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Technical Report on Community Based Institutions in Andhra Pradesh and their Role in Sustainable Land and

Water Management (SLWM)

Final Report

Submitted to

Bharathi Integrated Rural Development Society (BIRDS), Strategic Pilot on Adaptation to Climate Change (SPACC) Project

PMO, Hyderabad - 500007

March 2012

Prepared by

K.S. Revathy Rugmini Social Development Consultant [email protected]

Technical Report on Community Based Institutions in Andhra Pradesh and their Role in Sustainable Land and Water Management (SLWM)

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Contents List of Acronyms ........................................................................................................................................ 3

Section 1: Context and design .................................................................................................................. 5

1.1 Introduction .............................................................................................................................. 5

1.2 Objectives ................................................................................................................................. 8

1.3 Methodology & tools .................................................................................................................... 9

Section 2: Community Based Institutions in Andhra Pradesh ................................................................ 10

2.1 Introduction .................................................................................................................................. 10

2.2 What are Community Based Institutions? ................................................................................... 11

2.3 Typology of Community Based Institutions and the role played by them in Sustainable Development in Andhra Pradesh ...................................................................................................... 11

Section 3 Community Based Institutions in Andhra Pradesh and SLWM ............................................... 20

3.1 What is Sustainable Land and Water Management? .................................................................. 20

3.2. CBIs and their Roles in SLWM ............................................................................................... 22

3.3 Overall assessment of CBIs facilitated under NRM ..................................................................... 25

Section 4: Way forward from a strategic perspective ............................................................................ 30

4.1. Principles: ..................................................................................................................................... 30

4.2. Operational Strategies: ................................................................................................................ 32

4.3. Proposed Institutional Framework: ............................................................................................. 35

4.4. Criteria for the composition and their roles: ............................................................................... 37

4.5 Application of the Principles to the proposed Institutional Framework ................................ 41

4.6 Focussed Interventions ........................................................................................................... 42

4.7 Pilot Interventions proposed under SPACC ............................................................................ 43

5 Conclusion ....................................................................................................................................... 44

References .............................................................................................................................................. 45


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List of Acronyms AP Andhra Pradesh APFMIS Andhra Pradesh Farmers Management of Irrigation Systems APFAMGS Andhra Pradesh Farmer Managed Groundwater Systems APRPRP Andhra Pradesh Rural Poverty Reduction Programme ALWALTA Andhra Pradesh Water Land and Trees Act APWELL Andhra Pradesh Groundwater Bore-well Irrigation Schemes BIRDS Bharathi Integrated Rural Development Society BPL Below Poverty Line CADA Command Area Development Authority CBI Community Based Institution CBO Community Based Organisation CCAC Climate Change Adaptation Committee CCAG Climate Change Adaptation Group CCCAG Children’s Climate Change Adaptation Group CCARC Climate Change Adaptation Resource Centre CCS Climate Change School CDS Community Development Society CFM Community Forest Management CIGs Common Interest Groups CMEY Chief Minister’s Empowerment of Youth CMSA Community Managed Sustainable Agriculture CSO Civil Society Organization DC Distributory Committee DDP Desert Development Programme DoLR Department of Land Resources DPAP Drought-Prone Areas ProgrammeDWCRA Development of Women and Children in Rural Areas DWCUA Development of Women and Children in Urban Areas EAP Externally Aided Projects ECCE Early Childhood Care and Education FAO Food and Agriculture Organization GEF Global Environment Facility GO Government Order GoI Government of India GMCs Groundwater Monitoring Committees HRIs Habitation Resource Information System HUNs Hydrological Unit Networks ICWE International Conference on Water and the Environment IFAD International Fund for Agricultural Development IKP Indira Kranthi Patham IPCC Intergovernmental Panel on Climate Change IWDP Integrated Wasteland Development Programme JCCAS Junior Climate Change Adaptation School JFM Joint Forest Management MAGs Monitoring – cum- Advisory Group MGNREGA Mahatma Gandhi National Rural Employment Guarantee Act


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MoAC Ministry of Agriculture and Cooperation

MoEF Ministry of Environment and Forests MoRD Ministry of Rural Development MS Mahila Samakhya NHC Neighbourhood Committee NHG Neighbourhood Group NGO Non-Government Organisation NRM Natural Resource Management NRY Nehru Rozgar Yojana NTFPs Non-Timber Forest Produces NWDPRA National Watershed Development Project for Rainfed Areas NYK Nehru Yuvak Kendra PC Project Committee PHM Participatory Hydrological Monitoring PIs People’s Institutions PMC Pasture Management Committees PMIUPEP Prime Minister’s Integrated Urban Poverty Eradication Programme PMO Project Management Office PRI Panchayathi Raj Institution PTAs Parent – Teacher Associations RNE Royal Netherlands Embassy RWA Resident Welfare Association SBMG Seed Bank Management Group SC Scheduled Caste SERP Society for Elimination of Rural Poverty SHG Self Help Group SGSY Swarna Jayanti Gram Swarozgar Yojana SJSRY Swarna Jayanti Shahari Rojgar Yojana SLWM Sustainable Land and Water Management SPACC Strategic Pilot on Adaptation to Climate Change ST Scheduled Tribe SWM Sustainable Water Management UBSP Urban Basic Services for the Poor ULBs Urban Local Bodies UNEP United Nations Environment Programme UNFCC United Nations Framework Convention on Climate Change USEP Urban Self Employment Programme UWEP Urban Wage Employment Programme VOs Village Organisations VSS Vana Samrakshana Samithis WALAMTARI Water and Land Management Training and Research Institute WDC Watershed Development Committees WDPSCA Watershed Development Project in Shifting Cultivation Areas WUA Water Users’ Associations


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This Technical Document has been organized into four Sections: Section 1 dealing with the general context, objectives and methodology adopted; Section 2 analysing the Community based institutions in Andhra Pradesh; Section 3 reflecting on Community based institutions and SLWM in AP and Section 4 dealing with principles and proposed institutional models.

Section 1: Context and design

1.1 Introduction

There is an emerging trend to adapt to the effects of climate change at global level through policy dialogues and operational processes. The innumerable works of the Intergovernmental Panel on Climate Change (IPCC), research institutions, Government, Donor Agencies, Non- Governmental Organisations (NGOs) and Civil Society Organisations (CSOs) have started reflecting on the challenges faced by the global community due to climate change and its impact. There is an increasing awareness at various levels which ultimately is resulting into the commitment to support for adaptation at the international level, linked to the United Nations Framework Convention on Climate Change (UNFCC)1. Though efforts are made by the Governments by introducing various programmes to address climate change issues, climate change adaptation has not been adequately integrated into planning and policy in key natural resource management sectors. Globally, land and water management have emerged as crucial issues for ensuring the sustainability of livelihood of people depending on them. GEO – 2000, a specially commissioned survey by the United Nations Environment Programme (UNEP), envisages a holistic approach towards the management of land and water resources, establishment of secure land and water property rights where these do not exist, reorganization of policies at various levels, introduction of concepts of shared and equitable water use, and alternatives to the use of marginal land2.

Access to land and water resources is vital for improving the economic status of the poor and the marginalized thereby impacting on food security and reduction of poverty. Clearly, a part of the land and water is in increasing demand for domestic, industrial and agricultural purposes – a direct response to increasing population and more intensive use and consumption. In India, Agriculture alone accounts for 70 percent of total water usage – mainly for crop irrigation. Land and water are going to be constraints in the future for improving productivity in agriculture. In order to mitigate the issues, Government of India (GoI) has already envisioned to the revival of the public investment in irrigation capacity and water management. Initiatives in watershed development, water management, sustainable land practices based on community participation and institutional improvements are therefore important.

1 Tyler,S. & Fajber, L., 2009. Land and Water Resource Management in Asia: Challenges for Climate Adaptation. 2 Planning Commission (2002), India., Successful Governance Initiatives and Best Practices: Experiences from Indian States.


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Different Departments at the Central and State level are coordinating the various Natural Resource Management activities. The Ministry of Water Resources is in charge of overall planning, coordination and guidance in the sector of water resources, but the Department of Drinking Water Supply is managed by the Ministry of Rural Development (MoRD).The Department of Land Resources (DoLR) in the MoRD is in charge of watershed-based rural development programmes such as the Desert Development Programme (DDP), the Drought-Prone Areas Programme (DPAP) and the Integrated Wasteland Development Programme (IWDP), which carries out water resource development activities, including building check dams and water harvesting structures. In addition, the Ministry of Agriculture and Cooperation (MoAC) also funds and implements watershed-based development programmes such as the National Watershed Development Project for Rainfed Areas (NWDPRA) and the Watershed Development Project in Shifting Cultivation Areas (WDPSCA), besides externally aided projects like the Integrated Watershed Development Project (IWDP-Hills-Phase II), Comprehensive Watershed Development Projects, etc. Finally, the Ministry of Environment and Forests (MoEF) also implements watershed-based development schemes such as the National Eco-Development Programmes. Within States, the Department of Irrigation is in charge of developing and maintaining major, medium and minor irrigation projects as well as groundwater development, while the Department of Panchayati Raj and Rural Development, the Department of Environment, Forests, Science and Technology and the Department of Agriculture implement watershed-based development programmes. There is no nodal agency to coordinate various NRM activities. Each department implements the projects according to their guidelines and parameters. This multiplicity and overlapping of projects in the field do not yield the expected results due to lack of efficient coordination mechanisms. All the above departmental programme guidelines have provided space for civil society participation from the planning stage itself and it has clearly mandated to institutionalize the participatory processes by the formation and strengthening of CBOs for effective implementation and sustaining the benefits. The State of Andhra Pradesh had a history of addressing land and water issues through community based interventions under various programmes. The Andhra Pradesh Farmers Management of Irrigation Systems (APFMIS) Act of 1997 the first of its kind in India sought to bring a paradigm shift in irrigation management. The Act proposed to involve farmers in irrigation management ultimately leading to the transfer of irrigation management from state agencies to farmers. This heralded the beginning of a new era in irrigation management in the state that would make irrigation management a participatory exercise. The Farmer Organizations have become quite strong in managing the irrigation water systems. The irrigation sector in the state is strengthened by the presence of Water User Associations (WUAs), Distributory Committees (DCs) and Project Committees (PCs). The Government of The Netherlands has extended huge support to water and groundwater management in India and in Andhra Pradesh in particular. The two interventions were the Andhra Pradesh Groundwater Bore-well Irrigation Schemes (APWELL) Project and Andhra Pradesh Water Vision. Through the initiative Water Vision, The Netherlands supported the Government of Andhra Pradesh to position the water sector, the first exercise of this type in India, by pledging and reasserting the


