Government of India & Government of The Netherlands
DHV CONSULTANTS &
DELFT HYDRAULICS with
HALCROW, TAHAL, CES,
ORG & JPS...
Final Report (June 2003) ToC
Table of Contents
Executive Summary i
1 Introduction 1
2 Project background 3
2.1 Hydrologica...
Final Report (June 2003) ToC
7 Lessons learned 66
7.1 Expectations 66
7.2 Benefits 66
7.3 Management in implementing agenc...
Final Report (June 2003) Page i
Executive Summary
Objectives of the Hydrology Project and of the Technical Assistance
The ...
Final Report (June 2003) Page ii
To assist in the implementation of the system, the Consultant has worked with the individ...
Final Report (June 2003) Page iii
• Data storage and dissemination – the Consultant assisted the agencies in the design of...
Final Report (June 2003) Page iv
An important question throughout the project has been the relative involvement of the TA
...
Final Report (June 2003) Page v
all agencies for the Mid-term Review Mission. Finally, further distillation of only the mo...
Final Report (June 2003) Page vi
Achievements
By and large, the objectives of the project have been met. The major achieve...
Final Report (June 2003) Page vii
HIS, for SW with the fully adapted version of HYMOS and for GW and WQ even at the
limite...
Final Report (June 2003) Page viii
assist in dealing with the “growing pains” that plague any new system, and in the proce...
Final Report (June 2003) Page ix
is of utmost importance to consolidate the infrastructure established in the peninsular s...
Final Report (June 2003) Page 1
1 Introduction
The Hydrology Project was set up to improve the Hydrological Information Sy...
Final Report (June 2003) Page 2
The World Bank's Staff Appraisal Report included a Technical Assistance (TA) component to
...
Final Report (June 2003) Page 3
2 Project background
2.1 Hydrological information need
Fresh water is one of the most crit...
Final Report (June 2003) Page 4
The water crisis is not only about having too little water to meet the needs and about the...
Final Report (June 2003) Page 5
“A well developed information system, for water related data in its entirety, at the
natio...
Final Report (June 2003) Page 6
Picture 2.3:
Observation Network
River gauging stations had primarily been set up with a v...
Final Report (June 2003) Page 7
The assessment of groundwater resources in India is based on annual recharge and
discharge...
Final Report (June 2003) Page 8
2.3 Constraints
The Hydrological Information Systems as found during the reconnaissance mi...
Final Report (June 2003) Page 9
3 Objectives of the Hydrology Project
The Hydrology Project has been a vast seven-year eff...
Final Report (June 2003) Page 10
Laboratories
State Data
Processing
Center
State Data
Storage
Center
Other State
Data Cent...
Final Report (June 2003) Page 11
4 Technical Assistance
According to the SAR, the nature of the project demanded a signifi...
Final Report (June 2003) Page 12
4. Encourage coordination between various agencies to: (i) ensure that national and state...
Final Report (June 2003) Page 13
2. Development Phase, which comprised standardization of procedures and technical
specifi...
Final Report (June 2003) Page 14
Based on this formulation, the TA team further developed the concept of the HIS in line w...
Final Report (June 2003) Page 15
To this end, the TOR indicated a process approach to project management. The concept of
t...
Final Report (June 2003) Page 16
Moreover, the inclusion of “new” data users in the HDUGs (i.e. other than the traditional...
Final Report (June 2003) Page 17
At the national level there has been extensive support to the PCS and the central agencie...
Final Report (June 2003) Page 18
understanding of and commitment to whatever was concluded in the sessions throughout
the ...
Final Report (June 2003) Page 19
The second benefit of the completed HIDAPs was that they proved a ready summary of what
H...
Final Report (June 2003) Page 20
4.9 Institutionalisation of a sustainable HIS
Successful introduction and operationalisat...
Final Report (June 2003) Page 21
operationalisation workshops, adoption of computerized work practices, open-minded
approa...
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  1. 1. Government of India & Government of The Netherlands DHV CONSULTANTS & DELFT HYDRAULICS with HALCROW, TAHAL, CES, ORG & JPS Final Report June 2003 (IN032501)
  2. 2. Final Report (June 2003) ToC Table of Contents Executive Summary i 1 Introduction 1 2 Project background 3 2.1 Hydrological information need 3 2.2 Hydrological Information System prior to HP 5 2.3 Constraints 8 3 Objectives of the Hydrology Project 9 4 Technical Assistance 11 4.1 Objectives of the Technical Assistance 11 4.2 Phased implementation 12 4.3 Logical Framework for the HIS 13 4.4 Developing the concept of the HIS 13 4.5 Process approach 14 4.6 Process management 15 4.7 Impact of the HIDAP 18 4.8 Continuing support for institutional development 19 4.9 Institutionalisation of a sustainable HIS 20 4.10 Extension of the TA 23 5 Scope of activities 25 5.1 Assessing the need of users 25 5.2 Review and establishment of observation networks 26 5.3 Management of historical data 31 5.4 Data collection and sample analysis 31 5.5 Data processing, analysis and reporting 33 5.6 Data exchange 36 5.7 Data Storage and dissemination 37 5.8 Institutional and human resources development 39 5.9 Overseas training and study tours in the Hydrology Project 44 6 Achievements 47 6.1 General 47 6.2 Standardized systems, networks and procedures 47 6.3 Staffing 50 6.4 Human resources development 51 6.5 Institutional strengthening 53 6.6 Innovative R&D projects 56 6.7 HIS Management 56 6.8 Accelerated cessation of the TA 57 6.9 Consolidation of HP achievements 61 6.10 Further potential for capitalising on HIS 64
  3. 3. Final Report (June 2003) ToC 7 Lessons learned 66 7.1 Expectations 66 7.2 Benefits 66 7.3 Management in implementing agencies 67 7.4 Deadlines 67 7.5 Process approach 68 7.6 Approach to implementation 69 7.7 Procurement 70 7.8 Staffing 70 7.9 Training 71 7.10 Summing up 72 8 Staffing and financial aspects 74 8.1 Organisation of TA 74 8.2 Staff input 78 Annex 1 Description of HIS 82 Annex 2 Logical Framework Analysis 90 Annex 3 Catalogue of HIS Resources Data Base 96 Annex 4 Table of Contents of SW and GW Manuals 100 Annex 5 Equipment for which detailed specifications have been provided 108 Annex 6 Training Courses developed and organized 112 Annex 7 Training Modules prepared 114 Annex 8 Abbreviations 118
  4. 4. Final Report (June 2003) Page i Executive Summary Objectives of the Hydrology Project and of the Technical Assistance The development objective of the Hydrology Project (HP) for the implementing agencies was to “support major aspects of India’s National Water Policy, particularly with regard to water allocation and planning and management of water resources development at the national, state, basin, and individual project levels”. The immediate objective that was to be the focus of all activities in the HP was to “improve institutional and organizational arrangements, technical capabilities, and physical facilities available for: measurement, validation, collation, analysis, transfer, and dissemination of hydrological, hydro-meteorological, and water quality data; and for basic water resource evaluations”, in other words: establish a comprehensive Hydrological Information System (HIS). Specifically, the agencies were to develop “comprehensive, easily accessed, and user friendly databases covering all aspects of the hydrological cycle, including surface water and groundwater in terms of quantity and quality and climatic measurements, particularly of rainfall”. The objective of the Technical Assistance (TA) has been a derivative of these objectives: “to provide broad technical and institutional support to the participating agencies, and to assist the project authorities to implement the Hydrology Project in accordance with technical criteria, standards, and procedures agreed by the Bank and the Government”. Specifically, the TA was to deliver a number of relevant technical outputs, and otherwise advise and assist the agencies in their activities. Development of the Hydrological Information System Under the project, actual development and implementation of the HIS has been the responsibility of the implementing organizations of the participating states and central agencies. To this end, they employed the proceeds of the World Bank credit. It has been the function of the TA to support the organizations in carrying out this responsibility, through design of the system, formulation of technical specifications for software, hardware and civil works, formulation of organizational arrangements and job descriptions, providing a methodology for monitoring progress towards target achievement, and in general supporting the implementing organizations in managing their activities under the project. As designed by the Consultant, the HIS is conceptualized as a “distributed system”, comprising interrelated autonomous components in the different agencies. It represents a paradigm shift from the pre-existing data collection practices, introducing a scientific basis for aquifer / basin-wide data collection, major improvements in data validation, a change in focus from collection and storage to analysis, and availability of the data to outside users. Data is being collected either directly in the field at surface and groundwater observation sites or, from water samples taken at these sites, through analysis in different types of laboratories. This data is then entered into databanks at the subdivision / subdistrict level (and for WQ data in the laboratories), where it undergoes primary validation to eliminate the most obvious anomalies. The data is then sent to the division / district level offices for secondary validation, and finally to the state data processing center for final validation and ultimate storage in the state data storage center.
