DIRECTORATE OF IRRIGATION I DIRECTORATE GENERAL OF WATER RESOURCES DEVELOPMENT MINISTRY OF PUBLIC WORKS

FLOW CHARTS PROCESSES ACTIVITIES

TURNOVER OF SMALL IRRIGATION TO WATER USERS ASSOCIATIONS

(ENGLISH TRANSLATION)

CONTENTS

FLOW CHARTS PROCESSES ACTIVITIES: TURNOVER OF SMALL IRRIGATION TO WATER USERS ASSOCIATIONS NOTES ON TRANSLATION 1. FLOW CHART OF PROCESS FOR TURNOVER OF SMALL IRRIGATION SYSTEMS TO WUA 2. FLOW CHART OF TURNOVER PROCESS FOR GROUP A 3. FLOW CHART OF TURNOVER PROCESS FOR GROUP B 4. FLOW CHART OF TURNOVER PROCESS FOR GROUP C 5. PROCESS CHART : PRELIMINARY DATA COLLECTION THROUGH TURNOVER PROGRAM FORMULATION 6. PROCESS CHART : FIELD INVENTORY 7. PROCESS CHART : WUA INSTITUTIONAL PROFILE 8. PROCESS CHART : SOCIO-TECHNICAL AND WUA INSTITUTIONAL PROFILE 9. PROCESS CHART : DESIGNING IRRIGATION SYSTEM IMPROVEMENTS (SPECIAL MAINTENANCE) 10. PROCESS CHART : WUA FORMATION AND/OR DEVELOPMENT 11. PROCESS CHART : IMPLEMENTATION OF CONSTRUCTION BY AGENCY FORCE ACCOUNT 12. PROCESS CHART : IMPLEMENTATION OF CONSTRUCTION BY CONTRACTOR 13. PROCESS CHART : TURNOVER PROCESS FOR GROUP A 14. PROCESS CHART : ADMINISTRATIVE PREPARATION AND TURNOVER OF SMALL IRRIGATION (GROUPS B & C)

15. 16. 17.

18. 19. 20. 21. 22.

23. 24.

25.

PRELIMINARY DATA COLLECTION IRRIGATION SYSTEM SELECTION CRITERIA FOR FORMULATION OF PRIORITY SCALE FIELD INVENTORY : MEANING, GOALS AND TYPES OF DATA DATA SOURCES AND ACTIVITIES CRITERIA FOR GROUPING IRRIGATION SYSTEMS TP4 COMMUNITY ORGANIZERS WUA INSTITUTIONAL PROFILE SOCIO TECHNICAL AND WUA INSTITUTIONAL PROFILE WUA FORMATION AND/OR DEVELOPMENT : MEANING AND GOALS ACTIVITIES O&M ACTIVITIES DURING MAINTENANCE PERIOD OF SPECIAL MAINTENANCE CONSTRUCTION ASSISTANCE AND TECHNICAL GUIDANCE AFTER TURNOVER : MEANING AND GOALS LEGAL BASIS ACTIVITIES TURNOVER OF O&M RESPONSIBILITY TO WUA (GROUPS B&C) : MEANING AND REQUIREMENTS PROCESS OF ACTIVITIES

FLOW CHART OF PROCESS FOR TURNOVER OF SMALL IRRIGATION SYSTEMS TO WUA

Start Preliminary Data Collection List of Individual Irrigation Systems < 500ha Formulation of Priority Scale Program for Turnover Field Inventory List of Inventory Result No PU Assets and/or Role in O&M Yes Physical Condition of the System Good Group B Not Good

Group A

Group C

FLOW CHART OF TURNOVER PROCESS FOR GROUP A

Group A

PU Section Adjusts Registry Book Section Registry Book Adjusted Section Reports to PU Province Provincial Registry Book Adjusted

Formation and/or Development of WUA WUA Formed and/or Developed Registration of WUA by Bupati WUA Ready and REgistered

