RP1601 DAM SAFETY AND WATER RRESOURCES PLANNING (Additional Financing Project) SOCIAL ASSESSMENT AND MANAGEMENT PLAN Project Management Unit, Dam Safety and Water Resources Planning Project Ministry of Irrigation and Water Management Government of Sri Lanka March 5, 2014 Contents 1. Introduction 1 11. Water Resources and Socio-Economic Development - People 7 - Economy 7 - Social Indicators 8 - Sum-up : Socio Economic Setting 10 - Water Resources Development, challengers and future directions 11 111. Stakeholder Analyses - Diversity Analysis 13 - Socio-Economic Diversity 14 - Usage Diversity 14 - Stakeholder Mapping 15 - Direct Beneficiaries 15 - Indirect Beneficiaries 18 - Other Interest Groups 19 - Expectations and Likely Benefits 19 - Issues and Concerns of Stakeholders 21 - Key Issues of Significance 25 IV. Service Delivery - Water Organizations 26 - Mahaweli Authority of Sri Lanka 26 - Field Canal (FC) Level Farmer Organizations 27 - Distributory Canal Organization ( DCO ) 28 - Unit Management Committee ( UMC) 28 - Block Management Committee ( BMC) 29 - Project Management Committee ( PMC ) 29 - Irrigation Department 30 - Description of Joint Management System 30 - Field Canal (FC) Level Farmer Organizations 30 - Distributory Canal Organization ( DCO ) 31 - Project Committee ( PC ) 31 - Composition of the PC 31 - Agrarian Development Department 32 - Ceylon Electricity Board 32 - Fishermen / Organizations 32 - Salient Features / Issues from a Social Development Perspective 33 - Management Structure in System under Integrated Management of Major Agricultural Schemes ( INMAS ) 34 2 - Mahaweli Authority of Sri Lanka Organizational Structure 35 V. Impact Assessment Positive Impacts - Water Using Communities 37 - Water Managers 37 - Service Providers 38 - Regulators / Administrators / Coordinators 38 - Policy Makers and APLX Administrations 38 - Public/ Nation at Large 39 Negative Impacts - Water Users / Consumers 39 - Water Managers 40 - Service Providers 40 - Regulators / Administrators / Coordinators 40 - Policy Makers and APLX Administrations 40 VI. Impact Mitigation - Selection of Dam 41 - Interruption of Water Flows and Impacts 44 - Mitigation Management 44 - Voluntary Participation 45 - Public Consultation, Information, Education and Communication ( IEC ) 45 - Coping Assistance Plan 46 - Wage Assistance 47 - Gender Action Plan 47 - LSA Administration 48 - Physical Cultural Resources ( OP 4.II ) 53 VII. Risks - Risks without DSWRPPP Project 59 - Social risks of the project) if the DSWRPPP Project is Implemented 59 - Risk during the planning stage 59 - Risk during implementation stage 60 - Social safeguards 60 - Social safeguards during planning stage 60 - Social safeguards during implementation stage 60 3 VIII. Monitoring Indicators and General Framework for M&E - Monitoring and Evaluation 63 - Livelihood Coping Assistance 63 Tables Table 1 – Direct and Indirect Beneficiaries of the Project 16 Table 2 – Expectations of the Stakeholders and Likely Benefits 19 Table 3 – Issues and Concerns of Stakeholders 22 Table 4 - Category III & IV Dams in DSWRP Project 42 Table 5 - Final List of 32 dams under Consideration in Remedial Works 43 Table 8 – Process Map / Cycle 50 Table 9 - Conclusion 63 Figure 1 – Livelihood Support Assistant (MASL Dams) 55 Figure 2 – Livelihood Support Assistant (ID Dams) 56 Figure 3 – Proposed Implementation Structure (MASL) 57 Figure 4 – Proposed Implementation Structure(ID) 58 4 Acronyms ACP Alternative Copping Plan LSA Livelihood Support Assistance ADB Asian Development Bank LSF Livelihood Support Facilitator ADD Agrarian Development Department M&E Monitoring & Evaluation AO Agricultural Officer MA Marketing Assistant AFP Additional Finance Project MASL Mahaweli Authority of Sri Lanka BM Block Manager MDC Millennium Development Cooperation BMC Block Management Committee MOU Memorandum of Understanding Mahaweli Reconstruction CAP Copping Assistance Plan MRRP Rehabilitation Project CBOs Community Based Organizations NGOs Non Government Organizations National Water Supply & Drainage CDO Community Development Officer NWS&DB Board CDS Community Development Specialist O&M Operational & Maintenance CEB Ceylon Electricity Board PCU Project Coordination Unit DC Distributary Canal PD Project Director DCOs Distributary Canal Organizations PM Project Manager DG Director General PMC Project Management Committee DMC Disaster Management Center PMU Project Management Unit DOA Department of Archeology PRA Portfolio Risk Assesment DRPM Deputy Resident project Manager RBPS Risk Based Profile System DS Divisional Secretaries RPM Resident Project Manager DSMC Dam Safety Management Center SO Supporting Organization Dam Safety & Water Resources Planning DSWRPP Project TOR Terms of Reference EMC Environmental Monitoring Committee UDA Urban Development Authority ERD External Resource Department