iwmp exit strategies completion and closure process of wdc

IWMP Exit Strategies JSWM-SLNA

IWMP Exit Strategies

Completion and Closure Process of WDC-PMKSY Projects

Introduction:

Watershed is a dynamic process of integration of all the four waters namely 1) Rainfall, 2)

Surface water, 3) Sub surface water in-situ moisture conservation and 4) Ground water for

productivity enhancement per unit area by participatory process of planning, execution and

usufructs benefits sharing by adopting “care and share” principle. The WC-PMKSY (erstwhile

IWMP) projects have been approved w.e.f FY 2009-10 with project period of 4 to 7 years.

Accordingly, the watershed development projects approved during the initial years of IWMP are

now due for completion and there is a need to decide the process and framework for declaring the

WDC-PMKSY projects as completed and for formal declaration of their closure. In this regard,

the following need to be decided.

Cut- Off Date

The outer limit of the project period is fixed at 7 years. It is logical that the cut-off date be

fixed at the date of expiry of 7 years from the date of inception of the project. However, the date

of inception may be variously viewed as

(i) The date of release of the first installment of funds for the project by SLNA and

deployment of WDT through process of selection of PIAs to execute the work.

Completion of the Project

A project may be deemed to be complete on occurrence of one of the following:

i. On completion of 7 years from the date of inception i.e. on the cut-off date; or

ii. On complete implementation of all the activities included in the DPR for the project;

or

iii. When the expenditure on the project has reached its approved cost; or

iv. When the project is declared to be foreclosed/ cancelled by the State Government or

DoLR as per para 78 and 79 of the Common Guidelines for Watershed Development

Projects- 2008.

whichever occurs the earliest.

The Common Guidelines of Watershed 2011(amendment) stipulates 5 to 7 years for

completion of the projects. The Project Implementing Agencies (PIAs) and its Watershed

Development Team(WDT) slowly withdraw the facilitation and handholding support to

community after attaining the physical and financial targets envisaged in the Entry Point Activities

(EPA) and Detailed Project Report (DPR). However, at least one of the components that are soil

and water conservation (NRM) works should have been completed.


Before withdrawal it should be ensured that the different institutions formed under

watershed process like WC, SHG, UG and Village Federation etc should be empowered to take

care of themselves and manage watershed assets which have been created under IWMP.

The General Key outcome of the watershed programmes are

● Increase in water table.

● Increase in arable land from waste land.

● Productivity enhancement. Increase in rainfed agriculture and double cropping area.

● Soil conservation structures viz: CCT, Trench-cum Bund (Nijalingappa Model),

40x60 model, Bunding, LBCD and CD etc

● Increase in biomass through plantation and horticulture and agriculture

● Robust peoples institutions viz: WC, SHG, UG and village federation,

● Increase in no. of water bodies and retention of water in the water bodies from few

days to months/year.

● Increase in capacity building of people and agricultural technology adoption.

● Increase in income and quality of living standards.

● Increase in awareness and decision making ability of the people.

The above watershed assets on the basis of ownership may be grouped into Individual,

Community and Common Property Resources. The Common Property Resources are water bodies

such as embankment construction on the bank of river and rivulet, LBCD and Checkdams on the

Drainage line treatment and Ponds, Dovas on medium & up land and Plantation, Horticulture

established in the Government land, waste land, Forest land or GM land. Everybody in the village

has the rights and privileges to use the usufruct’s benefits become the owners. Whereas the

properties created in private land and owned by group of individuals or the Communities are called

the community property resources ex: wells, dovas, ponds, horticulture, pasture land, sacred groves

and crematorium grounds.

After fully completion of the physical and financial targets of IWMP project, it is the duty

of PIAs and WDT with the people institutions to work out modalities to suggest ways and means

to take care of the assets created by IWMP and if need be these assets should be repaired,

maintained and managed on regular sustainable basis of sharing of the usufructs benefits amongst

different stake holders.

The following mandatory process to be followed by the PIAs and WDTs for the exit policy

and report to be submitted to DoLR through SLNA:

1. Complete all the books of accounts accurately and get audited from CA

2. Close all the bank accounts of PIA, MWS and return the unspent money to WCDC

with intimation to JSWM.

3. Submission of current and consolidated audit report along with UC.


4. Submission of completion report/ asset registers to WCDC and hand over all the assets

to PRI.

