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Andhra Pradesh Community

Based Tank Management Project

Project Implementation Plan

28th February 2007


_____________________________________________________________

Irrigation & CAD Department


Government of Andhra Pradesh

Foreword
The Government of Andhra Pradesh has initiated the process of providing substantive and enabling
role to farmers benefiting from irrigation projects for management, operation and maintenance of the
irrigation infrastructure by enacting the APFMIS Act, 1997. Following this, I&CAD Department has
carried out minimum rehabilitation of the M.I tanks through Water User Associations. Performance
evaluation of the WUAs highlighted the need for investment in institution building to enable WUAs to
take up irrigation system management responsibilities. This has now been initiated in the I&CAD
Department as part of the ongoing sector reforms process under the flagship of Jalayagnam
programme of Government of Andhra Pradesh in tune with the Mid-Term Appraisal of the X Plan and
observation of the Sub-Group on Agriculture and Irrigation of the National Development Council.
I&CAD Department is already implementing a project on Repair, Renovation and Restoration of
water bodies directly linked to Agriculture with assistance from Government of India in the districts
of Ananthapur and Mahaboobnagar. I&CAD Department has developed a step-by-step process
guideline towards scaling up of the above programme to benefit 2.5 lakh ha under 3000 tanks at an
estimated cost of Rs. 1000 crores with financial assistance from the World Bank and the Government
of India under the AP Community Based Tank Management Project. This restoration work is
proposed to be undertaken in three batches over a period of next five years.
The Project Implementation Plan has been prepared to act as a guiding document, describing the
activities of the project on spatial and temporal scale. In addition, a set of six Operational Manuals on
various components has also been prepared to steer the project stakeholders in effective
implementation of the project. Present volume is one of the series of these six manuals. Though
sufficient care is taken to avoid any contradiction with the existing provisions, however in cases of
any ambiguity or contradiction, the existing statutes and government orders would prevail. We
welcome any suggestions for further modifications and improvement.

Commissioner,
Irrigation & CAD Department
Government of Andhra Pradesh

List of Contents
Chapter /
Section No.
1
1.1
1.2
1.3
1.4
1.5
1.6
1.7
1.8
1.9
1.10
1.11

Chapter / Section Name

Page No.

Introduction
About the state
Agro-climatic features
Geographical distribution of tanks
Status of tanks
Reason for decline to tank irrigation
State strategy on tank management
Community involvement in tank management
Groundwater and tank
GoI pilot on renovation and rehabilitation
GoI National Framework for design of project
Related Bank projects

1
1
2
4
4
5
6
8
10
10
12

2
2.1
2.2
2.3
2.4

About the Project


Project description
Tank selection process
Project approach and strategy
Project financing

13
16
16
19

3.3
3.4
3.5
3.6
3.7

Project Component 1: Strengthening community


based institutions
Over all objective, design principles, benefits
Description of component, sub-component and
activities
Implementation of TIMP
Maintenance of Records & Book Keeping
Capacity Building & Training
Implementation arrangement
Monitoring

24
25
26
28
32

4
4.1
4.1.1
4.1.2
4.1.3
4.1.4
4.1.5
4.1.6
4.1.7
4.1.8
4.1.9
4.1.10
4.1.11
4.1.12
4.1.13

Project Component 2: Tank systems improvements


Improvement of minor irrigation tanks
Objectives
Activities under the component
Approach and design principles
Selection criteria for tanks
Hydrological assessment
Dam safety
Project interventions
Technical manual
Implementation arrangements
Costing of tank improvement system
Quality assurance
Quality control manual
Creation of minor irrigation database for Andhra

39
39
39
39
40
41
42
42
44
47
47
47
47

3.1
3.2

ii

20
20

4.1.14

Pradesh
Post project sustainability strategy

47

4.2
4.2.1
4.2.2
4.2.3
4.2.4
4.2.5
4.2.6

Participatory groundwater management


Objectives
Approach
Coverage
Activities
Implementation arrangements
Monitoring

63
63
63
64
65
66

5
5.1
5.2
5.2.1
5.2.2
5.2.3
5.2.4
5.2.5
5.3
5.3.1
5.3.2
5.3.3
5.3.4
5.3.5
5.4
5.4.1
5.4.2
5.4.3
5.4.4
5.4.5
5.5
5.5.1
5.5.2
5.5.3
5.5.4
5.6
5.6.1
5.6.2
5.6.3
5.6.4
5.6.5
5.6.6

Project Component 3: Agricultural livelihoods


support services
Overall objective, design principles, benefits
Agriculture / horticulture
Objectives
The approach
Project interventions
Capacity building
Implementation arrangements
Livestock development
Objectives
The approach
Project Interventions
Training
Implementation Arrangement
Fisheries Development
Objectives and framework
Coverage and approach
Selection criteria
Project interventions
Implementation arrangements
Foreshore Plantation
Objectives
The approach
Project interventions
Implementation arrangement
Marketing and business development
Background
Problem Analysis
Agri business development process
Project interventions
Capacity building
Implementation arrangements

121
121
121
127
130
131

6
6.1
6.2

Project Component 4: Project Management


Introduction
Objectives

149
149

iii

67
69
69
69
70
75
76
95
95
95
97
100
101
107
107
108
108
111
116
116
117
118

6.3
6.4
6.5
6.6
6.7
6.8
6.9
6.10
6.11

Implementation arrangements
Project Management Support
Partnering institutions
Support Organization selection criteria
Terms of Reference for Support Organization
Capacity building objective and strategy
Project Monitoring and Learning
Project Sustainability
Project Risks

7
7.1
7.2
7.3
7.4

Social and Environmental Management Framework


Introduction
Stage-specific SEMF interventions and outcomes
Processes for Implementation of SEMF activities
Guidelines for selection of appropriate social and
environmental management measures
Monitoring environment and social aspects
Guidelines for Preparation of SEMF Plans

7.5
7.6
8
8.1
8.2
8.3

149
154
156
156
160
165
169
172
173

178
178
183
184
188
189

8.4
8.5

Tank Improvement and Management Plan (TIMP)


Project cycle in a tank system
TIMP planning process
TIMP contents and details (including social and
environmental management plans)
TIMP approval process
TIMP implementation arrangements

9
9.1
9.2
9.3
9.4

Procurement policy, plan & strategy


Procurement policy
Procurement plan
Methods of procurement
Financial delegation

238
238
239
240

10
10.1
10.2
10.3
10.4
10.5

Financial Management
Annual Action plan preparation
Head of Account
Drawing Disbursing Officer
Fund Release Process
Audit

245
245
245
245
246

11
11.1
11.2
11.3
11.4
11.5
11.6
11.7

Monitoring and Evaluation


Background
Objectives
The Approach
The M&L framework
Component-wise details of M&L
Participatory monitoring and learning
Organizational structure / implementation
arrangements
iv

209
211
215
215
216

247
247
247
248
250
253
255

11.8
11.9

Capacity building
Reporting arrangements

12
12.1.
12.2.
12.3.
12.4.
12. 5.
12.6.

Project Disclosure Strategy


The approach
Lessons learnt
Pro-active disclosure
Consultations
Implementation of RTI Act
Project management systems facilitating transparency
and public disclosure
Grievance redressal mechanism
Implementation arrangements

12.7.
12.8.
13
Table 01
Table 02
Table 03
Table 04
Table 05
Table 06
Table 07
Table 08

257
257

Cost Tables
Component 01: Institutional Development
Component 02a: Minor Irrigation Systems
Improvement
Component 03a: Agriculture & Horticulture
Component 03b: Animal Husbandry
Component 03c: Fishery
Component 03d: Foreshore Plantation
Component 03e: Agri-business & Marketing
Component 04: Project Management

278
278
278
281
281
282
283
283

1. Introduction
1.1. About the state
Andhra Pradesh is the fourth largest state in India in terms of geographical area of 27.44
million ha, i.e., 8.4 % of the countrys territory. It is the fifth largest in terms of population at
75.7 million (2001 Census). The state is bound in the north by Maharashtra and Chattisgarh
states, on the east by Bay of Bengal, on the north-east by Orissa state, on the west by
Karnataka state and on the south by Tamil Nadu state. It lies between the north latitudes of
12 14 and 19 54 and east longitudes of 76 50 and 84 50. The state is divided into 23
districts and three popular cultural regions of Coastal Andhra, Rayalaseema and Telengana.
The population of Andhra Pradesh was about 75.7 million in 2001, with a population density
of 272 per km2. The female population is about 37.4 million, which is slightly less than 50 %
of the total population, giving the state a sex ratio of 978 females per 1000 males. The state
witnessed a population growth of 24.2 % between 1981 and 1991, which reduced to 13.8 %
between 1991 and 2001. Off the total state population 20.5 (27 %) million lived in urban areas
in 2001 and 55.2 million (73 %) lived in rural areas, making the state population
predominantly rural.
In the rural areas of the state, in 1991 the main work force formed about 47 % of the total
rural population. Off the total main work force, 61 % were men and 39 % women. Among the
marginal workers, however, women constituted 93 % of the work force and men only 7 %. In
urban areas the main work force constituted about 30 % of the total urban population. Men
made up 82 % of this work force while the women constituted of only 18 %. However, among
the urban marginal workers women made up 80 % of the work force, while the men only 20
%.
Agriculture is the mainstay of the states economy and also the largest employment provider.
The total cropped area in the state is about 13 million ha, contributing about 34 % (Rs. 372
billion) to the net state domestic product (Rs. 1,105 billion)1. Out of the 29.9 million work
force in the State as much as 19.5 million (65 %) are occupied in agriculture.
Food crops occupy about 67 % (8.8 million ha) of the cultivated area of Andhra Pradesh. The
annual total food grain production in the State is about 13.7 million tones. The major food
crop is rice, which is cultivated in about 4 million ha with an average annual production of
about 10.6 million tones. The other principal crops are cotton, sugarcane, tobacco, onion and
chili. Horticulture and plantation crops occupy about 1.37 million ha (10.5 %), with an
average annual yield of more than 9.5 million tones. The other important agricultural
activities are dairying, poultry and fishery.
1.2. Agro-climatic features
The cropped area in Andhra Pradesh state is divided into seven distinct agro-climatic zones.
The classification mainly concentrates on the range of rainfall received, type and topography
of the soils. The seven agro-climatic zones are as follows:
Zones

Districts

Rainfall
(mm)

As per the 1999-2000 prices

Soil Type

Crops Grown

Paddy, Groundnut,
Jowar,
Bajra,
Tobacco,
Cotton
Chillies, Sugarcane
and Horticultural
crops
Paddy, Groundnut,
Mesta,
Jute,
Sunhemp,
Sesamum, Jowar,
Bajra, Black gram
&
Horticultural
crops
Paddy, Groundnut,
Cotton, Sugarcane,
Millets
and
Horticultural crops
Paddy,
Castor,
Jowar,
Maize,
Sugarcane,
Sunflower,
Turmeric, Pulses
and Chillies

800-1100

Deltaic Alluvium,
Red soils with clay,
BC
soils,
red
loams,
costal
sands, saline soils.

Srikakullam,
Vizainagaram,
Vishakapatnam & uplands of
East Godavari

1000-1100

Red soils with clay


base, pockets of
acidic soils, laterite
soils, soils with pH
4-5

Southern
Zone

Nellore, Chittoor, Southern Parts


of Prakasham and Cuddapah &
Eastern parts of Ananthapur

700-1000

Red loamy soils,


Shallow
to
Moderately deep

North
Telangana
Zone

Adilabad,
Karimnagar,
Nizamabad, Medak, (Northern
part) Warangal (Except N.W
Part) Eastern tips of Nalgonda
and Khammam

900-1500

Chalkas, Red sandy


soils,
Dubbas,
Deep Red loamy
soils and very deep
BC soils

700-900

Red
eaths with
loamy
subsoils
(Chalkas)

Paddy, Safflower,
Grapevine,
Sorghum, Millets,
Pulses, Sunflower
and Orchard crops

500-750

Red Earths with


loamy
soils
(Chalkas)
Red
sandy soils and BC
soils in pockets

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

1400

Hill
slopes,
Undulating
transported soils

Horticultural crops,
Millets,
Pulses,
Chilles, Turmeric
and Pepper

Krishna
Godavari
Zone

E. Godavari part, West Godavari


Krishna, Guntur, and Contigous
areas Khammam, Nalgonda,
Prakasham

North
Coastal
Zone

Southern
Telangana
Zone

Scarce
Rainfall
Zone

Hyderabad,
Ranga
Reddy,
Mahaboobnagar,(Except
Southern
border)
Nalgonda,(except North eastern
border) Medak (Southern parts)
Warangal (North Western part)
Kurnool,
Ananthapur,
Prakasham,
(Western
parts)
Cuddapah
(Northern
part),
Mahaboobnagar
(Southernborder)

High
Northern borders of Srikakullam,
Altitude &
Vizianagaram, Vishakapatnam,
Tribal
East Godavari and Khammam
Areas
Source: I&CAD Department, GoAP

1.3. Geographical distribution of tanks


Tanks are an essential feature of Andhra Pradesh, especially in the rural areas. There are
irrigation tanks, percolation tanks or general-purpose village ponds. They could be perennial,
long-seasonal or short-seasonal, based on the water retention period.
Historically, tank irrigation in Andhra Pradesh has played a vital role in the development of
its agricultural economy. Andhra Pradesh has the distinction of having large number of tanks
and the largest area irrigated under tanks in the country. These structures are very common in
the Deccan plateau and have survived over centuries providing water for irrigation and
domestic uses. The native rulers and the communities have ingeniously designed and
constructed these structures over the past several centuries. As a local ecosystems, the tank
systems consists of the water body, the tank structure, the feeder & supply channel and canal,
the well, the catchments area and the command area it irrigates. Other than this it also
includes the bio-mass produce and the local flora and fauna supported within the tank system
area.

According to the 2nd Minor Irrigation Census, there


are 79,953 irrigation tanks in Andhra Pradesh. Of
the data available for 73,604 tanks, the area covered
under the tanks is about 1,750,087 ha. The
irrigation provided by the tanks in the kharif and
rabi season during the year 2000-01 is illustrated in
the maps below.

Tanks in Andhra Pradesh


Type of Tank

No. of
Tanks
66,195

Command
(ha)
594,968

Tanks < 40
ha
11,277
1,155,119
Tanks > 40
ha
77,472
1,750,087
Total Tanks
Source: GoAP, 2006 JALAYAGNAM

Source: I&CAD Department, GoAP

The district wise distribution of tanks in the state is given in the table below.
Name of
District

Tanks > 40 ha
Tanks < 40 ha
Total
No. of Command (In ha)
No. of Command (In ha)
No. of
sources
sources
sources

Srikakulam
1026
64933
Vijayanagaram
1173
53253
Vishakhapatnam
389
67372
E. Godavari
332
53436
W. Godavari
254
37462
Krishna
284
41894
Guntur
83
10019
Prakasam
354
48338
Nellore
775
106372
Ananthapuram
445
48445
Chittoor
627
52898
Cuddapah
309
30841
Kurnool
163
26747
Mahaboobnagar
655
60456
Ranga Reddy
280
31647
Nalgonda
541
69034
Warangal
756
75482
Khammam
393
57870
Nizambad
325
34492
Medak
889
66348
Karimnagar
622
64977
Adilabad
602
52802
Total
11,277
1155118
Source: Calculated from GoAP, 2006 JALAYAGNAM

7638
8318
3111
1253
1054
663
213
551
984
2199
7395
1542
454
5374
2037
4076
3920
2097
2272
5174
4495
1375
66195

72451
63715
29501
15953
12716
10082
3737
7406
14708
21068
55285
13068
4785
41732
19242
32287
30253
21914
25078
41048
42583
16366
594978

8664
9491
3500
1585
1308
947
296
905
1759
2644
8022
1851
617
6029
2317
4617
4676
2490
2597
6063
5117
1977
77472

Command (In
ha)
137384
116968
96873
69389
50178
51976
13756
55744
121080
69513
108183
43909
31532
102188
50889
101321
105735
79784
59570
107396
107560
69168
1750096

1.4. Status of tanks


Tank, as an important source of irrigation, has lost its significance during the last two to three
decades. The proportion of area irrigated under tanks showed a significant decline from 39 %
in 1955 to 14 % in 2005. Most of the tanks in the State perform below their capacity level and
the gap between the irrigation potential created and actual irrigated area under tanks has been
reported at about 40 to 60 % depending upon the rainfall during a year.
The 2nd Minor Irrigation Census reported that at Status of tanks not in use in AP
the time of the census, 29,187 tanks were not in Status
No. of Tanks
24,170
use in the State, which is 36.4 % of the total Temporarily not in use
448
Abandoned
number of tanks. The reasons cited were
Dried up
2,384
siltation, weed infestation, closure of link /
Silted
982
feeder channels between chains of tanks, Other reasons
1,203
encroachment into tanks and cultivation in tank Total
29,187
beds, etc. This has happened as during the post- Source: GoI, 1993 2nd M. I. Census
Independence 5-year plans, more importance
was accorded to the major projects, with minimum attention to minor irrigation programmes.
Also the change to energized bore well irrigation, supported by electricity supply and
subsidized schemes, contributed to the neglect of tanks and all the functions they served.
In the process, area under tank irrigation has declined, which has adversely affected poor
people who are traditionally more depended on the tanks for their livelihoods. Though the
irrigation potential created through the tanks is estimated at 17 lakh ha, the actual area
irrigated is only about 6 - 8 lakh ha.
1.5. Reason for decline to tank irrigation
The fall in efficiency of the tank system could be due to one or more of the following reasons:
1. Decrease in inflows to the tank due to
i. Inadequate rainfall
ii. Up stream abstractions (watershed development and other water harvesting structures)
iii. Poor condition of feeder channel (including the pick up weirs / diversion works
wherever relevant)
2. Deterioration of physical system
i. Breach in bund
ii. Poor condition of the bund with unstable side slopes not to standards and non uniform
TBL
iii. Improper condition of surplus system needing repairs to the masonry structures such
as body wall, abutments, returns, wing walls, etc, along with apron, talus checking
retrogression if any
iv. Defunct or inadequate functioning of sluice because of absence of shutters, leakages
from shutter or masonry structure
v. Decrease in the storage of the tank due to silting, encroachments into the tank bed
3. Poor canal system
i. Improper shape of the main canal with disfigured cross sections and disturbed bed
slope
ii. Poor condition of cross masonry and cross drainage structures that increase the
distribution losses

iii. Improper maintenance of the field channels


4. Poor water use efficiency due
i. Mono cropping of water intensive crop like paddy
ii. Improper distribution and scheduling of water to cover the entire ayacut
5. Institutional deficiencies
i. Inadequate management structure and management capacity at CADA
ii. Inadequate performance of Water Users Association
iii. Sub-optimal management systems
iv. Diverse tank users and livelihood options
v. Lack of voice to poor in decision making on tank
The decline in tank irrigation is taking a serious turn and possesses threat to the agricultural
economy of the State. It is estimated that there is an economic return of about Rs 37,500 per
ha of area cultivated under minor irrigation per year. This amounts to a loss of about Rs 2,250
crores per year for the 6 lakh ha of land lost under tank irrigation. This loss is further
aggravated as these tanks also provide other vital uses like domestic and drinking water to the
poor people.
A comprehensive programme for restoration of tanks and revitalization of irrigation potential
under them in a decentralized manner through community involvement is the primary need of
the State now. This programme will bring about 4 lakh ha of land under irrigation by restoring
tanks of more than 40 ha ayacut, while converting the smaller ones into percolation tanks to
recharge ground water in ground water distressed area.
1.6. State strategy on tank management
To provide policy and statutory support for the promotion of participatory management of
irrigation, including tank irrigation, in the State, GoAP enacted the Andhra Pradesh Farmers
Management of Irrigation Systems Act of 1997. It is the first of its kind in the country and
seeks to bring about a paradigm shift in irrigation management. The Act contains broad
provisions relating to all types of irrigation schemes (major / medium / minor) specifying the
tiers of farmers organizations to be formed, procedure for their constitution and election of
Managing Committees, functions of the various farmers organizations, resources, etc.
The salient features of the APFMIS Act are:
1. Transfer of power for the management of state-owned assets to the farmers
2. Creation of new autonomous institutions (WUAs) as legal entities
3. Areas defined on a hydraulic basis
4. Equity achieved within the structure of a WUA by introducing the concept of territorial
constituencies
5. All land holders in possession of land in an irrigation system become WUA members with
voting rights
6. One member, one vote
7. Elections by secret ballot
8. Functional and administrative autonomy
9. Freedom to raise resources
10. Resolution of disputes and compounding of offenses
11. Simplified procedures for taking up works
12. Six-year tenure for Managing Committee members with one-third changing every two
years

13. Irrigation Department, as competent authority, is made fully accountable to the farmer
organizations
14. Right to recall an elected member after one year
15. Social audit and annual accounts audit
1.7. Community involvement in tank management

Farmers
(Any person using water for the purpose of irrigation and
paying water tax as recorded in the revenue records)

W U A
t h e
o f
B o d y

Territorial Constituency Members


(6 per WUA)

G e n e r a l

President

Managing Committee

The primary farmers organization for the minor irrigation tanks is the Water User
Association. A WUA is created by delineating the command area under a minor irrigation
tank system. All land holders (farmers and tenants) within the delineated area constitute the
members of the WUA. The area of a WUA is subdivided in order to equitably handle water
management, maintenance, and governance. These constitute the Territorial Constituencies
within a WUA, which are 6 in numbers. The elected representatives of these territorial
constituencies constitute the Managing Committee of a WUA. The managing committee
members in turn elect the WUA President from among themselves. The area covered by a
WUA ranges from 40 to 3,500 ha. A typical structure of a WUA is given in the figure below.

Elections to the WUAs are conducted through a democratic process of secret ballots under the
Andhra Pradesh Farmers Management of Irrigation Systems Act 1997. Detailed rules have
been notified under the Act for the delineation, notification and functioning of the WUA.
The process of formation of a WUA entails the following steps:
1. The area proposed to be constituted into a WUA is delineated by the irrigation agency,
under an irrigation project either in full or in part depending on the irrigation system. In
the case of a minor irrigation tank, the area could be as low as 40 ha to a maximum of
2000 ha. While delineating natural and administrative boundaries are preserved as far as
possible. Delineation is done on a hydraulic basis.
2. The District Collector of the District in which the WUA is located notifies the proposed
WUA in the District Gazette and calls for objections. After hearing the objections a final
notification is made in the District Gazette and the WUA is constituted. Along with the
WUA a Competent Authority to the WUA is notified by law. The competent authority

provides technical advice to the WUA and assists in the technical supervision of the works
undertaken by the WUA.
3. The Commissioner CADA is the authority who notifies the process of election to the
WUA. The District Collector of the District concerned issues the election notification. The
process of election starts with the following sub processes:
i.
All the members of a WUA who use water and pay water tax as recorded in the
revenue records and who are 18 years and above are the voters of a WUA. Each
member has a vote regardless of the extent of his or her land holdings. The electoral
rolls are prepared Territorial Constituency wise and listed against each survey number.
The voters list is then issued Territorial Constituencies wise.
ii.
The District Collector issues a schedule for calling for nominations of interested
candidates for the post of member of the Territorial Constituencies. A time frame for
the scrutiny and withdrawal of nominations is specified in the election schedule and a
final list of contesting candidates is put up on the notice board.
iii.
The elections are conducted immediately. Each voter casts his/her vote. The candidate
securing the maximum number of votes is declared the winner. In some cases the
elections may be unanimous. The consensus candidate is then declared as the winner.
The winner is handed over the election certificate. For minor irrigation WUAs, the
entire election process i.e., from receiving nominations to election of MC members,
President and Vice President is accomplished within one day.
iv.
Where a dispute arises in the election of a member, the aggrieved could redress in the
District Civil Court as an election dispute. All the District Civil Courts have been
designated as the election tribunals for the purpose of the election disputes.
v.
The WUA notifies a place as its office and the work begins for a period of six years the tenure of the WUA. However, every two years the term of one third of the
members expires, who are then replaced through elections. The term of the President
and Vice President is also for two years.
4. Each WUA has a separate bank account. The President and a member are the signatories
to the Bank Account.
The primary roles and responsibilities of the WUA as designated in the APFMIS Act are as
follows:
1. To prepare and implement a warabandi schedule for each irrigation season, consistent
with the operational plan, based upon the entitlement area, soil and cropping pattern.
2. To prepare a plan for the maintenance of irrigation system in the area of its operation at
the end of each crop season and carry out the maintenance work of feeder channels and
field drains in its area of operation with the funds of the association from time to time.
3. To regulate the use of water among the various pipe outlets under its area of operation
according to the warabandi schedule of the system.
4. To promote economy in the use of water allocated.
5. To assist the Revenue Department in the preparation of demand and collection of water
rates.
6. To monitor flow of water for irrigation.
7. To resolve the disputes, if any, between the members and water users in the area of
operation.
8. To raise resources.
9. To maintain records and to cause annual audit of its accounts.
10. To encourage avenue plantation on canal bunds and tank bunds by leasing such bunds.
11. To conduct regular water budgeting and also to conduct periodical social audit, as may be
prescribed.

12. To encourage modernization of agriculture in its area of operation.


13. To maintain the feeder channels of minor irrigation tanks by the respective WUAs in the
manner prescribed.
To fund the activities of the WUA the GoAP has notified aportion of the water charge
collection that would be shared among the various concerned organizations in the operation
and maintenance (O&M) of the tank.

Water Tax (INR / Acre)


Share in Tax Collection
Water User Association
Gram Panchayat

Minor Irrigation Tanks


In INR
%
100.00
100
90.00
10.00

90
10

1.8. Groundwater and tank


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

Figure 1

In Andhra Pradesh, close to the global trend, groundwater is predominantly developed by


individuals, albeit some indirect interventions by the government. The first intervention came

in late 1970s when the Ground Water Department and the Central Ground Water Board
started making exploratory-cum-production bore-wells and tube-wells to demonstrate the
technology and understand the basic fabric of aquifers, especially the hard-rocks. Irrigation
wells were designated as successful if their yields were more than 150 lpm and drinking water
wells were categorized as successful if their yields were more than 60 lpm. Also in the 1970s,
under drinking water sector, the Panchayat Raj Department got sophisticated drilling
equipment under UNESCO programmes and drilled large number of wells to meet the
drinking water requirements. The second intervention, supported by the government came in
the form of service area banking system, which took National and then the Grameena banks to
very remote areas and these banks gave liberal loans for making bore-wells and for pumping
equipment. Bore-wells proliferated with this support and in 1980 there were 10 lakh wells
with 90% of them dug wells irrigating 12 lakh hectares. Now there are 22 lakh wells in the
state irrigating about 26 lakh hectares of which 70% (16 lakh) are bore wells (table below).
However, spacing norms were ignored in this with large number of closely spaced clusters of
wells that lhas ed to fall in their yields over a period of time.
Growth of wells and area irrigated under groundwater
Year

Dug wells lakh

Bore wells
lakh

Area irrigated under


Wells lakh ha

1971-72

6.90

1.13

8.03

1980-81

9.33

1.90

11.24

1990-91

13.67

3.94

17.61

2000-01

11.55

15.33

26.92

2004-05

8.78

16.01

24.79

Tanks, in general, have a significant impact on the groundwater resources in their influence
zone including the command area. The magnitude of the impact on groundwater potential
depends largely on the volume of the water stored in the tanks for a given period. The
recharge varies from tank to tank depending upon the geology, geo-morphology, tank design,
storage capacity etc. Utilization patterns and user profiles are also not uniform in all
circumstances and are location and region specific. Some tanks, either by design or because of
their location in a specific hydro-geological setting do not show their influence on the aquifer
system in the immediate vicinity.
The bore well users in the command and influence zones of the tanks would in fact, in a
sense, be using the surface water storage drawn through aquifers thus forming an important
stakeholders in a tanks project. The overall efficiency of the tank system therefore depends on
the utilization of groundwater resource both in command and influence zone of the tank
necessitating the groundwater management in that given unit.
Tank systems are managed by the Water Users Associations (WUAs) supported by the
concerned departments. The definition of water Users as per the APFMIS Act does not
explicitly include the groundwater users. Moreover, the groundwater use is also not part of the
tank management within the command. However, groundwater on the whole, within the tank
system occupies an important place in influencing the tank based livelihoods.
In this context, it is necessary to adopt an integrated approach for surface and groundwater
management at tank as well as a hydrological unit level.

1.9. GoI pilot on renovation and rehabilitation


To restore minor irrigation tanks in the state the I&CAD Department, GoAP is implementing
a pilot project called Repair, Renovate and Restoration of Water Bodies Directly Linked to
Agriculture (RRR Project). The project is funded by the GoI and covers 261 tanks in 2
districts of the state (Mahaboobnagar 224 and Ananthpur 37). The objectives of the pilot
project are:
1. To restore and augment storage capacities of water bodies
2. To recover and extend their lost irrigation potential
The project is focusing on four major outputs to achieve its objectives. These are:
1

Managerial

Social Issues

Productivity
Enhancement

Water Management

Tax collection
Regular WUA meetings
WUA records maintenance
Auditing of WUA accounts
Community taking up for entry point activities Shramadan, desilting,
etc
Identification of best practitioners (change agents) and para-workers
Promotion of ID crops and SRI paddy
Adoption of organic pesticide management practices
Soil sample analysis
Farmers Field Schools
Warabandi and water sharing
Adoption of new technology in water management - drip and
sprinklers
Water audit and crop planning
Social regulation of ground water

1.10. GoI National Framework for design of project


The meeting of the State Secretaries of Irrigation and Water Resources held on 4 and 5
October 2005 at New Delhi discussed the issue of revival of existing irrigation tanks as part of
the Bharat Nirman Programme. It was suggested to prepare a National Framework for posing
a project for assistance to the World Bank. Accordingly, the Ministry of Water Resources GoI
has issued a National Framework for Renovation of Water Bodies In India2. The National
Framework lays down the intended objectives, institutional arrangement, types of
interventions, implementation phases and the funding modalities for the project.
The objective of the project will be:
To create additional irrigation capacity by restoring the lost irrigation command of water
bodies including treatment of catchments system through a micro basin approach. This will
also include extension of irrigation command through water use efficiency.
The key design principles of the project will be:
1. Sustainability of the restored systems through community participation and empowerment
facilitated by NGO / other agency to have self-supporting groups at the level of water
body
2. To create enabling legal and institutional environment to implement the solutions
emerging out of participatory and demand driven processes
2

th

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

10

3. To promote and enhance livelihood options


4. Community contribution to be made compulsory. The suggested extent is about 10 % of
the total project cost out of which 5 % may be kind and the remaining in cash.
5. Although the project will benefit the farmers more, it will include the whole tank user
community involving other users
The project will include capacity building and training to secure the objective and translate
the key design principles into action along with the physical restoration of the tank system
and promotion of agricultural development as its primary interventions.
The project will include only water bodies having irrigation command above 20 ha.
Restoration of water bodies of command less than 20 ha will be taken up through other central
or state schemes like employment guarantee scheme etc.
The state level agency responsible for implementation of the project will be a PMU with the
facility to function in a flexible manner, called a Special Purpose Vehicle. It will be the
responsibility of the state level agency to plan the activities and monitor them. It will also
provide the coordination functions with other agencies and manage the interface with the
World Bank. It will be responsible for recruiting and monitoring the NGOs, multi disciplinary
teams and arranging for capacity building and training, etc. The state level agency may have
district level and sub-district level agencies. These will report to the state level agency.
NGO or any other suitable agency will be employed as facilitating teams to ensure
community mobilization. They will help the community to think through the issues and focus
on choices available. They will make them aware of their role and responsibility including for
community contribution. They will facilitate the institutional strengthening of the WUAs.
The key to the sustainability of the project will be meaningful participation by the community
in design and implementation of the project and in accepting full responsibility for future
O&M of the tank system. It is, therefore, necessary that there is government commitment to
transfer tank management to the WUAs through suitably designed MOUs, which are legally
supported. The roles and responsibilities of WUA will be delineated in the Memorandum of
Understanding (MoU), which will be signed between them and the project agency. While
routine O&M and some rehabilitation can be done by WUA, major repair works will be done
by government or the Panchayat depending on who owns the water body. The WUAs will
also have to be empowered to levy and collect water charges and treat the revenue that may
accrue from the water charges and increased livelihood options, say, like from fisheries and so
on, as WUA funds for O&M purposes.
The project will have a clear phasing of the activities based on the processes involved. The
phases could be pre planning, planning, implementation and consolidation. Community
organization will be the precursor for physical infrastructure improvement in view of the IMT
envisaged. Pre planning and planning will include community organization and facilitating
community in preparing the micro plan that includes net planning, water audit, crop plan and
water distribution plan. Implementation phase will also include communitys role in execution
(based on the financial limit of works for tendering), monitoring and supervision.
Consolidation phase will emphasis on hand holding of community based institutions and
building their capacities to take over the O&M.

11

GoI will assist the state governments in the preparation of projects. The framework and the
principles recommended will have to be converted into project development framework in a
much more detailed manner. This will be achieved by creating a Mission Directorate at the
Ministry of Water Resources (MOWR) with funding support in order that the Mission
Directorate can effectively play its role. The MoWR will also centrally monitor the project
and ensure experience sharing, learning and dissemination. In the event of a state taking a
World Bank loan the entire assistance will be a loan burden to the state government. In view
of this and the fact that there is a definite role envisaged for GoI in the project, GOI will give
a grant of at least 25 % of the project cost to the states.
The unit cost (Rupees / ha) of restoration of water bodies of command size 40-100 ha will be
Rs. 50,000 and of command size 100-501 ha will be Rs. 40,000. This will include 10 % for
capacity building.
1.11. Related Bank projects
The related World Bank funded projects in the state are:
1. Andhra Pradesh II
2. Andhra Pradesh III
3. Andhra Pradesh Economic Restructuring Project
4. National Hydrology Project I
5. National Hydrology Project II
6. Andhra Pradesh Community Forest Management Project
7. Andhra Pradesh District Poverty Initiative Project
8. Andhra Pradesh Rural Poverty Reduction Project

12

2. About the Project


2.1. Project description
Objectives
Selected tank based producers improve agricultural productivity and water user associations
manage tank system effectively.
The four components of the project are:
1. Strengthening community based institutions to assume responsibility for tank system
improvement and management including development of human resources, formation and /
or strengthening of local institutions for tank improvement and management and development
of mechanisms whereby the needs of traditionally vulnerable stakeholders can be addressed.
2. Tank systems improvement including physical investments in tank systems with
command area of 40 ha and above. The actual rehabilitation work required would be
determined for each system individually with an upfront Tank Improvement and Management
Plan (TIMP) prepared in consultation with tank users prior to undertaking any investments. In
general, investments are likely to address deficiencies in feeder channels, tank bed and
structures and the water distribution and drainage systems.
3. Agricultural livelihoods support services including promotion of farmer interest groups,
agricultural research and extension, support through public agencies and private service
providers as appropriate and facilitation of credit and market linkages for agricultural
producers / growers (including fisheries and livestock products).
4. Project Management activities under this component would help ensure effective project
management at the state and district levels, information and logistic support, communications,
project related consultancies and concurrent monitoring and evaluation.
Scope of the project
The project will carry out rehabilitation of a maximum of 3000 tank systems in the following
batches:
Sl. No.
1
2
3

Batch No.
1
2
3
Total

No. of Tank Systems


500
1000
1500
3000

Project area
The project will be implemented in 499 Mandals of 22 districts of Andhra Pradesh.
Strategy for decentralization and convergence with other programmers of Government
The project will adopt a Results Based Management Strategy (see figure below) for
decentralization of its planning, implementation and monitoring processes. Results Based

13

Management is defined as a broad management strategy aimed at achieving important


changes in the way organizations operate, with improving performance (achieving better
results) as the central orientation. A key component of results based management is
performance measurement, which is the process of objectively measuring how well an
organization is meeting its stated goals or objectives. It typically involves several phases: e.g.,
articulating and agreeing on objectives, selecting indicators and setting targets, monitoring
performance (collecting data on results), and analyzing and reporting those results vis--vis
the targets. While performance measurement is concerned more narrowly with the production
and supply of performance data, performance management is broader. It is equally concerned
with generating management demand for performance information, i.e., with its uses in
management decision-making processes and with establishing various organizational
mechanisms and incentives that actively encourages its use. In an effective performance
management system, achieving results and continuous improvement based on performance
information is central to the management process.

The key stages of results based management strategy are:


1. Identifying clear and measurable objectives (results), aided by logical frameworks
2. Selecting indicators that will be used to measure progress towards each objective
3. Setting explicit targets for each indicator, used to judge performance
4. Developing performance monitoring systems to regularly collect data on actual results
5. Reviewing, analyzing and reporting actual results vis--vis the targets
6. Integrating evaluations to provide complementary performance information not readily
available from performance monitoring systems
7. Using performance information for internal management accountability, learning and
decision making processes, and also for external performance reporting to stakeholders
and partners
Thus, integrating complementary information from both evaluation and performance
monitoring systems and ensuring management's use of this information are critical aspects of
results based management.

14

Other critical components associated with results based management strategy that reinforce or
facilitate the use of performance information are:
1 Accountability: instituting new mechanisms for holding organization staff and units
accountable for achieving results at appropriate levels
2 Decentralization: delegating authority to the organizational level accountable for results,
and empowering them with flexibility to shift resources to better performing activities
3 Client focus: consulting with beneficiary groups concerning their preferences and
satisfaction with goods and services provided, and being responsive to their needs
4 Participation and partnership: involving partners and stakeholders in all aspects of
performance measurement and management processes, and seeking greater harmonization
of efforts
5 Reformed operational policies and procedures: instituting new policy and procedural
directives aimed at changing the way the organization conducts its business
6 Supportive mechanisms: assisting organization staff to effectively implement performance
measurement and management in various ways, such as providing training, technical
assistance, performance information databases, guidebooks, tips and best practices series
7 Cultural change: equally important for successful results based management is
transforming the organizational culture, that is, the values, attitudes and behaviors of its
personnel
The steps in defining the result based management strategy for the project are as follows:
1. Agreement on and initiation of the strategic management process
2. Identification and clarification of the organizations mission, objectives, and current
strategies
3. Identification of the organizations internal strengths and weaknesses
4. Assessment of the threats and opportunities from the external environment
5. Identification of key constituents / stakeholders and their expectations
6. Identification of the key strategic issues confronting the organization
7. Design / analysis / selection of strategy alternatives and options to manage issues
identified in step 6
8. Implementation of the strategy
9. Monitoring and review of the strategys performance
The primary level of convergence of the project with other on-going government development
programmes and schemes will be the District Level Implementation Committee. At the time
of preparation of the TIMP itself, such a convergence plan will be prepared for each tank
system. This will be submitted to the DLIC for approval. Since all the relevant line
department district heads are members of the DLIC, an approval of the convergence plan in
the DLIC will indicate willingness of the respective departments in implementation of the
convergence plan. The District Collector, as the DLIC chairperson will monitor and review
the implementation of the convergence plan approved by the DLIC.
To facilitate implementation of convergence of the project with on-going government
programmes and schemes the Project Steering Committee, with the Chief Secretary as the
Chairperson, will have the powers to issue orders and rules, as required.

15

2.2. Tank selection process


There are about 11,277 minor irrigation tanks in Andhra Pradesh. The performance of these
tanks is largely dependent on the rainfall during a particular year. However the deviations in
terms of area irrigated to the designed are noticed from tank to tank. These deviations are for
the reasons of physical status of the tank infrastructure or hydrology of the geo-hydrological
unit in which they are located. It is therefore essential to assess the chances of improvement of
performance of the tank as a result of interventions of the project. The pattern of irrigation
from different sources like major projects, medium irrigation projects or ground water
fluctuates between extremities. There are about 78 mandals where the only source of
irrigation is through the major and medium irrigation projects. 198 mandals are identified
where the ground water based irrigation accounts for 97% or more area of the total area
irrigated. In such a scenario, the principal selection criteria for the tanks is to choose those
mandals where tank irrigation is the predominant form of irrigation and surface water yield is
favourable to justify the investment on tank restoration. The criteria take into account the
hydrological parameters, community willingness and tank status. The selection process is
divided into three stages for prioritizing the mandals and the tanks.
District profiling
The districts are sequenced on the basis of
predominance of tank irrigation vis--vis the total
irrigated area on the basis of performance during
the years 1989-91. 3 This prioritization assists in
identifying the districts that would require
intensive project interventions. The project will
be initiated in districts with prioritized mandals
that would be selected on criteria defined in the
next stage of selection.
Mandal selection
The next stage of selection involves identification
of mandals in three batches according to
predominance of irrigation by minor irrigation
tanks:
more than 75 %
50 to 75 %
35 to 50 %
Details of tank selection are provided in
Component 2a.
2.3. Project approach and strategy
Defining tank system and its stakeholders
A tank is a water body, which gets water collected
from the catchment and stored in it. The tank consists of the catchment area from which the
3

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

16

tank received water inflows, an earthen bund to store the water, surplus system to let off
excess flows safely, sluices to release water for irrigation and tank bed to cover the water
spread when the tank is full. The canal system comprises main canal to carry water for
irrigation of required discharge and field channels that bring water to the farmers field. Minor
irrigation source which is above 40 hectares will be considered for project.
As awareness about the project develops among the villagers, social mapping of the villages
will be carried out to identify the various social and economic groups among them. During the
process the various stakeholders of the tank will be identified by listing out all the ways in
which the villagers are using the tank and the household in each user category. This will be
recording on the social maps. Once all the tank stakeholders have been identified a Detailed
Internal Interest Analysis Matrix will be prepared of all the tank stakeholders.
In general the WUA will having two types of stakeholders i.e. direct stakeholders and indirect
stakeholders
1. Direct stakeholders
Ayacutdars (command area farmers)
Fishermen
2. Indirect stakeholders
Washer men
Livestock keepers
Ground water users
Community participation
The project will adopt a participatory implementation strategy. It is envisaged that the strategy
will create a conducive environment for stakeholders to take part collaboratively to:
Decide and articulate on what is needed
Decide on directions, priorities, responsibilities and performance levels
Develop interventions to achieve the agreed objectives
The objectives of the participatory strategy will be to:
1. Supporting and strengthening the capabilities of local people and their institutions
2. Enable people and their institutions to establish working relationships with related
organizations
3. Enhance the sustainability of the project interventions
4. Enabling local level planning, implementation, monitoring and evaluation
5. Creating a suitable environment for better use of capacities of people and resources
available at the community level for sustainable local development
The basic principles of the participation strategy will be:
1. Mutual Respect: All people must be accepted as they are with their strengths and
weaknesses
2. Active Involvement: A prerequisite to participation is active involvement of all and
participation must be continue from planning through evaluation
3. Agree to Disagree: Participation requires an implicit and explicit understanding to agree
and disagree and to accept the common interest above personal interests
4. Building Consensus: Collective responsibility for decisions made
5. Commitment to Action: Collective commitment to action on the basis of agreed upon
decisions and plans
17

Community will participate in the project primarily through the institution of the Water Users
Association.
Tank based livelihood management
Andhra Pradesh has 73% of population living in rural areas and employed mainly in
agricultural activities. An estimated 21.6 percent of the population lives below the poverty
line. In the state marginal (less than 1 ha) and small farmers (1-2 ha) own about 83 % of the
total holdings but own only 46 % of the total land, semi-medium farmers (2-4 ha) own 12.34
% of landholdings, medium farmers (4-10 ha) own 4.34 % of landholdings and large farmers
(greater than 10 ha) own 0.57 % of the total land holdings. Irrigated agriculture provides an
important means to raise incomes and living standards for many farmers, especially the poor
and marginal ones with smallholdings.
Minor Irrigation tanks contribute to 14 % of the state irrigation. The gamut of minor irrigation
tanks comprises minor irrigation tanks (>40 ha ayacut), Panchayat Raj Tanks (<40 ha ayacut).
The traditional tank systems have provided insulation to the people living in fragile rain-fed
areas in this part of the country. Even so, the farmers in rain-fed tanks who are predominantly
marginal and small farmers are highly vulnerable to the vagaries of monsoon. Consequently,
these tanks need to be conserved at any cost to provide a safety net to the livelihood of the
millions who depend on them.
The multiple and diverse uses of tanks to the villagers need to be considered as part of
community centered planning. This is essential to keep up the interests of the local people to
maintain and manage them efficiently. Currently, the fishermen community, livestock owners
are not considered as primary stakeholders. Just as increasing concern with basin management
has shown the need to look more closely at water productivity, not just land productivity,
"more crop per drop," concern for irrigation as a tool for alleviating poverty points out the
importance of "more jobs per drop." Harvests from forests, fisheries, and farm fields are the
primary source of income for the rural poor. These are yet to be effectively tapped.
Experience indicates that water resources management is effective and sustainable only when
it is linked to livelihoods wherein all sections of local community are brought together with a
shared sense of purpose and ownership.
Tank, as an important source of irrigation, has lost its significance during the last three or four
decades as most of the tanks in the state perform below their capacity level and the gap
between the irrigation potential created and actual irrigated area under tanks has been reported
at about 40 to 60 percent depending upon the rainfall during a year. The local communities in
many cases have shifted from tank based agriculture to ground water based agriculture as an
emerging alternative. Moreover, it is also seen that the return from agriculture at state level
has remained stagnated over a period of time due to fluctuations in rainfall, sub-optimal
functioning of physical infrastructure and lack of changes / adoption on newer land use
patterns and agronomic practices.
The primary focus of the project activities is not only to restore the gap ayacut through tank
systems improvement but also to improve the production and economic returns from tank
based livelihoods. The I &CAD Department undertook a study of tank based livelihoods,
which brought forth a range of tank based livelihoods and changes in livelihoods adopted by
WUA members based on water availability. The study indicated that farmers practice multiple

18

livelihood options based on available natural resources and these need to be utilized
effectively for improvement. The inference derived from a number of studies and interactions
with extension workers, professionals and academicians indicate the need and importance of
interventions to improve productivity of crops as well as maximize returns by reducing gaps
in demand-supply chain. There is a specific need for focusing interventions on effective
demonstrations to farmers, to disseminate technology and facilitate its adoption, create
awareness on quality standards, organize farmers and promote collective sale and purchase of
inputs and produce so as to improve returns. Market led extension is the newest approach,
which needs to be adopted for improving the economic returns to farmers and other tank
users.
2.4. Project financing
Extent of World Bank finance
The World Bank will finance the project to the extent of 75 % of the total cost as a loan.
GoI cost share
The Government of India will finance the project to the extent of 25 % of the total cost as a
grant.
Community share
The community will contribute to the extent of 10 % of the total cost of civil works. It will be
5 % in cash and 5 % in kind.

19

3. Project Component 1: Strengthening Community Based Institutions


3.1. Over all objective, design principles, benefits
Strengthening community based institutions to assume responsibility for tank system
improvement and management including development of human resources, formation and /
or strengthening of local institutions for tank improvement and management and development
of mechanisms whereby the needs of traditionally vulnerable stakeholders can be addressed.
3.2. Description of component, sub-component and activities
Awareness Generation on Project
The process of strengthening of community based institutions will start with awareness
generation about the project in the tank system area villages. Village level meetings will be
organized in each of the tank area villages. At least a weeks notice about the meeting will be
given 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
the future operation and maintenance of the tank system. A number of meetings will be
organized in each tank area village, besides the awareness generation process, including
Kalajatha, wall writings, audio-visual shows, etc.
Identification of All Tank Stakeholders
As awareness about the project develops among the villagers, social mapping of the villages
will be carried out to identify the various social and economic groups among them. During the
process the 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. Once
all the tank stakeholders have been identified a Detailed Internal Interest Analysis Matrix will
be prepared of all the tank stakeholders.
Assessment of WUA preparedness and willingness
To analyze the preparedness and willingness of the WUA to participate in the project an
assessment of the WUA will be carried out on the following aspects:
1. Organizational & financial environment
2. Planning environment
3. Peoples participation
Signing of MoU between WUA and 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 will be agreed upon and signed between the WUA and the District Project
Director (DPD - Executive Engineer), which will delineate the commitments and the
mandates of the two parties towards each other. This will include the willingness of both the
WUA and DPD to take the roles and responsibilities specified below:

20

Roles and Responsibilities of WUA:


1. mobilize community contribution for the project from among the tank users at the rate of
10 percent of the total civil works (5 percent in cash and 5 percent in kind). The 5 %
contribution in cash will be deposited in the WUA O&M Account for future O&M
activities
2. prepare a Tank Improvement and Management Plan to carry out restoration and revival of
the tank system
3. supervise and actively participate the TIMP implementation
4. 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
5. 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 tank bed if required)
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
6. distribute water among all the tank users equitably
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 agricultural plans for each irrigation season
9. arbitrate and resolve any disputes over distribution of water among the tank users
10. prevent future encroachment and protect tank system
11. maintain execution of works and supervise the quality
12. open and operate two bank accounts in any Nationalized Bank
i.
O&M Account: for depositing water charges collected, O&M funds, 5 %
contribution towards share of the WUA in rehabilitation of the tank. This account
will be operated jointly by WUA President and Vice President, on behalf of the
WUA Managing Committee
ii.
Works Account: for the purpose of rehabilitation works taken up by the WUA
under the project. This account is to be operated jointly by WUA President (on
behalf of the WUA Managing Committee) and the project technical staff (DPU
staff co-opted into the works sub-committee)
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 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

21

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
(For the text of the MoU see Annex 1.)
Data collection for preparing Tank Improvement and Management Plan (TIMP) PRA
/ Technical Surveys
After signing of the MoU between the WUA and the DPD the process for TIMP preparation
will start. This will begin with a Participatory Rural Appraisal of the tank area villages. PRA
will be carried out over a period of 5 days schedule using the following tools:
Day
Day 1
Day 2

PRA Tools
Resource Mapping / Transect
Production System & Livelihoods Mapping

Day 3

Institutional Mapping / Infrastructure, Service


Availability & Mobility Mapping

Day 4

Time Line / Seasonality Chart / Trend Analysis of


Groundwater based Irrigation

Day 5

Problem Tree / Problem Identification / Problem


Prioritization / Identification of interventions

Output of the Tool


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

Problem identification and prioritization will lead to the identification of the root problems of
the tank system and the effect of this on the tank users. This will be done through construction
of a Problem Tree of the core problem of tank system deterioration. The construction of a
Problem Tree will result in list out the causes and effects of the tank system deterioration.
Once the causes and effects have been listed, they will be converted into objective statements
based on which the required interventions will be identified. The interventions so identified
by the tank system stakeholders can not be changed by the project staff without the approval
of the WUA. The identified interventions will be segregated into the following categories:
1. Civil Works
2. Land / Water Resources Management Activities
3. Production / Livelihood Activities
4. Social / Environmental Management Activities
5. Institutional / Management Aspects
6. Trainings
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

22

4. Credit financing
During this time the assessment based on the Social and Environmental Management
Framework will also be carried out and interventions related to it identified.
Preparation of Work Designs and Cost Estimates
After identification of the interventions 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. During the same time the cost estimate and implementation plan for
the other interventions will be prepared by the other relevant project staff in association with
the Works Sub-Committee and other members of the WUA.
With respect to interventions to be implemented through convergence / linkages with ongoing 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
Panchatay for consideration through its co-opted Gram Panchayat members. The WUA Gram
Panchayat members will represent the WUAs interest in the Gram Panchayat meeting and
will follow up on inclusion of these interventions into the Gram Panchayat NREGP plan.
Preparation of TIMP Document
After the design, cost estimates and the implementation plan for all the interventions have
been prepared, it will be compiled into the TIMP document. The TIMP document will be
prepared in a log frame format and with GANTT charts, designs and estimates and cost tables.
It will also include a brief profile of the tank system area and the tank stakeholders.
Consultation and Endorsement of TIMP by WUA General Body
Once the draft TIMP document is ready it will be presented to the WUA General Body for
discussion and approval. The General Body meeting of the WUA will be organized within a
fortnight of the preparation of the draft TIMP document. During this intervening period the
SO in-charge of the WUA will discuss and clarify all queries of the WUA members related to
the implementation plan, designs and cost estimates. Based on the discussions, any required
modification of the TIMP will be carried out. After the final TIMP has been agreed upon, the
extent of the community contribution and its collection strategy and schedule will be agreed
upon.
Once the TIMP has been agreed upon and finalized, a General Body meeting of the WUA will
be held to pass a resolution approving and adopting the TIMP. The WUA Managing
Committee will then fill up the TIMP Implementation Agreement. The WUA Managing
Committee will prepare two copies of the approved TIMP and the Agreement and submit
them to the DPU for approval. On receiving DPU approval, one copy of the TIMP and
Agreement will be kept with the WUA for its records and one copy will be kept with the
DPU. The DPU will compile all the TIMPs prepared in one project phase in the District
Action Plan and submit it to the District Level Implementation Committee (DLIC) for
approval.

23

3.3. Implementation of TIMP


The WUA will operate two bank accounts. In account 1 (the O&M Account) the beneficiary
contribution (the cash component) and the water charges collected from the WUA members
will be deposited. This account will be operated jointly by the President and the VicePresident of the WUA. In account 2 (the Works Account) the project funds for the works and
the livelihoods funds will be deposited. This account will be jointly operated by the President
of the WUA and the project technical staff deputed to the WUA.
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 DPU 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 WUA will be developed for this. The remaining works will be listed
separately for implementation through the tendering process.
The Managing Committee of WUA will co-opt the technical staff (AE / AEE) into the Works
Sub-Committee for technical guidance and capacity building of the members during execution
of works. The sub-committee will obtain technical sanction for all the works as per the
departmental norms and entrust works that can handled by WUA to the WUA.
An advance up to 40 % of the cost of the work will be provided, if required, in installments to
WUA to be deposited in the works account through a Letter of Credit by the District Project
Director for WUA to start work. Transfer of funds to the Works Account, however, is subject
to full and proper training of the concerned WUA members in maintaining books of accounts
and on verification of the capacity of the WUA in maintaining them by the DPU. 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 DLIC 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 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 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 DPU for release of payments to the Contractor through the District Project
Director.

24

All the works executed and records will be subject to independent third party quality control
as per the agreement with the DPU apart from the regular quality control.
The lists of works to be taken up will be given wide publicity by means of display in the
office of the WUA or other public institutions within the 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 a display 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.
3.4. Maintenance of Records & Book Keeping
WUA will operate the following two accounts which will be audited as required by the
government as per the rules:
1. O&M Account: The WUA has to operate an account in any Nationalized Bank for
depositing water charges collected, O&M funds, 5 % contribution towards share of the
WUA in rehabilitation of the tank. This account will be operated jointly by WUA
President and Vice President, on behalf of the WUA Managing Committee.
2. Works Account: The WUA has to operate another account in a Nationalized Bank for the
purpose of rehabilitation works taken up by the WUA under the project. This account is to
be operated jointly by WUA President (on behalf of the WUA Managing Committee) and
the project technical staff (DPU staff co-opted into the works sub-committee).
The WUA will maintain the following accounts and registers separately for each account.
Each record will bear the name, address and the seal of the WUA and will be machine
numbered.
1. Cash Book
2. Bill Register
3. Contingent Register
4. Anamath Register (Day Book)
5. Receipt Book
6. Cheque Register
The project technical staff of the WUA will also ensure that each WUA maintains the
following records, other than those specifically mentioned in the APFMIS Act and rules:
1. An up-to-date copy of the Act / Rules / Directions and orders of Commissioner /
Government
2. Maps showing:
i. The boundaries of the tank system and jurisdiction of the WUA
ii. Water conveyance system within the boundaries of the WUA jurisdiction
iii. The localized / notified ayacut
iv. The areas under irrigation not falling within notified ayacut
3. Registers:
i. Property Register and Records
Inventory Register
Register of vacant lands and building
Register of income on Miscellaneous property
Register of Machinery
ii.
Membership Register
iii.
Canal gauge Register

25

iv.

v.
vi.