  5. 5. Final Report (June 2003) Page ii To assist in the implementation of the system, the Consultant has worked with the individual organizations at the local level as well as at the inter-agency level, to ensure appropriate arrangements between the components (within and between the agencies) for system-wide communication to facilitate data validation, integration of databases, and broadening of scope. Activities of the Technical Assistance Project implementation required a significant administrative / logistical effort, for which many of the agencies were poorly prepared, involving inter alia the creation of dedicated HIS units, procurement of equipment, construction of civil works, establishment of new positions, and training. Because of the many different locations at which the system was to be implemented and the varying levels of readiness, the participating organizations carried out these activities at their own pace. Hence, the project adopted a phased implementation: an inception phase to lay the necessary groundwork; a development phase for standardization of procedures, specifications for system design, and training development; an implementation phase to put all the new procedures and structures into place; and a consolidation phase to arrive at sustainable operation of the system. This necessitated a strong framework for planning and monitoring of the agencies’ activities. The Consultant provided this in the form of the HIDAP, which categorized everything to be done in a logical grouping and sequencing of activities. In each of the HIDAP categories, the Consultant provided the necessary support. The relevant TA activities are summarized below (following the HIDAP categories): • Assessing the needs of the users – the Consultant provided inter alia a questionnaire for data need assessment, terms of reference and model agendas for Hydrological Data User Groups • Review and establishment of the observation network – the Consultant provided inter alia all manuals for the design, operation, and maintenance of the hydro-meteorological and surface water and groundwater quantity and quality networks. This included the review and integration of the observation networks, and guidance for the establishment of a network of water quality laboratories. • Management of historical data – the TA developed an approach for systematic inventory of data availability and planned data entry and processing. • Data collection – the TA developed the relevant manuals and training documents, and conducted regular field inspections to investigate actual data collection practices. This included the development of standard analytical procedures for WQ data. • Data processing, analysis, and reporting – the Consultant assisted the agencies in the design of their data processing centers, developed a comprehensive set of HIS operation manuals, and formulated specifications for all hardware and software to be used in the data centers. The TA provided the SW data processing software and fully tuned it to the needs of the HIS. The TA continuously supported the outside Consultant engaged for the GW software, who did not have the necessary domain experience. On substantive processing, the TA initiated research studies in the Sabarmati and Godavari basins. • Data exchange and reporting – the TA provided specifications for relevant equipment and incorporated data exchange procedures in the processing phases in the HIS operation manuals and embedded them in the SW and GW protocols.
  6. 6. Final Report (June 2003) Page iii • Data storage and dissemination – the Consultant assisted the agencies in the design of their data storage centers, formulated hard and software specifications, and produced the relevant design and operation manuals. The TA also gave extensive support to the outside Consultant engaged to develop the DSC software. • Institutional and human resources development – the Consultant provided assistance in planning of HP activities through HIDAP, and monitoring and evaluation of progress through the MIS. The Consultant also arranged long-term relationships with established training institutes to include training on the HP approaches in their respective programs (ranging from field-level data collection to data processing, storage, and analysis), arranged overseas training for key HIS personnel, assisted in setting up HDUGs, conducted workshops on cultural assessment and change management, and undertook promotional activities to disseminate the utility of the HIS to different target groups within and outside the participating organizations. Each agency implemented its part of the project in line with the design, specifications, etc. outlined by the Consultant in generic activities. However, where local conditions and circumstances presented specific problems, the Consultant also assisted the agencies in finding or identifying specific solutions. The first line of assistance in this regard was provided through the office of the State Management Consultant (SMC). Especially in the early years of the project, the SMCs were able to help the agencies keep their activities on track, implement their activities in line with general specifications, rules for procurement, etc., and generally liaise with the central TA office in New Delhi for additional support if need be. Later on in the project, generally after the physical elements of the HIS had been put in place, the SMCs were replaced by HIS Management Consultants (HMCs), who focused more on the substantive operationalization of the system. Approach From the start, HIS development has not been approached as development of a mere technical instrument, but as a change in how the agencies deal with hydrological information, in general representing a shift from very instrumental data gathering (for individual development projects) to a more systemic approach (to improve the general overview and understanding of the state of water resources in the hydrological cycle). While emphasizing this systemic character, it was at the same time necessary to ensure that the distributed elements of the system would meet all individual requirements of the participating organizations. This necessitated intimate involvement of the organizations from the very beginning of the project, in order to create a sense of ownership. In turn, this precluded the use of a blue print approach. Instead, a process approach was employed allowing the different agencies to specify their individual needs and priorities, as well as accommodating their different capabilities and capacities for change. These two seemingly conflicting principles – striving towards system integration and standardization while leaving room for individual differences and abilities – made it necessary to develop and adhere to a rigid logical framework of activities. To this end, the Consultant assisted the agencies in identifying their objectives and related outputs of their activities in the project, together with an identification of possible obstacles and threats to the successful completion of these activities. The Consultant then identified relevant advisory activities in relation to these findings, i.e. in support of the agencies’ own development work or in trying to address the obstacles and threats (e.g. through addressing these at higher levels to which the individual organizations have only limited access).
  7. 7. Final Report (June 2003) Page iv An important question throughout the project has been the relative involvement of the TA with the different agencies. In the beginning, when all agencies had to find their way in the project, all required and received equal assistance on the same aspects of development. As the agencies diverged in their progress, the nature of the individual assistance began to vary, but all agencies nonetheless still received equal attention. However, as time went by, it became clear that a number of agencies could not create the basic conditions for HIS operationalisation. Therefore, towards the end of the project it was decided that the TA’s attention should focus more on agencies that showed real potential for full-fledged operationalisation of the HIS. The expectation was that concentrating TA support on agencies that were most likely to be successful offered the best probability that the success would be sustained and thus become an example for the other agencies to follow on their own, possibly with additional government support post-HP. A key principle of the approach has been that the Consultant should limit himself to assistance, while leaving detailed implementation to the agencies. Accordingly, in the beginning of the project, TA consultants travelled extensively to assist the agencies in detailed implementation of network identification, data need identification, etc. Mid-project, the Consultant focused much more on general organization and structuring of the system (formulating staffing requirements, job descriptions, training approaches, etc.), whereas towards the end of the project the attention was on operationalisation. The change in emphasis was reflected in the change in how the TA provided support at the local level: in the first few years the TA maintained a “State Management Consultant” (SMC) in each of the states, whose job was to assist in matters of procurement, monitoring general direction of the project, etc. Once the physical aspects of the HIS fell into place, the SMCs were phased out and replaced by HIS Management Consultants (HMCs) and Data Management Consultants (DMCs). The function and operations of the HMCs was significantly different from those of the SMCs, in that they were much more substance oriented and, moreover, did not devote their entire attention to only one state but generally managed the development activities in a few states. The DMCs, mostly operating from the central TA office in New Delhi, focused on the technical aspects of HIS implementation. Hydrology Institution Development Action Plans The systematic identification of activities for the agencies took place in the formulation of the HIDAP. This planning instrument was identified in the Appraisal Report as crucial to successful project implementation, and was intended to underpin annual review of progress and subsequent action. The Consultant developed the HIDAP instrument along the lines of logical framework analysis, taking care to present only concepts to the agencies and leaving the ultimate detail up to them. Since the first HIDAPs were developed individually in and by the different agencies, this resulted in varying quality and content. The Consultant then assisted in focusing HIDAP development on the best elements revealed in this process, by developing a Model HIDAP. Application of the model did justice to the standardization element in the project, while leaving room for the agencies to identify relevant activities in widely diverging circumstances and to do so in a systematic manner. Moreover, as it presented the key elements of the entire project in a logical inter-related framework, the Model HIDAP as applied in the individual agencies became a powerful tool for introduction of new participants in the organizations. Taking the step towards the intended systematic progress review, the Consultant identified the key information to be extracted from the HIDAP for annual progress monitoring at all relevant levels in the organizations. This was done with the help of the SW and GW agencies in Andhra Pradesh, which actively participated in identifying what information needed to be reported to different levels of management and what form such report should take. This became the basis for the Status Reports, which were subsequently developed by
  8. 8. Final Report (June 2003) Page v all agencies for the Mid-term Review Mission. Finally, further distillation of only the most important information resulted in HIS Balanced Scorecards, which showed progress on three dimensions of performance: internal perspective, user perspective, and sector perspective. The Status Reports also gave shape to the agency-level MIS subsequently introduced in the agencies. However, whereas in HIDAP all activities were always related to output objectives, it appeared that in many agencies the focus of progress reporting through the MIS remained on the use of inputs rather the production of outputs. It is on the latter aspect that the MIS was to link to the HIS, but for a long time the agencies have had limited attention for monitoring the data collection and processing activities either in quantitative or qualitative terms. This appears to have changed now that a data flow monitoring application has become available in the HIS, which has generated considerable enthusiasm among field level management. Further development of the HIDAP as a planning and monitoring instrument stopped after the Mid-term Review Mission which reported annoyance among some agencies about the emphasis on the related activities. Hence, with most progress reporting conducted through the MIS, the HIDAP ceased to be annually updated, although at project end one or two agencies expressed a desire to rekindle the HIDAP planning process. Procurement At the beginning of the project, specifications were provided for all manner of equipment. With respect to specific hydrological monitoring equipment and computers, the Consultant has made many inspection visits to the field to assist the agencies in proper operationalisation, etc. It quickly became apparent that many items of equipment did not meet the specifications, usually as a result of a bias towards lowest cost procurement in existing government regulations coupled with inadequate technical knowledge of the procurement officers. The problems were exacerbated by the fact that procurement was often centralized and conducted in large batches. Had smaller batches been procured, procurement of subsequent batches might have been able to reflect experience with equipment already received and operationalised. Despite the best efforts of the TA, agencies have also ignored documented or otherwise known misprocurement by others. In future projects, a Technical Procurement Committee, supported in an advisory capacity by the Consultant, should decide on purchases, extensive field testing should be conducted, and taking into account experience with similar procurement elsewhere should be made mandatory. The Consultant has formulated specifications for hardware and software, including for data processing and data storage, in support of system development. In the case of surface water, the data processing software was provided “off the shelf” through HYMOS from Delft|Hydraulics, but for groundwater and the DSCs the GoI let separate software development contracts to local providers. The related process for procurement/contracting became seriously delayed due to limitations faced by the Client. Moreover, in hindsight it may be argued that the TA’s early recommendation to let the contracts for groundwater data processing software in combination with the supply of the relevant computer hardware was in error – since the cost of all the items of equipment to be procured was far higher than the cost of software development. Hence, the resultant bias towards hardware under lowest-cost procurement rules for a combined package limited the degrees of freedom for selection of the software developer. In fact, the provider eventually selected lacked the necessary domain expertise and had to go through a significant learning curve in implementing the software component of the contract. The Consultant has attempted to guide this process early on, but cooperation from the provider developed only slowly.
