st Public Disclosure Authorized 21 March, 2013 Final Report Social Assessment, Capacity Public Disclosure Authorized Building and Communications Strategy Public Disclosure Authorized Public Disclosure Authorized Knowledge Links Pvt. Ltd. KA 54 Upper Ground Floor, Kaushambi, Ghaziabad 201010 Phone: 0120 - 4114721 Email: [email protected] Knowledge Links, March, 2013 Acknowledgements The study team is immensely grateful to more than 700 people, mainly women and men, but also some children from 20 villages across 5 districts in Eastern UP: namely Shravasti, Kushinagar, Chandauli, Kaushambi and Faizabad, who spared their time to share their experience regarding various aspects of water and sanitation services at the village level. We owe special thanks to the District Collectors, Chief Development Officers (CDOs), and District Development Officers (DDOs) and their field staff, who were very helpful in selection of sample villages/GPs and facilitating our interaction with people in villages and concerned government functionaries at various levels. The study would not have been possible without the active support of SWSM and SPMU at Lucknow. Executive Director, State Water and Sanitation Mission (SWSM), Mr. Rakesh Kumar Ojha, Joint Director, SWSM, Mr. S. C. Srivastava, and Mr. Gyanendra Singh, Procurement Specialist, SPMU provided invaluable guidance and advice through the duration of the study. Mr. Prabhakar Sinha, Social Development and Communication Specialist at SPMU provided insightful and useful comments during our discussion on the draft final report at SWSM/SPMU on 7th of March. We do hope that the study offers some useful insights into some of the key social issues that can inform the overall project design of the project along with required capacity building and communication interventions during project planning and implementation. Final Report i Social Assessment, Capacity Building and Communications Strategy Knowledge Links, March, 2013 Preface This report presents the key findings and recommendations of the study on social assessment, capacity building and communications strategy. The study has been carried out as an input into the design of the proposed World Bank assisted project on rural water supply and sanitation originally proposed to be in 28 districts of Eastern Uttar Pradesh (list attached as annex 1). This is under the World Bank’s Rural Water Supply and Sanitation Project for Low Income States (RWSSP-LIS). Though the project size of the first phase of the project in UP is reportedly reduced to only 10 districts now, the study is in the larger context of the Eastern UP as a whole. As discussions between the World Bank and Government of UP are still on-going regarding the size and scope of the project, decisions regarding the number of districts to be taken up in phase 1 and the nature of institutional arrangement to be put in place for project management at the state and district levels have yet to be fully firmed up.. Hence, it is quite likely that some of the recommendations of the study get radically revised, if required in view of the decisions taken, as and when they are final. To begin with, the report presents the broad demographic and development profile of the region for which the project is proposed and eventually makes a case for the need for this project in UP. There is a general assumption underlying most of the development initiatives that more investment means more benefits for people for whom the project is designed. But the reality check offered by this study tells that this may not necessarily be true, as the implementation of projects is mediated by a range of factors related to social and political dynamics obtaining in the intended project area, along with other factors related to capacity and communication across different stakeholders and levels of operation. As against the popular perception that in many districts people, particularly poor, do not have equitable and sustainable access to water and sanitation services, the study tells that almost everyone in the rural areas of UP has access to water through private and public facilities. A very small segment of the poor (less than 2%) is dependent only on public facilities, with no private facilities of their own. But they are not necessarily worse off than others who have these facilities. Reasons for the same are delineated in the main body of this report. Issues and challenges that emerge relate mainly to the quality of water being consumed by people and the rampant practice of open defecation leading to faecal contamination of water in most of the study villages visited. The proposed project needs to address these upfront in order to be able to make a substantive difference in the quality of life of people, who are