Sanctions Register
Register of Administrative and Technical sanctions and payments
Special fee and tax collection Register
Minutes Register
General Body
Managing Committee
Sub committees

3.5. Capacity Building & Training


To achieve the objectives of institutional strengthening of the WUAs would require enhancing
the capacities of all direct stakeholders of the project from the WUA members up to the state
level staff of the PMU. Accordingly, the general training plan developed for all the project
stakeholders are as follows:
1. Training of WUA Members
i.
Participatory Irrigation Management & WUA
ii.
Role and Responsibilities of WUA
iii.
Group norms, group revitalization and conflict resolution
iv.
Preparation and implementation of WUA annual action plan
v.
Water charge estimation and collection
vi.
Water audit and crop planning
vii.
Water distribution and sharing
viii.
Community based monitoring of WUA activities
2. Training of WUA Managing Committee Members
i.
Participatory Rural Appraisal
ii.
Preparation of TIMP
iii.
Preparation of WUA procurement strategy and plan
iv.
Supervision of civil works
v.
Participatory Irrigation Management & WUA
vi.
Roles and responsibilities of WUA
vii.
Roles and responsibilities of WUA Managing Committee members
viii.
Maintenance of WUA records books and accounts
ix.
Group norms, group revitalization and conflict resolution
x.
Preparation and implementation of WUA annual action plan
xi.
Water charge estimation and collection
xii.
Planning and implementation of O&M of the irrigation system
xiii.
Resource mobilization
xiv.
Water audit and crop planning
xv.
Water distribution and sharing
xvi.
Community based monitoring of WUA activities
3. Training of WUA Sub-Committee Members
i.
Roles and responsibilities of WUA
ii.
Roles and responsibilities of WUA sub-committee
iii.
Maintenance of WUA records books and accounts
iv.
Preparation and implementation of WUA annual action plan
v.
Water charge estimation and collection
vi.
Planning and implementation of O&M of the irrigation system

26

vii.
viii.
ix.
x.

Resource mobilization
Water audit and crop planning
Water distribution and sharing
Community based monitoring of WUA activities

4. Training on WUA Sustainability


i.
Refresher Training for WUA Managing Committee
ii.
Refresher Training for WUA Sub Committees
iii.
Refresher Training for WUA Para workers
5. Training of WUA Para Workers
i.
Community Organization
ii.
WUA Management
iii.
Water Management
iv.
Livestock Management
v.
Agriculture Development
vi.
Groundwater Management
6. Training of Project Support Organization Staff
i.
Project objectives and strategy
ii.
Project management and implementation process
iii.
Preparation of TIMP
iv.
Preparation of WUA procurement strategy and plan
v.
Supervision of civil works
vi.
Participatory monitoring
vii.
Participatory Irrigation Management and Participatory Hydrological Monitoring
viii.
Roles and responsibilities of WUA, WUA Managing Committee and WUA subcommittee
ix.
Preparation and implementation of WUA annual action plan
7. Training of District Project Unit Staff
i.
Project objectives and strategy
ii.
Project management and implementation process
iii.
Preparation of TIMP
iv.
Preparation of WUA procurement strategy and plan
v.
Supervision of civil works
vi.
Participatory monitoring
vii.
Participatory Irrigation Management and Participatory Hydrological Monitoring
viii.
Roles and responsibilities of WUA, WUA Managing Committee and WUA subcommittee
ix.
Maintenance of WUA records books and accounts
x.
Group norms, group revitalization and conflict resolution
xi.
Preparation and implementation of WUA annual action plan
xii.
Water charge estimation and collection
xiii.
Planning and implementation of O&M of the irrigation system
xiv.
Water audit and crop planning
xv.
Water distribution and sharing
xvi.
Community based monitoring of WUA activities
8. Training of Project Management Unit Staff

27

i.
ii.
iii.
iv.
v.
vi.
vii.
viii.
ix.
x.
xi.
xii.
xiii.
xiv.

Project objectives and strategy


Project management and implementation process
Preparation of TIMP
Preparation of WUA procurement strategy and plan
Supervision of civil works
Participatory monitoring
Organization development and strategic planning
Project planning, project strategy and project management
Project implementation, co-ordination and monitoring
Performance management and monitoring
Capacity building strategy, planning and monitoring
Resource planning and procurement
Data analysis and learning
Documentation and dissemination

(For details on capacity building objectives and strategy see Component 4 section on capacity
building)
3.6. Implementation arrangement
Tank Cluster Level Implementation Arrangement
At the tank cluster level a Support Organization (SO) will facilitate community mobilization
and participation. Each SO will be assigned at least one cluster of tanks consisting of 5 to 10
tanks.
The DPU will be responsible for identification and selection of the SO in a district. The
selection procedure for the SO is provided in Component 4. Based on the selection procedure
SOs will be empanelled in a district. The DPU will contract SOs, as required, when tanks are
taken up for rehabilitation in a district. At the time of contracting the SOs will be provided
with the ToR for the SOs, based on which they will prepare their implementation plan and
schedule.
The expected outputs of the SO are:
1. Effective mobilization of all tank stakeholders to participate in the activities of the
Water Users Association
2. Capacity developed of the Water Users Association in effectively performing their
roles in:
i.
Collection of water charges
ii.
O&M of tank system
iii.
Water audit and water sharing (surface water and groundwater wherever
planned)
iv.
Promoting agricultural growth and tank based livelihoods
v.
Resource mobilization and management
3. Effective participation of the Water Users Association in planning, implementation
and monitoring of the project activities
The specific tasks to be performed by the SOs in the various stages of the project are:

28

Sl.
No.

Activity

Pre-Planning Stage (2 Months)


1
Social Mapping & identify all tank
stakeholders (and groundwater users) in tank
system area and influence zone
2
Project sensitization and awareness among
the tank stakeholders
3
Involve village level functionaries of line
departments / PRI department
4
Organize tank based consultation with all
stakeholders
5
Assessment of WUA readiness for
contribution
towards
restoration
&
rehabilitation of tank
6
Prepare Resettlement Action (RAP)
7
Agree on draft MoU between WUA & DPU
8
Sign of MoU between WUA & DPU
9
Maintenance of books and accounts by WUA
Planning Stage (4 Months)
10
Implement RAP
11a
Collect required data through Participatory
Rural Appraisal*
11b
Survey of technical aspects of tank,
catchments area & command area / tank
influence zone
12
Provide initial training to WUA members on
TIMP preparation
13
Constitute four sub committees (on Works,
Finance,
M&E
and
Training,Water
Management) of WUA
14
Provide training to all sub committee
members on their roles and functions and
responsibilities
15
Mobilize groundwater users into groundwater
user groups and affiliate them to WUA
16
Awareness generation among groundwater
user groups about project groundwater
interventions
17
Prepare TIMP
(i) Design, estimate of Civil works
(ii) Training Plan
(iii) Livelihoods Plan
(iv) Compilation of TIMP Document
18
Ratify TIMP in WUA GB meeting
19
Identify activities for Gram Panchayat
implementation and submit the list to the GP
20
Open WUA bank account for contribution
(separate from WUA account)
21
Mobilize cash contributions
22
Appraisal of TIMP by DPU
23
Include TIMP in District Plan for DLIC
Approval
24
Sign Agreement on TIMP implementation
between WUA and DPU
25
Prepare procurement plan for materials &

SO Staff Tasks
Community
Organizer

Agriculture
Water
Management

&

Work Inspector

X
X
X

X
X
X

X
X

X
X
x
X

x
X

x
X
X

X
X

29

manpower for works by WUA


Prepare tender documents for works to be
tendered
27
Maintenance of documents, books and
accounts
Implementation (18 Months)
26

Public display of project information on wall


/ notice board
29
Implement civil works by WUA, and other
TIMP activities
30
Implement civil works by contractors
31
Supervise both type of works
32
Quality
assurances
through
agreed
mechanism and reporting
33
Work completion report
34
Organize trainings for WUA
35
Implement
participatory
hydrological
monitoring
36
Crop-water budgeting & crop planning for
groundwater based irrigation in tank
influence zone
37
Promote water efficient technologies in
groundwater based irrigation
38
Institutional strengthening of groundwater
user groups
39
Mobilize formation of common interest
groups for agri-business promotion
40
Implement livelihoods/agri-business plans
etc.
41
Strengthen linkages with departments,
commercial banks and private sector
42
Maintain documents, books and accounts
43
Participatory monitoring at village level
Post Implementation (6 Months & onwards)
44
Assess WUA for refresher trainings
45
Refresher Training for WUA
46
Update seasonal O&M strategy, plans and
estimates
47
Operationalize O&M plan
48
Maintenance of O&M fund
49
Maintenance of documents, books and
accounts
50
Preparation of project completion report on
agreed format
51
Monitoring at WUA performance every 6
months

Implementation
(18 Months)

28

X
X
X
X
X
X
X
X
X

X
X
X

X
X
X

X
X

X
X
X

To perform these tasks the SO will depute the following staff for each cluster of tanks:
1. Community Organizer
2. Work Inspector
3. Agriculture & Water Management Staff
Tank level implementation arrangement
At the tank level the project implementation will be the responsibility of the Water Users
Association. The tasks to be performed by the WUA are:

30

1. mobilize community contribution for the project from among the tank users at the rate
of 10 percent of the total civil works (5 percent in cash and 5 percent in kind). The 5
% contribution in cash will be deposited in the WUA O&M Account for future O&M
activities
2. prepare a Tank Improvement and Management Plan to carry out restoration and
revival of the tank system
3. supervise and actively participate the TIMP implementation
4. 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
5. 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 tank bed if required)
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
6. distribute water among all the tank users equitably
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 agricultural plans for each irrigation season
9. arbitrate and resolve any disputes over distribution of water among the tank users
10. prevent future encroachment and protect tank system
11. maintain execution of works and supervise the quality
12. open and operate two bank accounts in any Nationalized Bank
i.
O&M Account: for depositing water charges collected, O&M funds, 5 %
contribution towards share of the WUA in rehabilitation of the tank. This account
will be operated jointly by WUA President and Vice President, on behalf of the
WUA Managing Committee
ii.
Works Account: for the purpose of rehabilitation works taken up by the WUA
under the project. This account is to be operated jointly by WUA President (on
behalf of the WUA Managing Committee) and the project technical staff (DPU
staff co-opted into the works sub-committee)
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
To assist a WUA in performing its roles and responsibilities, each WUA will have a few paraworkers linked to it. These para-workers will be educated person from the WUA area
identified by the respective WUAs and trained by the project to perform specific tasks.
Nominally, there will be a para-worker for institutional development, agriculture development
and livelihood promotion and water management with each WUA. The para-workers will be
paid a month honourium by the project through the WUA. The project will cover the full

31

amount of the honourium of the para-workers for the first year and only a partial amount for
the next year. The remaining amount will have to be borne by the WUA. From year 3
onwards, the para-workers will work on the basis of payment of service charge by the WUA
or the member who utilize their services.
Organogram for implementation arrangement for Component 1: Strengthening of community
based institutions is given in Annex 2
3.7. Monitoring
Institution building along with the infrastructure development is the prime focus of the
Project. The former includes the capacity building of WUAs and its functionaries in the
overall management. It includes institution management, system management (O&M), water
management and corpus management. The WUAs are expected to take over regular O&M as
defined in the Act and mobilize resources from various sources, with major portion coming
from water charges collection. Against this backdrop it is essential that WUA becomes an
active partner in the overall process. Participatory Monitoring is thus proposed as an
instrument for facilitating active participation of WUAs in the overall process and continuing
the same beyond the project with enhanced capacities.
The inputs provided in the project and the outputs achieved against them are monitored
through an input output monitoring linked to MIS. The participatory M&L also gets linked to
the outputs part of the MIS providing a prominent space to the WUAs in the monitoring
framework. The WUA functionaries comprising Managing Committee members, Sub
committee members and other users will participate in the M&L activities. Transparency,
performance assessment and lesson learning are important aspects of participatory M&L.
1. WUA Self rating: WUA functionaries are required to perform different roles both on day
to day basis and periodically. The functions are related to institution management, system
management (O&M), water management and corpus management. The functions to be
performed by different WUA functionaries are broadly defined in the APFMIS Act. The
project through specific interventions targets the institutional strengthening that also
requires specific roles to be performed by the WUA functionaries. Self rating enables the
WUAs to assess their own performance vis--vis the functions related to the aforesaid
areas. Self rating is designed keeping in view the simplicity in understanding, analyzing
and awarding suitable marks by the WUA functionaries and other water users to their
performance. Some parameters are identified on which the performance is rated as per the
marks fixed. Each sub parameter is further broken up into statements leading to
measurable outcomes. Once the rating is completed, parameter wise grading can be made
like A+, A, B+, B and C. Self rating will be carried out on a quarterly basis.
2. Participatory Assessment and Cross learning: Institution strengthening is expected to
result in the active participation of WUA functionaries in the project in all the stages of
the projects, namely, pre planning, planning, implementation and post implementation.
There are defined roles of WUA in this process enunciated in the project. 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 utilization of the resource and systems O&M. Livelihood component brings in new
dimensions to the project with the active involvement of different tank users. Capacity

32

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. The exercise
enables the WUAs understand the implementation of the project with focus on the WUAs
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 Tank Improvement and Management Plan
(TIMP). It also therefore throws light on understanding different interventions proposed
under livelihood component in different tank systems. A simple tool of Quantified
Participatory Assessment (QPA) will be used to enable WUAs to carry out the exercise.
The Quantified Participatory Assessment facilitates the understanding on critical issues of
implementation by providing graded answers with marks allocated to each answer. WUA
members will be encouraged to understand the status, discuss on issues and processes
adopted and award marks accordingly to each item. It is proposed to undertake pre-testing
of QPA tool during the initial period. Appropriate refinements will be done on the basis of
results of pre-testing.
In order to improve cross learning and share experiences WUA from one tank will be
involved in evaluating performance of other WUAs on an annual basis. It will help them
to learn about the methodologies and processes adopted by other WUAs working in
similar situations as well as presenting themselves to the other WUAs. The monitoring
tool is thus expected to result in exchange of ideas among the WUA functionaries while
promoting constructive competition among them.
(For details on monitoring schedule and implementation arrangements see the Monitoring &
Evaluation section)

33

Annex 1
Memorandum of Understanding between WUA and District Project Director
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 Community Based
Tank Management Project
This MOU is signed between ____________________________________ WUA of
_________________ minor irrigation project situated in _______________________
(village) __________________ (Mandal) ________________ (District) (further referred
to as the WUA in the MoU) and the _________________ District Project Director of
Andhra Pradesh Community Based Tank Management Project (further referred to as the
DPD in the MoU) on this ---_______(Day) of_______(Month) _________(Year).
Both the parties have desired to put in writing the contents of the MoU as follows:
1. 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, 1997. 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, 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, I&CAD Department is implementing the Andhra Pradesh Community
Based Tank Management Project under which the 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 I&CAD Department in understanding and establishing the roles and
responsibilities of the respective parties in undertaking improvement of the tank system
under the Andhra Pradesh Community Based Tank Management Project and for future
management.

34

2. 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 % contribution in cash will be deposited in the WUA O&M Account for
future O&M activities
2. prepare a Tank Improvement and Management Plan to carry out restoration and
revival of the tank system
3. supervise and actively participate the TIMP implementation
4. 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
5. 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 tank bed if required)
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
6. distribute water among all the tank users equitably
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 agricultural plans for each irrigation season
9. arbitrate and resolve any disputes over distribution of water among the tank users
10. prevent future encroachment and protect tank system
11. maintain execution of works and supervise the quality
12. open and operate two bank accounts in any Nationalized Bank
i.
O&M Account: for depositing water charges collected, O&M funds, 5 %
contribution towards share of the WUA in rehabilitation of the tank. This
account will be operated jointly by WUA President and Vice President, on
behalf of the WUA Managing Committee
ii.
Works Account: for the purpose of rehabilitation works taken up by the WUA
under the project. This account is to be operated jointly by WUA President
(on behalf of the WUA Managing Committee) and the project technical staff
(DPU staff co-opted into the works sub-committee)
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

35

3. Role and responsibilities of District Project Director (DPD):


It is agreed that 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
5. provide resources to carry out repairs of the tank system for damages caused by
natural calamities, subsequent to restoration
4. 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 Irrigation and CAD Department, GoAP
related to the Act and the Project Implementation Plan of the Andhra Pradesh
Community Based Tank Management Project.
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 resolve the dispute, it
shall be referred to the District Collector and his 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.
5. 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

District Project Director

36

President WUA

Executive Engineer

Witness 1

Witness 2

Signed this day, the _____/______/_________ (dd / mm / yyyy).

37

Annex 2. Organogram for Component 1 : Strengthening of community


based institutions implementation arrangement
DLIC
Review Performance

DPU
Co-ordination / Supervision /
Monitoring

Co-ordination /
Supervision / Monitorin
Facilitating /
Training /
Monitoring

SO

PW-TA/RP

S O Staff

Specialized Training
/ Monitoring

CO

WI
Facilitating / Training
/ Monitoring

PW-CO

PW-WM

PW-CO

PW-WM

W U A - Staff

WUA

WUA

Unit of 5 to 10 Tanks / WUAs

DLIC: District Level Implementation Committee


D P U: District Project Unit
DPU working Space
P W - T A / R P: Para Worker - Training Agency / Resource Person
P W - T A / R P Working Space
S O: Support Organization
S O Working Space
C O : Community Organizer
W I: Work Inspector (Diploma in Civil Engineering)
W U A: Water Users Association
W U A Working Space
P W - C O: Para Worker - Community Organization
P W - W M: Para Worker - Water Management 38

4. Project Component 2: Tank Systems Improvements


4.1. Improvements of Minor Irrigation ranks
4.1.1. Objectives
The objectives of this component is to improve irrigation service delivery; increase
productivity in irrigation agriculture and increase income to farmers in the command
areas of tanks to be rehabilitated under the project through
effective participation of water users associations
identifying deficiencies in the tanks systems
rehabilitating the tank system to acceptable construction quality
increase water use efficiency
increase cost recovery through the collection of water charges
ensure satisfactory maintenance and management in a sustainable manner
4.1.2. Activities under the component
The project will support participatory rehabilitation of 3000 minor irrigation tanks
covering about 2,50,000 ha spread over all the three regions of the state of Andhra
Pradesh. The WUAs will contribute 10 % of the cost of rehabilitation of the tank systems
under their operational areas as beneficiary contribution. 5 % will be collected upfront in
cash to be kept separately in the WUA O&M Account as reserve fund for future
maintenance of the tank system and which can be withdrawn only 1 year after completion
of the project. The remaining 5 % will be collected either in cash or kind or a
combination of both during implementation. An agreement will be reached between the
WUAs and the Government of Andhra Pradesh to this effect before a tank is selected for
rehabilitation.
The other activities will include:
enhancing safety of tanks of +10 m height selected for rehabilitation
tank foreshore plantations in about 600 tanks covering about 6000 ha of plantations
supplement ground water studies and disseminate the technical information to the
farmers in and around all the 3000 tanks under the project for optimal exploitation of
ground water through appropriate conjunctive use within and around the command
areas
consultancy services for upgrading tank memoirs to improve the database of the
minor irrigation tanks in Andhra Pradesh
4.1.3. Approach and design principles
Tank improvement under the project, is not limited to the improvement of physical
infrastructure alone. It involves water management and participatory monitoring to
improve the efficiency of the system. Consequently, the project does not view a tank
system as a stand alone unit for intervention, but considers it as an integrated hydrologic
unit to assess the surface and groundwater resources for informed decision making. This
39

calls for well defined design principles interwoven with community participation,
collective action, regional planning and integrated resource management. This ultimately
has to result in effective Participatory Irrigation Management in each of the tank systems.
The following paragraphs provide the approach that the project proposes to adopt for
realizing the aforementioned objectives.
Revival and restoration: The project proposes complete revival and restoration of the
selected tanks. Design of the component hence taken into consideration the learning from
some of the previous programmes wherein only minimum rehabilitation was taken up
that resulted in partial impact. The interventions thereby proposed are for improved
inflows and storage and distribution network of the tank system. Adopting such a
methodical approach will allow for arrival at appropriate tank restoration activities.
Willingness of Community: Willingness of community is a prerequisite to the entire
process of tank restoration. This will involve four stages, viz, pre planning, planning,
implementation and post implementation. Willingness of WUA to participate in the
process and collect contribution of 10 % of rehabilitation costs from the command area
farmers is an important feature of the project to ensure effective management of the tank
post restoration.
Participatory planning and TIMP: Tank Improvement and Management Plan will be
developed adopting a rigorous participatory process. Identification of relevant activities
for infrastructure improvement through active community participation will be an
important aspect of TIMP preparation. Prioritization of activities will be done by the
community with technical facilitation provided by the department and project staff.
Participatory Hydrological Monitoring:
The project has identified participatory
hydrological monitoring as an important measure to ensure appropriate crop planning and
water management to maximize benefits to the farmers. This involves installation of
necessary equipment for surface water monitoring and building the capacities of
communities in assessing and analyzing the same.
4.1.4. Selection criteria for tanks
The first level of tank selection will be selection of sub-basins / mandals where the
project will be located. In this priority will be given to sub-basins / mandals where tank
irrigation constituted the predominant form of irrigation in 1991. Using this criteria, 369
mandals (133 mandals with >75 % irrigation by tank +236 mandals with >50 % irrigation
by tank) covering 21 district have been identified for tanks to be taken up in Batches 1
and 2 (Annex 1). As per data available, these mandals contain about 4,800 tanks. All
these tanks will be subject to the the second stage selection criteria (see below) for
identification of the final list of tanks for rehabilitation under the project. In batch 3 the
project would be extended to 130 additional mandals where greater than 35 % area was
irrigated by tank in 1991.

40

The second level of selection criteria relates to selection of individual tanks to be


rehabilitated. This is a combination of technical and self selection criteria that include:
1. Hydrological assessment to determine the hydrological viability of rehabilitation
of the tank system with 75 % dependability
2. Community willingness by way of WUA signing a Memorandum of
Understanding (MOU) specifying:
i. Beneficiary contribution of 10 % of the cost of rehabilitation (5 % upfront
in cash + 5 % in kind during implementation)
ii. WUA undertaking responsibility for operation, maintenance &
management of the tank system post rehabilitation
iii. WUA undertaking responsibility to assist Revenue Department in
collection of water charges
3. Technical parameters:
Exclude tanks in which land acquisition will be involved
Exclude tanks in which major repairs and rehabilitation works have been
taken up during last 5 years
Exclude new tanks completed within last 5 years under any programme
Exclude Major Irrigation system tanks
No head works to be taken up in super standard tanks (where top width of the
bund is more than 5 m and revetment thickness is more than 0.6 m).
Components such as weir, sluice and distribution system will be allowed in
such tanks
Revision of hydraulic standards will not be allowed in the revival / restoration
estimates
Gap ayacut in the tank should be more than 25 %
No tank should be included under the project which is going to be influenced
by any other schemes being undertaken / contemplated by the government
Priority to be given to bigger tanks having ayacut between 1000 5000 acres
followed by the tanks with ayacut below 1000 acres
4.1.5. Hydrological assessment
It is proposed to revive and restore only those tanks that satisfy the hydrological criteria
defined for the project. This constitutes assessment of the available inflows into the tank
due to the changing conditions in the catchment, rainfall and other hydrological
parameters. AP State Remote Sensing Application Centre (APSRAC), a government
agency with the Principal Secretary, Planning as the Chairperson, has developed a simple
protocol for the hydrological assessment of the tanks. The protocol has been developed
and tested on 100 batch 1 tanks and is proposed to be used for the selection of the
remaining project tanks.
The protocol is developed in MS-Access for estimation of available surface water yield
(Runoff) for a selected tank using Soil Conservation Service (SCS) method, which is
based on weighted curve numbers derived from catchment area characteristics like soil
and land use / land cover, rainfall and utilized yield in the catchment.. The queries are
built based on daily rainfall (mm) and antecedent five days rainfall for all years of the

41

rain gauge stations in and around the selected tank catchment. These queries will be
administered sequentially to run through the protocol. Different queries built into the
sequence are as follows:
Antecedent Moisture Condition (AMC)
Curve Number
Potential Maximum Retention
Runoff (daily, monthly, seasonal, yearly)
Rainy days above threshold (monthly, yearly)
Total yield for total catchment area
Balance yield after interceptions
4.1.6. Dam safety
A detailed appraisal was carried out for 14 minor irrigation tanks in 6 districts of the state
covering the three regions of Coastal Andhra, Rayalaseema and Telangana. The
appraisal, after making broad assessment on the physical condition of various
components of the tank system, prepared broad technical guidelines including
construction procedures and critical equipment required for preparation of estimates. It
also suggested that technical inputs from the Central Design Organization (CDO) / Dam
Safety Panel would be necessary for tank bunds of height more than 10 m as these
structures are prone to technical deficiencies in various components, particularly in
bunds, surplus weirs and surplus course. The appraisal therefore suggested constituting a
Dam Safety Panel for each of the three regions in order to meet dam safety requirements
for tank bunds above 10 m height. The Panel will issue guidelines to the field engineers
on the remedial measures to be taken for implementation of rehabilitation of these tanks.
Also any other tank reporting such critical problems will be inspected by the Dam Safety
Panel to suggest measures to ensure the safety of the structure.
As a follow up, Dam Safety Panels have been constituted in the three regions of the State,
viz, Coastal Andhra, Rayalaseema and Telangana.
The Chief Engineer, (CDO) and Dam Safety Panel, in consultation with Chief Engineer,
(MI), will finalize the dam safety plan for the project. Remedial measures will be
undertaken accordingly.
4.1.7. Project interventions
Tank structures
The tank structures comprise of (i) bund (ii) sluices (iii) weirs (surplus sing
arrangements) (iv) surplus course (v) feeder channels.
Bund
Proposed to be brought to its original T.B.L, Top Width, Slopes, are as per hydraulic
standards and compacted to 95 to 98 % Proctors density duly benching for connectivity
with old bund and to the proposed profile.

42

The proposals are to be firmed up through detailed surveys by taking levels of (1)
longitudinal section of the bund at intervals depending upon the configuration of top
bund profile; (2) cross sections of the bund for every 2 to 3 metric chains depending upon
the intensity of the damages occurred on the slopes of bund.
The present hydraulic standards of the bund will not be changed except in a few cases as
per the exigencies. The Top Witdh, wherever below 1.8 m, is to be revised to a maximum
of 3 m depending upon the contingency with due justification.
Jungle Clearance: The shrubs and other vegetation on the bund and its slopes are to be
removed clear up to 15 cm girth stems so that any seepages, settlements can be monitored
in case of exigencies of floods and full reservoir storages.
Revetment work is to be attended in cases of:
Where the present revetment level is below the TBL as per the hydraulic standards,
the gap is to be riveted with new revetment
Where there are slips of revetment, these loose revetment stones are to be repacked to
the u/s slopes as per hydraulic standards
Where settlement of revetment is observed, the settled portion of the revetment is to
be removed and the earthen bank below is to be examined for any presence of piping,
leakages or excessive moisture. On ascertaining, earthwork compaction is to be
ensured. Revetment is to be made up (redone) over a filter material as per
specifications
Sluices
The sluices are to be checked for leakages. If there are excessive leakages, the bund is to
be cut open to a reasonable width with slopes of 3H : 1V and proper benching and after
attending to (i) repairs of the pointing to masonry of sluice barrels; or (ii) total
reconstruction in case of unsafe sluice, the earth filling is to be taken up with proper
compaction and revetment is to be redone.
In case of leakages through sluice shutters, same is to be replaced. The anchorages like
gearbox and Screw Gearing Rod are to be replaced in case they are non-functional.
Weirs
Reconstruction of weirs, pointing to weir is to be proposed wherever necessary
Masonry disturbed is to be redone
Leakages through foundations are to be attended by proposing skin concrete walls up
stream of weirs
The weir length may also have to be increased depending upon necessity to
accommodate the maximum flood discharge as per the discharges arrived by rational
formulae
Surplus course

43

Surplus course is to be checked for erosion to see that no retrogression spreads to the
foundation of the weirs. As per necessity, check dams below the weir are to be proposed
with proper width to make the weir functional in effective manner.
Feeder Channels
Feeder channels are to be checked for the carrying capacities and the section brought
to the designed section for realizing the designed supplementary inflows into the tank
Silt removal in the feeder canal, repairs to cross drainage and cross masonry works
are to be undertaken to keep the feeder channel effectively operational
Wherever the canal banks are below the standards, it is to be brought to Top Bund
Level (TBL) with proper compaction
The regulator of feeder channel, pick up anicut are to be ensured for diverting the
required supplies into the tank through the feeder canal
Command area
The command area under every tank is covered by irrigation channels or a distributory
system network depending upon the size of the command under a tank. The irrigation
channel at entry and at control outlet points should have a cut throat measuring devices to
measure the discharge in the canal at various depths and at full supply depth. This would
entail the correct position of water in the canal, whether the users are getting their
required rightful share of water or not.
The irrigation canals are to be maintained to its section to realize its carrying capacity.
Likewise all the cross drainage and cross masonry works are to be revived to their
operable conditions. Revetment, masonry lining or C.C. lining is to be adopted wherever
canal is vulnerable to losses. The irrigation channels are to be made free of weeds,
vegetation and silt.
4.1.8. Technical manual
The Technical Manual for project implementation has been prepared by Chief Engineer,
Minor Irrigation in two volumes cover mainly:
Background and geographical features of Andhra Pradesh
Common problems in tanks and remedial measures
Standard specifications of rehabilitation works
Guidelines on engineering design, construction and control adopted for APERP (MR)
Guidelines on technical specification, construction procedure and article equipment
for preparation of cost estimates
The Technical Manual will be communicated to field engineers for guidance.
4.1.9. Implementation arrangements
State level implementation Arrangement

44

The CADA will form a Project Management Unit (PMU as a Special Purpose Vehicle),
which will be headed by the State Project Director with a rank of Commissioner, CADA
to implement the project.
The PMU will consist of five subject specific units (Technical, Institutional
Development, Agri-Business, Monitoring & Learning and Andhra Pradesh Information &
Resource Centre) and two administrative units.
The existing Chief Engineer, Minor Irrigation will be incharge for technical inputs to the
Technical Unit of the PMU. A new Renovation & Restoration Unit will be established
with a Superintendent Engineer, 2 Executive Engineers, 4 Deputy Executive Engineers
and 12 Assistant Executive Engineers / Assistant Engineers. The engineering staff of the
R & R Unit will be on deputation from the Irrigation Department and will be dedicated
solely to implementation of the project.
District level implementation arrangement
The project at the district level will be reviewed by a District Level implementation
Committee with the District Collector as the Chairperson.
In each project district, CADA will establish a District Project Unit (DPU). The DPU will
be headed by a District Project Director in the rank of an Executive Engineer. The DPU
will be supported by four subject specific units (Technical (Regular Division setup),
Institutional Development, Agri-Business and Monitoring & Learning] and a Finance
unit.
Tank / WUA level implementation arrangement
At the tank level, Water Users Association (WUA) will prepare a Tank Improvement
Management Plan (TIMP) with the assistance of the project Support Organization (SO)
and the DPU staff. Who are the field level engineering staff in the I & CAD and
responsible for the WUAs as per the said act, and district level Engineering support
consultant, after having a joint walk through survey of the respective tank systems. TIMP
will include detailed cost estimates of the interventions that would be carried out for tank
systems improvement. TIMP will be duly approved by the general Body of the WUAs as
well as by the DPU.
For actual implementation of the work it is envisaged that the WUAs will be entrusted
with the works, which do not require technical skill and can be implemented through the
local labour. These broadly includes jungle clearance, de-weeding, de-silting and other
earth works such as ruts filling, filling of rain gullies on the tank bund, etc. All other
works will be carried out by NCB tendering. It will be made clear in the NCB documents
as to what items would be carried out by the WUAs as part of their 5 % contribution and
what would be carried out by the contractor. The quality of works will be closely
monitored by the technical unit of the DPU in association with district level support
engineering consultants. The day-to-day inspection will be carried out by the WUA
works sub-committee and Work Inspector with the SO. In addition, there will also be a
third party quality assurance monitoring. For NCB contracts, payments will be released

45

after the DPD and the WUA authorized representative sign in an agreed format for
release of funds.
Technical consultancy
To ensure that the rehabilitation works are to acceptable construction quality, it is
necessary to engage well qualified and experienced persons as technical consultants at the
district level for continuous monitoring and quality control of the rehabilitation works.
The technical consultants will be associated with the rehabilitation works at all stages i.e.
from joint walkthrough for identifying the deficiencies in the tank system to the
completion of rehabilitation works.
It is proposed to hire consultants in each district, who would be retired Superintending
Engineer or Executive Engineer and are well experienced in the field of construction of
minor irrigation tanks. These consultants will be in position for 8 months of the year,
excluding the 4 months of non-working season and will work in close association with
the District Project Director at the district level and with the WUAs at the field level.
They will send their monthly monitoring reports in the prescribed formats to the
concerned District Project Director, who will forward copies to the Superintending
Engineer (MI), Chief Engineer (MI) and the PMU.
Hiring of contractual staff in DPU: these staff will bridge the gap of technical staff
required and presently available in the technical unit of the DPU and will be working
under the dedicated divisions headed by the Executive Engineers.
Implementation arrangements of civil works
APSRAC
Agency for Quality check

PMU

DLIC

Contractors
Hired Consultants for
civil works

DPU

SO

WUA

46

4.1.10. Costing of tank improvement system


A detailed appraisal of 14 minor irrigation tanks in 3 regions of the State was carried out
during the formulation of the project. During the appraisal cost analysis inclusive of
hydrological analysis was done for these tanks. The analysis arrived at an average cost
per hectare of Rs. 23,000. Consequently, a sealing of Rs, 25,000 is proposed for an
individual tank for tank improvement related works under the project.
4.1.11. Quality assurance
The project will carry out concurrent quality control monitoring of the tank improvement
works through the Quality Control Sub-division of the Department, exclusively meant for
quality assurance. It is also proposed to procure quality control laboratory equipment to
strengthen the district level Quality Control Laboratories under the project. In addition,
an external consultancy services will be hired for third part quality assurance monitoring.
The agency will deploy mobile quality control labs for in-situ testing of soil compaction,
material testing for cement concrete, coarse/fine aggregates, etc.
4.1.12. Quality control manual
The Quality Control Manual has been prepared by Chief Engineer, Minor Irrigation for
use in rehabilitation works carried out under the project. The main chapters covered are:
Tests to be performed on materials
Frequency of testing
Important specifications for minor irrigation rehabilitation works
Irrigation channels
Field tests
Formats of test results
O.K. cards
The Quality Control Manual will be communicated to field engineers for guidance.
4.1.13. Creation of minor irrigation data base for Andhra Pradesh
There is no consolidated information available for the 12,000 minor irrigation tanks in the
State. Information is available in different details and at different levels, which needs to
be consolidated into a database. It is proposed to create a minor irrigation datebase for
detailed planning, not only for this project but for future initiatives as well. As part of
this, consultants will be hired for collection, consolidation and creation of database in the
formats developed in consultation with the Chief Engineer, Minor Irrigation.
4.1.14. Post project sustainability strategy
Even after full revival and restoration of the tanks, there will be a need to carry out
regular operation and maintenance works on them to ensure that they remain in their

47

restored condition in the future. To ensure this a standard operation and maintenance
strategy will need to be devised for the tanks. The components of the standard operation
and maintenance strategy for the tanks are:
Bund
(i)
Ruts formed on the bund are to be filled with gravel and top of bund is to be at
flat slope to down stream side slope to see that rain water does not percolate in to
bund Once a year
(ii)
Jungle clearance on top and either slopes of bund is to be done to ensure safety of
tank. Maintaining the earth bund, free of Jungle is the most essential and critical
aspect of M.I. tank. An arrangement for at least once a month Jungle shrub
clearance would ensure this Once a month
(iii) The drain should be free from silt and shrub jungle Once a year
(iv)
Rock toe should be maintained to its section Once a year Sluice
(i)
The tank sluice shutter should be operable
(ii)
Check for the gear box condition, screw gear rod for smooth movement.
Greasing of S.G. Rod and Gear box are to be ensured. In case of any rectification
of Gear box, the same attended to
(iii) Pointing to head wall and pial walls of sluices to be undertaken in case of any
disturbed pointing Weir
(i)
Disturbed pointing to the weir is to be attended
(ii)
Any damage in masonry disturbed to the weir is to be plugged by redoing it with
fresh masonry/concrete Surplus Course
(i)
Check walls / dams on surplus course are to be safe guarded by attending to
pointing, disturbed aprons, and masonry etc., including jungle clearance Irrigation
Channels
(i)
Breaches in the Irrigation canal embankments are to be promptly closed with
proper compaction and revetment
(ii)
Embankments of Irrigation channels are to be maintained to their T.B.L to avoid
overtopping and breaches
(iii) De-silting in Irrigation canals must be taken up before the commencement of
season Feeder Channels
(i)
The feeder channel silt removal must be on a regular basis. Weeds removal and
jungle clearance are to be taken up to see that the feeder canal which is designed
only with a definite number of flood days will be functional and carrying capacity
ensured.
In case of flood damages, all the components of tanks which get badly damaged will need
to be promptly repaired and reconstructed to its original hydraulic standards. During
rainy season / floods, the WUA must undertake vigilance on the vulnerable points of the
tank bund. They must also assess the condition of the smaller tanks up stream well before
the commencement of monsoon to avoid sudden breaches resulting into heavy inflows
into tank.
This would be facilitated by regular plough back of the water charges collected to the
WUA as O&M funds.

48

Annex 1
List of Mandals (133) in Batch 01
Sl.no
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
29
30
31
32
33
34
35
36
37
38

Mandal name
Rajam
Gangavarisigadam
Laveru
Ranastalam
Bhamini
Kotturu
Hiramandalam
Sarubujjili
Saravakota
Pathapatnam
Meilaputti
Tekkali
Nandigam
Vajrapukotturu
Palasa
Kanchili
Kaviti
Komarada
Kurupam
Garugubilli
Parvathipuram
Makkuva
Seethanagaram
Balajipeta
Bobbili
Salur
Ramabhadrapuram
Badangi
Therlem
Merakamudidam
Datti rajeru
Mentada
Gajapathinagaram
Gurla
Kondapalem @ garividi
Cheepurupalle
Nellimarla
Bhoghapuram

Dm code
0104
0105
0106
0107
0114
0115
0116
0117
0124
0125
0126
0127
0130
0131
0132
0135
0136
0201
0203
0205
0206
0207
0208
0209
0210
0211
0213
0214
0215
0216
0217
0218
0219
0221
0222
0223
0224
0226

49

District name
Srikakulam
Srikakulam
Srikakulam
Srikakulam
Srikakulam
Srikakulam
Srikakulam
Srikakulam
Srikakulam
Srikakulam
Srikakulam
Srikakulam
Srikakulam
Srikakulam
Srikakulam
Srikakulam
Srikakulam
Vizianagaram
Vizianagaram
Vizianagaram
Vizianagaram
Vizianagaram
Vizianagaram
Vizianagaram
Vizianagaram
Vizianagaram
Vizianagaram
Vizianagaram
Vizianagaram
Vizianagaram
Vizianagaram
Vizianagaram
Vizianagaram
Vizianagaram
Vizianagaram
Vizianagaram
Vizianagaram
Vizianagaram

Total no.of tanks


41
91
60
42
71
82
61
30
19
38
31
19
9
2
13
19
5
24
21
11
19
0
11
10
10
0
6
8
18
33
39
1
21
78
65
33
35
4

Sl.no
39
40
41
42
43
44
45
46
47
48
49
50
51
52
53
54
55
56
57
58
59
60
61
62
63
64
65
66
67
68
69
70
71
72
73
74
75
76
77
78

Mandal name
Denkada
Vizianagaram
Srungavarapukota
Vepada
Lakkavarapukota
Kothavalasa
Madugula
Rolugunta
Ravikamatham
Butchayyapeta
Kintada kotapadu
Pendurthi
Paravada
Makavarapalem
Nakkapalle
Kondapuram
Jaladanki
Kavali
Butchireddipalem
Kovur
Manubolu
Kota
Chittamur
Doravarisatram
Sullurpet
Peddathippasamudram
Kurabalakota
Yerpedu
Srikalahasti
Varadaiahpalem
Nagalapuram
Rompicherla
Pileru
Palamaner
Gangavaram
Ramakuppam
Bhoothpur
Mahbubnagar
Narayanpet
Utkoor

Dm code
0227
0228
0230
0231
0232
0234
0309
0318
0319
0320
0322
0324
0332
0336
0339
0903
0904
0905
0918
0926
0931
0939
0941
0944
0945
1004
1006
1013
1014
1017
1019
1030
1031
1058
1059
1063
1424
1425
1429
1430

50

District name
Vizianagaram
Vizianagaram
Vizianagaram
Vizianagaram
Vizianagaram
Vizianagaram
Visakhaptnam
Visakhaptnam
Visakhaptnam
Visakhaptnam
Visakhaptnam
Visakhaptnam
Visakhaptnam
Visakhaptnam
Visakhaptnam
Nellore
Nellore
Nellore
Nellore
Nellore
Nellore
Nellore
Nellore
Nellore
Nellore
Chittoor
Chittoor
Chittoor
Chittoor
Chittoor
Chittoor
Chittoor
Chittoor
Chittoor
Chittoor
Chittoor
Mahabubnagar
Mahabubnagar
Mahabubnagar
Mahabubnagar

Total no.of tanks


12
23
69
47
31
19
4
11
5
0
2
14
6
11
0
23
24
19
0
0
9
19
34
35
11
7
4
37
69
31
17
4
3
6
3
9
9
9
11
15

Sl.no
79
80
81
82
83
84
85
86
87
88
89
90
91
92
93
94
95
96
97
98
99
100
101
102
103
104
105
106
107
108
109
110
111
112
113
114
115
116
117
118

Mandal name
Chinnachintakunta
Gopalpeta
Pebbair
Ghattu
Veepangandla
Narayankhed
Alladurg
Shankarampet
Gajwel
Doultabad
Patancheru
Ramachandrapuram
Jinnaram
Hathnoora
Narsapur
Tupran
Kuntala
Lohesra
Dilawarpur
Kagaznagar
Nennal
Bheemini
Chennur
Jaipur
Manthani
Kataram
Mahadevpur
Mutharam
Malhar rao @ tadicherla
Cheriyal
Raghunathpalle
Wardhannapet
Kodakandla
Dornakal
Nekkonda
Kothagudem
Khanapur
Chennaraopeta
Nallabelli
Bhupalpalle

Dm code
1434
1450
1453
1457
1463
1704
1707
1712
1721
1722
1737
1738
1739
1740
1741
1743
1914
1919
1920
1939
1943
1944
1951
1952
2009
2010
2011
2012
2013
2101
2107
2112
2116
2122
2126
2128
2129
2131
2134
2143

51

District name
Mahabubnagar
Mahabubnagar
Mahabubnagar
Mahabubnagar
Mahabubnagar
Medak
Medak
Medak
Medak
Medak
Medak
Medak
Medak
Medak
Medak
Medak
Adilabad
Adilabad
Adilabad
Adilabad
Adilabad
Adilabad
Adilabad
Adilabad
Karimnagar
Karimnagar
Karimnagar
Karimnagar
Karimnagar
Warangal
Warangal
Warangal
Warangal
Warangal
Warangal
Warangal
Warangal
Warangal
Warangal
Warangal

Total no.of tanks


13
17
0
0
10
8
8
23
14
19
19
3
18
30
24
13
10
7
7
15
7
3
12
24
14
18
8
12
11
19
0
27
15
8
15
12
0
14
13
16

Sl.no
119
120
121
122
123
124
125
126
127
128
129
130
131
132
133

Mandal name
Mulug
Venkatapur
Govindaraopet
Tadvai
Eturnagaram
Mangapet
Pinapaka
Aswapuram
Burgampadu
Yellandu
Singareni
Bayyaram
Chandrugonda
Aswaraopeta
Dammapeta

Dm code
2145
2146
2147
2148
2149
2150
2204
2207
2215
2219
2220
2221
2225
2227
2228

52

District name
Warangal
Warangal
Warangal
Warangal
Warangal
Warangal
Khammam
Khammam
Khammam
Khammam
Khammam
Khammam
Khammam
Khammam
Khammam

Total no.of tanks


20
20
0
15
16
9
24
5
3
10
2
5
15
0
0

List of Mandals (236) in Batch 02


Sl.no
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
29
30
31
32
33
34
35
36
37
38

Mandal name
Regadi amadalavalasa
Santhakaviti
Burja
Seethampeta
Jalumuru
Mandasa
Gummalakshmipuram
Jiyyammavalasa
Bondapalle
Pusapatirega
Gantyada
Jami
Cheedikada
Paderu
Narsipatnam
Sabbavaram
Bheemunipatnam
Anakapalle
S.rayavaram
Addateegala
Rajavommangi
Tuni
Gollaprolu
Prathipadu
Yeleswaram
Rampachodavaram
Korukonda
Jaggampeta
Gandepalle
Anaparthy
Buttayagudem
Gopalapuram
Chintalapudi
Nidadavole
G.konduru
Mylavaram
A.konduru
Tiruvuru

53

Dm code

District name

0103
0110
0111
0113
0123
0133
0202
0204
0220
0225
0229
0233
0308
0310
0317
0323
0327
0333
0340
0403
0404
0406
0408
0410
0411
0413
0416
0418
0427
0433
0502
0505
0509
0517
0609
0610
0611
0613

Srikakulam
Srikakulam
Srikakulam
Srikakulam
Srikakulam
Srikakulam
Vizianagaram
Vizianagaram
Vizianagaram
Vizianagaram
Vizianagaram
Vizianagaram
Visakhaptnam
Visakhaptnam
Visakhaptnam
Visakhaptnam
Visakhaptnam
Visakhaptnam
Visakhaptnam
East godavari
East godavari
East godavari
East godavari
East godavari
East godavari
East godavari
East godavari
East godavari
East godavari
East godavari
West godavari
West godavari
West godavari
West godavari
Krishna
Krishna
Krishna
Krishna

Total no.of
tanks
25
22
49
9
9
70
23
31
22
73
21
38
0
0
5
25
9
24
4
0
0
21
16
9
4
8
21
0
14
0
1
24
38
0
18
14
10
16

Sl.no
39
40
41
42
43
44
45
46
47
48
49
50
51
52
53
54
55
56
57
58
59
60
61
62
63
64
65
66
67
68
69
70
71
72
73
74
75
76
77
78

Mandal name

Dm code

Vissannapet
Reddigudem
Nuzvid
Chatrai
Musunuru
Donakonda
Markapur
Bestavaripeta
Cumbum
Racherla
Komarolu
Ponnaluru
Kothpatnam
Tangutur
Zarugumilli
Kandukur
Voletivari palem
Lingasamudram
Gudluru
Ulavapadu
Bogole
Kaligiri
Udayagiri @ kondayapalem
Atmakur
Anumasamudrampeta
Dagadarthi
Ananthasagaram
Kaluvoya
Gudur
Dakkili
Venkatagiri
Balayapalle
Ojili
Chillakur
Vakadu
Naidupet
Pellakur
Tada
Peddamandyam
Thamballapalle

0614
0615
0623
0624
0625
0805
0809
0833
0834
0835
0837
0841
0847
0848
0849
0850
0851
0853
0854
0855
0906
0907
0910
0912
0913
0914
0921
0922
0932
0934
0935
0936
0937
0938
0940
0942
0943
0946
1001
1002

54

District name
Krishna
Krishna
Krishna
Krishna
Krishna
Prakasam
Prakasam
Prakasam
Prakasam
Prakasam
Prakasam
Prakasam
Prakasam
Prakasam
Prakasam
Prakasam
Prakasam
Prakasam
Prakasam
Prakasam
Nellore
Nellore
Nellore
Nellore
Nellore
Nellore
Nellore
Nellore
Nellore
Nellore
Nellore
Nellore
Nellore
Nellore
Nellore
Nellore
Nellore
Nellore
Chittoor
Chittoor

Total no.of
tanks
23
18
26
20
17
17
13
7
3
13
15
5
0
2
2
1
7
7
15
6
15
20
17
8
15
21
11
10
26
29
37
25
22
26
26
30
14
13
9
14

Sl.no
79
80
81
82
83
84
85
86
87
88
89
90
91
92
93
94
95
96
97
98
99
100
101
102
103
104
105
106
107
108
109
110
111
112
113
114
115
116
117
118

Mandal name

Dm code

Molakalacheruvu
Kothakota
Yerravaripalem
Renigunta
Thottambedu
Butchinaidu khandriga
Satyavedu
Kumara venkata bhupalapuram
Chinnagotti gallu
Nimmanapalle
Ramasamudram
Punganur
Chowdepalle
Somala
Sodam
Pulicherla
Pakala
Peddapanjani
Baireddipalle
Kuppam
Koduru
Kalasapadu
Badvel
Kamalapuram
Pullampeta
Settur
Chennekothapalle
Mudigubba
Nallacheruvu
Kadiri
Kothacheruvu
Penukonda
Roddam
Somandepalle
Chilamathur
Lepakshi
Hindupur
Madakasira
Gudibanda
Amarapuram

1003
1005
1010
1012
1015
1016
1018
1023
1029
1034
1036
1037
1038
1039
1040
1041
1042
1060
1061
1066
1108
1109
1111
1125
1145
1221
1236
1238
1242
1244
1251
1252
1253
1254
1255
1256
1257
1259
1260
1261

55

District name
Chittoor
Chittoor
Chittoor
Chittoor
Chittoor
Chittoor
Chittoor
Chittoor
Chittoor
Chittoor
Chittoor
Chittoor
Chittoor
Chittoor
Chittoor
Chittoor
Chittoor
Chittoor
Chittoor
Chittoor
Kadapa
Kadapa
Kadapa
Kadapa
Kadapa
Anantapur
Anantapur
Anantapur
Anantapur
Anantapur
Anantapur
Anantapur
Anantapur
Anantapur
Anantapur
Anantapur
Anantapur
Anantapur
Anantapur
Anantapur

Total no.of
tanks
8
8
2
12
31
13
26
31
3
2
8
11
11
8
6
5
11
8
3
8
10
8
3
2
15
6
11
5
2
4
4
10
15
17
11
14
21
13
10
14

Sl.no
119
120
121
122
123
124
125
126
127
128
129
130
131
132
133
134
135
136
137
138
139
140
141
142
143
144
145
146
147
148
149
150
151
152
153
154
155
156
157
158

Mandal name
Kothapalle
Atmakur
Midthur
Rudravaram
Owk
Kodangal
Bomraspeta
Kosigi
Doulatabad
Damaragidda
Nawabpet
Keshampeta
Vangoor
Addakal
Devarakadara
Narva
Kothakota
Ghanpur
Bijinapalle
Nagarkurnool
Telkapalle
Amrabad
Balmoor
Lingal
Peddakothapalle
Kodair
Wanaparthy
Pangal
Dharur
Kollapur
Qutubullapur
Medchal
Shamirpet
Doma
Gandeed
Shankarampet
Tekmal
Kulcharam
Medak
Ramayampet

56

Dm code

District name

1310
1311
1316
1337
1347
1401
1402
1403
1404
1405
1409
1414
1418
1426
1427
1433
1436
1438
1439
1440
1442
1445
1446
1447
1448
1449
1451
1452
1455
1464
1507
1508
1509
1526
1527
1706
1708
1710
1711
1713

Kurnool
Kurnool
Kurnool
Kurnool
Kurnool
Mahabubnagar
Mahabubnagar
Mahabubnagar
Mahabubnagar
Mahabubnagar
Mahabubnagar
Mahabubnagar
Mahabubnagar
Mahabubnagar
Mahabubnagar
Mahabubnagar
Mahabubnagar
Mahabubnagar
Mahabubnagar
Mahabubnagar
Mahabubnagar
Mahabubnagar
Mahabubnagar
Mahabubnagar
Mahabubnagar
Mahabubnagar
Mahabubnagar
Mahabubnagar
Mahabubnagar
Mahabubnagar
Rangareddy
Rangareddy
Rangareddy
Rangareddy
Rangareddy
Medak
Medak
Medak
Medak
Medak

Total no.of
tanks
6
8
3
17
7
6
13
17
10
7
12
9
6
0
14
16
0
19
13
12
5
8
11
10
8
13
7
15
9
0
11
5
9
16
6
15
13
6
0
22

Sl.no
159
160
161
162
163
164
165
166
167
168
169
170
171
172
173
174
175
176
177
178
179
180
181
182
183
184
185
186
187
188
189
190
191
192
193
194
195
196
197
198

Mandal name

Dm code

Siddipet
Nanganur
Kondapak
Yeldurthy
Kowdipalli
Pulkal
Sangareddy
Shivampet
Kammar palle
Velpur
Madnur
Bichkunda
Dharpalle
Pitlam
Lingampet
Bhiknur
Domakonda
Sarangpur
Bhainsa
Nirmal
Utnur
Mancheriyal
Mandamarri
Kasipet
Rebbana
Sirpur
Kouthala
Dahegaon
Peddapalle
Jagitial
Kathlapur
Ramadugu
Konaraopeta
Kamalapur
Saidapur
Chigurumamidi
Bheemadevarpalle
Maddur
Nermetta
Lingalaghanpur

1716
1718
1719
1724
1725
1733
1736
1742
1807
1809
1816
1818
1822
1828
1832
1835
1836
1913
1916
1921
1926
1933
1934
1935
1940
1945
1946
1948
2016
2020
2024
2037
2040
2050
2052
2053
2056
2102
2103
2106

57

District name
Medak
Medak
Medak
Medak
Medak
Medak
Medak
Medak
Nizamabad
Nizamabad
Nizamabad
Nizamabad
Nizamabad
Nizamabad
Nizamabad
Nizamabad
Nizamabad
Adilabad
Adilabad
Adilabad
Adilabad
Adilabad
Adilabad
Adilabad
Adilabad
Adilabad
Adilabad
Adilabad
Karimnagar
Karimnagar
Karimnagar
Karimnagar
Karimnagar
Karimnagar
Karimnagar
Karimnagar
Karimnagar
Warangal
Warangal
Warangal

Total no.of
tanks
0
12
4
24
0
29
14
16
16
11
2
2
16
11
12
21
11
13
8
4
9
10
3
8
8
11
11
9
8
12
11
13
12
15
13
13
12
13
0
0

Sl.no
199
200
201
202
203
204
205
206
207
208
209
210
211
212
213
214
215
216
217
218
219
220
221
222
223
224
225
226
227
228
229
230
231
232
233
234
235
236

Mandal name

Dm code

Dharmasagar
Hasanparthy
Raiparthy
Maripeda
Mahbubabad
Kesamudram
Gudur
Narsampet
Shayampet
Ghanapuram
Venkatapuram
Cherla
Gundala
Manugur
Palwancha
Tekulapalle
Garla
Kamepalle
Julurpad
Sathupalle
Vemsoor
Yadagirigutta
Gundala
Thirumalagiri
Nuthankal
Atmakur
Jaji reddi gudem
Mothkur
Valigonda
Bibinagar
Kattangoor
Nakrekal
Peddavuru
Gurram pode
Gurram pode
Nampalle
Chintha palle
Devarakonda

2109
2110
2117
2121
2124
2125
2127
2130
2138
2144
2202
2203
2205
2206
2216
2218
2222
2223
2224
2229
2230
2304
2306
2307
2309
2310
2311
2313
2315
2317
2323
2324
2352
2354
2354
2355
2356
2357

58

District name
Warangal
Warangal
Warangal
Warangal
Warangal
Warangal
Warangal
Warangal
Warangal
Warangal
Khammam
Khammam
Khammam
Khammam
Khammam
Khammam
Khammam
Khammam
Khammam
Khammam
Khammam
Nalgonda
Nalgonda
Nalgonda
Nalgonda
Nalgonda
Nalgonda
Nalgonda
Nalgonda
Nalgonda
Nalgonda
Nalgonda
Nalgonda
Nalgonda
Nalgonda
Nalgonda
Nalgonda
Nalgonda

Total no.of
tanks
12
16
20
14
25
21
18
5
11
10
15
4
4
9
8
4
0
8
13
6
21
23
7
14
11
18
13
9
11
16
10
13
9
12
14
10
5
8

List of Mandals (130) III Phase


Sl.no
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
29
30
31
32
33
34
35
36
37
38

Mandal name
Vangara
Etcherla
Amadalavalasa
Kotabommili
Sompeta
Golugonda
Kasimkota
Kotauratla
Atchutapuram
Polavaram
Koyyalagudem
Jangareddigudem
Lingapalemm
Ibrahimpatnam
Gannavaram
Agiripalle
Musunuru
Dornala
Pamur
Vinjamur
Duttalur
Sangam
Rapur
Podalakur
Thotapalligudur
Kambhamvaripalle
Pichatur
Vadamalapeta
Kalikiri
Vayalpad
Sreerangarajapuram
Puthalapattu
Irala
Venkatagirikota
Santhipuram
Gudupalle
Kalasapadu
Porumamilla