  9. 9. Final Report (June 2003) Page vi Achievements By and large, the objectives of the project have been met. The major achievement is the establishment of standardized systems, networks, and procedures. The technical system has become an operational reality in most participating states. Networks have been rationalized, data is being shared, and data validation is gradually gaining ground. A water quality monitoring network has been introduced in the SW and GW domains. Hydrological information is now being collected systematically and processed in a standardized manner, it is stored in a manner that allows analysis, and it is available to many different users. Institutionally, the implementing agencies have significantly improved their capacity and capabilities for data collection and processing, although the sophistication of processing capability is greater for SW than for GW. Sophisticated data collection equipment has been introduced. Standardized practices for technical procedures have been laid down in manuals that are available in all the agencies. While the development of the HDUGs has been delayed, there is nevertheless still scope for development of a strong role for data users in the operation of the HIS. Most importantly, a real enthusiasm has developed in the agencies for the benefits associated with the HIS. The improvements brought about under the HP could not have been possible without significantly increased staffing levels. In this connection, the TA has produced staffing schedules and job descriptions. However, in many cases staffing levels remain lower than proposed by the TA. Two factors contributed to this: a recruitment ban that necessitated the filling of new HIS positions through redeployment of existing staff from elsewhere, and – especially in SW organizations – a lack of enthusiasm among staff to take up HIS posts. Especially the water quality and data management positions remain difficult to fill in most states, as there are few staff with requisite experience that can be redeployed to the positions in question. Ultimately the best approach seems to be to train otherwise well- educated personnel of other disciplines for such redeployment. With respect to the creation of favourable institutional conditions for sustainable operation of the HIS, most states have managed to formally establish an HIS organization, formulate a proper WQ mandate, make available an adequate HIS budget, and establish an HIS helpdesk. The HIS protocols have been adopted into the regular government procedures in almost all states, as has been the execution of the analytical quality control program. However, not all states have established training cells in the HIS organizations. The achievement is sketchier with respect to effective communication with users. All states have established HDUGs and adopted the relevant terms of reference, and almost all have produced system maps. However, with the exception of a model Hydrological Information Need (HIN) document for Maharashtra, as yet no HIN documents have been prepared to document the underpinning of the networks’ layout, nor have thematic yearbooks been produced or user satisfaction surveys conducted. The latter is due to the fact that, unlike the HIN documents, yearbooks and satisfaction surveys require the (full) functioning of the HIS, and that has been seriously delayed by late production of the software for groundwater data processing and for the data storage centers. In fact, the agencies themselves are only gradually developing a perspective on the utilities of HIS data as operation of the system is becoming more routine. It appears that HIS manuals are not available at all observation sites and that the possibilities afforded by the HIS to collect management information on data collection and processing are not being utilized sufficiently. On the other hand, there is genuine enthusiasm among data processing staff for the possibilities of data analysis afforded by the
  10. 10. Final Report (June 2003) Page vii HIS, for SW with the fully adapted version of HYMOS and for GW and WQ even at the limited level that was possible with the data entry systems produced by the TA while the data processing software was not yet available. Sustainability In order to address the varying performance levels of the different agencies, the Consultant commenced a series of Organizational Assessments to identify how existing conditions impacted on the implementation of the HIS in relation to three basic functions in the organization: the traditional hydrology function, the information function, and the management function. The assessments inter alia identified “organizational culture” as a critical factor for sustainability. Subsequently, the institutional development activities of the TA focused on this aspect through a series of workshops, in which participants sought to formulate specific action plans for improvement. This approach was similar to that of the earlier HIDAPs. However, whereas the HIDAPs had focused on detailed operational issues in the HIS, the cultural assessment workshops focused on developing mission and values statements to create a central focus for sub-ordinate objectives and to identify the values that are appropriate for an organization that wants to successfully operate the HIS over the long term. The workshops then formulated the action plans to fill the gap between the actual and desired situation. Even with an appropriate sense of mission and values, the HIS as developed in the different agencies can only sustain in a conducive institutional environment. Hence, the institutional development activities of the TA also focused on aspects in the fields of structure and systems, policy and procedures, and people and processes. In this connection, TA involvement has been instrumental in the establishment of a National-level Coordination Committee (for post-HP coordination of updating the system, etc.), a national level Water Quality Assessment Authority, a National HIS helpdesk (to be transferred for post-HP operation to the CWC and CGWB), HIS training cells in the different agencies (for post-HP continuation of training solutions), protocols detailing the different aspects of operating the HIS, etc. Lessons learned The HIS has been conceived as a dynamic system, able to accommodate growing and changing demand patterns of data users. This requires not only a demand orientation in the HIS organizations as data providers, but also the development of active external demand from the outside users. The HDUGs were intended to play a pivotal role in stimulating this demand and to become a steering element in further HIS development. However, since at the start of HP the data providers were also the largest data users, the need to establish HDUGs was initially not widely perceived. At the same time, outside parties until then not using hydrological data were themselves not clear about their needs. Indeed, the understanding of these needs was not possible until a working HIS could deliver a range of outputs. Having such outputs available would help in “educating” potential “customers” as to their possible data needs. Conversely, not having outputs from a fully functional HIS risked disappointing – and possibly alienating – users if they discovered that the need they had just learned to express could not be met. A pragmatic solution then was to first develop the HIS with the existing data providers and to focus on HDUGs later. This was also in line with the TOR, which foresaw an increasingly operational HIS for the second half of the project period, during which the Consultant could
  11. 11. Final Report (June 2003) Page viii assist in dealing with the “growing pains” that plague any new system, and in the process acquaint the users with demand identification through the HDUGs. Ultimately, the HDUGs would then become able to interact with the HIS providers and identify feasible adjustments to the system. It was not expected that during this period there would be a need for significant adjustment of the network layout and monitoring practices, but the experience gained in data need identification and formulating practicable ways to accommodate these needs would prepare the HDUGs for their post-project role in this respect. The late delivery of software for data processing and data storage meant that the activities as originally foreseen for the second half of the project could not take place. Although HDUGs have been established in all states during the project, the limited functioning of the HIS made that they have had little of substance on their agenda. Hence, they are not yet fully prepared for their important post-HP role in ensuring the dynamic development of the HIS, and do not yet develop a strong interactive role with the agencies in shaping the HIS. As a result, the HIS remained the “property” of the original agencies. This has to some extent perpetuated the originally prevailing supply orientation in those agencies. The lesson from this chain of events may be that the establishment of the HDUGs should have been further postponed until completion of the software development for GW and WQ data processing and especially for DSC operation. Although this could not have been foreseen early on, this would have meant that the initialization work on HDUGs should have begun during the first year of the project extension, which would have made it possible to actively involve the data users in the operationalisation phase of the respective software items in the agencies from April 2003 onwards. The delayed activation of the HDUG concept could have benefited from stronger professional pride and capabilities in the agencies, and this could have been supported through the establishment of “quality circles”. Such circles would involve data practitioners, i.e. HIS staff of the different national and state agencies collecting, processing, and applying data. While establishing “quality circles” could have risked exacerbating the proprietary image of the HIS from the agencies’ perspective, by building appreciation for the potential utilities of the HIS it could have created a stronger platform for HDUG activation. For example, with stronger professional commitment, HIN documents for all networks might have been available earlier on, setting the stage for future demand-supply interaction in the HDUGs. In turn, the availability of such documents might have provided more focus for development of the HIS as a technical system, thus perhaps avoiding some – though by no means all – of the obstacles that have delayed implementation. Potential for future development At the end of the HP, all agencies in all states had set up observation networks and started data collection and processing in a standardized manner. Groundwater data processing software has finally been completed and installed, and agencies are beginning to work with it. Fortunately, they have been able to do some processing for several years already using the Data Entry Software developed by the TA. A real enthusiasm for the system and what it can do is growing among the staff of the agencies. As could be expected given the different circumstances and conditions, some agencies have proved to be more successful than others in operationalising the HIS. Due to the delays in especially the development of the software for data processing (GW) and data storage (both SW and GW), the two years originally planned for a consolidation period have been lost. Hence, now that the mentioned software is finally coming available, it
  12. 12. Final Report (June 2003) Page ix is of utmost importance to consolidate the infrastructure established in the peninsular states to ensure long-term sustainability. Consolidation would involve: • Optimization of monitoring activities, involving expansion or intensification of the networks, adjustment of monitoring frequencies, etc.; • Consolidation of day-to-day operational procedures and maintenance – particularly internalization of the need for data validation, collection of and taking action on data relevant for network management, etc.; • Retraining of existing staff lacking requisite specialist background (as recruiting new properly qualified staff is not possible); • Taking inventory of the potential users and their data needs in the private sector, and non-WR institutions in the public sector, to assess how their needs can be met and how they can be involved; • Preparation of water resources assessment reports; • Assisting the HDUGs in assuming their interactive role with the HIS agencies to guide future changes to the network layout and monitoring practices to accommodate the needs of data users as they change over time. These activities are important for consolidating the achievements to date. They also provide the basis for further development. One opportunity that presents itself now that the HIS has become functional in all respects is to replicate the system to states that did not participate in the HP. This horizontal expansion would involve essentially the same activities as under the HP in peninsular India, i.e. focusing on the technical processes of data collection, data processing, and data management. However, for long-term sustainability of the HIS it will be necessary to shift from data collection and processing towards using the data in the planning and management of water resources. One of the limitations of the HP has been that it was being implemented by technical units with direct responsibility for data collection and processing, without much involvement of planning and development units. This has resulted in underexposure of the benefits of the HIS, and this has also made it difficult to generate interest among other users outside the department. Effective demand for hydrological information will often exist in a broader water resources and inter-sectoral development context. Therefore, a vertical extension of the HIS is highly recommended, shifting from data collection and processing towards using the data in the planning and management of water resources. Two possibilities are real-time use of data for operational purposes and planning and implementing integrated water resources management (IWRM). Real-time data use includes early flood warning, operational management of irrigation systems and reservoirs, and drought monitoring (conjunctive use, watershed management, resource assessment). Developing IWRM involves expanding the HIS into a Water Information System (WIS), i.e. linking the hydrological information collected under the “basic” HIS (data describing the natural system) to data describing the socio-economic system and the administrative and institutional system. In line with the existing National Water Policy, the development of IWRM would involve the creation of river basin organizations. Such organizations have as a prime technical function the development of a network of data banks and databases at basin level, which should be freely accessible to all user agencies. The existence now of a user oriented HIS is a significant contributing factor to the establishment of RBOs.
