve water productivity. For efficient regulation and distribution of water, the WUA should have an idea of the measurement in the water releasing points. The project will install such measuring devices in all the tanks and the concerned competent authority and the SO staff will impart training to the para-worker for taking regular measurement and managing release of water accordingly. The para worker will also take measurement of water release on a regular basis and record the same. Simultaneously, the SO will also impart training on crop water requirements to the WUA members to facilitate preparation of crop plan in the cascade. 7.5 Work Book Exercise The state has adopted Participatory Irrigation Management (PIM) with the enforcement of the AP Farmers Management of Irrigation Systems (APFMIS) Act The Water Resources Department has initiated a new intervention to empower and effective participation of water user institutions in assessing the ayacut irrigated, crops grown, water requirement and usage for different crops, water tax demand and collection, funds for operation and maintenance etc. This workbook exercise is being APIIATP WUA MANUAL 57

65 carried out in every season / every year in the Major and Medium Irrigation Projects. It is proposed to carry out this exercise in APIIATP tanks by carrying out the necessary modifications and changes in the work book as suitable to the minor irrigation tanks. The Support Organizations shall train the WUAs in carrying out this on a regular basis. APIIATP WUA MANUAL 58

66 SECTION 8: FINANCIAL MANAGEMENT 8.1 Opening Bank Accounts The WUA shall open an account in any nationalized bank. The account should be opened in any local branch of a nationalized bank. Account will be operated under the joint signature of the President/ Chairperson and Vice President. The project funds will be operated through this account. The five percent of beneficiary contribution (if made in cash) and other O&M charges, fisheries lease amount received from the fisheries cooperatives / department can be deposited in this account. The WUA shall maintain the cash book and accounts of expenditure with appropriate vouchers and receipts. All expenditure should have a receipt or voucher which shall be duly passed for payment by the WUA President or any member of the Managing Committee authorized by him/her. The project will have the right to direct the bank to freeze the bank account, if project faces any problem or if irregularity is found with regard to utilization of funds. 8.2 Sources of Funds and Funds Flow Arrangements The WUA scan implements some of the works, subject to the financial limit set by the government. The Works that can be taken up by the WUAs (based on the capacity and interest and of the WUAs) are like jungle clearance, and repairing of feeder channels, revetments and distribution channels. No advance will be paid to the WUAs for such works; rather they will be on reimbursement mode, based on the progress of the works. The WUA will submit progress report with the necessary bills/vouchers to the DPMU for reimbursement of the expenses if work is done directly by the WUA. An annual plan will be prepared, jointly by the WUA and DPMU, based on the ICDP/TDP, mentioning the works to be taken up by the WUAs and the cost of the works. The DPMU is the designated authority to make assessment and release of funds to the WUA. Funds will be released to WUA in installments based on the progress and performance. The WUA is required to submit reports periodically to DPMU to appraise the work progress. APIIATP WUA MANUAL 59

67 8.3 Book Keeping Bookkeeping implies tracking of events, accounts/transactions, etc. by writing them down in separate books and timely updating the same (refer to Annexure X).The WUA will be assisted by a Para-worker in maintaining the various records. Apart from imparting training on book keeping to the para workers, the Sub-Committee members will also be trained in book keeping and accounting. The Support Organization (SO) will prepare a detailed training plan with WUA and organise the training for them. The DPMU will provide the necessary guidance in book keeping and accounting process and procedures. The following records and books of accounts should be regularly maintained and updated by the WUA: 1. Cash Book 2. Receipt Book 3. Bill Register 4. Contingent Register 5. Day Book / Register 6. Cheque Issue Register. Registers 1. Property Register and Records such as: (a) Inventory Register, (b) Register of vacant lands and building, (c) Register of income on Miscellaneous property, (d) Register of Machinery 2. Membership Register 3. Canal gauge Register 4. Sanctions Register (Register of Administrative and Technical sanctions and payments) 5. Special fee and tax collection Register. Minutes Register 1. General body meeting 2. Managing Committee meeting 3. Sub-committee meeting. Apart from these documents / records, the WUA will also keep an up-todate copy of the Act / Rules / Directions and orders of Government related APIIATP WUA MANUAL 60