59

Dm code

District name

0102
0108
0118
0128
0134
0315
0335
0337
0343
0503
0506
0507
0510
0608
0621
0622
0625
0807
0852
0908
0909
0919
0923
0924
0928
1009
1020
1025
1032
1033
1047
1051
1052
1062
1064
1065
1109
1110

Srikakulam
Srikakulam
Srikakulam
Srikakulam
Srikakulam
Visakhapatnam
Visakhapatnam
Visakhapatnam
Visakhapatnam
West godavari
West godavari
West godavari
West godavari
Krishna
Krishna
Krishna
Krishna
Prakasam
Prakasam
Nellore
Nellore
Nellore
Nellore
Nellore
Nellore
Chittoor
Chittoor
Chittoor
Chittoor
Chittoor
Chittoor
Chittoor
Chittoor
Chittoor
Chittoor
Chittoor
Cuddupah
Cuddupah

Total no.of
tanks
4
3
3
32
20
14
5
7
4
16
10
12
26
5
17
17
17
10
10
18
12
7
20
33
0
1
9
11
0
5
7
10
14
5
4
1
8
10

Sl.no
39
40
41
42
43
44
45
46
47
48
49
50
51
52
53
54
55
56
57
58
59
60
61
62
63
64
65
66
67
68
69
70
71
72
73
74
75
76
77
78

Mandal name
Gopavaram
Atlur
Veeraballe
Rajampet
T.sundupalle
Rayachoti
Gooty
Ramagiri
Dharmavaram
Talupula
Nambulapulikunta
Tanakal
Gandlapenta
Nallamada
Kothacheruvu
Parigi
Agali
Rolla
Velgode
Panyam
Sanjamala
Kolimigundla
Maddikera
Maddur
Koilkonda
Kondurg
Talakondapalle
Midjil
Jadcherla
Dhanwada
Maganoor
Makthal
Atmakur
Achampeta
Gadwal
Itikyal
Bassheerabad
Yelal
Pargi
Kangti

60

Dm code

District name

1112
1128
1138
1139
1146
1149
1206
1235
1237
1239
1240
1241
1243
1247
1251
1258
1262
1263
1313
1331
1345
1346
1352
1406
1407
1411
1415
1421
1423
1428
1431
1432
1435
1444
1454
1460
1524
1525
1529
1702

Cuddupah
Cuddupah
Cuddupah
Cuddupah
Cuddupah
Cuddupah
Anantapur
Anantapur
Anantapur
Anantapur
Anantapur
Anantapur
Anantapur
Anantapur
Anantapur
Anantapur
Anantapur
Anantapur
Kurnool
Kurnool
Kurnool
Kurnool
Kurnool
Mahabubnagar
Mahabubnagar
Mahabubnagar
Mahabubnagar
Mahabubnagar
Mahabubnagar
Mahabubnagar
Mahabubnagar
Mahabubnagar
Mahabubnagar
Mahabubnagar
Mahabubnagar
Mahabubnagar
Ranga reddy
Ranga reddy
Ranga reddy
Medak

Total no.of
tanks
10
14
3
7
6
6
5
5
8
3
2
5
2
3
4
9
7
5
4
7
5
5
1
20
12
0
8
9
8
11
10
15
5
14
1
0
12
6
5
5

Sl.no

Mandal name

Dm code

79
80
81
82
83
84
85
86
87
88
89
90
91
92
93
94
95
96
97
98
99
100
101
102
103
104
105
106
107
108
109
110
111
112
113
114
115
116
117
118

Kalher
Papannapet
Dubbak
Jagdevpur
Andole
Sadasivapet
Wargal
Mulug
Bheemgal
Jakranpalle
Nizamabad
Dichpalle
Sirkonda
Machareedy
Sadasivanagar
Gandhari
Nizamsagar
Tadwai
Talamadugu
Kubeer
Mamda
Bejjur
Dharmapuri
Ramagundam
Julapalle
Gangadhara
Yellareddipeta
Thimmapur
Ghanpur
Warangal
Palakurthi
Devaruppula
Thorrur
Nellikudur
Narsimhulapet
Parvathagiri
Dummugudem
Bhadrachalam
Kunavaram
Kukunoor

1703
1709
1714
1720
1726
1734
1744
1745
1808
1810
1812
1821
1823
1824
1825
1826
1829
1833
1901
1915
1923
1947
2005
2007
2017
2027
2041
2047
2108
2111
2114
2115
2118
2119
2120
2132
2208
2209
2210
2214

61

District name
Medak
Medak
Medak
Medak
Medak
Medak
Medak
Medak
Nizamabad
Nizamabad
Nizamabad
Nizamabad
Nizamabad
Nizamabad
Nizamabad
Nizamabad
Nizamabad
Nizamabad
Adilabad
Adilabad
Adilabad
Adilabad
Karimnagar
Karimnagar
Karimnagar
Karimnagar
Karimnagar
Karimnagar
Warangal
Warangal
Warangal
Warangal
Warangal
Warangal
Warangal
Warangal
Khammam
Khammam
Khammam
Khammam

Total no.of
tanks
11
7
17
7
11
7
13
8
17
9
16
16
13
14
15
13
9
7
15
7
6
16
6
10
10
10
17
6
18
12
17
0
21
23
22
11
5
0
1
2

Sl.no

Mandal name

Dm code

119
120
121
122
123
124
125
126
127
128
129
130

Penuballi
Khammam
Rajapet
Thungathurthi
Saligouraram
Bhongir
Choutuppal
Ramannapeta
Chivvemla
Mothey
Nalgonda
Chandur

2231
2236
2303
2308
2312
2316
2319
2320
2327
2328
2334
2338

62

District name
Khammam
Khammam
Nalgonda
Nalgonda
Nalgonda
Nalgonda
Nalgonda
Nalgonda
Nalgonda
Nalgonda
Nalgonda
Nalgonda

Total no.of
tanks
18
11
10
22
9
11
4
6
6
6
0
12

4. Project Component 2: Tank Systems Improvements


4.2. Participatory groundwater management
4.2.1. Objectives
The objective of participatory groundwater management is to focus on the demand side
management of groundwater rather than the conventional supply side management
through participatory data collection, analyses and dissemination.
4.2.2. Approach
Based on the broad principles of IWRM and reinforced by the objectives enunciated in
the national framework, the project contemplates to adopt a sub-basin approach for
comprehensive water resources planning, monitoring and management. This involves, to
a reasonable extent, taking into consideration both surface and groundwater regimes
encompassing availability, utilisation patterns and interactions. Management of water
resources subsumes dissemination of information for decision-making and collective
action at community level. The basic hydrological unit for adopting the above approach
will be the groundwater watershed or assessment unit. This will be the convenient unit
for operation in view of its size which is around 250-300 sq km.
4.2.3. Coverage
The project is being implemented in 3000 tanks in 499 mandals of 21 districts of the
State. The 3000 tanks fall within about 400 groundwater assessment units. Participatory
groundwater management interventions are proposed to be taken up in about 300
assessment units. These units broadly cover the assessment units that are presently listed
as over exploited, critical, semi critical, and nearing semi-critical in terms of groundwater
status with severe imbalance in recharge and draft.
Selection of tanks
Based on the hydro geological conditions about 4 tanks per assessment unit will be
selected.
Selection of wells for PHM
After selection of a tank area for taking up groundwater interventions, inventory of about
20 % of the existing wells in the command area of the tank and its zone of influence will
be conducted to understand the general groundwater conditions in the area and to identify
about 4 to 5 wells for participatory hydrological monitoring (PHM). The wells for PHM
will be selected based on the local hydro-geological conditions viz. structural features,
presence and extent of aquifers, depth to water level, yield of the well, density of wells in
the neighborhood and their performance etc. apart from its representative location and

63

willingness of the well owner to carry out PHM on a sustained basis, sharing and
disseminating the data for groundwater assessment and crop water budgeting.
4.2.4. Activities
Groundwater hydrological assessment
Groundwater assessment will be carried out by the State Groundwater Department of
both quality and quantity parameters. The task will be operational in 300 selected
assessment units. Groundwater monitoring with installed piezometers will provide
information for groundwater assessment and the trends. This superimposed with the
utilisation patterns will give the complete assessment to develop perspective and detailed
plans for regional and local application. It is proposed to install piezometers in the
selected assessment units for monitoring groundwater trends. Quality monitoring will
also be done in all the selected assessment units on important parameters related to
drinking water for humans and animals, agriculture and other uses.
The data generated thereby will be integrated with the data generated through the existing
network of piezometers and observation wells at the assessment unit level and also with
that generated through PHM at micro level (next section). Primary validation and
analysis of the data will be done at the District Data Centres followed by secondary
validation and analysis at the State Data Centre. Periodic and purpose specific reports
will be generated at the Data Centres for dissemination at different levels. The analyzed
data will be shared with the ground water users at the tank level, which will help them in
crop water budgeting and management of the resource at the tank level.
Participatory hydrological monitoring
Participatory Hydrological Monitoring (PHM) will be taken up at the tank level. As part
of this, assessment of local groundwater situation will be carried out through installation
of rain gauges and necessary equipment in selected bore wells. Data on the availability of
groundwater, the yield trends and other dynamics will be collected by the groundwater
users and analyzed periodically. This information will be used in crop water budgeting
and crop planning for improved and efficient groundwater use.
To implement PHM the groundwater users in the selected tank influence zones will be
organized into Groundwater Groups by the project Support Organization (SO). Towards
this, relevant organizational capacities of the users will be built. This will facilitate better
comprehension of the PHM analyses and lead to informed collective decision making on
cropping patterns and social regulation of groundwater use. The Groundwater
Department staff and other subject matter specialists from DPU will provide technical
facilitation in this regard. Based on the experience gained and lessons learnt, the project
will pilot different institutional approaches towards sustaining the groups for effective
long term PHM action. The project will also carry out studies to identify effective
institutional and process mechanisms to scale up the intervention and for policy
formulation.

64

Communication strategy and dissemination


Groundwater assessment will be made at the assessment unit level by the Groundwater
Department. PHM will be carried out by the community at the tank level for collective
decision making and utilisation. The information generated in the former will be
disseminated and communicated in utilizable manner by the Groundwater Department to
various users. The project will develop a communication strategy to supports
dissemination of the relevant information. The Groundwater Department will also
develop perspective and periodic plans over different typologies and disseminate the
same to different users involved in planning, implementation and monitoring of water
resources.
Studies and action research
In view of the different approaches, operational units, departments, utilisation patterns
and influenced by externalities such as markets, there is still a huge gap in the
understanding water resource management in an integrated manner. The project therefore
proposes to undertake studies and action research for learning and documentation in the
areas of surface and groundwater interactions at assessment units level n general and tank
influence zones in particular.
Technology promotion
Promotion of improved crops and agronomic practices will be done through
demonstrations. Farmers Field School approach will be followed as designed in the
component 3 of the project. Demonstrations will focus on improved practices in the
existing crops and in new crops. The agri-business and marketing fund to be constituted
at the WUA level could be used by the farmers to avail credit for adoption of these
technologies. Improved techniques for groundwater based irrigation to increase water use
efficiency will also be promoted through demonstration and technology adoption support.
This includes the laying of pipelines to minimize conveyance and field application losses
from the borewell to the plant.
4.2.5. Implementation arrangements
The project Support Organization will organize the groundwater users into Groundwater
Groups. The Ground water Groups will be affiliated to the WUA to receive all project
inputs. In each district a Groundwater Department staff will be deputed to the District
Project Unit to plan, implement and monitor the activities. Similarly, two Groundwater
Department staff will be deputed to the PMU to co-ordinate and manage the groundwater
related activities at the state level. As per the emerging need for augmenting the strength
of the Groundwater Department to implement the groundwater activities under the
project, services of specialist in groundwater management may be procured both at state
and district levels.

65

4.2.6. Monitoring
Monitoring of the groundwater management activities will be carried out according to the
M&E framework of the project.

66

5. Project Component 3: Agricultural Livelihoods


Support Services
5.1. Overall objective, design principles, benefits
Tanks are multi-livelihood resources and a number of community groups are engaged in
production processes dependent on them. Assessment indicate that very specific technical
and extension support are needed to improve the production system in these tank based
livelihoods viz. agriculture, horticulture, livestock, fisheries, etc. Consequently, the
project aims at improving tank systems not only in terms of its physical structure and
management, but also to help the users reap optimum benefits from tank based
livelihoods persued by them.
The agricultural livelihoods support services component thus defines its objectives as:
To improve production and productivity of tank system
To improve returns to farmers and other tank users through development of better
market linkages and promotion of business development services
The project interventions, based on an assessment of ground realities, will therefore
address the current gaps in support services and emerging opportunities for improving
agricultural livelihoods of the tank users. This will be a twin-track approach of filling the
strategic gaps in production and post production / marketing and capturing the emerging
opportunities in agri-business. It will strengthen the livelihoods of the tank users by
maximizing returns and bridging the gap through partnerships and collaborations. Two
types of opportunities are emerging i) the producers are linked to better market channels
for existing production; and ii) where production including new products takes place
more in line with consumer choice / market preference. Also the present situation
involves long, multi-tiered value chains with a large number of intermediate actors,
reducing the incomes at the producer level. There is great potential for increasing returns
to producers by intervening in critical points in the value chain. which will be another
focus of this component.
The agricultural livelihoods support services interventions primarily focus on agro-based
activities and thus the primary beneficiaries will be the command area farmers as well as
ground water-using farmers in the tank influence zone. The marketing related activities
will generate additional employment at tank/village level. Agricultural livelihoods
support services interventions will be extended to all identified tank system stakeholders.
The agricultural livelihoods support services component will also include demonstration
of innovative models and practices through pilots and action research for production and
post production processes and for development of agri-business. This could be in terms of
producing marketable surplus, increased returns to the producer through adoption of
improved practices, collective action and better knowledge about market demand and
supply chains.

67

The project will support training of a cadre of lead farmers for agro-based services. The
lead farmers and the WUA Management Committee members will appropriately linked
to the line departments and other partners for continued technical support. The lead
farmers will ensure continuity of the agricultural livelihoods support services to the tank
users beyond the project period. The synergy between tank restorations and agricultural
livelihoods support services interventions will help sustain the interest of WUA members
in tank maintenance and management.
The livelihood activities broadly include improvement in agriculture, horticulture,
livestock, fisheries, foreshore plantations and agri-business. The indicative list of
activities is as under:
Agriculture: technology demonstration for traditional and non traditional crops
Horticulture: technology demonstration for vegetables and medicinal/aromatic plants
Livestock: breed improvement, nutrition management and health management.
Fisheries: technology demonstrations, market linkages
Foreshore plantation
Marketing and Agri-Business: collective marketing, market led production,
developing marketing information system, agri-business development.
The specific interventions to be undertaken in a tank will be included in the Agricultural
Livelihood Support Services Plan (ALSSP), which will be a part of the TIMP. The
ALSSP will be prepared by each WUA with support of the SO, the DPU staff and
technical staff from relevant line departments as a part of the TIMP preparation process.
It will be developed in a participatory manner and will take account of the existing
production systems, agro-climatic and socio-economic conditions, water availability and
distribution and emerging market opportunities. The ALSSP will include development
plans for field and horticultural crops, livestock, fisheries, foreshore plantations and
agribusiness and marketing. Depending upon the local agro-ecological and market
conditions, only a subset of these activities may be undertaken in a particular tank.
Once the ALSSP (as a part of the TIMP) has been approved by the WUA, the proposed
interventions relating to agricultural livelihood development will be reviewed and
prioritized at the DPU level for developing Annual Action Plans. The implementation of
the Action Plans will pursue an integrated and coordinated approach involving sectors /
departments of agriculture, horticulture, animal husbandry, fisheries etc.

68

5. Project Component 3: Agricultural Livelihoods


Support Services
5.2. Agriculture / Horticulture Development
5.2.1. Objectives
In the above context, the project plans to take up agriculture and horticulture
interventions with the following objectives:
To improve the productivity of crops by technology demonstration, training and
backstopping
To influence cropping pattern changes (crop diversification) through market led
extension
To facilitate cost reduction through demonstration of appropriate technologies,
agronomic practices and collective inputs procurement
To promote water saving crops to improve Water Use Efficiency
The focus will be on rice and other important crops in the tank command areas.
5.2.2. The approach
The focus of agriculture and horticulture interventions is on optimizing existing crop
productivity and diversification of the cropping pattern. The project plans to adopt an
extensive approach in optimizing productivity of the existing crops by disseminating
improved technology, providing need-based adoption support and piloting of new crops
through market led extension. Promotion and adoption of crop diversification depends
upon the opportunity of partnerships with private companies who can provide assured
market based on quality standards, agro-climatic suitability of the new crops, availability
of technical expertise, etc.
The project envisages strengthening of extension services
research organizations and other public institutions such
MANAGE, Krishi Vigyan Kendras (KVK), Agricultural
Agency (ATMA) s etc. The project implementation will be
these agencies and complementing resources.

through partnerships with


as ICRISAT, ANGRAU,
Technology Management
built on the experience of

The agriculture and horticulture sub-component adopts the broad livelihood framework
of the project which is presented in the figure below.

69

Increased Returns

Reduced Cost

Review & planning

Increase in
productivity

Demonstra
tions linked
to
adoption
Adoption
Support
Capacity
Building

Increase in area
of cultivation

Infrastructur
e
development
Water
management

Marketing & Agri


Business development

Increase in cropping
Intensity

Market led
production
Crop
diversification
Water audit
based crop
planning

Collective
procurement
of inputs
of
Adoption
improved
package
of
practices

Collective marketing
(Aggregating)
driven
Market
production
harvest
Post
management
(grading/
quality
standard
maintenance/
processing)

5.2.3. Project interventions


Technology demonstrations
This intervention will mainly focus on intensification of the existing cropping system and
promotion of market led cropping systems through demonstration of high yielding
varieties, integrated nutrient and pest management, improved agronomic and water
management practices and introduction of new crops/varieties depending on emerging
market opportunities.
Demonstration and adoption plots
The project considers the best way to build capacities of the tank command area farmers
in terms of orientation on new technologies and adoption of improved technologies is
through demonstration and adoption, i.e through the principles of learning by doing and
seeing is believing. The approach has training, capacity building and demonstrations as
integral part of the system. The demonstrations will be conducted in the fields of selected
lead farmers. Some of the demonstrations and trainings are situation specific.

70

Process and Implementation: A demonstration plot (DP) of about acre will be selected.
Demonstration plot will be located in the fields of a lead farmers / progressive farmers.
Each DP will be provided with inputs from the project covering seed, fertilizer, pesticide
and incremental operational costs. Lead farmers contribution will be in the protection of
DP. The DPU will identify the existing resource persons in the district either from line
department / KVK / ATMA / DATTC or open market. Each resource person will be
responsible for conducting the DP and training of farmers participating in respective DP
and review the adoption in their fields through periodic field visits. Each resource person
will cover between 5-10 DPs. He/she will conduct trainings on different aspects at the
demonstration plot at critical stages of cropping. The project assumes 3 training sessions
in addition to field day as maximum. The agricultural coordinator from SO will
coordinate with the different actors in the process of demonstration and organize the
farmers for the DPs
The demonstrations and adoption plots approach proposed in the project is different from
the present regular demonstration approach being conducted in the state by the
agriculture department as it monitors adoption continuously and conducts trainings in the
demonstration plot/field itself.
Selection criteria for demonstration plot
Easy accessibility from identified tank villages
Road side plot
Plot soil type is representative of majority soil-type in the tank area
The plot owner is either a lead farmer or a progressive farmer and is willing to adopt
the complete package in a timely manner
Supervision by technical team members: The project plans to utilize the existing technical
expertise present in the districts instead of creating parallel teams. The district/divisional
level members of line departments will supervise the demonstrations and trainings
conducted at tank level along with DPU members. The existing members like assistant
directors/ deputy directors and joint directors or equal designated members of line
department will be associated in supervision of the field activities. The agriculture /
horticulture department at state and district level will play an important role in
supervision and facilitation of the overall process. The DLIC will coordinate this the at
district level. In the districts where ATMAs have been set up, they will be actively
involved in the planning and implementation of project activities. At state level a nodal
officer in the office of Commissioner (Agriculture) / (Horticulture) will coordinate the
same along with the PMU.
Although the exact nature of demonstrations to be organized will emerge from the
ALSSP prepared for a particular tank, the likely DPs will be organized for the following
categories of crops is given in the table below. The table also indicates likely themes to
be covered in these DPs along with indicative list of crops. The crops themes may change
as per the needs of the community which will be reflected in the ALSSP.

71

Category
Demonstration
AGRICULTURE
Traditional crops

of

Non-traditional crops

HORTICULTURE
Traditional crops

Non traditional crops

Likely themes to be covered

Indicative list of crops

Tentative no of
demonstrations

IPM, INM, SRI, grading, and


quality standards
Seed production, Package of
practices for new crops, quality
standards, IPM, INM, fodder
crops, fodder multiplication

Paddy, groundnut, maize,


jowar and fodder
Soya
bean,
Maize,
sunflower,
new
fodder
varieties

9000

Staggered sowing, poly nurseries,


INM, use of bio-pesticides,
organic manure and
vermicomposting application, agronomic
practices, harvesting techniques
quality standards, and grading
poly nurseries, INM, use of biopesticides, organic manure and
vermi-composting
application,
agronomic practices, harvesting
techniques quality standards, and
grading

Vegetables

1300

New varieties of vegetables


Medicinal and aromatic
plants

Overall coverage: The project plans to conduct about 10,300 demonstrations (including
agriculture /horticulture) on the above mentioned indicative themes. The demonstrations
will cover training of about 100,000 farmers. It is estimated that the results will
encourage other farmers to adopt the technology under the guidance and support of the
demonstration conducting farmers.
The table below presents the likely demonstration themes and indicative list of sessions
to be conducted. Need based additions / deletions will be made during the
implementation phase.
Demonstration theme
SRI for paddy

Integrated Crop Management

Proposed Indicative Coverage in


various sessions

Soil testing,

Nursery management

Water management,

Integrated Nutrient Management

Integrated Pest Management,

Cultural practices including


weeding

Preplanting field operations


Nursery management
Integrated nutrient management
Integrated pest management
All other crop management

72

Selection criteria for demonstration


areas
The productivity levels are low
compared to district average
Sufficient availability of water in
entire crop season to head and middle
farmers and insufficient water
availability to the tail end farmer
Willingness of the community for
adoption of new practice

90% command area is occupied by


paddy

Demonstration theme

Proposed Indicative Coverage in


various sessions
practices

Harvesting practices

Post harvest management and


marketing

Selection criteria for demonstration


areas

SRI cultivation: Minor irrigation faces the challenge of effective water utilization and
improving water use efficiency. Majority of tank areas have paddy as the dominating
crop. It is thought necessary to promote the adoption of the SRI cultivation method of
paddy to improve the productivity of the paddy and for utilization of the unit water for
optimizing output. Hence the project plans to promote the adoption of the SRI cultivation
in the tank command areas by building the capacities of the farmer in technical aspect of
the above method by training, film shows and demonstrations.
Integrated crop management: Integrated crop management demonstrations will be taken
up for major crops under the tanks in the project. This covers seed to seed package of
practices in an intensive way. This includes pre planting agronomic operations, IPM,
INM, post harvest practices etc.
IPNM: Integrated nutrient management is one of the intervention areas to solve the soil
nutrient problem and to enrich the soils with organic matter. The project plans to
establish compost production units at tank level to motivate the farmers to follow and
establish their own units. The establishment of the each and every NADEP unit and
vermicompost units are linked with one training session on the unit management and
technology. Other activities will include promotion of green manuring and bio-fertilizers.
NADEP pits: As part of IPNM strategy the project plans to establish NADEP composting
pits at each and every tank area. The selection of the beneficiary will be based on
transparent and objective selection criteria.
Vermi compost units: As part of IPNM strategy the project plans to establish vermi
compost units at each and every tank area. The selection of the beneficiaries will be based
on transparent and objective selection criteria.
Integrated Pest Management: The pest damage is one of the major problems in the crop
production. Efficient pest management leads to saving in the investment and increase in
the income. The indiscriminative use of the pesticides to control pest leads to the
eradication of the natural enemies which further leads to secondary pest infestations. It
also results in pests developing resistance to pesticides. In this scenario for efficient pest
management farmer have to learn to use a blend of chemical, biological and cultural
methods to control pests. This is nothing but integrated pest management. By identifying
the importance of IPM in the production chain, the project plans to build the capacities of
the WUA members through demonstrations for different crops of that area.
IPM demonstrations in vegetables: IPM plays a very important role in vegetable crops as
the vegetables are directly exposed to the chemical sprays. The reduction in sprays and

73

the resultant reduction of the pesticide plays crucial role in human health. The project
plans to provide support to the IPM demonstration plots in selected 300 tanks.
Vegetable cultivation: The objective of conducting demonstration is to improve the
productivity of the existing vegetables crops and to increase the area under vegetables.
The demonstration on intensification of existing vegetables will help the farmers to adopt
agronomic practices, nutrient management, and pest control and value addition. About
1300 demonstrations will be conducted in project period on intensification and
diversification. Vegetable nurseries / poly tunnels will be promoted. These will be linked
to the demonstrations of vegetable cultivation. The criteria to be used for selection of
tanks for vegetable promotion are proximity to the urban area and availability of water.
About 10% of tanks will be selected for promoting vegetable and diversification from
paddy.
Seed production: One of the major constraints of the command area farmer is the
availability of the right seed in right time at reachable place. To overcome this constraint,
the project plans to introduce seed production in business model. The strategy involves
building the capacities of the command area farmer for seed production in their own
village.
The seed production activity will be taken up in two ways depending on the crop. In case
of the crops where high yielding varieties are popular, the Breeder/foundation seed will
be supplied to the CIG for demonstration and further multiplication. In case of the crops
where hybrids are highly productive, introducing the seed companies for demonstrative
production in the tank area as seed production area will be planned. This will provide an
opportunity to the tank farmers to engage themselves in higher end cultivation providing
increased profits.
Fodder Demonstrations: Fodder availability is the major constraint for the development
of the productivity of the Animal Husbandry of the command area. The project plans to
increase fodder area and create awareness among the command area farmers on the
different varieties of the fodder crops, cultivation practices and nutritional value of the
fodder value.
Fodder multiplication plots: This is demand driven demonstration and the purpose of the
fodder multiplication plots will be to supply the fodder slips/ seedlings to the interested
farmers on cost basis. The multiplication plots will be established in the lead farmers /
gopal mitra field or progressive farmers field or back yard of the veterinary dispensary.
Details of planning, focus, coverage, roles and responsibilities of different stake holders
in conducting demonstrations are given in the Guidelines for Organizing Demonstrations
given in Annexure 1.
Support of demonstration material
Lack of access to the improved implements and farmer inability to procure improved
implements are some reasons for non adoption of new implements in farming as well as

74

non adoption of the improved agronomic practices or technology. Project plans to


provide improved implements at community level (WUA) with contribution from
community. The WUA will manage the implements and earn service charges from their
use. It is assumed for the project planning purpose that 40 % demonstrations will have
SRI cultivation. The project also plans to supply one set of implements per tank wherever
required for adopting SRI method. SRI cultivation requires two specific new implements,
they are rotary weeder and line marker.
Field days
A major constraint in adoption of any new technology is the accessibility of technology.
It is proposed to arrange at least one field day for each demonstration at an appropriate
time before harvesting to demonstrate the improved situation on demo plot compared to
present farming practice. The field will be open for participation of farmers from the
adjoining villages also. This is expected to encourage the farmers to adopt the
demonstrated new practices. The trainer will visit and review the adoption plots of lead
farmer as well as the progressive farmers in other tank areas and provide the feed back to
the DPU. The agri extension specialist of DPU and the M&L team will randomly check
the adoption rate.
Kisan melas
Orientation of farmers to new seed varieties, bio-fertilizers, bio-pesticides, improved
farm implements, etc. is identified as an important area of intervention. The project plans
to organize Kisan Melas on seasonal basis in the tank areas. Two melas will be conduct
every year in each tank. The melas will help to create awareness on new technology,
access to inputs as well as information, specific guidance on farmer level issues in
cultivation, etc. The melas will be conducted every year for 3 years. They will not be
restricted to agriculture alone, and will cover animal husbandry, horticulture, etc. Animal
health care, animal vaccination services will also be provided in the melas.
The DPU and SO will coordinate with the line departments for participation and the lead
farmer will play an active role at the tank level in organizing the melas. The inputs
required for animal deworming and vaccination will be procured from department on
payment of cost from the project. The vaccines which are not available with the
department would be procured from the open market.
5.2.4. Capacity building
Capacity building of line department staff, project staff, SO staff, WUA and farmers will
be undertaken. Important activities under this are exposure visits, within and outside the
state and trainings. Details are as follows:
Farmers trainings: Farmers will be trained at demonstration sites by resource persons
hired by project on different themes. The trainings will be spread over the entire
demonstration period. 3-4 training sessions will be linked to each demonstration plot, in
addition to the field days. The agricultural coordinator of the SO will coordinate the
resource persons and facilitate farmers mobilization with the help of lead farmer.

75

National level trainings for farmers: National level training will be organized for five
batches of farmers in the entire project period. Each batch will consist of 25 farmers.
Training in new technologies and exposure to national institutions will be the objective of
this training. Progressive and enterprising farmers will be selected for national level
trainings.
Training of SO, line dept and resource persons: It is proposed to organize training
programmes for the resource persons and trainers who are involved in conducting the
demonstrations. These trainers will be trained on participatory technology development
approach, participatory training methods, principles of hand holding along with the
primary trainings on technological aspects of crop cultivation.
Exposure on technology adoption and market led production: WUA members will be
taken for exposure visits both within as well as outside the state. Exposure visits will be
planned to orient the farmers on improved production related technologies practiced
within the same agro-climatic regions. The exposure visits will help farmers to have a
first hand interaction with practicing farmers and help them to clear their doubts and
improve their level of understanding. All this will stimulate their desire for adoption of
new techniques/practices.
The project plans to select 3 farmers every year from each tank for exposure visits within
the state. It will also take one farmer from about 25 % of total tanks for out of state
exposure visit. Each batch will consist of 30 farmers. They will be taken outside the state
to expose them to improved agricultural technologies and to replicate them back in their
villages.
Vegetable cultivation: Farmers will be taken for exposure visits within the state to
explain to them the potential of the vegetable cultivation and motivate them to cultivate
vegetable through interaction with practicing fellow vegetable farmers and sharing of
experiences in production and marketing processes. Two visits per district per year will
be organized during the five years of project implementation. Each batch will consist of
30 farmers.
Project staff: Concerned staff from PMU / DPU and trainers will be taken for exposure
visits outside the state to expose them on recent advances on agricultural activities.
5.2.5. Implementation arrangements
The project design focuses on improving productivity of the tank command area farmers
by fulfilling strategic gaps in extension and increasing outreach of agro-based services.
This necessitates an arrangement that facilitates two way information flows. The project
thus starts from the grassroots level.
Tank level

76

The implementation arrangements at the tank level include three different actors. They
are lead farmer, the WUA and the SO.
Lead farmer: The lead farmer will be a person selected from the community and trained
in the concerned field. The advantage of this system, which has proved successful in a
number of previous projects, is that, it helps to create a local cadre with technical
knowledge, which remains locally available beyond the project period. The selection of
the lead farmer will be on the following basis:
Should be a practicing farmer, having own land
Member of WUA
Should be willing to learn and disseminate new technologies/practices
Water User Associations: The project aims at promoting a more proactive role of the
WUAs in improving agricultural livelihoods of its members. So far, the WUAs have not
taken up this role in many places. But this can help to build more regular interactions
among the members and the Management Committees and can act as a common thread in
binding people together to generate more resources through water charges and other
agricultural livelihoods support service charges. At the same time, collective action will
provide more opportunities for improving productivity and increasing .
The WUAs will be involved in organizing village / WUA level camps and melas,
exposure visits, monitoring demonstrations, maintaining community assets, motivating
the members for adoption of improved technology, etc.
Support Organizations: The agriculture coordinator of the Support Organization will be
responsible for planning at the time of TIMP preparation, coordination with resource
person, farmers and line department for organizing demonstrations, organizing exposure
visits, conducting field level awareness campaigns, organizing service camps,
undertaking regular meetings for planning and implementation, monitoring and reporting
of progress on a regular basis. Activities relating to subject specific interventions viz.
agriculture extension will be implemented through the lead farmer.
Agricultural Livelihood Support Service Plan preparation ( as a part of the TIMP) will be
one of the important activities at the tank level. The Support Organization will initiate the
process of community level needs identification and prioritization. The ALSSP
preparation will need specific effort not only to understand the needs and priorities but
also to orient the community members on emerging opportunities and technical
feasibility of interventions for improving livelihoods. It is proposed to provide such
support to each WUA during ALSSP preparation. The agriculture coordinator of the SO
will be involved in planning and ALSSP preparation with technical backup from the DPU
and line department staff.
District level
The district level implementation arrangement includes DPU and DLIC

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The District Project Unit: The DPU staff will have the primary responsibility of planning
and implementation of the tank based agricultural interventions This includes design /
development of district level livelihood strategy, covering identification of opportunities,
linking them to operational areas, areas of capacity building, identification of resource
persons, allotment of demonstrations to resource persons, reviewing the progress of the
interventions, identification of partner organizations and working out the operational
modalities for partnership, liaison monitoring of progress.
The DPU functions also include continuous interactions with the staff of SO, planning
and conducting exposure visits, liaison with line departments for synchronizing the
support to the tank areas relating to agriculture extension, animal husbandry as well as
fisheries.
Agriculture interventions will be implemented in close coordination with line department
officials or with the help of technical / professional resource persons and SO staff. The
services of open market resource person will be hired on cost basis.
The DPU will also establish linkages with resource persons and agencies for training. The
KVKs, ATMA, DATT centre, will be involved in organizing training programmes for
field functionaries and staff at district level. These agencies will also be involved in the
project for providing technical support to field level interventions.
The DPU will prepare district level annual action plans. These will include joint working
and collaboration areas with line department, ATMAs and partner organizations. The
action plans will cover activities to be taken up by the line departments along with
specific coverage of tanks. The DPU will finalize specific actions to be taken up by the
line departments. These will include trainings, review meetings, field visits for technical
support.
District Level Implementation Committee: The DLIC will have the most critical role at
the district level of integrating resources and support to improve the returns from the tank
based livelihoods. The district level officers of Agriculture Department, Animal
Husbandry Department, Fisheries Department, Horticulture Department, District Rural
Development Agency, District Watershed Management Agency, Integrated Tribal
Development Agency, etc. will be the members of DLIC, which will be chaired by the
District Collector. The DLIC will review the implementation progress and achievement
of project outcomes.
State level
State level implementation entities include PMU, Nodal Unit at Dept of Agriculture /
Horticulture and the Agricultural Livelihood Consortium.
The Project Management Unit: Implementation of the agricultural livelihood support
services component is envisaged to be taken up in close collaboration with the line
departments, partnerships with resource agencies, professionals and corporate entities.
Hence, strategic planning, visioning and building partnerships form a core function at the

78

project level. Monitoring and capacity building of staff to develop operational systems
focusing on results management will be the critical function at the state level. The Project
Management Unit (PMU) at state level will be responsible for all these aspects of project
management.
The roles and responsibilities of the different actors are described below:
Position
Lead farmer

Agriculture coordinator - NGO

Trainer / Resource person

DPU Agri Extension specialist

Roles and Responsibilities


Conducting the demonstrations under the
guidance of resource person
Day to day operations of the demonstration
plot
Mobilizing farmers to the trainings
Act as key extension service provider and
technology diffusion point at tank level
Assisting the WUA-WMSC in water audit
based crop planning
Coordination between the Trainer and
farmers
Motivating the farmer in the adoption of new
technology
Conducting seed production and fodder
multiplication trials
Mobilizing the farmers for exposure visits
Participating in TIMP preparation
Coordinating with resource person for
demonstration and training
Guiding the WUA in identification of Lead
farmer
Mobilizing the farmers to exposure visits
Motivating the farmers in adoption of new
technology
Linking the resource agencies / line department
officials with lead farmers
Formation of CGs(commodity groups)
Helping DPU in identification of suitable
demonstrations for each tank
Conducting the demonstrations successfully
and effectively
Motivating the farmers towards adoption of
new technology
Using training methodology for effective
diffusion of technology
Reviewing the adoption in other tank areas
Identification of the resource persons/agencies
in the district
Orientation of the resource persons/agencies
and allotment of tanks
Planning the extension activities in the district
Liaison with the SO, resource agencies, line
departments
Coordinating with trainers/training agencies for
effective implementation of training and

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Position

DLIC
Nodal Unit at Dept. of Agriculture and Dept. of
Horticulture
PMU Agri extension specialist

Roles and Responsibilities


demonstrations
Preparation of the district extension plan
Supervision of the demonstrations and trainers
Coordinating the exposure visits
Coordinating the agri extension activities of
tank areas for increased adoptability of
improved technology
Periodical review of the project implementation
Coordination with line departments
Coordination with district and sub district line
department units for smooth implementation of
project activities
Planning the Agriculture extension activities at
state level
Coordinating the resource agencies/ consortium
partners at state level
Guiding the DPUs in preparation/ monitoring
of district level/ tank level extension plans
Organizing the trainings of project staff
Monitoring
of
extension
activities
implementation through regular field visits
Coordinating the exposure visits

Nodal Units: A strong role of line department personnel at state and district level is
envisaged in this component. It is therefore proposed to set up nodal units in respective
departments at state level for smooth implementation of the programme and coordination
of the department units at district and sub district level. PMU will coordinate with the
Nodal Units at the state level.
Agricultural Livelihood Consortium: The project plans to promote selected innovative
practices through a consortium approach. Rich experience of various agencies,
professional bodies and line departments is available in the state. The challenge is to help
the community / WUA members to adopt an integrated farming systems package. This
will include production enhancement through improved water use efficiency, better water
management and increased returns through collective action. The consortium partners
will work together to evolve an integrated model and demonstrate the same in project
tanks in different agro-climatic and socio economic conditions. The consortium partners
will not only provide strategic direction to the agricultural livelihood interventions in tank
areas, but will also be partners in implementation by developing models through action
research, capacity building of staff and periodic reviews. The consortium will help to
complement the experience and expertise of partner organizations.
The likely consortium partners and their envisaged roles are presented below:
Agencies

Primary Role as Consortium Partners

ICRISAT

Productivity enhancement, promotion of farming systems


Approach

ANGRAU

Utilizing KVK for new field trials, demonstrations,

80

capacity building, training-of-trainers


3

MANAGE

Integrating ATMAs in production and productivity


enhancement

BAIF

Animal Husbandry- Cattle breeders association model

MARI

Strengthening local Fisherman


Cooperative model
development through promotion of production
enhancement as well as institution building

One of the consortium members will lead the consortium. CADA has initiated dialogue
with MANAGE and ICRISAT on the consortium approach. Both the organizations have
wide spread experience and knowledge in agricultural livelihoods different agro-climatic
as well as socio-economic zones in the state.

81

Schematic diagram of implementation arrangements

Nodal unit at
DoA,DoH

PMU

DLIC (Dist.Collecter,JDA,JD(Horti),JD(AH))
AD-Agri
AD-Horti

DPU

SO
Resource
persons

WUA

LF

P farmers

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Annexure 1
Guidelines for organizing demonstrations
The purpose of this annexure is to provide guidance to the all the actors in planning and
implementation of successful demonstrations. This includes the basic concepts and
norms for conducting demonstrations. It guides stepwise tasks from identification of
intervention to implementation and monitoring. This is intended to promote effective
participation of all the stakeholders in organizing the demonstrations.
Andhra Pradesh Community Based Tank Management Project believes in participatory
methods from planning to implementation of interventions. This project will be
implemented in 3000 tanks spread over all agro climatic zones of the state. The soils,
crops, farmers and agro-climatic conditions are different from area to area. Even if there
are some similarities in conditions, each tank should be treated as a different entity and
interventions have to be identified depending on local need. This requires a flexible
framework to identify the needs, interventions and implementation arrangements. There
is a requirement of guidelines for organizing demonstration to guide the process
according to local conditions.
This project aims to disseminate knowledge to farmers by conducting demonstrations on
farmers fields. The project plans to conduct about 10000 demonstrations in 3000 tanks
over a period of 5 years. The identified demonstration themes and technologies should
fulfill the local need with a mix of scientific and local expertise.
Approach
The project will have a two pronged approach to optimize the productivity of existing
crops on one hand and to promote market led cropping/diversification, wherever
feasible, on the other. The project adopts participatory approach from planning to
implementation. The gaps in the present agriculture system in the village are identified
by farmers with the facilitation of project. Interventions are planned according to the
identified gaps with the blend of solutions suggested by farmers and available technical
options. While the project plays facilitative role in identification of gaps and
interventions, technical and input support will be provided for carrying out the
interventions. It also plays the coordination role by coordinating with line departments,
KVKs, ATMAs, research institutions and universities for technology flow and
synergizing effect of the line department activities.

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Types of demonstrations
The specific demonstrations to be carried out in a particular tank will be identified during
preparation of Agricultural livelihood support service plan (ALSSP) which forms an
integral part of TIMP. However, the demonstrations can broadly be divided into the
following two generic categories:
Existing crop demonstrations
These demonstrations are proposed for the existing crops. This covers 5 major crops
normally grown under tank irrigation, i.e. paddy, groundnut, jowar, sunflower and maize.
Depending on the agro-climatic conditions and socio-economic conditions, the major
crops will be selected. The technology demonstrations on the existing crops will aim at
optimization of the crop productivity per unit land and per unit water use. These
demonstrations should cover the following issues in addition to farmers needs:

More crop per drop of water


Reduction of post harvest losses

Non traditional crop demonstrations


These demonstrations aim at popularization of market-led cropping and diversified
cropping for enhanced profitability. These demonstrations will be conducted when there
is established market demand or forward linkage. Fodder demonstrations are planned to
be organized in the tank areas selected for livestock development. The demonstrations
cover the entire package of practices from seed to seed of the new crop/variety and its
adoptability to that area. The indicative themes of demonstrations are given below:

New market led crops/varieties such as gherkins, sweet sorghum, etc


Fodder crops
Medicinal and aromatic crops
Hybrid seed production
Any other crop as per the emerging need

Types of technologies/practices to be demonstrated


The technology demonstrations planned at lead farmers fields will be proven
technologies suitable to that specific agro climatic zone, soil and crop. The technology
should be scalable and easily adoptable. Ths demonstration themes and technology
would provide solutions to the root problems raised in the problem tree analysis.

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Participatory Technology Demonstration Process - Conceptual Model

Collecting the data on agro- eco


conditions, marketing methods, present
productivity levels

Identification of problems, needs and potentialities


through small and large group discussions and
construction of problem tree with farmers

Review of fact sheets and


identification of interventions for
next season

Identification of interventions from the mix of solutions


offered by community and improved technology options
available with research and extension agencies

Conducting exposure visits

Periodical monitoring by SO, DPU, line


depts. completion of fact sheets with
demo data

Monitoring of demo by WUA and


community and preparation of
fact sheets

Identification of lead farmer,


demo plot

Supply of inputs, organizing the


demo plot with control by lead
farmer facilitated by resource person

Organizing field day before


harvesting

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Conducti
ng
trainings
at 2-3
critical
stages
by
resource
person

Process for selecting and organizing demonstrations


This process will be initiated and facilitated by SO Agricultural Coordinator and DPU
Agricultural extension specialist. It is a participatory, people centric process as
communities analyze and identify their problems, needs and turn them into
objectives/interventions. The project plays only facilitation role in the process, creates
awareness, contributes methodologies and inspires sound technical options.
As a part of Tank Improvement and Management Plan (TIMP) preparation, in this phase
the SO Agricultural Coordinator would collect all the information about present agro
ecological conditions, marketing systems, productivity levels, highest productivity in
that village, practices followed to achieve that productivity, marketing infrastructure,
credit facilities, input availability, etc. He/she would also facilitate analysis of the
existing situation and identification of the gaps.
Small group discussions
After identifying existing gaps, conduct the small group discussions about the existing
practices, yield levels, marketing scenario and opinion about improved technology
options, constraints in adopting improved technologies, problems in achieving optimum
yield and their solutions.
Large group discussions
After analyzing the data from existing situation and small group discussion, the resource
person would conduct large group discussions and act as a facilitator than a teacher in
raising the issues and obtain the solutions from farmers. All the actors at local level are
invited to share their ideas. The information collected by extension worker is fed back to
community to stimulate ideas and to identify important problems. At the same time a
basket of solutions is also to be presented to community to stimulate thinking and
identify solutions. The format to identify the gap presented in Appendix 1.
Problem tree analysis
Identify the root problem from the existing problems, prioritization of problems and
select the solutions which are most likely to succeed from the possible options with
relevant modifications on technical grounds if needed and prepare a basket of options to
tap the potentiality.
Identification of the interventions
Identify the interventions from the set of solutions after taking consent from progressive
farmers. It is advisable to focus on a limited number of technologies/practices in order to
create good entry point. In addition to SO Agriculture Coordinator, DPU and line
department staff will be involved in identification of interventions from the available
technical options.

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Identification of resource person and allotment of demonstration


The DPU will identify suitable resource person according to the interventions planned
from the experts available from the district level line department staff, and if such
person(s) is not available in the line department district level staff, hire from open market
on service basis. Each resource person will be allotted 4-5 demonstrations keeping in
view the logistics and feasibility.
Conducting exposure visits
If necessary and feasible, after identification of the interventions, the DPU and SO will
organise the exposure visits to the selected farmers from WUA on the proposed
interventions, where it had proved successful. This includes either neighboring
villages/models developed by project consortium partners/ research stations. It helps the
farmer group to come forward to conduct experimentation with learning. In case of
majority of the demonstrations, it may not be necessary to organize exposure visits.
Selection of lead farmer
The critical step in organizing a demonstration is the selection of a lead farmer. He will
be the person selected from community. This helps to create a local cadre with technical
knowledge which remains locally available beyond the project period. The following
criteria will be used for selection of the lead farmer. He should be a:

practicing farmer, having own land on which demonstration will be organised;


member of WUA; and
willing to learn and disseminate the demonstrated technologies/interventions.

In addition, the specific site where demonstration is to be organized should meet the
following criteria:

have a minimum land area of 0.5 acre;


be easily accessible from the identified tank villages;
be a road side plot;
represent soil type in the tank area; and
the land owner is either a lead farmer or a progressive farmer and he/she is willing
to adopt the complete package of technology in a timely manner.

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Progressive farmers and their role


WUA will select about 20 progressive farmers who will participate in the demonstration
process. These farmers should attend the trainings conducted at the demonstration plot at
critical stages of crop growth and follow the recommendations on their fields.
The entire above mentioned process including collection of data, identification of
interventions, lead farmers, and progressive farmers should be completed well before
onset of actual cropping season. This is to ensure that before the onset of cropping season
farmers are ready for actual organization of the demonstration.
Land preparation of the demonstration
The land preparation and other on-farm logistics will be completed in a timely manner so
that the sowing/planting is done at the optimum time to obtain highest productivity.
Supplying the inputs for demonstration plot
Before starting the actual demonstration, the DPU will estimate input requirements of the
demonstration and take appropriate measures to supply the necessary inputs at the
demonstration site well before the planting time.
Conducting the orientation training at demonstration plot
One orientation training will be organized before starting the actual demonstration
covering purpose, methodology and expected outcome of the demonstration. This
training should include motivational aspects in addition to technical information. The
demonstration should be planned as community activity rather then as an individual
farmer experimentation. The approach should promote monitoring of demonstration by
community members and providing suggestions for improvements for achieving higher
productivity levels.
Conducting the demonstration and trainings
The identified resource person will facilitate conducting of demonstration by lead farmer
and provide necessary technical information and guidance. He will organize trainings at
demonstration site to the WUA members and progressive farmers at appropriate 2-3
critical stages of crop growth. Agricultural Coordinator of the SO will provide technical
backstopping to the resource person, lead farmer and other farmers.
A display board will be displayed at the demonstration site with relevant details.
Monitoring of demonstration by community and neighboring WUAs
Monitoring and evaluation visits by community members, WUA members, Agriculture
Coordinator from SO and other stakeholders will be organized to review and monitor the
progress, methodology and results. The opinions and suggestions from the stakeholders
would be recorded in a fact sheet by the resource person for improving the
demonstrations in future.
Monitoring by line department staff and DPU

88

Random periodical monitoring of the demonstrations would be done by line department


staff and DPU agriculture expert to review the implementation progress, methodologies
followed, results obtained etc.
Organizing the field day
One field day will be conducted at appropriate stage of crop before harvesting. Farmers
from the neighboring fields/villages will be invited to the demonstration plot to evaluate
the results obtained and adoptability of the demonstrated technologies in the following
crop season. Resource person and line dept staff will participate in the field day. During
the field day identification of intervention process will also be done based on fact sheets
generated during different stages of conducting the demonstrations. For comparison, in
each demonstration, a small control plot with farmers practice will be kept.
Identification of best demonstration plots for reward
Based on the gains in productivity/income achieved and taking into account the
evaluations by the WUA members, SO staff, line department staff and DPU members.
One best demonstration plot will be identified in each project district and suitably
recognized.
Review of fact sheets and identification of interventions for next season
After harvesting and recording the yield of the demonstration and control plots, a review
meeting would be organized by inviting all the stakeholders to review the results, analyze
the fact sheets and identify the interventions for the next season

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Implementation Cycle
Preparatory Phase

Collection of info on climate, soil, agri practices, technologies


Collection of info on marketing situation, input availability, credit
Assessment of present crops productivity levels and practices

Process Initiation
Awareness raising
with community

Problems and
needs
identification
Identification of
interventions
Identification of
roles and
responsibilities

Seasonal Demonstration Cycle

Exposure to
technical
options

Conducting Demo

Awareness
on technical
options
Exposure
visits(if
necessary)

Learning by doing
Learning by
comparing
Synthesis of options
by merging
indigenous
knowledge and
technology options

Review & planning

Monitoring and
sharing

Feedback of
quantitative and
qualitative results
Review of
methodology &
technology
Evolving
interventions for
next season

Monitoring the
demo and
expressing views
in fact sheet
Sharing the
experiences
Judging the
technology
Defining the
future activity

SUPPORT SYSTEM
Project System

Facilitation of process
Support farmers in
conducting the demo by
supplying inputs
Support in planning,
providing technical
knowledge
Document fact sheets

Line Department

Consortium Partners

Providing technical
support
Periodical monitoring

Preparation of fact
sheets

Providing linkages with line


dept/ research agencies /
consortium partners

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Development of model
sites for technology
exposures
Provide technical support
Quantify the farmers
results and test farmers
ideas in controlled
condition

Roles and responsibilities of different actors in organizing the demonstration


Role of Lead farmer in organising the demonstration
Day-to-day activities at demonstration plot
Mobilising the neibouring farmers for training and field days
Motivating other farmers for adoption of demonstrating technology

Role of WUA
Identification of lead farmer
Mobilizing the members for trainings
Motivating the members for adoption
Periodical monitoring and evaluation

Role of the Support Organization in organizing the demonstration


The role of the SO is to facilitate the implementation process at WUA level. The
implementation starts right from aware generation to completion of the demonstration.

Facilitating WUA in identification of lead farmer


Identification of the demonstration site
Helping DPU in identification of suitable demonstrations
Mobilization of farmers to participate in the trainings conducted at demonstration
site
Facilitating resource person for organizing effective trainings
Facilitating line departments for supervision and monitoring
Mobilising the farmers and organising field days

Role of the resource person in organizing the demonstration


The resource person is either from line department/KVK/ATMA or hired by DPU from
the open market

Conducting the demonstration


Conducting trainings at demonstration site and organise field day
Motivating the lead farmer to adopt relevant practices
Monitoring the adoption of demonstrated technologies in the following crop
season

Role of line department staff in organizing the demonstrations

Helping the DPU in identification of suitable demonstrations


Suggesting possible technological options.

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Periodical supervision and monitoring of the demonstrations


Participation in field days
Providing the technical support
Monitoring the adoptability

Role of DPU
The DPU is the overall project executive agency at district level. Its roles include:

Planning the suitable demonstrations with the help of SO, line department staff
and lead farmers
Identification of the suitable resource persons
Supervision and monitoring of the demonstrations
Coordination with line departments, resource persons and SO
Reviewing impacts and scalability

Role of DLIC

Periodic review of results of demonstrations


Coordination with line departments
Scaling up

Role of PMU

Planning the agriculture technology demonstration and adoption activities at state


level
Coordinating the resource agencies/consortium partners/line departments at state
level
Guiding the DPUs in preparation/ monitoring of district level/tank level
extension plans
Organizing the trainings of project staff
Monitoring of implementation of extension activities through regular field visits

92

8. Indicative list of technical options for training sessions at demonstration plot

Soil testing, interpretation of test report


Land preparation
Nursery management
Water management
Integrated nutrient management including green manuring and bio fertilizers
Production of vermin-composting, NADEP
Integrated pest management including pest attack at different stages of crop
growth, identification of predators and natural enemies, identification of
economic thresholds and pesticide application decision making and use of bio
pesticides
Cultural practices including weed management
Crop rotation and crop sequencing
Intercropping (mix of nitrogen fixing and nitrogen utilizing crops)
Harvesting techniques
Pre harvest management for quality outputs
Post harvest management and value addition
Marketing

93

Appendix - 1
Format for identification of gaps
S.No

Area
Technology

Existing practice

Desired Practice

Is there any alternative more


profitable crop suitable to this area
seed variety
Any other
Farm Management
Nursery
Management
Transplanting

&

Fertilizer dosage according to soil


testing results
Fertilizer dosage
Fertilizer application method
Pesticide usage
Pesticide application method
No. of Irrigations
Method of irrigation
Post harvest management practices
Yield levels
Any other
Any other
Capacity Building
Technical Aspects
Farm Management Aspects
Reasons for not implementing improved technology / farm management method
1
Not aware If technology existed
2
Aware of technology, but requires capacity building
3
Technology not suitable to this area
4
Aware of technology, but not practical to adopt
5
Aware of technology, but risky to experiment
6
Aware of technology, but additional investment required
7
Improved method is labor intensive, but labor is scarce
8
Any other reason, please specify
Support required from project
1
Capacity building is enough to implement
2
Capacity building along with input support required to experiment & adopt
3
Any other, please specify

94

Gap
Identified

5. Project Component 3: Agricultural Livelihoods


Support Services
5.3. Livestock development
5.3.1. Objectives
The main objective of the livestock component is to improve the productivity of the
livestock in an integrated manner to ensure increased contribution from the livestock to
family income. This will be achieved by the following measures:
Breed Improvement through doorstep AI
Improved nutrition through fodder development
Improved animal health care
Other objectives include the development of sheep and ram-lamb rearing activities for
poor and vulnerable groups in the tank areas.
5.3.2. The approach
The project has a focus on providing technology support, management inputs and
establishing market linkages to maximize the returns. The problem analysis indicates a
need for breed improvement to bring in change in productivity of animals. The project
will thus make efforts to upgrade the local stock with crossbreeding to improve the
production potential of the livestock population owned by tank area households. Another
important area of attention is the cattle management which needs focused attention. The
cattle owners currently practice zero investment animal husbandry and get very low
returns. They will be provided an orientation on scope and potential of the dairy farming
and will be encouraged to improve the management practices. This will be crucial for
raising cross-bred cattle population. Access to animal health care and maintaining
continuity of preventive animal health care is one of the critical needs identified by the
project. Hence, the project will plan major effort to ensure the outreach of vaccination
and other animal care including de-worming. Orientation of cattle owners on nutrition
management and providing encouragement and support in this area will be another
important intervention.
The project realizes the need of long term sustainability of the livestock development
efforts. Hence, a twin track approach will be taken up, first by creating and strengthening
the local cadre of service providers (Gopal Mitras) and the second by integrating the
technical support requirements with the existing government system through the Animal
Husbandry Department (AHD) and APLDA. The state government has well equipped
infrastructure for cattle development along with technical staff. The project will seek
support of the line department in terms of providing technical back up, supervision and
supply of the critical inputs such as vaccines, semen, etc.