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Government’s commitment to provide a secure water future for all by 2020. This was in addition to the Andhra Pradesh Water Land and Trees Act (APWALTA) elaborated in 2002, to promote water conservation and tree cover and to regulate the exploitation of surface and groundwater, including prevention of construction of new wells in over-exploited areas. APWELL aimed at improving the living conditions of small and marginal farmers by providing bore-well schemes in seven districts. The main aim of the project was fulfilled to a large extent with visible impact on living conditions of small and marginal farmers, increased agriculture production and existence of strong local institutions (Borewell Users Associations). The project was started in 1995; in 1999, in response to signs of lowering water table and increasing risks of groundwater uses, it initiated testing a new approach through which farmers would be involved in Participatory Hydrological Monitoring (PHM). In 2003, APWELL project came to an end: the implementing organizations and core staff ensured continuity throughout the transition period until Royal Netherlands Embassy (RNE) launched the new initiative Andhra Pradesh Farmer Managed Groundwater Systems (APFAMGS), which became a FAO- implemented project in mid-2004. APFAMGS is a logical extension of APWELL: while the latter was centered around the creation of water facilities for poor and marginal farmers in seven districts in Andhra Pradesh, APFAMGS’s focus was on developing capacity of groundwater users in managing their resource in a commonly sustainable way for crop production. The experience of groundwater management and PHM gained through APWELL fully informed the conceptual design and implementation set-up of APFAMGS, and was the basis upon which the new project could build at full stream from the beginning. The Groundwater Monitoring Committees (GMCs) and Hydrological Unit Networks (HUNs) promoted under the APFAMGS project were capacitated to sustain the impact generated under the project. The farmers have become habituated to conduct regular groundwater monitoring through the GMCs. FAO has facilitated the process of continuing the project support to the same target areas through GEF with emphasis on climate change adaptation. The climatic variations are affecting adversely the livelihood patterns and income earning sources of the people to a large extent. This has led to experimentation of various interventions involving people so that the cumulative effects and impacts could be protected and sustained. In this context, GEF and FAO has chosen the drought prone areas in Andhra Pradesh to implement the project “Reversing Environmental Degradation and Rural Poverty through Adaptation to Climate Change in Drought Stricken Areas in Southern India: A Hydrological Unit Pilot Project Approach”, also referred to as Strategic Pilot on Adaptation to Climate Change (SPACC). This is implemented in 9 Hydrological Units, spread over 143 habitations to the extent of about 134,442 ha, covering a population of 204,5673. The project duration is for 3 years. A lead partner – Bharathi Integrated Rural Development Society (BIRDS) - has been identified for implementing the project by providing technical and managerial support along with other 8 NGOs as implementing partners from various project locations.

3 A Brief Note on: Strategic Pilot on Adaptation to Climate Change (SPACC) Project shared by PMO


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Since the overall project objective is set as “Knowledge and capacities of communities in pilot Hydrological Units in Andhra Pradesh, India are strengthened to respond to climate change impacts” in the Project Result Framework4, it is mandatory to understand the field situation before formulating strategies and field actions. The Project Result Framework also has clearly spelt out 3 major Outcomes with defined outputs having the core strategy as community awareness creation and institution building addressing the concerns of climate change variation resulting in sustainable land and water management practices. The project has been structured into three main components: (i) information tools for decision making and local institutional capacity development; (ii) pilots on adaptation measures integrated into SLWM practices; and (iii) platform for scaling up climate change adaptation measures suitable for drought prone areas. Project outcomes will include: (i) farmers and community based organizations make informed decision on land and water management based on scientific and local knowledge taking into account impacts of climate variability and change; (ii) farmers have acquired skills in managing climate risks through participation in climate change schools; (iii) adequate adaptation technologies and practices piloted and best practices identified; (iv) package of best adaptation tools and practices documented and disseminated to support scaling-up5 . In this context, the project has envisaged to assess the strengths and weaknesses of the existing community based institutions and organizations in the project locations from a micro perspective as well as to gather information from a macro (state) perspective. The strategy document on ‘Community Based Institutions in Andhra Pradesh and their role in SLWM’ prepared based on this assessment will serve as a working document for the entire project from the overall institutional frame that would be facilitated as part of the pilot interventions centered around the Hydrological Units.

1.2 Objectives

The proposed situational analysis for the preparation of the Technical Note has three main objectives: 1. To map/ list out the various institutions/ organizations and stakeholders working in the land and

water management sector in Andhra Pradesh 2. To assess their strengths and weaknesses from a macro and micro perspective (Macro is

intended for State of AP and Micro is intended for any institutions working in the defined project area)

3. To propose strategies to be adopted through customization, adoption and formation of appropriate community based platforms for sustainable land and water management in the 9 Hydrological Units under SPACC.

The technical document prepared based on this assessment is intended to develop and initiate the implementation of policies and institutional strengthening programmes that will lead to improved management of land and water in the project areas.

4 SPACC Project Result Framework shared by PMO 5 A Brief Note on: Strategic Pilot on Adaptation to Climate Change (SPACC) Project shared by PMO

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Section 2: Community Based Institutions in Andhra Pradesh

2.1 Introduction Andhra Pradesh is the largest maritime State in India having three regions – Coastal Andhra, Rayalaseema and Telangana. The inland areas are characterized by poor natural resources and it has added to the woes of these areas with high levels of poverty. Some of the factors that have contributed to this situation are poor soil condition, erratic rain fall, limited infrastructure and irrigation, etc. Landholding distribution varies between villages, and there is widespread incidence of inequality in land distribution. Most cultivators are either small or marginal farmers and since a holding of at least two hectares is required for a household to derive subsistence level income, most of them are at risk6. The early nineties have seen the growth of people’s movement with the decentralized governance mechanism. The Panchayati Raj Institutions (PRIs) became the power centers through the 73rd Constitutional Amendment. The functions of the Panchayats have been suggested in the eleventh schedule of the constitution, which includes agriculture, soil conservation, watershed development, social forestry and farm forestry, fuel and fodder and maintenance of community assets. Thus there is the legal framework available to the Panchayats to work on natural resource management such as watersheds. To strengthen the decentralization process, the Government Order (GO) on functional committees had given power to the community based organizations promoted at the village level for active involvement in Panchayat activities and in legalizing the existing community based institutions. Andhra Pradesh has been pioneering in the self help concept through Community-based self help institutions known as Self- Help Groups (SHGs). The movement started from an economic perspective of thrift and credit and it became the implementing machinery for a variety of development activities, which include management of natural resources, employment generation, and human resource development. Since they were initiated as thrift and credit groups, the SHGs were considered as a powerful tool for addressing poverty. SHGs act as appropriate people's institutions that provide the poor with the space and support necessary to take effective steps towards greater control of their lives in private and in society. These community based groups are not static institutions but grow on the resources and management skills of its members and their increasing confidence to get involved in issues and programmes that require their involvement in the public and private spheres7. The NGOs have played a vital role in the formation and strengthening of SHGs at the grassroots. The path was followed by the Government. Most government programmes emphasized the adoption of participatory approaches envisaging participation of village communities through these institutions. In some instances, SHGs have emerged without direct assistance from government or non-government organizations and have taken responsibility of the overall development in the area. It has assumed different growth patterns and SHG is the main Community Based Institution at the grassroot level. They

6 Thomas Kurien., Andhra Pradesh Community Self Help Model. Centre for Good Governance 7 Thomas Kurien., Andhra Pradesh Community Self Help Model. Centre for Good Governance


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have contributed in women empowerment process since majority of the SHGs were purely promoted by women membership.

