Public Disclosure Authorized Public Disclosure Authorized Revised Final Report - Social Assessment Public Disclosure Authorized Component Environment & Social Assessment for PRWSS- II Program January 2015 Public Disclosure Authorized State Programme Management Cell Revised Final Report - Social Assessment Component WB WB WB WB WB P:\DMC\Projects\346196-Punjab Water\Report\Final Report\Final Report Social Assessment for PRWSS- II Program-revised (2.2.2015).docx 05 January 2015 Environment & Social Assessment for Revised Final Report - Social Assessment Component PRWSS- II Program Environment & Social Assessment for PRWSS- II Program January 2015 State Programme Management Cell Department of Water Supply and Sanitation, Water Works, Phase 2, Mohali Mott MacDonald, A20, Sector 2, Noida 201 301, India T +91 (0)120 254 3582 F +91 (0)120 254 3562 w www.mottmac.in W www.mottmac.com Revised Final Report - Social Assessment Component Environment & Social Assessment for PRWSS- II Program Issue and revision record Revision Date Originator Checker Approver Description Standard 00 10.12.2014 RA, RK, RS,MS NR SM Final Report 01 06.01.2015 RA, RK, RS,MS NR SM Final Report-revised 02 22.01.2015 RA, RK, RS,MS NR SM Final Report-re-revised This document is issued for the party which commissioned it and We accept no responsibility for the consequences of this for specific purposes connected with the above-captioned project document being relied upon by any other party, or being used only. It should not be relied upon by any other party or used for for any other purpose, or containing any error or omission any other purpose. which is due to an error or omission in data supplied to us by other parties. This document contains confidential information and proprietary intellectual property. It should not be shown to other parties without consent from us and from the party which commissioned it.. WB /WB/WB/WB/WB 05 January 2015 P:\DMC\Projects\346196-Punjab Water\Report\Final Report\Final Report Social Assessment for PRWSS- II Program-revised (2.2.2015).docx Revised Final Report - Social Assessment Component Environment & Social Assessment for PRWSS- II Program Contents Chapter Title Page Abbreviation i Executive Summary ii 1 Introduction 1 1.1 Overview _________________________________________________________________________ 1 1.2 Project Background (Rural Water Supply & Sanitation-RWSS) ________________________________ 7 1.3 The Assignment ____________________________________________________________________ 8 2 Socio-Economic Profile of Punjab 10 2.1 Beneficiary Assessment (analysis of Quantitative Data) ____________________________________ 12 2.2 Conclusions and Discussion based on Beneficiary Assessment ______________________________ 15 3 Legal Framework: Policy, Regulatory Framework 16 3.1 Rural Water Supply & Sanitation (RWSS) Policies _________________________________________ 16 3.2 Analysis of National & State Level Policies on Water & Sanitation _____________________________ 22 3.3 The World Bank Safeguard Policies ____________________________________________________ 23 3.4 Analysis of World Bank Safeguard Policies ______________________________________________ 24 4 Findings on Status of Services & Stakeholder Analysis 26 4.1 Inclusion & Equity in terms of Access of Services _________________________________________ 26 4.2 Stakeholder Analysis _______________________________________________________________ 52 4.3 Key Strengths and Weaknesses of Rural Water Supply and Sanitation in Punjab _________________ 59 4.4 Conclusion Based on Stakeholder Analyses _____________________________________________ 59 5 Institutional Analysis 62 5.1 State level ________________________________________________________________________ 62 5.2 District & Divisional level ____________________________________________________________ 64 5.3 Block Level - Block Resource Coordinators (BRC) ________________________________________ 65 5.4 Gram Panchayat Level ______________________________________________________________ 65 5.5 Reasons for Changes required at Institutional Structural Level/ Reasons behind Recommendation of Structural Changes at Institutions ______________________________________________________ 68 6 Grievance Redressal 72 6.1 Current Mechanism of Grievance Redressal _____________________________________________ 72 6.2 Grievance Redressal Related Responses of the Beneficiaries (Based on Primary Data) ___________ 72 6.3 Conclusion Based on Grievance Redressal ______________________________________________ 75 7 Capacity Building Strategy 76 7.1 Capacity Building Need Assessment ___________________________________________________ 76 7.2 Capacity Building Strategy and Action Plan ______________________________________________ 79 WB /WB/WB/WB/WB 