95

Infrastructure of the APLDA and AHD


The APLDA has four ISO (9001:2000) certified frozen semen bull stations located in
costal Andhra, Rayalaseema and Telengana regions and one andrology laboratory for
quality management of frozen semen and breeding bulls. The organization has 22 district
level frozen semen depots for bulk storage and distribution to insemination centres. They
have 20 bulk liquid nitrogen (LN) storage tanks and three vehicle mounted LN tanks to
transport LN to different semen depots from the purchasing points. APLDA is financed
by GOI and has the opportunity to recycle certain portion of the receipts collected as cost
of semen and LN for purchase of LN and essential equipment and chemicals etc. APLDA
has 1710 Gopala mitra centres directly supported by them.
The state has the following types of insemination centres providing breeding services to
cows and buffaloes.
SL. No
1
2
3
4
5

Types of the institutions


Gopala Mitras
Veterinary institutions
Veterinary institutions (doorstep AI facility)
Lay inseminator centres
Door step AI centres
Total insemination centres

Numbers
1710
4867
2839
196
109
9721

Organization
APLDA
AHD
AHD
Dairy cooperatives
BAIF

Other than the 109 BAIF centres, APLDA caters to the frozen semen requirement of all
other centres in the state. APLDA sells frozen semen straws to Tamil Nadu, Orissa,
Madhya Pradesh and west Bengal states and JK Trust Mumbai. APLDA currently
maintains a buffer stock of 15 lakh doses of frozen semen over and above the annual
requirement of 30 lakh doses for domestic need.
With respect to health coverage, AHD veterinary institutions (7000) available at village,
mandal, and taluk and district level as listed in serial numbers 2 and 3 in the above
matrix, in addition to providing breeding services are involved in preventive health cover,
disease diagnosis and treatment. Extension and fodder development is an integral part of
different services provided to farmers and their livestock. AHD has good training
infrastructure and competent trainers under State Management Institute for Livestock
Development in AP (SMILDA). Veterinary Biological Institute (VBRI) produces most of
the vaccines required for the state.
The project will use the support of the line departments in terms of providing professional
back up, supervision and supply of the critical inputs such as vaccines, semen etc. In turn
the project will support AHD and APLDA in appropriately filling the gaps in terms of
capacity building, logistics and consultancy support.
The proposed interventions are:
Introduce new Gopala Mitras in the new dairy potential areas with a result-oriented
model for increasing the outreach of animal husbandry services in selected tank areas
Strengthening the existing Gopal Mitras by bringing in the services in an integrated
package mode .

96

Expanding the outreach of animal health care by adoption of a camp mode


Creating facilities to access fodder seeds/saplings for improved animal nutrition
Introduction of result based monitoring and need based technical backup services to
the tank areas by integrating services of animal husbandry department and resource
agencies

5.3.3. Project Interventions


Identification of the milk routes
There are existing milk routes and procurement centers which are spread across the state.
The project considers identifying the existing route and super imposing with tank map
and concentrating in the tanks which converge with the milk route. Interventions are
planned to develop the livestock to maximum potentiality and increase the milk yield in
the identified tanks in the selected milk routes.
Identification of the Gopal Mitras and their training
Gopal Mitra is a local person from community, trained in the animal breeding, and health
management who will be available to community in the village to provide doorstep
services. This system ensures that the community gets all breeding and first-aid facilities
at the door step. The Gopal Mitra will be the link between the line department with
community to supplement efforts of the line department in terms of outreach.
The current network of Dept of Animal Husbandry includes about 1710 trained Gopal
Mitras, 2830 AI centres for providing doorstep services run by the Department and 200
centres run by BAIF, an NGO. The government dairies currently cover about 12000
villages across the state. It is estimated that 50 % tanks (1500 tanks) will have optimum
cattle population for breed improvement and availability of milk route. Among these,
about 1000 tank areas will have trained Gopal Mitras who are currently functional.
The project plans to provide support to about 1000 such existing Gopala Mitras by
providing refresher training and logistic support to DAH for monitoring and technical
backup. The existing Gopal Mitras will be adopted to provide breeding services and will
be engaged in community liaison and orientation activities in collaboration with the
WUA and the Support Organization.
The project plans to introduce 500 new Gopala Mitras over a five year project period.
This will involve support for fixed costs, Gopal Mitra training and logistic support to the
line department for supervision, monitoring and technical backup.
Selection criteria for Gopala Mitra:
Prospective Gopala Mitra is a local village youth with a minimum of 10th standard
education
Selected candidates will be with in the age group of 18 to 35 years, without any
gender discrimination

97

The candidate is selected by WUA and with the assistance of the SO and local VAS
Selected candidates will undergo 16 weeks intensive Gopala Mitra training course
offered by the regional training centres of AHD. Certificates will be issued after the
competition of the training.
For every two proposed Gopala Mitra centre 3 individuals will be selected and
trained, keeping in view the probability of some dropouts.

Responsibilities of Gopala Mitra


Conducting doorstep artificial inseminations and castrations
Arranging for pregnancy verifications by the concerned VAS
Assisting AHD in conducting fertility management camps
Conducting animal health camps in coordination with AHD
Supporting AHD staff in disease surveillance
Conducting animal vaccination camps and de-worming with AHD staff
Conducting calf rallies and fodder demonstrations
Liasioning between farmers, WUA and local AHD technical staff
The Gopal mitra will be paid on service basis by farmer. The standard state government
norm of payment by the farmer for AI will be applicable in the tank areas and the Gopal
Mitra will receive the payment as per the norm.
The selection criteria of tanks / gopala mitra location will be:
Each gopala mitra caters to the needs of 2000 breedable cattle population.
Each gopala mitra will operate in an area of 5-10 km radius. The AI services are
delivered at the farmers doorstep
No centre will be established within a radius of 3 km of an existing centre
Each Gopal Mitra will be supplied with good quality semen and liquid nitrogen will
be delivered to these persons every month to ensure continuous availability of these
critical inputs
Each inseminated cow will be examined for pregnancy after two months of
insemination
Farmers will be charged a service charge of Rs. 30/- to Rs. 40/- per insemination as
per the current government norm
The Animal Husbandry Department/ APLDA will provide the material inputs on cost
basis, technical backup and supervisory support to these centres. The technical staff will
monitor the performance and services provided by the Gopal Mitra.
Line dept support to gopala mitras for technical backstopping:
Good quality semen, liquid nitrogen and AI equipment will be supplied through
APLDA network to ensure continuous availability of these critical inputs at the
centres
Veterinary Assistant Surgeon (VAS) form the nearest Veterinary dispensary (AH
Department) will supervise the performance of Gopala Mitras in the concerned
mandal
98

Concerned VAS will provide technical guidance and conduct pregnancy verifications
of inseminated cows and buffaloes
VAS during his visits and in the course of fertility camps and health camps will
provide guidance and on the job training to Gopala Mitras and recommend suitable
refresher training to needy Gopala Mitras
The support environment for Gopala Mitra will be created through planning of village
level orientation, regular fertility camps, animal health and vaccination camps and
calf rallies

This work arrangement will help to achieve the project results of upgrading the breeds to
improve the productivity in coordination with APLDA/ Dept. of AH. The project DPU
through the DLIC will have a contractual arrangement with the APLDA/DoAH to take up
such gopala mitras in their operational areas.
The project aims at producing 1000 cross bred cattle by each gopala mitra area over the
project period of 5 years. This will necessitate proper selection of tanks, close monitoring
of performance of Gopal Mitra and continued technical backup.
Animal health management
Inadequate animal health management is one of the limiting factors for the livestock
development. To build capacities of the cattle farmers in animal health management and
availability of the medication at door step, the project would support positioning of well
trained gopala mitras and conducting animal vaccination camps and de-worming camps,
every year.
The Kisan Melas planned in the tank areas will also be used as one of vaccination event
on yearly basis. This arrangement will ensure regular vaccination of animals and lead to
reduced incidence of diseases. It is proposed to conduct two animal vaccination camps
per year per tank.
Fodder development
Specific interventions planned for nutrition improvement include:
1. Fodder demonstration plots
2. Fodder multiplication plots
3. Promotion of azola on pilot basis
Fodder Demonstration plots: The project plans to establish about 100 demonstration plots
in the tank areas for a period of three years. These demonstrations will display various
fodder varieties, their nutrient values along with crop management methods. The
demonstrations details and its costs are covered in the agriculture/ horticulture sub
component as these demonstrations mainly conducted by lead farmer.
Fodder multiplication plots: The project envisages supporting the cattle owners by
providing fodder slips / seedlings on cost basis. It is proposed to develop fodder
multiplication plots in Gopal Mitras field, other local farmers fields or in the backyard
99

on veterinary dispensary.
Azolla pilots: Protein plays vital role in the animal nutrition for higher yields of milk as
well as meat production. Azolla is the cheapest protein supplement available to the
animal nutrition, which can practiced in the backyard of the dairy farmer. Project plans to
introduce the azolla production on pilot basis in the suitable tanks.
Ram-lamb rearing
Primary focus for this intervention will be on the drought prone districts having high
sheep density. Sheep belts in north costal AP, Mahabubnagar and Nalgonda districts etc
will receive appropriate focus. Five hundred units for ram lamb rearing are proposed
during the project period covering entire project area. The project proposes to promote
one ram lamb rearing unit consisting of 20 animals for a Common Interest Group
consisting of 5 people. Setting up one ram lamb rearing unit involves a shed (sheep pen),
20 animals, medicines, equipment, insurance and feed supplement.
Project will provide full support for shed, equipment and medicines. 25% of the rams cost
will be provided by the project and 75% of the cost will be on credit basis from agri
business and marketing fund. Feed and insurance cover of the animals will be CIGs
contribution.
Selection criteria for ram lamb rearers
CIG members are primarily WUA members
All the members of the CIG are practicing sheep rearers
They are willing to contribute remaining unit cost
CIG shall continue the pen for the purpose defined beyond the project
CIG members have more than 5 years experience in sheep rearing
They are willing to learn and adopt improved management practices
5.3.4. Training
Training is proposed for various stakeholders in the project on cattle management. They
include farmers at tank level, gopala mitra, department staff and project staff. The details
of trainings are as follows:
Farmers: Farmers involved in dairy will be trained on cattle management that includes
preventive health care, nutrition management and calf rearing. The trainings will also
focus on creating awareness among dairy farmers about relationship of animal nutrition,
body weight and milk yield. The trainings will be taken up by the line dept staff at tank
level.
Training of Gopala mitras: Gopala mitras are trained by Dept. of Animal Husbandry. The
training contains standard modules for new gopala mitra training and specific refresher
training for the existing gopala mitras. The training course is usually of 16 weeks
duration for new gopala mitras, which includes class room training, practical, probation

100

at existing veterinary hospital and record maintenance. The training module covers breed
improvement, health management and nutrition management aspects.
Animal Husbandry staff : The role of line department is very important in the effective
and smooth implementation of the interventions. To rope in the line department staff,
project proposes to conduct district level training and workshops to field staff of
department of animal husbandry. The major focus of these trainings are orientation of the
line department staff on the project, periodical workshops any other need based technical
trainings.
Training of ram lamb rearers : Project will provide training to ram lamb rearers in aspects
of nutrition, health management and overall management of the animal for maximizing
the meat yield.
5.3.5. Implementation Arrangement
The project interventions will begin with understanding the current markets, production
areas and production levels. This will be done through mapping of dairy / milk routes in
the state, mapping of government veterinary hospitals and dispensaries and understanding
the proposed expansion plans of the local dairies to strengthen the production base in
these areas. This mapping will be matched with the existing minor irrigation tank
network to identify the operational areas.
The next exercise will be to identify the trained Gopal Mitras in the selected tanks and
assessing the cattle population in these areas. This assessment will lead to tank selection
criteria. Another exercise will be for an interaction with the existing Gopal Mitras and
identification of support requirements.
Based on this information and the TIMP, livestock development needs of the selected
tanks will be identified. These tanks will either have the existing Gopal Mitra support or
need a new gopala mitra.
Another important intervention will be to organize animal health camps for vaccination,
de-worming and disease surveillance.
Technical support of training to Gopal Mitra and supervision will be planned through the
Department of Animal Husbandry on a regular basis. Annual evaluation and monitoring
of the performance of each Gopal Mitra will form core part of implementation.
Sheep and ram lamb are other important animals in the Animal Husbandry sector. These
animals are mainly owned by poor as a survival mechanism. The project envisages
creating a model for poor by organizing the ram lamb rearing community as Common
Interest Group and providing a package support.
Role of DAH as implementation partner

101

It is planned to take up the project interventions in collaboration with the DAH. The
primary role under the collaborative arrangement will be on integrating the animal health
services in tank areas with a result oriented approach. District level Deputy/Assistant
Directors of Animal Husbandry have been nominated to work on livestock development
sub-component in eleven districts where tank rehabilitation is to be taken up during phase
I of the project.
Each DPU will prepare a plan of collaboration within the district. This will be prepared
on the basis of the project process of participatory Tank Improvement and Management
Plans by the Water Users Association. It is proposed that the local departmental officials
will participate in the PRA and TIMP preparation to define the modalities and
interventions to be planned in each tank area. This process will be taken up after the
initial mapping of dairy route and veterinary dispensaries and other government
infrastructure. The operational feasibility of introduction of new gopala mitras will be
known after the TIMP process. Based on this, the DPU and APLDA/DoAH will develop
a joint proposal for activities to be taken up on annual basis. The support of material
inputs, technical backup, training support will be included as part of the proposal.
Extension related activities will be funded from the DPU budget and support of technical
resource persons will be built in this on person days involvement basis.
Monitoring and evaluation will be done as part of the project monitoring and learning
proposed under the project. In addition, the DLIC and the State team will undertake
periodic reviews of progress achieved and performance of the Gopal Mitras. Need based
support will also be provided for training and capacity building of technical back up field
and supervisory staff of Dept of Animal Husbandry and APLDA along with the DPU
staff.
Nodal Unit at State Level
A nodal unit headed by Additional Director (Production) has been set up in DAH. This
unit will help in smooth implementation of the programme and coordination of the
department units at district level and sub district level. The project will provide the
logistic support and incremental operational costs of this nodal unit. PMU will coordinate
with the nodal unit at state level.

102

Implementation arrangement for Livestock development

Nodal Unit at
DoAH

PMU

DLIC (Dist.Collecter,JDA, JD(AH), JD(Hort))


DoAH (AD)

DPU

VAS

SO

GM

WUA

Farmers

GM Gopala mithra

VAS Veterinary asst. surgeon

103

Roles and responsibilities of different actors involved in livestock development sub-component


Roles
Level

State

Regional

Actors
Planning

Production
Technical
Backup

Nodal Unit at Director


office
of
AH
department

CEO APLDA

&
Training

Business
Promotion

Business
Implementati
on

Supervision

Facilitation

Facilitation

Facilitation

Facilitation

Facilitation

Facilitation

Facilitation

Facilitation

Facilitation

Joint Director SMILDA

Facilitation

RAHTC

Joint Director (AH)

Facilitation

District

Divisional
Director

Cluster
Village

Assistant

Veterinary
Assistant
Surgeon (VAS)

WUA, WUC,
Gopala Mitra

CIG,

Deputy Director
VPC

Joint Director
AH

AD CSCC (APLDA)
Division

Input supply

Facilitation
-

Facilitation

WUA: Water Users Association


VPC: Veterinary Poly clinic

104

WUA MC

Position
Gopala mitra/Lead farmer

Roles and Responsibilities


Mobilizing the farmers for better animal
management
Conducting doorstep artificial inseminations,
castrations.
Arranging for pregnancy verifications by the
concerned VAS
Assisting AHD in conducting fertility
management camps
Conducting animal health camps in
coordination with AHD
Supporting AHD staff in disease surveillance
Conducting animal vaccination camps and
deworming with AHD staff
Conducting calf rallies and fodder
demonstrations
Liasing between farmers, WUA and local
AHD technical staff

Agriculture coordinator- NGO

Veterinary Assistant Surgeon / Asst. Director of AH


/ Other Line dept. Field staff

DPU Agri Extension Coordinator

Guiding the WUAs in identification of Lead


farmer
Mobilizing the farmers to exposure visits
Motivating the farmers in adoption of new
technology
Linking the resource agencies / line department
officials with lead farmers
Coordinating with line departments for
conducting health camps.
Helping DPU in identification of suitable tanks
Ensuring the regular supply of inputs like
semen, liquid nitrogen and vaccines etc
Training the gopala mitras
Regular supervision and monitoring the gopala
mitra
Providing technical support to gopala mitra
Participating deworming and health camps

Identification of the tanks suitable for livestock


development with the help of Line departments
in the district
Planning the extension activities in the district
Liaison with the resource agencies. line
departments
Coordinating with trainers/training agencies for
effective implementation of training.
Preparation of the district plan
Supervision of the livestock development
activities.
Coordinating the exposure visits

Periodical review of the progress of project


Coordination with line department

DLIC

105

Position

Roles and Responsibilities

Nodal Unit at Office of Director, AH department

PMU Livestock development coordinator

106

Coordination with district and sub district


line
department
units
for
effective
implementation
Supervision and monitoring of the project
Documentation of the good practices

Planning the livestock development activities at


state level
Coordinating with nodal unit of state AH
department.
Coordinating the resource agencies/ consortium
partners at state level
Guiding the DPUs in preparation/ monitoring
of district level/ tank level plans
Organizing the trainings of project staff
Monitoring of
activities implementation
through regular field visits
Coordinating the exposure visits

5. Project Component 3: Agricultural Livelihoods Support


Services
5.4. Fisheries Development
5.4.1. Objectives and framework
The Project envisages enhancing the economic returns from fishery in the tanks. The fisheries
component adopts the broad livelihood framework designed for the Project and the interventions
fall in the following categories:
Technology promotion
Post production management and extension
Inputs, credit and linkages
The agri-business and marketing fund constituted at the tank level will also be made available to
the fisher folk for credit needs at the time of marketing.
5.4.2. Coverage and approach
On the whole, fisheries component is proposed in about one third of the project tanks, i.e., 1000
tanks. This number is arrived at considering the period of availability of water in the tanks,
categorization as perennial, long seasonal and short seasonal tanks. Long seasonal tanks have
water beyond six months and short seasonal tanks for less than six months. As per the available
information with the state Fisheries Department, the percentage of the perennial, long seasonal
and short seasonal tanks are about 7 %, 21 % and 72 %, respectively; whereas their contributions
to total fish production are about 30 %, 30 % and 40 %, respectively. A large majority of the
short seasonal tanks do not fall under the minor irrigation tanks category. Hence, considering the
production levels and number of tanks under perennial, long seasonal and short seasonal
categories, 33 % of the tanks are proposed for fisheries interventions with approximate weightage
of about 75 % of perennial and long seasonal tanks and 25% of short seasonal tanks.
Keeping in view the varied situations under different tanks based on the activity intensity,
specific problems related to production, marketing and capacities, the project proposes both
extensive and intensive approaches for fisheries development. The extensive approach focuses on
the production enhancement through improved technical and managerial skills, capacity building
and support for local retail marketing. This is proposed in all the 1000 tanks. The intensive
approach will be adopted in selected tanks out of the 1000 tanks, with added inputs in marketing,
feed management, diversification and institutional strengthening. The number of tanks proposed
for this approach is about 70 assuming that 30 % of perennial and long seasonal tanks are taken.
The phasing of the tanks for extensive approach will be 200 in the 1st batch, 400 in the 2nd batch
and 400 in the 3rd batch. The phasing of intensive approach proposed in 70 tanks is 20, 30 and 20
respectively.
The project interventions will be implemented in close coordination with the Fisheries
Department (FD). The support from fisheries department will be specifically in the areas of

107

selection of tanks, planning, training support on technical aspects relating to production and
technical backup for supervision and monitoring.
5.4.3. Selection criteria
The tanks will be selected based on a set of selection criteria in view of the potential for fisheries
development and the prevailing capacities of the fisher folk community. The selection criteria for
the tanks are:
Tanks where the FCS is willing to pay the WUA the government prescribed share of lease
rights
Tanks falling close to the fish route mapped based on the potential fish markets in
consultation with Fisheries Department
Tanks falling close to input route mapped based on the supply sources
About 75 % of tanks as perennial and long seasonal tanks with effective water spread area (50
% of the actual water spread area) of about 200 ha
About 25 % of tanks as short seasonal tanks with effective water spread area (25 % of the
actual water spread area) of about 50 ha
Tanks falling in a cluster in a given region
WUA and FCS agree on mutual arrangements in sharing of tank resource, agri business and
marketing fund and other project funds
Selection criteria for 70 tanks for intensive approach:
FCS maintaining its records up to date and functioning as per the prescribed cooperative
norms
Perennial and long season tanks having effective water spread area of a maximum of 25 ha
Access to major markets
At least 30 tons of production in an year for critical marketable mass
Willingness of FCS to contribute of at least 10 % of incrmental profits from project fisheries
development interventions to WUA fund
5.4.4. Project interventions
Interventions for adopting extensive approach in 1000 selected tanks
Physical Infrastructure: Revival and restoration of tank system improves the physical
infrastructure including the removal of jungle and weed growth on the tank bed. This aids in the
improved condition for fish growth and harvesting. The WUA and FCS would also resolve for
mutual understanding and cooperation in maintaining the tank bed accordingly in the future.
Strengthening dialogue process between WUA and FCS: WUA and FCS are two formal
institutions representing two distinctly different user communities. Operation and maintenance
wise, the WUA has a dominant role but the fisher folk have the scope to derive substantial
benefits and share 50 % of their traditional lease rights with WUA. In view of the overlapping
seasonality of operations related to agriculture and fish culture and lack of a suitable convergence
platform for resolving arising conflicts, it becomes essential to initiate and strengthen a dialogue
process between FCS and WUA. The project proposes the following interventions in this regard:
108

Co-option of fisher folk into WUA as per the GO - 2 representatives from FCS as special
invitees for the WUA Management Committee meetings
Involvement of fisher folk in TIMP preparation right from the stakeholder identification
staage, supported by the fisheries specialists from the Fisheries Department and the project
Ensuring the participation of FCS representatives in the proposed water audit and crop
planning of the tank to deliberate and plan for fisheries development as well

Technology introduction for production enhancement: Technology introduction for production


enhancement includes promotion of fingerlings and provision of supplementary feed to the fish.
Usage of fingerlings in place of seed and feed supplement after 2-3 months enhances production
significantly.
Promotion of Fingerlings: The project proposes to ensure the increase in production by
promotion of fingerlings usage. This involves a phased manner of supply of fingerlings, training
and capacity building in fingerlings rearing and production management. Fingerlings will be
provided to the fisher folk by the project as part grant support and part contribution from
community either cash or kind (fingerlings) form, both varying in a phased manner. Support for
fingerling supply at tank site will be on the basis of 50 % grant and 50 % contribution in first
year, 25 % grant and 75 % contribution in 2nd year. The capacities of fisher folk would be
developed in the subsequent years for either procuring the fingerlings from the market or rearing
on their own at the tank site as per their requirement. By owning fingerlings stock released into
the tank, the FCS and fisher folk community will have better bargaining power.
Supply of required quantities of quality of fingerlings to the tanks will be met primarily from the
existing Fisheries Department hatcheries by augmenting the production of fingerlings. Tie up will
be made with the private hatcheries also in case the department hatcheries are unable to meet the
demand.
Production is expected to be enhanced with the use of fingerlings by about 80 % in short seasonal
tanks and 100 % in perennial and long seasonal tanks.
Feed Supplements: All the tanks will be treated with cattle dung application near the periphery
that provides environment for fish to feed on the micro plants. Feed supplement in the form of
feed bags filled with oil cake and de-oiled rice will be introduced after 2-3 months for improved
feed to the fish. The bags with small holes will be tied to poles and erected in the tanks at suitable
locations. The project will demonstrate and introduce the practice in a phased manner similar to
the introduction and promotion of fingerlings. It will be part project support and part contribution
from the community varying from 50 % project support in 1st year to 25 % in 2nd year and nil in
the third year.
Handholding of the FCS in the entire process will be by the Fisheries Development Officer from
the Fisheries Department supported by the DPU
Capacity Building: Capacity building of fisher folk includes orientation and skill trainings on
production and management aspects of fisheries. Different activities proposed in the project are:

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Orientation training on technical aspects related to production: Orientation training will be


conducted at tank level to the fisher folk community on general production aspects. Fisheries
Department and DPU will conduct the trainings once per tank in first year. One lead
fisherman will be identified from each FCS for follow up of the training with hand holding
provided by the Fisheries Development Officer.
Skill training on seed procurement, treatment and preservation in pre-production stage:
Training will be conducted at Fisheries Department Training Centres located in Warangal,
Kurnool and West Godavari by Fisheries Department personnel. One training will be
conducted for 2 persons from each tank, including one lead fisherman. The training will be
followed up by the Fisheries Department and DPU for handholding in fingerlings usage and
rearing.
Skill training on growth stages, nutrition management, harvesting: Training will be
conducted at Fisheries Department Training Centres. One training will be conducted for 2
persons from each tank, including one lead fisherman. The training will be followed up by the
Fisheries Department and DPU for handholding.
Communication material development and dissemination: A short film will be prepared by
the project on pre-production, production and post production aspects of tank based fisheries
development. Film shows will be organized once in all the 1000 tanks for awareness
generation and motivation of fisher folk in effective fish production. Folk shows will be
organized twice in all the tanks covering institutional, management and marketing aspects.

Community Productive assets: Community productive assets will be provided to the FCS that
will be instrumental in improving the production such as nets, harvest gear etc. The provision
will be on credit basis from the agribusiness and marketing fund.
Retail marketing: Women are mostly involved in local retail marketing of fish. Encouraging and
supporting the retail marketing of fish in the local markets by the women results in direct
improvement of their income levels. The project proposes to provide ice boxes to the women.
Interventions for adopting intensive approach in 70 selected tanks
Intensive approach will be adopted in selected 70 tanks. Additional inputs will be provided to
these active FCS and fisher folk from the project beyond production enhancement. The inputs
include institutional strengthening, marketing support and capacity building in production and
marketing management. Business development opportunities in these tanks will be firmed up by
supporting the working capital requirement and building the capacities accordingly. The
following interventions are proposed as part of this approach:
Feed management : Specific feeds as part of improved aqua-management will be provided from
the project for intensive aquaculture. This includes provision of feed consisting of oil cake, rice
bran and organic manure. This will begin from third month of fingerling stocking into the tanks
till the sixth month. The amount of feed as per the prescribed standards of fisheries department is
250 g per day per hectare. A lead fisherman will be identified by FCS from the fisherfolk
community to carry out the same under the guidance of fisheries department. A Zinc boat will
also be supplied for effective feed application and management. Fisheries department will
provide the feed to FCS.

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Supply of prawn seed: As part of diversification, prawn culture is also planned to be promoted
along with existing fish culture for enhanced benefits. Prawn seed will be supplied to the FCS by
fisheries department supported by the project.
Provision of working capital: Working capital requirement for medicines and transportation will
be provided from the agri business and marketing fund. The cost incurred in fingerlings is already
covered in extensive approach. Transportation with ice filled trucks to major markets will be key
intervention which requires short term but bulk requirement. The Dy. Director / Asst. Director
(fisheries) will facilitate the entire process through the lead fisherman from the FCS.
Capacity Building:
Exposure visits: Exposure visits will be conducted for the 2-3 FCS representatives, including
the lead fisherman, to input suppliers, markets and societies / places where fisheries
development is successful. The visits will be within the state facilitated by the fisheries
department.
Skill training on storage, transportation and marketing: Training will be conducted at
Fisheries Department Training centres located in Warangal, Kurnool and West Godavari,
Kakinada and Machilipatnam by Fisheries Department specialist personnel. One training will
be conducted for 2 persons from each tank, including one lead fisherman. The training will be
followed up by the fisheries department and DPU for technical backstopping.
Training on FCS management: This will be conducted by the Fisheries Department with the
support of Cooperatives Department on effective institutional functioning including book
keeping and management. The training will be once for 4-5 representatives from FCS
including the lead fisherman at district / regional level. Follow up will be made by the
Department and DPU through lead fisherman and the leader of FCS.
Partnership development for marketing: The existing contractors agents in the market will be
identified and made partners in the marketing process. They will be linked to the FCS on
commission basis for smooth process of transportation and marketing. As this is on the
commission basis, there is no costing to the project involved.
Figure 1 below depicts the process flow of the interventions proposed.
5.4.5. Implementation arrangements
There are different actors involved in the entire process in both intensive and extensive
approaches involving different stages/activities. Activities include planning, production, training,
business promotion, business implementation, model development and supervision. Actors in this
process consist of officials from Fisheries Department, project staff, Support Organization and
Community Based Organizations (CBOs). The department officials involved will be from subdistrict to state level comprising Fisheries Development Officer, Assistant Director, Joint
Director, Deputy Director and Commissioner. The project staff includes personnel from PMU,
the DPU and commodity specialist on support service basis. Support Organization, working at
tank level (for about 10 tanks) for community organization will also play similar role for fisheries
development. The CBOs include FCS and WUA at tanks level with their defined institutional

111

structure. A lead fisherman will be identified for liasoning between the department, project staff
and market. Figure 2 provides the gist of people involved in different activities at different levels.
District level Deputy / Assistant Directors and Fisheries Development Officers of Fisheries
Department have been nominated to work on fisheries development sub-component in eleven
districts where tank rehabilitation is to be taken up during phase I of the project. They will be
responsible for planning and implementation of different activities in the project districts. The
Fisheries Department staff will support the development of fisheries component as part of the
ALSSP. The Support Organization plays the role of community organization and facilitation in
planning stage and link the FCS to Fisheries Department for the production and marketing
interventions. An active person from fisher folk community identified by the FCS will be treated
as lead fisherman. The lead fisherman will undergo the skill development trainings along with the
other selected fisher folk and provide continuous liaisoning between the FCS and Project
functionaries/market as envisaged in the component interventions. Production, technical backup
and training will be provided by the Fisheries department. The contact fisherman at the tank site
will be the lead fisherman. Business promotion will be handled by the commodity specialist from
the project on service charge basis working with the FCS. The commodity specialist along with
the agri-business specialist from the DPU, along with the identified agent / contractor will
implement the business closely coordinating with the lead fisherman and FCS. The fisheries
department staff at the state and district level will carry out the supervision along with agriextension specialist and monitoring and learning specialist from the DPU.
Nodal Unit
A nodal unit headed by Joint Director (Inland Fisheries) has been set up in the Fisheries
Department. This unit will help in smooth functioning of the programme and coordination of the
department units at district level and sub-district level. The project will provide logistic support
and incremental operational costs of the nodal unit. The PMU will coordinate with the nodal unit
at the state level.

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Figure 1
Process Flow Diagram

Mapping Fish Route


Mapping Inputs route
Identification of tanks for production technology support
and for intensive aquaculture model development based on
selection criteria
Exposure visits to seed farms, district markets and intensive
aqua ponds (success stories) for FCS identified for intensive
approach

Co-option of fisher folk into WUA as per Form C


Co-option of representative of fisher folk cooperative as special
invitee in WUA management committee meetings /water audit
meetings
TIMP preparation for inclusion of fisheries as project support
intervention and technical support for planning
Supply of fingerlings

Training and backup support for production

Growth Monitoring
Support to retail marketing

Preparation of business
and marketing plan in
model tanks
Execution of
Plan

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Figure 2
Roles of different actors involved in Livelihoods (fisheries) component
Level/
Activity

Planning

Production
and
Technical Backup

Business
Promotion

Training

Business
Implementation

Commissioner
(Fisheries)

Joint Director (Fisheries)


State

Supervision

PMU
(Livestock and Fisheries
Expert)

District

Deputy
Director
(Fisheries), Joint Director
(Fisheries)

Deputy
Director
(Fisheries), Assistant
Director (Fisheries) and
DPU Agri Extension
Officer

Joint
Director
(Fisheries), Assistant
Director (Fisheries)
and
Resource
Agencies

Sub District

Fisheries Dev Officer

Fisheries Dev Officer

Fisheries Dev Officer

Cluster

Support Organization

WUA

WUA MC

Lead person

Lead Fisherman

Lead Fisherman

Group

FCS

FCS

DPU Agri Business


Officer
and
Commodity
Specialist
Commodity
Specialist

Commodity
Specialist
Agent / contractor

Lead Fisherman

Lead Fisherman
FCS

WUA: Water Users Association; FCS: Fisheries Cooperative Society

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FCS

Deputy
Director
(Fisheries),
Agriextension
officer,
District
M&L
officer

Schematic diagram of implementation arrangement of fisheries

Nodal unit

PMU

at DoF

DLIC (Dist.Collecter,JD(Fisheries),JDA,JDH,JD-AH)

DPU

AD(F)

SO
FDO
WUA

FCS

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5. Project Component 3: Agricultural Livelihoods


Support Services
5.5. Foreshore Plantation
5.5.1. Objectives
The foreshore plantations will focus on achieving the following objectives:
Effective utilization of tank foreshore areas
Introduction of foreshore plantation for resources mobilization for WUA for tank
management and maintenance.
Improving fodder and fuel wood situation in tank areas
Creating income generation resources for Water Users Association
5.5.2. The approach
Tank foreshore areas are under submergence for a short period each year during monsoon
season from September to November. In the remaining nine months, there is a possibility
of using these areas for productive purposes. The sedimentation from the catchment in
most cases ensures fertility of tank foreshore areas. Hence, it is proposed to use this land
for plantation of appropriate tree crops which can withstand partial submergence. Past
experience suggests Babul (Accacia nilotica) is suitable species which is also a local
species. It has a low gestation period compared to hardwood commercial timber species
and provides a long term income source to the WUAs. It will also meet the local
requirement of fuel and fodder. The collective action approach will focus on creating
ownership of a productive asset being created at the tank level and thus seeking
community contribution in regular maintenance of plantation, watch and ward, protection
from fire etc. The approach of balancing the gestation mix will be adopted by introducing
fodder plantation as intercropping during the initial years.
The entire intervention will be considered as an opportunity to involve poor and landless
households in the tank areas. Families needing rehabilitation support in terms of
alternative livelihood opportunities will be involved in implementation of the
intervention, Activities of nursery raising, plantation, etc will be taken up through these
groups. The technical support will be provided by the Social Forestry Wing of the Forest
Department of the state. They have generated rich experience on this activity through
implementation of these interventions in some tank areas through the support of Canadian
International Development Agency( CIDA). This experience indicated the potential of
foreshore plantation as an important income generation intervention not only during preplantation stage but also during post harvesting on a regular basis.
The government, through a specific GO, will ensure that the income generated through
the produce will be retained by the Water Users Association and will be used for regular
operation and maintenance of tanks.

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5.5.3. Project interventions


The success of plantation of forestry will depend on selection of appropriate sites and
minimum area. The project will identify tanks which have submergence of foreshore
areas for a short duration of about 3 months and the availability of common land. The
successful species in many cases has been Babul (Acacia nilotica). Plantation of some
fodder trees/bushes will also be considered if fodder is the primary requirement identified
during the TIMP process. The major challenge will be to ensure survival of forestry and
sustaining interest of CIG and WUA members during the gestation period.
Site Selection: The first work after the WUA consent on foreshore plantation, is
identification and demarcation of appropriate size for plantation. Common lands in the
tank will be identified by WUA and the technical feasibility and appropriateness of size
with respect to technical parameters as well as adequacy of plot size for plantation. It is
proposed to take up plantation on about minimum 5 ha of land in the tank area.
Formation of CIGs: The TIMP process will plan to undertake the forestry plantation on
common land as part of tank improvement and management plan. The Support
Organization will facilitate organization of poor to form CIGs. The Social Forestry Wing
officials together with WUA will identify appropriate land for plantation. The CIG will
be trained in pre-plantation and plantation activities including nursery raising.
Nursery raising: After selection of appropriate species together by social forestry
personnel and the WUA, the CIG members will take up nursery raising in collaboration
with Social Forestry Wing. The CIG members will be trained in nursery raising.
Site preparation: Site preparation work will be taken up by the CIG including pit digging
work. The project will support these costs for site preparation. Appropriate spacing will
be maintained to ensure proper growth of trees.
Plantation and other cultural operations: The first two years of plantation are crucial
where some aftercare activities will be needed to ensure better survival of saplings. The
plantation will be taken up as a collective activity on a fixed day and community
members will be encouraged to participate in the plantation activities. This will be
necessary to provide priority to plantation during the cropping season.
The aftercare activities during the first and second year will include, casualty
replacement, weeding, soil working and watch and ward of the plantation.
Maintenance and operation: Regular plant maintenance operations will be taken up by the
CIG under the guidance of Social forestry personnel who will undertake periodic
monitoring of plantation to assess the growth and identify need based interventions.
Regular watch and ward of the plantation will be responsibility of the WUA and CIGs.
Need based mechanism will be set up by the WUA under the facilitation of the Support
organization,

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5.5.4. Implementation arrangement


The Support Organization in the planning stage will orient the WUA members on various
options available for resources mobilization and optimizing the returns from the tank.
This orientation will cover the tank foreshore plantation. Exposure visits of WUA
members to plantation sites will be organized by the Support Organizations. The TIMP
process will facilitate identification of foreshore plantations as an intervention area under
tank improvement plan. The SO will have interaction with the Social Forestry Wing
through DLIC and arrangements of plantation material and other scheduling will be
finalized. The process will also identify the technical backup schedule of Social Forestry
Officer in the area.
The SO will organize the CIG who will take up implementation works. The WUA will
monitor the progress of plantation, and aftercare with the CIGs. Training of CIG
members in nursery raising and plantation will be organized by the Social Forestry Wing
or the locally available technical resource person. All material inputs especially saplings
provided by the Social Forestry Wing of the State Forestry Department.
Growth monitoring and decision of cutting and sale of produce will be taken up by the
WUA in consultation with the Social Forestry Department support in accordance of
proposed Government Order. .
Roles and responsibilities of different actors in implementation of foreshore
plantation
Position
WUA

CIG

Agriculture coordinator- NGO

FRO / DFO

DPU Agri Extension Coordinator

Roles and Responsibilities


Identification of the site for foreshore plantation
Supervision and monitoring of the nursery, transplantation
and maintenance
Cutting the plantation at appropriate stage in consultation
with line dept.
Coordination with line dept
Using the returns for O&M works
Nursery raising
Transplanting
Maintenance and handover the plantation to WUA
Guiding the WUAs in identification of site
Forming the CIG with poor and coordinating their training
for nursery raising and maintenance
Linking the line department officials with WUA and CIG
Helping DPU in identification of suitable tanks
Ensuring the regular supply of inputs like seed, poly bags
etc
Training the CIGs in nursery management and
maintenance
Regular supervision and monitoring the plantation
activities
Providing technical support to CIG
Identification of the tanks suitable for foreshore plantation

118

Position

DLIC
Nodal Unit of State Forestry Office

PMU Agri extension coordinator

Roles and Responsibilities


with the help of Line departments in the district
Liaison with line departments for effective implementation
& training.
Preparation of the district plan
Supervision of the foreshore plantation activities.
Periodical review of the progress of project
Coordination with line department
Coordination with district and sub district line department
units for effective implementation
Supervision and monitoring of the project
Documentation of the good practices
Planning the foreshore plantation activities at state level
Coordinating with nodal unit of state forestry department.
Guiding the DPUs in preparation/ monitoring of district
level/ tank level plans
Monitoring of activities implementation through regular
field visits

119

Schematic diagram of implementation arrangements


Nodal unit at
D o Forestry

PMU

DLIC (Dist.Collecter,JD(Fisheries),JDA,JDH,JDAH)

DPU

DFO

SO

WUA

Common
interest
group

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5. Project Component 3: Agricultural Livelihoods


Support Services
5.6. Marketing and business development
5.6.1. Background
Marketing of the produce plays a very critical role in the farm economics and livelihoods.
There have been very few models where farmer get assured and remunerative price on his
produce. Other side there are a number of agro processing companies and food industries
which require timely and adequate, quality agricultural produce. Lack of supply chain
integration and lack of integration of the farmer with the other end of supply chain i.e.
choice of the consumer is the core issue.. There is a need of integrating the farmer with
supply chain and reduce the length of the supply chain. To achieve the integration of
supply chain and reduce the length of supply chain, the best possible way is public
private partner ship. The project aims to intervene in the tank area agricultural marketing
system to enable the command area farmer to utilize emerging market opportunities.
5.6.2. Problem Analysis
The problems of farmers in realizing the optimum farm gate price include:
Lack of sufficient quantity of produce for marketing at individual level: The Average
land holding size of the tank area farmer is 1.5 Ha, the quantity of the produce is not
economical for direct marketing at big/distant marketing locations. The overhead
costs high: the market agency prefers bulk volumes at one place to purchase, and the
organizations may not prefer to procure from different agencies with small quantities
Long, multi-tier supply chain for farm commodities: The long supply chain for
agricultural commodities are one more constraint for low price realization by the
producer and high price to the consumer. The links in the agricultural commodities
are unique compared to industrial commodities. In industrial commodities supply
chain, there is some value addition at every stage (either in the form of processing or
in the service) which adds to cost accordingly, whereas in agricultural supply chain,
the value addition links are few but each and every stage cost is added
Lack of market information and market intelligence: Lack of market information
leads to exploitation of farmer by middlemen, whereas access to market price
information creates transparent environment on price.
Lack of market linkages: The lack of direct linkages with the processing industries or
big consumers/markets is major constraint for marketing of agri commodities by
farmer himself.
5.6.3. Agri business development process
The agri-business component of the project envisages to bridge these gaps through
various targeted interventions. The first step towards planning and introduction of the
agri business interventions under the project is to understand demand projections of

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various commodities, gain knowledge about existing and emerging opportunities, insights
into different business models present and its suitability to the tank command area
farmers, identifying gaps in the present market system at village level, etc. This will then
lead to designing the implementation strategies for field level support and identification
of the appropriate partners. A state level study will be taken up to assess the above prior
to defining field level actions.
Identification of the Commodities: This plays vital role in introduction of a successful
venture. The commodity identification depends on the following:
Quantity of commodity production
Extent of the area of production
Availability of potential buyers
Shelf life of the produce in storage and transportation
Market price fluctuations in season and out-of-season
The project will concentrate on building the capacities of the WUA members by orienting
and training them properly and guiding/helping them in identification of commodities for
marketing.
Value chain analysis and identification of the gaps: The Commodity specialist and DPU
would undertake a value chain analysis through special studies to identify the gaps in the
entire value chain. This SWOT analysis of particular commodities within the tank area
will be helpful in identifying and leveraging comparative advantages. The actions then
will focus on minimizing the gaps identified and shortening the chain.
Identification of potential buyers: The Commodity specialist with the help of DPU and
PMU maintain the data base of all the available suppliers of inputs and buyers of
different commodities. The DPU team will make the database available to the interested
WUAs with the help of commodity specialist and PMU. The PMU will prepare the data
base of the prospective buyers of different commodities of state level and regularly
updating the same. In the process of starting the business the representative of the lead
farmer will be in regular contact with the available buyers and in regular touch with the
market trends of the selected commodities.
Identification of Tanks for business development: Identification of the tanks will be a
crucial step in the process of marketing intervention. Depend upon the study
recommendations, project will identify the new and appropriate business opportunities
based on district specific opportunities. The tanks will then be identified on the following
criteria:
Availability of location specific business opportunity
Availability of critical mass of produce for marketing (marketable surplus)
Tank location
Community participation and willingness
Orientation training will be given to the all the WUA members on the advantage of
business development, collective marketing and market driven production. Exposure

122

visits of farmers will be arranged to make them aware about market opportunities and to
stimulate their thinking by learning from experiences of the other farmers, who are
engaged in collective actions for marketing of produce and market led production
villages. This will help them to understand the advantages and requirements of collective
actions in agriculture both in production as well as marketing to optimize the returns.
Formation of CIGs: The tank command area farmers will be formed into common interest
groups (CIG) depending upon the activity or commodity produced by them . The project
will enlist support of the Support Organizations/NGOs for organizing the farmers into
CIGs and organizing the capacity building interventions. Organizing farmers in CIGs is
the preliminary step for business development/marketing.
Training of CIG business committee and lead farmer: The lead farmer and CIG business
sub-committee members will be trained in marketing and business development for
effective management of the business. The project plans to conduct the orientation
training for the WUA members on business opportunity and organize the exposure visits
intra and inter state successful collective agri business units for learnings from
experiences. The project also plans to conduct training in procurement, marketing
trainings to WUA. The Lead farmer will be trained in marketing, procurement and
accounts. The DPU agri-business would organize the trainings for the identified resource
persons from both public and private sector to orient them on the project objectives and
deliverable outputs..
Preparation of Business plan: Depending upon the available information and willingness
of the farmers, the lead farmer and CIG business sub committee would prepare a business
plan jointly with the help of commodity specialist and DPU. This plan will give the
business projections of the collective marketing centre for that year, expected turnover,
working capital requirement etc.
Preparation of Marketing calendar: The Commodity specialist and DPU will help lead
farmer to prepare the marketing calendar by estimating the harvesting period and duration
of marketing. This will be useful for planning the working capital requirement in terms of
number of days and amount required based on marketing calendar. The plan will give
clear picture for the CIG business sub committee and lead farmer about the time they
have to engage in marketing activity. The district marketing calendar would be prepared
by DPU by consolidating the marketing calendars of the tanks of the district. The state
marketing calendar would be prepared by PMU with the help of commodity specialists
and DPUs.
Estimation of working capital requirement: With the preparation of business plan and
marketing calendar the CIG business sub committee gets clear picture of how much
working capital required and duration of the requirement etc. The WUA will then prepare
the business plan and seek the working capital for business funds from the project agribusiness and marketing fund. Modalities of the same are detailed out in section on agribusiness and marketing fund. The business interventions by the WUA will form part the

123

Livelihood Development Plan of the TIMP. The TIMP will define the livelihood
interventions proposed in the tank areas.
Arranging Working capital and other basic requirements for procurement: Before starting
the actual procurement, the CIGs may avail working capital from agribusiness and
marketing fund by submitting proper loan application along with business plan to WUA
subject to operational modalities of fund. The project may likely provide the basic
requirements like weighing scales, moisture meters, gunny bags, tarpaulins etc if the
WUA and CIG meets eligibility criteria of village collection centre and made
arrangements for storage by entering the agreement with the owner of the storage
structure. The project plans to provide investment for the purchase of these basic
requirements for starting procurement centre, including the license fees and expenses
against the business plan prepared by the WUA. .
Execution of the Business: The DPU and lead farmer will execute the business with the
help of CIGs and direct the farmers who sold their produce to CIG business sub
committee for payment, the cash transaction has to be managed by CIG business sub
committee. The CIG business sub committee will supervise the entire activity of
procurement and maintain the contacts with market with the help of lead farmer and
receive the payment from market.
The process flow of agri-business interventions is presented in the schematic diagram on
the next page.

124

Agri-Business Development Process


Studies on projections of demand, opportunities, different models, market
scenario, gaps, strategies and partners etc

Identification of the commodities

Value and supply chain analysis of the identified commodities

Identification of the private partner / Buyer

Identification of the Tanks suitable to different commodities

Orientation and Exposure visit of the WUAs

Formation and Training of Commodity


interest groups

Preparation of the Business plan

Preparation of the Marketing calendar

Estimation of the Working capital

Arrangement of working capital from


agri-business and marketing fund

Execution of the Business

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The project planning process will start with a review of the existing cropping pattern in
tank areas and the emerging opportunities. Based on this, the project will seek to support
business interventions in the following areas:
Collective Marketing
The collective marketing model is basically to improve the bargaining capacities of the
tank command area farmer and to minimize the intermediaries in the supply chain. In this
model, project does not intend to introduce new crops in command area. Based upon the
present opportunity, the commodities are identified for marketing. Some likely
commodities for marketing support are:
Maize
Soya bean
Vegetables
Market driven production
Market led production systems are proposed to be adopted for the agri-business
development under the project primarily to promote crop diversification and production
enhancement. The strategy for successful market driven production involves
identification of the right partner and working with partner. The strategy includes:
Identification of the partner and commodity
Preparation of modalities of partnership
Entering the agreement with partner
Planning the production
Training the CIGs
Preparation of procurement and supply calendar
Execution of procurement and supply
Accounting
The market-driven production under the project is broadly divided in to two categories.
The commodities currently identified in the initial years for each activity are presented
below:
1. Seed production
Jowar
Bajra
Maize
Sunflower
2. Specific crop production
Sweet sorghum
Vegetables
As indicated above, this will be a continuous process and other commodities may be
added to the basket.

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Initial analysis of available potential for all these commodities and the SWOT analysis of
each is presented in Annex 2. This provides the clarity on coverages of business
interventions in the project areas.
Both the categories involve more or less same strategy. Changes may occur depend on
the partnership modalities. Details of each sub level are presented in Annex 2.
Agri-business development
The project aims to support agribusiness ventures involving post-harvest processing and
other value-addition activities. In this regard, it will build upon studies of market
demand, emerging opportunities and local potential, and seek to provide local agrientrepreneur groups with technical advice, knowledge of business networks and support
for the Agri-Business and Marketing Fund. The purpose of this fund, the eligibility
criteria for groups seeking to access the fund, and the operational modalities are
described in Annex 1.
5.6.4. Project interventions
Identification of new business opportunities
As mentioned above, the project is keen to study the possibilities of utilizing the
emerging business opportunities and prepare the location specific and commodity
specific business strategies. The objectives of the studies are:
Study the projections of demand
Identification of new business opportunities
Identification of the partners and their business models, suitability of the models to
tank area farmers in the context of new opportunities
Study the present market scenario, statistics, marketable surplus, gaps and strategies
Supply and value chain analysis of the identified commodities
District level opportunities present and strategy to link the opportunities with tank
farmer
Updating market information
Buyers sellers meets: The project realizes the importance of being update on market
trends, opportunities etc. Meeting of buyers and sellers is one of important activity for
interactions between buyers and sellers, to develop long term business relations, to
exchange views on the market situation, to enter in to partnerships, identify opportunities,
solve the problems and pricing etc. The project will organize buyers sellers meets at
district level to introduce CIG members as sellers to all the important commodity traders,
processors and corporate in the district. The DPU will organize the meets every year.
Public Private Partnership building: Public private partnership work shops are planned as
a necessary instrument for mutual understanding of public and private partners, identify
opportunities, define partnership areas, design the partnership modalities by considering

127

others strengths, weakness and operational possibilities. The project intends to promote
the partnerships. Annual workshops are planned to build the public private partnerships.
The PMU will plan and organize these work shops.
Market intelligence: Market intelligence covers various aspects like information, analysis
and recommendations on the area of cultivation, international trends, rain fall and
weather situation suitable for each commodity, international market trends, and future
prospects for the specific commodity in local language. This information will help the
CIG in decision making of crop selection, storage decision, market decision etc. The
project plans to identify suitable partners for the supply of market intelligence and update
the web site with this information for the use of the WUA members.
Dissemination of market information to users
Market information and Market intelligence: Market information is very crucial in
decision making and price fixation for collective marketing. The project intends to spread
the market information among the CIG members, by leveraging availability of advanced
technology of broad band network in villages. The project plans to identify the suitable
partners for development of the content for the web site and maintain it, send the price
information to the all CIG members in the marketing season daily basis through SMS.
The spread of market price information will create environment of transparency in terms
of commodity transaction. The entire village gets the advantage of information. The
market information will cover the daily market trends in the 5-6 major market rates of
each commodity at state and national market situation. The web content will cover the
improved production technologies of different crops and cropping practices which can
help the farming community to take right decision in right time.
Information dissemination through local cable net work: The cable network covers
almost 80% of the tank area villages, the outreach is high in case of information
dissemination through cable network. The market price information through cable
network will create awareness not only limited to the command area farmers, but also to
the entire village, which creates the transparency in sale activities. The project plans to
disseminate the information through already established network.
Radio information dissemination: The Radio is the prime mass media communication
device available in the rural areas, even today after cable network. The project plans to
disseminate information on both, production technologies and marketing information
through talk shows, expression of views, question answer hours etc.
Village Knowledge Centres: Information flows show its impact in production decision as
well as marketing decision. The project plans to provide computers to access information
through internet. The information dissemination effects production decision by taking
right step (either cultivation practice, right chemical spray etc) It is assumed that either
broad band network or dialup network will be available in 500 tank areas. The project
plans to provide computers to those tank areas which are selected for business
development and access to either broad band or dialup network, based on community

128

knowledge levels and opportunities existed. The project assumes these centers further
grow into village knowledge centers.
Development of market infrastructure
Village collection center equipment: The collective marketing process involves
procurement of the produce from members of WUA. To perform this activity WUAs
require some basic collection equipments such as weighing scales for procurement,
moisture meters for quality testing, gunny bags for packing, tarpaulins for drying etc. It is
planned to provide the basic infrastructure to the WUAs for effective performance of the
business. The project will provide these equipment to the WUAs engaged in business
development. It is assumed that 650 tanks would fit into the selection criteria of business
development. Among those tanks,
Selection criteria
Tanks with estimated business turnover of more than Rs.20 lakhs per year
WUA s with minimum B+ ratings
Tank area can produce minimum critical mass of the identified commodity
Cluster level collection center equipment: The cluster level collection centers are planned
to cover more than four villages, where opportunities are present and community is
willing to take up the full pledged business activity. The advanced collection center
equipment includes electronic scales, Moisture meters, drying platform, grading scales,
internet kiosk etc. will be provided for effective collective marketing. There is a
possibility to link with these collection centers with existing private partner in that area.
The project assumes 5% of tanks(150) selected for business development may have the
opportunity. So, it is planned to provide these facilities in these selected WUAs.
Selection criteria
Tank area can produce minimum critical mass of the identified commodity
Tanks with estimated business turnover of more than Rs.50 lakhs per year
WUA s with minimum A rating
Horticulture grading equipment: Post harvest management is critical in the marketing of
horticultural products, after considering, the project plans to establish horticultural
grading centers to cluster of tanks, with all the infrastructure like shed, grading screens,
grading equipment and trays etc. This will be taken up based on the critical mass of
produce availability in that area to keep the center functional for maximum no of working
days. The WUAs will prepare a business plan for establishing such centres in
consultation with the concerned commodity specialist. The techno-economic feasibility
will be assessed before setting up such centres.
Selection criteria
Tanks around the cities with 10 lakh population
Tanks with established formal agreement with market

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Ice boxes: Fisher women are generally engaged in retail sale of fish on a seasonal basis
There are 250 fisher women marketing societies in the state where in women are engaged
in fish retail marketing. The main problem for distress sale of fish in retail markets is
perishability of the product. The, project plans to provide ice boxes to the fisher women
to preserve the produce for longer period. The project assumes 1/3 of total tanks(1000)
will opt for fish business development activities, among those 70% of tanks (700) will be
supported.
Strengthening of milk marketing arrangements
Extending the existing milk route and enhancing marketing facilities are proposed under
livestock development as forward linkages. The existing milk route gets extended to
cover some of the project tank areas presently not falling on the route. Increasing volume
of collection at some viable locations will be taken up through the capital support. The
project facilitates this by negotiating with existing dairy cooperative/private dairy
agencies for the expansion of the milk route. Adequate care will be taken for selecting the
suitable sites and partners involved and the capital can be utilized only after proper
agreement between the dairy farmers and dairy cooperative.
Agribusiness and Marketing Development Fund
Collective marketing: The working capital is the major constraint to start business after
community is willing to take up the activity. The advantage of collective marketing is
diluted if the farmer is unable to get some amount of his produce value on the day he
supplies produce to collective marketing center. It is difficult to the WUA to mobilize the
institutional finance in the very first year to start business. Working capital plays very
crucial role in timely procurement and storage decision. Considering these facts, the
project plans to provide working capital from the agri business and marketing fund
created at the WUA level.
Agribusiness Development: Working capital support will also be provided to eligible
groups of agri-entrepreneurs who are interested in setting up agri-business ventures
involving post-harvest processing or management of produce or related value-addition
activities. Details of the fund are given in Annex 1.
5.6.5. Capacity building
Exposure visits: The project plans for intra and inter state exposure visits to WUA
members for motivation and learning from experiences of other collective marketing
units, processing units, seed production societies, diversified and contract farming
villages. This helps them assess their situation and adopt appropriate strategies for value
addition and improved marketing of their produce.
Trainings and exposure visits to staff: The project proposes trainings on marketing and
exposure visits to all the project staff related to business development for learning from
experiences and effective implementation of the business plans.