  13. 13. Final Report (June 2003) Page 1 1 Introduction The Hydrology Project was set up to improve the Hydrological Information System in India to arrive at comprehensive, easily accessible, and user-friendly databases covering all aspects of the hydrological cycle. Such data are a prerequisite for wise water resources planning and management in a country facing already severe water shortages in the present, not to mention in the near future. The Terms of Reference for the Hydrology Project were laid down in the World Bank’s Staff Appraisal Report No. 13952-IN of 14 July 1995. It outlined the required improvements regarding institutional and organizational arrangements, technical capabilities, and physical facilities available for collection and processing and exchange of hydrological and hydro-meteorological data. The Hydrology Project concerned many organizations, both at Central and State level. The Central agencies involved were the Central Water Commission (CWC), Central Ground Water Board (CGWB), National Institute of Hydrology (NIH), Central Water and Power Research Station (CWPRS), and the India Meteorological Department (IMD). At the State level, the relevant organizations comprised the Irrigation (or Water Resources) and Groundwater Departments in Andhra Pradesh, Chhattisgarh, Gujarat, Kerala, Karnataka, Madhya Pradesh, Maharashtra, Orissa and Tamil Nadu (see Figure 1.1). Figure 1.1: States in the Hydrology Project The World Bank, through the International Development Association, signed on 22 September 1995 a Development Credit Agreement and Project Agreement with the Go- vernment of India and the participating States to execute the Hydrology Project (Credit No. 2774-IN). The amount of the credit was 90.1 million Special Drawing Rights (USD 142 million equivalent), whereas the total cost of the project was estimated at USD 162.4 million. The project was originally scheduled to be implemented in a period of six years (1996 to 2001). Due to delays in implementation its duration was extended and the closing date of the project was revised to 31 December 2003, while the credit was reduced to 75.1 SDR (equivalent to USD 122 million).
  14. 14. Final Report (June 2003) Page 2 The World Bank's Staff Appraisal Report included a Technical Assistance (TA) component to assist the Central and State agencies in the implementation of the Hydrology Project. The Governments of India and The Netherlands, in consultation with The World Bank, agreed to finance the Technical Assistance under the bilateral Indo-Dutch program through a grant equivalent to Euro 12.76 million (later increased to Euro 14.85 million). The contract for the execution of the required consultancy services under the TA component was awarded to DHV Consultants BV of The Netherlands, which established a joint venture with WL|Delft Hydraulics, also of The Netherlands. The joint venture implemented the Project in association with HALCROW (UK), TAHAL (Israel), and the national consulting firms JPS and Associates, MDP, ORG and CES. The agreement with the Consultant was signed early July 1996, although the Technical Assistance started on the ground in May 1996. This Final Report summarizes both the Hydrology Project and the Technical Assistance, their objectives, implementation, achievements and lessons learned. Chapter 2 of this report describes the background of the project, highlighting the nation’s increasing decline into a situation of water crisis, the importance ascribed to integrated planning and development in the National Water Policy, and the related need to improve the accuracy and availability of, and access to, data on water resources. Chapter 3 descries the Objectives of the Hydrology Project and gives brief outline of the HIS established under the Project. Chapter 4 describes the general “advise and assist” role of the TA under the project, involving specific institutional development-type of activities aimed at sustainability, and also guidance to the participating authorities for overall management of the implementation process. Chapters 5 and 6 describe the scope of activities for the agencies and their related achievements, respectively. Specific contributions of the TA to HIS development are highlighted in “boxes” in these chapters. Chapter 7 describes the lessons learned, related to project design and expectations, actual incentives driving implementation, and the constraints posed by government procedures. Finally, Chapter 8 presents the staffing and financial overview of the Technical Assistance. A number of Annexes have been included to provide further detail on certain aspects and issues mentioned in the main body of the report. All documents and manuals prepared by the TA and considered to have lasting value, have been collected on a CD-ROM (enclosed in the back page of this report). These documents will also be placed in the HIS Resources Data Base on the HIS-website, as established and maintained by the National Data Centre of CWC.
  15. 15. Final Report (June 2003) Page 3 2 Project background 2.1 Hydrological information need Fresh water is one of the most critical natural resources for the continuance of life on earth. The pressure on freshwater resources has increased dramatically during the 20th century. By 1997, one-third of the world’s population was living under medium to high water-stress conditions. It is expected that by 2025, two-thirds of the population will be affected by water shortages. Sharp population growth in most parts of the developing world has led to greater pressure on domestic and industrial water supplies and on producing sufficient food, which requires more water. Inefficient irrigation practices compound the problem of freshwater availability in many parts of the world. The available amount of suitable water is further reduced due to contamination of water resources caused by the discharge of untreated/partially treated wastewater and recharge from irrigated fields into natural water bodies. The looming water crisis with competition for water among neighbouring countries will become a source of conflict, as about 300 river basins and numerous aquifers are shared among two or more nations. Recurring floods and droughts in several parts of the world, are causes of concern for the society. Unless water resources are wisely managed, water shortages and hazards are bound to become serious obstacles for economic and social progress, particularly in the developing countries. The global picture also applies to India. The spatial and temporal distribution of its water resources is highly uneven and economic and demographic developments put further pressure on it. Safe drinking water is required for the very large and growing population. Water has also become a major constraining factor for growth of the agricultural and industrial sectors. In large areas in the country the available water resources are gradually becoming depleted, groundwater levels are dropping dangerously low, and surface and groundwater are getting polluted. It is no exaggeration to say that India is either already in, or will soon be in a water crisis, as illustrated in Figure 2.1. Figure 2.1: Per capita fresh water availability in India (Source: UNICEF, 1998) 1500 1600 1700 1800 1900 2000 2100 2200 2300 Year m 3 /capita Adequate Water Water scarcity Water Stress
  16. 16. Final Report (June 2003) Page 4 The water crisis is not only about having too little water to meet the needs and about the water being too polluted. There is also a crisis in managing the available water adequately, resulting in the fact that millions of people - and the environment – suffer. Water problems are further aggravated by flooding, which frequently threatens populations and their properties along the rivers and in the coastal zone. Picture 2.1: Floods Picture 2.2: Droughts Competing demands, between individual and groups of users as well as among states, require proper planning, design and management of water resources and water use systems. India’s National Water Policy (2002) advocates an integrated planning and development of the conjunctive use of surface and groundwater, addressing the multiple uses of the water simultaneously. To accomplish this it stipulates in articles 2.1 to 2.3 that:
  17. 17. Final Report (June 2003) Page 5 “A well developed information system, for water related data in its entirety, at the national/state level, is a prime requisite for resources planning. A standardized national information system should be established with a network of data banks and data bases, integrating and strengthening the existing Central and State level agencies and improving the quality of data and the processing capabilities. Standards for coding, classification, processing of data and methods/procedures for its collection should be adopted. Advances in information technology must be introduced to create a modern information system promoting free exchange of data among the various agencies. Special efforts should be made to develop and continuously upgrade the technological capability to collect, process and disseminate reliable data in the desired time frame. Apart from the data regarding water availability and actual water use, the system should also include comprehensive and reliable projections of future demands for water for diverse purposes.” A major component in such a Water Information System (WIS) is a Hydrological Information System (HIS), which provides accurate, comprehensive and timely available hydrological data. An efficient and comprehensive HIS is a prerequisite for appropriate water resources planning, design and management, to get better decisions made as well as to achieve efficiency. In the set-up of an HIS the first question to be addressed is the type of information the system has to provide. This requires an identification of the potential hydrological data users. Data users first of all comprise the Central and State Government agencies, which support HIS. But there are scores of other governmental, non-governmental and private agencies also, which could make good use of hydrological data. Inventory of hydrological data needs require an identification of the objectives of water resources management and the functions of the water system. Data needs of governmental agencies follow from their mandates embedded in legislation and water policies. A priority ranking is needed to maximize the output of HIS within the budgetary constraints. 2.2 Hydrological Information System prior to HP Hydrological Information in India is primarily provided by various Central and State Government’s meteorological, surface water and groundwater agencies. The India Meteorological Department (IMD) is the main supplier of meteorological data. The Central Water Commission (CWC) and the state water resources/irrigation departments deliver information on surface water bodies. Similarly, information on groundwater is the responsibility of the Central Ground Water Board (CGWB) and the respective State groundwater agencies. The systems for gathering water quality information were primarily the responsibility of Central and State Pollution Control Boards, State Public Health Engineering Departments, CWC and CGWB, and of late also of the State WR and GW agencies. The roles of the Central and State agencies are complementary: the Central agencies for regional coverage of major rivers and geological set-ups, and the State agencies for more detailed coverage within the States. Observation Networks Rainfall stations constitute the bulk of the hydro-meteorological network and are predominantly owned by the state departments. India Meteorological Department (IMD) collects and archives data from selected stations of this network. Climate stations, for hydro- meteorological variables, are mainly maintained by the IMD; only a few states have a substantial network of climatic stations. Most of the rainfall and climate stations owned by IMD and the state departments were set up long ago (ranging from 20 to 100 years); most of these have not been upgraded adequately. This has often resulted in gaps in data series and quality of observations.