2.2 What are Community Based Institutions? There are different definitions of community based institutions and organizations varying with the context. In the current context, they are defined as those institutions or organizations whose operations are geographically confined to a village or a contiguous group of villages. The local institutions could be classified using various parameters – the degree to which the institutions are formal or informal, the degree to which their operations are limited to a specific sector as opposed to a general purpose, or their hierarchical nature (IFAD 2003)8. Community Based Institutions could be defined as an organized structure constituted by a group of people to achieve a defined goal or objective within the community9. This could be formal or informal and it functions as the smallest democratic unit. These institutions in some instances are federated at different levels and have become mature enough to manage on their own with adequate resources. The grassroot level groups are the agents of social change and catalysts for the entire empowerment and development process in a community. It is proved that the most sustainable groups in a society are the grassroot level community organizations which believe in empowerment, decentralization, and participation. These are owned and managed by members. They are formal, legal entity or informal organizations maintaining separate books of accounts, systems and ways of working. They have group identity- membership.

2.3 Typology of Community Based Institutions and the role played by them in Sustainable Development in Andhra Pradesh In the present context of the study, the community based institutions are recognized as the local community based organizations. Local CBOs can take different forms and structures, and be concerned with different interests of all or only part of the members of a community. Typical examples of CBOs in India are women SHGs, farmer groups, user groups around a resource or service, faith-based organizations, welfare organizations, etc. The community based organizations try to involve all the people in various exercises. Most of the CBOs have adopted a women-centric empowerment approach except in very few instances where men are also involved in the groups (especially, in the case of Forest Department or Watershed development programmes where land has a major stake). The Government and NGOs have contributed to the mobilization and organization of the poor and have adopted an empowerment approach to address various issues concerning poverty. However, in most of the cases, these community institutions promoted as part of various projects and schemes undergo premature death immediately after the closure of the project, unless they are nurtured properly with right kind of inputs and capacity building.

8 Bruderie, A., Chakravarti, D., V & A Programme (2009). Vulnerability and Adaptation experiences from Rajasthan and Andhra Pradesh: Community Based Institutions., SDC V &A Programme, India 9 Thomas Kurien, Andhra Pradesh Community Self Help Model. Centre for Good Governance


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Self Help Groups are considered as the basic unit of people’s participation. One of the key features of CBOs in Andhra Pradesh is that it has promoted ownership and large scale women participation in the development programmes in deciding the focus, target, priorities of the programmes and choosing the actual beneficiaries. This has provided a platform for collective action. Many SHG women have become active members of political processes. They have become elected representatives in the democratic process. These groups are providing space and support for the poor to improve their social status, both in the family as well as in the society. The CBOs are not static institutions but grow on the resources and management skills of its members and their increasing confidence to get involved in issues and programmes that require their involvement in the public and private spheres. Some of the groups formed under various schemes include but not limited to:

a. CBOs organized for income generation/ employment generation activities:

Even though the groups promoted under various schemes listed below do not strictly belong to the category of community based institutions, they have been assessed from the institutional perspective since they are the pillars of implementation irrespective of the facilitating agencies (either Government or Non- Government) or of their objectives. All the schemes mentioned below have promoted CBOs through group approach with emphasis on skill development and upgradation, self-employment generation, micro-enterprise promotion and livelihood enhancement with the core objective of addressing poverty. The target community is formed into small groups and from among them activity groups are identified and strengthened keeping economic empowerment as the key agenda. Some of the schemes are listed below:

• Swarnajayanti Gram Swarozgar Yojana (SGSY) – The GoI launched the SGSY Programme in 1999 with a holistic approach of covering all aspects of self employment such as organisation of the poor into self help groups, training, credit, technology, infrastructure and marketing. The Development of Women and Children in Rural Areas (DWCRA) has also been part of the SGSY and has been characterized by the formation of women SHGs and the State Governments are consciously making an effort to assist these SHGs by providing Revolving Funds/Matching Grants under various programmes. Under this programme, the focus is not an individual or household, but a group of women. Groups usually consist of 10-20 women. It gives importance not only on economic activities, but also on social issues such as family welfare, child care and literacy.

Key achievements10:

o The scheme has mobilized rural women with emphasis on economic upliftment o A separate administrative set up has been promoted under the programme in order to

facilitate proper implementation

10 Update on redesigning the Swarnajayanti Gram Swarozgar Yojana., MoRD (SGSY Division)


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o People’s institutions have been formed and strengthened to ensure people’s participation and improved access to various services

o Thrift, multiple lending, participatory process of identification and pursuit of economic activities have succeeded to some extent

o Emergence of a well federated organizational base, the SHG network has been observed to acquire dynamism and versatility in activity base

o Funds were disbursed to the beneficiaries through the Village level organization who in turn received it from the Mandal Samakhya and the Zila Samakhya.

Assessment:

o Fund disbursal through the people’s institutions has helped in institutionalizing the process and evolving group responsibility and building peer pressure for repayment

o Due to the dedicated administrative mechanism, the people’s institutions are able to liaison easily and access various services without much delay

o Availability of a Resource Pool of Master Trainers has helped in promotion of skills among the SHG members and also in the diversification of entrepreneurial activities.

o In many cases these SHG networks are registered as per the State legislations. However, the degree of their efficient functioning varies from group to group. It is governed by the leadership skills, active functioning of the groups, awareness among the members about the bye-laws of the groups, etc.

o These groups have established linkages with Government departments and PRIs for accessing various benefits

o Some of the grassroot leaders who have grown through these groups have been elected as members of the PRIs

o Although the programme emphasis is on group approach, the swarozgaris under SGSY are either individuals or groups

o The continuation of the activities undertaken by the swarozgaris has a wide range of success depending upon internal as well as external factors. It is based on the skill sets, managerial capacity, team work, resource availability and market facility. Unless and until the activities are graduated above the subsistence level income, then only it could be rated as a successful case impacting on economic empowerment. This aspect requires further exploration and analysis.

• Swarna Jayanthi Shahari Rojgar Yojana (SJSRY) – The GoI has taken up a large number of

programmes in the urban and rural sector and launched SJSRY in 1997 to cover the urban poor. Its main focus was on economic empowerment. The SJSRY was introduced as a replacement and improvement over the programmes like the NRY, UBSP and PMIUPEP etc. It has mainly three components: Urban Self Employment Programme (USEP), Urban Wage Employment Programme (UWEP) and Community Development by participatory management.


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Key achievements11: o A separate administrative set up was established in each Municipality/ Corporation

to address urban poverty (Urban Poverty Eradication Cell). o An elaborate community structure was formed from slum level to the town level.

The town level apex society was known as the Community Development Society (CDS) which is a formal association of Neighbourhood Committees (NHCs). At the slum level, the Neighbourhood Groups (NHGs) were formed with BPL family representation. This was purely urban poor women organization

o The CDS has mobilized large number of women into the Thrift & Credit programme and it has provided an opportunity for the urban poor women to interface with officials of the Government and Municipalities. They have received revolving fund from the government and the money has been lent to members for various purposes. This program was designed with the concept of “self-help” where women are self-reliant without being dependent on the moneylenders for personal and productive loans.

o The Development of Women and Children in urban Areas (DWCUA) groups promoted under the SJSRY has emphasized on the economic empowerment of the urban poor women. It has promoted many group micro enterprises

Assessment:

o Large number of urban poor women were mobilized under the three-tier institutional structure – NHG – NHC –CDS model

o This programme has inculcated regular savings habit among the urban poor women which has been used mainly for consumption purposes

o These institutional platforms have encouraged SHG-Bank linkage programmes and many studies have highlighted that the repayments are regular

o One of the key issues is the sustainability of most of the group enterprises; due to lack of proper mentoring and limited managerial skills, the group enterprises have not survived for long compared to the individually managed ones

o Most of the groups have established excellent linkage with various departments, ULBs, financial institutions, etc.

• Chief Minister’s Empowerment of Youth (CMEY): The objective of the movement is to empower youth to participate effectively in the development of rural youth, by providing opportunities for employment and creating a sense of accomplishment in them. The entire movement is based on the principles of diligence, self-help, cooperation and a sense of patriotism. This programme aimed at generating self-employment for the youth who were expected, in turn, to secure sustainable livelihoods and acquire some noble human values. The programme was designed to be a group activity by a team of five young men or women

11 Centre for Good Governance,(2009) Social and Environmental Assessment Report: Andhra Pradesh Municipal Development Project


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in the village. The programme resources consisted of grants as well as subsidies. This programme was vigorously promoted by the GoAP. Key achievements:

• A very good initiative targeting youth empowerment through promotion of self-employment programmes

• In many cases it succeeded because the enterprise chosen was their traditional activity and they had the necessary expertise

Assessment:

• Overall, an excellent programme to empower youth through group approach and sustainable income earning opportunities

• In some cases, the beneficiaries who had chipped in their resources (own as well as borrowed at high rates of interest) incurred financial losses.

• The programme was used as an instrument of political patronage and many groups were formed just to swindle the programme resources.

• The rate of recovery of the loans given under the programme was extremely low in most of the cases.

• Some of the reasons for the failure of the programme were selection of inappropriate enterprises by the youth groups, sanctioning of loans without proper screening, lack of internal cohesion among the group members, inadequate preparation and training of the beneficiaries, inadequacy of funds for working capital and purchase of equipment, non-availability of necessary infrastructural facilities and support services and lack of assured market and quality control of the products

• Mahatma Gandhi National Rural Employment Guarantee Act (MGNREGA): The Government of India notified the National Rural Employment Guarantee Act, (NREGA) in September 2005 with the objective to enhance livelihood security in rural areas by providing at least 100 days of guaranteed wage employment in a financial year to every household whose adult members volunteer to do unskilled manual work. The coverage was in a phased manner, from 200 districts in the first phase to the entire country in the third phase within a span of two years. The act had envisaged a systematic and scientific management systems and practices that could build the rural economy through inclusive growth ranging from basic wage security and recharging rural economy to a transformative empowerment process of democracy.