5. Non Embezzlement Certificate

6. Certificate to the effect that Administrative Cost of the Project is within the ceiling

prescribed in the Common Guidelines – 2008

7. Post Project maintenance of the structures created like afforestation, water bodies.

8. Details of WDF accrued up to closure and brief note on the operation and maintenance

of assets and WDF fund

9. Submission of Project Completion Report as per para 61.1.b of Common Guidelines -

2008

10. Submission of Action Taken Report (ATR) on monitoring and evaluation

report/MELD report.

11. Submission of success stories if any.

In order to submit the above reports the WDT along with SHGs and WC members shall

conduct systematic SWOT analysis of each and every Micro watershed. The WDT and WC along

with SHG should conduct series of Focus Group Discussion (FGD) to find out Strength, Weakness,

Opportunity and Threat in managing all the assets created. Further, the following data / information

to be compiled and based on these a comprehensive report to be prepared.

1. As per DPR on all the ten budget head (DPR, EPA, CBT, works, livelihood,

productivity enhancement and microenterprises, administration, monitoring,

evaluation, consolidation and exit policy) the physical and financial target achievement

and indicate deviation if any.

2. Consolidated and audited accounts of all the MWS, PIA and WCDC, UC, MIS, MPR

and closing of MWS accounts.

3. List of Individual, community and common property resources created and its status

with total economic value of the benefits.

4. Total amount contributed towards WDF and list of all persons who have contributed in

the WDF.

5. WDF pass book, bank book, accounts related documents with present signatory of bank

accounts.

6. List of SHGs/UGs/PGs and complete name of members and Revolving Fund with bank

linkage if any as well as livelihood strategies.

7. Name and designation of all the WC members and byelaws, dropped out members if

any. Status of the society whether it is audited or not. Identification of CA to audit at

the cost of WDF.

8. Weekly and monthly register and recording status.

9. PRI members who represents ward, GP, Block and ZP from that area of MWS

10. Local voluntary members and NGOs/ CSR companies if any.

11. MGNREGA functionaries, JSLPS functionaries and others.


12. Custody of present and old IWMP records.

13. Care and share strategies to be worked out for all the assets.

14. Revolving Fund management and books of accounts.

15. Name of the bank and its address as well as banking correspondent.

16. Submission of MPR and QPR to WCDC and JSWM.

1. Operation and Maintenance of Individual and Community properties:

The assets created through IWMP fund in the individual and community land and which is

owned by individuals or the community should invariably be looked after by themselves. No fund

shall be given to them out of WDF. However the WC/SHG may facilitate the actual owners by

imparting technical knowhow and other logistic support, information on marketing, godown, plant

protection, communication, bank linkages etc shall be provided to them by the WC. In the time of

natural disaster like drought, famine the watershed assets though owned by individual or the

community they should provide or share water for drinking and domestic consumption to

neighboring people.

2. Operation and Maintenance of Common properties:

In case of common property resources such as river, rivulet, ponds, dovas, plantation,

horticulture, forestry owned by group of people or Government, the O&M task shall be entrusted

to SHGs, UGs, WCs or PRI institutions. At least 1/3 of the beneficiaries who have contributed to

the kitty of WDF should approve the O&M strategies in the Aam sabha or Grama sabha.

The PIAs/ WDT with the help and support of SHG/PRI should clearly list out the assets

and delegate the powers and functions for every asset in the following manner.

a. Functions- repairs, operation and maintenance frequency, harvesting of usufructs

benefits, watch and ward, protection details etc should be clearly defined.

b. Functionaries- location of the asset and ownership of the asset and name of the People,

SHGs, PRI, ZP, VO etc to be empowered to accomplish the watch and ward task. All

names of persons who will directly or indirectly get the benefits should be mentioned.

c. Fund management- estimate, TS/AS and who will spend the money to repair or O&M

of the assets and expenditure, maintenance of accounts should be defined.

3. Post watershed community asset management strategies

1. Brief introduction of the project area and SWOT analysis

2. Outcome of IWMP projects and categorization of assets based on the ownership into

Individual, Community and Common property

3. WDF contributors name and total amount including interest at the time of exit

4. People's institution, WC, SHG, UG, PRI and handing over to either individual or

community.