PRIS Reports to Ministry cq. DGWRD with cc to Province and District

National Registry Book Adjusted Assistance and Technical Guidance after Turnover

FLOW CHART OF TURNOVER PROCESS FOR GROUP B

Group B

WUA Institutional Profile Conducted

WUA Institutional Profile Formation and/or Development of WUA WUA Formed and/or Develop Registration of WUA by Bupati

Administrative Preparation

Article of Transfer of Irrigation System O&M Responsibiliy

WUA Ready and Registered

Transfer of Irrigation System O&M Responsibility to WUA IrrigationSystem Operation and Maintenance by WUA Article of Transfer of Assets Transfer of Assets Assets Received by WUA Inventory of Government assets Adjusted PU Registry Book Adjusted

Preparation for Transfer of Irrigation System Assets

Assistance and Technical Guidance after Turnover

FLOW CHART OF TURNOVER PROCESS FOR GROUP C

Group C WUA Institutional Profile Conducted Administrative Preparation WUA Institutional Profile Formation and/or Development of WUA WUA Formed and/or Develop Registration of WUA by Bupati WUA Ready and Registered Improvement of Irrigation System (Special Maintenance) Article of Transfer of Irrigation System O&M Responsibiliy

Irrigation System Functioning Well

Transfer of Irrigation System O&M Responsibility to WUA Irrigation System Operation and Maintenance by WUA

PU Registry Book Adjusted

Preparation for Transfer of Irrigation System Assets Article of Transfer of Assets Transfer of Assets

Assets Received by WUA

Assistance and Technical Guidance after Turnover

Inventory of Government assets Adjusted

PROCESS CHART : PRELIMINARY DATA COLLECTION THROUGH TURNOVER PROGRAM FORMULATION

IMPLEMENTER ACTIVITY 1. 2. 3. 4. 5. Form Sent Out Completion of Form Data Analysis Data sent to PRIS Data Analysis and Prioritization for Program 6. Data and Program Sent In 7. Provincial Data and Program Evaluated 8. Formulation of Turnover Program 9. Turnover Program Sent Out 10. Field Inventory Scheduled DGWRD/ DOI - 1 PRIS SECTION SUB SECTION

LEGEND :

IMPELEMENTER

INVOLVED

PROCESS CHART : FIELD INVENTORY

IMPLEMENTER ACTIVITY FARMERS VILLAGE TPI SECTION SUB SECTION

1. Select Candidate Inventory Implementation Staff (TPI) 2. TPI Training on how to Implement the Inventory 3. Contact Village Head 4. Collect Data and Make Scheme of System by Means of System Walkthrough 5. Fill in Inventory Form 6. Turn in Results of Inventory Implementation 7. Evaluation of Inventory Results and Grouping of Irrigation systems
LEGEND : IMPLEMENTER INVOLVED

PROCESS CHART : WUA INSTITUTIONAL PROFILE

IMPLEMENTER ACTIVITY FARMERS VILLAGE TP4 SECTION SUB SECTION

1. 2. 3. 4.

Scheduling of Profile Designation of TP4 TP4 Training Notification of Profile Schedule to Villages Involved 5. Data Collection and Analysis 6. Preparation of Site Map 7. Dialog with Farmer Leaders 8. Report of Profile to Section 9. Meeting for Discussion of Profile Results and Planning of Continuing Activities 10. Report of Profile Results sent to PRIS
LEGEND : IMPELEMENTER INVOLVED

PROCESS CHART : SOCIO-TECHNICAL AND WUA INSTITUTIONAL PROFILE

IMPLEMENTER ACTIVITY 1. 2. 3. 4. Scheduling of Profile Designation of TP4 TP4 Training Notification of Profile Schedule to Villages Involved 5. Data Collection and Analysis 6. Preparation of Site Map 7. Dialog with Farmer Leaders 8. Report of Profile to Section 9. Meeting for Discussion of Profile Results and Planning of Continuing Activities 10. Report of Profile Results sent to PRIS
LEGEND : IMPELEMENTER INVOLVED