130

Trainings: The CIG members will be trained in business activity for effective execution
of the business. The project plans two types of trainings for the WUA members broadly.
Orientation training
Marketing training
Orientation training: Awareness creation and orientation of the WUA members towards
the advantages of the collective marketing, market driven production, quality
maintenance and business development is the primary concern of the training. This is one
day training, conducted at tank level in the selected tanks. The project assumes 80% of
tanks had the potential for business development by considering critical mass is the only
selection indicator.
Marketing training: Marketing training involves package of trainings, The project
assumes 800 tanks selected after considering all the indicators of selection criteria. Only
those tanks are considered for this training. This includes
Procurement training
Marketing training
Accountancy training
Procurement training consists the training on the steps involved in the process of
collective marketing. This training is proposed to the CIG business sub committee
members, who monitors the business and the lead farmer, who executes the business.
Marketing training consists the basic players in the marketing, the supply-demand
system, marketing skills, steps in marketing, precautions in marketing in relation to
agricultural produce. This training also proposed for the WUA water management sub
committee and lead farmer.
Accountancy training is proposed only for the lead farmer, who is executing the business
to maintain the books and accounts properly
Retail marketing training to the fisherwomen is planned for the fisherwomen groups who
are actively involved in the fish retail marketing.
Communication and outreach: Film shows and local folk shows are proposed for
awareness creation, orientation and motivation of the community. Awareness creation on
the quality and grading standards of different commodities, grading process, changes in
crop practices to improve the quality of the crop that fetch more income are also part of
the communication
5.6.6. Implementation arrangements
Tank level business planning and execution is done by lead farmer. The identification of
the business partner, liaison and linkage with farming community is done by commodity
specialist. Identification of the opportunities, liaison at district level functionaries and

131

capacity building will be done by DPU. State level partner identification, coordination,
defining the modalities of the partnership, preparation of the data base of traders and all
the required liaison support at state level will be done by PMU
The project plans 3 tier implementation arrangements. At tank level, the actors are lead
farmer and CIG. At district level DPU and commodity specialist. At state level PMU play
critical roles in implementation of the agri business. The detailed roles and
responsibilities are given below.
Lead farmer: The first level contact at the grassroots level will be the lead farmer. Lead
farmer/s will be the contact and diffusion point for technology dissemination and
business execution. He will be the member of CIG and selected by community for
facilitation. The lead farmer will play very critical role in the success of the project
objectives in the tank command area and will be the representative of tank level business
interventions under the project. Hence, selection will be crucial. It is proposed to
encourage the WUA to identify an appropriate person having the following eligibility.
Selection criteria
Should be a practicing farmer, having own land.
Member of WUA
Should have minimum education of 10th
The Agri business Officer at the DPU will be recruited by project on contract basis from
market to look after the district level agri business activities. The project will hire
commodity specialists on contract basis with partly consolidated payment and partly on
business commission basis for execution of the business development activities in tank
areas. They will be identified on the business opportunity, geographical and economic
feasibility for each commodity and annual business targets. These professionals will be
stationed at the state level and will provide services to the areas where the specific
business interventions for a commodity are planned. The Agri business specialist in the
PMU will be the coordinator of agri-business development interventions and will be
engaged in planning and monitoring of the interventions at the state level. He will also
have the responsibility of identifying newer business opportunities, assessing feasibility
of implementation at the field level in collaboration with internal and external support of
team members and resource persons/agencies including the Livelihood Consortium
members. He will be recruited by project on contract basis from open market.
Roles and Responsibilities of Agri-business unit at state and district level
Position
Lead farmer for Agri-business

Roles and Responsibilities

Prepare the tank business plans jointly with


WUA sub committee with the help of Tank
business facilitator
Mobilize the CIG members for trainings and
exposures
Execute the business at tank level
Maintain contacts with traders and market
Publicize the market information among the

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Position

SO
DPU Agri business specialist

Commodity Specialists

PMU Agri business specialist

Roles and Responsibilities


WUA member
Maintain the accounts of business
Responsible for the business at tank level

Formation of CIGs
Mobilization of farmers for trainings
Identification of the new business opportunities/
commodities in the district
Identification of the potential buyers
Preparation of the data base of potential buyers
in the district
Liaison with the potential buyers and other
corporate
Conducting the district level buyer- seller
meetings
Liaison with district functionaries for marketing
activity
Preparation of the district business plan
Supervision of the Tank business facilitator
Conducting the trainings to the lead farmers/
CIGs / Tank business facilitators
Facilitation to the CIGs / tank business
facilitators / lead farmers in the execution of the
business

Prepare the annual business plans, targets and


execute the same to achieve the targets
Guide the WUA sub committee and lead farmer
in preparation of the business plans
Identify the opportunities for the commodity.
Utilize the existing opportunity for the
commodity in terms of business execution
Help the lead farmer in execution of the
business
Identify the potential commodity buyers and
liaison with the buyers
Supervise the business process in the possible
areas of the commodity
Synchronize the process of procurement and
marketing according to market needs
Organize the grading and quality campaigns in
the tank areas

133

Identification of the new business opportunities


/ commodities
Identification of the potential partners for
business development
Preparation of the database of potential future
partners
Preparation of the modalities for partnership
development
Liaison with partners, commodity specialists
and district units for business development

Position

Roles and Responsibilities


Consolidation of the commodity business plans
and ensuring execution of the same with the
help of commodity specialists.
Supervision of the district business execution
Conducting the workshops for Public Private
Partnerships for new business prospects
Conducting the trainings to the project staff for
business development

Schematic diagram of implementation arrangements


PMU
BUYER
S

DLIC

DPU

CS

WUA

Commodity group

134

The business model implementation arrangement is presented in the following


schematic diagram

PMU

DPU

Commodity
Specialist

Buyer/processor

WUA-WMSC
Lead Farmer

CIG

CIG

CIG

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Annex 1
Agri-business and Marketing Fund
Rationale
The project, through a participatory process of planning and implementation, aims at
optimizing the outputs from WUA as an institution. The project comprising agro-based
interventions focuses on production enhancement as well as maximization of returns
through optimum on-farm practices through business partnerships. The outreach of the
benefits that would accrue from these interventions may embrace the entire system of
water users, which is beyond the farmers in the command. Collective action, for example,
for produce sale as well as establishment of small agro based processing units, will
provide the binding string apart from water management, and an opportunity of
continuous dialogue even beyond the tank rehabilitation work.
Resources mobilization and its management at WUA level is another important area,
where the project will focus the efforts. The project plans to introduce a agri-business and
marketing fund placed with WUA, which will act as capital for implementation of
defined set of activities. The support will be through credit from the fund on prescribed or
agreed upon conditions and ground rules. The project aims at introducing the agri
business and marketing fund gradually in a phased manner. It is proposed to cover about
35% of total WUAs during the project period. Detailed below are the overall operational
modalities of the fund.
The Purpose
The Agribusiness and marketing fund will be utilized for the following purposes:
Promoting access to non traditional markets by collective marketing groups
Post harvest processing and other value addition activities
Agri-business ventures
Better price realization for farm produce at the farmers level can be, to certain extent,
achieved through entering non traditional markets instead of distress sale at farm gate.
The main obstacles faced by the farmers for entering into markets are i) not having
sufficient volume of produce for sale ii) high transportation and other costs at the level
of individual farmer iii) existing commitments for loan repayments to input providers,
which force farmers into distress sales to meet the payment obligations . The collective
marketing approach envisages providing financial support to complement the market
development activities, technical support already proposed in the project. This will be
done through formation of collective marketing groups with a purpose to i) pool together
sufficient volume of produce for sale at non traditional markets ii) to provide collective
transport facilities iii) enable farmers to get higher prices. The project plans to make fund
available on credit basis. These requirements will be on short term basis

136

Marketing of fisheries at non traditional market instead of village is more profitable. This
helps the community to rise up in value chain. A problem specific to fish marketing is the
existing arrangement where input suppliers provide fry/fingerlings, feed etc., in return for
the fish catch rather than specific price. The project will investigate whether these
external input providers can be made provide inputs in return for monetary payments
rather than fish catch. Otherwise as part of development of alternate marketing
possibilities, in this case, support may have to be provided to impoverished FCS to
procure necessary fingerlings and other inputs. It is emphasised that this
inputs/production support is on exceptional basis for the fisheries marketing only. And
as mentioned above, this support will be provided only if no other viable alternative for
input procurement can be arranged. Project therefore plans to make fund available on
credit basis to FCS as CIG (no sub groups) in suitable cases for procuring fingerlings,
feed supplements and transportation from agribusiness and marketing fund on credit
basis.
Post harvest processing and other value addition activities having the potential to improve
the farm income enormously. The project plans to support village level processing and
value addition units owned and operated by groups like mini dal mills, grading centres,
packing units, seed processing units etc.and agri business units depending upon need and
opportunity identified . This is an indicative list and actual activities funded will depend
upon field level specific situations.
The Users
The potential users are CIGs which are groups with common interest such as collective
marketing, collectively owned agribusiness ventures like post harvest processing units or
any other small agribusiness ventures. fish marketing etc.This includes farmers in the
command, groundwater farmers in the influence zone, livestock rearers and Fishermen
Cooperative Society (FCS).
At least 20% of fund will be reserved for women and tribal CIGs (at least 10 % for
women and 10 % for tribals). The modalities (for these groups) will be worked out during
implementation for addressing the specific needs identified.
Process
The release and utilization of fund will be taken place in a phased manner. It includes
following 3 phases.

Phase 1: Enabling environment


Phase 2: Implementation
Phase 3: Sustainability

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Phase 1: Enabling environment Phase 8-9months


This phase includes

Conducting scoping studies for identification of the new business opportunities,


Information sharing and motivation of WUAs
Identification of the WUAs,
Formation and capacity building of CIGs
Partnership building involving production groups, industry and financial
institutions

The process of conducting scoping studies, information sharing, WUA mobilization,


Identification of WUAs will be completed with in 6 months period of project
initiation, the identified Agribusiness interventions would be incorporated in the
concerned TIMP
Scoping Studies: The project plans to conduct scoping studies at state and district level,
these studies will be conducted by individual agri business experts/firms contracted by
project. This will provide insight into new business opportunities, suitable commodities
and suitable tanks for business development. This will be based on existing and emerging
trends in the market, social, agro-ecological and technical feasibility. PMU and DPU will
coordinate the same.
Information sharing: The information generated by studies will be shared with the
concerned WUAs and other stakeholders to build awareness and orient them to the
existing and emerging market opportunities. SO and DPU will play prominent role in this
process.
Mobilization and creating interest among WUAs: The WUAs will be motivated and
mobilized on the existing and emerging opportunities and capture the same for the
economic benefit and become part of the value chain. SO and Commodity specialist will
get actively involved
Identification of WUAs: After receiving interest from bulk of WUAs of the tanks
suggested in the studies, the project screen the suitable WUAs depend on the set of
eligibility criteria which includes social and financial assessment.
Eligibility criteria
The representing tank should be identified in the scoping studies for particular
commodity
The WUA should get minimum B+ overall rating (Institutional and financial
management) assessed for business development by DPU
WUA should get minimum B+ rating in financial management, assessed for
business development by DPU
The WUA should be willing to agree to the operational modalities of fund.
WUA should have operating Cash Credit account with bank.
138

Signing of MOU between WUA and Project: The selected WUA has to enter into MOU
before the release of fund with DPU regarding management of the fund, agreed
conditions and agreed activities.
Formation of CIGs: The process of formation of CIGs will start after TIMP approval, this
will be completed with in 2-3 months period of TIMP approval The interested people will
be formed in to commodity interest groups based on the commodity, business venture or
any other agri business purpose. The SO will facilitate organising the CIGs identified by
the commodity specialist/DPU.
Technical training of CIGs: The CIGs will be trained in the technical aspects like
business plan preparation, business activity, basic marketing aspects or any other
technical required according to need and business venture. The commodity specialist and
DPU is responsible to impart these trainings and capacity building activity.
Eligibility criteria for CIG for collective marketing
They should have CCL from a bank
The CIG should be registered as Rytu Mitra Group (RMG)/FCS
It should have group bank account
CIGs should raise their own corpus and contribute an agreed share to the
projected credit need, which will be at least of 10% of the amount.
Eligibility criteria for CIG for agribusiness ventures
The CIG should prepare an acceptable, bankable business plan with
partnership to raise capital
CIG should have group bank account
CIG should have a CCL with a bank.
CIGs should raise their own corpus and contribute an agreed share to the
projected credit need, which will be at least of 10% of the amount.
,
Partnership development :All the potential partners in a value chain, agri business venture
and potential lenders like banks and financial institutions will brought in to common
platform to share their views and build partnerships in the future by way of conducting
workshops, seminars and buyer-seller meets. The potential partnership will be
encouraged between production groups (CIGs), Industry and financial institutions either
in the form of tripartite or mutual agreements

139

Phase 2: Implementation Phase


Preparation of Business plans: The CIGs have to prepare the business plans including
details of:
production estimates
marketing strategies
cash flows and fund flows
loan requirement, sources of loan, period of loan, repayment schedule
Benefit Cost Ratio and Internal Rate of Return.
The commodity specialist and DPU extend help in the preparation of the business plan.
The business plan developed should be submitted to the concerned WUA which in turn
will be forwarded to the DPU for appraisal and approval.
Business plan appraisal: The DPU will appraise the proposals, if needed with the help of
relevant technical staff under the supervision of DLIC. The business plan should meet the
required financial ratios, i.e., an IRR of minimum 12% and BCR of minimum 1.15:1, in
addition to the social, agro-ecological and technical requirements.
Fund Management: The WUA will be responsible for the timely collection of loan
repayment amounts. This will be monitored by both SO and DPU. Non-payment /
exceeding delayed payments will adversely affect, the rating on financial management
performance of WUA, This is expected to lead to suspension of further support from
agribusiness and marketing fund to the WUAs.
Fund Flow arrangement: The fund will be placed with WUA account, closely monitored
by concerned support organization. The account will be operated jointly by WUA and
competent authority from department as per the act.
Monitoring and reporting mechanism: The agribusiness and marketing fund will be
closely monitored by the SO and DPU from loan application to recovery of fund.
Identification of suitable WUAs, CIGs and release of fund to WUAs and CIGs will be
under the direct supervision of DPU. Proper utilization of the fund for the defined
purpose will be monitored regularly by SO and district project M&L unit as well as the
Finance officer. WUA accounts will be audited on an annual basis by an external auditor.
The project ensures regular audit of WUA accounts and report will be submitted to DPU.
The regular reviewing and monitoring mechanism update the same with PMU.
Phase 3: Sustainability
Nature and growth of the fund: The fund will be a grant fund to WUA and credit fund to
CIGs, which can be accessed by the users during and after the project period. During the
project period, loan requirements will be based on the project interventions. The WUA
will accept the business proposals as per the need and priority as per agreed procedure
beyond the project period.

140

In the post project stage, existing eligibility criteria and main fund operational modalities,
developed during project implementation would continue to apply and line department
staff would continue to support and monitor the WUAs. The CIGs/WUAs utilizes the
services of the technical resource persons identified by line department on cost basis for
business plan preparation. The business proposals will be approved by WUA in
consultation with competent authority from department. It is expected that, the Banks
partly lend agri business ventures, evaluate and appraise the business plans before
releasing its part. The WUA will in turn to have lead responsibility for collection of loan
repayments. This fund will not be used for any other purpose than defined. This will be
ensured by preparing the guidelines for the annual audit of the fund which the WUA will
carryout and submit to I&CAD.
These operating guidelines for the fund would further be refined during project
implementation if required.

141

Producer to Market Collective marketing


Annex 2

Maize production in these 4


district combined-11 lakh tons
which is 53 % total Production
of AP
Source of info is out line of
AP agricultural situation 200405
Warangal, Karimnagar, Medak,
Guntur

Roles - WUA
Preparation of business plans
and projections jointly with
paraprofessional/ lead farmer
Assisting the lead farmer in
procurement and product
mobilization
Overall supervision of business
and accounts verification with
fixed intervals
Timely payment of salary/
commission to Lead farmer

Approach
Estimation of production
Establish market link
Establish Procurement center*
Possible situations
Critical mass of product is
available by including farmers
other than WUA members in one
village
Critical mass of product available
by adding 2-3 WUA members only
Critical mass with only one
village WUA members only

Roles Lead Farmer

Preparation of business plan


jointly with CIG business
sub committee
Execution of the Business
plans and projections
Transparency in business
transactions
Book keeping and account
maintenance
Maintenance of contacts
with market
Making information of
market price available to
WUA members
142

PMU

Marked/
processor

LF

CIG

Strength
Decision making is faster as
representative person executes
business
No confusion in the part of execution

Opportunities
Clarity in the roles and responsibility
leads to efficient management of
business
Better coordination and support
between WUA and paraprofessional
leads to profitable business

DPU

CS

CIG

CIG

Weakness
Lead farmer have
limitations in
decision making
efficiency
Business depend on
Lead farmer
interest,
participation and
decision making
Threats
Lead farmer may
override the
business

Producer to Market Collective marketing

Soyabean production in these 4


districts combined 1.9 lakh tons
Source of info is out line of
AP agricultural situation 200405
Adilabad, Karimnagar,
Nizamabad, Warangal

Approach
Estimation of production
Establish market link with
partner ship of existing
corporate
Establish Procurement
centre / e-choupal
One center for surrounding
5-6 villages

PMU
ITC-IBD

DPU

LF

CS

F
CIG

Roles CIG
Preparation of business plans
and projections jointly with
Lead farmer
Assisting the lead farmer in
procurement and product
mobilization
Overall supervision of business
and accounts verification with
fixed intervals
Timely payment of
salary/commission to lead
farmer

Roles Lead farmer

Preparation of business plan


jointly with CIG committee
Execution of the Business
plans and projections
Transparency in business
transactions
Book keeping and account
maintenance
Maintenance of contacts
with market and DPU
Making information of
market price available to
CIG members

143

Strength
Forward link with big
corporate
Availability of information
on production technology
and market prices
Procurement capacities
increase enormously as
center plays facilitation role

Opportunities
Long term relation with big
corporate leads to
diversification in to
different products
Creation of confidence on
association in the corporate
sector creates new
opportunities

CIG

CIG

Weakness
Corporate may tune the
business according to its
interests

Threats
Too much dependence on
one corporate leads to
collapse of business when
it withdraws
No second alternative
created
Corporate may not bind to
the agreement

Contract Farming

Climatic condition
suitability
Presence of seed
companies
Jowar and Bajra Kurnool,
Kadapa, Ananthapur and
Nizamabad
Maize W. Godavari,
Khammam, Karimnagar
Hybrid Paddy- Karimnagar
The above are major seed
production areas

Roles - WUA
Preparation of business plans
and projections jointly with
lead farmer
Assisting the lead farmer in
allotment of area procurement
and product mobilization
Overall supervision of business
and accounts verification with
fixed intervals
Timely payment of salary/
commission to lead farmer

Approach
Estimation of production
requirement with company
Allotment of area among
CIG members
Arranging agreements
Procurement of production
and transport to company in
bulk quantities
Business center plays
facilitation and commission
agent role between company
and farmer groups

Roles Lead farmer


Preparation of business plan
jointly with WUA
committee
Allotment of production
area among CIG members
by planning jointly with
WUA committee
Execution of the Business
plans and projections
Supervision of quality at
production time
Book keeping and account
maintenance
Maintenance of contacts
with market and DPU
Coordinating with company
for payment
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Seed
Company

Opportunities
Availability of irrigation
water and Linking with
corporate
More income for same
effort
Low risk and income source
to the CIG
Opportunity to raise the
society in to seed growing
society

DPU

LF

Strength
Prefixed price and contract
gives assurance to business
CIG role fixed to facilitation
reduces risk of loss

PMU

CIG

CS

CIG

CIG

Weakness
New production techniques
some time leads to crop
failure
Payments after testing
quality i.e 60 days after
supply of seed makes
farmer loss of interest
Threats
Crop failure and quality
failures lead to conflicts
between farmers and
corporate, further lead to
exit of the company from
village
Preferably one company
can do production in one
place due to isolation
problem

Contract Farming

Medak

Sweet sorghum production is


required for extraction of
ethanol by distilleries- One
distillery has started in Medak
at present

Approach
Estimation of production
requirement with company
Agreement with company
Allotment of area and
sowing dates
Facilitation between
company and CIG on
commission basis for supply
and payment

Roles CIG business committee


Preparation of business plans
and projections jointly with
Lead farmer
Planning the allotment of area
and staggered sowing jointly
with paraprofessional/ Lead
farmer
Assisting the lead farmer in
procurement facilitation and
product mobilization
Overall supervision of business
and accounts verification with
fixed intervals
Timely payment of salary /
commission to lead farmer

Roles Lead farmer


Preparation of business plan
jointly with CIG
Plan the allotment of area
and staggering of sowings
jointly with CIG
Execution of the Business
plans and projections
Transparency in business
transactions
Book keeping and account
maintenance
Maintenance of contacts
with company and DPU
Coordinating the supply and
payments between CIG and
company
145

PMU
Distillery

DPU

LF

CIG

CS

CIG

CIG

Strength
Forward link with big
corporate
Availability of information
on production technology
and market prices
Facilitation is the major role
which is risk free in
monitory terms

Weakness
Corporate may tune the
business according to its
interests
Payments may become late
because of new business

Opportunities
Long term relation with big
corporate leads to
diversification in to different
products
Creation of confidence on
association in the corporate
sector creates new
opportunities

Threats
Too much dependence on one
corporate leads to collapse
of business when it
withdraws
No second alternative created
Corporate may not bind to the
agreement

Producer to
Partial
Market
Contract
Collective
Farming
marketing

The area identified for this


model is the districts fall in 50
Km radius of the cities having
population of min.1 million
Krishna, Guntur, W. Godavari,
Medak, Mahabubnagar,
Nalgonda

Approach
Estimation of supply
requirement with company
Agreement with company
Allotment of area, crop and
sowing dates
Facilitation between
company and CIG on
commission basis for supply
and payment

Roles CIG
Preparation of business plans
and projections jointly with
Lead farmer
Planning the allotment of area,
crop and staggered sowing
jointly with lead farmer
Assisting the lead farmer in
procurement facilitation and
product mobilization
Overall supervision of business
and accounts verification with
fixed intervals
Timely payment of salary /
commission to lead farmer

Roles Lead farmer


Preparation of business plan
jointly with CIG
Plan the allotment of area ,
crop and staggering of
sowings jointly with CIG
Execution of the Business
plans and projections
Transparency in business
transactions
Book keeping and account
maintenance
Maintenance of contacts
with company and DPU
Coordinating the supply and
payments between CIG and
company
146

PMU
Retail
chains

DPU

LF

CIG

CS

CIG

CIG

Strength
Forward link with big
corporate
Availability of information
on production technology
and market prices
Facilitation is the major role
which is risk free in
monitory terms

Weakness
Difficulties in quality maintenance
lead to loss of interest in farmer
Staggered sowings method may
leads to conflicts and confusion

Opportunities
Long term relation with big
corporate leads to
diversification in to
different products
Creation of confidence on
association in the corporate
sector creates new
opportunities

Threats
Lack of maintenance of quality
standards by few farmers lead to
strains in the linkage with corporate
Possibility of supply season
matches with market glut lead to fall
of price even for quality product
Corporate may not bind to the
agreement when quality standards not
met and low market price situation

Krishna, Guntur, W. Godavari,


Medak, Mahabubnagar,
Nalgonda

Roles - WUA
Preparation of business plans
and projections jointly with
paraprofessional/ Lead farmer
Planning the production, area
and staggering jointly with
paraprofessional
Assisting the paraprofessional
in procurement and product
mobilization
Overall supervision of business
and accounts verification with
fixed intervals
Timely payment of salary/
commission to paraprofessional

The area identified for this


model is the districts fall in 50
Km radius of the cities having
population of min.1 million
Krishna, Guntur, W. Godavari,
Medak, Mahabubnagar,
Nalgonda

Approach
Estimation of market potential
Establish market link
Motivate for production
Establish Procurement center

PMU

Wholesaler

LF

DPU

WUA-WMSC

F
CIG

Roles Paraprofessional / Lead


farmer

Strength
One person executes business
Production and crop choice
quantities in the hands of
farmers

Preparation of business plan


jointly with CIG committee
Planning the production,
area and staggering jointly
with CIG
Execution of the Business
plans and projections
Transparency in business
transactions
Book keeping and account
maintenance
Maintenance of contacts
with market
Making information of
market price available to
CIG members

147

Opportunities
Availability of irrigation
water and nearness to market
Efficient and economic use
of available natural resources
Commercialization of
agriculture leads to more
income

CIG

CIG

Weakness
Fluctuating market price
and perishability of
product nature leads to
distress sale

Threats
Intensive cropping system
and market fluctuation
leads to debt trap
Lack of proper storage
and grading method lead
to loss of business

Contract Farming

Guntur, Khammam and


Warangal are the 1st three
districts in terms of production
comprises 2 lakh tons, which is
65 % of total production of AP

Approach
Estimation of production
requirement with company
Agreement with company
Allotment of area and
sowing dates
Facilitation between
company and CIG on
commission basis for supply
and payment

Roles CIG
Preparation of business plans
and projections jointly with
Lead farmer
Planning the allotment of area
and staggered sowing jointly
with lead farmer
Supervision of quality at
production time
Assisting the lead farmer in
procurement facilitation and
product mobilization
Overall supervision of business
and accounts verification with
fixed intervals
Timely payment of
salary/commission to lead
farmer

Roles Lead farmer

Preparation of business plan


jointly with CIG
Plan the allotment of area
and staggering of sowings
jointly with CIG
Execution of the Business
plans and projections
Supervision of quality at
production time
Maintenance of contacts
with company and DPU
Coordinating the supply and
payments between CIG and
company

148

PMU
Market

DPU

LF

CIG

CS

CIG

AD

Strength
Forward link with big
corporate
Availability of information
on production technology
and market prices
Facilitation is the major role
which is risk free in
monitory terms

Weakness
Corporate may tune the
business according to its
interests
Payments may become late
because of new business

Opportunities
Long term relation with big
corporate leads to
diversification in to different
products
Creation of confidence on
association in the corporate
sector creates new
opportunities

Threats
Too much dependence on one
corporate leads to collapse
of business when it
withdraws
Corporate may not bind to the
agreement

6. Project Component 4: Project Management


6.1. Introduction
Project Management Support is one of the important functions that ensure smooth
implementation of Project activities. This comprises of ensuring setting up of project
management units at state and district level (including human resources and equipment),
provision for the operating users, investment in human resources development to take up
challenges of project implementation, designing monitoring mechanisms and instruments
for physical, financial, process and impact monitoring and ensuring their smooth
implementation to support project decision making, documenting learnings from the
implementation process, disseminating the learnings on a wider scale for knowledge
building and increasing awareness about new and emerging opportunities both at field as
well as external environment level. Reporting and liaison with project partner
organizations, support organizations, external professional agencies and the donor agency
forms another important function of the project management support systems.
6.2. Objectives

To set up project management unit for project planning and implementation


To streamline project implementation arrangements as envisaged in the PIP
To take up monitoring and learning of project processes and outputs
To generate learnings, repackage the same into knowledge and disseminate the same
not only among project stakeholders but to a wider development community.

6.3. Implementation arrangements


State level implementation arrangement
The project at the state level will be reviewed by a Project Steering Committee with the
Chief Secretary as the Chairperson. The Project Co-ordinator (Commissioner CADA and
Principal Secretary, I&CAD Department) will be the Convener of the Project Steering
Committee. The other members of the Project Steering Committee will be:
Principal Secretary Finance (Works & Projects)
Principal Secretary, Agriculture
Principal Secretary, Rural Development
Principal Secretary, Animal Husbandry
Principal Secretary, Fisheries
Secretary, Institutional Finance
Secretaries of Irrigation Department
Chief Engineer, Minor Irrigation
Director, Groundwater
Special Commissioner, CADA and State Project Director

149

The state level agency responsible for implementation of the project will be the
Command Area Development Authority in the Irrigation & Command Area Development
Department, Government of Andhra Pradesh. The Commissioner CADA and Principal
Secretary, I&CAD Department will be the Project Co-ordinator. The CADA will form a
Project Management Unit (PMU), which will be headed by the State Project Director
with a rank of a Commissioner / Special Commissioner, CADA to implement the Andhra
Pradesh Community Based Tank Management Project as a Special Purpose Vehicle.
The PMU will constitute of five subject matter units and two administration units. These
will be as follows:
Sl. No.
1

Unit Name
Technical Unit

Institutional
Development Unit

Agri-Business Unit

Monitoring & Learning


Unit

Andhra
Pradesh
Information
&
Resource Centre
General Management
Unit
Finance & Procurement
Unit

6
7

Staff Position
Superintendent Engineer (R / R)
Executive Engineer
Deputy Executive Engineer
Assistant Executive Engineer / Assistant
Engineer
Institutional Development Co-ordinator
NGO Co-ordinator
Human Resources Development Coordinator
Agri-Business Co-ordinator
Agri-Extension Co-ordinator (Agriculture /
Horticulture)
Agri-Extension Co-ordinator (Fishery /
Livestock)
Monitoring &Evaluation Co-ordinator
Research & Documentation
Co-ordinator
MIS Co-ordinator
GMIS Co-ordinator

No. of Staff
1
2
4
12

1
1

Management Co-ordinator

Finance Officer
Procurement Officer

1
1

1
1
1
1
1
1
1
1

The existing Chief Engineer, Minor Irrigation will be incharge for technical inputs to the
Technical Unit of the PMU. A new Renovation & Restoration Unit will be established
with a Superintendent Engineer, 2 Executive Engineers, 4 Deputy Executive Engineers
and 12 Assistant Executive Engineers / Assistant Engineers. The engineering staff of the
R & R Unit will be on deputation from the Irrigation Department and will be dedicated
solely to implementation of the Andhra Pradesh Community Based Tank Management
Project. The staff of the remaining six units of the PMU will be hired on contract from
the open market.
The Technical Unit will be responsible for implementation of Tank Systems
Improvement Component of the project. The Institutional Development Unit will be
responsible for implementation of the Strengthening Community-based Institutions for
Tank System Improvement and Management component of the project and the Agri-

150

Business Unit will be responsible for the implementation of the Livelihoods Support
Services for Tank System Users component of the project. The Monitoring & Learning
Unit and the Andhra Pradesh Information & Resource Centre will be responsible for
monitoring and evaluation of the project and management of information system for the
project. The General Management Unit and the Finance & Procurement Unit will be
responsible for the administration and financial management of the project.
The PMU will be supported by general administrative staff such as clerks, computer
operators, attendants, etc.
On the closure of the project I&CAD Department will retain the PMU to assist it in its
regular functions of restoration and management of minor irrigation tanks and
strengthening WUAs.
District level implementation arrangement
The project at the district level will be reviewed by a District Level Implementation
Committee with the District Collector as the Chairperson. The Vice Chairperson of the
DLIC will be nominated from among the Support Organizations assisting project
implementation in the district. The District Project Director will be the Member Secretary
of the DLIC. The other members of the DLIC will be:
Chief Executive Officer, Zilla Parishad
Divisional Forest Officer
Joint Director Agriculture
Joint Director Animal Husbandry
Joint Director Horticulture
Project Director District Water Management Agency
Project Director District Rural Development Agency
Assistant Director, Fisheries
District Public Relations officer
Deputy Director, Groundwater
Two representatives Water Users Associations (To be nominated by District Collector
on annual rotation basis)
In each project district, CADA will establish a District Project Unit (DPU). The DPU will
be headed by a District Project Director of the rank of an Executive Engineer. The DPU
will be supported by four subject matter and a finance units. These will be as follows:
Sl. No.
1

Staff Position
Deputy Executive Engineer
Assistant Executive Engineer / Assistant
Engineer
Project Officer - Institutional Development

Unit Name
Technical Unit
(Regular
Division
setup)
Institutional
Development Unit
Agri-Business Unit

Monitoring & Learning

Project Officer Monitoring &Evaluation

Project Officer Agriculture Extension


Project Officer Agri-Business

151

No. of Staff
3
10
1
1
1
(where required)
1

Unit
Finance & Procurement
Unit

Project Officer MIS


Finance & Procurement Officer

1
1

The Technical Unit of the DPU will be established by deputing one Irrigation Division of
the district, with its entire staff, to the DPU. This unit will be solely dedicated to
implementation of the Andhra Pradesh Community Based Tank Management Project. In
districts where only one Irrigation Division exists, a new Division will be established and
deputed to the DPU. The PMU will have the facility to hire technical staff on contract to
augment the strength of the DPU Technical Unit where required. The staff of the
remaining four units of the DPU will be hired on contract from the open market.
Tank cluster level and tank level implementation arrangement is described in component
1.

152

Project Steering Committee


Chairperson - Chief Secretary

CADA
Project Co-ordinater - Commissioner CADA &
Principal Secretary (I&CAD)

State Level

Line Departments

Project Management Unit


State Project Director Commissioner / Special Commissioner CADA

Technical Unit
R/R
SE-1
EE2
Dy E E 4
A E E / A E - 12

Institutional
Development Unit
ID Co-ordinator - 1
NGO CoI
HRD Co-ordinator - 1

Agri -Business Unit


Agri-Business Co-ordinator - 1
Agri-Extension Co-ordinator
(Agri / Horti) - 1
Agri-Extension Co-ordinator
(Fishery / Livestock) - 1

M & L Unit
M&E Co-ordinator
-1
Research &
Documentation
Co-ordinator - 1

AP Info Resource
Centre
MIS Co-ordinator 1
GMIS Co-ordinator
-1

General
Management
Management
Co-ordinator - 1

Finance &
Procurement
Unit
Finance
Officer - 1
Procurement
Officer - 1

District Level Implementation Committee


Chairperson District Collector

District Level

Line Departments
District Project Unit
District Project Director Executive Engineer

Technical Unit
Dy E E 3
A E E / A E - 10

Institutional
Development Unit
Project Officer - I D - 1

Agri -Business Unit


Project Officer AgriExtension - 1
Project Officer AgriBusiness (where
required)
-1
153

M & L Unit
Project Officer M&E 1
Project Officer MIS - 1

Finance &
Procurement Unit
Finance &
Procurement
Officer - 1

Legal framework for proposed institutional arrangement


The institutional arrangement for the project has been established through Government
Order No. 231 dated 22 December 2006 issued by I&CAD Department, Government of
Andhra Pradesh.
6.4. Project Management Support
The project management support involves developing implementation strategies,
operational guidelines, packaging them in manuals to support the implementation staff,
field functionaries, WUA managing committee and support organizations. The PMU staff
will take up these activities for respective components. In case external support/ guidance
is required, the same will be sought through short term inputs of experts.
Project initiation
As indicated in the roles and responsibilities, the PMU has a specific responsibility of
project planning and scheduling, budgeting, providing technical backup to field
implementation and ensuring the work completion as scheduled. The PMU sub-units will
initiate work by designing implementation strategies, guidelines and operational manuals.
This has been initiated as part of the project preparation process. The DPU staff and
Support Organizations will be oriented on the project approach and processes,
implementation arrangements, implementation strategies. The project design envisages
coverage of tanks in three batches starting with less number of tanks in the initial year
with gradual increase.
Annual planning
The PMU and DPU members will prepare annual action plans for project implementation
and set up implementation targets to be achieved. Based on the annual plans, each unit of
PMU will prepare their own plan in consultation with the DPU staff. The DPU staff will
initiate their work by assessing the district situation in terms of extension needs,
development potential and emerging opportunities. Planning at district level will also
include brainstorming, discussions and planning of collaborative working with various
line departments and partner agencies. Based on this assessment, each DPU will develop
a District Annual Action Plan covering institutional development, technical works
infrastructure development and livelihood promotion. This plan will be discussed in the
DLIC and then finally submitted to PMU. The PMU sub-units will develop project level
plans and will review the progress of works on a quarterly basis with the Project Director.
The Finance and Procurement wing will initiate trainings on the manual prepared to
streamline the implementation as scheduled.
The initial processes and systems set for project implementation planning will be
continued in subsequent years with addition of annual review workshops linked to
planning process. These will be useful in understanding the gaps in implementation,

154

challenges of scaled up interventions in subsequent years, and the learnings generated


through the implementation process.
Internal review of project management
The project management needs to be based on continued understanding of field level
progress and issues arising during implementation. The PMU has a major task of
ensuring smooth and timely implementation of field activities. The work also involves
planning and making arrangements for backup support for project interventions.
All these will be reviewed by the PMU at the state level and by DPU at district level. The
PMU will undertake quarterly reviews of progress whereas monthly reviews are planned
to be taken up by the DPU. Each support Organization is expected to submit a report to
DPU on key activities. Details of the MIS are presented in M&L section. The quarterly
review will be initiated with the presentation of progress against annual action plan by
each district unit. The overall project status will be presented by PMU MIS and M&L
units. The discussion led by the Project Director will focus on understanding reasons of
gaps in implementation as well as success factors and to plan further inputs and technical
backup.
Quality control and supervision
Quality control will be given priority in planning and implementation process. The
project will follow the GOI guidelines for quality control. The bidding document or
MOU shall also incorporate suitable clauses for ensuring quality control and
performance. There will be a three-tier quality control mechanism. At the first tier closer
to the location of the water body, the DPU will carry out specified inspection. At the
second tier periodic inspections will be carried out by quality control units specially set
up for the purpose. The third tier of quality control structure will be the independent
monitors (individuals/agency) for random inspection. Apart from inspection at site with
reference to quality they may also report on the general functioning of the quality control
mechanism in the District
Human Resources Development
Human resources development is one of the major support functions of the PMU. The
staff associated with the Project will be provided exposure & capacity building not only
to meet the activity specific skills but will be oriented on project management functions.
Actions will also be planned on providing exposure to the staff so emerging concepts,
technologies, success stories of peoples participation in resources management etc.
These trainings will be in addition to the activity specific exposure and training as
envisaged in other component descriptions.
The project staff will be provided national and international exposure and training in
specific challenging areas relating to technology use, management of resources,
partnerships etc. These events will be treated as incentives for better performance. It is

155

envisaged that this exposure to the staff will help bring in new learnings and insights in
the project.
To encourage effective and quality performance by WUAs the project will consider
giving incentives to WUA assessed to have performed excellently. The procedure and
nature of incentives will be decided as per the existing rules of the government.
6.5. Partnering institutions
The partnering institutions to the project are:
Support Organization will provide services of community mobilization and
institutional strengthening of the WUAs to the project.
Panchayati Raj Institutions will provide support for linkage with on going schemes
such as NREGP, etc.
Line Departments - will provide services of agricultural development and livelihoods
promotion to the project.
Training organizations - will provide services of training and capacity building to
the project.
Professional Consultancy Agencies - will provide services of monitoring and
learning, third party quality control, thematic studies, documentation, MIS and GMIS,
knowledge management, etc. to the project
Livelihood Consortium will provide strategic guidance and develop models for
livelihoods promotion for scaling up across all tanks
6.6. Support Organization selection criteria
Introduction
Andhra Pradesh is essentially an agricultural state. Efficient and equitable supply and
distribution of water ensuring optimum utilization by farmers for improvement of
agricultural production is the immediate need. In this regard scientific and systematic
development and maintenance of irrigation infrastructure is considered best possible
through farmers organizations. Further such farmers organizations have to be given a
commanding role in the management and maintenance of the irrigation system for
effective and reliable supply and distribution of water. Government of A.P vide Act II of
1977 enacted The A.P Formers management of irrigation systems, where in an
institution called Water User Association at the Primary level consisting of all the
water users was constituted. Inter alias, the objectives of Farmers organization shall be to
promote and secure distribution of water among its users, adequate maintenance of the
irrigation system, efficient and economical utilization of water. To achieve these
objectives the capacities of farmers organizations have to be improved and at the same
time the cross sectoral issues with other water interested departments and P.R institutions
are to be understood and solved.
Capacity building is a continuous activity, more so, in view of the fact that 1/3rd member
of the farmers organization (W.U.A), change once in two years. Added to it, the ambit

156

and utility of a tank is no more confined to a simple water body supplying water to
farmers owning land under the command area. The tank management is now linked to
livelihood, modernization of agriculture and optimizing its production to protect the
environment and to ensure ecological balance by involving farmers and inculcating a
sense of ownership of the irrigation system.
To achieve these objectives capacity building to be entrusted to professional S Os who
have good track record and experience in such works. The experience of selection of
SOs in the past, ran into problems. To avoid such mistakes there is a need to adopt a
rigorous and transparent procedure for identification and selection.
The selection procedure followed in other organizations like WALAMTARI and A.P.
Academy for Rural development were examined (enclosed as annexure 1 & 2
respectively) and portions suitable for CADA requirement were taken into consideration.
The output expected of an S O is:
1. Normally capacity building activity is spread over eighteen to twenty four months, so
SO should have regular contact with community for about 30 months.
2. At the end of two years period the WUA should be able to conduct meetings,
maintain records, assist in tax collection, prepare maintenance plan, implement
warabandhi schedule and other activities expected of W.U.A as per sec.17 of
A.P.F.M.I.S
3. The S O should be working in the same district with working experience in related
fields.
4. The SO should plan his work in such a way that the community (WUA) takes active
participation right from planning stage to execution and subsequent O & M.
5. Apart from water management, the activities involve production systems productivity
enhancement, subsidiary forming occupations etc. At the end of two years period
there should be visible impact.
6. The general objective is to prepare the community to strive for over all rural
development through effective water management.
Selection Committee
There shall be selection committee for shorting the S Os / other organizations with the
following members.
District Collector
Chairman
P.D.D.W.M.A
Member
P.D.D.R.D.A
Member
J.D. Agriculture
Member
C.E.O Z.P
Member
A.D. Fisheries
Member
S.E / E.E M.I (DPU Co-ordinator)
Member Secretary
Expression of Interest (EOI)
EOIs will be called from SOs through wide publicity in the new paper.

157

Notification
Press notification should be given in district and state editions.
Eligible organization
1. Non Governmental Organization (S Os)
2. Federated Bodies (VO & MMS) Empowered by SERP
3. Professional Development Institutions (KVKs, FTCs, etc.)
Screening of applications
The screening will be done in two stages
I Stage: All the applications received will be screened with in the following parameters.
First level screening
1)
Organization having demonstrated programme experience in rural
development (Those not having experience will not be considered).
2)
Organization mobilizing funds from institutions like GOI, CAPART, Dept of
Rural Development etc. and not only from public donation.
3)
S O should have technical staff (Engineering, Agriculture, Natural resource
Management) in the last three years period.
4)
S O should be registered under Act and having working experience not less
than 3 years from date of registration.

Yes

No

Tick appropriate column


Organizations which could satisfy all the above criteria will only be considered for
second level screening.
II Stage: In second level screening the applications will be processed on the following
parameters.
1. Organizational Capacities
2. Programme Implementation Capabilities
3. Skills and Attributes
A format indicating the weight ages (marks) given to each type of activity is given below.

Sl. No.

Activity

Weight age

Credibility

20

Previous Annual Budget of Organization

10

Marks

a. 1 to 3 Lakhs

b. 3 to 5 Lakhs

c. More than 5 Lakhs

10

158

Marks
Obtained

Audited Statement for the last three years


2

10

a. Available for 1 to 2 years

b. Available for Above 3 years

c. Available for Above 5 years

10

Total Marks Obtained


II

Governance

20

Age of organization

a. Below 5 year

b. 5-10 years

c. Above 10 years

Board meetings held in previous 3 years


2

a. < 25% Norms prescribed in Bye-Laws

b. 25% to 60% of Norms prescribed in Bye-Laws

c. > 60% of Norms prescribed in Bye-Laws

Attendance of the board meetings of last 3 years


3

a. up to 50 percent attendance

b. 50-75 percent attendance

c. > 75 percent attendance

Board Composition
4

a. Above 35% among the Family members

b. 35-65% among the Family members

c. > 65% among the Family members

Total Marks Obtained


III

Institutional Capacity

20

Availability of Infrastructure

a. Fulfillment of minimum requirement


(Office space)

b. Fulfillment of average requirement


(Office space with mobility)

c. Adequate requirement
(Office space, Required mobility with supporting
systems like Computer, telephone and training
centre)

Women in working staff


2

a. < 25%

b. 25 50 %

c. > 50%

Working staff of local language


3

a. < 35 %

b. 35 - 50%

b. > 50 %

159

Staff
with
Technical
background
(either academic or working knowledge with
experience)
a. 1 person in the team with technical background
b. 2-5 persons in the team with technical
background
c. > 5 persons in the team with technical
background

5
2
4
5

Total Marks Obtained


IV

Competence

40

Experience in Water Management

15

a. < 3 years

b. 3 to 5 years

10

c. > 5 years

15

Experience in Rural Areas (Local area of district).


2

a. < 3 year

b. 3 to 5 years

c. > 5 years

10

Working Experience in community mobilization


3

10

15

a. < 3 years

b. 3 - 5 years

10

c. > 5 years

15

Total Marks Obtained


Grand Total Marks Obtained

100

Verification
Wherever required information furnished in the application should be cross checked
through field visit. Applications with deviation as stated and as existing would be
rejected.
Empanelment
The SOs scoring more than 50% of the marks would be empanelled and their services
would be utilized as per requirement.
6.7. Terms of Reference for Support Organization
Background
Government of Andhra Pradesh is implementing the AP Community Based Tank
Management Project under which it will take up the restoration and modernization of
minor irrigation tanks. The project will be implemented through a participatory process
with the tank users (Water Users Association and other tank stakeholders) as the primary
implementing agency.
160

The overall objective of the project is Improved tank system based livelihoods and
strengthen community management of selected tank system. The project is being
implemented by the PMU (a Special Purpose Vehicle) with its implementation units at
the District level (DPU). The project will be implemented in co-ordination with various
government departments, the District Authorities and other identified stakeholders. To
strengthen the participatory processes in the project and promote involvement of tank
stakeholders in carrying out the tank improvement and community based tank
management the project intends to use the service of experienced Support Organizations.
Objective of the Assignment
The objective of the assignment is to harness the strength of the SOs in facilitating
community mobilization and participation for the effective management of tanks through
implementation of the AP Community Based Tank Management Project.
Expected Outputs
The expected outputs of the assignment are:
1. Effective mobilization of all tank stakeholders to participate in the activities of the
Water Users Association
2. Capacity developed of the Water Users Association in effectively performing their
roles in:
i.
Collection of water charges
ii.
O&M of tank system
iii.
Water audit and water sharing (surface water and groundwater wherever
planned)
iv.
Promoting agricultural growth and tank based livelihoods
v.
Resource mobilization and management
3. Effective participation of the Water Users Association in planning, implementation
and monitoring of the project activities
Scope of Work
Sl.
No.

Activity

Institutional Responsibility
Primary
Secondary

Tank Identification Stage (3 Months)


1
Hydrological & technical assessment of tank
2
Delimitation of water spread Area upto FTL, feeder
channels and command area of tank
3
Selection of tank
4
Assessment of groundwater recharge potential of selected
tank
5
Selection of tank for groundwater interventions
6
Identification of groundwater unit / influence zone of the
selected tank
7
Identification of encroachment and /or additional land
required in tank

161

APSRAC
DPU

DPU

DPU
DPU
DPU
DPU
DPU

WUA

Tertiary

8
Selection of SO
Pre- Planning Stage (2 Months)
9
Social Mapping & identify all tank stakeholders (and
groundwater users) in tank system area and influence
zone
10
Project sensitization and awareness among the tank
stakeholders
11
Involve village level functionaries of line departments /
PRI department
12
Organize tank based consultation with all stakeholders
13
Assessment of WUA readiness for contribution towards
restoration & rehabilitation of tank
14
Prepare Resettlement Action (RAP)
15
Agree on draft MoU between WUA & DPU
16
Sign of MoU between WUA & DPU
17
Maintenance of books and accounts by WUA
Planning Stage (4 Months)
18
Implement RAP
19a
Collect required data through Participatory Rural
Appraisal*
19b
Survey of technical aspects of tank, catchments area &
command area / tank influence zone
20
Provide initial training to WUA members on TIMP
preparation
21
Constitute four sub committees (on Works, Finance,
M&E and Training,Water Management) of WUA
22
Provide training to all sub committee members on their
roles and functions and responsibilities
23
Mobilize groundwater users into groundwater user groups
and affiliate them to WUA
24
Awareness generation among groundwater user groups
about project groundwater interventions
25
Prepare TIMP
(i) Design, estimate of Civil works
(ii) Training Plan
(iii) Livelihoods Plan
(iv) Compilation of TIMP Document
26
Ratify TIMP in WUA GB meeting
27
Identify activities for Gram Panchayat implementation
and submit the list to the GP
28
Open WUA bank account for contribution (separate from
WUA account)
29
Mobilize cash contributions
30
Appraisal of TIMP by DPU
31
Include TIMP in District Plan for DLIC Approval
32
Sign Agreement on TIMP implementation between WUA
and DPU
33
Prepare procurement plan for materials & manpower for
works by WUA
34
Prepare tender documents for works to be tendered
35
Maintenance of documents, books and accounts
Implementation (18 Months)
36
Public display of project information on wall / notice
board

162

DPU
SO

WUA

DPU

SO

WUA

SO

WUA

DPU

SO
SO

WUA
WUA

DPU

DPU
DPU
DPU / WUA
WUA

WUA
WUA

SO
SO

SO

DPU
SO

WUA
WUA

SO
DPU

DPU

WUA

SO

SO

WUA

DPU

SO

WUA

DPU

SO/ GWD

WUA

SO

WUA

WUA
DPU
SO
SO
SO
WUA
WUA/GP

SO
WUA/WSC
WUA/WSC
WUA/WSC

DPU

SO
SO

DPU
DPU

WUA

DPU

WUA
DPU
DPU
WUA / DPU

SO

SO

DLIC

WUA / DPU

SO

DPU
WUA

WUA/SO
SO

WUA

SO

DPU

37
38
39
40
41
42

Implement civil works by WUA, and other TIMP


activities
Implement civil works by contractors
Supervise both type of works
Quality assurances through agreed mechanism and
reporting
Work completion report
Organize trainings for WUA

43
44

Implement participatory hydrological monitoring


Crop-water budgeting & crop planning for groundwater
based irrigation in tank influence zone
45
Promote water efficient technologies in groundwater
based irrigation
46
Institutional strengthening of groundwater user groups
47
Mobilize formation of common interest groups for agribusiness promotion
48
Implement livelihoods/agri-business plans etc.
49
Strengthen linkages with departments, commercial banks
and private sector
50
Maintain documents, books and accounts
51
Participatory monitoring at village level
Post Implementation (6 Months & onwards)
52
Assess WUA for refresher trainings
53
Refresher Training for WUA

WUA

SO

DPU

Contractor
WUA
NCCBM

DPU
SO
DPU

WUA
DPU
WUA

DPU
SO/Resource
Persons
WUA
WUA

WUA
WUA
SO
SO

DPU
DPU

WUA

SO

DPU

SO
SO

WUA
WUA

DPU
DPU

SO
SO

WUA
WUA

DPU
DPU

WUA
WUA

SO
SO

DPU
DPU

SO
WUA
DPU
SO/Resource
WUA
Persons
54
Update seasonal O&M strategy, plans and estimates
DPU
WUA
SO
55
Operationalize O&M plan
WUA
DPU
SO
56
Maintenance of O&M fund
WUA
DPU
SO
57
Maintenance of documents, books and accounts
WUA
DPU
SO
58
Preparation of project completion report on agreed format DPU
WUA
SO
59
Monitoring at WUA performance every 6 months
WUA
DPU
* Information will include: Socio-economic profile of tank stakeholders, Resource profile of tank system;
Trend analysis of groundwater based irrigation; Tank based production system analysis; Problem
identification (tank system deterioration); Needs identification (Related to WUA institutional development
/ tank restoration / livelihood); Identification of resources with WUA; Identification of interventions (WUA
institutional development / tank restoration including groundwater / livelihood / trainings); Identification of
expected outputs from proposed interventions.

After selection of a SO, the DPU will assign tanks to it. A SO will be given the
responsibility for a cluster of 5 to 10 tanks (depending on the size of the command of the
individual tanks). On assignment of the tanks, the SO will prepare detailed project stage
wise Work Plans for each tank assigned to it. These Work Plans will be prepared as Log
Frames with clear milestones for producing outputs (Annex 1) and GANTT Charts with
clear month wise activity planning and (Annex 2). They will also clearly specify the
Responsible Person / Required Facilities / Required Equipments & Materials / Required
Services for implementing each activity.
The tank work plans will be compiled by the SO into the SO Annual Action Plans with
activity and budget break ups.

163

The SO will submit the tank Work Plans and SO Annual Action Plans to the DPU within
one month of assignment of the tanks, which will be scrutinized by the DPU and finalized
in consultation with the SO. On finalization of the tank Work Plans and SO Annual
Action Plans, the DPU will submit it to the DLIC for approval. The Contract between the
SO and the DPU will be signed with the tank Work Plans and SO Annual Action Plans as
Annexure. The Contract between the SO and the DPU will be for the duration of a year
and will renewed annually based on the performance output of the SO.
The SO will induct the required project staff to the project within two weeks of signing of
the Contract.
Inputs
Human Resources
The SO will depute the following staff for each cluster of tanks.
1. Community Mobilizer
Minimum Qualification Social Science Graduate with minimum 3 years of work
experience in community mobilization
2. Civil Engineer
Minimum Qualification Diploma in Civil Engineering with minimum 3 years
experience in rural engineering
3. Agriculture & Water Management Staff
Minimum Qualification Agriculture Graduate with minimum 3 years of work
experience in water resource management
Financial Resources
In lieu of the services provided by the SO to the project payment will be made to it. The
payment will be made as quarterly installments as per the break up provided in the SO
Annual Action Plan. The first installment will be paid within a fortnight of the signing of
the contract between the SO and the DPU. However, subsequent installments will be paid
only on the submission of expenditure statement certificate of the previous installment
and performance assessment of the SO as per the project stage wise output milestones
listed in the tank Work Plans.
Monitoring and Reporting
The SO will submit monthly physical and financial reports on the implementation of its
Annual Action Plan to the DPU in the formats provided by the DPU.
The SO will submit half yearly and annual reports to the DPU in the formats provided in
compliance to the requirement of the half yearly and annual project reviews.

164

The SO will submit process, outcome and impact monitoring reports to the DPU in the
provided format as per scheduled specified in the formats.
DPU will appraise the reports submitted by the SO and carry out the performance
assessment of the SO based on the reports.
DPU will compile district reports of SO performance and submit it to PMU for appraisal.
Duration of Assignment
The project implementation period in a tank will vary from 24 to 30 months depending on
the physical state of the tank and preparedness of the WUA. The duration for which the
SO will provide services to the project for each tank will consequently depend on the
status of the tank assigned to them varying between 24 to 30 months as follows:
Sl. No.

Project Stage

1
2
3
4

Pre-Planning Stage
Planning Stage
Implementation Stage
Post Implementation

Duration of Project Stage


(Maximum
period
in
Months)
2
4
18
6

Principles Governing the Assignment


1. The staff deputed by the SO will work closely with DPU staff at the district, tank and
WUA level.
2. Although the roles and responsibilities of each project staff will be distinct and clearly
defined, a mutually complementary work culture performance levels and procedures
would be evolved and adopted to generate a synergistic impact for promoting the
objectives of the project.
3. To achieve harmonious functioning between the SO and the DPU, conscious efforts
will be made for on the part of both partners to ensure mutual accountability.
4. In order to facilitate development of a common vision regarding the objectives of the
project, joint trainings for both DPU and SO staff will be conducted on project
objectives, project strategy, project management and project implementation process.
6.8.

Capacity building objective and strategy

Objectives
The capacity building objective of the project is to develop and enhance the capacities of
all direct stakeholders of the project from the WUA members up to the state level staff of
the PMU in achieving the objectives of the project through a results based management
strategy.