supposed to be benefitted by this project. Final Report ii Social Assessment, Capacity Building and Communications Strategy Knowledge Links, March, 2013 Abbreviations and Acronyms ADO Assistant Development Officer AES Advanced Encephalitis Syndrome ARWSP Accelerated Rural Water Supply Programme BDO Block Development Officer CDI Composite Development Index CRSP Central Rural Sanitation Programme DDWS Department of Drinking Water Supply DPR Detailed Project Report DPRO District Panchayati Raj Officer GP Gram Panchayat GS Gram Sabha HRD Human Resource Development IEC Information Education Communication JE Japanese Encephalitis JPS Jal Prabandhan Samiti JN Jal Nigam M&E Monitoring And Evaluation MDG Millennium Development Goals MIS Management Information Systems NBA Nirmal Bharat Abhiyan NGOs Non Government Organisations NGP Nirmal Gram Puraskar NRDWP National Rural Drinking Water Programme NRDWQMSP National Rural Drinking Water Quality Monitoring Surveillance Programme O&M Operation & Maintenance ODF Open Defecation Free OP Operational Policy PRIs Panchayati Raj Institutions PWS Piped Water Supply RWS Rural Water Supply RWSS Rural Water Supply and Sanitation SRP Sector Reform Programme TSC Total sanitation Campaign UNICEF United Nations International Children’s Emergency Fund UP Uttar Pradesh VWSC Village Water and Sanitation Committee WHO World Health Organisation WSSO Water and Sanitation Support Organisation Final Report iii Social Assessment, Capacity Building and Communications Strategy Knowledge Links, March, 2013 CONTENTS Acknowledgements i Preface ii Abbreviations and Acronyms iii Contents iv Executive Summary 01 Findings and Recommendations……………………………....14 1. Section 1: Introduction Introduction……………………………………………..22 Study Approach and Methodology……………………...27 Baseline: UP and Eastern UP…………………………...30 2. Section 2: Social Assessment Social Assessment………………………………………54 Beneficiary Assessment…………………………………56 Eastern UP Context……………………………………..57 Stakeholder Analyses…………………………………...68 Impact Assessment ……………………………………..78 Institutional Analyses…………………………………...82 Risk Assessment………………………………………...90 3. Section 3: Capacity Building Capacity Building……………………………………….94 Capacity Building Needs Assessment…………………..97 Capacity Building Strategy and Plan…………………..127 4. Section 4: Communications Communications (IEC)………………………………...146 Final Report iv Social Assessment, Capacity Building and Communications Strategy Knowledge Links, March, 2013 LIST OF TABLES Table 1 : The Sample Study Districts………………………………………….28 Table 2: Number of Administrative Units in Uttar Pradesh, 2011……………31 Table 3: Religion and Caste of the Respondents……………………………..32 Table 4: Gender wise Population and Sex-ratio of Selected Households……..33 Table 5: Economical Status of the Selected Households……………………...34 Table 6: Primary Income Source of the Selected Households…...……………34 Table 7: Secondary Income Source of the Selected Households……………...35 Table 8: Ownership of Agricultural Land vis-à-vis Economic Status………...35 Table 9: Roof of the House……………………………………………………36 Table 10: Number of Rooms in a House……………………………………….37 Table 11: Access to Toilet: MDWS vis-à-vis Household Survey………………38 Table 12: Economic Status of Households vis-à-vis Type of Toilet……………39 Table 13: Economic Status of the Households vis-à-vis Superstructure of the Toilet ………………………………………………………………..40 Table 14: Economic status vis-à-vis Households with Bathroom Facility……..41 Table 15: Source of Drinking Water for the Selected Households (in %)……..43 Table 16: Economic Status of the Households vis-à-vis Source of Water……..43 Table 17: Source Vis-à-vis Water Storage……………………………………..44 Table 18: Method of Storing Water by the Selected HHs……………………...44 Table 19: Quantity and Quality of Drinking Water (in %)……………………..45 Table 20: Type of Illness Registered among the Selected Households (in %)…46 Table 21: What is Used for Taking Water from Water Vessels………………..47 Table 22: Are You Washing Hands Before Meals? ……………………………48 Table 23: Hand Washing Practices before Meals ………………………………49 Table 24: Extent of Hand Washing After Defecation…………………………..49 Table 25: Hand Washing Practices after Defecation……………………………49 Table 26: Availability of Infrastructure and services in the selected GPs (in %)50 Table 27: Disposal of Waste Water by the Selected Households………………50 Table 28: Disposal of Garbage by the Selected Households …………………..51 Final Report v Social Assessment, Capacity Building and Communications Strategy Knowledge Links, March, 2013 Table 29: Population Aware about the Decision made in the GP Meeting about Drinking Water Supply ……………………………………………...53 Table 30: Key economic and human development indicators for UP1………. ..56 Table 31: Districts of Purvanchal and Bundelkhand……………………………57 Table