FARMERS

VILLAGE

TP4

SECTION

SUB SECTION

PROCESS CHART : DESIGNING IRRIGATION SYSTEM IMPROVEMENTS (SPECIAL MAINTENANCE)

IMPLEMENTER ACTIVITY 1. Evaluation of Profile 2. Farmer Requests for Design, Funding and Priorities 3. Designation of Design Consultant 4. Making of Contract 5. Delivery of Results of Profile Evaluation to Consultant 6. Field Observation 7. System Planning Discussion, Integration of Farmer requests and Prioritization 8. Field Survey 9. Preparation of Preliminary Design 10. Discussion of Preliminary Design 11. Finalization of Design and Tender Documents LEGEND : IMPELEMENTER INVOLVED WUA TP4 SECTION PRIS CONSUL TANT

PROCESS CHART : WUA FORMATION AND/OR DEVELOPMENT

IMPLEMENTER ACTIVITY 1. TP4 TRAINING 2. Identification of Problems 3. Extension About Need for WUA, Based on Hydrological Blocks 4. Inventory of Potential WUA Leaders 5. Guidance of Potential Leaders 6. Meeting of Potential Leaders to Discuss Plans for Constitution and Bylaws 7. Membership Meeting to Determine Leaders, Constitution, Bylaws and Workplan 8. Signing of Document to Form WUA 9. Process of Registration of WUA 10. Registration of WUA by Bupati LEGEND : IMPELEMENTER INVOLVED WUA/ FARMERS TP4 +* VIL. HEAD SUB DIST. CHIEF PU SEC BUPATI PRIS

*AND RELEVANT AGENCIES

PROCESS CHART : IMPLEMENTATION OF CONSTRUCTION BY AGENCY FORCE ACCOUNT

IMPLEMENTER ACTIVITY 1. Special Maintenance Design 2. Designation of Construction Implementers 3. Formulation of Program for Construction 4. Provision of Materials and storage Site 5. Provision of Workers 6. Implementation of Construction 7. Supervision of Construction 8. Final Check of Work and Trial Run of Structures 9. Work Completion Report WUA/ FARMERS TP4 SECTION PRIS

LEGEND :

IMPELEMENTE R

INVOLVED

PROCESS CHART : IMPLEMENTATION OF CONSTRUCTION BY CONTRACTOR

IMPLEMENTER ACTIVITY 1. Design and Tender Documents 2. Designation of Contractor 3. Making of Contract 4. Making of Work Authorization Letter 5. Preliminary Field Check 6. Implementation of Construction 7. Supervision of Construction 8. Final Check of Work 9. Maintenance Period and Trial Run of Structures 10. Transfer of Work
LEGEND : IMPELEMENTE R INVOLVED

FARMERS

WUA

TP4

PU SEC.

PRIS

CONTRACTOR

PROCESS CHART : TURNOVER PROCESS FOR GROUP A

IMPLEMENTER WUA ACTIVITY DISTRICT AND BELOW
SUB SEC/

LEVEL I DISTR ICT PRIS PROV INCE

CENTER DG WRD PU

TP4

VILL. HEAD

SUB DIST CHIEF

PU SEC.

1. Categorization into Turover Groups 2. Adjustment of Registry Book 3. Delivery of Report of Adjustment of Registry Book 4. Membership Meeting to Determine Leaders, Constitution, Bylaws, and Workplan 5. Signing of Document to Form WUA 6. WUA Registration
LEGEND : IMPELEMENTE R INVOLVED

PROCESS CHART : ADMINISTRATIVE PREPARATION AND TURNOVER OF SMALL IRRIGATION (GROUPS B & C)
IMPLEMENTER ACTIVITY 1. Preparation and Completion of Turnover Documents 2. Preparation of Articles of Turnover (at Center, Province and District levels) 3. Signing of Article of Turnover between PU/DGWRD and Province 4. Signing of Article of Turnover between Province and District, for transfer to WUA 5. Signing of Article of Turnover between District and WUA 6. Continuing Irrigation System Operation and Maintenance by WUA
LEGEND : IMPELEMENTER INVOLVED

WUA

DIST RICT

PROV INCE

PU DGWR D

PRIS

PU SEC.