UM Unit Manager FA Field Assistant UMC Unit Management Committee FC Field Canal UNDP United Nations Development Program FCS USBR United State Bureau of Reclamation Fos Farmer Organizations WAP Wage Assistance Plan GA Government Agencies WB World Bank GAP Gender Action Plan WMP Water Management Panel GDP Gross Domestic Product WMS Water Management Secretariat GN Grama Niladari WSS GoSL Government of Sri Lanka GRC Grievances Redress Committee ICR ID Irrigation Department IDA International Development Agencies IDOs Institutional Development Officers IE Irrigation Engineer IEC Impact Evaluation Committee IMD Irrigation Management Division IMMAS Integrated Management of Major Agricultural Schemes JBIC Japanese Bank of International Cooperation JICA Japanese International Cooperation Agency JMC Joint Management Committees LCA Livelyhood Coping Assistant LO Land Officer 5 Dam Safety & Water Resources Planning (Additional Financing Project) Social Assessment & Management Plan I Introduction 1. Sri Lanka’s Ministry of Agriculture Development & Agrarian Services and the World Bank are currently engaged in preparing an Additional Finance Dam Safety and Water Resources Planning Project (DSWRAFPP) which chiefly aims at reducing water induced hazards and enhance the effectiveness of water resources planning in Sri Lanka. This objective is to be achieved through: improving dam safety and operational efficiency; upgrading and modernizing the country’s hydro-meteorological information system; providing technical assistance and pilot interventions for integrated water resources planning and management; and supporting institutional development and capacity building of the relevant national agencies. 2. By ensuring dam safety, in particular, and public safety, in general as well as improved water resources allocation and management, the project would stimulate growth and diversity of the economy. This, in turn would also contribute towards achieving the broader goal of poverty reduction, through the higher productivity and incomes of small and marginal landholders, and increased opportunities for employment and livelihood support for the rural landless. Essentially, the proposed AFP, aimed at doing ‘more of the same’, builds on the on-going successfully managed DWRSPP (Cr- ….) which in turn was premised on the recommendations of the ICR of World Bank funded Mahaweli Restructuring and Rehabilitation Project (Project ID: P034212) closed on December, 2003.. 3. DSWRPP project preparation had well recognized that the stakeholder profile is not homogenous, rather, it encompasses a variety of diverse set of beneficiaries (direct as well as indirect) comprising a number of sub-groups identifiable based on differentials in: type of water resources/ structures (ancient/ modern dams); the place of living (in terms of proximity to the dam), sources of livelihood, occupational pattern, and skill base. Therefore challenges lie in addressing the requirements of all sub-groups, with special attention towards the rural poor whose livelihoods depend directly upon the dams proposed for project intervention. Besides, there are a large number of other interest groups, both external and internal to the program, which would have differing degrees of influence and impact on project activities and outcomes. Hence, mapping different stakeholders and soliciting their views, to be incorporated into the designing of this project was recognized as essential. Towards this end, and as a part of the project design, GoSL had enlisted the services of an external consultant firm and conducted a Social Assessment and consequently mitigation measures viz., social management plan (SMP). The Plan was successfully implemented in the original project and rich experiences have been gained. Drawing upon the experiences gained so far, this document updates the 6 earlier conducted social assessment (SA) and social management plan (SMP) for the AFP. 4. The report has --sections. Section I, viz., this section, serves as an introduction. Section II is devoted to providing an insight into water resources management in Sri Lanka in the prevailing socio-economic setting, paving way for introducing the Development Objectives as well as Components of the AFP. An array of ‘diversity’ as well as stakeholder profiles and analysis are presented in Section III. Current institutional arrangements for service delivery reflecting the existing governance and management bodies are depicted in Section IV. Section V is devoted to Impact Assessments. Social Management Plans along with the Institutional as well as Implementation arrangements for implementing the SMP are discussed in Section VI. Sections on details related to Risks (Section VII) and Monitoring and Evaluation (Section VIII) follow towards the end. 7 II. Water Resources and Socio-Economic Development People 1. The Democratic Socialist Republic of Sri Lanka (formerly known as Ceylon) is an island in the Indian Ocean about 28 kilometers off the southeastern coast of India with a population of about 19 million. Population density is highest in the southwest where Colombo, the country's capital as well as the main port and industrial center, is located. The net population growth is about 1.3% per year. Sri Lanka is ethnically, linguistically, and religiously diverse. 