Key achievements:

o Assurance of 100 days of work for the unskilled rural poor o More systematic payment mechanisms (Financial inclusion as a principle) o Identity cards to the wage labourers ( job cards)


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o Decentralized administrative mechanism o The porgramme has emphasized on undertaking many public works on

construction, rejuvenation and maintenance o Social audit as a monitoring mechanism

Assessment: Though all the above are listed as key achievements, there were lot of reports on misappropriation and mismanagement of funds. Those who were not eligible also got the benefits, political interference, corruption, etc. were mystifying the progress of the programme. Still it is a beginning and social audit process to be strengthened for the improvement of the programme

• Indira Kranthi Patham (Mandal Samakhyas): IKP was announced by the State Government in 2005 by merging SGSY and Velugu programmes. The objective of the programme is to enable the rural poor to improve their livelihood opportunities and quality of life through grassroot organizations such as SHGs and their federations, Village Organizations (VOs) and Mandal Samakyas (MS). Key Achievements12:

• Has mobilized very large number of women across the state into four-tier institutional structure, comprising of SHGs, VOs of SHGs in a revenue village, MSs’ of all VOs in a Mandal and Zilla Samakyas of all MSs at District level.

• One of the key achievements of this programme was that there was considerable amount of financial support from Banks as loans to the groups ranging from Rs. 50,000 to 5 lakh per SHG. The groups have mobilized savings and have received revolving community investment fund.

• Routing government schemes through the PIs has led to transparency and better targeting.

• In most of the cases, the women have acquired productive assets, e.g. livestock, land, bore wells, petty shops, etc.

• Some of the social issues such as prevention of child marriage, child labour, etc. were also addressed through these groups

• Increased participation in statutory Panchayats noted.

• A large number of women have been enabled to transcend traditional identities to become community leaders and deal with banks and government departments.

• More women now know about government schemes and many have acquired useful technical and social skills.

IKP is a milestone—by itself and in comparison to other targeted programmes.

12 Joshy D., et al., Review and Assessment of the APMAS supported IKP Clusters, 2010


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Assessment13: The programme has helped in asset creation and also has facilitated the grassroot level leadership building process. It also has provided a platform for accessing financial resources. However, it needs further analysis to understand the extent to which this has led to economic empowerment impacting on poverty reduction. Another aspect is that these types of affinity groups are expected to bring in changes on self-belief, identity and power relations by engaging them at different levels. Since the programme had focused on delivery and undifferentiated outreach, IKP risks losing an opportunity to trigger such transformation. The participation and leadership is clearly skewed towards the better off, educated, and articulate women leading to a situation of further oppression of the poorest among the poor. This is also explicit in material benefits and training inputs. The institutions promoted were more concentrated in implementing various schemes, rather than trying to develop their own agenda with priority which is a self-bonding process. Systems, processes and norms have an outward ‘orientation’— records, compliance and reporting rather than group dynamics, member participation and nurturing affinity, solidarity and cohesion. The main mandate of these groups was focused on ’access to schemes’ narrowing their prospects as mere beneficiary organizations. In many occasions, these groups were keeping away from the statutory Gram Sabha activities for fear of politicization and corruption. Another major observation is that IKP has little focus on livelihood promotion. Though members do use loans to buy assets, build enterprises and finance economic operations, IKP in most cases does not add value to their efforts except in the modest scheme to develop assigned lands. Convergence with MNREGS is a major opportunity to expand nature based livelihoods.

b. CBOs organized for Natural Resource Management:

The following CBIs have been contextually facilitated either directly by Government or through NGOs to ensure community participation in natural resource management. Most of them are promoted in water and watershed development programmes. (They are dealt in detail in Section 3 of this Document).

o Water Users’ Associations (WUA) o Watershed Development Committees (WDC) o Vana Samrakshana Samithis (VSS) o Pasture Management Committees (PMC) o Smart Farmers’ Clubs/ Farmer Cooperatives o Eco Clubs o Tank management Committees o Common Interest Groups (CIGs) o Groundwater Monitoring Committees (GMCs) o Hydrological Unit Networks (HUNs)

13 Ibid


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c. CBOs organized for Human Resource Development: This is another area of people’s participation wherein human capacity is built for managing or strengthening various services.

• Mothers’ Committees: As part of the community mobilisation exercise, Mothers' Associations have been formed in villages with mothers of children enrolled in anganwadis/ Early Childhood Care and Education (ECCE) Centres as members. These associations actively participate in the developmental activities of the centres. They conduct periodic meetings to discuss the activities of ECCE Centers and take necessary steps for girls’ enrolment and retention in primary school, immunization of children, supplementary nutrition to children and pregnant women, socialization processes of children, etc.

Key Achievements: These committees are active in ensuring quality services through the anganwadi centres. They act as the primary contact point for the villagers for health needs of children and women. Many awareness programmes on health and hygiene are conducted through these centres for the mothers’ committees. The mother’s committees meet once in a month regularly and review the functioning of the centre as well as track the progress of their own children.

Assessment: The mother’s committees are a boon to the village for improving health and nutrition requirement of the children below 3 years and pregnant and lactating women. But the active involvement of the mothers depends upon the facilitation role played by the anganwadi teacher. Wherever, the teachers were proactive, the committees were also functioning well. In the remote areas, the committees are not functioning due to lack of time for the mothers to come to the centre regularly (they go for work and come back late. For them, these centres are considered as a safe place for their little ones.

• School Education Committees/ Village Education Committees: These are formed with a view to facilitating and ensuring participation and involvement of local community in the educational process at village level. The role of Village Education Committees has been predominantly in areas related to accessibility and participation of children, particularly girls, ensuring infrastructure / basic facilities such as drinking water, sanitation, etc. in the schools. Key Achievements:

o Infrastructure facility has been improved (sanitation and drinking water in schools) o The teachers have become more accountable wherever the committees are active o The villagers participate in a representative manner in the school governance process o They monitor the quality of teaching as well as the facilities available In the school

Assessment:


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o Sense of ownership of schools has been inculcated among the villagers o This has given an opportunity for the public to be part of the quality education process o The committee members in many cases are taking it as a social responsibility o The overall ambience in the schools are slowly changing o But there are also instances of politicization of the committees and malpractices by a

few leaders

• Parent – Teacher Associations (PTAs): These are mainly intended to ensure quality education in schools. Key Achievements: This helps in building rapport between eh teachers and the parents of children to ensure quality education in an enabling environment.

Assessment: In many remote areas, these are not functioning because of lack of interest among parents (mainly they are illiterate and don’t have time to attend to their children). These are more effective in private schools compared to the Government schools.

• Youth Clubs: These are formed under Nehru Yuvak Kendra (NYK) programmes to promote youth leadership and also orient them to have a positive outlook towards life and society. Key Achievements:

o Large number of youth have been mobilized under this programme o They have an opportunity to interact with each other, learn from each other as well as

understand the problems from an analytical perspective o The youth have been oriented about various job opportunities and they were give

appropriate guidance through couselling programmes o These groups are also participating actively in the village development programmes

Assessment:

o It has been a very good opportunity for the rural youth to build their prospects in life o One of the main drawback of the programme is that all are not getting the opportunity

since the number of awareness programmes conducted are limited and there is no proper follow up processes

• Resident Welfare Associations: This is another form of community participation wherein people living together geographically try to ensure various basic amenities and enjoy the facilities through collective action.

Key Achievements: The RWAs are playing a key role in achieving quality services and many are taking up lot of welfare activities for the community where they live. They are playing a key role in the socilalisation process of all age groups. In many places, the RWAs are undertaking even


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construction activities as part of community contracting mechanisms and also work on sanitation issues ( waste management)

Assessment: They have helped in enhancing the negotiating power of the people to access various services with quality and on time. The RWAs are an excellent platform for sensitizing the people on various social and developmental issues.

• Cultural clubs: these are trying to ensure civic involvement in cultural preservation, promotion and protection. Key Achievements: they promote cultural unity among the community; they try to protect the dying art forms; used a medium to reach the masses on various social issues

Assessment: Excellent platform to preserve the endangered forms of arts and values; excellent medium of communication to sensitise the rural poor on various issues and impacts; these clubs can be promoted to address many climate change issues

Most of the above mentioned people’s institutions function informally except in very few cases which are registered and have a legal status. These types of institutions are promoted to ensure quality of the respective programmes or to build social commitment and responsibility. There are innumerable groups promoted under different nomenclature to promote civil society participation. They take up exclusive programmes as well as multipurpose programmes. They also participate in many village development programmes which are directly or indirectly affecting their lives. Since climate change issues are of a concern to the entire village, it is appropriate to involve all the formal or informal PIs to be part of the process so that widespread awareness creation will happen leading to cumulative impact on the programme.

Section 3 Community Based Institutions in Andhra Pradesh and SLWM

3.1 What is Sustainable Land and Water Management? Land and water are interrelated in their occurrence. Water is a natural resource whose presence and distribution are defined by the Hydrological boundaries. In principle, it is a common property resource but in application, the decision about its usage is controlled by the individual in whose land it is located. This leads to overexploitation and inefficient management of land and water resources. In this context, it is essential to propagate the concept of sustainable land and water management practices through community based interventions.