  18. 18. Final Report (June 2003) Page 6 Picture 2.3: Observation Network River gauging stations had primarily been set up with a view to collect data on water levels and discharges at river and reservoir stations. At some of these stations, sediment and water quality was also observed. Stations belonging to the CWC were located on the major river courses whereas those of the States were located on the smaller rivers and the tributaries of the major rivers. The CWC network is primarily meant to gather information on the overall water resources of the country, to resolve interstate water sharing, and for flood forecasting. The observation network of various states covers the basins more intensely with the aim to provide hydrological data for planning and designing of water resources projects. By the time project appraisal, availability of observers at the river gauging and hydro- meteorological stations had gradually declined. This, coupled with an ever reducing financial support, had rendered most of the river gauging and meteorological networks (except CWC and a few states) non-operational. The observation process on most hydro-meteorological stations was manual with little automatic equipment installed in recent years. The discharge measurement was mainly done by current meters in CWC stations; states used non- standard floats. Picture 2.4: River Gauging Site
  19. 19. Final Report (June 2003) Page 7 The assessment of groundwater resources in India is based on annual recharge and discharge using a simple form of water balance equation. Among the different inputs, the water levels, aquifer parameters, rainfall, and evaporation are being observed directly while others are estimated indirectly. Prior to HP, most groundwater observations were done at open dug wells tapping the upper unconfined aquifers. The water levels measured revealed the piezometric head/water table elevation of the semi-confined/unconfined aquifers. However, the necessary well-aquifer hydraulic connection was not always in place. The frequency of monitoring was limited to four times in a year: pre-monsoon, monsoon, post- monsoon, and winter seasons. Presumably, these water levels represent the troughs and peaks of the water table hydrograph, though many times these are too sparse to yield reliable and credible conclusions. Limited monitoring of the piezometric head of the deeper confined/leaky confined aquifers was carried out by some agencies by observing the water level in deep production tube wells. Awareness to get information on water quality has grown only in the last couple of decades, primarily due to deteriorating quality of already dwindling water resources. Whereas the river gauging authorities try to obtain the basic water quality variables from the same locations as the river gauging stations, the Pollution Control Boards take observations with the aim of surveillance near industrial or urban centers. In the past, water quality laboratories were inadequate in numbers and analytical capabilities. Insufficient finances have also hampered operations. Figure 2.2: Hydrograph Though the observation networks of the central and state agencies were expected to have complementary roles, the actual networks often showed many duplications/gaps. Data processing and dissemination Agencies providing hydrological services had been using computerised methods of data handling for several years with different levels of sophistication, ranging from simple ASCII based data files to more user friendly spreadsheet files and dBase databases. However, there was a lack of uniformity in the formats and software being used in different agencies and different offices of the same agencies. There had been a few efforts in the past in some agencies to improve the data processing systems but these were not channelled to yield objective solutions. Users faced difficulties in getting hydrological data, especially due to difficulties in locating the source, unavailability of all data on computer media, and long delays in data supply.
  20. 20. Final Report (June 2003) Page 8 2.3 Constraints The Hydrological Information Systems as found during the reconnaissance missions at the start of HP were deficient in many ways. Since the agencies operating HIS were the main data users, the system’s output historically has been “supply driven”, and was not tuned to the needs of other potential hydrological data users. The monitoring networks, equipment and practices were lacking and needed strengthening and upgrading. In many instances the observation networks showed duplications and were overall often spatially inadequate and deteriorating. Water quality variables were hardly observed. Application of non-standard procedures for data collection and quality assurance among responsible agencies, manual and henceforth limited data validation and processing, and outdated procedures for information management and dissemination created a situation where the data provided by the agencies were generally insufficient for proper water resources planning, design and management. Figure 2.5: SRG site (defunct) The problems could largely be attributed to weaknesses in the institutional infrastructure within the agencies and between the agencies. The agencies were short of skilled staff, due to lack of training and frequent transfers in an environment that was insufficiently oriented to hydrology. This resulted in an overall neglect in maintenance of instruments and installation and led to their malfunctioning. Money was not available for replacements. Procurement procedures and disbursements of funds were often very lengthy, which frustrated timely implementation and reduced motivation and enthusiasm of the concerned staff. Standardization of equipment, procedures and exchange of information were strongly hampered by the absence of any interagency communication culture. Improvements were badly needed as clearly stipulated In the World Bank’s Staff Appraisal Report No 13952-IN of July 1995.
  21. 21. Final Report (June 2003) Page 9 3 Objectives of the Hydrology Project The Hydrology Project has been a vast seven-year effort by nine peninsular states (eight before the creation of Chhattisgarh) and the central government of India to establish an integrated network of standardized, scientific hydrological databases, with associated standardized monitoring and data processing procedures and related institutional capabilities and capacities. Responsibility for implementation of the project has been with the participating agencies in the different jurisdictions, which for this purpose could avail of inputs provided under the related IDA credit. To support the agencies in their tasks, the project also comprised a technical assistance component under a separate grant from the Royal Netherlands Government. With respect to the activities of the agencies, the overall development objective of the Hydrology Project (HP) has been to: “support major aspects of India’s National Water Policy, particularly with regard to water allocation and planning and management of water resources development at the national, state, basin, and individual project levels” (World Bank Staff Appraisal Report 1995) In this connection, the SAR stipulated as the immediate objective of the project to “improve institutional and organizational arrangements, technical capabilities, and physical facilities available for: − measurement, validation, collation, analysis, transfer, and dissemination of hydrological, hydro-meteorological, and water quality data − and for basic water resource evaluations.” In support of these objectives, the SAR identified the following specific outputs: “comprehensive, easily accessed, and user friendly databases covering all aspects of the hydrological cycle, including surface water and groundwater in terms of quantity and quality and climatic measurements, particularly of rainfall” The Hydrological Information System Accordingly, under the project, the participating agencies established an HIS comprising three important components (see Annex 1 for a more detailed description of the HIS): 1. Observation network 2. Data processing and storage infrastructure 3. Data communication arrangements The HIS is a distributed system, i.e. it consists of autonomous components in the different states. The system includes inter-agency communication arrangements for purposes such as data validation, integration of databases and broadening of scope.