2. Sinhalese constitute 74% of the population and are concentrated in the densely populated southwest. Ceylon Tamils, citizens whose South Indian ancestors have lived on the island for centuries, account for about 12% and live predominantly in the north and east. Indian Tamils, a distinct ethnic group, represent about 5% of the population. Other minorities include Muslims (both Moors and Malays), at about 7% of the population; Burghers, who are descendants of European colonists, principally from the Netherlands and the United Kingdom (U.K.); and the Veddahs (aboriginals who have now assimilated fully into the mainstream). Most Sinhalese practice Buddhism; and majority Tamils, Hinduism. The majority of Sri Lanka's Muslims practice Sunni Islam. Sizable minorities of both Sinhalese and Tamils are Christians, most of whom are Roman Catholic. The country’s constitution (1978), while assuring freedom to practice all religions, grants primacy to Buddhism.1 Economy 3. The country context has changed dramatically in recent years. A 26-year conflict ended in May 2009, and resettlement of internally displaced persons is largely complete. The macroeconomic situation is much improved. Sri Lanka has become a middle-income country, and its credit-worthiness has opened its access to International Financing Agencies. 4. With an economy worth $64 billion (2012 IMF estimate) ($170 billion PPP estimate), [1] and a per capita GDP of about $7900 (PPP), Sri Lanka has mostly had strong growth rates in recent years. In GDP per capita terms, it is ahead of other countries in the South Asian region. The main economic sectors of the country are tourism, tea export, apparel, textile, rice production and other agricultural products. In addition to these economic sectors, overseas employment contributes highly in foreign exchange, 90% of expatriate Sri Lankans reside in the Middle East. 1 Bureau of South and Central Asian Affairs. 2006, Background notes on Sri Lanka 8 5. A look back at growth performances of other comparable economies, post-Global Financial Crisis (GFC), shows Sri Lanka maintaining relatively stronger growth of over 8% in both 2010 and 2011, largely spurred by private-sector demand. Sri Lanka posted the fastest growth in South Asia in 2011 and was expected to achieve the same in 2012. Growth remained strong in the first half of 2012 at 7.2%, but for the year as a whole it is expected to decline to around 6.5% – largely owing to the weakening external demand and tighter credit conditions domestically. 6. Sri Lanka was able to maintain relatively strong growth (about 5% per year) even during the war, though growth dropped to 3.5% in 2009 during the final military campaign, which coincided with the GFC. The post-conflict rebound helped all sectors both on the supply side and the demand side: Agricultural land in conflict-affected areas could once again be cultivated; double shifts in manufacturing became possible as workers no longer had to worry about security restrictions; domestic consumers’ and investors’ confidence revived; and services related to tourism picked up as tourist arrivals surged after the end of the war. 7. As Sri Lanka’s economy grew, unemployment and poverty rates have fallen. As of the second quarter of 2011, unemployment was only 4.2%, though higher among youth, women, and the more educated. Poverty rates have also fallen, from 15% of the population in 2006-07 to 9% in 2009-10. The most dramatic declines have been in the estate sector (from 32% to 11%) following a major wage increase at the beginning of 2010. Poverty rates in Colombo District are under 4%, though there are pockets of poverty in all other parts of the country 8. Sri Lanka’s income inequality is severe, with striking differences between rural and urban areas. About a quarter of the country’s population of 19.7 million remains impoverished. Civil conflict, declining agricultural labor productivity, lack of income- earning opportunities for the rural population and poor infrastructure (outside the Western Province) are major impediments to poverty reduction. 