68 to the project and functioning of the WUA. The WUA should also have essential maps showing (a) the boundaries of the tank system and jurisdiction of the WUA, (b) water conveyance system within the boundaries of the WUA jurisdiction, (c) the localized / notified ayacut and (d) the areas under irrigation not falling within notified ayacut. The DPMU will make available to the WUA the prescribed formats for these records. 8.4 Levy & Collection of Fees The WUA can levy a fee only on the resolution of the General body. The purpose of levying a fee shall be to provide facilities, specific service, meet urgent needs, build assets and to improve the system. The competent authority shall prepare the estimates in case any works are to be taken up. The Managing Committee shall then decide on the levy of a fee proportionate to the landholding or to the number of members and send a demand notice. All fees collected shall be duly accounted for through proper receipts (refer Annexure XI). 8.5 Financial Audit At the end of each financial year, and not later than three months after the commencement of the new financial year, accounts of WUA will be audited through a chartered accountant. The WUA will make available all the necessary financial records, documents, bills / vouchers, contracts etc. for the audit. The auditor will submit a audit report along with statement of accounts and balance sheet to the President of the concerned WUAs and DPMUs duly attesting the same. Audited report shall be submitted to the general body in its meeting for its approval. The Accountant General would also conduct the audit of WUAs account as in case of other government expenditures. 8.6 Social Audit The WUA shall organize social audit of the project, once in a year, based on time suitability of the associated agencies and other stakeholders to appraise the project and its benefitting dimensions. Different works taken up under the project, planned budget and expenditure incurred, beneficiary coverage etc. will be shared with the villagers in the social audit. Any query of the people should be addressed with facts and figures. Organizing social audit APIIATP WUA MANUAL 61

69 will help to bring transparency and accountability in the overall project operation. 8.7 Constitution of Cascade Coordination Committee As one cascade will have more than one tank and even more than one WUA, it is important to establish a coordination mechanism among them for the overall development of the geo-hydrological unit. Looking at the need, it is proposed to have a Cascade Coordination Committee (C 3 ) at the cascade level, involving all the WUAs operating in the cascade. Details of the Cascade Coordination Committee are as follows: Legal Entity It is an informal coordinating body at the cascade level, without any legal entity. It is an association of all the WUAs of the cascade with an objective of ensuring a collaborative mechanism for the overall development of the cascade, as a unit of project intervention and amicably settles the issues arising at the cascade level that pertains to more than one WUA functioning in the cascade. Membership in the Cascade Coordination Committee 1. All WUAs of the cascade will be the members of the Committee, represented by their Presidents; 2. The Team Leader of local SO will also be the member of the Committee; 3. The Local Official of the implementing line Depts., such as Water Resources, Agriculture, Horticulture, Fishery, and Ground Water, will be the members of the committee; 4. The Local Sarpanch of the GP/GPs will be an invitee to the Coordination Committee. Role and Functions 1. The Cascade Coordination Committee will take up issues that are of common interest in nature and associated with more than one WUA; 2. Any conflict and grievances that covers more than one WUA will be discussed and finalized in the Committee; APIIATP WUA MANUAL 62

70 3. Taking decision on development activities in geographical area / village of the cascade that covers more than one WUA or not under the operational jurisdiction of any of the WUAs within the cascade; 4. The Committee will meet at least once a month initially and later once in a quarter to discuss and resolve grievances; 5. The representative of the local SO will act as the convener of the committee; 6. The meeting will be presided by one of the Presidents of the WUA, on a rotational basis; 7. Unanimous decision is expected from the Committee. However, in case if no unanimity, there will be voting and each member, excluding the invitee, will have single voting right; 8. The decision of the committee will be binding on all and recorded for future reference; 9. The local SO will record minutes of the meeting and circulate it among the WUAs. 8.8 Recognition Award to WUAs Based on the assessment of the SPMU / DPMU, the three best performing WUAs will be felicitated at the State level. Similarly, the three best performing WUAs of each project district will also be felicitated annually. The SPMU and concerned DPMU will design the assessment parameters, taking in to account three broad areas, i.e., WUA Governance mechanism, activity execution and its progress and overall achievement in terms of adoption of climate resilient agricultural technologies. WUA Governance 1. Regularity of GB, EC and sub-committee meetings; 2. Maintenance of records / books of accounts; 3. Transparency; 4. Conflict and Grievance redressal mechanism; 5. Funds generated by the WUA. Activity Execution and its Progress 1. Works taken up in the operational jurisdiction of the WUA as per the ICDP/TDP; 2. Progress of different activities implemented as per the schedule; 3. Water conservation, distribution scheduling and its management; APIIATP WUA MANUAL 63