PRELIMINARY DATA COLLECTION

MEANING
Collection of data on investment, PU staff and WUA from all individual irrigation systems smaller than 500 hectares. a. b. c. d. e. 1. To determine the number of irrigation systems of various sizes smaller than 150 hectares and smaller than 500 ha. To make more detailed identification of irrigation systems. To determine the number of staff (civil servants, permanent workers, temporary workers) in each irrigation systems. To know what PU construction investment has occurred. To determine the status of WUA development. Physycal : a. Irrigation system name b. Area c. Construction by PU 2. Irrigation System Management a. PU Staff : Status and Function b. WUA : Formal or Traditional

GOALS

TYPES OF DATA COLLECTED DATA SOURCES ACTIVITIES

PU Register of Irrigation Systems and other documents in the PU Irrigation Section Office 1. 2. 3. 4. Collection of Data by the Section Section level data analysis for turnover planning Provincial level data analysis for turnover planning Analysis of data by DOI-1 for national turnover planning

IRRIGATION SYSTEM SELECTION CRITERIA FOR FORMULATION OF PRIORITY SCALE

MEANING
GOALS
Conditions which must be fulfilled in determining the turnover program at the central, provincial, section and irrigation system levels. 1. 2. 1. 2. 3. So that the proram for turnover fits with the scale of priorities To give clear direction to the implementers of turnover The provinces chosen are included in the turnover program The number of irrigation systems smaller than 150 hectares and smaller than 500 hectares inone province The number of irrigation systems smaller than 150 hectares and smaller than 500 hectares in one Irrigation Section Needs for irrigation system improvement (Special Maintenance) are not too great Irrigation system operation and maintenance management are not too difficult There is responsiveness from the water users and related government agencies There are water user institutions which are already active

PRIORITIZATION CRITERIA

4. 5. 6. 7.

FIELD INVENTORY : MEANING, GOALS AND TYPES OF DATA COLLECTED

MEANING
And information and data collection activity for individual irrigation systems smaller than 500 hectares 1. Determine grouping of individual irrigation systems smaller than 500 hectares based on aspects of operation and maintenance, investment sources snd physical condition Collect supporting data for the profile Field orientation and practical training for prospective TP4 Check data from Preliminary Data Collection Provide basic data for planning PU functions after turnover Name and area of irrigation system Name and area of villages covered Sources of investment in system Water sources Diversion structure and intake Scheme of irrigaion system Irrigation system operation and maintenance Condition of the irrigation

GOALS

2. 3. 4. 5. 1. 2. 3. 4. 5. 6. 7. 8.

TYPES OF DATA COLLECTED

FIELD INVENTORY : DATA SOURCES AND ACTIVITIES

DATA SOURCES
1. 2. 3.
1.

PU Registry Book Results of Preliminary Data Collection Field sources of data/information

ACTIVITY STAGES

Choose candidate inventory implementation satff (TPI Tenaga Pelaksana Inventarisasi) 2. Train TPI about methods for implementing the field inventory 3. Implement inventory : a. Contact Village Head b. Collect data and make scheme of system by means of walkthrough of irrigation system with farmers c. Fill in inventory form d. Deliver results of inventory implementation 4. Group the irrigation systems and schedule profile 1. 2. Juru Pengairan/TPI Irrigation Section

IMPLEMENTERS TIME

About 10 days for 1 irrigation system

CRITERIA FOR GROUPING IRRIGATION SYSTEMS

GROUP A GROUP B

1. 2. 3.
1. 2. 3. 1. 2. 3.