9. The service sector contributes the largest to the GDP, amounting to 55.8% of the total. In 2005-06, the service sector continued its strong expansion, fueled primarily by strong growth in telecommunications, trading and financial services. Public administration and defense expenditures have remained steady in 2005, but likely to have increased in 2006. There is also a growing information technology sector, especially information technology training and software development and exports. The tourism sector suffered in 2005 following the Tsunami. While beach resorts have been rebuilt, tourism remains well below potential. Manufacturing accounts for about 16% of GDP. The textile, apparel, and leather products sector is the largest, accounting for 39.5% of total industrial output. The second-largest industrial sector, at 22.4% of total manufacturing output, is food, beverages and tobacco. The third-largest industrial sector is chemical, petroleum, rubber, and plastic products. The construction sector accounts for 7.2% of GDP and has posted strong growth rates in 2005-6. Mining and quarrying account for 1.9%. 9 10. Agriculture has lost its relative importance to the Sri Lankan economy in recent decades. It employs 33% of the working population, but accounts for only 17.2% of GDP. Rice, the staple cereal, is cultivated extensively. The plantation sector consists of tea, rubber, and coconut. In recent years, the tea crop has made significant contributions to export earnings2. On the whole, agriculture has shrunk as Sri Lanka’s economy has grown. Agricultural sector’s share in GDP has declined (by 8%) even as per capita income grew. Social Indicators 11. Sri Lanka has done remarkably well in respect of social development indicators. Per capita income growth and social indicators for Sri Lanka with the World Bank’s top ten debtor countries provide evidence of Sri Lanka’s achievement in social development over the past decades. Sri Lanka is on track to meeting most of the Millennium Development Goals. UNDP has identified Sri Lanka as an early achiever on 10 of the 21 indicators, including those related to the goals of universal primary education and gender equality. Sri Lanka is also expected to meet the goals of maternal health and HIV/AIDS. However, Sri Lanka is making slower progress on the goals related to malnutrition and child mortality. Indicators are mixed on the environment goal: While Sri Lanka is an early achiever on indicators of protected area, ozone-depleting substance consumption, safe drinking water, and basic sanitation; it has stagnated or is slipping backward on forest cover and CO2 emissions. Poverty in Sri Lanka continues to be a growing problem despite Sri Lanka being an exceptional country with its life expectancy, literacy rate and other social indicators nearly on par with those of developed countries, and even topping the rankings for the South Asia region.[1] While all these indicate that Sri Lanka should be experiencing a high standard of living, until recently it has only ranked in the medium category of the Human Development Index(HDI).[1] This is despite the fact that Sri Lanka has been experiencing moderate growth in its GDP averaging 5.5% per annum between 2006 and 2009.[2] One of the reasons is due to its relatively low GDP per capita; currently ranked in the bottom one third of the world.[2] This could be due to the issue of poverty, specifically, rural poverty. As with all prolonged conflicts, social inclusion has been slow to be established. A long- lasting solution to the ethnic problem and putting in place effective means of addressing grievances of minority communities is vital for sustained peace. Sri Lanka’s demographic transition is having dramatic impacts on education and health as well as the economy. By 2036, more than 22% of the population will be over 60 and there will be 61 dependents per 100 adults. This is bound to have larger implications on the public services (water, sanitation, education and health, in particular) and social protection as , a very small number of employed persons will need to provide for a very 2 Bureau of South and Central Asian Affairs. 2006, Background notes on Sri Lanka 10 large number of non-working people – straining the budgets of families and the government. Current Issues 12. Sri Lanka's economic and social indicators, against several odds, are comparable with those of far wealthier Asian nations due to a wide range of pro-poor policies and programs including subsidized health, subsidized education, targeted food subsidies, subsidized transport, and broad-based family planning services, which have been in existence for several decades. However, rural poverty continues to be an area of concern. GOSL does recognize this and has been making substantial investments, specially for irrigation development. In fact, irrigation development has been the main strategy of rural development which is underpinned chiefly by the resettlement of landless people living in the densely populated areas of the wet zone in scarcely populated dry zone areas. The main objective of these irrigation and settlement projects were achieving self sufficiency in food production, mainly rice, while addressing rural poverty issues. The Government of Sri Lanka (GoSL) spent about Rs.215 billion rupees from 1980 – 1997 on developing irrigation infrastructure alone. Most investment in irrigation focused on the construction of new dams for power generation and surface irrigation systems, which were closely linked with the government’s program to resettle landless people, mostly from the wet zone, to the newly operated irrigated settlement schemes in the dry zone. With the implementation of projects like Mahaweli in 1970s adding 120,000 ha of net irrigated areas to the existing 85,000 ha of irrigated land in the dry zone contributed to the rapid growth of rice outputs after 1980. 