  22. 22. Final Report (June 2003) Page 10 Laboratories State Data Processing Center State Data Storage Center Other State Data Centers Central Agency Data Centers Div / Dist Data Center Subdiv / Dist Data Centers Field Observation Stations This set-up allowed the individual participating agencies to continue their proprietary position with respect to their part of the system and the data it contains. However, participation in the HIS also emphasizes the inter-linkages between the constituent parts, and all agencies have agreed in principle to provide access to outside users. Moreover, outside users also became involved in planning for system development and operation, through their membership in Hydrology Data User Groups (HDUG). The structure of the system is graphically depicted below. Data is collected at different points in the system. Field observation stations yield data on surface and groundwater, together with meteorological data. Water samples collected at these sites are sent to different types of laboratories, which test the samples water quality aspects. The data thus collected is entered into the data processing networks. In the laboratories this involves storage in the in- house computer, whereas data from the observation sites in the field is sent for computer entry at the subdivisional/district offices of the surface and groundwater departments. Upon receipt and entry of the data, the subdivisional/district offices conduct a primary validation, and then send the data on to the divisional level, where secondary validation takes place. Finally, the data goes to the state data processing center, for final validation and ultimate storage in the data storage center at state level. Only finalized validated data are made available to the outside user. Information on what type of data is available where in the system is provided in a meta database, of which a copy exists in all data storage centers. This allows the user to easily define his data need and formulate his data request accordingly. Apart from the introduction of a scientific basis for aquifer / basin-wide data collection, major improvements realized under the project are proper validation of data collected and opening of the different databases to outside users. All this constitutes a significant change for the participating agencies. First, the new approaches championed under the project represented a paradigm shift. Next, implementing the project required a significant administrative / logistical effort. In order to internalize the more sophisticated approach to data collection, processing, and management, the agencies had to create dedicated HIS units, establish new positions, fill these positions, and ensure that staff at all levels were properly trained. Many agencies were poorly prepared to undertake these efforts. Figure 3.1: Basic Structure of HIS
  23. 23. Final Report (June 2003) Page 11 4 Technical Assistance According to the SAR, the nature of the project demanded a significant need for technical assistance and training to support the achievement of institutional and technical capability objectives. 4.1 Objectives of the Technical Assistance The main objective of the Technical Assistance as formulated in the SAR (1995) and the TOR issued by the Government of the Netherlands (January 1996), is to “provide broad technical and institutional support to the participating agencies, and to assist the project authorities to implement the Hydrology Project in accordance with technical criteria, standards, and procedures agreed by the Bank and the Government.” The specific tasks for the TA are presented in Annex 11 of the SAR. A number of these involved the production of tangible outputs, generally to provide the agencies with a standardized methodology for decision-making and implementation. The relevant outputs specified in the SAR were: 1. Methodologies, guidelines, and standards for the optimization of networks and monitoring frequencies, and for the selection of measurement methods, chemical/biological parameters to be monitored, field/laboratory equipment to be used and analysis procedures to be followed; 2. Guidelines and standard methodologies for data processing [and] general resource assessment (including comprehensive overviews of water quality in the region); 3. A format for the production of surface water, groundwater, and water quality and sediment yearbooks; 4. Manuals for surface water and groundwater monitoring to standardize technical criteria, procedures, and monitoring and evaluation processes for all aspects of hydrological and geo-hydrological measurements, including water quality and suspended sediment; 5. Technical specifications and contract documentation for equipment to be procured under the project; 6. Procedures and processes for the validation of new and historical raw data; 7. A computational framework for surface water and groundwater quality assessment. As mentioned above, the focus for development of these TA outputs was to assist the process of implementation by the agencies. In fact, Annex 11 of the SAR and the TOR for the TA (January 1996) spelled out many other responsibilities for the TA, which were more of an “advise and assist” nature: 1. Assist the project agencies with the general management of the project, including involvement in overall coordination of project implementation, review of annual work programs, and monitoring, evaluation, and general performance of project performance; 2. Assist the project agencies with the strengthening of relevant administrative arrangements and reporting procedures; 3. Advise the concerned agencies on the processes and procedures for the dissemination of hydrological information, and for the strengthening of links with user organizations, as through Hydrological Data Users Group (HDUG);
  24. 24. Final Report (June 2003) Page 12 4. Encourage coordination between various agencies to: (i) ensure that national and state monitoring networks would be complementary; (ii) establish uniform quality standards and comparability of data; (iii) utilize data of non-participating agencies; (iv) share experiences through workshops and seminars; (v) enhance utilization of the data; 5. Introduction of a “Hydrological Institutional Development Plan” (HIDAP) as systematic planning tool, and assisting the implementing agencies in assessing the project performance in terms of outputs and human, financial and technical resources in relation to HIS objectives. 6. Training needs assessment, development of a training strategy, assistance to training institutes, development of annual training programmes, preparation of training course curicula, preparation of seminars and workshops, provision of formal training of trainers from state agencies, monitoring the effectiveness of the training activities, and organising overseas study tour and visits. 7. Assist the Project Coordinator to review annual workplans and quantity and cost estimates, and assist in the preparation of annual budgetary requests; 8. Provide general advice and on-the-job training in installation and/or utilization of … equipment, and the introduction … of quality control programs …; 9. Cooperate with the agencies to evaluate the performance of innovative hydrological equipment under Indian conditions …; 10. Assist with the selection, procurement, and installation of the database system and data processing software …, and provide on-the-job training for data input, validation, and analysis; 11. Assist in the identification of surface and groundwater studies to be taken up in selected basins …, and provide advisory support to the institutes [taking these up]; 12. Support … agencies with the establishment of … laboratories, and with implementation of pilot pollution monitoring and assessment programs …; 13. Provide guidance and support… for implementation of a real-time flood forecasting system in Orissa and … Tamil Nadu; 14. Provision of specific institution support consultancy to CWPRS, CGWB, CWC and NIH. The TOR of the TA Consultancy, issued by the Government of the Netherlands, stressed the importance of adopting a Process Approach, while emphasizing the need to focus on institutional strengthening programmes, a.o. HIDAP, HDUG, MIS and HRD. Specifics on the TA’s activities for carrying out all these tasks and providing related support to the agencies are indicated in separate “boxes” along with the description of the development of the HIS in the Chapters 5 and 6 of this report. The present chapter describes the involvement of the TA in guiding and managing the implementation process, which was supported under its institutional development component (i.e. elements other than training, procurement of equipment and vehicles, etc.). 4.2 Phased implementation The implementation of HP from the perspective of the Technical Assistance (TA) went through the following four phases: 1. Inception Phase, in which the necessary groundwork for HP implementation, development of the organizational framework and planning of project activities took place;
  25. 25. Final Report (June 2003) Page 13 2. Development Phase, which comprised standardization of procedures and technical specifications, design of HIS, development of staff training curricula and planning; 3. Implementation Phase, in which the procedures and designed structures were gradually being implemented; and 4. Consolidation Phase, including support activities to arrive at sustainable operation of the HIS. All participating Central and State agencies went through the distinguished project phases, but duration and timing varied according to achieved progress. 4.3 Logical Framework for the HIS Throughout the Project implementation phases logical framework analysis has been applied to identify the outputs that the project must produce to meet its objectives. These outputs were the expected results of activities to be undertaken in the project. It is to be noted that the project activities were for the greater part carried out by the agencies, with no involvement of the Consultant in a line relationship. Hence, while TA activities were necessary for achievement of the project objectives, they must be seen as complementary to activities to be undertaken by the agencies. For each of the outputs a number of indicators were mentioned by which the achievement could be observed. In the logical framework, the identification of the TA activities was preceded by an assessment of the current status with respect to the relevant output. The proposed TA activities were directly related to this status. Next, the framework listed the inputs to be provided by the Consultant. These inputs were always of advisory nature, and were identified in terms of the individual TA staff members’ designations. Finally, the logical framework listed a number of assumptions on the basis of which the activities were expected to bear fruit. Following standard logical framework analysis practice, expectations that were most likely to become reality were not listed under assumptions. Although a number of assumptions were crucial for the successful completion of the project, none was deemed to be a “killer assumption” (i.e. not likely to become reality) for all agencies. However, some issues, e.g. availability of specialist staff in posts created, resulted in framing a “killer assumption” if staff could not be redeployed, trained, or recruited. Where such staff remained unavailable the TA had no option but to abandon the respective activity in such agency. This resulted in an automatic selection of the states, in which the TA continued the full range of its activities. As an example, Annex 2 presents the logical framework for the Consolidation Phase of the Project. The analysis points to the activities as from November 2001 required for building on and completing the work that had been ongoing since 1996. The activities mentioned have played an important role in the pursuit of this objective. 4.4 Developing the concept of the HIS The basic concept for the HIS was described in the SAR, culminating in the formal description of the specific output expected from the hydrology project: comprehensive, easily accessed, and user friendly databases covering all aspects of the hydrologic cycle, including surface water and groundwater in terms of quantity and quality and climatic measurements, particularly of rainfall. The resulting system was to comprise distributed data processing / storage centers from division / district level up to state and central level, and facilitate data sharing among different users (including non-traditional ones).