71 4. Ground water recharging and water use monitoring; 5. Crop water budgeting and crop planning. Technology Adoption 1. Adoption of INM/IPNM and IPM; 2. Micro irrigation system; 3. Soil-carbon enhancement practices; 4. Adoption of climate resilient seed varieties; 5. Organic farming (full / partial); 6. Adoption of technologies in fish farming; Each best performing WUA will be given recognition and felicitated at the State / District level annually in the presence of eminent dignitaries. APIIATP WUA MANUAL 64

72 ANNEXURE I: Memorandum of Understanding between WUA and the District Project Director A. Preamble Memorandum of Understanding (MOU) between Water Users Association (WUA) and the District Project Director (DPD), on willingness and to establish the Roles and Responsibilities of both the parties to Implement the Andhra Pradesh Integrated Irrigation and Agriculture Transformation Project (APIIATP). This MOU is signed between (name of the WUA) WUA of minor irrigation tank (name of the tank) of (name of cascade) irrigation project situated in (village name) of (Gram Panchayat) of (Mandal name) of (district name) (further referred to as the WUA in the MoU). AND The District Project Director of (name of the project district) , (further referred to as the DPD in the MoU), Andhra Pradesh Integrated Irrigation and Agriculture Transformation Project (APIIATP), Andhra Pradesh, on this (day) of (month) (year). Both the parties have desired to put in writing the contents of the MoU as follows. B. Objectives of MOU With the intention to provide meaningful role to WUA in the management of minor irrigation tanks, the Government of Andhra Pradesh has enacted the Andhra Pradesh Farmers Management of Irrigation System Act, As per the APFMIS Act, for the purpose of management of the minor irrigation tanks, the demarcated command area under the tank is transferred to the concerned WUA till the stipulated period (the map showing the command area is appended with the MoU). The task of management of the minor irrigation tank includes the operation and maintenance of the tank system, equitable distribution of water to all command area farmers, APIIATP WUA MANUAL 65

73 resolving any disputes that may arise thereof and collection of the water charges from the command area farmers and plough it back for the purpose of O&M. However, the ownership of the structures constructed for water management, the feeder channels and the lands acquired continues to rest with the Irrigation Department. The objective of transferring the responsibility of management of minor irrigation tanks to the WUA is to ensure maximum water use efficiency and increase in productivity. Towards this, Water Resources Department is implementing the Andhra Pradesh Integrated Irrigation and Agriculture Transformation Project (APIIATP) under which the tanks under a particular cascade and individual tanks are proposed to be restored to their design standard by facilitating the participation of the WUAs in the process of their restoration and there management thereafter. Therefore, the objective of executing this MoU is to arrive at an agreement between the WUA and the Water Resources (WR) Department (represented by the District Project Director) in understanding and establishing the roles and responsibilities of the respective parties in undertaking improvement of the tank system under the Andhra Pradesh Integrated Irrigation and Agriculture Transformation Project (APIIATP) and for future management. C. Roles and Responsibilities of WUA: WUA agrees to: 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 percent contribution in cash will be deposited in the WUA O&M Account for future O&M activities; 2. Prepare Cascade Development Plan (CDP),Tank Development Plan (TDP)including tribal development and other plans, taking in to account the tank and operational jurisdiction of the WUA to carry out restoration and revival of the tank system and implementation of sector / sub-sector specific activities; 3. Actively participate, implement, monitor and supervise the CDP/TDP implementation in collaboration with other stakeholders of the project like SO, Line Departments etc.; 4. Assist the Revenue Department in making assessment of demand APIIATP WUA MANUAL 66

74 for water charges and collection of water charges from its members as per the rates notified by Government of Andhra Pradesh (GoAP) from time to time; 5. Undertake management and O&M works of the tank system, within the cascade, from the water charges collected as per the provisions of the APFMIS Act, 1997, covering the following activities: a) Desilting (feeder channels, irrigation channels and tank bed if required); b) Jungle clearance in the tank system; c) Embankment repairs; d) Revetment; e) Repairs to shutters; f) Repairs to masonry and lining; g) Cleaning and oiling of screw gears and gate groves; h) Emergent breach closing works; i) Reconstruction/ repairs of sluices; j) Reconstruction / repairs to drops and regulators; k) Repairs to waste weir and surplus system; 6. Distribute water among all the tank users equitably with a special focus on tail end users; 7. Create an awareness on economic use of water and promote efficient water use technologies & practices among the tank users; 8. Collectively prepare water use and sector / sub-sector plans like, institution development and capacity building, agricultural, horticulture, fishery, agribusiness etc.; 9. Prepare crop water budgeting and crop planning for each cropping season; 10. Arbitrate and resolve any disputes over distribution of water among the tank users; 11. Prevent encroachment and protect tank system; 12. Supervise the quality of work and ensure work is carried out as per the specifications; 13. Open and operate bank account(one account) in any Nationalized Bank APIIATP WUA MANUAL 67