3.1.1. Sustainable Land Management

Sustainable land management means managing land without damaging ecological processes or reducing biological diversity. It requires the maintenance of the following key components of the environment:


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• Biodiversity: the variety of species, populations, habitats and ecosystems • Ecological integrity: the general health and resilience of natural life-support systems, including

their ability to assimilate wastes and withstand stresses such as climate change and ozone depletion

• Natural capital: the stock of productive soil, fresh water, forests, clean air, ocean, and other renewable resources that underpin the survival, health and prosperity of human communities

3.1.2 Sustainable Water Management

The purpose of Sustainable Water Management (SWM) is simply to manage our water resources while taking into account the needs of present and future users. However, SWM involves much more than its name implies. It involves a whole new way of looking at how we use our precious water resources. The International Hydrological Programme, a UNESCO initiative, noted:

"It is recognized that water problems cannot be solved by quick technical solutions, solutions to water problems require the consideration of cultural, educational, communication and scientific aspects. Given the increasing political recognition of the importance of water, it is in the area of sustainable freshwater management that a major contribution to avoid/solve water-related problems, including future conflicts, can be found."

Therefore, SWM attempts to deal with water in a holistic fashion, taking into account the various sectors affecting water use, including political, economic, social, technological and environmental considerations. The current understanding of SWM is based primarily upon the principles devised in Dublin during the International Conference on Water and the Environment (ICWE) in 199214, namely:

• Freshwater is a finite and valuable resource that is essential to sustain life, the environment and development.

• The development and management of our water resources should be based on a participatory approach, involving users, planners and policy makers at all levels.

• Women play a central role in the provision, management and safeguarding of water resources.

• Water has an economic value and should therefore be seen as an economic good. These principles reflect the importance of water in our daily lives and the need for proper communication, gender equity, and economic and policy incentives to manage the resource properly.

14 ICWE (International Conference on Water and the Environment). 1992. The Dublin statement and report. In International Conference on Water and the Environment: Development Issues for the 21st century, Dublin


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3.2. CBIs and their Roles in SLWM Andhra Pradesh has been proactive in making policy frameworks for effective land and water management. The Andhra Pradesh State Water Policy, 2009 has been drafted in alignment with the National Water Policy, 1987(amended in 2002). The policy contains six sections spelling out the need, objectives, strategies, approaches and implementation arrangements for water resources management in the state. The state has provided space for building the capacity of the different stakeholders by establishing the Water and Land Management Training and Research Institute (WALAMTARI) in 1982 under the WRM&T Project of the World Bank to provide quality Capacity Building Services to various wings of the I&CAD Department like the Commissioner CADA, Engineering in Chief I&CAD, Andhra Pradesh State Irrigation Development Corporation, Ground Water Development. WALAMTARI also provides Capacity Building support to Externally Aided Projects (EAP) like APILIP, APCBTMP, and APWSIP etc. Capacity Building services are provided to both the government staff irrigation engineers, technical staff and ministerial staff as well as the Farmers Organizations-WUAs, DCs, PCs. Adequate importance has been given to the formation and strengthening of CBOs under various policies and programmes. Accordingly, efforts have been made to form Water User Associations, Watershed Development Committees, etc. at the grassroot level that are expected to ensure participation of the primary and secondary stakeholders in managing land and water resources efficiently. Community-based resource management institutions (water, forests, rangelands, etc.) strive for more participatory and locally responsive planning, and aim to be inclusive of voices of poor and more marginal groups. Different groups have been formed as part of various NRM interventions supported by National and International agencies and Government. Some of the groups that have been studied from the Institutional perspective include:

1. Water User Associations (WUA)15: To ensure better water management practices, WUAs have been formed under the Irrigation Department. According to G.O. No. 101 of I & CAD (Irrigation and Command Area development) Department dated 19.7.1995, irrigation system upto a minor or group of minors covering a command area of 750 ha or more (a hydraulic unit) will be placed under the management of a Water Users' Association and the Water Users' Association will be autonomous bodies which will function on democratic lines. The change in management of irrigation systems through Farmers' Organizations resulted in the formation of Water Users’ Associations (WUA) at the primary level, Distributory Committees (DCs) at the distribution level and Project Committees (PCs) at the project level. All minor irrigation schemes have only one tier, i.e., the Water Users’ Association (WUA), while the medium irrigation schemes have a two tier structure (WUAs and the PC) and the major irrigation projects have a three tier structure (WUAs, DCs and the PC). WUA helps in ensuring active participation of farmers in irrigation management. Some of the salient features of this are:

• Transfer of power to manage community assets

• Creation of new autonomous institutions as formal/informal entities 15 Thomas Kurien., Andhra Pradesh Community Self Help Model


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• Areas defined on a hydraulic basis

• Provision for social audit and financial audits

• Facilitate fixation and collection of operation and maintenance charges from water users

The WUAs are formed in different contexts. The above referred ones are from the farmer’s perspective. There are WUAs promoted under drinking water project, especially under Rural Water Supply and Sanitation programmes. They are mainly intended to ensure people’s participation in implementation and management of infrastructure created under the programmes. They are also responsible for awareness creation and collection of operation and maintenance (O & M) costs. The various models created differ in structure and functions depending upon the focus of the programme.

2. Watershed Associations and Watershed Development Committees (WDC): This has been constituted under Watershed development programmes to ensure people’s participation. The members of the community, who are directly or indirectly dependent on the watershed areas are organized into groups as Watershed Associations which in turn are networked as WDCs through representation. These groups are responsible for the preparation of watershed development plan, implementation, monitoring, etc.

3. “Sasyamithra Sanghas” - Self Help Groups (SHGs) under Community Managed Sustainable

Agriculture (CMSA) Programme of GoAP: Andhra Pradesh Rural Poverty Reduction Project (APRPRP) implemented by Society for Elimination of Rural Poverty (SERP) initiated Community Managed Sustainable Agriculture (CMSA) programme in 2005 to work on agriculture based livelihoods, supporting women SHGs to adopt sustainable agriculture practices to reduce the costs of cultivation and increase net incomes of small and marginal farmers. Further, this initiative aimed to address the major causes of agriculture distress, which includes extensive use of chemical inputs, displaced local knowledge, unsustainable agricultural practices like monocropping, imperfect markets, etc. The investment made under CMSA was on supporting community managed extension system than on material inputs. Farmer Field Schools were organized for promoting transfer of technology. The farmer families were grouped into “Sasyamithra Sanghas” and they were assisted by paid village and cluster activists. The uniqueness of this approach is that farmers occupy center stage and the program is getting huge stimulus from farmer’s innovations. Farmers are experimenting with various technologies and are coming up with different and more effective solutions. This kind of approach where innovations are encouraged will also help in adaptation and mitigation of climate change.

4. Common Interest Groups (CIGs): CIGs are formed by Gram Panchayaths under watershed development programmes. The members of the CIGs are from amongst landless/ assetless poor, agricultural labourers, women, shepherds, SC/ST members, etc. These homogeneous groups have common identity and interest that are dependent on the watershed area for their livelihood. They are responsible for the operation and maintenance of all the assets created under the project through which they derive direct or indirect individual benefits.


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5. Pasture Management Committees: These were formed under the pilot programme on V &A

implemented in the semi-arid regions in India. These institutions were established in order to ensure sustainable management of common land.

6. Smart Farmers Clubs: These were also formed as part of the V & A Pilot project as platforms for

knowledge exchange and to facilitate the adoption of new farming practices.

7. Tank Management Committees: In many semi-arid regions in South India, tanks are an important traditional system of rainwater harvesting and storing it for multiple purposes. Tanks used to sustain various livelihood activities like agriculture, livestock, fisheries, etc. Traditionally, community based institutions took an active role in the management of tanks, but off-late, most of the tanks became defunct due to lack of proper maintenance. But the depletion in the groundwater levels prompted the Government to focus on the rejuvenation of the tanks through community participation. The Andhra Pradesh Farmer Management of Irrigation Systems Act (APFMIS), 1997 has a frame for the formation of Water User Associations (WUAs) to manage village tanks of a command area of more than 100 acres. WUAs can access government funds for the renovation of upto two tanks per village, and increasing the capacity of upto four tanks.

8. Groundwater Monitoring Committees (GMC) & Hydrological Unit Networks (HUNs): These were people’s institutions created under APFAMGS Project. The main purpose of these institutions were groundwater management through proper monitoring, strengthen the farming community by motivating them to participate in Farmer Water Schools and conduct crop water budgetting that would help the farmers to take appropriate decision regarding crops and cropping pattern.

9. Vana Samrakshana Samithis (VSS) : These are constituted for the protection and development of degraded forests through Joint Forest Management (JFM) or Community Forest Management (CFM). The major focus is to secure the participation of the local people who depend on the forests, for the purpose of protection and development of forests. Under JFM, the village community gets a greater access to a number of Non-Timber Forest Products (NTFPs) and a share in timber revenue in return for increased responsibility for its protection from fire, grazing and illicit harvesting. The benefit sharing rules vary from State to State. In Andhra Pradesh, every household living in the hamlets/villages/cluster of villages, particularly those depending on forest for the daily needs, would have the option of becoming a member of the Samithi. However, all Scheduled Caste/Scheduled Tribe members of the hamlets/villages/cluster of villages would become members of Samithi automatically. The Members of VSS, individually and collectively shall be responsible for:

• Ensuring protection of forest against encroachment, grazing, fires and thefts of forest produce


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• Carrying out development of forests in accordance with the approved Joint Forest Management Plan

• Creating awareness among other villagers on the importance of forests.