05 January 2015 P:\DMC\Projects\346196-Punjab Water\Report\Final Report\Final Report Social Assessment for PRWSS- II Program-revised (2.2.2015).docx Revis ed Final Report - Social Assessment Component Environment & Social Assessment for PRWSS- II Program 7.3 Potential training institutions for PRWSS ________________________________________________ 80 7.4 Training Outlines for the proposed programs _____________________________________________ 81 7.5 Monitoring and Evaluation of the Capacity Building ________________________________________ 84 8 Monitoring & Evaluation 86 8.1 Monitoring ________________________________________________________________________ 86 8.2 Type of Monitoring _________________________________________________________________ 86 8.3 Social Audit ______________________________________________________________________ 95 9 Action Plan for Social Management 97 9.1 Key Risks ________________________________________________________________________ 97 9.2 Possible Mitigation Measures for the Identified Risks_______________________________________ 99 9.3 Social Management action plan ______________________________________________________ 102 9.4 Gender Action Plan (GAP) __________________________________________________________ 105 9.5 Vulnerable Peoples Development Plan for inclusion of BPLs, women, landless and disabled people’s 107 10 Scheme Cycle 109 10.1 Single Village Scheme (SVS) for water supply ___________________________________________ 109 10.2 Multi Village Scheme (MVS) for water supply ____________________________________________ 114 10.3 Sewerage Scheme with Treatment Unit ________________________________________________ 119 Appendices 125 Appendix A. Methodology & Study Schedules _____________________________________________________ 126 A.1 Methodology _____________________________________________________________________ 126 A.1.4 Primary Research & Assessment _____________________________________________________ 129 A.1.5 Qualitative Research Technique: _____________________________________________________ 129 A.1 Study Schedule’s _________________________________________________________________ 134 A.1.1 In-depth interview schedule I ________________________________________________________ 134 A.1.1.1 Respondent _____________________________________________________________________ 134 A.1.2 PRIs/Panchayati Raj/GPWSC Members _______________________________________________ 136 A.2 Focus Group Discussion Guide ______________________________________________________ 137 A.2.1 Household Questionnaire (as used in Midterm Assessment) ________________________________ 138 Appendix B. Socio Economic Tables & Factsheet-Comparison Matrix ___________________________________ 153 B.1 Socio Economic Tables ____________________________________________________________ 153 B.2 Factsheet-Comparison Matrix _______________________________________________________ 158 Appendix C. Proceedings Workshop ____________________________________________________________ 165 C.1 Background _____________________________________________________________________ 165 C.2 Performance Indicator _____________________________________________________________ 165 C.3 Institutional Set-up ________________________________________________________________ 165 C.4 Women Empowerment _____________________________________________________________ 165 C.5 Capacity Building _________________________________________________________________ 165 C.6 Conflict Management ______________________________________________________________ 166 C.7 Other Suggestions ________________________________________________________________ 166 C.8 Conclusion ______________________________________________________________________ 166 Appendix D. Village Level Case Studies __________________________________________________________ 167 D.1 Gram Panchayat – Bhangchari, Sri Muktsar Sahib _______________________________________ 167 WB /WB/WB/WB/WB 05 January 2015 P:\DMC\Projects\346196-Punjab Water\Report\Final Report\Final Report Social Assessment for PRWSS- II Program-revised (2.2.2015).docx Revised Final Report - Social Assessment Component Environment & Social Assessment for PRWSS- II Program D.2 Gram Panchayat – Sangla, Monga ___________________________________________________ 168 D.3 Gram Panchayat – Jhaner, Sangrur ___________________________________________________ 169 D.4 Gram Panchayat – Bhajauli, SAS Nagar _______________________________________________ 170 D.5 Gram Panchayat – Badial, Hoshiyarpur ________________________________________________ 171 D.6 Gram Panchayat – Harror Khurd, Amritsar ______________________________________________ 173 Appendix E. Details of existing staffs ____________________________________________________________ 175 Appendix