165

The project defines capacity as the ability of individuals, groups, organizations and
institutions to address emerging issues and situations as part of a range of efforts to
achieve the overall project objectives.
Under this, the project capacity building strategy will be to:
Strengthen field / organization level operations
Improve performance to achieve agreed results
Move to partnership arrangements with different project stakeholders
Promote greater sharing of knowledge, learning and best practices
Promote accountability and transparency in project processes
Improve ability to co-ordinate with other sectors and projects
The key principles and characteristics of the project capacity building strategy are:
Partnership: The existence of a relationship between stakeholders that kindles a sense
of ownership
Access to information: The ability to articulate and disseminate it, i.e. information
flowing from the bottom up and horizontally rather than from the top down
Participation: Direct involvement of all the stakeholders in designing, implementing
and monitoring and evaluating the capacity building plan leading to self-mobilization
where the stakeholders have taken full responsibility for the initiative
Subsidiarity: Which means doing the work at the lowest possible level of
implementation and management
Flexibility: Capacity building initiatives should be modifiable as experience is
acquired. It should be essentially iterative where design leads to implementation
steps, which are then monitored and in turn leads to redesign and adjustment in
implementation. It must thus be guided by adaptive management approaches
Systems Perspective: Achieving the project objectives will require interaction among
various organizations and actors. In such a context, networking and collaboration
among organizations and actors, and mechanisms to make it happen is central to the
development of an effective capacity to manage the project
Process Approach: The process through which the project will be implemented is
through partnership, participation of the stakeholders, ownership and subsidiarity,
learning by doing, and collaboration. Consequently, to ensure long term sustainability
of the project the project processes is an important part of the project outcome.
Capacity building strategy
The project will adopt a Results Based Management Strategy (see figure below). Results
Based Management is defined as a broad management strategy aimed at achieving
important changes in the way organizations operate, with improving performance
(achieving better results) as the central orientation. A key component of results based
management is performance measurement, which is the process of objectively measuring
how well an organization is meeting its stated goals or objectives. It typically involves
several phases: e.g., articulating and agreeing on objectives, selecting indicators and
setting targets, monitoring performance (collecting data on results), and analyzing and
reporting those results vis--vis the targets. While performance measurement is
166

concerned more narrowly with the production and supply of performance data,
performance management is broader. It is equally concerned with generating
management demand for performance information, i.e., with its uses in management
decision-making processes and with establishing various organizational mechanisms and
incentives that actively encourages its use. In an effective performance management
system, achieving results and continuous improvement based on performance information
is central to the management process.
The key stages of results based management strategy are:
1. Identifying clear and measurable objectives (results), aided by logical frameworks
2. Selecting indicators that will be used to measure progress towards each objective
3. Setting explicit targets for each indicator, used to judge performance
4. Developing performance monitoring systems to regularly collect data on actual
results
5. Reviewing, analyzing and reporting actual results vis--vis the targets
6. Integrating evaluations to provide complementary performance information not
readily available from performance monitoring systems
7. Using performance information for internal management accountability, learning and
decision making processes, and also for external performance reporting to
stakeholders and partners
Thus, integrating complementary information from both evaluation and performance
monitoring systems and ensuring management's use of this information are critical
aspects of results based management.
Other critical components associated with results based management strategy that
reinforce or facilitate the use of performance information are:
1. Accountability: instituting new mechanisms for holding organization staff and units
accountable for achieving results at appropriate levels
2. Decentralization: delegating authority to the organizational level accountable for
results, and empowering them with flexibility to shift resources to better performing
activities
3. Client focus: consulting with beneficiary groups concerning their preferences and
satisfaction with goods and services provided, and being responsive to their needs
4. Participation and partnership: involving partners and stakeholders in all aspects of
performance measurement and management processes, and seeking greater
harmonization of efforts
5. Reformed operational policies and procedures: instituting new policy and procedural
directives aimed at changing the way the organization conducts its business
6. Supportive mechanisms: assisting organization staff to effectively implement
performance measurement and management in various ways, such as providing
training, technical assistance, performance information databases, guidebooks, tips
and best practices series
7. Cultural change: equally important for successful results based management is
transforming the organizational culture, that is, the values, attitudes and behaviors of
its personnel

167

The steps in defining the result based management strategy for the project are as follows:
1. Agreement on and initiation of the strategic management process
2. Identification and clarification of the organizations mission, objectives, and current
strategies
3. Identification of the organizations internal strengths and weaknesses
4. Assessment of the threats and opportunities from the external environment
5. Identification of key constituents / stakeholders and their expectations
6. Identification of the key strategic issues confronting the organization
7. Design / analysis / selection of strategy alternatives and options to manage issues
identified in step 6
8. Implementation of the strategy
9. Monitoring and review of the strategys performance
The capacity building strategy of the project would therefore be required to cover the
following broad project management functions and would be operation at three project
implementation levels.
Components
of
project
management
functions

Policy Making
and Planning

State Level

1.
Operational
Strategy
for
Project
Implementation
2. State Level
Project Annual
Action Planning

District Level

1. District Level
Project Annual
Action Planning

WUA Level

1. Micro Level
Planning
for
WUA
Action
Plan
2. Rules for
WUA
Operations

Establishment
and
Maintenance of
Institutional
Framework
1.
Project
Steering
Committee
2. PMU (State
Level)

Mobilization
of
Resources

Implementation
and
Monitoring

1.
Project
Funds

1. District Level
Implementation
Committee
2. PMU (District
Level)
1. Water Users
Association

1.
Project
Funds

1.Implementation
of Project Annual
Action Plan
2. Monitoring using
MIS / Remote
Sensing / GIS
3. Project Review /
Evaluation Studies
1. Implementation
of District Annual
Action Plan
2.
Technical
Monitoring
1. Implementation
of Tank Action
Plan
2.
Participatory
Monitoring

1.
Project
Funds
2.
Water
Charges
3.
WUA
Funds
4.
Fishery
Lease

Information
Management
and Awareness
Raising

As a first step towards operationalizing capacity building strategy in the project a


Capacity Building Needs Assessment study will be conducted by an external expert. The
Capacity Building Needs Assessment study should follow the following steps.

168

Steps
Step 1
Step 2
Step 3

Step 4
Step 5
Step 6

Step 7

Step 8

Step 9
Step 10
Step 11

Step 12

Activity
Analyze the project implementation plan to identify the tasks and roles to be performed by
the different project stakeholder organizations at various levels.
Analyze the organizational structure of each project stakeholder organization to identify the
personals that would perform the delineated tasks and roles.
Analyze the results based management strategy of the project to identify the performance
levels to be achieved by the listed personals of the different project stakeholder
organizations at various levels.
List the personals already in place of the different project stakeholder organizations at
various levels and analyze the present tasks and roles being performed by them.
Identify the gaps, required knowledge, skills and attitudes for these personals to achieve the
agreed performance levels of their delineated tasks and roles.
Identify and list the personals of the different project stakeholder organizations at various
levels that need to be recruited and set the minimum qualifications and experiences for
their selection.
Identify the essential knowledge, skills and attitude needs for the newly recruited personals
of the different project stakeholder organizations at various levels to achieve the agreed
performance levels of their delineated tasks and roles.
Develop a capacity building strategy, schedule and plan for each category of personals of
the different project stakeholder organizations at various levels based on analyses made in
steps 5 and 7.
Identify the training topics and modules for the different category of personals of the
different project stakeholder organizations at various levels.
Identify and list the possible agencies that could be used by the project to carry out the
trainings.
Identify other methods that the project could use for capacity building (eg. exposure visits,
audio-visual presentations, media and mass communication, etc.) and identify agencies and
resource materials that could be used for this.
Finalize a capacity building report based on the above delineating the capacity building
strategy, schedule and plan for the project. The report will clearly delineate the topics,
methods and person / agency responsible for carrying out each capacity building activity
proposed in the report. The report will prepare the capacity building schedule and plan in
line with the different project stages and as Annual Action Plans.

Once the capacity building needs have been identified and the capacity building strategy,
schedule and plan is ready the project will start the process of procurement of the services
and resources required for the implementation of the capacity building plan.
6.9. Project monitoring and learning
Learning and communication plan
Assessments of earlier participatory irrigation management projects in the state show that
there has been insufficient effort made to research and document the processes and
learning emerging from these experiences. The strengths of these projects have primarily
been in the area of piloting institutional and process frameworks for PIM, but have all
largely suffered from design and strategy flaws with respect to information management,
documentation of piloted innovations and in scaling up, i.e. in areas of consolidation and
sustainability and information dissemination and institutionalization.

169

To rectify this gap in the AP Community Based Tank Management Project it is proposed
to adopt a learning and communication plan for the project right from the beginning. The
AP Information and Resource Centre proposed as part of the project PMU will be
entrusted with formulating and implementing these plans.
The learning and communication plan for the project will encompass the following
activities:
Thematic studies and research;
Workshops and seminars
Publication and information dissemination
Promoting stakeholder networks
Policy research and advocacy
The sine qua non of the learning and communication plan for the project is to promote
partnership between the various concerned stakeholders, including government agencies,
non-government agencies, private sector and civil society institutions towards ensuring
the consolidation and suatainability of participatory irrigation management in the state.
Thematic studies and research
The project will carry out thematic studies and research on the innovative processes and
interventions being piloted. Some of issues for research and study could be:
1. Action research on productivity enhancement agriculture / horticulture / livestock /
forestry / fishery
2. Institutional strengthening of WUAs, WUA Managing Committee, WUA SubCommittees and WUA para-workers
3. Promoting agri-business: its sustainability and scaling up
4. Broad basing WUA functionality: linking catchment farmers, fisher community,
groundwater users in influence zone to WUA
Workshops and seminars
I&CAD proposes to organize one National and couple of State level seminars or
workshops on the learning emerging from project implementation each year of project
period. These seminars / workshops will be focusing on specific themes such as
community institution strengthening, quality standards, efficient water management and
productivity enhancement, WUA facilities and WUA sustainability, etc.
The State level seminar / workshops will have participants from within Andhra Pradesh.
These will include I&CAD staff, professional and subject matter experts, NGOs, research
agencies, etc. The purpose of these seminar / workshops is to share the learning emerging
from the project with other people in the sector and with policy makers. It will also be
used to learn lessons from other on-going irrigation projects (World Bank, etc.) in the
state. It will also facilitate adoption of learning from the project into the projects being
financed by GoI and GoAP.

170

In the National seminar / workshops participants will be invited from other States of the
country where Participatory Irrigation Projects are being implemented. These will include
government staff, professional and subject matter experts, NGOs, research agencies, etc.
The purpose of these seminar / workshops is to share and exchange learning emerging
from these projects with each other and with policy makers. The learning process will
facilitate improving project implementation and impact.
Publication and information dissemination
Based on the thematic studies and research the project will publish and disseminate
project learning to a wide ranging audience concerned with PIM. The medium of
dissemination could be printed reports, project web site, CD ROMs, multi media
products, audio-visual products, IEC materials, etc. The dissemination material will be
both in Telegu for local use and in English for wide audience.
Promoting stakeholder networks
As already mentioned, the sine qua non of the learning and communication plan for the
project is to promote partnership between the various concerned stakeholders towards
ensuring the consolidation and suatainability of participatory irrigation management in
the state. The primary purpose of the network will be to:
i.
Link groups or people with common interests who would not otherwise interact
ii.
Raise awareness on critical issues
iii.
Create a critical mass for action
iv.
Increase cooperation and coordination
v.
'Scale up' activities and create synergy
Making a cross-sectoral, multi-actor coalition operate effectively is the key to the success
of the stakeholder network. Managing their interdependencies for joint action and
synergy the network process.
Policy research and advocacy
Although, policy advocacy is not an explicit object of the AP Community Based Tank
Management Project, a number of innovative processes and interventions being piloted
under the project would have immense potential for scaling up and policy implication.
The thematic studies and research would bring these potentials out clearly, which would
be further disseminated through workshops and seminars and publication and information
dissemination. However, if considered necessary a few special studies on understanding
the scaling up potential and policy implications of these innovations could be carried out
and shared with the wider audience through the workshops and seminars and publication
and information dissemination. This would strengthen the project PMU not only in
enhancing its own capacity to implement such project more effectively, but also make it
the repository of the innovative learning to provide support services to other sector
players and states in participatory irrigation management.

171

6.10. Project sustainability


The sustainability of the project will be determined by the continued performance of the
tank system at its design potential, thereby facilitating regular growth in the tank based
livelihoods being practiced. This can be achieved only through
properly capacitating the WUAs
regular and timely operation and maintenance of the tank system
continued agricultural extension services to the tank users
The project has adopted a number of steps to ensure this. These are as follows:

All WUAs will be provided sufficient organizational and financial management


trainings during the project to ensure that they become institutionally strengthened
enough for self management.
All WUAs will be trained in preparation and implementing of annual operation and
maintenance plans for their tank system.
The WUAs will be empowered to collect and retain the water charges from the
members and utilize it for implementing the O&M plan.
All WUAs will be trained in advance crop planning and water audit to ensure
efficient utilization of available water and optimum estimation of water charge
demand.
Enhanced irrigation facility and reduction in gap ayacut will increase the demand
raised and collection of water charges by the WUAs.
5 % of the beneficiary contribution to the project, which will be collected as cash, will
be deposited into the WUA O&M account for utilization in implementation of the
O&M plan for the tank system.
In those tanks where fishery will be practiced, it will be ensured that the WUAs
receive their share of the lease amount, which will be deposited into the WUA O&M
account for utilization in implementation of the O&M plan for the tank system.
Foreshore plantation will be promoted in identified tanks, the proceedings from which
will be deposited into the WUA O&M account for utilization in implementation of
the O&M plan for the tank system.
All Competent Authorities linked to the WUAs will be provided sufficient training in
WUA institutional and financial management aspects to ensure continued technical
and institutional support to the WUAs after the completion of the project.
Selected lead farmers in all WUAs will be trained in water management, agriculture
and livestock extension services to ensure continued availability of these services to
the members after the project. The project will link these lead farmers to such
agencies as Krishi Vigyan Kendras, and line departments to facilitate their further
training and learning after the project.
In case of any natural calamity the government will extend support for the repair and
restoration of the tank systems.

172

6.11. Project risks


Sl. No.
1.

Risks
The project implementation could lay a
greater emphasis on physical works with an
associated lower focus on institutional
strengthening, organizational management
and capacity building of WUAs.

2.

The attitude and work culture of the


engineering staff of I&CAD Department
could obstruct the project processes.

3.

WUA as the local farmers organization in


operation and management of the tank system
could get marginalized by the Panchayati Raj
Institutions.

4.

The WUAs run the risk of elite capture and


overtly influenced by entrenched groups.

5.

Inadequate capacities of the WUA to prepare


and implement the Tank Improvement and
Management Plan (TIMP).

6.

Inadequate resource mobilization


management by the WUAs.

and

173

Action
The project is hiring specialist staff for
institutional strengthening and capacity
building in the Project Management Unit and
the District Project Units to plan and
implement strategies and activities for
institutional strengthening, organizational
management and capacity building of WUAs.
The project will be availing the services of
experienced Support Organizations to
implement these strategies and activities in
each WUA.
All engineering staff of I&CAD Department
dedicated to the project will be provided
initial induction and orientation training on
project objectives, strategies and processes.
These trainings will be provided to them as
PMU and DPU team members along with all
other staff of their respective PMU or DPU
staff to facilitate team building among them.
Andhra Pradesh government has enacted the
Andhra Pradesh Farmers Management of
Irrigation Systems Act which provides
statutory mandate to the WUAs in their
defined roles and responsibilities. This can be
changed only as another act of state
legislation. As mandated in the Act the tank
system will be handed over to the WUAs for
operation and maintenance. Further, by
empowering the WUAs in collecting and
retaining the water charges from their tank
users and receive their share from fishery
lease, they are also being made financially
autonomous and sustainable. This will protect
the WUAs from being marginalized.
The WUA Managing Committee has now
been made into a continuous body with one
third of the members changing every two
years.
All WUA Managing Committee and the
WUA Sub Committee members will be
provided training on TIMP preparation and
implementation by the project Support
Organization during the Planning Stage
before commencing on preparation of the
TIMP.
Enhanced irrigation facility and reduction in
gap ayacut will increase the demand raised
and collection of water charges by the WUAs.
Additionally, 5 % of the beneficiary
contribution to the project, which will be
collected as cash, will be deposited into the

7.

Large farmers will capture the groundwater


recharge from the tank system.

8.

Low adoption rate of improved agriculture


technology by farmers.

9.

The market oriented crops being promoted in


the project may not be picked up by the
buyers.

174

WUA O&M account for utilization in


implementation of the O&M plan for the tank
system; In those tanks where fishery will be
practiced, it will be ensured that the WUAs
receive their share of the lease amount, which
will be deposited into the WUA O&M
account for utilization in implementation of
the O&M plan for the tank system; foreshore
plantation will be promoted in identified
tanks, the proceedings from which will be
deposited into the WUA O&M account for
utilization in implementation of the O&M
plan for the tank system.
The project will implement participatory
hydrological monitoring (PHM) in selected
tanks and empower the groundwater users to
analyze and plan groundwater use through
groundwater audit and crop planning.
The project will implement large numbers of
crop demonstrations. These will be followed
up with a communication strategy to actively
promote adoption of the demonstrated
technologies and regularly monitor the extent
of technology adoption by the farmers.
The market oriented crop production will be
promoted by the project only under
conditions of assured buyers. The project will
also capacitate and strengthen the commodity
interest groups (CIGs) in their ability to
access and analyze market demands and
prices for this. The commodity specialist
working with the project will be made
responsible to provide technical and
managerial support services to the CIGs for
this. The Information and Resource Centre of
the PMU will provide regular updates of
market demands and price information of
commodities in the project website and
provide links to other appropriate websites for
the same.

Annex 1
Logical Framework
Objectively Verifiable Indicators
(OVI)

Method of Measuring OVI

Development Objectives
Specific Objectives

Outputs

Activities

Inputs

175

Assumptions / Risks

Annex 2
GANTT CHART
Tank Name Year SN.
No.

Name of Activity

January

Village February

March

April

District May

June

176

July

August

September

October

November

December

Determining Responsibilities / Facilities / Equipments / Materials / Services for Activities


Sl. No.

Name of Activity

Responsible Person

Required Facilities

177

Required Equipments &


Materials

Required
Services

7. Social and Environmental Management Framework


7.1. Introduction
The SEMF focuses on identifying and addressing social and environmental concerns in
the sub-project by incorporating the safeguards for social and environmental aspects in
the main planning and implementation process. The overall framework covers the
following aspects:
Identify social and environment concerns at the sub-project level
Identify anticipated social and environmental impacts of the proposed interventions at
the sub-project level
Propose management measures to address identified social and environmental issues
and possible impacts, at various stages of sub-project cycle along with outcomes at
each stage
Prepare detailed strategies for addressing key social and environmental issues, for the
project implementation agency, to serve as the basis for preparation of specific social
and environmental management plans for each specific sub-project
Develop indicators for monitoring of social and environmental parameters and
implementation of social and environmental management plans
Propose appropriate institutional arrangements to ensure effective management of the
identified social and environmental aspects of the project interventions at each level
Identify critical gaps and suggest any additional studies required to address them
The SEMF has been put out for public disclosure in the following places:
Office of the Superintending Engineers, Irrigation Circles, I&CAD Department
District Information Centres
Mandal Revenue Offices of project Mandals
Mandal Parishad Offices of project Mandals
I&CAD Department Official website www.apwaterreforms.in
7.2. Stage-specific SEMF interventions and outcomes
The SEMF will be applied to all proposed sub-project activities, through the different
stages of the sub-project cycle. The proposed SEMF interventions are designed on the
basis of the current understanding of social and environmental issues identified and
discussed in the previous chapters. As the project planning and implementation gains
momentum, more learnings will be generated, and the SEMF will be altered accordingly.
The proposed SEMF interventions during the sub-project life cycle are schematically
presented in the table below

178

Stage

Key sub-project activities

SEMF Activities

Outcome

Identification

Hydrological
and
technical
assessment of tank
Delineation of water spread area
up to FTL, feeder channels and
command area of tank
Collection of baseline physical
data

Collection of baseline environmental,


and social data
Identification of encroachment in
tank area (if any)
identification of land acquisition
requirements
Identification of impacts on forest
lands/ natural habitat, cultural
properties, if any)
screening of sub-project from the
social and environmental perspective

Completed
social
and
environmental screening of
sub-projects
Preliminary assessment of
land acquisition required and
encroachments in the tank
system
Preliminary assessment of
critical environmental issues
in the tank system

Pre-planning

Project sensitization
and
awareness generation through
meetings with tank stakeholders
(including groundwater users in
the influence zone)
Involve
village
level
functionaries of line departments
/ PRI department
Organize tank based consultation
with all stakeholders (Including
fishermen, catchment farmers,
groundwater users in influence
zone, etc.)
Assessment of WUA readiness
for
contribution
towards
restoration & rehabilitation of
tank
Agreeing on draft MoU between
WUA & DPD
Signing of MoU between WUA
& DPU
Maintenance of documents,

Social Mapping & identify all tank


stakeholders (including groundwater
users in the influence zone)
Assess readiness for Voluntary
surrender of land
Agree on resettlement action plan
(RAP)

Agreed resettlement action


plan

179

Documentation
responsibilities
Completed form SEM-1
(by xyz)

Complete form SEM-2


(by xyz)
(RAP details, tribals)

Planning

books and accounts by WUA


Implementation of RAP
Data
collection
through
Participatory Rural Appraisal.
Assessment of technical aspects
of tank, catchments area &
command area / tank influence
zone
Assessment of demand and
collection of water charges
Provide initial training to WUA
members on TIMP preparation
(Particularly on micro-planning,
preparation
of
estimation,
procurement, etc)
Form the four sub committees on
Works, Finance, Monitoring,
Evaluation & Training and Water
Management
Provide training to all sub
committee members on their
roles and functions
Mobilize groundwater users in
tank
influence
zone
into
groundwater user groups and
affiliate them to the WUA
Awareness generation among
groundwater user groups about
project
groundwater
interventions
Prepare TIMP including Design,
estimate of Civil works, Training
Plan
Livelihoods Plan,
Ratify TIMP in WUA General
Body meeting

All entitlements extended to eligible RAP


implantation
is
PAPs
completed
Ensure productive use of R&R ISEMP
prepared
and
assistance
incorporated in the TIMP
Assess tribal related issues and Construction stage social
prepare tribal development plan
and
environmental
(TDP)
management measures are
incorporated in the tender
Assess gender related issues and
documents
prepare gender action plan (GAP)
Assess pest and nutrient management
issues and prepare integrated pest and
nutrient plans (IPM and INP)
Assess tank safety issues and prepare
tank safety plan (TSP)
Assess cultural property impact, if
any, and prepare cultural property
plan (CPP)
Identify anticipated construction
stage
impacts
and
develop
appropriate management measures to
address these impacts.
Specific guidelines for selection of
appropriate mitigation measures are
presented in section 5.6 Based on
comprehensive
identification
of
social and environmental issues, as
indicated in SEM-1 and 2,
appropriate mitigation s measures are
identified.

Consolidate all the above plans (RAP,


TDP, GAP, IPM, INP, CPP, TSP), as
well
as
construction
stage
management measures, with the
associated costs and institutional

180

Complete form SEM-3


(details
of
RAP
implementation
and
ISEMP)
(by XYZ)
Completed form SEM-4
(construction
stage
management measures to
be attached to tender
documents)
(by xyz)

Implementati
on

Identification of activities for


Gram Panchayat implementation
and submit the list to the GP
Open WUA bank account for
contribution
(separate
from
WUA account)
Mobilization
of
cash
contributions
Appraisal of TIMP by DPU
Inclusion of TIMP in District
Annual Plan
Sign Agreement on TIMP
implementation between WUA
and DPU
Prepare procurement plan for
materials & manpower for works
by WUA
Preparation of tender documents
for works to be tendered
Maintenance of documents,
books and accounts
Public display of project
information on wall / notice
board
Implementation of civil works by
WUA, and other TIMP activities
(EMP /TDP)
Implementation of civil works by
contractors
Supervision of both type of
works
Quality
assurances
through
agreed mechanism and reporting
Work completion report
Carry out trainings (WUA
management / livelihood /

arrangements, into integrated social


and environmental management plan
(ISEMP) for the sub-project.
Ensure that ISEMP (including its
costs) is integrated into the TIMP
before submission for the ratification
by the WUA general body.
Ensure that construction stage social
and
environmental
management
measures are identified in the ISEMP
and are adequately incorporated in the
tender documents.

Monitoring
impact
of
RAP
implementation
Monitoring
implementation
of
construction
stage
social
and
environmental measures
Ensure implementation of ISEMP
Monitoring ISEMP implementation

181

Completed implementation
reports
of
RAP.
No
construction activity to be
allowed
unless
RAP
completion is certified in the
report.
Final
payment
on
construction contracts to be
released only on successful
completion of construction
stage social and environ
mental measures, as certified
in
the
implementation
completion report.

Completed form SEM-5


(by xyz)
Completed form SEM-6

Post
implementati
on after the
sub-project
cycle

Post
Implementati
on (last 6
months of the
sub-project
cycle)

financial management
/ O&M /
Monitoring
at WUA performance
M&E 6 /months
waterbymanagement
/
every
PMU
groundwater
Project
levelmanagement,
monitoringetc)and
evaluation
Implementation
of participatory
on sample
basis?
hydrological monitoring
Crop-water budgeting and crop
planning for groundwater based
irrigation in tank influence zone
Promotion of water efficient
technologies in groundwater
based irrigation
Institutional strengthening of
groundwater user groups
Mobilization and formation of
common interest groups for agribusiness promotion
Implementation of livelihoods &
agri-business plans etc.
Strengthen
linkages
with
departments, commercial banks
and private sector
Maintenance of documents,
books and accounts
Participatory
monitoring
at
village level
Assessment of
WUA for
refresher trainings
Refresher Training for WUA
Update seasonal O&M strategy,
plans and estimates
Operationalize O&M plan
Maintenance of O&M fund
Maintenance of documents,
books and accounts
Preparation of project completion
report on agreed format

Continued implementation of IPM,


INM plans
Project
level
monitoring
and
evaluation of select social and
environmental parameters, including
implementation of IPM, INM plans
Two external environmental and
social audits, (each covering 5% of
the completed sub-projects ) during
the duration of the project

Information on longer term


social and environmental
impacts of the sub-project

Half-yearly
monitoring
report (including basic
social and environmental
parameters) by PMU
Annual
Environmental
and social audit report
(integrated
with
the
overall project level M&E
strategy and report)
Two external audit reports

Monitoring of ISEMP parameters


pertaining to the post-implementation
stage of sub-project, including
Implementation of IPM and INM
plans
Implementation of TDP, GAP

Completion of GAP, TDP


Status
report
on
implementation of INM and
IPM activities.

Post-implementation stage
monitoring and evaluation
report

182

7.3. Processes for Implementation of SEMF activities


At the sub-project identification stage, the DPU and social and environmental specialist,
conduct site specific preliminary assessment for the proposed sub-project, with the
objective of identifying social and environmental issues. Form SEM-1, is to be
completed as part of this assessment and it includes recommendations for selecting or
dropping the sub-projects in consideration. Form SEM-1 is submitted to the District
Project Director, who will take this recommendation in finalization of the sub-project
selection.
For all selected sub-projects in the pre-planning stage, SOs will facilitate WUA in
undertaking social mapping, identifying resettlement issues, and developing RAP, if
required. Form SEM-2, will be completed by WUA with assistance from SO and will be
submitted to the respective specialist of DPU. MOU between WUA and DPU shall not be
signed unless the district project director certifies (ensuring the conformity of RAP with
the project R&R policies) and counter signs Form SEM-2.
At the planning stage, WUA will be responsible for implementing the RAP with support
from SO, as well as DPU specialist. At the same time, a detailed assessment of various
social and environmental issues expected from the proposed sub-project interventions
will be undertaken by the WUA, with assistance of SO and DPU specialist. Similarly,
WUA will prepare the required management plans (TDP, GAP, INM, IPM, CPP, and
TSP). DPU specialists, to assess their conformity with the project SEMF, will review
these plans. DPU specialists, who will also document it in the Form SEM-3, will
consolidate the finalized plans as ISEMP. This Form will also include the status of RAP
implementation. The agreement between WUA and DPU on TIMP shall not be signed
unless the TIMP includes completed Form SEM-3, duly certified and countersigned by
the project director.
The DPU specialists will also complete the Form SEM-4 (prescribing appropriate
construction stage linked social and environmental management measures) in
consultation with the WUA and SO. This Form SEM-4 will be attached to all tender
documents pertaining to the physical works of the sub-project.
At the beginning of implementation stage, the WUA will testify to the complete
implementation of the RAP, by completing the Form SEM-5. This form is forwarded to
DPU where the relevant specialist shall verify (through site visits) RAP completion and
countersign the Form SEM-5. The concerned specialist will attach this form to the order
for the release of first installment to the contractor. The district project director shall
ensure no payments are released to the contractor, unless the Form SEM-5 is completed
and certified by the specialist as described above.
The WUA with the assistance from SO will ensure the implementation of the agreed
construction stage social and environmental management measures. The WUA shall
certify the adequate implementation of these measures in the Form SEM-6, which shall
183

be forwarded to the DPU. The district project director will ensure that the last installment
of the contractors payment is not released without the receipt of Form SEM-6,
indicating the satisfactory completion of construction stage social and environmental
management measures.
7.4. Guidelines for selection of appropriate social and environmental management
measures
Various suggested mitigation measures are required to minimize the negative impacts of
the proposed intervention during the various stages project are given in the table below:

184

Mitigation measures
Stages
Pre-planning
stages

Impacts
Acquisition of land Encroachment,
private lands, CPR for extension of
canal network
Ecological impacts due to cutting of
trees, tank bund and bed
Storage of construction materials
Emergencies and contingencies

Planning
stage

Social
Loss of land and structure
Loss of livelihood/ trade/occupation
Loss of agriculture land
Loss of access to common resources
and facilities
Low participation of tribals and
existence of 10-50% tribals in tank
command areas
Low participation of women
Lack of involvement of local
community

Mitigation Measures
Avoid or minimize the area of acquisition
Identify area impacted
Identify land losers
Make a decision on project selection
Discussion with WUA
Initiate process of voluntary surrender
Preparation of land acquisition plans during the design stage
Prepare RAP after details identification of PAPs
Payment of compensation to PAPs Market prices for
owners, lease holders, encroachers, squatters and replacement
value for agricultural land and assets
Replacement of any trees lost due to tank Improvement works
Provision for taking care for planted trees
Suitable sites to be identified for storage
Ensure the compensation if private lands were identified
Instructions about person to be contacted in case of emergency

Responsibility
DPU
Project
preparation team
Support Organization
Contractor, WUA and
DPU
Contractor,
Quality
Monitoring agency
DPU

Prepare RAP and ensue compensation and R&R entitlements


as per the R&R entitlement Matrix prepared for this project
(recommended one attached in RAP framework)
Preparation of tribal development plan covering items detailed
out in Tribal development Plan (recommended as part of the
study Chapter 9)
Co-option of women GP members in WUA
Training of women co-opted members of GP
Involve women in production forestry component as
livelihood support
Specific trainings to women for tank based livelihoods
Exposure visits of women to increase their exposure and
create awareness
Involve NGOs

Construction Stage Impacts

185

DPU with Support


Organization (SO)
DPU,
Support
Organization
DPU, SO
DPU /PMU

Stages

Impacts
Site clearance
Site accesses and cleanliness
Participation
Borrow pits and quarries for
construction materials
Earth Work excavations
Management of excavated earth,
desilted material and debris
Water stagnation and associated
health problems
Increased air, noise, water pollution
Suspended dust particulates
Loss of top soils in agricultural fields
Disturbances to natural drainage
Damage to works, structures etc
Cultural relics
Planning of labour camps
Social disruption

Mitigation Measures
Ensure not to dump material on private lands
Vegetation to be removed only in the required areas
Cultivated lands should not be disturbed if crop is grown.
Site of labor camp to selected in consultation with community
Ensure unobstructed natural drainage
Dispose surplus excavated materials at identified sites
Use if silt quality is found good and required by local farmers
or for bund improvement. If not, should be disposed in borrow
pits
Awareness and sensitization program
Involve community based organizations to mobilize
community
Dress the sites for proper and natural drainage
Restrict noisy operations to normal working hours
Avoid construction works in night if close to habitations
Provision of protective care to labour force
Prior information to local community regarding operations
Remove excavated materials to identified sites
Frequent sprinkling of water
Preserve top 30 cm layers for restoration after completion of
construction
Avoid any temporary works near natural canals
Control the silt entry to ponds, streams, canals by construction
of silt traps
Provision of by-pass arrangements for natural drainage during
construction
Take necessary precautions to avoid any damage to irrigation
works, canals, roads, trees and other features
If found, should be handed over to concerned department and
work should be stopped till further instructions
Contractor shall setup the labour camp with adequate facilities
before starting of works in consultation with local community
to minimize stress on natural resources
Facilities should confirm to labour standards. No child labour
Equal wages
Preference to local
labour/ skilled persons
186
Ensure wages at least at prevailing local minimum wage rates

Responsibility
Contractor
DPU

Stages
Implementati
on stage

Impacts
Procurement
of
construction
materials
Disposal construction debris
Domestic
sewage
and
refuse
management
Water pollution

Postimplementati
on stage

Excessive irrigation affects


fertility
High usage of agro-chemicals
More usage of HYV

soil

Mitigation Measures
Ensure that construction materials are procured from only
permitted sites and quarries
Periodic inspection of vicinity for construction debris
Check for adequacy of sanitation at labour camps
Examine for a) Blockage of flowing water, b) Soil erosion
due to construction activities, c) Contamination due to oil,
fuels etc at construction sites
Introduce improved water management practices
Enable WUA to adopt IPM, INM
Introduce better soil management practices
Adopt crop rotation
Protection of germplasm

187

Responsibility
Contractor,
WUA,
Quality
Monitoring
agency, DPU

WUA, SO, DPU

7.5. Monitoring environment and social aspects


Monitoring of social and environmental issues forms one of the important elements of
SEMF. Actions need to be planned by the project to integrate the monitoring within the
project monitoring and learning system. The monitoring and learning will involve not
only the progress on activities and inputs but generating learnings on results and
outcomes of project interventions on social and environmental issues.
Internal monitoring: This is done at three levels. At the WUA level, as a part of
participatory monitoring, the Representative of WUAs, SO and Representatives of PAPs
would be monitoring the progress of the implementation and report to WUA and DPU. At
the District level, DPU will monitor the implementation of Resettlement Action Plans,
Tribal Development Plans, and Environmental Management Plan. The DPU will submit
quarterly progress reports to PMU. At the state level, the PMU will monitor
implementation of SEMF. Both at DPU and PMU levels the respective Social
Environmental Units will be overall responsible for monitoring of implementing of the
SEMF.
External Monitoring: The monitoring of SEMF should be made an integral part of the
overall M&L system. The M&L agency will be given specific tasks for monitoring of
SEMF based on the indicators identified. These consultants would undertake preferably
crop-season based social and environmental auditing.
Impact Evaluation: This will be done as part of impact assessment as part of the project
M&L system.
Parameter
Soil

Water
Quality

Indicator
Fertility through soil testing
Extent of waste land through
survey
and

Agri chemicals

Biodiversity

Social

Surface and sub surface Water


quality through testing for
Standard parameters
Pesticide residues (both in water
and sediment)
Consumption
of
Fertilizers,
pesticides through Survey
Changes in diversity and density of
avains, natural predators, weeds in
water bodies, fields
Fish growth
Encroachment
Participation of WUA
Water conflicts
Tail ender issues
Tank based livelihood
Women participation

188

Frequency
Annual

Pre and
monsoon

Agency
DPU, WUA
training

post

Crop-season
Pre and
monsoon

Annual
Seasonal

Post

&

after

DPU, WUA
training

after

DPU, WUA
training
DPU, WUA
training

after

after

DPU, WUA
training

after

7.6. Guidelines for Preparation of SEMF Plans


i. Integrated Nutrient Management Plan
Preparation: Unbalanced and excessive use of chemical fertilizers along with lack of
application of micro-nutrients not only have reduced the efficiency of these inputs but
degraded the land and soil resources adversely affecting its texture and structure.
Incidence of degradation is more in Rayalaseema and Telangana regions where
agriculture is predominantly dry land-based dependent on rainfall (Reddy 2003.4).
Degradation in some parts of these regions has reached irreversible levels. The Drought
Prone Area Programme (DPAP) has given way to Desert Development Programme
(DDP). The ideal ratio of N, P and K for the use of fertilizer is 4:2:1. and in order to
improve the efficiency of fertilizer use it is essential to encourage judicious application of
NPK and micro nutrient fertilizers, also referred to as Integrated Nutrients Management
(INM).
It would also be essential to promote the use of bio-fertilizers as an environment friendly,
cheaper and supplementary source of plant nutrients, which would help in improving the
soil texture and fertility. This ensures the improvement of efficiency of plant nutrients,
conserving the land resources and protection of environment.
Institutional Arrangement and Implementation: Integrated Nutrient Management Plan
will be prepared as a component of TIMP and implementation will be synchronized with
Agricultural Extension Centers and WUAs. PMU should have an Agricultural Extension
Officer with expertise in sustainable agriculture in its Social and Environmental
Management Cell. This expert will assist in designing, implementation, monitoring and
studying the impacts of INM. This however, would call for activities like strengthening of
soil testing facilities, capacity building of organic farming, biofertilizers production units,
hatcheries for vermi-culture and training to the personnel engaged in the system along
with the farmers through field demonstrations.
Monitoring and Evaluation Monitoring of INM will constitute a component of overall
monitoring system of project with assistance of SO. It will be scheduled according to
cropping patter using the appropriate formats developed by Agricultural Extension
Officer for progress in implementation and monitoring.
ii. Integrated Pest Management Plan
Preparation: Developmental efforts in the field of plant protection aim at minimizing crop
losses due to ravages of insects, pests, diseases, weeds, rodents etc. At present, the State
occupies the first position in the country with an average of 0.82 kgs of technical
grade/hectare as against the 0.3 kgs per hectare in India. An ecofriendly approach for
managing pests and diseases encompassing available methods and techniques of pest
control such as cultural, mechanical, biological and chemical in compatible and scientific
manner comprises Integrated Pest Management Plan. To develop an IPM, WUAs in

189

association with DPU will conduct a field survey with assistance of SO. The findings
would determine precise nature of IPM plan.
Institutional Arrangement and Implementation: IPM will be prepared as a component of
TIMP and implementation will be synchronized with Agricultural Extension Centers and
WUAs by SO. . PMU should have Agricultural Extension Officer with expertise in
sustainable agriculture in its Social and Environmental Management Cell. This expert
will assist in designing, implementation, monitoring and studying the impacts of IPM. To
popularize IPM technology among the extension functionaries and farmers, the democum-training programmes should be taken up at large scale. Further activities of
production and release of bio-control agents should also be strengthened.
Monitoring and Evaluation Monitoring of IPM will constitute a component of overall
monitoring system of project with assistance of SO. It will be scheduled according to
cropping patter using the appropriate formats developed by Agricultural Extension
Officer for progress in implementation and monitoring.
Capacity Building: INM and IPM programmes have to be considered as integral part of
sustainable development of irrigated agriculture. For improving INM system, it would be
desirable to strengthen the existing soil testing laboratories, upgrade the skill of the staff
through training / workshops etc. working in the field. The financial and logistic support
may also be provided for capacity building of organic farming, bio-fertilizers production
and hatcheries for vermiculture. Similarly for IPM, training for both field staff and
farmers would be required to give thrust to the programme. Some financial incentive/
assistance may also be provided for organization of Demo-Cum- Farmers Field Schools,
for IPM.
iii. Cultural Property Plan (CPP)
Preparation and Implementation: In order to prepare the Cultural Property, WUA will in
association with Gram Panchayat and SHGs in village, conduct and identify all sites with
cultural aspects/ significance with assistance of village community. This would be carried
out before preparation of TIMP. This identification would determine the precise nature of
interventions and activities needed to address issues and problems. All such actions
proposed will form the Cultural Property Plan (CPP).
CPP will form an integral part of the TIMP and its implementation will be coordinated by
WUA in association with GP. The overall approach in planning and implementing CMP
is to extend program designs like relocation of deity temporarily, improvement of
embankments for trees with religious significance, betterment of approach roads etc for
the welfare of village community. In this regard, WUA and DPU have major
responsibility to ensure that appropriate measures are taken.
Institutional Arrangements: CPP will be prepared and implemented as component of
TIMP and it will be implemented with regular institutional arrangement of the project.

190

However, WUA and Gram Panchayat and if required DPU need to coordinate the
activities.
Monitoring and Evaluation Monitoring of CPP will constitute a component of overall
monitoring system of the project and will be scheduled accordingly. Appropriate formats
will be developed by Anthropologist/ Sociologist for monitoring the physical work in
implementation of CPP. DPU will monitor these activities with SO and WUA support.
iv. Dam Safety Plan (DSP)
Preparation and Implementation: In order to prepare Dam Safety Plan, DPU in
association with SO and WUA will conduct a geological and physical assessment of plan
with all precautions to be adopted. This would be carried out before TIMP. The
assessment would determine precise nature of measures to be adopted and will form DSP
DSP will form an integral part of TIMP and its implementation will be coordinated by
PMU in association with DPU.
Institutional Arrangement: The DSP and the project will be prepared and implemented as
an integral part of the project under regular institutional arrangements of the project, i.e.
Dam Safety Expert in PMU, will develop appropriate guidelines to be adopted
Monitoring and Evaluation: Monitoring Dam Safety will constitute a component of
overall monitoring system of the project and schedules accordingly. Appropriate formats
required will be developed by Dam Safety Expert.
v. Resettlement Action Plan (RAP)
Proposed: Project interventions may not need any new land acquisition but there may be
families using the tank system land for cultivation. In order to restore the tank to its
original shape these families need to be resettled and/or rehabilitated for which an RAP is
required to be prepared, the process for which is described below:
Identify land required for project interventions, through revenue and tank system
maps and through a process of walk through and physical verification
Assess through PRA the extent of encroachment and number of affected families
(PAFs)
Obtain confirmation on the ownership of land, either legal title holders or
encroached
Identify families encroaching tank bed land with the help of WUA and local
community
Conduct census survey of all those identified as PAFs on the extent of losses,
following the process described below

191

Level
WUA/
Tank Level

Mandal
Level

District
Level

Process
Based on the revenue survey, encroachers of tank land will be
identified and the list of such persons will be prepared. This will be
done by WUA with the help of NGO and Panchayat Secretary. WUA
motivates the title holders and encroachers (including assignees and
D form patta holders, etc.) for voluntary surrender of land required
for the project. The facilitating NGOs will help in this process.
Facilitating NGOs will document the willingness to surrender land by
the titleholders and encroachers in the presence of the WUA and
Panchayat Secretary in the form of a Willingness Letter.
The list of such persons will be displayed at the Gram Panchyat Office.
Revenue Official surveys the tank land and demarcates the extent of
tank area including any private land. The survey will identify the
extent of encroachment in the tank area and the extent of additional
land required for project interventions. Based on the survey, maps are
prepared. The entire process will be carried out along with WUA,
NGO, Sarpanch and Panchayat Secretary. The maps will be signed by
WUA, Panchayat Secretary, Gram Panchayat and Revenue Officer.
Formalize relinquishment of land rights where concerned local people
surrender their private land for the project.

Output
Willingness Letters

Survey map signed


by relevant persons
indicating the
tank area extent of
encroachment
and
additional
land
required.
Effect Changes in
Land
Revenue
Records

Categorize PAFs and identify their R&R entitlements using the following R&R
Entitlement framework.
Impact Type

Entitled Persons

1. Loss of land and structure


A. Residence
i.
With
valid
title, Displaced
Assignees, D Form Patta Family
Holders

ii. With no valid title


(Encroachers/ Squatters)

B. Commercial
i.
With
valid
title,
Assignees, D Form Patta
Holders
ii.
With
no
valid
title(Encroachers/ Squatters)
ii. Tenants, Sharecroppers,
Leaseholders
2. Loss of Agriculture Land
i.
With
valid
title,
Assignees, D Form Patta
Holders

Displaced
Family

Displaced
Family
Displaced
Family
Displaced
Family
Affected
Family

Entitlement as per GoAP Policy (after amendments


for APCBTP)

(i) Compensation as per LA Act/Consent Awad. (ii) Free house


site as per Section 6.2 of the state R&R Policy. (iii) Housing
Grant (only for BPL families) as per 6.3 of the state R&R
Policy. (iv) Permission to take salvaged materials. (v)
Transportation and Subsistence Allowance as per sections 6.8
and 6.14 respectively. (vi) Grant for cattle shed as per section
6.7 of state R&R Policy
(i) Free house site as per Section 6.2 of the state R&R Policy.
(ii) Housing Grant (only for BPL families) as per 6.3 of the state
R&R Policy. (iii) Permission to take salvaged materials. (iv)
Transportation and Subsistence Allowance as per sections 6.8
and 6.14 respectively. (v) Grant for cattle shed as per section 6.7
of state R&R Policy.
(i) Compensation as per LA Act/ Consent Award. (ii) Assistance
for Economic Rehabilitation as per Sec. 6.9 of state R&R
Policy. (iii) Permission to take salvaged materials
(i) Assistance for Economic Rehabilitation as per Sec. 6.9 of
state R&R Policy. (ii) Permission to take salvaged materials
Reimbursement for unexpired lease

(i) Compensation as per LA Act/ Consent Award. (ii) Land for


Land for STs, marginal and small farmers and those who
become landless as per section 6.4 and 6.5 of the state R&R

192

ii. With no
(Encroachers)

valid

title

Affected
Family

iii. Loss of standing


crops/trees
3. Loss of livelihood/
trade/ occupation

Affected
Family
Affected
Family

Policy. (iii) Assistance for Economic Rehabilitation as per Sec.


6.10 of state R&R Policy. (iv) Training in Agriculture
technology, demonstrations, or adoption support available under
agriculture component of the project. (v) Assistance to avail
benefits from other government schemes.
(i) Assistance for Economic Rehabilitation as per Sec. 6.10 of
state R&R Policy. (ii) Training in need based skills relating to
tank based livelihoods. (iii) Assistance to avail benefits from
other government schemes.
Compensation as per the LA Act

Assistance for Economic Rehabilitation as per section 6.9 of


state R&R Policy
Training in Need based skills relating to tank based livelihoods
Assistance to avail benefits from other government schemes.
4. Loss of access to common resources and facilities
i. Civic Amenities
Community
Replacement CPRs/amenities or providing basic minimum
facilities and services as per Government standards, whichever
is higher as per section 6.18 of the state R&R Policy.

Community Participation: The project commits to involve affected community in


the identification of R&R issues and affected people
the identification of opportunities for alternate R&R
the preparation and implementation of the RAP
addressing their grievances
finalizing list of PAFs and their R&R entitlements
Monitoring: Monitoring will be done at three levels: (i) At the WUA level, as a part of
participatory monitoring, the Representative of WUAs, SO and Representatives of PAPs
would be monitoring the progress of the implementation and report to WUA and DLIC.
(ii) At the District level, DPU and DLIC will monitor the implementation of RAP and
submit quarterly progress reports to PMU. At the state level, the PMU will monitor
implementation of R&R Framework. (iii) Both at DPU and PMU levels the respective
Institutional Development Unit will be overall responsible for monitoring of
implementing R&R Policy Framework and RAPs. Impact evaluation will be done by
consultants appointed by PMU at the end of project completion.
Budget: The sub-project will make adequate provision for funds required for planning,
implementing and monitoring the provisions of R&R Framework or RAP. RAP will form
an integral part of TIMP and accordingly funds for RAP will be included in TIMP.
vi. Tribal Development Strategy
The main objective of the strategy is to provide for and ensure that the benefits of the
projects are accessible to the tribals, at par with the rest of the community. The overall
strategy includes the following:
Ensuring participation of the tribal WUA members in the preparation and
implementation of the TIMP

193

Supporting tribal to enhance their accessibility to project benefits, at least at par with
other stakeholders
Ensuring that tribals take active part in the tank management activities
Ensuring that tribals follow water management practices so that their returns from the
tank is increased

Strategy for addressing tribal issues


Identified Issue
Representation in
WUA and its
Managing
Committee (MC)

Strategy to Deal
with the Issue
Representation of
tribals as per the
Act
to be
ensured .
Encourage tribal
representation in
sub-committees

Low Awareness
Levels

IEC strategy to
focus on tribals
issues and their
participation

Participation
in
TIMP
Preparation

Educate WUA to
seek participation
of tribals in TIMP
preparation
Develop
leadership
through training
& exposure visits
Educate tribal on
the
need
to
contribute
for
tank restoration
Reduce
the
upfront
cash
contribution from
5% to 2.5%

Inability
to
contribute 5%
towards tank
restoration
works due to
poverty

Inability
to
contribute
cash towards
tank
O&M
due to poverty

Educate people
on the need to
contribute and the
benefits that will
be accrued

Activities to Implement Strategy


Awareness
generation
on
the
provisions of APFIMS Act with
regard to tribal representation
Frequent
meetings with WUA
members sensitizing them on tribal
representation in WUA sub-committee
Encourage more representation in the
sub-committees and periodical review
of tribal participation
Educate WUA the need for involving
tribals in the WUA activities
Organize leadership building program
among tribals
Prepare
IEC
material
using
folklore/folk dances
Organize film shows
Frequent meetings with tribals using
PRA methods for awareness creation
Exposure visits
Frequent meetings and interactions
with tribals
Training
on
leadership
&
organizational development
Exposure visits to tanks where TIMP
is
under
preparation
or
implementation
Convince WUA on reduced upfront
contribution & agree on the remaining
contribution in kind (labour)
Mobilize 2.5% cash contribution by
tribal
Organize tribal to contribute to match
their contribution in tank restoration.
Provide wage employment, on
preferential basis, in tank restoration
work to help them contribute to
restoration works
Awareness generation on the need for
O&M and its norms cash or kind
Mobilize for O&M fund cash or in
kind (labour)
Provide wage employment, on

194

Agencies
Responsible
WUA, SO, DPU,
PMU

WUA, SO, DPU,


PMU

WUA, SO, DPU,


PMU

WUA, SO, DPU,


PMU

WUA, SO, DPU,


PMU

Low returns from


agriculture
and
allied activities

Lack
of
Entrepreneurship

WUA to accept
O&M cost in
kind form

preferential basis
Involve tribal WUA members in water
distribution

Promote
improved
practices
in
agriculture and
allied activities
and dovetail with
on
going
programs.

Credit Support for tribals through


WUA livelihood fund
Conduct crop demos on improved
farming; one demo plot for tribals
exclusively
Organize training on improved
farming and water management
practices
Form tribal farmer CIGs and promote
group marketing of farm produce.
Ensure supply of seeds, fertilizers,
pesticides, credit & technical knowhow
Organize exposure trips to progressive
agril. farms and research stations
Provide access to livelihood fund
under the project
Encourage tribal to take up petty
work contracts under TIMP
Identify educated unemployed as para
workers & WUA level functionaries
Promote
livestock

breed
improvement, animal health and
fodder development.

Encourage group
activities
for
income
generation
Employment in
project
construction
activities
and
O&M work on
preferential basis

WUA, SO, DPU,


PMU
WUA, SO, DPU,
PMU,
Dept.
Agriculture,
Animal
Husbandry,
Fisheries, etc.

WUA, SO, DPU,


PMU,
DIC,
Animal Husbandry
Dept., etc.

Tribal development through Project Cycle: For the purpose of brevity, a combination of
strategies and actions mentioned above are linked to the five stages of the project cycle;
identification, pre-planning, planning, implementation and post-implementation.
Identification: At this stage, creating awareness to the tribals will enhance their
participation in the sub-project. To create awareness some specific activities need to be
carried out, which may include: (i) Preparation of IEC material using folklore/folk
dances, (ii) Organize film shows, (iii) Frequent meetings with tribals using PRA methods
and (iv)Exposure visits. It is necessary to ensure that the tribal representation is adequate
in the WUA for which specific activities to be carried out include: (i) Awareness
generation on the provisions of APFIMS Act with regard to tribal representation, (ii)
Frequent meetings with WUA members sensitizing them on tribal representation in
WUA executive committee, (iii) Encourage more representation in the sub-committees,
(iv) periodical review of tribal participation, (v) Educate WUA on the need to involve
tribals in the WUA activities and (vi) Organize leadership building program among
tribals.

195

of

Pre-planning Stage: The important requirement during this stage is the need to involve all
tribals in the preparation of TIMP enabling them to participate in the decision making
process and contribute towards the proposed project interventions. This could be
addressed through specific activities like frequent meetings and interactions with tribal,
training on leadership qualities and organizational development, exposure visits to tanks
where TIMPs are prepared or implemented. The aim is to ensure that all tribal
stakeholders participate in the preparation TIMP and encourage them to make
contribution willingly to project formulation.
Planning Stage: Clear and well defined participation of tribals is an essential during
planning stage and
key activities include: convince WUA on reduced upfront
contribution by tribal, agree on the remaining contribution in the shape of labour,
mobilize 2.5% cash contribution by tribal, organize tribal to contribute to match their
contribution in tank restoration and provide wage employment, on preferential basis, in
tank restoration work to help them contribute to restoration works.
Implementation Stage: The primary task at this stage is to ensure that the tribal get
involved in project construction activities and avail wage employment opportunities
available during civil works. To help them overcome their low returns from agriculture
and help them develop entrepreneurship, activities that need to be carried out include:
encouraging eco friendly supplementary irrigation systems, like drip irrigation, micro
irrigation, etc., linking to Banks for getting credit for micro irrigation, conducting crop
demonstrations on improved farming, organizing training on improved farm practices and
water management practices, promoting group marketing of farm produce, ensuring
supply of seeds, fertilizers, pesticides and technical know how in coordination with line
departments and credit agencies, organizing exposure trips for tribals to progressive
agricultural farms and research stations and providing access to livelihood fund of the
project specific budgetary provisions need to build for the benefit of tribal groups of the
tank community
The lack of awareness issues can be addressed through: identifying suitable micro
enterprises and impart required skills, encouraging tribal groups to take up petty works
within TIMP, identifying educated unemployed youth for job oriented skill training
programs, tying up with DICs and NGOs, and public agencies and promoting animal
husbandry: sheep, goats, cows and buffaloes by improving access to livelihood fund, of
the project and/or tying up with the government schemes and institutional credit.
Post Implementation Stage: At this stage, it is important to take up awareness generation
on the need for O&M, convince them to accept O&M cost (cash and kind), develop thrift
habit to save money to pay for O&M, provide wage employment, on preferential basis, in
tank restoration work to help them contribute to O&M and involve tribal WUA members
in water distribution
Preparing Tribal Development Plan: Asses the status of tribals in a sub-project to identify
their issues related to the project and accordingly prepare Tribal Development Plan

196

(TDP). The decision on preparation of a tank specific TDP will be based on the %
availability of tribals in a tank system as specified below.
For tanks where more than 50% WUA members are tribal, TIMP itself will be a
TDP
For tanks where 10-50% WUA members are tribal, TIMP will have a TDP
For tanks where less than 10% WUA members are tribal, no TDP will be required
TDP will form an integral part of the TIMP as per the above strategy and its
implementation will be synchronized with other project interventions at WUA level. The
responsibility of approving TIMP as part of sub-project Plan will be with the DPU. The
DPU will ensure that TDPs conforms to the agreed TD Development Strategy of the
project. At the PMU level the Institutional Development Unit is responsible to provide
necessary guidance and monitor the preparation and implementation of tank specific
TDP.
Monitoring and Evaluation: The project would integrate monitoring of tribal development
in the overall project level M & E design and also undertake in-depth periodic assessment
to review the progress and outcomes.
Budget: The Budget for implementing this strategy at the tank level will be built into the
overall budget of the TIMP. For each tank where TDP is applicable specifically, in areas
where the tribal population is less than 50%, a provision of Rs. 50,000/- is made available
from livelihood funds for exclusively for the benefit of tribals. This does not necessarily
exclude them from accessing the other programme funds under the project.
vii. Gender Action Plan (GAP)
The project will focus on addressing the concerns emerged from the field study. The
efforts will be made to encourage and equip women to participate effectively in tank
management. Measures for this purpose will be taken up not only at tank level but also at
the DPU and PMU level. The following sections present the details of action plan starting
from objectives.
Objectives: The gender action pla
Assess WUA for refresher trainings
Refresher Training for WUA
Update seasonal O&M strategy, plans and estimates
Operationalize O&M plan
Maintenance of O&M fund
Maintenance of documents, books and accounts
Preparation of project completion report on agreed format
Monitoring at WUA performance every 6 months

n will have the following objectives:


To increase involvement of women in tank system management
To integrate womens strategic and practical gender needs in TIMP planning and
implementation

197

Approach: The project will aim at creating gender sensitive environment in minor
irrigation schemes and take measures to promote the interests of women and ensure
gender equity in governance and decision-making processes. Simultaneously, actions will
be planned to increase the capacity of women by providing opportunities for
empowerment- thus bringing in equity in access to and control of resources and benefits
and increased self-confidence among women. All actions will encompass a gender
perspective on recognition of womens status, rights, access and control over natural
resources. Women headed of households will receive priority in services provided to
farmers through the Project. In all activities supported through project funds, it will be
stipulated that women receive equal pay for equal work and are part of contractual
obligations.
Implementation Strategy: The proposed measures for mainstreaming gender concerns are
divided in two parts viz. facilitation of process within the current ambit of provisions of
APFMIS Act and actions to be planned leading to amendments in Act. The project needs
to focus on the first set of actions which can be implemented right from the planning
stage. Other set of actions will take slightly longer time and actions relating to these can
be initiated at the state level. The strategies, activities and responsibility centres are
presented below
Strategy

Activities

Sensitization of staff

Orientation of project staff and support


organizations on gender aspects and the project
approach

Implement provisions of
APFMIS Act for womens
representation in WUA

Co-option of women GP members in WUA


Managing Committee
Leadership development training, orientation on
WUA roles and responsibilities
Encourage women to contest WUA elections

SO, WUA

Encourage
representation
management

womens
in WUA

Leadership development trainings for women


Exposure visits of women, trainings to women
WUA members on WUA roles
Create awareness about tank management &
operations and role of WUA and MC members in
tank through kakajata, film shows
Provide skills training relating to tank based
livelihoods to improve technical knowledge of
women

SO, WUA,
DPU

and

Use of gender sensitive


tools for planning and
M&L

Womens transect, mapping and focus group


discussions with women during TIMP

SO, WUA
DPU

and

Facilitate
participation
management

Facilitate consultations among WUA and SHGs


for preferential treatment to women SHGs for
civil work contracts for O&M, tank improvement
etc

SO/WUA

womens
in
tank

198

Agency
responsible
PMU

Involvement of women in
records maintenance

Encourage WUA to induct educated women for


WUA record maintenance
Training to identified women members on record
maintenance

Ensure gender equity


Provide
need
based
support for livelihood
activities for improving
in returns from tank based
livelihoods

Monitor
womens
participation
in
planning/implementation
process

WUA/ SO

Equal pay for equal work


Procure chiller bozes for women fish retailers
Specific Training on cattle management
Agril. productivity enhancement trainings one
demonstration for women farmers in each tank
Nursery raising, plantation foreshore and field
bunds etc for women
Fodder development to be taken up women
Trainings women on cattle management

Contractor/DPU
SO, WUA,DPU

Monitor TIMP on gender aspects


Gender disaggregated statistics in MIS
Special studies on gender during
implementation

Institutional Unit
DPU through SO
project

GAP through Project Cycle: Gender mainstreaming planning and implementation will be
spread over the entire project cycle viz; identification, pre-planning stage, planning stage,
implementation stage and post-implementation stage.
Pre-planning stage: The focus during n this stage is on developing gender sensitive tools
for use in TIMP planning. Orientation training to staff and SO will have sessions on the
approach to integrate gender concerns in TIMP planning and implementation.
Development of gender sensitive tools for planning and implementation will be taken up
by the PMU and DPU. Women focused training modules will also be taken up in the
stage.
Planning stage: Identification of womens needs, their prioritization and integrating them
will be focus of work during this stage, For this purpose, transects, focus group
discussions with women and exposure visits will be organized to encourage women
participation in TIMP preparation.
Implementation Stage: This stage ensures implementation of GAP at the scheme level.
This includes trainings for women on specific skills, support to tank based livelihoods
activities, improving their active participation in TIMP through appropriate scheduling of
activities and events. The focus will be on ensuring gender equity in civil works. The
DPU and SO will ensure that women labour get work opportunity in tank improvement
and also receive equal wages for equal work. Monitoring of GAP will be another
important activity taken up during this stage. Specific studies to gain experience on
gender aspects and project implementation will be planned in this stage. This will help to
bring in improvements through mid-course corrections.
Post implementation stage: The focus in this stage will be on monitoring the womens
participation in tank management, their involvement in tank based livelihoods and
ensuring increased returns. Identification of issues if any for post project sustainability
will be done during this stage.