75 14. Maintain all the documents/ registers, including books of accounts of the WUA as required under the project; 15. Perform any other functions to accomplish the objectives of the project as and when required under the project and suggested by the District Project Director, APIIATP. D. Role and Responsibilities of the District Project Director (DPD) It is agreed that the District Project Director (DPD) is willing to: 1. Provide finances, resources, technical support, supervision and training to WUA to carry out restoration and revival of the tank system, 2. Provide finances, technical support, supervision and training to WUA to carry out all WUA functions and activities listed above, 3. Ensure quality of civil works carried out under the project, 4. Provide continued technical support, supervision and training to the WUA subsequent to the handing over of the tank system to the WUA, and 5. Provide resources to carry out repairs of the tank system for damages caused by natural calamities, subsequent to restoration. E. General Conditions of the MoU This MOU is executed voluntarily between the WUA and the DPD without any undue influence and duress on either of the parties. In implementation of the MoU, the working systems and procedures will be as per the provisions under the Andhra Pradesh Farmers Management of Irrigation System Act, 1997, and the rules and orders issued by the Water Resources Department, GoAP related to the Act and the Project Implementation Plan of the Andhra Pradesh Integrated Irrigation and Agriculture Transformation Project (APIIATP) and Manuals developed therein for the purpose. Any dispute between the WUA and the DPD shall in principle be resolved through mutual negotiation and consensus. In case the two parties fail to APIIATP WUA MANUAL 68

76 resolve the dispute, it shall be referred to the District Collector (or State Project Director in case of requirement) and his / her decision shall be final and binding on both the parties. This MoU can be terminated by either of the parties with sufficient prior notice of three months of intend in writing by stating the causes related to breach of conditions of the MoU. The other party shall be provided sufficient time to present their case before the termination procedure is initiated. F. Duration of the MoU This MOU will be in force for a period of years from / / /(dd / mm / yyyy) to / / (dd / mm / yyyy). In acceptance to the above contents of this MoU, the WUA through its representative and the DPD give their consent to enter into the MOU. In the presence of two witnesses, both parties hereby put their hands and seals / rubber stamp on the MoU in two copies, one each to be retained by either of the party, on this day of MoU as mentioned above. (On behalf of WUA)` President WUA (District Project Director) Executive Engineer Witness 1: Witness 1: Witness 2: Witness 2: Signed this day, the / / (dd / mm / yyyy) APIIATP WUA MANUAL 69

77 ANNEXURE II: Agreement on CDP/TDP Implementation between the WUA and the DPD In continuation to the MoU signed between the (name of the WUA) , WUA of the (cascade) of (village) of (Mandal) of (district) and the District Project Director (DPD) of (District), representing the Andhra Pradesh Integrated Irrigation and Agriculture Transformation Project (APIIATP) dated , the WUA, in support and collaboration has prepared the enclosed CDP/TDP, which is having the plan for improvement of the part of the cascade under the jurisdiction of the concerned WUA, has been adopted by the General Body of the WUA vide Resolution No passed in the General Body meeting of the WUA held on dated (date). Under the CDP/TDP, the WUA proposes to take up the following activities towards revival and restoration of the tank system, under its operational jurisdiction. The total estimated cost for the CDP /TDP is Rs (in figure) [(Rs (in words)] and the community contribution would be Rs (in figure) [(Rs (in words)] as per the details below. Sl. No. Name of the Activities Estimated Total Cost (in Rs.) Estimated Community Contribution (in Rs.) Cash / Kind (5%) Expected Project Contribution Expected Resource Mobilization through Convergence Total The details of the activity design and cost estimates, the implementation schedule and the procurement plan are provided in the attached CDP/TDP. APIIATP WUA MANUAL 70