Members of VSS shall have the power to apprehend forest offenders and hand over them to the authorities concerned to take action under the provisions of the relevant Forest Acts and Rules. The members are entitled to 25% of the "Compounding fees" collected from such offenders where the offence was committed outside their JFM area as an incentive for the good work done by VSS. Degraded forest areas are brought under JFM and land development is done by taking regeneration works, including soil and moisture conservation and gap planting. Along with trees for fuel, fodder and timber, the village communities are permitted to plant such fruit trees as would fit with the overall scheme of afforestation, such as Amla, Imli, Mohua, as well as shrubs, fodder legumes and grasses which would meet local needs, help soil and water conservation and enrich the degraded soil/land. Even local medicinal plants may be grown according to the requirements and preference of beneficiaries.

The various institutions established under various projects and schemes have been vibrant during the project period and some of them have graduated to the level of leading the SLWM movement so that they could cope up with the challenges in land and water management.

3.3 Overall assessment of CBIs facilitated under NRM To maintain a balance between the Demand and Supply, the Peoples’ Participatory Organizations are encouraged. In Andhra Pradesh, a large extent of the natural resources are managed by the Associations (though ownership lies with State) and are shared equitably among the users, to derive optimum benefits. Thus the asset is maintained well, maximum returns are assured and all sections of the society enjoy the benefit according to their need (Workshop Proceedings, 2002). Social tensions are minimized and the government is getting the revenue without any default, while people enjoy the fruits of cooperation16. It is appropriate to have a basic analysis of the various institutions promoted under different programmes in the context of NRM. In order to compile the accomplishments and functioning status of these institutional platforms, a number of documents have been reviewed. The category of documents reviewed is summarized as follows and a detailed list is provided in the Bibliography Section:

• SPACC Project Documents

• GoAP – Policies and programme/ project documents related to land and water management

• Evaluation and Review reports of different programmes implemented by NGOs as well as Government funded by GoI, GoAP and other donor agencies

• Journals and Publications

• Workshop Repots 16 Ramalakshmi C.S., Forest Management for Poverty Alleviation.


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• Tools and assessment frameworks developed by National and International agencies The overall assessment of various institutional platforms could be summarized as follows:

• Mobilized women, farmers, youth and other typological beneficiaries • Separate administrative set up has been promoted • Decentralised fund disbursal in some instances • Improved access to services • Participatory governance through representative democracy • Informal functioning • Focussed on achieving target rather than processes • Emphasis is on scalability compromising on quality (survival of the fittest) • Lack of adequate mentoring and follow up - ownership and sustainability at stake


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The following analytical matrix has tried to summarize the key achievements of the various institutional models and the possible inferences that could be drawn from a practical perspective.


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Most of the institutional models have given thrust to enhance community participation in managing natural resources. Some of these institutions were given legal status and others have been functioning informally. Also, they have tried to be gender sensitive in composition, but most of the assessment studies indicate that still the decision-making power in various committees were vested with men. Since most of these institutions were promoted under different schemes, some of them continued their efforts as CBOs with limited resource availability, but in majority of the cases, they also died off with the closure of the project. These points to the issue of ownership and sustainability of the efforts. From the basic learning gained through the review and assessment of the different institutional models, certain basic principles and operational models have been proposed under the SPACC Project. It is dealt in detail in Section 4.


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Section 4: Way forward from a strategic perspective This section will give concrete strategic as well as operational suggestions for implementing the institutional strengthening programmes to be adopted under the pilot project. Since the project is for three years, this technical document will give phased out (short term as well as long term) implementation strategies for ensuring SLWM through appropriate CBI promotion in alignment with the overall Project Result Framework. This pilot project has an advantage of being the successor of the successfully implemented Andhra Pradesh Farmer Managed Groundwater Systems Project (APFAMGS). The APFAMGS had facilitated the formation and sustenance of community based structures with clear focus on Groundwater monitoring. The institutions created under this project – Groundwater Monitoring Committees – were the data generators on groundwater levels, discharge, quality of groundwater, rainfall and crop water budgeting. The present project SPACC also aims at monitoring of all these areas in the same locations with focus on climate change adaptation. Hence there is continuity of actions in the field under different nomenclature.

4.1. Principles: Any institutional platform to be dynamic and sustainable, it has to be grounded on some basic principles. Unless and until these basics are adhered to, there is always scope for failure and disintegration. There are some basic principles arrived at after reviewing the formation and functioning of various community based institutions in different sectors (Refer Section 2 & 3 for more details). People’s active involvement has become the hallmark of any development initiative and it has to be appreciated that the various policies and programmes are providing space for the primary stakeholders to take lead in community-led interventions. Along with participation comes governance principles and the institutional models created ensures the sustenance of cumulative impacts. However, this varies across sectors and programmes and in some cases, the community systems have been a total failure due to lack of or inadequate mentoring processes. Based on the reflections from various models, it is mandated that the systems to be reorganized or created under this project have to be embedded in the following principles:

• Participation (P): All those who reside in the project areas (direct participants) and those in the adjacent areas (indirect participants) have to involve and contribute positively for the success of the project that would lead to increased knowledge and changed practices for conservation and protection of their living environment. The vulnerable communities of farmers (agriculture as well as agri-allied activities), labourers, women, nomadic communities, etc. who are worst affected because of climate change have to be part of the entire project cycle management so that a hybrid approach of combining traditional wisdom with scientific knowledge could be applied that would build their capacity as well as equip them to think differently in addressing climate change issues. Participation in true spirit has to be facilitated under the project.


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• Rationality (R): The rationality could be reflected at two dimensions – one is from the target group perspective and the other is from the activity perspective. The first one emphasizes on the social inclusion by which the diverse group of people such as drought affected as well as vulnerable communities are brought under the project. The second one stipulates that the community has to be convinced about the rationale behind each and every action that are planned and implemented so that the impact will be more. Instead of ‘passive participation’ which builds resilience to various actions, the community has to play a vital and vibrant role understanding the logic of actions that are being planned, executed, monitored and redesigned. These logical decisions should have a base of traditional wisdom coupled with scientific base. In order to ensure rationality within the project, the people in the target area have to be fully involved and take informed decisions so that it would lead to climate change adaptation as well as mitigation.

• Accountability (A): The accountability aspect has to be reflected from two dimensions: accountability to oneself as well as accountability to others. When the feeling of self-accountability is provoked, automatically, it triggers the accountability towards the external environment. This has to be ensured under the project through capacity building programmes and self awareness sessions. It has to be inculcated keeping the traditional base of man and nature relationships.

• Collective Action (C): This is very crucial in addressing climate change issues. The adaptation strategy has to involve a wide range of stakeholders at different levels. The first and foremost category is the affected community who has to be sensitized about the long term detrimental effects of the climate change and the need for community actions in mitigating the same. Also, collective action platform has to be used for influencing policies and practices related to climate change adaptation. Another dimension to this principle is that ‘unity is strength’ – bringing visibility to the vulnerability aspect of climate change to a larger platform which needs further deliberations and research before field actions.

• Transparency (T): The coming together and meeting together of the community facilitates the principle of transparency. This principle has to be adhered to not only from the project context, but from a long term institutional perspective of addressing climate change issues. This would strengthen people’s commitment towards the cause as well as motivate them to be part of a movement that promotes appropriate climate change adaptation strategies.

• Institutionalization (I): This principle is essential for collective action and sustainability of efforts. The processes adopted under the project have to follow this base principle so that it would lead to the establishment of appropriate community governance mechanisms for Sustainable Land and Water Management.


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• Cost Effectiveness (C): This principle is very crucial from resource generation and utilization perspective. The institutions created under the project have to follow this principle so that optimum quality output could be achieved with minimum investment. The periodical meetings of the various structures created under the project have to reflect on the cost-effectiveness of the actions so that corrective actions and controlling measures could be introduced in a timely manner. This is also important from the operation and maintenance of various infrastructure created under the project.

• Autonomy (A): The community based institutions that are formed under the project should have the operational autonomy with guided approach in the beginning. The PNGOs will try to create an enabling environment for these community structures to sprout and grow. This principle is intended to give operational freedom to the structures to evolve their own strategies for coping and addressing climate change and also devise contextual measures with innovation and creativity. It also builds their confidence to work independently even after the project period.

• Longevity (L): This is the principle that looks beyond the project period. The systems and processes created during the project period have to be sustained for ensuring the continuity and ownership of impact. This depends upon the foundation and the structure that are built during the project period. If the above mentioned principles are adhered to, the longevity is not an issue. The community will own and continue the efforts drawing inputs from different sources through the networks established during the project period.

• Scaling-up(S): The scaling-up or replicability is considered as one of the operational principle and key indicator for measuring the impact of any programme or project. It is very much relevant in this case of piloting initiatives to climate change issues. The institutional platform facilitated under the project as well the processes and interventions have to be people-friendly and cost-effective in terms of replication and scaling up. Each project derives certain learnings that could be adopted and propagated in a given situation.