5. Training of different stakeholders including book keeping.

6. Management of assets ( Individual, Community, Common)


a. Function

b. Functionaries

c. Funding

Monitoring of assets

d. Weekly meeting by WC, SHG, UG, PRI together and monitoring of the money

given for repair/ O&M.

e. Monthly meeting by Grama sabha

i approval of repair/ maintenance as well as benefit sharing strategies

ii. approval of TS/AS/estimate.

iii. work execution by maintaining MR/ MB

iv. custody and record maintenance

Attachments to be enclosed for Submission to DoLR through SLNA for Completion of

Each Project at PIA level: 1. Annexure 1

1.1 Consolidated PIA wise Statement of Receipts and Expenditure

1.2 Status of WDF Account

1.3 Details of amount returned to WCDC

1.4 Gist of SHGs Promoted under IWMP

1.5 Details of Impacts

2. Annexure 2

2.1 Summary of the Evaluation of Outcomes of WDC-PMKSY Project

3. Annexure 3

3.1 Non Embezzlement Certificate

4. Annexure - 4 Utilization Certificates

5. Annexure - 5 Certified copy of handing over the assets developed and handed over to PRI

6. Annexure - 6 Certificate for utilization of Administrative Cost within the ceiling

prescribed

7. Annexure - 7 Project Completion Report with photographs and Success Stories/Case

Studies

8. Annexure - 8 Formats for record at SLNA level

Annexure -1

Details of Documents Required for Finalization

Batch I Projects under IWMP

Name of PIA :


Name of Project :

Total Project Cost: Total Audited Expenditure:

District : Block :

FORMATS FOR SUBMISSION AT DoLR LEVEL

I. Consolidated PIAs wise Statement of Receipts and Expenditure (Rs. in Lakhs)

Serial

No.

Year (from

the year of

inception to

completion)

Receipts

Total

Funds

Available

Expenditure Unspent

Balance

Audit Remarks

Yes No

Central

Share

State

Share

Accrued

Interest

2009-10

2010-11 2011-12

2012-13 2013-14

2014-15 2015-16

2016-17

Total Note: Audited copy to be enclosed

II. Status of WDF Account

Name &

No. of

MWS

Name of

Bank,

Place &

A/c. No.

WDF

Amt.

Collected

as on

Interest/Misc.

Collection as

on

Details of Signatories

Name Designation Contact No.

1

2

3

4

5

6

7

8

9

10


Total

(Attach a copy of WDF Guidelines)

III. Details of Amount returned to WCDC

PIA/MWS Name

& No.

Name of Bank

& A/c. No.

Total

Amount

Refunded

Date with

RTGS/NIFT No.

Intimated to

SLNA (Y/N)

Remarks

IV. Gist of SHGs Promoted under IWMP

Total

No. of

SHGs

Support

ed

No. of

SHGs

provide

d RF

Total

Revolvi

ng Fund

Disburs

ed

Bank Linkages

Developed

No. of SHGs covered under Livelihood Activities

No. of

SHG

linked to

bank

No. of

SHG not

linked to

bank

Poultry Piggery Duckery Goatery Agri. Others

Note: Success story enclosed in PCR

V. Details of Impacts as Case Study/Success Stories documented and enclosed as Project

Completion Report (PCR)

Annexure - 2

Summary of the Evaluation of Outcomes of WDC-PMKSY Project

1. Project Details

Project No. ………………………………………………………………………………………

Name of Block…………………………………………………………………………………

Sanctioned Area (Ha)……………………………………………………………………………


Sanctioned Cost (Rs. in Lakh)…………………………………………………………………..

Name of Village included in the Project………………………………………………………..

2. Impact Details

Sl.

No

.

Items Unit

Pre-

project

status

Status

at the

end of

project

Remarks

1 Average depth of water table in dug wells Meter

2 Average depth of water table in tube wells Meter

3 Number of ground water structures (dug wells +

tube wells + hand pumps) rejuvenated

Nos.

4 Increase in Irrigation Potential Ha.

5 Area of wasteland brought under productive use

(Like agriculture, plantation, fodder, etc)

Ha.

6 Change in cropping/land use pattern

(i) Area under agriculture

(ii) Area under plantation/forest cover

(iii) Area under wastelands

Ha

7 Area under Agriculture Crop

(i) Area under Rabi Crop

(ii) Area under Kharif Crop

(iii) Area under Double Crop

Ha

8 Increase in yield /ha. of crops

(i) Rabi Crop

(ii) Kharif crop

Qui/ha

9 Area of horticulture crop Ha

10 Duration of flow of water in streams (upto

November/December/January/February…………

…….May)

11 Improvement of drinking water facility

12 No. of persons engaged in ancillary activities like

fishery, poultry, rural craftsmanship

Nos.

13 Reduction in migration from rural to urban area

in the project area

Nos.

14 Any other measureable indicator of impact

assessment

Nos.

Annexure - 3

(To be typed on Rs. 100 Non Judicial Stamp Paper)


Non Embezzlement Certificate

This is to certify that no major irregularities such as embezzlement, diversion of

funds etc. has been noticed in (………Name of Project and Name of

PIA…………….) under Integrated Watershed Management Project IWMP Batch I.