199

SEM Form 1. Sub-project Identification Stage - Screening criteria


Sl.
No
1

Issues

Question

Remarks

Encroachment

Do the proposed project intervention


involve land acquisition.
Does
the
project
involve
encroachment in the tank bed?

If yes, do not select the tank.

Will the project activities adversely


affect more than 50 families.
2

Forest

Natural habitats

Cultural
properties

Is forestland required for tank


rehabilitation activities..
Do the tank rehabilitation activities
adversely affect / require areas,
which serve as natural habitats for
any endangered species.
Do the tank rehabilitation activities
envisage unavoidable or permanent
damage to local cultural property.

If yes, and encroached area is more


than 25 percent of the tank bed area,
the tank should not be selected.
If yes, and if they dont agree for
voluntary surrender, tank should not be
selected.
If yes, tank should not be selected.
If yes, tank should not be selected.

If yes, and if the cultural property in


question
cannot
be
adequately
protected, the tank shall not be selected.

Form SEM 2. Identification of PAP and RAP preparation


Forms to be used include identification of encroachers, voluntary surrender of land and
Resettlement eligibility and assistance plan (These will be used as part of the RAP
finalized by the WUA )
SEMF Activities

Status
Completed

Delineation of water spread area up to FTL,


feeder channels and command area of tank
Interaction with WUA on encroachments
Interaction with Revenue
officials
Census survey undertaken

department

Identification of encroachment
Voluntary surrender of land agreed
Resettlement eligibility and Assistance
defined
Resettlement Action Plan prepared
Encroachments removed
Resettlement Action Plan implemented

200

Reason
Partially
completed

Not
started

Support formats to be used for completing actions defined in SEM-2


Form SEM 2A. Identification of PAP and RAP Census Survey form
S. No

Village

Name
PAP

of

PAP's Father
Name

Sex
(1 Male/ 2 Female)

Caste
(1- OC/
BC/
3- SC/
4- ST)

2-

Family Type
1- Joint / 2Nuclear

Education

Occupation

Average
Income
/Month in Rs

SEM Form 2B. Voluntary Surrender of Land (On a Rs. 10/- Stamp Paper)
1.

This deed of voluntary surrender is made and executed on ............................ day of .................... between Sri/Smt ...............................................S/o
W/o.. Age Occupation . resident of ......................................................................... herein
after called the Title holder / Encroacher on one part. This expression shall mean and include his legal representatives, successors in-interest, heirs,
assignees, nominees etc.

AND
Sri. . S/o . Aged. Designation. herein after called the Recipient
which term denotes to for and on behalf of Minor Irrigation Department, Government of A.P on the other part and shall mean and include his successors inoffice, nominees and assignees etc.
2. Whereas, the details of the Location of the, land are given below:

201

Location Details
Tank
Village
Gram Panchayat
Mandal
District
Title Holder/ Encroacher Details
Name of Title Holder/Encroacher
Father/ Husbands Name of Title Holder/Encroacher
Age
occupation
Residence
Gender
Schedule -Land Details/Structure
Land in Question
Area
Location
North Boundary
East Boundary
West Boundary
South Boundary
Note: Detailed Map to the scale is appended.
3.

Where as the Title Holder is presently using/ holds the transferable right of the above mentioned piece of land in the village mentioned above falling under
the tank mentioned above.
Whereas the Encroacher does not hold any transferable rights of the above
mentioned piece of land in the village mentioned above falling under the
tank but has been along standing encroacher dependant on its usufruct
hereditarily.
4.

Whereas the Title Holder/Encroacher testifies that the land is free of encumbrances and not subject to other claims/ claimants.

5.

Whereas the Title Holder/Encroacher hereby voluntarily surrenders the land/structure without any type of pressure, influence or coercion what so ever
directly or indirectly and hereby surrender all his/her subsisting rights in the said land with free will and intention.

6.

Whereas the Recipient shall construct and develop the tank and take all possible precautions to avoid damage to adjacent
land/structure/other assets.

7.

Whereas both the parties agree that the tank so constructed/developed shall be for the public purpose.

202

8.

Whereas the provisions of this agreement will come into force from the date of signing of this agreement.

Signature of Title Holder/Encroacher


Name of Title Holder/Encroacher
Date
Identified by

Signature of MRO
Name of MRO
Date

1.
2.
Witnesses
Signature of WUA President
WUA President Name
Signature of Gram Panchayat President
Gram Panchayat President Name
Signature of Village Secretary
Name of Village Secretary
Signature of SO (NGO) Representative
Name of SO (NGO0 Representative
Signature of Minor Irrigation Engineer
Name Minor Irrigation Engineer

203

SEM Form 2C. Resettlement Eligibility and Assistance


S
No

Name of
PAP

PAP's
Father
Name

Sex (1 Male/ 2
Female)

Caste(1OC/ 2BC/ 3SC/ 4ST)

Ration
Card(1BPL/ 2APL/ 3No
Card)

Loss
Suffer
ed(1Land)

Encroach
ed Land
Holding
in
Guntas

Total
Own
Land in
Guntas

Total
Land

Extent
of Land
Loss in
Guntas

Left over
land
in
Acres

%
Loss

of

Eligibility

Form SEM 3. Summary Status of TIMP integrating SEMF Actions (To be filled by WUA and SO as part of TIMP)
SEMF Activities

Status
Completed

Identification
and
senstization
of
all
Stakeholder (in tank
influence zone)

Assessing WUA
contribution

for

Identifying
key
environmental
and
Social aspects requiring
safeguards

 Command Area farmers


 Catchment area farmer
 Catchment area farmers
 Ground water users
 Fisher men community
 Washer men communities
 Shepherds
Willingness of stakeholders to participate in
 Planning
 Restoration
 O&M
 TIMP
 Preparation
of
Integrated
Pest
Management Plan
 Preparation of integrated Nutrient
Management Plan
 Preparation of Dam Safety Plan

204

Partially
Completed

Reason
Not started

Total
R&R
Benefit in Rs.





RAP

Agreement on MoU

Signing of MoU
Integration of all plans

Preparation of Cultural Property Plan


Preparation of Tribal Development Plan
Preparation of Gender Development
Plan
Preparation and finalizaiton of Tank
Improvization and Management Plan
Completion of land acquistion and
disbursal of compensation
Finalization of livelihood options
Agreement on Draft MoU between
WUA and DPU
Between MoU and DPU
Consolidation all Plans into Integrated
Social and Environmental Management
Plan (ISEMP)

205

Form SEM 4. Safeguard measures for minimization of Construction stage impacts


CONSTRUCTION STAGE
IMPACTS
Site clearance
Site accesses and cleanliness

Participation
Borrow pits and quarries for
construction materials
Earth Work excavations

Accumulation of excavated
earth, silt and debris

Ensure not to dump material on private lands


Vegetation to be removed only in the required areas
Cultivated lands should not be disturbed if crop is grown.
Site of labor camp to selected in consultation with community
Proper and timely upkeep of construction premises
Construction materials should be kept in orderly manner
Participation of marginal sections should be encouraged at all stages
Not to be done in the catchments areas
Ensure materials are not dumped on private lands
Ensure unobstructed natural drainage
Dispose surplus excavated materials at identified sites
Ensure minimum hindrance to normal local activities
Avoid damage to permanent structures
Use if silt quality is found good and required by local farmers or for bund
improvement. If not, should be disposed in borrow pits
Transport and dispose all debris to environmentally suitable sites
Daily inspection at work sites for construction debris for safe collection and
disposal
Awareness and sensitization program
Ensure active involvement of stakeholders
Involve community based organizations to mobilize community
Dress the sites for proper and natural drainage

Restrict noisy operations to normal working hours


Avoid construction works in night if close to habitations
Provision of protective care to labour force
Prior information to local community regarding operations
Remove excavated materials to identified sites
Frequent sprinkling of water
Preserve top 30 cm layers for restoration after completion of construction

Water
stagnation
and
associated health problems
Increased air, noise, water
pollution

Suspended dust particulates


Loss of top soils in
agricultural fields
Disturbances
to
natural
drainage

Avoid any temporary works near natural canals


Control the silt entry to ponds, streams, canals by construction of silt traps
Provision of by-pass arrangements for natural drainage during construction
Damage to works, structures
Take necessary precautions to avoid any damage to irrigation works, canals,
etc
roads, trees and other features
Cultural relics
If found, should be handed over to concerned department and work should be
stopped till further instructions
Planning of labour camps
Contractor shall setup the labour camp with adequate facilities before starting
of works in consultation with local community to minimize stress on natural
resources
Facilities should confirm to labour standards. No child labour
Equal wages
Social disruption
Preference to local labour/ skilled persons
Ensure wages at least at prevailing local minimum wage rates
NOTE: This form needs to be attached to all tender documents

206

Form SEM 5. Implementation of RAP


Activities relating RAP

Status
Completed

Reason
Partially
completed

Not started

Identification of all Stakeholders


Delineation of water spread area up to
FTL, feeder channels and command
area of tank
Interaction
with
WUA
on
encroachments
Completion of Census survey
Assessing Voluntary surrender
Interaction with Revenue department
officials
Voluntary surrender of land agreed
Encroachments removed
Resettlement eligibility and Assistance
defined
Dispersal of compensation and
Livelihood options

Form SEM 6. Implementation of measures relating to construction stage impacts


SEMF Activities

Identification
Assessment

and

Measures
during
construction
Labour camp established
Use
of
- Skilled
Unskilled
Wage Rate

local

labour
-

First aid available at labour


camp
Prior
information
about
blasting to local people (if
applicable)
Proper drainage to avoid water
stagnation
Construction time

Men

Women

Men

Women

Working hours

Site clearance
Dumping place cleared
Disposal of excavated earth
completed
in
an
environmentally suitable site
Arrangement
for
removal
/reinstatement of points of
access

207

Status
Completed

Reason
Partially
completed

Not
started

Obstructions
in
drainage
channel cleared ( if any )
Closing of dug pits
Inspection of land fill sites as
per agreement
Cultural relics ( if found)
information
to
concerned
department
Form to be completed by WUA and SO for use by DPU for sanctioning final installment payment to the
contractors

208

8. Tank Improvement and Management Plan (TIMP)


8.1. Project cycle in a tank system
Sl.
No.

Activity

Institutional Responsibility
Primary
Secondary

Tank Identification Stage (3 Months)


1
Hydrological & technical assessment of tank
2
Delimitation of water spread Area upto FTL, feeder
channels and command area of tank
3
Selection of tank
4
Assessment of groundwater recharge potential of selected
tank
5
Selection of tank for groundwater interventions
6
Identification of groundwater unit / influence zone of the
selected tank
7
Identification of encroachment and /or additional land
required in tank
8
Selection of SO
Pre- Planning Stage (2 Months)
9
Social Mapping & identify all tank stakeholders (and
groundwater users) in tank system area and influence
zone
10
Project sensitization and awareness among the tank
stakeholders
11
Involve village level functionaries of line departments /
PRI department
12
Organize tank based consultation with all stakeholders
13
Assessment of WUA readiness for contribution towards
restoration & rehabilitation of tank
14
Prepare Resettlement Action (RAP)
15
Agree on draft MoU between WUA & DPU
16
Sign of MoU between WUA & DPU
17
Maintenance of books and accounts by WUA
Planning Stage (4 Months)
18
Implement RAP
19a
Collect required data through Participatory Rural
Appraisal*
19b
Survey of technical aspects of tank, catchments area &
command area / tank influence zone
20
Provide initial training to WUA members on TIMP
preparation
21
Constitute four sub committees (on Works, Finance,
M&E and Training,Water Management) of WUA
22
Provide training to all sub committee members on their
roles and functions and responsibilities
23
Mobilize groundwater users into groundwater user groups
and affiliate them to WUA
24
Awareness generation among groundwater user groups
about project groundwater interventions
25
Prepare TIMP
(i) Design, estimate of Civil works
(ii) Training Plan

209

APSRAC
DPU

Tertiary

DPU

DPU
DPU
DPU
DPU
DPU

WUA

DPU
SO

WUA

DPU

SO

WUA

SO

WUA

DPU

SO
SO

WUA
WUA

DPU

DPU
DPU
DPU / WUA
WUA

WUA
WUA

SO
SO

SO

DPU
SO

WUA
WUA

SO
DPU

DPU

WUA

SO

SO

WUA

DPU

SO

WUA

DPU

SO/ GWD

WUA

SO

WUA

WUA
DPU
SO

SO
WUA/WSC
WUA/WSC

SO

DPU

(iii) Livelihoods Plan


(iv) Compilation of TIMP Document
26
Ratify TIMP in WUA GB meeting
27
Identify activities for Gram Panchayat implementation
and submit the list to the GP
28
Open WUA bank account for contribution (separate from
WUA account)
29
Mobilize cash contributions
30
Appraisal of TIMP by DPU
31
Include TIMP in District Plan for DLIC Approval
32
Sign Agreement on TIMP implementation between WUA
and DPU
33
Prepare procurement plan for materials & manpower for
works by WUA
34
Prepare tender documents for works to be tendered
35
Maintenance of documents, books and accounts
Implementation (18 Months)
36
Public display of project information on wall / notice
board
37
Implement civil works by WUA, and other TIMP
activities
38
Implement civil works by contractors
39
Supervise both type of works
40
Quality assurances through agreed mechanism and
reporting
41
Work completion report
42
Organize trainings for WUA
43
44

Implement participatory hydrological monitoring


Crop-water budgeting & crop planning for groundwater
based irrigation in tank influence zone
45
Promote water efficient technologies in groundwater
based irrigation
46
Institutional strengthening of groundwater user groups
47
Mobilize formation of common interest groups for agribusiness promotion
48
Implement livelihoods/agri-business plans etc.
49
Strengthen linkages with departments, commercial banks
and private sector
50
Maintain documents, books and accounts
51
Participatory monitoring at village level
Post Implementation (6 Months & onwards)
52
Assess WUA for refresher trainings
53
Refresher Training for WUA

SO
SO
WUA
WUA/GP

WUA/WSC

WUA

DPU

WUA
DPU
DPU
WUA / DPU

SO

SO
SO

DPU
DPU

DLIC

WUA / DPU

SO

DPU
WUA

WUA/SO
SO

WUA

SO

WUA

SO

DPU

Contractor
WUA
NCCBM

DPU
SO
DPU

WUA
DPU
WUA

DPU
SO/Resource
Persons
WUA
WUA

WUA
WUA
SO
SO

DPU
DPU

WUA

SO

DPU

SO
SO

WUA
WUA

DPU
DPU

SO
SO

WUA
WUA

DPU
DPU

WUA
WUA

SO
SO

DPU
DPU

DPU

SO
WUA
DPU
SO/Resource
WUA
Persons
54
Update seasonal O&M strategy, plans and estimates
DPU
WUA
SO
55
Operationalize O&M plan
WUA
DPU
SO
56
Maintenance of O&M fund
WUA
DPU
SO
57
Maintenance of documents, books and accounts
WUA
DPU
SO
58
Preparation of project completion report on agreed format DPU
WUA
SO
59
Monitoring at WUA performance every 6 months
WUA
DPU
* Information will include: Socio-economic profile of tank stakeholders, Resource profile of tank system;
Trend analysis of groundwater based irrigation; Tank based production system analysis; Problem
identification (tank system deterioration); Needs identification (Related to WUA institutional development

210

/ tank restoration / livelihood); Identification of resources with WUA; Identification of interventions (WUA
institutional development / tank restoration including groundwater / livelihood / trainings); Identification of
expected outputs from proposed interventions.

8.2. TIMP planning process


The process of TIMP preparation will include the following steps:
1. Awareness generation on project
2. Identification of all tank stakeholders
3. Assessment of WUA preparedness and willingness
4. Signing of MoU between WUA and DPD
5. Data collection for preparing TIMP PRA / Technical Surveys
6. Preparation of work designs and cost estimates
7. Preparation of TIMP Document
8. Consultation and endorsement of TIMP by WUA General Body
Awareness generation on project
The process of Tank Improvement and Management Plan preparation will start with
awareness generation about the project in the tank system area villages. Village level
meetings will be organized in each of the tank area villages. At least a weeks notice about
the meeting will be given 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 the future operation and maintenance of the
tank system. A number of meetings will be organized in each tank area village, besides
the awareness generation process, including Kalajatha, wall writings, audio-visual shows,
etc.
Identification of all tank stakeholders
As awareness about the project develops among the villagers, social mapping of the
villages will be carried out to identify the various social and economic groups among
them. During the process the 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. Once all the tank stakeholders have been identified a
Detailed Internal Interest Analysis Matrix will be prepared of all the tank stakeholders
(Annex 1).
Assessment of WUA preparedness and willingness
To analyze the preparedness and willingness of the WUA to participate in the project an
assessment of the WUAs will be carried out on the following aspects:
4. Organizational & Financial Management
5. Preparedness for Planning
6. Peoples Participation

211

The formats for carrying out the assessment of environment for participatory planning are
given in Annex 2.
Signing of MoU between WUA and 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 will be agreed upon and signed between the WUA and
the District Project Director (DPD Executive Engineer), 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:
1. mobilize community contribution for the project from among the tank users at the rate
of 10 percent of the total civil works (5 percent in cash and 5 percent in kind). The 5
% contribution in cash will be deposited in the WUA O&M Account for future O&M
activities
2. prepare a Tank Improvement and Management Plan to carry out restoration and
revival of the tank system
3. supervise and actively participate the TIMP implementation
4. 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
5. 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 tank bed if required)
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
6. distribute water among all the tank users equitably
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 agricultural plans for each irrigation season
9. arbitrate and resolve any disputes over distribution of water among the tank users
10. prevent future encroachment and protect tank system
11. maintain execution of works and supervise the quality

212

12. open and operate two bank accounts in any Nationalized Bank
i.
O&M Account: for depositing water charges collected, O&M funds, 5 %
contribution towards share of the WUA in rehabilitation of the tank. This account
will be operated jointly by WUA President and Vice President, on behalf of the
WUA Managing Committee
ii.
Works Account: for the purpose of rehabilitation works taken up by the WUA
under the project. This account is to be operated jointly by WUA President (on
behalf of the WUA Managing Committee) and the project technical staff (DPU
staff co-opted into the works sub-committee).
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 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
Data collection for preparing TIMP PRA / technical surveys
After signing of the MoU between the WUA and the DPD the process for TIMP
preparation will start. This will begin with a Participatory Rural Appraisal of the tank
area villages. PRA will be carried out over a period of 5 days schedule using the
following tools:
Day
Day 1
Day 2

PRA Tools
Resource Mapping / Transect
Production System & Livelihoods Mapping

Day 3

Institutional Mapping / Infrastructure ,Service


Availability & Mobility Mapping

Day 4

Time Line / Seasonality Chart / Trend Analysis of


Groundwater based Irrigation

Day 5

Problem Tree / Problem Identification / Problem


Prioritization / Identification of interventions

Output of the Tool


To assess the nature and levels of production
system in the tank area and identify the problems
in the tank system and the influence zone 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

Problem identification and prioritization will lead to the identification of the root
problems of the tank system and the effect of this on the tank users. This will be done
213

through construction of a Problem Tree of the core problem of tank system deterioration.
The construction of a Problem Tree will result in list out the causes and effects of the tank
system deterioration. Once the causes and effects have been listed, they will be converted
into objective statements based on which the required interventions will be identified.
The interventions so identified by the tank system stakeholders can not be changed by the
project staff without the approval of the WUA. The identified interventions will be
segregated into the following categories:
1. Civil Works
2. Land / Water Resources Management Activities
3. Production / Livelihood Activities
4. Social / Environmental Management Activities
5. Institutional / Management Aspects
6. Trainings
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
(See Annex 3)
During this time also the interventions for the Environmental Management Plan, the
Tribal Development Plan (if required) will be identified.
Preparation of work designs and cost estimates
After identification of the interventions the design and cost estimates for the civil works
will be prepared by the project technical staff in association with the Works SubCommittee members of the WUA. During the same time the cost estimate and
implementation strategy for the other interventions will be prepared by the other relevant
project staff in association with the Works Sub-Committee and other members of the
WUA.
With respect to interventions to be implemented through convergence / linkages with ongoing 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 co-opted Gram Panchayat members. The
WUA Gram Panchayat members will represent the WUAs interest in the Gram
Panchayat meeting and will follow up on inclusion of these interventions into the Gram
Panchayat NREGP plan.
Preparation of TIMP document
After the design, cost estimates and the implementation plan for all the interventions have
been prepared, it will be compiled into the TIMP document. The TIMP document will be

214

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 system area and the tank stakeholders
(Annex 4).
8.3. TIMP contents and details (including social and environmental management
plans)
The identified interventions will be segregated in the following categories:
1. Civil Works
2. Land / Water Resources Management Activities
3. Production / Livelihood Activities
4. Social / Environmental Management Activities
5. Institutional / Management Aspects
6. Trainings
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:
5. Community resources
6. Project resources
7. Convergence / linkage with other programmes
8. Credit financing
(See Annex 3)
8.4. TIMP approval process
Once the draft TIMP document is ready it will be presented to the WUA General Body
for discussion and approval. The General Body meeting of the WUA will be organized at
least within a fortnight of the draft TIMP document is ready. During this intervening
period the SO in-charge of the WUA will discuss and clarify all queries of the WUA
members related to the implementation plan, designs and cost estimates. Based on the
discussions, any required modification of the TIMP will be carried out. After the final
TIMP has been agreed upon, the extent of the community contribution and its collection
strategy and schedule will be agreed upon.
Once the TIMP has been agreed upon and finalized, a General Body meeting of the WUA
will be held to pass a resolution approving and adopting the TIMP. The WUA Managing
Committee will then fill up the TIMP Implementation Agreement (Annex 5). Two copies
of the approved TIMP and the Agreement will be prepared by the WUA and submit them
to the DPU for approval. On receiving DPU approval, one copy of the TIMP and
Agreement will be kept with the WUA for its records and one copy will be kept with the
DPU. The DPU will compile all the TIMPs prepared in one project phase in the District
Action Plan and submit it to the District Level Implementation Committee (DLIC) for
approval.

215

8.5. TIMP implementation arrangements


The WUA will operate two bank accounts. In account 1 (the O&M Account) the
beneficiary contribution (the cash component) and the water charges collected from the
WUA members will be deposited. This account will be operated jointly by the President
and the Vice-President of the WUA. In account 2 (the Works Account) the project funds
for the works and the livelihoods funds will be deposited. This account will be jointly
operated by the President of the WUA and the project technical staff deputed to the
WUA.
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 DPU 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 WUA will be developed for this. The remaining works will be
listed separately for implementation through the tendering process.
The Managing Committee of WUA will co-opt the technical staff (AE / AEE) into the
Works Sub-Committee for technical guidance and capacity building of the members
during execution of works. The sub-committee will obtain technical sanction for all the
works as per the departmental norms and entrust works that can handled by WUA to the
WUA.
An advance up to 40 % of the cost of the work will be provided, if required, in
installments to WUA to be deposited in the works account through a Letter of Credit by
the District Project Director for WUA to start work. 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 DLIC receiving authorization from
works sub-committee along with the project technical staff.
For the works, authorized by the WUA to be done through the tendering process, the
District Project Director will call tenders as per the procurement norms prescribed under
the project. A tripartite agreement will be signed between the District Project Director,
the contractor and the 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 subcommittee 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

216

Managing Committee of WUA and the DPU for release of payments to the Contractor
through the District Project Director.
All the works executed and records will be subject to independent third party quality
control as per the agreement with the DPU apart from the regular quality control.
The lists of works to be taken up will be given wide publicity by means of display in the
office of the WUA or other public institutions within the 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 a display 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.

217

Annex 1 Detailed internal interest analysis matrix of tank stakeholders


Sl. No.
1
I
Ii
Iii
Iv
V
2
I
Ii
iii
iv
3
i
ii
4
i
ii
iii
5
i
ii
iii

Stakeholder Group
Characteristics & Profile
Characteristics
Quantitative Analysis
Social Characteristics
Status
Structure
Function of Group
Interest
Needs / Wants
Interests
Motives
Attitude Towards Project
Potential
Strength of Group
Contribution to Project
Problems
Weakness / Shortcomings
What Groups Could
Refuse to Project
Main Problems
Implication For Project Planning
In Which Way Group Be
Considered
Project Action Taken in
Regard to Group
Project's Reaction
Towards Group

Various Identified Tank Stakeholders

218

Annex 2
Analysis of WUA preparedness and willingness to participate in project
I.
Sl. No.
1
2
3
4
5
6
7
8
9
10
11
12

II.
Sl. No.
1
2

3
4
5
6
7

Organizational & Financial Management


Item
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?
Has the sub-committees of the WUA constituted?
If constituted, are the sub-committees carrying out
their roles?
Has the WUA collected water taxes regularly in the
past?
Is the WUA maintaining its records & books
regularly?
Does the WUA have any past experience of
procurement of material and services?
Does the WUA have any existing O&M funds
available?
Are there any other sources from which the WUA is
receiving funds?
Are there any funds available at the district level
which can be availed by the WUA?

Yes / No

Remark

Preparedness for planning


Item
Has the WUA ever carried out local level planning in
the past?
Has there been any attempt to train and / or provide
technical backstopping to WUA for local planning in the
past?
Is the WUA aware of its responsibility & power to carry
out local level planning for the O&M of its tank system?
Does the WUA have any data base available for
carrying out local level planning?
Does a WUA level monitoring and evaluation cell exist?
Does there exist any possibility of convergence of the
WUA level plans with other sector plans in the GP?
Is integrated multi-sectoral planning at the WUA level
possible / being done?

219

Yes / No

Remark

III.
Sl. No.
1
2
3
4
5
6
7
8
9

10

Peoples Participation
Item
Has any action been taken to promote peoples
participation in WUA?
Have people been consulted during planning of WUA
activities in the past?
Have people participate in terms of labour / finance in
past WUA plan activities?
Have people made any contribution in cash / kind in
past WUA activities?
Have people participate in O&M activities implemented
by WUA in the past?
Are the people willing to pay water charge to the WUA?
Are the people willing to carry out O&M activities on
the tank system under WUA co-ordination in the future?
Are the people willing to carry out water audits and crop
planning under the co-ordination of the WUA?
Are the people willing to adopt efficient water use
practices and technologies under the co-ordination of the
WUA?
Are the people willing to make contribution in cash &
kind towards the project?

220

Yes / No

Remark

Annex 3
Segregation of Activities by Funding Source
Sl.
No.

Activities

1
i
ii
iii
2
I
Ii
iii
3
I
Ii
iii
4
I
Ii
iii
5
I
Ii
iii
6
I
Ii
iii

Civil Works

Intervention
Implemented
Through
Community
Resources

Intervention
Implemented
Through Project
Resources

Land / Water Resources Management Activities

Production / Livelihood Activities

Social / Environmental Management Activities

Institutional / Management

Trainings

221

Intervention
Implemented
Through
Convergence /
Linkage

Intervention
Implemented
Through Credit
Financing

Annex 4
1.

Tank Improvement and Management Plan

Sl.
No.

Activity

Objective

Civil Works

Output

Tasks Involved

222

Monitoring
Indicator

Cost

Sl.
No.

Activity

Objective

Land / Water Resources Management Activities

Output

Tasks Involved

223

Monitoring Indicator

Cost

Sl. No.

Objective

Output

Tasks Involved

Activity
3

Production / Livelihood Activities

224

Monitoring Indicator

Cost

Sl.
No.

Activity

Objective

Social / Environmental Management Activities

Output

Tasks Involved

225

Monitoring Indicator

Cost

Sl.
No.

Activity

Objective

Institutional / Management Aspects

Output

Tasks Involved

226

Monitoring Indicator

Cost

Sl.
No.

Activity

Objective

Trainings

Output

Tasks Involved

227

Monitoring Indicator

Cost

GANTT CHART
Year SN. No.

Name of Activity

January

February

March

April

May

228

June

July

August

September

Octobe
r

Novem
ber

Decem
ber

Procurement Plan
Sl. No.

Name of Activity

Required Equipments &


Materials

Required Facilities

229

Required Services

Responsible Person

Annexure to TIMP
1

Tank System Profile

1. General Information
Name of the Tank / WUA
Name of the Villages
Name of the WUA President
Name of the Competent Authority
Name of the Support Organization
Name of Sub Division
Name of Division
Name of the Mandal
Name of the District

2. Details of WUA & Managing Committee


Social Groups
Water User Association
SC

ST

OBC

Others

Members
WUA Managing Committee
Position

Name

SC

ST

OBC

Others

President
Vice-President
Territorial Constituency
Members

Works Sub-Committee
SC

ST

OBC

Others

SC

ST

OBC

Others

Finance Sub-Committee

230

Monitoring, Evaluation and Training Sub-Committee


SC

ST

OBC

Others

SC

ST

OBC

Others

Water Management Sub-Committee

3. Salient features of the tank


Year of Construction
Register No. of Tank
Longitude
Latitude
Type of Tank
TBL
MWL
FTL
Catchment Area (km2)
Independent
Nature of Catchment
Average Rainfall (mm)
Water Spread (Ha)
Gross Tank Capacity (MCM)
Live Capacity Of Tank (MCM)
Designed Ayacut (Ha)
Present Ayacut (Ha)
Tank Bund Length (m)
Maximum Height (m)
Waste Weir
Type
Length
Crest Level Discharging
Lining To Canals : Whether Done Or Not
Type Of Lining : RR Masonry
Sluices 1
Sluices 2
Sluices 3
Sluices 4

231

4. Land Use
Description

Tank Catchment (Acres)

Tank Ayacut (Acres)

Total land
Cultivable
Non Cultivated Waste
Forest
Rainfed
Irrigated Land
5. Water Resources
Type of Water Resources
Ponds
Check Dams
Nala Bunds
Percolation Tanks
Tanks < 40 ha
Open Wells
Bore Wells

Numbers
Tank Command

Tank Catchment

6. Socio-Economic details

Total Population
Men
Women
Households
Literacy Rate - Men
Literacy Rate - Women
Large Farmers
Medium Farmers
Small Farmers
Marginal Farmers
Landless
Livestock Keepers (Only)
Manufacturing /
Processing
Fisher Men
Potters

SC

Tank Catchment
ST
OBC
Others

232

SC

Tank Command
ST
OBC
Others

7. Tank Stakeholders
Occupational Groups
Large Farmers
Medium Farmers
Small Farmers
Marginal Farmers
Landless
Livestock Keepers (Only)
Manufacturing /
Processing
Fisher Men
Potters
Others

Households Depending on Tank

8. Cropped Area under Tank Irrigation


Crops

Area Under Tank Irrigation (Acres)

233

Crop Productivity (Quintals / Acre)

Tank Area PRA Report

234

Detailed Design and Cost Estimates of Civil Works

235

Annex 5
Agreement on TIMP Implementation between WUA and DPD
In continuation to the MoU signed between the _______________ WUA and the DPD,
District ____________ dated ___________ the WUA has prepared the enclosed TIMP,
which has been adopted by the General Body of the WUA vide. Resolution No.
____________ passed in the General Body meeting held on ________ (date). Under the
TIMP, the WUA proposes to take up the following activities towards revival and
restoration of the tank system. The total cost estimate for the TIMP is Rs.
______________ (Rs.________________________ __________________ and the
community
contribution
Rs.
___________
(Rs.
___________________________________) as per the details below.
Sl.
No.

Name of Activities

Estimated Cost (Rs)

Estimated Community
Contribution (Rs)
5 % Cash
5 % Kind

1.
2
3
4
5
6
7
8
9
10
11
12
TOTAL

The details of the activity design and cost estimates, the implementation schedule and the
procurement plan are provided in the attached TIMP.
The WUA agrees to utilize the funds sanctioned for implementation of the TIMP 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 TIMP.

236

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

District Project Director

President WUA

Executive Engineer

Witness 1

Witness 2

Signed this day, the _____/______/_________ (dd / mm / yyyy).

237

9. Procurement policy, plan & strategy


9.1. Procurement policy
The aim of procurement is to obtain the right quality of works, goods and services at
reasonable and competitive prices, giving equal opportunities to all individuals,
companies, firms, manufacturers, contractors who are capable of delivering the goods,
works and services to the laid down specifications, standards and provisions of the bid
document. A procurement policy is also to provide incentive and encouragement for
development of national manufacturers, contractors, firms, institutions and consultancy
firms etc. The procurement policy is based on the following principles:
Economy and efficiency in implementation of the project
Economy and efficiency in procurement of goods, works and services involved
Equal opportunity to all eligible bidders in providing goods and works by providing
timely and adequate notification of bid documents
To encourage development of domestic contracting and manufacture industries and
consulting firms
Transparency in the procurement process
9.2. Procurement plan
The Procurement Plan will include the description of the contracts for goods, works and
for services required to carry out the project. It will be consistent with the project
principles and estimates, technical and administrative approval and the proposed methods
for procurement over the total agreed implementation period. It will also be consistent
with the budgetary allocations for the project. The Procurement Plan will be updated
annually or as needed throughout the duration of the project. The Procurement Plan is
critical for:
Ensuring satisfactory implementation of project
Ensuring speedy transfer of resources by way of disbursements
Achieving economy and efficiency
Ensuring success of the project
A sound Procurement Plan and public procurement is a vital arm for promoting good
governance and better fiscal management of the project.
Under the Procurement Plan, works, goods and services to be procured are identified
year-wise over the implementation period. List of works to be procured under the project,
year-wise with estimated cost and method of procurement is detailed out in it.
The Procurement Plan for the project will be furnished to the Bank for its review and
approval. The Procurement Plan and the method of procurement and categories of goods,
works and consultancy services to which they apply are specified in the loan/ credit
agreement which will govern the legal relationship between the Bank and Borrower
(Govt. of Andhra Pradesh through Govt. of India) and will be updated once in six month.

238

The Bank will disclose the initial Procurement Plan to the public after the related
loan/credit has been approved including disclosing of additional updates after the Bank
has approved them.
9.3. Methods of procurement
Method of procurement includes:
For goods, works and services (other than consultancy services)
International Competitive Bidding (ICB)
National Competitive Bidding (NCB)
Shopping
Community Driven Procurement
Direct Contracting
Force Account
For Consultancy Services
Quality and Cost Based Selection (QCBS)
Quality Based Selection (QBS)
Selection under a Fixed Budget (FBS)
Least Cost Selection (LCS)
Selection Based on Consultants Qualification (CQ)
Single Source Selection (SSS)
Individual Consultant (IC)
For Community Driven Procurement
It is an effective tool of community empowerment, but is apparently not cost
effective because of inexperience of the community. In order to make the system
efficient, cost sharing to the extent of 10 % (5 % in cash and 5 % through kind) is
introduced in the project. It is proposed that the non-technical works such as
rectification of feeder channels, removal of weeds, foreshore plantation, silt
clearance in main distributaries, etc. be undertaken by the WUA under the
supervision of the technical staff of DPU thorough community contracting
The various institutions at different level involved in procurement of works, goods
and services for the project are as follows:
For civil works:
Civil works contracts pertaining to above Rs 5 lakhs - by DPU
Small civil works less than Rs 5 lakhs - by the WUA (if they are willing and
have the capacity)
Civil work under the groundwater component - by the Groundwater
Department
For goods:
Goods, equipments vehicles required for the PMU - by the PMU
Vehicles, computers and other goods required at the district level - by the
DPU (following the departmental delegation of powers)

239

Small procurement under the livelihood component - by the respective line


departments
Goods pertaining to groundwater component - by the Groundwater
Department
For consultancy services / trainings
All international and major consultancies - by PMU (TOR for the
consultancies will be cleared by the PMU)
Procurement of Chartered Accountant, Support Organization and Resource
Persons for training required at the district level - by the DPU

9.4. Financial delegation


For implementation of project in a time-bound manner, the financial delegation of various
authorities shall be as under:
Sl. No.
1.

Description
Administrative approval for
of a tank

2.

Technical sanction of detailed estimates

Contingent expenditure

4.

Tender acceptance (works)

rehabilitation

Approving authority
Government (project specific) beyond 10
lakhs full powers
Chief Engineers MI up to Rs. 10 lakhs
Chief Engineers full powers to the extent of
administrative approval
Superintending Engineer above Rs. 10 lakhs
and up to Rs. 50 lakhs*
Executive Engineer up to Rs. 10 lakhs*
State Project Director (PMU) / District
Project Director (DPU)
Commissionerate of Tenders beyond Rs.
200 lakhs
Chief Engineers above Rs. 50 lakhs and up
to Rs. 200 lakhs
Superintending Engineer up to Rs. 50 lakhs
Executive Engineer up to Rs. 10 lakhs

* SE / EE of MI Department from the districts

Invitation of bids: Bids for all tank civil works will be invited by Project Director, DPU
(Executive Engineer) in the office of DPU / Superintending Engineer in the office of the
Superintending Engineer following the departmental norms.
Opening of Bids: All bids will be opened at the specified place and date by the Executive
Engineer / Superintending Engineer as per the departmental norms.
Evaluation of Bids: All bids will be evaluated by the Executive Engineer / Superintending
Engineer of the department who are entitled for calling tenders.
Tender Acceptance: The acceptance of the tenders will be done by Executive Engineer /
Superintending Engineer / Chief Engineer / Commissionerate of Tenders as per their
respective financial powers of acceptance.

240

In case of consultancy, for each consultancy a three member committee constituting of


Superintending Engineer (PMU), Subject Matter Specialist and Accounts Manager will
be constituted for opening and evaluating bids, which will be headed by the State Project
Director. The State Project Director will have the full power to allot the consultancies.
In case of purchase of goods for the PMU, for each procurement a three member
committee consisting of Superintending Engineer (PMU), Deputy Project Director and
Accounts Manager will be constituted for opening and evaluating bids, which will be
headed by the State Project Director or his nominee. The State Project Director will have
full power to accept the tender and its approval. All powers for procurement of goods will
be vested with the State Project Director.
The procurement of goods at the district level will be carried out following the
departmental financial delegation of power.
In case of works, tenders will be called by Executive Engineer or Superintending
Engineer depending on the value of works using appropriate bid document in relation to
cost and the terms and conditions thereof. Tenders for works up to 10 lakhs will be
evaluated by the Executive Engineer, up to 50 lakhs by the Superintending Engineer and
beyond that by the Chief Engineer.

The details of the project procurement procedure and plan are given in the Project
Procurement Manual.

241

Procurement Procedures to be adopted for various items under different components


Sl.
No.
1

Project Component

Contract items

Agency

Procurement Method

Category

Institutional Strengthening

SO Selection

DPU

Consultant
(CQ)

Services

WUA Stationery
PRA Stationery
TIMP Document
Training for SOs, WUAs, Project Staff
Civil Works
Civil Works
Piezometer
Creation of MI Database
Surface Water Assessment of Tanks
Third party Quality Control
District
Level
Engineering Support
Consultancy
Engineering Staff at DPU (Wherever
Vacancy Exists)
Training for groundwater users and GWD
staff
District level QC labs
Engineering Survey Equipment
GMIS software
AWLR
Upgradation of State GW Data Centre
Upgradation of District GW Data Centre
Upgradation of 6 labs
Measuring devices, water level indicators
etc.
NADEP Pits

DPU
DPU
DPU
PMU/DPU
DPU
WUA
GWD
PMU
PMU
PMU
DPU

Shopping
Shopping
Shopping
Direct Contracting/CQ
NCB/Shopping
CC
NCB
CQ
SS
SS
Individual

Goods
Goods
Goods
Services (training)
Civil Works
Civil Works
Civil Works
Services
Services
Services
Services

DPU

Individual

Services

DPU

Direct Contracting/CQ

Services (training)

DPU
DPU
PMU/DPU
GWD
GWD
GWD
GWD
GWD

Shopping
Shopping
Shopping
ICB
NCB
NCB
Shopping
Shopping

Goods
Goods
Goods
Goods
Goods
Goods
Goods
Goods

WUA

CC

Civil Works

WUA
WUA

CC
CC

Civil Works
Civil Works

Tank System Improvement

Production
and
Enhancement

Livelihood

Vermi compost Pits


Site Preparation and Nursery Raising

242

Qualification

Project Management

Promotion of New Business Opportunities


Studies at State and District level
Consultant for strategic guidance
Consortium activities /innovative pilots
Capacity Building training for the entire
Component
SRI Eqipments
WUA Level Equipments
Ram Lamb Units
Breed Improvement equipments
Venture capital for milk route expansion
Computers
Printing stationary for computers
Village collection center equipment
Cluster level collection center equipment
Fingerlings to FCS
Ice boxes to fisherwomen
WUA Audit
M & E external Consultancy
MIS design
Contractual Project Staff (PMU)
Contractual Project Staff (DPU)
Special studies and action research
Capacity Building for M & E staff
Staff training (including international)
Vehicles
Office Establishment (Computer, Xerox,
Furnitures etc.)

243

PMU

CQ

Services

PMU
PMU
DPU

Individual
SS
Direct Contracting/CQ

Services
Services
Services (training)

DPU
DPU
DPU
DPU
DPU
DPU
DPU
DPU
DPU
DPU

Shopping
Shopping
Direct Contracting
Shopping
Shopping
Shopping
Shopping
Shopping
Shopping
Direct Contracting
Shopping
CQ
QCBS
QCBS
Individual
Individual
QCBS
CQ
SS
Rate Contract
Rate Contract

Goods
Goods
Goods
Goods
Goods
Goods
Goods
Goods
Goods
Goods
Goods
Services
Services
Services
Services
Services
Services
Services (training)
Services (training)
Goods
Goods

PMU/DPU
PMU
PMU
PMU
PMU
PMU
PMU
PMU
PMU/DPU
PMU/DPU

Procurement process and threshold limits


Item of procurement
Works

Documents to be
used
W1

Goods

W2
W6
W5
W9
E1
E5
E6

Consultancy

Training and workshops

Threshold

Method of procurement

Contracts beyond US$ 50,000 and less than US$ 100,000


per contract
Contracts beyond US$ 1,00,000 and up to US$ 10 million
Contracts upto US$ 15000
Contracts up to US$ 50,000
Contracts up to US$ 50,000
Contracts beyond US$ 50,000/ and less than US$
2,00,000/
Contracts less than US$ 50,000
Beyond US$ 500,000
Contracts up to US$ 50,000
Contracts more than $50,000 and upto $200,000
Contracts beyond US$ 200,000
Contracts up to US$ 50,000

NCB

244

NCB
CommunityDriven Procurement
SHOPPING
Local Competitive Bidding
NCB
DGSD/ SHOPPING
ICB
CQ/SS
CQ
QCBS/QBS/FBS
Direct contracting

10. Financial Management


10.1. Annual Action plan preparation
The project proposes to rehabilitate tanks following a project mode approach with well
defined indicators. The cycle of renovation of a tank system is proposed to be of 24 to 30
months consisting of 4 phases. Each tank would have a detailed Tank Improvement and
Management Plan (TIMP) prepared jointly by the WUA, and SOs. The District Project
Director (DPD) will consolidate the action plan of tank for proposed for restoration year
wise requirements depending upon the phase of each tank and fund requirements of
activities under the phase. Such consolidated annual action plan of each district will be
aggregated at state level by PMU and indicated for the budget requirement as a separate
Head of Account under Commissioner, CAD / Chief Engineer, Minor Irrigation. The
funding of the project is in the ratio of 75:25 with 75% being the loan component from
World Bank and 25% being the grant from Government of India.
10.2. Head of Account
The Government of India has proposed to release the Government of India share of 25%
to state government through a ring fenced fund under AIBP as AIBP RRR.
A separate head of account for the project would be introduced by state government
which would be operated by Commissioner (CADA) / Chief Engineer, Minor Irrigation.
The budget provision under this head of account would be both for the 75% of State
government covering World Bank loan part and 25% Government of India grant.
10.3. Drawing Disbursing Officer
At district level, District Project Director / Executive Engineer would be the Drawing and
Disbursing Officer. At State Level the Accounts Officer O/o Commissioner, CADA
would be the Drawing Disbursing Officer.
10.4. Fund Release Process
The project consists of four components, namely:
1. Strengthening of community based institutions
2. Tank system improvement
3. Agriculture productivity enhancement
4. Project Management component
Strengthening of community based institutions: This component is primarily for capacity
building, exposure visits and training of WUA members and engineers, N.G.O cost etc.
The expenditure under this head would be incurred by state and district units. The funds
would be drawn by Accounts Officer O/o Commissioner CADA as AC bills, as and when
required, and disburse to the PMU and concerned DPU or other agencies as per the action
plan.

245

Tank System Improvement: This component covers all civil works related to restoration
of tanks (catchment area, tank and command area). The entire expenditure under this
component will be incurred at district level. The funds will be allocated through LOC
system to concerned PAO. The District Project Director (Executive Engineer) being the
Drawing Disbursing Officer at district level, would present the work bills to the
concerned PAOs and disburse to contractors.
Subject to the financial limits set by the government, a WUA could implement some of
the works such as of repairs to feeder channels, jungle clearance, revetments and
distribution channels, if they so desire and have the requisite capacity. For such works, an
advance up to 40 % of the cost of the work will be provided, if required, in installments
to WUA to be deposited in the works account through a Letter of Credit by the District
Project Director for facilitating WUA to start work.
Agriculture productivity enhancement: The component involves activities like
demonstrations, market linkages, WUAs, capacity building, professional services,
consolidation of Rytu Mitra Groups, organizing Farmer Field Schools, and exposure
visits etc. The funds would be drawn by Accounts Officer O/o Commissioner CADA as
AC bills, as and when required, and disburse to the concerned DPU or other agencies as
per the action plan.
Project management component: This component involves project management activities
like cost of hired staff, consultants, professional services, studies, research, work shops,
seminars, and other office expenditure and support facilities. The expenditure under this
component would be incurred at both district and State Level. The funds for this
component would be drawn by Accounts Officer O/o Commissioner CADA as AC bills,
as and when required, and disburse to the PMU, concerned DPU or other agencies as per
the action plan..
The funding of the project is in the ratio of 75:25 with 75% loan component from World
Bank and 25% grant from Government of India. The Government of India has proposed
to release the Government of India share of 25 % to state government through a ringfenced fund under AIBP as AIBPRRR.
A new Head of Account will be created for the Project.
10.5. Audit
The entire accounts will be audited by Accountant General as per the usual procedure in
vogue. In addition, the accredited Charted Accountant will also conduct audit of WUA
level accounts and of the Saving Bank accounts.

246

11. Monitoring, Learning and Evaluation


11.1. Background
Monitoring, Learning and evaluation (MLE) are important management tools to aid
effective implementation of programs and projects. Typically, major emphasis during
MLE is laid on quantitative aspects relating to inputs and activities covering physical and
financial progress. This leads to low/ inadequate attention on results /outcomes of project
interventions. Also very little attention is paid on monitoring key development indicators
such as functioning of new institutional set up created at village level, process of
empowerment etc.
The Andhra Pradesh Community Based Tank Project aims at the revival and restoration
of minor irrigation systems with active multi stakeholder participation. The project caters
to both infrastructure improvement and institutional strengthening involving a well
defined set of processes. A striking feature of the project lies in the inclusion of tank
based livelihoods component into the project that provides a platform for multi user
interaction while bringing adequate focus on supplementary and complementary agrobased activities. Capacity building agenda encompasses a wide set of stakeholders
synchronizing with the project interventions.
In view of the above, the project needs a Monitoring, Learning and Evaluation (MLE)
system which is comprehensive and helps to keep the project on right track and also
integrate learnings through the implementation process during the project period itself by
the stakeholders.
11.2. Objectives
The project has adopted result based management. The MLE system will monitor both
key processes during implementation as well as the outputs and outcomes of the project.
The system has multiple objectives based on the overall approach of the project. These
include:
Facilitate results-based management by integrating focus on outputs and outcomes
Understand effects of development interventions and understand the progress in
comparison with baseline situation through ongoing evaluation and impact
assessment
Generate, document and disseminate the learnings generated from project experience
for use by the stakeholders as well as wider community
11.3. The Approach
The main focus of the project MLE system will be on
Results-based management (timely monitoring, analysis and feedback on project
activities)
Evaluation (of project outputs, outcomes and impacts, using appropriate baseline and
controls)
247

Self/participatory MLE (for learning and capacity building of participants)


Periodic Benefits tracking on sample basis to understand poverty status and changes

The system will also be used for

Planning and Defining Course of Action


Learning for all Stakeholders
Empowerment and Capacity Building

The implementation of activities under the MLE component will focus on building the
internal capacity of PMU and CAD to monitor not only the inputs but the results through
the MIS and periodic reviews by the PMU. The MLE system aims at introducing multiple
M LE activities which will help the PMU to gain an external perspective of the work
being carried out under the project through a field visit based monitoring to be taken up
an agency external to the implementation and project management unit. This kind of
monitoring will support the PMU to understand the critical issues of implementation and
keeping the MIS and GMIS to specific inputs and outputs and not overloading the same
with too much of information. The MLE will have primary focus on empowering the
community members by facilitating the participatory monitoring and evaluation having a
major thrust on self monitoring tools and methodologies.
Learning will be a continuous process through different activities as part of the MLE
strategy. Learning will be at various levels and will be generated through participatory
methodologies in data collection, data sharing through joint reviews, theme based studies,
process documentation and annual evaluation.
11.4. The MLE framework
The overall MLE framework has distinct but inter-related aspects or constituents as
presented in the above schematic diagram. First, the project will regularly monitor the
projects physical and financial inputs and outputs through project MIS. The MIS
information will be used for project management through a progress review system on a
regular basis.
Second, the field based monitoring is planned to concurrently monitor and evaluate
project processes, institutional strengthening and measurable output/outcome impacts.
Monitoring of quality of civil works will be one of the important activities as part of field
based monitoring. Field level implementation is planned to be monitored by selecting a
sub-set of tanks within each major area for intensive monthly visits and monitoring; and
rotating monthly visits among the rest of the tank sub-sets within each major area. Six
monthly reviews are proposed under the system.
Third, there will be system of participatory MLE to engage beneficiaries of this multistakeholder project, with a decentralized implementation structure, in assessing progress
and achievements of the project. Going beyond extraction of information through groupbased methods, the participatory MLE process would aim to involve key stakeholders in

248

developing a framework measuring results, evaluating achievements and learning from


the project experience, i.e., as joint originators and evaluators of information. This will
also help build up local capacity to reflect, analyze, propose solutions and take actions.
Where possible, the process would try to ensure that marginal voices are heard. The
project would also undertake issue and theme based studies as identified by the joint
reviews and six monthly reviews. These themes/issues are likely to relate, inter alia, to
implementation processes, identification of constraints (technical, administrative,
financial) and estimation of project output/impact. Impact of the project on poverty status
and changes will be covered through a longitudinal study on sample tanks and households
tracking in tank areas.
Fourth, an independent MLE agency will carry out a baseline survey to benchmark the
pre-project situation and will undertake impact evaluations at mid-point and at
completion of project implementation. Annual evaluations will be also undertaken to
review project performance and assess key implementation issues arising.
MLE System

MIS and
GIS
(Web
enabled)

Field based
Monitoring

Theme
Based
Studies

Self Rating
by WUA

Quality
Monitoring

Process
Documentation

Baseline,
MTR &
Impact
Evaluation

Concurrent
Monitoring
Evaluation
Periodic Benefits
tracking
Sustainability
Monitoring

Annex 1 presents the details of the framework covering the methodology of each MLE
component and responsible persons and proposed use of information.

249

The results framework


Annex 2 presents the use of information at the project level to take management
decisions on implementation strategies and mid course corrections. Annex 3 presents the
results framework covering the outcomes and outputs of the project along with the
indicators, anticipated changes during the project period and MLE component to generate
information on the specific indicator.
11.5. Component-wise details of MLE

MIS and GMIS


The MIS will be an important tool for project management. It will cover primarily the
input and output monitoring. The input monitoring will be linked to financial
performance. The project will develop a system of voucher based monitoring of inputs.
Standard reports on inputs against the annual action plans will be produced and used by
the project teams to assess the progress on inputs.
The output information will be collected through reporting formats prepared by the MLE
team of PMU based on the strategic result based monitoring framework. The data
collection responsibility for this information will rest with the NGO/facilitating
organization. Annex 2 presents the details of the performance indicators (results
framework) mutually agreed. Performance targets will be finalized for each of these as
part of the annual action planning workshop. Progress and variances against these will be
tracked by the MIS. Review meetings of DLIC and joint reviews on a quarterly basis will
focus on understanding the reasons of variances and support requirements.
Development of MI database
The Technical Unit of PMU will undertake work on developing a comprehensive
database of minor irrigation sources across the state. This will provide an overall status
and coverage of irrigation through minor irrigation sources. The budgetary provision for
this is made in Component 2 Budget. The database development will focus on developing
and updating tank memoirs for each tank which are currently not available at a
centralized location for analysis and use for planning,
Field based monitoring
Quality monitoring: Monitoring of civil works for quality is one of the crucial
requirements. At the same time, the challenge lies in introduction of concurrent
monitoring during the construction phase and ensuring the feedback in timely manner.
The project has planned to hire an external agency with mobile facility of works quality
checking. Such monitoring is being done by I&CAD currently. The project will adopt the
same system.