  26. 26. Final Report (June 2003) Page 14 Based on this formulation, the TA team further developed the concept of the HIS in line with accepted international practices, and formulated preliminary outlines of the system structure comprising a data collection network, a network of data processing capacities, and arrangements for data communication and dissemination. An element of the system that represented a departure from existing practices in most states was the development of a tiered network of water quality laboratories aimed at full coverage of the water quality aspect in the environmental context (i.e. beyond chemical analysis to determine suitability for irrigation and drinking water only). The concept developed by the TA team was first presented during a national-level HP workshop in Hyderabad in December 1996. This workshop not only addressed the technical requirements for HIS development, but also aimed at defining roles of the different parties in the process (coordination committees, SMCs, nodal officers, etc.). Following basic acceptance of the “pre-design” by this workshop, the TA further detailed the structure and processes of the HIS. The results of these activities were regularly discussed in dozens of technical workshops, many at national level and many others for one or a few specific states. For example, a workshop on standards for collection, storage, and processing of surface water data was conducted in May 1997, and similar workshops took place for groundwater and water quality. At the same time, the TA team maintained regular contact with the High- Level Technical Group on HP, which continually discussed progress on developments of the structure and data flow of the HIS. Finally, the conceptual development was discussed at regular intervals with the World Bank Review Missions. A key element in developing the HIS was the reliance on existing structures and authorities, and the determination to have the agencies develop “ownership” of the system. Existing responsibilities for data collection were generally accepted as they were without pressure for changing the basic distribution of authority. Instead, the TA team focused on developing greater efficiency and effectiveness. This did not focus so much on the responsibilities and authorities per se, but on elaborating and streamlining of processes and developing a more outward orientation. In this connection, the TA team greatly emphasized the need to institute data validation in line with scientific requirements. However, care was taken throughout the project to present the HIS not as a “new” system (any structured arrangement for collection, storage, and dissemination of data is a system, despite apparent flaws) but as a “technically improved and expanded” system. Throughout this process, the concept of the HIS became more and more clear and evolved into design of networks, data centers, laboratories, etc. The sequence and interrelationships of activities in developing the HIS were ultimately framed in the Model Hydrological Institutional Development Action Plan, which provided the conceptual structure for the implementation activities throughout the remainder of the project, as a reference point for both the TA team and the imple 4.5 Process approach The “advise and assist” role of the TA reflected the fact that the objective of the project was not just to develop a new technical system, but to change the way in which the concerned institutions approach hydrology, related data management, and dissemination of information as made possible by the introduction of the system. In other words, the thrust of the TA has been towards supporting the process of change by and within the implementing agencies.
  27. 27. Final Report (June 2003) Page 15 To this end, the TOR indicated a process approach to project management. The concept of the process approach is that, while the general objectives and direction of the project are defined, specific work programs need continuous monitoring, feedback from users, and adaptations as experience is gained. The process approach introduces flexibility in implementation, and aims to ensure full involvement of the participating institutions in the preparation of institutional development programs and related annual work programs. Thus, the process approach seems to contradict the usual project implementation practice in the agencies, which more likely interprets the SAR and TOR as a blueprint to be followed without deviation. Therefore, one of the main tasks of the TA was to assist the agencies in developing a process orientation. A flexible and process-oriented approach demands strong coordination of activities and management of the project both at the central and state government level. The SAR, and TOR, therefore, prescribed a strong steering mechanism through annual project review, comprising the following main elements for project management: 1. Hydrology Institutional Development Action Plan (HIDAP) – an annually reviewed and updated agency-specific plan focusing on management, organizational, and institutional development aspects of the project. 2. Hydrological Data User Groups (HDUG) – for feedback on user orientation and satisfaction with hydrological information provision. 3. National Coordination Committee, with a Project Coordination Secretariat for overall monitoring and evaluation. 4. State Project Coordination Committees for monitoring and evaluation of the physical implementation and institutional development components of the project. 5. Annual Project Reviews by each state and central agency. 4.6 Process management The TA has been involved with all the above five project management instruments. In keeping with the basic principles of the process approach itself, actual experience showed that some of these instruments were more effective than others. Hence, TA involvement with their application changed over time. Hydrological Data Users Group Particularly the HDUG concept has been difficult to implement. These groups were supposed to become the prime platform for user feedback and should advise on issues such as network layout, monitoring frequency, pricing of data, etc. However, as delays occurred in building the monitoring networks and data processing could not yet take place, such discussions remained too abstract and theoretical for the participants to devote real attention to them. In practice, the agencies related active participation and commitment to the utility they would derive from this effort in terms of their regular obligations. It is here that the HDUG concept showed its limitations for directing development of the HIS: as long as there was no functioning HIS, there was little enthusiasm for participation and, therefore, little contribution to thinking about the direction of development.
  28. 28. Final Report (June 2003) Page 16 Moreover, the inclusion of “new” data users in the HDUGs (i.e. other than the traditional hydrological data collecting agencies) proved to be a complication. The actual ownership and operation of the HIS would not change from the traditional agencies and these could, therefore, not easily accept a role for other users in the decision-making on system development. Nevertheless, with prodding from the TA the agencies have accepted the role for the new users. Picture 4.1: Meeting of HDUG Members In the early project years, TA activities in support of the HDUGs concentrated on defining their role and position, convening workshops to disseminate the HDUG concept, and an initial attempt to carry out data user surveys to identify existing and prospective data users and determine their actual information needs. It was hoped that these surveys would themselves provide an opportunity to expand the understanding of the HIS utility. However, due to the initial lack of enthusiasm only two test surveys could be conducted at that time. As time went by and the system came more and more “into view”, activation of the HDUGs became possible. The TA has supported this during the last three years of the project by developing HDUG Terms of Reference, assisting in formulation of the relevant establishment orders, proposing a standardized agenda, facilitating workshops, and participating in actual meetings to further explain the HDUG role, position, tasks, etc. Also, the data user surveys became possible again towards the end of the project, when there were more HIS issues to discuss. The HDUGs have now become established in all states and at the central level, with participation of traditional and new data users. Coordination Committees In the participating states, the TA has been actively involved in the functioning of the coordination committees through the State Management Consultants. The SMCs attended all meetings, provided guidance to the committee members on the state of the project, and suggested steps to be taken. The SMCs also supported the entities that functioned as the committee secretariats in setting the agendas for the meetings and developing documents for discussion. This support was generally provided to the office of a designated chief or superintending engineer in the water resources department. Apart from this, the consultant also advised the relevant entities in the individual surface and groundwater agencies.
  29. 29. Final Report (June 2003) Page 17 At the national level there has been extensive support to the PCS and the central agencies. Also at this level the TA participated in the meetings of the coordination committee. The TA has cooperated with the PCS on a continual basis on all substantive matters relating to the project (e.g. approval and circulation of documents and manuals) as well as on management of the implementation process. A particular contribution in regard of the latter was the implementation of a project management information system, through which the participating agencies could report on their progress. An early version of the project MIS was devoted mostly to implementation aspects of the development credit agreement (construction, procurement, training numbers, etc.). Subsequently, the consultant developed and introduced MIS-II to cover also the more operational aspects of system development. Day-to-day support to the implementing agencies in the states was mostly of process nature, focusing on liaison with the designated HP offices and motivation of the different agencies to pursue coordinated implementation of their responsibilities under the project. The SMCs, generally ex-Secretaries or Chief Engineers, were in an excellent position to keep the pressure on at all levels in the relevant organizations. In the early years of the project this proved to be essential, especially for bringing up to speed the construction and procurement processes. Annual Project Reviews The reporting schedule of the TA was tied to the annual project review, which took place in the fall, and which was updated in the spring of the following year. This regular monitoring of project implementation progress proved the main impetus for the review of implementation progress by the agencies. In practice, the agencies’ reporting schedule was aligned with the semi-annual visits of the donor supervision missions. In anticipation of the donor missions, the consultant regularly provided a report on the status of project implementation as perceived by TA staff both at the center and in the states. This consisted of brief explanations of the (absence of) changes in the numbers reported through the MIS (“the story behind the numbers”). Despite the fact that the MIS data originated from the agencies, the latter nevertheless also provided their own reports to the missions. The data used in these reports were often at odds with the data from the MIS. Early on in the project, the mission decided that the MIS should be the only source for data. Notwithstanding, with respect to interpretation of the data the missions conducted their own investigations, accepting the inputs from the TA and the agencies as contributions only. Hydrology Institutional Development Action Plan The annual reviews, and indeed also the activities involved in establishing the HDUGs, were to be based on Hydrology Institutional Development Action Plans. The SAR considered these an important element for sustainable and successful implementation of the project, to be based on the assessment of the capacities, potential and constraints of each agency with a view to identifying required resources, changes of procedures, or technical assistance which could usefully be introduced to strengthen institutional capabilities. The consultant devoted considerable time and resources to development and introduction of the HIDAP. As developed, the HIDAP was actually based on logical framework analysis. It was introduced through series of workshops in each state and at the center, in which the participating agencies were first familiarized with the approach, then provided their own “content” for the plans, and finally consolidated the plans into integrated SW/GW HIDAPs. The HIDAP workshops stressed participation by staff from all levels in all agencies to ensure
  30. 30. Final Report (June 2003) Page 18 understanding of and commitment to whatever was concluded in the sessions throughout the agencies. This was greatly appreciated, as for many of the participants this was the first time they were so involved in new developments, or indeed in any interaction with their colleagues from other divisions and districts. Notwithstanding the benefits of this involvement for overall understanding of the project, the fact that the agencies did all the substantive development work themselves resulted in plan documents that were very different in scope and detail. Therefore, based on this result, the consultant developed a “model” HIDAP, taking into account all the elements suggested by the agencies while ensuring a systematic and sequential linkage between the different activities to be undertaken in the project. This resulted in the following chapters for the model HIDAP: i) user needs; ii) network development; iii) data collection; iv) data processing; v) data communication; vi) data storage; and vii) institutional and human resources development. In each chapter, the HIDAP planning concept involved first identifying the overall development goal (to ensure common understanding of why HP was being implemented), and then identifying desirable improvements and measurable performance indicators by which to measure progress towards these. Finally, specific “output objectives” were formulated in terms of the performance indicators. In the workshops, the agencies were invited to identify the driving forces and/or restraining forces they would have to deal with in achieving the output objectives, and to formulate strategies and specific action plans to do this. For progress monitoring, “aspect plans” were introduced, in which similar activities for all the different action plans were grouped together and projected in terms of time and budget. This resulted in aspect plans for construction, procurement, training, staffing, and research and development. The important difference between the basic HIDAP and the associated aspect plans was that the former were explicitly output oriented, dealing with what was to be achieved, and the latter listed the inputs to be used to do this. 4.7 Impact of the HIDAP By the time of the mid-term review, the information collected for and presented in the HIDAPs became the basis for detailed project status reports. These reports showed for each agency the level of achievement towards the output objectives, in terms of the agreed performance indicators. Subsequently, these status reports were further refined in the State of Andhra Pradesh. They ultimately became the basis for so-called HIS Balanced Scorecards, which, using the most important indicators on just two pages, provided a balanced overview of achievement from an internal perspective, user perspective, and sector perspective. The combined efforts of the agencies and the TA resulted in a practical set of planning documents, which had two important benefits. The first was organization of the very diverse project activities during the early part of the project, providing direction to all concerned. This benefit was especially appreciated within the TA team itself, and continued to guide its activities to the very end of the project. As stated before, the TA had no direct responsibility for establishing the system, which was the job of the agencies. HIDAP planning allowed identification of constraints associated with the objectives listed for the different parts of the HIDAP. The TA’s strategy and activity planning focused on identifying TA outputs that would support the agencies in overcoming these constraints. Subsequently, in the annual review process, these outputs were assessed in terms of how the agencies had absorbed them, i.e. the extent to which the agencies could successfully make use of the TA support in these areas. Over time, this resulted in changes in direction of the TA activities.