78 The WUA agrees to utilize the funds sanctioned for implementation of the CDP as per the approved designs and estimates and according to the implementation and procurement norms of the project. In turn, The DPD agrees to provide to the WUA the required funds, resources, technical support, supervision and training to implement the CDP/TDP. In acceptance to the above contents of this Agreement, the WUA through its representative and the DPD give their consent to enter into the Agreement. In the presence of two witnesses, both parties hereby put their hands and seals / rubber stamp on the Agreement in two copies, one each to be retained by either of the party, on this day of Agreement as mentioned above. On behalf of WUA President WUA District Project Director Executive Engineer Witness 1 Witness 1 Witness 2 Witness 2 Signed on this day, the / / (dd / mm / yyyy) APIIATP WUA MANUAL 71

79 ANNEXURE III: Self-Rating of WUA (Pre-Project and Post-Implementation) Rating Format for Assessing WUA Performance Sl Parameter Description Indicator description Weig ht-age Mar ks Category Marks scored Recom mended activity I Participation & Dialogue Participation & Dialogue 1 No of Management Committee meetings held annually Managing Committee Meeting < 6 1 Poor Managing Committee Meeting > 6 2 Average 5 Managing Committee Meeting > 9 4 Good Managing Committee Meeting > 12 5 Excellent General Body Meeting not conducted. 1 Poor 2 3 General body meetings and % of farmers participation Transparency - Information to all Members (Wall paintings, Social Audit etc.,) One meeting conducted < 50% farmers participated One meeting conducted >50% farmers participated Two meetings conducted > 50% farmers participated WUA farmers not aware of financial details Only TC members aware of financial information Finance information displayed in common place for all WUA farmers Details of expenses read in AGM, social audit and all WUA farmers aware Average 4 Good 5 Excellent 1 Poor 2 Average 4 Good 5 Excellent Sub Total - I 15 II Performance 4 Water Use Efficiency (Acres per MCFT) < 5 5 Poor 5 to 8 8 Average Good >10 15 Excellent <25% 1 Poor 5 Area under Second crop 25-50% 2 Average % 4 Good >80% 5 Excellent 6 Tax <50% 10 2 Poor APIIATP WUA MANUAL 72

80 Rating Format for Assessing WUA Performance Sl Parameter Description collection (selfsufficiency, O&M MR) Indicator description Weig ht-age Mar ks Category % 5 Average 76-95% 8 Good >95% 10 Excellent Marks scored Recom mended activity 7 Additional resources mobilization (higher tax rates, other means) Nil mobilization 1 Poor Up to 20% of tax amount 2 Average 5 21 ~ 50% of tax amount 4 Good >50% tax amount 5 Excellent Sub Total - II 35 III Self-Management No records maintained 1 Poor 8 Updating of records Records maintained occasionally 2 Average 5 Records maintained but not updated 4 Good Records maintained and updated 5 Excellent No plan prepared and farmers not aware of water release schedule 1 Poor 9 10 Water release schedule Warabandi implementati on Preparation of plan and followed up to 50% schedule Release schedule announced and followed with 15 %variation Release schedule announced and followed regularly Continuous flow as per water availability Informal arrangements for water distribution Date wise schedule prepared and followed occasionally Date wise schedule prepared and followed regularly Average 4 Good 5 Excellent 1 Poor 2 Average 3 Good 5 Excellent Tail end issues & adequacy of water received by the tail ends Joint azmoish (estimation of tax less than 50% of identified Tail end areas receive inadequate or no water % of identified Tail end areas receive adequate water % identified Tail end areas received adequate water 91 % or more of identified Tail end areas received adequate water No joint azmoish and TC Members, Farmers not aware of tax demand. 2 Poor 10 5 Average 8 Good 10 Excellent 5 1 Poor APIIATP WUA MANUAL 73