250

Concurrent Monitoring Field level implementation would be independently monitored


by identified external MLE agency. This will be done by selecting a sub-set of tanks
within each major area for intensive monthly visits and monitoring and rotating monthly
visits among the rest of the tank sub-sets within each major area.
These reviews will focus on understanding the critical processes as well as the progress
of performance indicators. Field visits will also include random verification of the
information of progress reports as well as understanding the sequencing of events. The
progress reports data will be used to understand overall progress
Six-monthly progress reports would be prepared covering the following

up-to-date physical and financial expenditure data compared to annual and endproject targets
updated Key Performance Indicators (KPI) compared to annual and end-project
targets
successes and problems encountered during the reporting period with suggested
remedial actions
Socio-economic and environmental impacts of the project

Joint reviews of the project will be undertaken on a six monthly basis wherein a number
of stakeholders will participate to discuss progress and achievement of results compared
to the plan. The joint review teams will use quantitative input / output data from the MIS
database, supported by analysis, as well as processing monitoring and other information.
Periodic benefit tracking (longitudinal study) Impact of the project on poverty status
and changes will be covered through a longitudinal study on sample tanks and households
tracking in tank areas. The longitudinal study will focus on detail understanding of
progress and changes in the identified tanks by special and detail monitoring of result
framework indicators Specific support will be provided for comprehensive data gathering
by installing measuring devices and introducing detail record keeping of physical aspects
relating to rainfall, inflows, outflows, tank surplussing etc. The household information on
cropping pattern in head, mid and tail reaches, wage employment at local level, income
generated from other tank based livelihoods etc. will be collected on a regular basis (six
monthly) to monitor these tanks and gain understanding of overall project results. The
households in these tanks will be tracked over the entire project duration. The sampling
methodology will be developed for this purpose.
Post Project Sustainability Monitoring
The project envisages coverage of all tanks in three batches. Each tank has a project cycle
upto 30 months. This implementation arrangement provides an opportunity to understand
the issues relating to post project sustainability. The MLE team will undertake monitoring
of tanks after completion of works for the subsequent years throughout the project
duration. Monitoring of these tanks will be done
on a half yearly basis by the

251

implementation team. It will focus on key post project sustainability indicators developed
by the MLE team and will provide an insight into WUA self management.
Theme based studies The multi-disciplinary interventions under the project as well as
well as the multi-stakeholder partnerships create a need of in-depth understanding of
various issues during the project cycle and phasing. Considering this need, the
programme will conduct a number of issue or theme based studies to gain a better
understanding of the processes and outcomes involved and to learn from experience.
These studies will directly contribute to the sum of information on the results/outcomes
as well as newer dimensions of the project. The project would undertake, as appropriate ,
a focused study on themes and issues arising out of implementation processes to generate
in-depth understanding of various issues. Process documentation on a regular basis
during the implementation and monitoring process, will help to generate learnings for
the stakeholders.
Baseline and impact assessment
Baseline Survey A baseline survey will be undertaken by the project to understand the
pre-project situation on key parameters covering socio-economic dimensions as well as
the environmental aspects. The baseline survey will not only cover the project areas but
also relevant control sites which will be used to assess the (incremental) impact of
project interventions vis--vis generic growth influences over time. The MLE resource
person will provide support in finalizing the coverage and sampling strategy of project
tanks, villages, farmer groups, and keeping in mind issues of statistical validity and
operational feasibility.
The baseline survey will be completed and a draft report prepared before the end of the
fourth month after effectiveness of the project.
Impact Assessment Two full-scale impact evaluation studies will be undertaken at midpoint (Mid-Term Assessment Report) and at completion (Final Assessment Report) of
project implementation. The studies would include comparative analysis of performance
in project areas with those of selected control sites in non-project areas.
Mid Term Assessment The study would include an impact assessment of the project to
date, but also focus on implementation processes and recommend adjustments in the
project design and/or implementation arrangements to overcome identified bottlenecks.
The Assessment Report would be a comprehensive overall impact assessment including
quantitative and qualitative assessment of progress against project development
objectives. The assessment will include socio-economic and environmental impacts of
the project.
Final Assessment The Final Assessment will be taken up towards end of the project. It
will focus on understanding the outcomes of project interventions and effect of the same
on the target population and compare these with the baseline situation to assess the
effectiveness of the project in terms of physical infrastructure development, socio-

252

economic changes environmental impacts as well as institutional strengthening and


decentralized management of assets by community members through WUA platform.
The study will also compare the results with the control to have a realistic picture. The
Final Assessment Report would be a comprehensive overall impact assessment including
quantitative and qualitative assessment of progress against project development
objectives. The study results will be useful to define the future course of action by the
CAD & ICAD, GOAP.
Both the impact assessment will update the financial and economic analysis of project
returns undertaken at the start of the project. These assessments will also undertake
analysis of issues relating to sustainability of project outcomes and impacts.
Social and Environmental Management Audits The MLE agency will undertake two
audits during the project period to assess the implementation of Social and Environment
Management Framework (SEMF) of the project.
These audits will focus on
understanding the implementation and outcomes of the social and environment
management measures proposed in various stages of project cycle and also changes that
have occurred in the project villages with respect to key concerns identified by the
SEMF. Two audits will be undertaken one in the mid-term of the project and second at
the end of project period. The detailed plan and coverage of issues will be presented by
the MLE agency to I&CAD and consent will be taken prior to proceeding further on the
field assessment.
11.6. Participatory monitoring and learning
Institution building long with the infrastructure development is the prime focus of the
Project. The former includes the capacity building of WUAs and its functionaries in the
overall management. It includes institution management, system management (O&M),
water management and corpus management. The WUAs are expected to take over regular
O&M as defined in the Act and mobilize resources from various sources, with major
portion coming from water charges collection. Against this backdrop it is essential that
WUA becomes an active partner in the overall process. Participatory Monitoring is thus
proposed as an instrument for facilitating active participation of WUAs in the overall
process and continuing the same beyond the project with enhanced capacities.
The inputs provided in the project and the outputs achieved against them are monitored
through an input output monitoring linked to MIS. The participatory MLE also gets
linked to the outputs part of the MIS providing a prominent space to the WUAs in the
monitoring framework. The WUA functionaries comprising Management Committee
members, Sub committee members and other users will participate in the MLE activities.
Transparency, performance assessment and lesson learning are important aspects of
participatory MLE. The following two types of participatory MLE activities are
proposed:

253

WUA Self rating


WUA functionaries are required to perform different roles both on day to day basis and
periodically. The functions are related to institution management, system management
(Operation & Maintenance), water management and corpus management. The functions
to be performed by different WUA functionaries are broadly defined in the APFMIS Act.
The project through specific interventions targets the institutional strengthening that also
requires specific roles to be performed by the WUA functionaries. Self rating enables the
WUAs to assess their own performance vis--vis the functions related to the aforesaid
areas.
Self rating is designed keeping in view the simplicity in understanding, analyzing and
awarding suitable marks by the WUA functionaries and other water users to their
performance (Annexure 4). Some parameters are identified on which the performance is
rated as per the marks fixed. Each sub parameter is further broken up into statements
leading to measurable outcomes. Self rating will be carried out on a quarterly basis. .
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 projects, namely, pre planning,
planning, implementation and post implementation. There are defined roles of WUA in
this process enunciated in the project. 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
systems 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.
The exercise enables the WUAs understand the implementation of the project with focus
on the WUAs 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 Tank Improvement and
Management Plan (TIMP). It also therefore throws light on understanding different
interventions proposed under livelihood component in different tank systems.
A simple tool of Quantified Participatory Assessment (QPA) will be developed and used
to enable WUAs to carry out the exercise. The Quantified Participatory Assessment
facilitates the understanding on critical issues of implementation by providing graded
answers with marks allocated to each answer. WUA members will be encouraged to
understand the status, discuss on issues and processes adopted and award marks
accordingly to each item.
It is proposed to involve WUAs from one tank to evaluate the other WUA performance
on annual basis. This arrangement will provide a cross-learning opportunity to the

254

WUAs. It will help them to learn about the methodologies and processes adopted by other
WUAs working in similar situations as well as presenting themselves to the other WUAs.
The monitoring tool is thus expected to result in exchange of ideas among the WUA
functionaries while promoting constructive competition among them.
11.7. Organizational structure / implementation arrangements
The operational responsibility for planning and coordinating MLE activities would rest
with the state level Programme Management Unit (PMU). The data and information
would be consolidated and managed by PMU at state and District Support Unit at district
level. The MLE structure is presented as Annex 5. Annex 6 presents the roles and
responsibilities of each position / personnel associated with MLE. The PMU will hire a
resource person on MLE This resource person will provide support to PMU not only to
develop the overall MLE system but also periodic review of the MLE as well as the
periodic project review. In the initial period, the resource person shall help develop
component-wise performance indicators in consultation with the state and DPU MLE
staff and the subject experts. Finalization of operational modality for each constituent of
MLE system will be done during this phase.. The sampling framework for various subcomponents of MLE will also be developed by the project in consultation with the
resource person. The resource person support will be availed by the project for a period
of about 3 weeks every year including the field and desk work.
The MIS development will be taken up by an identified agency, which will develop the
MIS for the State PMU by not restricting the scope limited to the project. The MIS will
provide information for project management as per the project cycle. The MIS data will
be converted into GMIS to provide a quick and easy understanding at the project
management level. The web enabled GMIS will facilitate use of information at various
levels. The management of the MIS & GMIS will be responsibility of District Support
Unit MLE staff. The computerization support will be provided at each Irrigation Circle
office, where the primary data entry will be done by a data entry operator. The Irrigation
Circle office will outsource this work on annual basis. Data compilation and feedback to
the users will be coordinated by the DPU MLE staff through joint reviews and DLIC
interactions.
Six monthly reviews will be undertaken by the state and district MLE teams together
prior to the joint review by the World Bank Supervision Mission. The PMU will
constitute a team of four members who will undertake the field visits on a monthly basis.
This team will be divided in two teams and will be supplemented with the subject matter
specialists at PMU level. This three member team along with the District MLE officer
will visit two districts every month and cover about 10-12 tanks per month. Each team
will visit one tank per day. After the field visits, the team will report to the District
Project Director about the progress of work and implementation issues. Considering the
project phasing and sampling proposed, these teams will visit each district twice in a
year. Supplementation of the MLE teams with subject matter specialists will facilitate
integration and comprehensive review of project activities at the tank level. It will also
facilitate the specific subject review based on field visits by the subject specialist.

255

An external agency will be involved in undertaking concurrent monitoring of the project


on a sample basis The agency will develop the methodology which will be approved by
the PMU. The monitoring will focus on understanding the progress on outcomes/results
of project interventions and their effect on the participating families in the tank areas.
Along with the regular data collection, the agency will be involved in undertaking the
process monitoring, assessment of sequencing of activities as per the project cycle
phasing and household surveys. Review of the capacity building interventions, institution
building processes, NGO performance assessment, etc. will also form part of the
concurrent monitoring as a component of reviewing the project support systems and
enabling environment.
The regular monitoring of the project activities will include monitoring of progress on
indicators specified in the Social and Environmental Management Framework. The MLE
agency would also monitor the implementation activities under SEMF. Specific focus
would be required on resettlement plan, tribal development plan, dam safety measures,
cultural property and gender action plans.
The external agency will undertake detailed monitoring of a selected set of households
from beginning to end of the project (panel data analysis) to understand the impact of
project interventions on, inter alia: (a) production patterns and incomes; (b) access to and
efficiency in use of water resources; (c) skill formation as well as (management) capacity
for community resource management; (d) distribution of benefits across various
categories of land holders and different socio-economic groups. The methodology as well
as sample selection for this analysis will be agreed in advance with the PMU.
Participatory monitoring and learning The participatory monitoring is envisaged as a
capacity building process of the Water Users Association. The proposed participatory
monitoring consists of two sub-components viz self rating and quantified participatory
assessment of performance by the WUAs. The NGOs/support /facilitating organizations
will play a crucial in initiating and facilitating these activities. Quantified participatory
assessment by WUAs will be the other constituent of participatory monitoring. This will
also be facilitated by the NGO/support organization.
Each Irrigation Division will constitute teams of WUA members from various tanks
within the mandals. A group of WUA representatives from a cluster of WUAs at mandal
or a sub basin level will form a team which will carry out the activity in all the WUAs
forming part of the cluster or mandal. These teams will monitor the progress and
performance of other WUAs in the same irrigation Division. Each team will visit
approximately 5 other tanks/WUAs. The experience sharing and presentation of the
review will form part of the joint review sessions at the district level. Planning of these
exercises will be undertaken by the District MLE officials.
Impact assessment Two full-scale impact evaluation studies will be undertaken at midpoint (Mid-Term Assessment Report) and at completion (Final Assessment Report) of
project implementation. These studies will be conducted by an external agency which is

256

involved in the baseline assessment


The agency shall develop component-wise
performance indicators in consultation with the component teams and MLE staff at
district and state level. The detailed methodology to be used will be finalized at the time
of planning of the exercises.
11.8. Capacity building
Monitoring and Learning component of the project envisages active role of different
stakeholders in the process while capturing the information through different means and
adopting a variety of tools. This requires building the capacities of different actors
involving project staff, department staff, support organizations, WUAs and other key
participants at community level.
Capacity building interventions for MLE will cover training programmes on overall
approach of MLE, result based management, participatory monitoring and learning,
process monitoring etc. The orientation trainings will be provided to all staff members.
The specific skill trainings such as various tools on participatory MLE, GMIS etc will be
provided specifically to the MLE and MIS staff so as to cater to the project needs. Major
focus of capacity building on MLE will be laid on creating and facilitating mechanisms
and instruments promoting analysis of data gathered, generating learnings from MLE
processes and event and promoting two way information flow. The learning and
dissemination component of MLE will require a number of theme based workshop,
experience sharing by other agencies not only at state level but also at national level.
.
An indicative table of various stakeholders and their training requirements for specific
MLE components are presented below.
Stakeholders

Project staff State


level
District
Support
Unit
District MLE staff
Department staff
Support
organization
WUA MC
WUA members

MLE Components
Six
monthly MIS
Reviews
Orientation
Training

Participatory Monitoring
and Learning
Orientation

Baseline and impact


assessments
Workshop

Orientation

Training

Orientation

Workshop

Training
Orientation

Training
Exposure
visits
Training

Training
Orientation

Workshop
Workshop

Training

Workshop

Exposure visit, training


Orientation

Workshop

Orientation
Orientation
Orientation

11.9. Reporting arrangements


Format and frequency of reporting
The project envisages development of a comprehensive result based Monitoring Learning
and Evaluation System. Hence, the thrust is on generating information and knowledge for
learning and informed decision making through various sources and methodologies. The

257

overall set of information can be grouped into quantitative and qualitative information.
The same is further categorized into sub items and frequency of reporting is finalized. It
is based on the consideration of following factors
Availability of information during the period
Effort and cost of information collection and reporting
Use of the information based on the adequate time period gap between two
events of data collection and reporting
.
Sr
No

Type of Information

Nature

Information on inputs and


outputs
Information on results and
outcomes
Information on impacts on the
target population

Quantitative

Frequency
reporting
Quarterly

Quantitative

Annual

Quantitative

Once
years

Information on processes
Information on institutional
development

Qualitative
Quantitative
and
Qualitative
Qualitative

Six monthly
Quarterly

Qualitative

Six monthly

Information on progress of
works
Information on sequencing of
events

in

Six monthly

of

Link to MLE Component


MIS & GMIS

two

Six Monthly Reviews and


Concurrent monitoring
Baseline,
Mid
Term
Assessment
and
Final
Assessment
Field Based Monitoring
WUA Self Rating linked to
MIS, Theme based reports
Six Monthly Reviews and
MIS
Six monthly Reviews and
MIS

The quantitative information will be captured in the MIS and will be used for periodic
reporting both physical as well as financial. Information on inputs will be captured
through a voucher based reporting system and will be available as per the update of
financial data.
Output related information will be generated as reports to be prepared by the facilitating
organizations and DPU engineering staff. This will be generated in the form of a
quarterly progress report which will be compiled and processed by the MIS. Standard
reports will be generated at various levels to understand the progress of project activities.
These reports along with the participatory monitoring reports will be used in interactions
during the joint reviews. The participatory monitoring includes both qualitative and
quantitative information. The same is converted into marks and grades and included in
the MIS so as to obtain an overall picture not at WUA level but also at the project level.
Other qualitative information includes understanding of sequencing of interventions as
well as participatory process. These will be covered in six monthly audits and theme
specific studies.
Information relating to results and outcomes is envisaged to be collected on annual basis
and this will be done both by the project staff as well as the household specific
information will be gathered and reported by the external agency as part of the
Concurrent Monitoring Report.

258

Reporting formats for MIS will be developed during the first four months of the project
effectiveness and identification of agency for MLE.
Information use and dissemination strategy
Andhra Pradesh is the first state which has formalized the Participatory Irrigation
Management through an enactment. (APFMIS Act, 1997) After the initial success, AP I
&CAD is geared to take the reforms to the next stage by evolving ways and means to
sustain community interest in tank management as well as maximizing benefits from the
tank based livelihoods. The project approach, operational modalities and implementation
process is expected to generate valuable experience which will not only be useful for
GOAP but also for other states where PIM initiatives are being taken up. The MLE
system would like to have a systematic approach of compiling the learnings and
repackaging them for wider use.
Apart from the external dissemination of learnings, most critical requirement is creating
instruments and mechanisms within the MLE system to ensure two way information
flow and use /learning from the information/insights generated at each level. The
primary focus of MLE system will be on promoting use of information generated at the
same level for planning actions and decision making. Some of the critical information
will only be forwarded to the higher level The MLE system has created a scope of
generating learnings from various components.
Details of these two specific requirements are detailed below:
Two Way information flow within the project and learning opportunities
The main internal monitoring components viz. participatory monitoring, six monthly
reviews are primarily based on interactions within the groups. Theme based studies and
ongoing evaluations (annual) will adopt the participatory methodologies. This will mean
that every MLE event will be an opportunity of interaction, generating learnings and
information dissemination event.
Self Rating by WUA: This will necessarily be a tool not only to understand the WUA
performance but also an opportunity to interact and discuss about the best practices of
self management. Moreover, the measurement criteria of rating informs about the same.
The facilitation done by the Support Organization/NGO will generate discussion on
experience of other Water Users Associations
QPA and cross learning; The second component of participatory monitoring encourages
WUA members to monitor the progress of other WUAs by forming a team at circle level.
This provides an opportunity of interaction and understanding the methodologies and
processes adopted by other WUAs. This provides for information sharing and learning
from one another.

259

Six monthly reviews: The six monthly review process includes field visits and review of
progress at district level on a six monthly basis. The joint review process at the district
level starts with analysis of MIS data with respect to achievements of targets and the
interactions during the review focus on analyzing the reasons of slow /better
performance. This interaction ensures use of MIS/GMIS data as well as the field visit
experiences by the MLE team.
Annual review and planning workshops: The project envisages annual planning of
interventions. It is proposed to conduct annual review and planning workshops at state
and district level wherein the focus will be to analyze the performance based on results
framework and annual plan . Findings of theme based studies and other socio-economic
information through GMIS will feed into the information dissemination within the project
stakeholders. These workshops will be of three days duration where first one and half day
will be spent on project review and balance for next years focus area sand targets. This
exercise will promote use of all MLE information for generating a common and shared
understanding about the progress, issues and required implementation strategies. The
baseline and mid term assessment findings will also feed into these workshops in specific
years.
The Research and Documentation Officer of PMU will document these processes/events
and generate learnings for dissemination at project level and also the wider circle.
Dissemination of information for wider use
The PMU with the MLE team will make specific efforts to disseminate the learnings as
well as learn from others experiences. This will be achieved through the following
measures
Conducting theme based experience sharing workshops at national level which may
have influence the policy environment of minor irrigation
Publishing the theme based study reports, process documentation and related material
Promotion of web based communication through creation and regular updating of
website
Dissemination and sharing of information at international level through publications
in online journals, books, and presentations at various fora

260

Annex 1
Monitoring and learning framework
MLE
Component

Type
of
monitoring

Methodology

Who will
component

this

Who will USE the information

Participatory
monitoring
at
community level

Self rating by
WUAs

WUAs use the pictorial posters and rate


their
performance
as
per
the
measurement criteria
(and booklets
under preparation)

WUAs with support from


Facilitating
organization
(NGO)

WUA for actions planning,


Project team, Joint Review
teams

Annual review
by WUAs

WUA of other tank areas will review the


performance
through Quantified
participatory Assessment methodology

WUAs
with
support
organization (NGO)
and
District MLE Officer for
scheduling

WUA for learning from other


WUAs,

Joint
reviews

Civil
works
quality
monitoring

Random site selection and quality


monitoring checking through a wellequipped mobile van. Quality monitoring
done during the construction phase ---% sample sites will be covered.
Finance
linked
-voucher
based
monitoring of inputs, reports on inputs
against the annual action plans n
standard formats prepared
output information collected through
reporting formats based on the strategic
result monitoring framework
Web enabled system to facilitate data
entry and access to information at
various levels
work progress,
Sequence and process monitoring

External MLE agency

District Implementation Unit,


engineering staff, WUA

State and district monitoring


teams with support from
Information
Team
of
District
Implementation
Unit , MIS agency

Project staff at state and district


level for progress monitoring
and
management
decision
making , reporting

WUA self
concurrent
monitoring

External MLE agency

Project team to understand the


status and sequencing of events

Six monthly project review will be taken

State Level team drawn

Project teams, PMU & DPU and

Quality
Monitoring
works

of

MIS & GMIS

Field Visit based


monitoring -

261

LEAD

Links
to
other
components
of
MLE
Joint
monitoring
reviews

monitoring

Internal review

rating,

MLE
Component

Type
of
monitoring

Methodology

Who will
component

LEAD

this

by State and District PMU to understand


the progress and process of work based
on MIS and GMIS report after the field
visits mentioned above
key performance indicators of result
framework as well as Input-Output
monitoring will be used.

from PMU along with


District teams, NGOs,
MLE resource person and
World Bank team
will
participate in two events per
annum as planned
through
external
MLE
agency
DPU MLE officer and
implementation team

Sustainability
monitoring

Six monthly monitoring of rehabilitated


tanks on WUA functioning by the
implementation team

Periodic review
and tracking

Field survey
and tracking of
identified
tanks
and
households

Tank level assessment and Household


level survey of identified households to
understand the impact of interventions
and water inflows & outflows

External MLE agency

Theme
Studies

Issue
theme
studies

Themes identified based on project cycle


and issues emerged from the results of
baseline study, on-going monitoring ,
which require further investigation and
research,
issues
arising
during
implementation on which managers
require further insight,

PMU MLE
team
contracted agencies

Implementing team and MLE team will


documents the field visit reports with
reasons of success, failures, gaps, case
studies, documentation of proceedings of
various meetings at state and district
level. Analysis of the information
generate to document the processes

Project team members,


external subject experts,
resource persons etc.

based

Process
Documentation

and
based

Participatory
monitoring

262

and

Who will USE the information

World Bank

Links
to
other
components
of
MLE
Theme based studies

WUAs, PMU, I & CAD and


World Bank

Project teams, PMU & DPU and


World Bank

Results from thematic studies


will be used to inform
management on the topics and
issues being researched in order
to learn lessons from the
experience and to improve the
approach and results being
obtained at operational, and
governance levels
Project teams, PMU & DPUand
World Bank

Theme based studies


, joint monitoring
reviews

MLE
Component

Type
of
monitoring

Methodology

Who will
component

LEAD

this

Who will USE the information

Links
to
components
MLE

other
of

Specific subject experts visiting the field


to understand critical processes and
documentation of the same
Baseline
Impact
Evaluation

and

Baseline study

Initial study to be taken up in first four


months of project initiation covering
baseline situation of tanks, tank
stakeholders with respect to livelihoods
and economic levels, issues relating to
water management etc
Control group also to be covered in the
sample

External MLE Agency

Project teams, State and District


Implementation Units
and
World Bank to refine the
implementation strategy of the
project and for use in monitoring
and comparing changes through
results monitoring framework

Mid Term and Impact


Evaluation

Mid
Term
Evaluation

Mid term review and learning of


accomplishments
of
the
project,
constraints, gaps to achieve the
objectives. Review of strategies for
implementation through field assessment
on
sample
basis, social and
environmental audit. An external agency
in consultation with State and DPU staff
household surveys, analysis of project
information and consultative workshops
Study to be taken up at the end of project
covering sample tanks including control
group and assess changes with respect to
baseline situation, identify areas for
sustaining the changes and social &
environmental audit

External MLE Agency

Project teams, PMU & DPU and


World Bank to plan for midcourse corrections and finalizing
future implementation strategies

Baseline Study
Impact Assessment

External MLE Agency

I & CAD department, WUA,


and the government staff and
World Bank for generating
learning for future planning

Baseline study and


Mid term evaluation

Impact
Evaluation

263

Annex 2
Results framework
PDO
4

Tank based producers


improve
agricultural productivity and water
user associations manage tank systems
effectively

Project Outcome Indicators

Use of Project Outcome Indicators

1. Increases in productivity/intensity:
% increase in crop productivity (paddy, maize, groundnut, vegetables)
(wrt WOP5)
% increase in cropping intensity (wrt WOP)
% increase in fish productivity (wrt WOP)
% increase in milk productivity (wrt WOP)

YR1 YR3: checks balance in project design


between physical investments and social and
economic interventions

Intermediate Outcomes
Outcome 1:
Improved effectiveness and financial
viability
of
irrigation
water
management and distribution by
WUAs

2. Improved tank management:


% of WUAs in rehabilitated tank systems whose O&M expenditure is
as per agreed annual O&M plans
% of water users in rehabilitated tanks systems satisfied with WUA
operation and maintenance
Intermediate Outcome Indicators
1. Improved institutional performance (in rehabilitated tanks):
% WUAs holding regular General Body meetings
% WUAs maintaining appropriate cash books and water regulation
registers
% WUAs having co-opted members

Outcome 2:
(i) Tank irrigation infrastructure
restored to operational condition as per

2. Improved financial performance (in rehabilitated tanks):


% of total current-year assessed water charge collected
% of WUAs with fisheries receiving their share of lease income (from
award of tank fishing rights)
1. Improved water distribution in command areas of rehabilitated tanks:
% area fully irrigated (under normal rainfall conditions)
% of middle- and tail-end farmers reporting improved water

4
5

Includes farmers, fisher folk and livestock rearers


Without Project (WOP) situation

264

YR4 YR5: determines if project strategy needs to


be adjusted

Use of Intermediate Outcome Indicators


YR1 YR3: Low levels suggest possible weaknesses
in mobilization and training.
YR4 YR5: Low levels have implications for
sustainability, and hence design of exit strategy

YR1 YR5: Low levels suggest problems in


planning and implementation in physical tank system
improvements

requirement of the command area


served by the system
(ii) Monitoring and utilization of
groundwater in tank influence zone
improved

availability
2. % increase in value of crop output per unit of water in command area of
rehabilitated tanks

3. % increase in value of crop output per unit of groundwater for


Groundwater User Groups

Outcome 3:
(i) Tank-based producers (TBP) adopt
better production (including NRM)
techniques

(ii) TBP diversify their productive


activities

(iii) TBP undertake more effective


marketing

1. Enhanced production technology in project tank areas:


% farmers in tank command adopting improved production
techniques
% paddy area under SRI paddy cultivation in rehabilitated
tanks
% of tank fishing communities in project tanks adopting
improved production/ harvesting techniques
Increase in no. of improved breed cattle in project tank areas
2. Output diversification:
% increase in command area under non-paddy crops (wrt
WOP)

3. Improved price terms and market linkages for producers:


% increase in share of final sale value obtained by farmer
marketing groups in targeted commodities (wrt WOP)
No. of functioning farmer marketing groups established
No. of formal/contractual marketing agreements reached by
Farmer interest Groups (FIGs)
% beneficiaries satisfied with the volume and relevance of
market information (in tank areas with market information
networks)

265

YR1 YR3: Low levels suggest problems with


mobilization of producer groups, formulation of
locally relevant plans, and appropriateness of
technology/livelihood support packages promoted
YR4 YR5: Continuing low-levels suggest presence
of other over-riding constraints (riskiness, access to
suitable finance, exploitative input/output market
links) which need to be factored into the project exit
strategy

Annex 3
Results framework and monitoring
Outcome Indicators

1.
Increases
in
productivity/intensity:
% increase in crop
productivity
(wrt
WOP6):
Paddy
Maize
Gnut
Veg
% increase in cropping
intensity (wrt WOP)
% increase in fish
productivity (wrt WOP)
% increase in milk
productivity (wrt WOP)
2.
Improved
tank
management
%
of
WUAs
in
rehabilitated
tank
systems whose O&M
expenditure is as per
agreed annual O&M
plans
% of water users in
rehabilitated
tank
systems satisfied with
WUA operation and
6

Baseline

Yr 1

Yr 2

Yr 3

Yr 4

Yr 5

Frequency of
Reporting

Data Collection
Instruments

Responsibility
for
Data
Collection

Annual

Survey

External
Agency

MLE

External
Agency
External
Agency
External
Agency

MLE

MLE

0%
0%
0%
0%

0%
0%
0%
0%

5%
5%
5%
5%

10%
10%
10%
10%

20%
20%
20%
20%

25%
30%
25%
25%
Annual

Survey

0%
0%

0%
0%

2%
50%

5%
100%

10%
200%

15%
300%

Annual

Survey

0%

0%

50%

100%

150%

200%

Annual

Survey

0%

0%

0%

80%

80%

80%

SemiAnnual

Survey

External
Agency

0%

0%

0%

50%

70%

75%

SemiAnnual

Consumer
Satisfaction
Surveys

External MLE
Agency, WUA
through
participatory

Without Project (WOP) situation

266

MLE
MLE

maintenance
Results Indicators for Each Component
Component 1
1. Improved institutional
performance
(in
rehabilitated tanks):
7
% WUAs holding BL(%)
regular
General
Body meetings

%
WUAs
maintaining
appropriate
cash
books and water
regulation registers
% WUAs having
co-opted members

2. Improved financial
performance
(in
rehabilitated tanks):
% of total currentyear assessed water
charge collected
% of WUAs with
fisheries receiving
their share of lease
income (from award
of tank fishing
rights)
Component 2
1.
Improved
water

MLE

40%

60%

80%

80%

80%

SemiAnnual

WUA records

BL(%)2

40%

60%

80%

80%

80%

SemiAnnual

WUA records

0%

40%

60%

80%

90%

90%

SemiAnnual

WUA records

PMU,
WUA
through
participatory
MLE

BL2

50%

60%

80%

80%

Annual

WUA records

0%

0%

40%

60%

90%

90%

Annual

WUA records

PMU,
WUA
through
participatory
MLE
PMU,
WUA
through
participatory
MLE

Information to be collected by baseline survery

267

PMU,
WUA
through
participatory
MLE
PMU,
WUA
through
participatory
MLE

distribution in command
areas of rehabilitated
tanks:
%
area
fully
irrigated
(under
normal
rainfall
conditions)
% of middle- and
tail-end
farmers
reporting improved
water availability
2. % increase in value of
crop output per unit of
water in command area
of rehabilitated tanks
3. % increase in value of
crop output per unit of
groundwater
for
Groundwater
User
Groups
Component 3
1. Enhanced production
technology in project
tank areas:
% farmers in tank
command
area
adopting improved
production
techniques
% paddy area under
SRI
paddy
cultivation
in
rehabilitated tanks

% of tank fishing

32%

32%

32%

60%

75%

75%

SemiAnnual

Implementation
Records

PMU

0%

0%

0%

50%

60%

75%

SemiAnnual

WUA records

0%

0%

5%

10%

15%

25%

SemiAnnual

Survey

PMU,
WUA
through
participatory
MLE
External MLE
Agency

0%

0%

5%

10%

15%

25%

SemiAnnual

Survey

External
Agency

0%

0%

5%

10%

15%

20%

SemiAnnual

Implementation
records, Survey

0%

0%

2%

4%

7%

10%

SemiAnnual

Implementation
records, Survey

0%

0%

25%

50%

80%

80%

Semi-

Implementation

PMU, External
Agency, Farmer
groups through
participatory
MLE
PMU, External
Agency,
Fishery groups
through
participatory
MLE
PMU, External

268

MLE

communities
in
project
tanks
adopting improved
production/
harvesting
techniques
Increase in no. of
improved
breed
cattle in project tank
areas

2.
Output
diversification:
%
increase
in
command
area
under
non-paddy
crops (wrt WOP)

3. Improved price terms


and market linkages for
producers:
% increase in share
of final sale value
obtained by farmer
marketing groups in
targeted
commodities (wrt
WOP)
No. of functioning
farmer
marketing
groups established

No.
of
formal/contractual
marketing
agreements reached

Annual

records, Survey

Agency, Dairy
groups through
participatory
MLE

80000

160000

250000

350000

SemiAnnual

Implementation
records, Survey

PMU, External
Agency, Farmer
groups through
participatory
MLE

0%

0%

15%

50%

75%

100%

SemiAnnual

Implementation
records, Survey

PMU, External
Agency,
Marketing
groups through
participatory
MLE

0%

0%

4%

6%

8%

10%

SemiAnnual

Survey

External
Agency,
Participatory
MLE

750

1000

1250

1500

SemiAnnual

Survey

10

25

50

100

SemiAnnual

Implementation
records

External
Agency,
Participatory
MLE
PMU

269

by FIGs
%
beneficiaries
satisfied with the
volume
and
relevance of market
information (in tank
areas with market
information
networks)

0%

0%

40%

50%

60%

270

75%

SemiAnnual

Consumer
Satisfaction
Surveys

External MLE
Agency, WUA
through
participatory
MLE

Annex 4
WUA rating
S. No
I

Items

Criteria

Marks

Water Distribution

Total
marks
45

i. Rotation/ Warabandi

10

a)

10

b)
or

ii. Tail end area receiving water. .

10

iii. Area under Rabi crop

iii Water user Efficiency (Ac/ Mcft)

iv.
Innovations
in
water
management and cropping pattern

II

OPERATION
MAINTENANCE AND TAX
i. O&M works implementation

&

10

10

Advance Water distribution schedule prepared with dates and


adopted by WUA.
Warbandi will be in practice either on irrigation officials insist

during water scarcity.


c)
No regulation on water.
a.
90 % above tail end area receiving water and additional area
brought
under cultivation.
b.
75 to 90 % tail end area receiving water.
c.
Tail end area problem persists.
a.
> 80% command area

5
0
5

b.

36-80%

Upto 35%

0
10

a)
8 ac/mcft and above
b)
5 to 8 ac/ mcft
c)
below 5 mcft
a)
New practices discussed, introduced and adopted by >75% for
cropping &
100%l for water management
b) New practices discussed, introduced and adopted 50 percent
c) No New practices discussed, introduced and adopted

10
5
0
10
5
0

a)
b)

5
3

25
5

Plans for normal O&M prepared and implemented by WUA


Plans prepared by Dept and done by WUA

271

Marks
obtained

S. No

III

Items

Total
marks

ii. Conflict Resolution

iv. Joint Azmoish of water charges

v. Water charges collection

10

MANAGEMENT

30

i. Management Committee Meetings

ii.
( General body meetings)

Attendance

iii. Maintenance of Records

iv. Transparency

v.

Status of distribution network

10

Criteria

Marks

c)
NO O&M plans and works not done
a)
Management Committee resolves conflicts successfully
b)
Conflicts exist, discussed by WUA but partially resolved
c)
Conflicts persist, not resolved
a)
Both WUA and CA participation in Joint ajomish every crop
season.
b)
Secretary will assess by his own
c)
No assessment
a)
90 % above tax collected
b)
40 to 89 % tax collected
c)
below 40 % tax collected

0
5
3
0
5
3
0
10
5
0

a)
Managing committee meetings held > 10
b)
Managing committee meetings held > 6- 10
c)
Managing committee meetings held < 6
a)
> 85 % attendance
b)
50 to 85 % attendance
c)
< 50%
a)
Necessary Records maintained, up-dated with nominated book
writer.

5
3
0
5
3
0
10

b)

Necessary Records maintained on ad hoc basis.

c)

No records maintained.

a)

Reading of income and expenditure particulars in meetings


and displayed at public places.
b)
Only TC members know about WUA activities and display
boards are fixed not updated.
c)
President of WUA and few others know about the WUA
matters
a)
Farmers .maintain the network on regular basis

272

5
3
0
5

Marks
obtained

S. No

Items

Total
marks

Criteria

Marks

b)
c)

3
0

Irrigation officials maintain on availability of funds


Inadequate maintenance

100
Rating criteria
Water Distribution
A+
> 25
A
21 - 25
B+
16 20
B
11 -15
C
< 10
O & M and tax

Example
WUA 1
WUA 2
WUA 3
WUA 4

Marks obtained 22, 18, 10


Marks obtained 20, 25, 22
A+ B+ C
A+A+A+

A B+ B
A A A

* Regular meetings- General body once in a crop season, Managing


committee one in month or need based.

273

Marks
obtained

Annex 5
Organizational structure of monitoring, learning and evaluation

Commissioner, CADA

Spl Commissioner,
CADA
State Project Director

M&E Agency

MLE Resource
Person

MIS Agency

M&L and Information Resource Units


M&L
Coordinato
r & Field
team
(1+4 nos)

Documen
tation
Officer

GMIS
Manager

MIS
Manager

Subject Matter
Specialists

Executive Engineer
District Project Director

MIS Agency

EDP and GMIS


Manager
and
support staff (1+1)

M& L
Officer

Data Entry
Operators at
Irrigation
Circle

274

Subject Team
members

Annex 6
Key roles and responsibilities of MLE staff and other resources
Sr No

Official

Roles and responsibilities relating to MLE

MLE
resource
person
(Subject
consultant)












MLE Coordinator








MLE Team









MIS Professional
Support agency






Support to creating a framework and defining periodicity as well as


sampling framework for monitoring, learning and evaluation
system
Technical support to designing individual MLE components
Participation in field testing
Support to overall planning and scheduling of MLE actions in
consultation with the Programme Coordinator
Integrate use of result based monitoring framework in planning,
implementation and monitoring
Support to designing systems for community based self monitoring
Planning and scheduling of theme based studies in consultation with
the MLE Team leader (defining contents, methodology, etc)
Planning baseline study, review of study design, indicators and
methodology
Review of draft baseline report
Integrate use of baseline information in defining implementation
strategy (priorities), defining future study
Participation in joint reviews twice a year
Review and refinement in MLE system
Co-ordination among various components of MLE system
Liaison with resources person, institutional partners and external
agencies
Planning for capacity building for MLE at various levels and
generates a common understanding among all stakeholders on
performance, outcomes, etc.
Identification and promotion of new IT tools for community based
monitoring
Participation in field based monitoring
Planning and scheduling of MLE events with state and district MLE
staff
Field based monitoring through regular tank visits (15 days field
work per month)
Regular review and monitoring of pilot / operations research
activities
Planning, organizing and coordinating training programmes on
MLE in close coordination with Capacity building team member
Documentation of processes during regular field visits
Feedback on monitoring through presentation in review meetings
both at district and state level
Overall management of input-output monitoring at programme level
Designing and developing proformas for data capture and reporting
as part of input-output monitoring system in close association with
MIS officer
Field testing of proformas and subsequent refinement in association
with MLE team leader and MIS Agency
Ensuring collection and compilation of information on input-outputs
from districts

275

Sr No

Official

Roles and responsibilities relating to MLE







Research
and
Documentation
Officer









MIS officer






Subject
Matter
Specialists (PMU
team members)






District Level
District
Officer

MLE









EDP and GMIS


Manager





Presentation of information analysis for review (work in close coordination with IT team leader and members
Designing & developing graphical presentation tool for data
analysis and interpretation
Designing a Geographical MIS to facilitate easy and objective
decision making by PD and state officials
Planning for downward information flow for monitoring in
consultation with PMU team
Participation in Joint Review Meetings at state and district level
Process documentation through periodic field visits
Participation in process monitoring on a regular basis
Documentation and wider dissemination of MLE learnings
Organizing theme specific workshops on yearly basis
Liaison with theme based study and wider dissemination of
learnings
Overall management of IT support to the programme both at district
and state level under the guidance of Project Director, PMU
Liaison and coordination with MIS agency Liaison and coordination
with district level MIS managers
Planning and conducting trainings, regular reviews with respect to
data management systems
Periodic review of software applications in consultation with the
resource person, MIS agency and PMU team members
Adapting and managing geographic information system and
orienting all members for use of the same for easy data
interpretation and decision making
Defining analysis requirement for the subject area in consultation
with PMIAS team and Special Commissioner
Discussing the findings in review meetings at Programme level and
district levels (Ensuring data use for monitoring of the subject area)
Managing downward information flow and use by the stakeholders
generating the information for monitoring in consultation with
Special Commissioner (APRLP) and team members
Field visit based monitoring of performance related to the subject
area
Co-ordination among all IC staff, NGOs, DLIC external M LE
agency to ensure streamlined operations of MLE(input-output,
follow-up studies, trainings etc)
Ensuring collection of information from NGOs /facilitating
organizations
Analysis of data in consultation with subject team members and the
Project Director
Presentation of information analysis for review (work in close coordination with GMIS manager at district level
Planning for downward information flow and use for monitoring in
consultation with Project Director and APD (APRLP)
Planning and Participation in Joint Reviews and six monthly audits
Organizing and co-coordinating follow-up studies, trainings relating
to MLE in consultation with the Supdt Engineer and state MLE
team
Periodic field visits for process learning and monitoring
Input-output monitoring reports generation
Training of data entry operators at irrigation circle level

276

Sr No

Official

Roles and responsibilities relating to MLE






District
level
subject
expert
team members





Graphical presentation of input-output monitoring information (in


close consultation with MLE officer for various levels
Analysis of information and presentation in a commonly agreed
format (in consultation with state GMIS manager)
Compilation of information from various sources (satellite
imageries, topo-sheets, cadastral maps etc) for wider use
Defining analysis requirement for the subject area in consultation
with District MLE team member
Discussing the findings in review meetings at district levels through
DLIC (Ensuring data use for monitoring of the subject area)
Field visit based monitoring of performance related to the subject
area

277

12. Project Disclosure Strategy


12.1.

The approach

Realizes the need and importance of transparency as a principle of good governance and
the enabling environment of Right to Information Act (both National and State) has
encouraged the project to adopt disclosure as one of the important aspects of project
management. Apart from suo moto disclosure, the project plans to introduce transparent
operational systems, pro-active disclosure of information, grievance redressal
mechanism, responsive communication strategy and efficient monitoring and learning at
various levels. All of this together, is aimed at creating an open environment that would
provide equal opportunity and access to all concerned stakeholders. It would also lead to
creation of multi-level forum for building accountability towards larger audience.
12.2. Lessons learnt
The project has designed its disclosure strategy from learnings generated by various
projects and programmes within the state. These include projects such as Indira Kranti
Pathakam (formerly known as Velugu), Andhra Pradesh Rural Livelihood Programme,
Community Forestry Management Project, etc. which have promted and fostered
community based organizations like the Village Organization, MACS societies, Van
Sarankshan Samitees (VSS) and shown the way to set up self management systems with
greater transparency and accountability. Experience from these programmes indicate the
need for specific actions in building downward accountability through transparent
systems and operational autonomy.
The GOI sponsored pilot project Revival, Restoration and Renovation of Minor Irrigation
Tank Systems brought forth the need and importance of an operational system focusing
on the quality of civil works as well as improved procurement procedures for works that
involve the WUAs.
Vigilance teams from within the state have helped to improve handling of complaints
with more objectivity and reduction in time for scrutiny. Use of Management Information
Systems and communication through IT enabled systems have contributed in improving
efficiency in reporting and concurrent monitoring.
All these experiences have been integrated in designing the Disclosure Strategy for the
project and consequently, the scope of the strategy has widened beyond RTI and
disclosure and progressed towards improved governance.
12.3. Pro-active disclosure
State Level disclosure through project web-site
The project plans to set up an exclusive project web-site which will host the following
information:

278

Policy
&
Legal
Environment
Legal and Legislative Acts
and provisions relating to
Irrigation Management
APFMIS Act 1997 and
Rules
CAD Act 1984
Andhra Pradesh Water, Land
and Trees Act
Right to Information Act
National Framework for
renovation of water bodies in
India
AP
Rural
Employment
Guarantee Scheme
AP
Rehabilitation
and
Resettlement Policy
Government orders relating
to water bodies and Gram
Panchayat, Fisherfolk

Project Information

Safeguard Disclosure

Project components
Project Preparation Study
reports
Project operational manuals
Project Budget and Annual
budget
Annual action plan
All Project concerning GOs
issued
Project related Grievance
Redressal Mechanism
Project Baseline Report

Human Resources

Project Team members:

State / District

Project Steering Committee

District
Level
Implementation Committee

Consortium Members

State Minor Irrigation Sources

MI tanks marked on the state


map

Project related Announcement

Tender Announcements and


awards

Goods
and
service
Procurement Announcement

Information/Announcements
on project training events,
public
consultations,
workshops

State Ground Water Resources

Ground Water assessment


units

Ground water status of the


state

Enabling Environment for PIM

Best WUA Award Scheme


details,
application
procedure,
Criteria
for
Award and Results

Progress Update of Project

District wise tanks and


progress of work

Project News letter

Project M&L reports

Theme specific Study reports

Case Studies

Project Photographs

Proceedings of workshops,
public consultations
WUA Information

Information on Water Users


Association - Managing
Committee
and
subcommittee
members and
Competent Authority

Latest WUA Self rating

Water Taxes Demand,


Collection, Balance (DCB)

Social and Environment


Management Framework of
the project
Project
R&R policy
framework
Tribal Development Strategy
Tank Safety Plan
Cultural Property Plan
Strategic
Social
and
Environment
Assessment
Study Report
Public
Consultations

regional and state level


Monitoring reports of Social
and Environment Audit

The project web site will be managed by the M&L Unit of PMU through the Research
and Documentation Coordinator and a Web designer. The Research and Documentation
Coordinator will be responsible for preparing the web site contents, while the Web
designer will regularly update the information in the Web Site and monitor its use and
handling other operational issues, if any. If required, external expertise will be hired to
design and develop the web site.

279

District level disclosure through information display and website


The project offices at the district level will display the updated information of tanks
selected, work plan, achievements, WUA performance procurement etc. Apart from this
information, the DPU office will also display the information relating to announcement of
project specific events, trainings camps, etc. Any additional information relating to
project implementation and action plans will be made available on specific requests.
Tank level disclosure through community based interactive systems
The participatory approach adopted by the project considers transparency through
disclosure of information and consensus building as an important operational principle.
The consultations and consensus building will start right from the pre-planning stage of
the project. Community willingness will form one of the critical criteria for tank
selection. WUA members will be involved in identification of works and prioritization of
the same. During implementation, WUA works sub-committee will be involved in
certification of works and authorization of payment along with the engineering staff.
Gram Panchayat members will be co-opted into the WUA, which will help in wider
disclosure of tank Improvement and management plans in the village.
Social Audit: Institutional strengthening of WUA lays major thrust on actions / processes
that would ensure operational transparency. This is planned to be done by encouraging
them to disseminate information to tank stakeholders through various communication
means such as wall writings, group interactions, etc. The displayed information will
include information on finance as well as implementation such as work allocation,
assessing quality of works etc. The information will not only be displayed in a common
and prominent place, but also be presented in the WUA General Body meetings. It will
provide an opportunity to the community members to ask for additional details or
explanations about implementation. The Support Organizations will facilitate the process
during the initial stages of the project, which will then be internalized into the working of
the WUA over time. The WUA Operational Manual and the Support Organization
Operational Manual contain the details of these activities.
Safeguard disclosure
The project planning integrates an environmental and social assessment framework
(SEMF) to take care of safeguard issues. The SEMF consists of identified social and
environmental concerns of the project area and the measures to address them. The SEMF
has been developed through public consultations at regional and state level with
stakeholders and civil society representatives. The SEMF has been posted in I&CAD
website www.apwaterreforms.in and will be included in the project website once it is
established.
The SEMF has been widely disclosed and the information about it is available with the
following district level officials / agencies:
Project Management Unit at State level

280

Minor Irrigation Department and DPU at the district level


District Collector
District Information, Publication and Dissemination Officer (IP&DR)

The information on implementation of the SEMF will be available on project website


through periodic social and environment management audits and reports.
12.4. Consultations
The project plans to adopt public consultations as one of the modes of disclosure of
information on project implementation. This has already been initiated with the project
preparation studies. Public consultations have been conducted at regional and state level
to inform people at large about the issues identified for the project and the
implementation strategies finalized for it.
Similar consultations will be undertaken by the project in Year 3 to disclose project
learnings as well as for refining project implementation strategies as part of mid term
review . End of project consultation will focus on disclosing the project results and
achievements, along with the failures, if any.
These consultations will be carried out involving government departments, agencies,
research and training institutions, support organizations and professional agencies.
12. 5. Implementation of RTI Act
Right to Information Act (RTI) 2005 has become operational across India since October
12, 2005. It entitles access to information by people in public interest. In compliance to
the RTI Act, all project related information will be available at the district level with the
District Project Director. The same will also be available through the District Information
Officer, as per the requirements of the RTI Act. The State RTI Act defines the functions
of the Information Officers at the state and the district level, which is as follows:
Level
State
Officer

Functions of the Information Officer


Information

District
Officer

Information

to deal with request from persons seeking information and render reasonable
assistance to the persons seeking such information, taking the assistance of
any other officer, if considered necessary by him or her for the proper
discharge of duties (Section 5(3) & 5(4))
to ender all reasonable, where request for information cannot be made in
writing, to the person making the request orally to reduce the same into
writing (Section 6(1))
to dispose request for information under the Action, either providing the
information requested on payment of prescribed fee or rejecting the request
for reasons to be specified with in the time period stipulated under the Act
(Section 7(1))
to receive applications for information or appeals under the Act for
forwarding the same forthwith to the Central Public Information Officer or
the State Public Information Officer or appellate officer or the Central
Information commission or the State Information Commission, as the case
may be (Section 5(2))

281

12.6. Project management systems facilitating transparency and public disclosure


Efficient project management with built in checks and balances contribute to improving
the effectiveness of development interventions. It is essential for community based
activities where transparency and accountability are crucial for collective action. The
systems being adopted in the project are detailed out below.
Quality assurance and monitoring
The project will lay a major thrust on quality aspects right from the selection of tank.
Towards this, the I&CAD Department has planned to set up a Quality Control Cell. A
Superintendent Engineer will be responsible for ensuing the quality of works in the field
through the Quality Control Sub-division as defined in the Quality Manual. State level
quality control experts will provide guidance and ensure monitoring of quality standards.
Apart from internal quality monitoring, the project proposes third party (external)
monitoring of civil works in progress. An external agency (NCCB) having well equipped
mobile testing facility will be contracted for undertaking on site inspection of quality of
material and construction. I&CAD Department has used the services of this agency in the
GOI pilot project of Revival, Restoration and Renovation of Minor Irrigation Tanks in
two districts> It proved to be useful in bringing transparency at the field level. Similar
arrangement will be made for the project.
The process of third party quality control monitoring is as follows: the contracted agency
prepares a monthly schedule of visits to tank locations with the mobile testing facility,
which is communicated to the local people in advance with an open invitation to be
present during work inspection to seek clarifications and satisfy queries on quality of
construction through interaction with experts available with the mobile testing facility.
This provides an opportunity to the stakeholders and aggrieved parties to get their doubts
cleared. The agency submits a report on the quality control monitoring to the DPU and
PMU covering the status of implementation, work quality and implementation issues, if
any emerging out of the monitoring.
Self monitoring by WUA
The monitoring and learning system of the project proposes to develop a rating system
and tool that would facilitate the WUA to assess its performance. The WUA rating tool
would be based on indicators covering self-management, performance of the tank system
and innovations. Periodic review of performance by the WUA using this tool would assist
them in identifying gaps in their functioning and plan actions to improve WUA
management. Details about the tool is present in section on Project Monitoring and
Learning System.

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Self-rating by the WUAs will bring in accountability and improved performance among
them. The ratings will be displayed in the WUA office, and at the district level and the
project web-site.
Vigilance and enforcement
The State government has a well laid out system of vigilance at both regional and state
level. Each region has a multi-disciplinary professional team, which is engaged in on-site
inspection and verification of expenditure and revenue. The vigilance team acts suo moto
as well as on complaints / requests received. The system ensures fast scrutiny of
complaints leading to need based actions. It will also be an independent mechanism
outside the project.
12.7. Grievance redressal mechanism
Grievance redressal will begin right from the tank level, where the WUA will be
responsible for addressing the grievances of the WUA members. The APFMIS Act 1997
defines the offences and penalties on violation of rules. Further the Act also prescribes
the dispute settlement mechanisms and procedures, which will be followed in the project.
The State and District Information Officers will be the designated officers for grievance
redressal for the project. At the district level, the District Level Implementation
Committee (DLIC) with the District Collector as the Chairperson will be responsible for
redressal of grievances relating to the project. The District Information Officer will
provide information support to the DLIC for decision making.
I&CAD Department will nominate an Executive Engineer not directly associated with the
project to handle project specific grievances at the state level. An internet based
grievance redressal system, similar to the one developed by Center for Good Governance
for the Commissioner Information, will be developed for the project for disposal of
complaints.
R&R committee
Any dispute related to R&R in the project will be redressed through the state level R&R
Committee as per Section 7.1 of the State R&R Policy. The Committee will function as
per the State R&R Policy Sections 7.2. to 7.7. This is included in the project SEMF and
has been disclosed to the public through the modalities detailed out in the earlier section.
12.8. Implementation arrangements
The project will adopt multiple disclosure instruments and mechanisms to improve its
operational transparency and governance. The coordination of disclosure over the project
web-site will be that of the PMU M&L Unit through the Research and Documentation
coordinator. Simultaneously, I&CAD Department will designate an officer of Executive

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Engineer rank at state level, who will be responsible for implementing actions relating to
the RTI Act. The same officer will also handle grievance redressal.
The table below provides details of disclosure functions and responsibility at the three
levels of project implementation.
Function

Proactive Disclosure
Information Generation
and compilation
Web site Management
Information
Dissemination and
Implementation of Right
to Information Act
Consultations

Disclosure Functions &


Responsibility at State
level

Disclosure Functions &


Responsibility
at
District level

Disclosure Functions
& Responsibility at
Tank level

Research
&
Documentation Officer
M&L Unit
IT Expert
Information Officer of
I&CAD

District M&L Officer

WUA

District
Officer

WUA,
Authority

Research
&
Documentation Officer
M&L Unit

District Project Director


supported by District
M&L Officer

Support Organizations

Superintendent Engineer
not directly linked to
implementation

WUA
Works
committee

Project Management Systems


Quality Monitoring Quality Control Cell
Internal
headed by Executive
Engineer not directly
linked
to
implementation
Third Party Quality External Agency
Monitoring
Financial Audit
CAG
Social and Environment
Audit
Vigilance
Grievance Redressal

External Monitoring

CAG
External M&E Agency

State Vigilance Cell

Regional
teams
of
vigilance cell
District
Level
Implementation
Committee
Chaired by the District
Collector
Supported
by
the
District
Information
Officer
District
Level
Implementation
Committee
External M&E agency

Executive Engineer not


directly
linked
to
implementation
R&

Project Director
Project
Steering
Committee

Competent

sub-

External Agency

External M&E Agency

State level
Committee

Review and Monitoring

Information

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Chartered Accountant
hired by WUA

WUA,
Competent Authority

Support
WUA

Organization,