No previous construction investment from PU No previous PU staff for system operation and maintenance Operation and Maintenance activities already carried out by farmers/WUA
Has construction investment and/or staff assistance from PU Physical condition of the irrigation system is still good so that improvement (special maintenance) is not needed Operation and Maintenance activities are done by PU and/or farmers/WUA Has construction investment and/or staff assistance from PU Physical condition of the irrigation system is not good so that special maintenance is needed Operation and Maintenance activities are done by PU and/or farmers/WUA

GROUP C

TP4 COMMUNITY ORGANIZERSA Tenaga Pembimbing Petani Pengelola Pengairan

MEANING CRITERIA FOR SELECTING TP4
BASIS FOR CONSIDERING JURU PENGAIRAN/ IRRIGATION STAFF AS TP4
1. 2. 3. 4. 5. 6. 1. 2. 3. 4. TP4 are field level implementation staff for turnover activities TP4 are recruited from irrigation juru/staff (Subsection) Minimum juniro high school education Preferably less than 40 years old In good health Possesses high dedication to duty Easily adaptable to the local community Not heavily burdened by other duties while TP4 They know well the location and condition of the irrigation systems in the work area They have the potential to carry out a socio-technical approach Few transfers of personnel are required Few operational activities are cheaper

TP4 DUTIES

1. 2. 3.

Carry out WUA socio-technical and/or instituional profile Carry out WUA guidance and development in cooperation with relevant agencies Act as a link between farmers and government (PU)

WUA INSTITUTIONAL PROFILE

Full information about WUA institutions and irrigation system operation and maintenance roles and responsibilities 1. Identify existing system management and WUA institutions 2. Gather data for WUA guidance and development 1. Collection of data on WUA institutions 2. Dialog between TP4 and farmers Interview Guideline for WUA Institutional Profile with topics : 1. Identification of location and irrigation system site map 2. Irrigation System Operation and Maintenance 3. WUA institutions About 7 days for 1 irrigation system

MEANING GOALS SCOPE

INSTRUMENT

TIME

SOCIO-TECHNICAL AND WUA INSTITUTIOAL PROFILE

Full information about technical, social and institutional aspects connected with irrigation system O&M 1. GOALS 2. 3. 4. 1. 2. SCOPE 3. 4. Identify special maintenance needs in preparation for making a design in accordance with the farmer communitys aspirations Identify farmer contributions in construction Identify existing management and water user institutions Gather data for WUA guidance and development Make maps of irrigation site, layout and cropping pattern Socio-technical dialog between TP4 and farmers including about structures considered to be problems by farmers Identify special maintenance needs from farmers Identify special maintenance needs from farmers

MEANING

INSTRUMENT

Interview Guideline for Socio-technical and WUA Intitutional Profile : 1. Identification of location and site map 2. Cropping patern and calendar 3. Water sources 4. Physical structures 5. System Operation and maintenance 6. Water user Institutions About 7 days for 1 irrigation system

TIME

WUA FORMATION AND/OR DEVELOPMENT : MEANING AND GOALS

A number of activities carried out to encourage the formation and MEANING development of WUAs so that they are ready to receive responsibility for irrigation system operation and maintenance

1. GOALS

Farmers believe in the importance of having and forming WUAs

2. WUAs at turnover sites are formed, registered and ready to receive responsibility for irrigation system operation and maintenance

Continued...

WUA FORMATION AND DEVELOPMENT : ACTIVITIES

1. 2. 3. 4. 5. 6. Training of community organizers (TP4) Identification of problems TP4 and relevant agencies explain the need for a WUA to farmers Inventory of potential leaders Guidance of potential leaders by TP4 and relevant agencies TP4, relevant agencies and potential leaders discuss and formulate draft WUA constitution and bylaws and plan agenda for meeting to form WUA 7. General membership meeting to form the WUA, attended by heads of villages involved, to select leaders and formulate constitution, bylaws and workplan 8. WUA leaders request signatures on documents to form the WUA from Village Head(s) and Subdistrict Chief 9. Submission of constitution and bylaws, with P3A formation documents appended; to the District Head for Registration, via PU Irrigation Section office 10. Registration of the WUA by the District Head (Bupati) 1. 2. TP4 Relevant agencies (according to Presidential Instruction No. 2 1984)