The above PRACTICALS principle is to be made practical for the OWNERSHIP AND SUSTENANCE OF THE IMPACT GENERATED by the project over a period of three years so that appropriate localized adaptation strategies could be evolved. The above referred principles have been linked to the proposed institutional framework (Refer Section. 4.5 of this document)

4.2. Operational Strategies: SLWM practices proposes that local adaptive responses will need to employ integrated and holistic approaches across sectors, and with as much attention to livelihoods, social relations, governance and human capital as to biodiversity conservation. Building adaptive capacity means moving away from prescriptive management towards enabling strategies that help poor women and men to build their


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asset base, thereby enhancing resilience to environmental and economic shocks. These approaches can be supported by local-level adaptation planning and practice that is inclusive, participatory and learning-oriented. Local adaptation approaches can reinforce new strategies for land and water management, but should link to national and regional decision-making, to ensure appropriate information, policy coordination, integrated planning and shared learning for effective adaptive management. Role clarity, accountability and broader access to information will be important to assure that these new community governance institutions can function effectively. This requires linkages with governance mechanisms, scientific resources and socio-economic networks at multiple scales. The grassroot level institutions promoted under the project will be empowered to access information related to climate change adaptation from various sources, design their own coping mechanisms through hybrid approach of blending traditional knowledge and practice with scientific knowledge and practice leading to improved impact in their lives. As discussed in earlier sections, AP has been proactive in promoting and providing space for the CBOs in the development process. One of the uniqueness of this SPACC project is that it ensures continuity of action in the same target area where its predecessor project – APFAMGS – was implemented with emphasis on groundwater monitoring. Climate change cannot be discussed without land and water. The worst sufferers of climate change at the grassroots are the farmers, women, nomadic communities, landless labourers, etc. There is a clear link between the earlier APFAMGS and the present SPACC Project. Considering the contribution of APFAMGS as the foundation, the present project is trying to build on the same by widening its horizon of operation thematically. A number of grassroot level institutions have been formed under APFAMGS such as GMCs and HUNs. They were multistakeholder platforms with clear mandate of monitoring and supporting the programmes at the grassroot level. From various project documents related to APFAMGS, it is evident that the institutions created have been strengthened through a series of capacity building initiatives through Farmer Water School since the main focus was on groundwater management. A well established data management system - Habitation Resource Information System (HRIS) - was developed under APFAMGS to track the groundwater levels systematically. The SPACC project has to adopt an inclusive institutional approach:

1. Reorganization and Strengthening of the institutions promoted under APFAMGS Project: The SPACC project has to further build the capacity of the GMCs and HUNs. The steps to be followed include: a. Conduct a rapid assessment internally of

the GMCs and HUNs formed under the APFAMGS Project. This is intended to assess the strength and weaknesses of the


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functioning of these existing institutions so that categorization could be done – active GMCs & HUNs, average GMCs & HUNs, and defunct GMCs & HUNs.

b. Based on this assessment, reorganization strategy could be designed in the context of SPACC Project. Since the GMCs and HUNs were limiting themselves to groundwater monitoring as well as crop water budgeting, the components of the SPACC Project to be incorporated systematically for discussion and implementation

c. The rapid assessment and categorization is also expected to feed into the Capacity building strategy of SPACC Project from the institutional strengthening perspective as well as thematic perspective.

2. Formation and strengthening of new institutions under SPACC project: The SPACC project will

be forming new groups based on the proposed institutional framework (Refer Sections 4.3 & 4.4 for more details) to include the entire village community since climate change not only affects specific community but the entire population. The intensity of vulnerability may vary from community to community based on occupational/ livelihood patterns.

Gender as a core strategy under SPACC Project: The community governance system must pay special attention to social differentiation and power relations, ensuring the promotion of more inclusive, representative, accountable and transparent decision-making processes on resource use and management. Of particular concern here are gender issues, which play a significant role across all aspects of adaptation and natural resource management. Women are generally the first and most seriously affected by resource degradation and disaster losses: they often have less education or access to information; they are the first to lose their share of scarce household food; they are obliged to travel farther to collect fuel or water and find fodder for livestock; they are less likely to have been taught how to swim to survive flooding; and they bear the burden of nursing family members weakened by water borne diseases. They have fewer livelihood options, and have to take over rural production tasks when their husbands leave to find employment. While they have proven to be capable managers and organizers of resource stewardship, and leaders in disaster risk reduction (Oxfam, 2008), it can be difficult to plan community processes that engage them effectively because they have so little time to spare. Women are on the front lines of climate impacts, and need to be central to adaptation strategies17. The proposed institutional framework has tried to ensure gender parity and focused interventions have proposed gender focused capacity building programmes to the entire CCAGs under the project. Also, it is proposed to have minimum 50 percent representation of women in all the institutional platforms. Also, special emphasis has been laid for ensuring space for single women, widows and women in distress. The project has to mainstream gender not only from women’s perspective but also giving equal importance to men.

17 Tyler,S. & Fajber, L., 2009. Land and Water Resource Management in Asia: Challenges for Climate Adaptation

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37

4.4. Criteria for the composition and their roles: The following matrix has presented a summary version of the proposed institutional framework18:

Name of the Institution

At what level

Who are the members? Purpose/ Role Frequency of

meeting

Mode of selection/ Election

Responsibility

Remarks

Village Assembly

Village/ Habitation

Entire village population • To have an inclusive approach

• To sensitize the entire village on climate change issues

• To capture the traditional knowledge and coping strategies

• To propagate the message of biodiversity conservation

Four times in an year (Quarterly meetings)

No specific criteria for selection - all the villagers are members of this assembly

HUN with support from CCACs & CCAGs

PNGO will provide the necessary technical inputs and guidance

Climate Change Adaptation Group (CCAG)

Village/ Habitation

• 10 to 30 farmers and other stakeholders per group (50 % women)

• Neighbourhood approach - All the farmer families are members of this group (2 per family - one male and one female)

• Farmers affected by drought,

• To have a micro level functioning unit

• To ensure more decentralized democratic process

• To ensure inclusion of all vulnerable communities

• To promote

Once in a week

Based on the baseline information collected by the project, the members are

PNGO

18 Once the Institutional Framework is approved, a detailed operational bye-law to be prepared


38


At what level


meeting


Responsibility

Remarks

groundwater risk, reduction in yield, quality seed availability, and prone to risky farming practices

• Vulnerable women with landholdings to be given representation (single women, widows, women in distress, etc.)

• Third gender representation if present

• Agri-allied activity farmers

• Agricultural labourers/ landless labourers

community governance system

mobilized into small groups of 10 to 30

Climate Change Adaptation Committee (CCAC)

CCAG Level (village/ habitation based)

Seven member Committee - President, Secretary, Treasurer and 4 members with specific responsibilities (50 % women representation) / CCAG 4 Members:

• CCS Volunteer

• Groundwater management & Crop water budgeting volunteer

• Convergence volunteer

• Advocacy-cum-Networking

• To manage the CCAG activities

• To ensure that the activities planned at the project level are implemented properly and on time

• To act as a link between community and the HUN as well as other departments (Agriculture,

Once in a month

By nomination/ selection

CCAC under the guidance of PNGO

The tenure of the Committee is for two years with a maximum of two terms.


39


At what level


meeting


Responsibility

Remarks

volunteer horticulture, insurance companies, seed banks, markets, etc.)

Monitoring-cum- Advisory Group (MAG)

CCAC level Existing GMCs (new members may be added if required)

• To provide technical inputs to CCAC

• To extend handholding support

• To periodically monitor the CCAC activities

• To facilitate networking with other groups of similar nature

Once in a month

Selected members (follow the GMC criteria for selection)

PNGO This group provides need based operational support to the CCAGs/CCAC

Hydrological Unit Network (HUN)

Hydrological boundary level

General Body: this is constituted by the seven members of each CCAC from that respective HUN(if there are 10 CCAGs, there will be 10 CCACs with 7 members each= 70 members) Executive Committee: Seven member Committee - President, Secretary, Treasurer and 4 members with specific responsibilities (50 % women representation)

• To monitor the CCAG/CCAC/GMC level activities

• To lead advocacy efforts relating to climate change

• To facilitate convergent action with PRIs, Resource institutions, Government departments, etc. on issues related to climate change

GB: Once in two months EC: Once in a month/ as per need

GB: Direct membership to all CCAC members EC: Nominated/ elected from GB members

HUN GB under the guidance of PNGO


40

The HUNs promoted under APFAMGS project has to be reorganized to suit the requirement of the SPACC project and included in the mainstreamed institutional frame as shown in the picture in Section 4.3 and narration in Section 4.4.

• The CCAC will have seven members: President, Secretary, Treasurer and 4 members – CCS Volunteer (to coordinate CCS activities); Groundwater management & Crop water budgeting volunteer; Convergence volunteer (to coordinate with various departments, resource institutions, etc.); Advocacy-cum-Networking volunteer (this volunteer will identify areas for advocacy and network; in addition, s/he will be responsible for all other institutions developed under the project such as CIGs, CCCAGs, JCCAS, etc.)

• The same composition will be followed for the Executive Committee members of the HUNs.