  31. 31. Final Report (June 2003) Page 19 The second benefit of the completed HIDAPs was that they proved a ready summary of what HP was about. Since counterpart staff dealing with the project in the agencies frequently changed, especially at the senior levels, this was found useful for quickly becoming familiar with all the project elements and aspects. Unfortunately, the annual reviews by the supervision missions were perceived by the agencies as emphasizing physical progress towards credit disbursement. Consequently, in their reporting they devoted more attention to the inputs (trainees trained, buildings built, equipment procured, etc.) than on the outputs to be produced by ensuring that these inputs were applied in a timely, coordinated manner as described in the HIDAPs. Moreover, the HIDAPs were not part of the formal government reporting cycle, as a result of which the agencies gave less priority to their formulation and especially their updating. In fact, the Mid- term Review Mission reported annoyance among some agencies about the emphasis on HIDAP. Consequently, following the mid-term review the HIDAPs were given less emphasis and institutional development began to be focused more directly on specific activities such as organizational assessments, HDUG workshops, and cultural assessment workshops. In practice this meant that agencies ceased updating the HIDAP annually. 4.8 Continuing support for institutional development The organizational assessments were in-depth studies of how implementation of the HIS would affect three basic functions in the organization: the traditional operational function, the information system function, and the management function. Notwithstanding limitations posed by existing general Government procedures and policies (e.g. recruitment ban), the assessment sought to identify interventions to enable successful operationalisation of the system. The assessment focused on four conditions for organizational effectiveness: operational capability, operational flexibility (both addressing the track record of the implementing agencies as organizations), staff capability, and staff motivation. Combination of the basic functions and the conditions for effectiveness resulted in a matrix for analysis. The first step in the analysis involved identification of perceived strengths and areas for further improvement in each of the cells. The second step identified possible actions to achieve further improvement, by building on existing strengths wherever possible, culminating in a set of interrelated recommendations for each of the three basic functions. One of the prime potentially limiting factors that came out of these assessments was the prevailing organizational culture. Clearly, despite all the efforts for HIDAP planning, the HIS units still had no clear vision for development. This was mainly due to norms and value systems that were incompatible with internalizing the type of change introduced under HP. Therefore, the TA commenced workshops on “HIS sustainability and organizational culture” to address these issues in more detail. As previously in HIDAP, these workshops sought to develop specific action plans for improvement. Following the workshops, the agencies involved, with support from the consultant, established task forces and core committees, with well defined terms of reference, to develop “Mission and value statements” and agendas for “Change-action for HIS sustainability”. These activities continued to the very end of the project and succeeded in generating more enthusiasm and commitment within the agencies for aspects such as efficiency, quality consciousness, etc. that are so important for sustainability of the HIS.
  32. 32. Final Report (June 2003) Page 20 4.9 Institutionalisation of a sustainable HIS Successful introduction and operationalisation of the HIS demands a series of changes in the institutional setting, technology, systems, policies, procedures, and human processes. The technological change introduced under the project is immediately measurable. Tangible improvements include setting up modern physical infrastructure, introduction of technologically superior and sophisticated data collection equipment, computerized data processing tools and techniques, etc. However, the road to acceptance of the requisite changes in management systems, policies, and procedures is longer and more tortuous, because this depends on the administrative hierarchy and the implications beyond the immediate HIS organization. The consultant has focused on strengthening a variety of institutional mechanisms to remove apparent weaknesses and at the same time enhance existing strengths. In this process, a number of challenges have been tackled. These are found in three different domains: • Structure and systems • Policies and procedures • People and processes Structure and systems This is one of the most difficult areas in which to induce change, for in a government setting this generally comes under the purview of a larger parent organization. Moreover, the gestation period between initiation and implementation of systemic and structural change tends to be long. Nevertheless, a number of successes have been achieved, such as: i) integrating water quality analysis in the traditional domain of quantity measurement; ii) application of domain-specific standardized systems of data collection, processing, and validation; iii) establishment of a uniform HIS organization structure in most states; iv) formation of training cells headed by a training coordinator; v) introduction of a system for preparing staffing and training plans; etc. Policy and procedures The implementing organizations are by and large free to determine their own routine policies and procedures. Only policies with larger inter-departmental implications are referred to the parent organizations. This made it possible for the TA to introduce a variety of procedural changes. One of the models of this initiative is the formal release of several HIS-specific administrative orders, inter alia: i) procedure for O&M budgeting; ii) introduction of O&M procedures; iii) adoption of uniform water quality sampling procedures; iv) expanding the HDUG membership base to include local NGOs and formation of task-specific specialist groups; v) introduction of protocols for HIS data flow, inter-agency data validation, data exchange, and data dissemination; vi) outsourcing of water quality analysis where specialist staff were unavailable; etc. People and processes The TA has devoted considerable time and resources to have an impact in these mostly intangible yet very important domains. Adoption of the model HIDAP, successful institutional transition from a rigid compartmentalized outlook towards a more integrated water resources management perspective, active participation of field level staff in division-level HIS
  33. 33. Final Report (June 2003) Page 21 operationalisation workshops, adoption of computerized work practices, open-minded approach to commence inter-agency data exchange, agency-wide emphasis on quality- oriented and error-free HIS, are all manifestations of changes resulting from the activities under the project. These results have been possible due to different pro-active TA activities undertaken during the project. Activities particularly relevant to post-HP sustainability are the following: • Promoting the establishment of a national level HIS Coordination Committee, which is to take over the activities of the NLCC/NLSC and should function as the policy- level forum for coordination between the participating states and the central agencies. The committee is to be supported by a coordination secretariat (HIS- CS). • Establishment of the National level Water Quality Assessment Authority, with legal mandates for promoting standardization of procedures for WQ monitoring. The TA described the need for this body, elaborated the related terms of reference, and aggressively promoted the concept to concerned ministries. Consequently, the authority was established in 2001. Post-HP, the HIS-CS may provide support to this authority. • Activation of an HIS helpdesk – The TA established this helpdesk during the project. Post-HP this function should be performed by the national level Data Storage Centers of the CWC and CGWB, respectively. The DSC of the CWC is being set up in the office premises to be vacated by the TA, while the CGWB is establishing its DSC in its offices in Faridabad. • HIS operationalisation workshops – A series of regional/divisional level workshops addressing management issues and shaping attitudes for the field and middle level staff, related to monitoring quality control of the generated data. Post-HP, these workshops should be repeated annually as part of the regular training calendars. • HIS management workshops for enhancing personal effectiveness – To instill a quality conscious and time-efficient work ethos, allowing HIS personnel to function effectively despite constraints posed by general policies and regulations. • HIS promotion at decision-making levels – To ensure continued budgetary and management support by the higher-level decision-makers, the TA has started activities such as: public relations, providing media visibility, awareness creation, publication of newsletters, lobbying for staffing, etc. Post-HP these activities should be continued by the national-level HIS Coordination Committee. • Continued HIS training solutions – As the HIS develops, and as staff are reassigned, a continued training effort is essential. To make this possible, HIS training cells have been established in each of the agencies, long-term personalized training plans have been documented, and contacts have been established with central training institutes. • Protocols – A number of manuals have been prepared on a variety of aspects such as data collection, WQ sampling and analysis, data entry, validation, etc. Related protocols have been formulated to ensure timely and uniform application of the different procedures. Apart from these activities, the TA has ensured the continued availability of the source material for development and management of the HIS by creation of an electronic HIS Library on the HIS website. The HIS library contains all documents prepared under the project (or samples thereof where appropriate). A comprehensive catalog (Annex 3) has been placed on the HIS Website with links to the related documents.

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