A C T I V I T I E S

IMPLEMENTERS

O&M ACTIVITIES DURING MAINTENANCE PERIOD OF SPECIAL MAINTENANCE CONSTRUCTION

A stage for the testing of the functioning of structures and the transition of the operation and maintenance duties to the WUA 1. 2. 3. 1. 2. ACTIVITIES 3. Test system operation and maintenance Transition of implementation of operation and maintenance from the PRIS to the WUA Enable WUA to carry out operatioan and maintenance well Testing of structures and (if needed) repairs Planning of irrigation system operation and maintenance activities by the WUA Operation and maintenance training

MEANING

GOALS

IMPLEMENTERS

1. 2. 3. 4.

Contractor WUA TP4 Subsection/section

ASSISTANCE AND TECHNICAL GUIDANCE AFTER TURNOVER : MEANING AND GOALS

MEANING

All assistance and technical guidance responsibilities which are the duty, authority and responsibility of the Provincial Irrigation Service towards non-PU irrigation systems in the region of work.

GOALS

Together with relevant agencies, guide and improve WUA skills in irrigation system operation and maintenance so that the turned over irrigation system continues to function well. Guide and improve the working relationship between WUAs and PRIS in the matter of irrigation system operation and maintenance in an integrated way.

Continued...

ASSISTANCE AND TECHNICAL GUIDANCE AFTER TURNOVER : LEGAL BASIS

1. Even though an irrigation system has been turned over to a WUA, duty, authority and responsibility concerningn water sources are still held by the government (Law No. 11 1974 article 3, paragraphs 1, 2, 3). After an irrigation system has been turned over, the government still has the function of guidance as given in article 10, paragraph 1, Law No. 11 1974. Formation and/or development, along with WUA guidance, are carried out as given in Government Regulation No. 14 1987 article 4 and Presidential Instruction No. 2 1984. With attention to community capability, the provincial government may give assistance in planning and construction of village and subak irrigation systems, and in tertiary blocks, which is considered to be difficult for the community involved. (Government Regulation No. 23 1982 article 26) Continued...

2. L E G A L B A S I S

3.

4.

ASSISTANCE AND TECHNICAL GUIDANCE AFTER TURNOVER : LEGAL BASIS

A C T I V I T I E S

1. Together with relevant agencies guide and improve WUA irrigation system operation and maintenance 2. Monitor WUA activities 3. Provide technical assistance to WUAs

4. Allocate water among irrigation systems

5. Provide necessary physycal assistance that is beyond the WUAs capacity to handle

TURNOVER OF O&M RESPONSIBILITY TO WUA (GROUPS B&C) : MEANING AND REQUIREMENTS

Transfer of duty, authority and responsibilty for operation and maintenance of small government irrigation systems to WUA.

MEANING

WHAT IS TURNED OVER

a. Irrigation system management, excep for water sources b. Technical documents : 1. Site map 2. Scheme of the irrigation system

REQUIREMENTS FOR TURNOVE R

a. When special maintenance construction is needed, implementation of that activity has been finished and the maintenance period has finished also b. The WUA organization has been formed and registered by the Bupati c. Administrative preparations are finished Continued...

NOTES ON TRANSLATION

This is a translation of materials about the process of activities for the turnover of small irrigation systems to water user associatians. These materials are intended to explain and clarify the processes and procedures to be used in the turnover project. The materials were prepared by the Directorate of Irrigation I, with assistance from the International Irrigation Management Institute and the Institute for Social and Economic Research, Education and Information (LP3ES). In this translation WUA is used to translate P3A (Perkumpulam Petani Pemakai Air). WUA or P3A refers to informal and traditional water user associations, as well as to formal organizations in various forms including Mitra Cai, HIPPA and others.