81 Rating Format for Assessing WUA Performance Sl Parameter Description collection) Indicator description Joint azmoish done by Departmental staff, Farmers and TC members are not aware of tax demand. Assessment done by the Dept. Staff before harvest, Members and Farmers aware of tax demand Joint assessment by Dept. & Members before harvest, Farmers & TC Members aware of tax demand Weig ht-age Mar ks Category 2 Average 4 Good 5 Excellent Marks scored Recom mended activity Conflicts exist, not resolved 1 Poor 13 Conflict resolution Conflicts exist, discussed not resolved 2 Average Conflicts exist, discussed, partially 5 resolved 4 Good No conflicts, Managing Committee resolves all issues. 5 Excellent No O&M plan; No works done 1 Poor 14 O&M works No O&M plan but works done by members Dept. prepared the O&M plan and work done by members WUA prepared O&M plan and completed works before monsoon 5 2 Average 4 Good 5 Excellent Sub Total - III 40 IV 15 Innovations & Technology adoption Innovations in water management, water sharing, Conjunctive use, Water Audit, Collective action, Cropping practices (ID, Horti.) etc., Not discussed and not implemented 10 2 Poor New practices discussed and introduced 5 Average New practices discussed, introduced and 50% adopted New practices discussed, introduced and 100% adopted. Sub Total -IV 10 8 Good 10 Excellent Grand Total 100 APIIATP WUA MANUAL 74

82 Participation & Dialogue Performance Rank Score Grade Rank Score Grade Poor <3 D Poor <9 D Average 4-6 C Average C Good 7-12 B Good B Excellent A Excellent A Self-Management Innovation & Technology Rank Score Grade Rank Score Grade Poor <8 D Poor <2 D Average 9-17 C Average C Good B Good 6-8 B Excellent A Excellent 9-10 A OVERALL RANK & GRADE Total Score Grade Poor <22 D Average C Good B Excellent A APIIATP WUA MANUAL 75

83 ANNEXURE IV: Participatory Planning Environment Assessment A. Organizational and Financial Environment Sl. Item Yes / No 1 Is the WUA meeting regularly? Has the WUA carried out any O&M activity on the tank system? Has the WUA carried out any water budgeting and crop planning in the past? Has the WUA adopted any efficient water use technologies & practices? 5 Are the sub-committees of the WUA constituted? 6 If constituted, are the sub-committees carrying out their responsibilities? 7 Does the WUA collect water taxes regularly in the past? Remarks 8 Is the WUA maintaining its records & books regularly? 9 Does the WUA have any past experience of procurement of materials and services? 10 Does the WUA have any existing O&M funds? Are there any other sources from which the WUA is receiving funds? Are there any funds available at the district level which the WUA can avail of? APIIATP WUA MANUAL 76

84 B. Participatory Planning Environment Sl Item Yes / No 1 Has the WUA ever carried out local level planning in the past? Has there been any attempt in the past to train and / or 2 provide technical backstopping to WUA for local planning? Is the WUA aware of its responsibility & power to 3 carry out local level planning for the O&M of its tank system? 4 Does the WUA have any data base available for carrying out local level planning? 5 Does a WUA level monitoring and evaluation Sub- Committee exist? 6 What are the different developmental projects that are being implemented in the project? [specify] Remarks APIIATP WUA MANUAL 77

85 C. People s Participation in the Planning Process Sl Item Yes / 1 Has any action been taken to promote people s participation in WUA? 2 Have members been consulted during planning of WUA activities in the past? 3 Have members contributed in terms of labour / finance in past WUA plan activities? 4 Have people made any contribution in cash / kind in past WUA activities? 5 Have people participated in O&M activities implemented by WUA in the past? 6 Arepeople willing to pay water charges to the WUA? 7 Are the people willing to carry out O&M activities on the tank system under WUA co-ordination in the future? 8 Are the people willing to carry out water audits and crop planning under the coordination of the WUA? 9 Are the people willing to adopt efficient water use practices and technologies under the co-ordination of the WUA? 10 Are the people willing to make contribution in cash& kind towards the project? No If Yes, pl specify Note: The Participatory Planning Environment Assessment is objectively designed to understand the current functioning of WUAs in different aspects (planning, implementing, monitoring etc.), strengthen and weaknesses of WUA, areas that need further strengthening etc. The findings of the assessment will be a part of the overall institution development framework and WUA capacity building plan. The identified gray areas will be address during the project life through capacity building measures. APIIATP WUA MANUAL 78

86 ANNEXURE V: Transparency and Proactive Disclosure Particulars Key Challenges Activity Planned (Yes/No) Activity Taken Up (Yes/No) Value of Work (Rs.) Implementing Agency Progress to date Catchment Highly encroached and disturbed Disturbed Encroached No Problem Feeder Channel Highly blocked & disturbed Not much blocked Good condition Tank Bed Heavily silted Moderately silted Unsilted Heavy tree growth Heavily weeded Moderately weeded No weeds Tank Bund Breached Badly dilapidated Moderately dilapidated Fairly good Good No Problem APIIATP WUA MANUAL 79