There is no amount left in PIA/WC account and the entire unspent fund including

interest accrued has been deposited to WCDC through RTGS/NEFT/Demand Draft

No. ……….dated ………….. for exit and formal closure of the Project.

(Signature with seal)

Name and Designation of Authorized Signatory

Name of PIA

Annexure - for Record at SLNA

FORMATS FOR SUBMISSION AT SLNA/WCDC LEVEL

I. Status of MWS Bank Accounts

Name & No. of MWS Name of Bank & A/c.

No.

Balance

Amt.

Status of Account Closure

(Date/Tentative Date of Closure)


II. Status of PIA Bank Account

Name of PIA Name of Project Name of Bank &

A/c. No.

Balance

Amt.

Status of Account Closure

(Date/Tentative Date of

Closure)

III. Summary of WC Account Audit

Year Admin. Exp. Project Fund

Exp.

Audited

(Y/N)

Deviation

(if any)

2009-10

2010-11

2011-12

2012-13

2013-14

2014-15

2015-16

2016-17

IV. Status of Institutions Formed

Type of

Institution

Name of Unit Status of

Registration &

Date

Name of Office

Bearer

Contact No.

1


Watershed

Committee

2

3

4

5

Sakhi Mandal

(SHG)

1

2

3

4

5

User Group 1

2

3

4

5

Producer Group 1

2

3

4

5

V. Summary of Physical Assets Developed under Project (Details under Itemized Asset

Register)

Major Head Name of Activity No. of Structures GIS Location/Physical Location

1 Well Renovation


Entry Point

Activity

2 Pond Renovation

3 Solar Street Lamp

4

5

Works Phase

Activity

1 Afforestation (ha)

2 Horticulture

Plantation (ha)

3 Fodder area

Developed (ha)

4 Earthen Check Dam

(R mt)

5 LBCD (R mt)

6 Gabion Check Dam

(No.)

7 New Pond (with

dimension)

8 Renovated Pond

(with dimension)

9 Dova (with

dimension)

10 Percolation Tank

(with dimension)

11 Ahar (with

dimension)

12 5% Model (with

dimension)

13 Dari Chuwan (no.)

14 Lift Irrigation (with

dimension)


15 Micro Lift

Irrigation (area to be

irrigated in ha)

16 Irrigation Well

(depth and dia.)

VI. Usable Asset developed at PIA level

Name of PIA Type of asset purchased Handed over to

Laptop

Computer

GPS

Tablet/Smartphone

Furniture


VII. Details of Physical Activities performed as per DPR and Audit statement

Year DPR EPA CBT Works Liveli

hood

Micro-

enterprises

Monit

oring

Evaluat

ion

Consolid

ation Total Activities

T A T A T A T A T A T A T A T A T A T A Type*

Convergence

made or due

actions referred to

2009-10

2010-11

2011-12

2012-13

2013-14

2014-15

2015-16

2016-17

T= Target; A= Achievement

Type* - Details of activity to be provided in a separate sheet


VIII. Itemized Details of Physical Activities Carried Out

Activity Name of

Beneficiary

Name of

Village

Khata / Plot

No. Lat - Long Dimension

Cost

Incurred Custody Signature

Well

Renovation

1

2

3

4

5

Pond

Renovation

1

2

3

4

5

Ahar

Renovation

1

2

3

4

5


Activity Name of

Beneficiary

Name of

Village

Khata / Plot


Cost


New Well

1

2

3

4

5

Dari Chuan

1

2

3

4

5

Irrigation

Well

1

2

3

4

5


Activity Name of

Beneficiary

Name of

Village

Khata / Plot


Cost


New Pond

1

2

3

4

5

Dova

1

2

3

4

5

5% Model

1

2

3

4

5


Activity Name of

Beneficiary

Name of

Village

Khata / Plot


Cost


Earthen

Check Dam

1

2

3

4

5

Loose

Boulder

Check Dam

1

2

3

4

5

Gabion Check

Dam

1

2

3

4

5


Activity Name of

Beneficiary

Name of

Village

Khata / Plot


Cost


Percolation

Tank

1

2

3

4

5

Micro Lift

Irrigation

1

2

3

4

5

Lift Irrigation

1

2

3

4

5


Activity Name of

Beneficiary

Name of

Village

Khata / Plot


Cost


Afforestation

1

2

3

4

5

Horticulture

Plantation

1

2

3

4

5

Fodder Area

Developed

1

2

3

4

5