• The GMCs formed under APFAMGS project will be converted as Monitoring –cum- Advisory Group (MAG) at the CCAC level

In addition to the above institutional platforms, it is also proposed to have the following platforms to strengthen the reach and impact of the climate change adaptation programmes. These institutions include:

1. Common Interest Groups (CIGs): They may be formed as an off-shoot of the CCAG/ HUN activities depending upon some specific needs. It may be linked with livelihood promotion, water and land development programmes, etc. These groups will be homogeneous and will have a common plan of action that would directly or indirectly contribute to the overall project objectives.

2. Seed Bank Management Groups (SBMGs): This could be linked with the promotion of Organic Agriculture practices so that the natural strains could be preserved. Also the farmers can adopt a hybrid approach by using traditional wisdom linking it with technological innovations.

3. Bio- Product Centres: ‘Bioproduct Centres’ may be established on enterprising mode for a cluster of villages to ensure ready availability of Bio-products likes Biofertilizers, Bioagents, Biopesticides, Botanical pesticides etc. Biovillage concept also creates rural employment.

4. Federated structures for micro credit facilities: This is an area the project can pilot from different perspectives. The CCAGs can have savings of different modes - one is from the financial perspective and the other from the product perspectives such as seeds, bio-products, etc. These CCAGs could be directly linked to the banks for financial support and gradually, they could be federated at the village level to access more resources and funding. The project can set apart some Risk Mitigation Fund (RMF) to each CCAG and this can be operated by the CCAC. A detailed Guideline has to be prepared for managing the RMF. The envisaged CCARC could be the nodal agency for facilitating the microcredit facilities. Policy advocacy for converging resources for micro credit facilities has to be given emphasis under the SPACC Project.

5. Producer Companies/ Co-operatives: Depending upon the field scenario and the type of agricultural products, Farmers’ Cooperatives could be promoted on a pilot basis. These


41

cooperatives have to take a lead role in marketing the products and also be a field based extension system.

6. Children’s Climate Change Adaptation Groups (CCCAG): This is a special group proposed under the SPACC Project. The children of 6 to 15 years of age will be mobilized at the CCAG level and a separate group will be formed. They will be sensitized about various climate change issues through Junior Climate Change Adaptation School (JCCAS) with separate curriculum and multiple awareness building activities. Through this, the children will be taught about alternative agricultural practices and climate change; as well as innovative disaster risk reduction activities such as child parliaments in which children can express their views to decision makers. This will have twin objectives: one is to, sensitize children about the emerging environmental issues and second is to mould an agri-friendly future generation. A separate Plan of Action (PoA) will be designed in consultation with children through participatory visioning exercise and cultural media. These groups will be federated at the Hydrological unit level. The issues identified from the CCCAG meetings will be incorporated in the CCAG level planning.

7. Model CCS with Climate Change Adaptation Resource Centre (CCARC): The CCS could be organized as a virtual platform in the start of the project. However, there are possibilities to convert it into a ‘Grassroot Academy for Climate Change Adaptation’ owned and managed by people. This could grow as a knowledge centre for any grassroot level climate change adaptation strategies. This CCARC will be the data management centre not only from the project perspective but a resource centre on people-friendly climate adaptation techniques. (A separate concept note to be developed on this).

8. HUN based Working Groups: These groups are intended to be the support group for the HUN activities. This will be a convergence platform for various resources (human, financial, and activities). This will have representation of all Department officials (Agriculture, horticulture, fisheries, irrigation, drinking water, social welfare, Insurance companies, banking sector, etc. ), elected representatives, any NGO representatives, CBO representatives and other eminent opinion leaders of the area. This platform will facilitate the process of lobbying with various stakeholders to address climate change issues.

9. Advocacy networks: This is very essential to bring visibility and macro level impact. Those themes/ issues identified from the grassroots have to be consolidated and presented in the appropriate for further deliberation and action. Thematic advocacy networks have to be facilitated in which youth and women participation has to be ensured. These networks will be facilitated by identifying community leaders from the CCAGs and oriented on various advocacy strategies. The project could prepare an advocacy strategy paper that would clearly spell out the modalities of operation. The media has to be involved as active partners in advocacy efforts.

4.5 Application of the Principles to the proposed Institutional Framework The PRACTICALS principles are quite relevant to the various community based institutional structures envisaged under the project. They have to be the guiding and monitoring frame for the entire project implementation.


42

4.6 Focussed Interventions For any community based programmes to be effective and sustainable, the interventions have to be focused and have clear tangible and intangible results. The focused intervention is with the farmers and the vulnerable communities but the overall strategy is to cover the entire population of the target villages/ habitations as direct beneficiaries and the neighbouring villages/ habitations which are not part of the project as indirect beneficiaries. Some of the key interventions are listed below:

1. Rapid Assessment of the GMCs and HUNs 2. Based on the findings twin strategy of reorganization and capacity building programmes to be

designed 3. Organize village assemblies (with the entire population) to sensitize them about the SPACC

Project 4. Completion of the Baseline survey 5. Preparation of the operational guideline for the functioning of the community based

institutional platforms 6. Formation of CCAGs and CCACs based on the Baseline survey


43

7. Restructuring of the GMCs as MAGs and linking them with the respective CCAGs 8. Restructuring of the HUNs to be part of the main institutional framework as proposed in Section

4.3. & 4.4 9. Organize CCS 10. Special training package to be designed for ensuring gender concepts (inclusion of both men and

women) in the project 11. Designing of advocacy strategy lead role played by CCAGs/ CCACs/ MAGs/ HUNs 12. Mobilization of children through CCCAGs and organizing JCCAS 13. Implementing various credibility programmes with farmers and other stakeholders so that

visible examples and learnings could emerge from the project 14. Documenting the traditional knowledge on coping strategies during climate changes linking with

the scientific paraphernalia. One of the challenges in participatory community-based management is how to link local knowledge and perceptions with scientific assessments. These two domains of knowledge are not easily reconciled because of different fundamental assumptions and worldviews. However, promising approaches build on mutual exchange and shared learning. This is one of the key objectives of CCS.

15. The Habitation Resource Information System (HRIS) that has been developed under APFAMGS could be reviewed and customized to suit the present project so that continuity could be established that would help in free flow information, both upward and downward which would

strengthen the community base. Develop and use climate information and data for water resources planning and management.

16. At the end of third year, all the institutional platforms have to be in place with vigour and sense of commitment for climate change adaptation

Innumerable activities would have been scheduled under the project. The above are listed from the perspective of giving priority to the community who are worst affected.

4.7 Pilot Interventions proposed under SPACC The programmes under SPACC have to evolve from the villagers through baselines and discussions at the CCAC / CCAG level meetings. This has to be materialized through the CCS and other discussion platforms. However, some learning from various projects on land and water management across the globe could be piloted under SPACC Project. These proposed pilots have to be designed and implemented in consultation with the farmers and different potential stakeholders. An indicative table is given below to reflect on the institutional platforms:

Institutions under SPACC Where and to what extent Model 1 Institution (as approved under SPACC Project 75 % of the Project sites Model 2 Institution 25 % of the Project sites Common Interest Groups 10 % of the Project sites Seed Bank Management Groups (SBMGs) 2 HUNs Bio- Product Centres 2 HUNs


44

Federated structures for micro credit facilities Entire project area Producer Companies/ Co-operatives One or two depending upon the productsChildren’s Climate Change Adaptation Groups (CCCAG) 25 % of the project areas Model CCS with Climate Change Adaptation Resource Centre (CCARC)

One

HUN based Working Groups This could be tried out in 50 % the HUNs Advocacy Networks Based on the issues identified, networks to be

promoted for larger reach and lobbying

5 Conclusion Community-led climate change adaptation processes have to be based on local priorities, needs, knowledge and capacities, which can then empower people to cope with and plan for the impact of climate change. Community-led governance mechanisms can be used as a tool to mainstream climate change adaptation in local development that could ultimately lead to poverty reduction. Furthermore, the community governance process can confront the challenges of a rapidly changing climate and its increasing unpredictability. Adaptation to climate change requires special strategies by the farmers and government as a whole. The proliferation and multiplicity of committees challenges the effective implementation of community based climate change adaptation programmes and projects. The project has to consider how to harmonize existing informal institutions and traditional leadership on one hand, and introduce institutional arrangements for community-based climate change adaptation on the other. The project has to ensure integration of both scientific and local knowledge into its planning processes. Scientific information includes long-term predictions from climate change models, seasonal forecasts, remote sensing observations and satellite pictures. Local knowledge includes information about trends and changes experienced by communities themselves and strategies these communities have used in the past to cope with similar shocks or gradual climatic changes. It is particularly important for effective governance and decision-making to ensure that new institutional structures and intermediate level organizations are suitably accountable both upwards to decision-makers and downwards to resource users and primary stakeholders. Building professional and fiscal capacity at the local level will help improve implementation capability for land and water management and support climate adaptation. In order to promote SLWM practices at the grassroot level, it requires not only capacity development, research and information management, but also innovative institutional development at multiple levels. Mechanisms to support interaction between local resource users, institutions, PRIs, other CBOs, NGOs, Corporates, researchers and policy makers are important to speed the adoption of innovations, the effectiveness of management and the removal of barriers to adaptation. Such measures will recognize and build on local knowledge through fostering diverse solutions to common problems in various landscape and socio-political contexts. Policies and program initiatives that foster the development of these local institutional arrangements for collective management and tenure, and build cross-scale linkages for learning between various institutions and organizations, local government, knowledge providers and government are an essential condition for the sustainability of the impact generated as a result of proper implementation of the SPACC Project.


45

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