87 Particulars Sluice/s Key Challenges Not working and need Replacement Dilapidated and need major repair Need minor repair In Good Condition Activity Planned (Yes/No) Activity Taken Up (Yes/No) Value of Work (Rs.) Implementing Agency Progress to date Surplus Weir None existent Needs replacement Major repair Minor repair In Good Condition Canal System Non-existent MC needs repairs Main canal not adequate MC needs extension Canal is in good condition APIIATP WUA MANUAL 80

88 ANNEXURE VI: Tank Details 1. Cascade Name: 2. Cascade No.: 3. Name of the Tank: 4. District Mandal Village Tank (DMVT) Code: 5. WUA No.: 6. Year of Construction: 7. Catchment Area (Ha / Ac): Ha: Acre: 7a Independent: Intercepted: 7b No. of Feeder channels: 8. Tank bed (Ac): Silted or not: 9. Dimensions of Tank Length: Width: Height: Bund (M): 9a Side slopes: Upstream: Down Stream: 9b Bund Top Level: Sluice sill level: 9c Level at MFL: Level at FTL level: 10. No. of Sluices: 11. Waste weir Details: Length: Crest height: Type: 12. Original Storage Capacity (TMcft): 13 Original Dead storage (TMcft): 14 No. of canals: Present Storage (TMcft): Present Dead storage (TMcft): 15 Total Ayacut (Acres): APIIATP WUA MANUAL 81

89 Canal Length(m) Irrigated Area Supplementation Total % (Ac) Tank No. Marginal Farmers Landholdin gs area (acre) Ayacutdar Landholding Categories (disaggregated by size) Small Farmers Large Farmers Women Farmers No No No... Landholdin gs area (acre) Landholdin gs area (acre) Landholdin gs area (acre) No. Tribal Farmers Landholdin gs area (acre) APIIATP WUA MANUAL 82

90 ANNEXURE VII: WUA Committee Members Name of the WUA: Location of Office: Members of the WUA Executive Committee Sl Name Designation Occupation Sex (M/F) Members of the WUA Sub-Committees Sl A Name of the Sub- Committee Works SC Name of the Member Designation Occupation Sex (M/F) B C D Finance M&E and Training Water Management APIIATP WUA MANUAL 83

91 Kharif ANNEXURE VIII: Irrigated Area Details Total Cultivated Area under Tank Command (Ha.): Net Irrigated Area (Ha.): Gross Irrigated Area (Ha.): Rainfall and Area Cultivated Particulars Rainfall Rainy Days Cultivated Area (Ha.) - Kharif Cultivated Area (Ha.) - Rabi Cultivated Area (Ha.) - Perennial Total Crop Area and Area Irrigated (Ha.) Particulars (Give crop names) Crop Area Area Irrigated Crop Area Area Irrigated Crop Area Area Irrigated Crop Area Area Irrigated Season Crops: Total APIIATP WUA MANUAL 84

92 Perennial Rabi Particulars (Give crop names) Crop Area Area Irrigated Crop Area Area Irrigated Crop Area Area Irrigated Crop Area Area Irrigated Total Total Grand Total APIIATP WUA MANUAL 85

93 ANNEXURE IX: Capacity Building of WUAs Training Theme 1. Training Organized For No. of Training days Training Dates No. of Participants Men Women Facilitated by TOTAL APIIATP WUA MANUAL 86

94 ANNEXURE X: WUA Records /Books of Accounts Sl Type of Records Record No. Period of Maintenance Daily Weekly Monthly Quarterly Updated (Yes / No) Last Updated (Date) APIIATP WUA MANUAL 87

95 ANNEXURE XI: Revenue Collection and Expenditure Source of Revenue Revenue Collection (Rs) Water Tax (plough back) Fishery Lease Contribution (5%) Agribusiness Custom Hiring (CHC) Donations Others Source of Revenue Expenditure (Rs) Water Tax (plough back) Fishery Lease Contribution (5%) Agribusiness Custom Hiring (CHC) Donations Others APIIATP WUA MANUAL 88

96 ANNEXURE XII: WUA Maintenance OK Card APIIATP WUA MANUAL 89

97 APIIATP WUA MANUAL 90

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100 APIIATP WUA MANUAL 93

101 APIIATP WUA MANUAL 94

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107 APIIATP WUA MANUAL 100