13. As primary focus during the early stage was increasing rice production and reducing poverty, the government provided various kinds of subsidies and assistance to farmers who were settled in new irrigation schemes. The total cost for operation and maintenance (O&M) of the irrigation systems were borne by the government creating a dependency syndrome in farmers on government for operation and maintenance of the system. However, with the expansion of irrigation areas, the irrigation systems are faced with multiple problems such as inadequate funding for O&M of the systems leading to deterioration of the canal systems that result in poor quality service such as water shortage. Poor reliability of water delivery and frequent lack of access to water by tail enders combined with lack of access to agricultural extension and improved technologies, contribute to low crop yields and finally low income. In addition, high production cost and low prices for paddy has made irrigation rice farming less profitable. 14. Attempts for promoting high value crops, mainly other crops requiring less water have been unsuccessful due to physical design of the canal system, marketing problems and many other socioeconomic and institutional constraints. In addition, land fragmentation in the irrigation schemes with the population growth has made the land economically non-viable. As a result, many farming households in the settlement areas have become subsistence farmers, even though they were expected to operate their farm land as commercial enterprises. It is now well recognized that to reduce poverty through stronger overall economic growth, rural development is critical. In other words, improvements in livelihoods for farming households are invariably related to ‘irrigated agriculture’ and water resources development and management remains critical to socio- 11 economic development of rural households, the challenges for which are quite diverse and unique. One of them relates to the ‘safety’ of the dams, as many of the irrigation infrastructure are in a poor ‘repair’ conditions posing concerns not only on economic front but also public health safety. Water resources development, challenges and future directions 15. Water resources development in Sri Lanka has contributed significantly to the country’s economic growth, poverty reduction and environmental health. At present, about 85 percent of the developed water resources are used for irrigated agriculture in the dry zone3 which covers nearly two-thirds of the country. Although the country’s annual average precipitation is in excess of 2000 mm per year, certain parts of the island suffer from frequent seasonal water deficits, prolonged dry spells and floods as a result of large temporal and spatial variability of rainfall. Consequently, development and management of water resources, primarily surface water, remain a high priority of the government. It is in this context that the following four issues and associated challenges are identified as critical. 16. First, the major dams of the country are aging and suffering from various structural deficiencies and shortcomings in operation and maintenance facilities. This situation threatens safety and operational efficiency of the dams and its appurtenant structures. If the dam safety risks are not addressed before it is too late, the safety of many human lives and public/private infrastructure downstream of most dams could face serious threat. 17. Second, the Constitution of Sri Lanka delegates the management of inter- provincial rivers and irrigation schemes (rivers/irrigation that run across more than one province) to the Center and of provincial rivers and irrigation schemes to respective provinces. However systematic and scientific water allocation and management in these river basins, particularly of inter-provincial rivers, is difficult due to lack of policy and institutional arrangements. Formulation of the same requires an efficient Hydro- meteorological Information system which currently is grossly outdated. The drought and flood hazard forecasting and warning systems as well as the use of modern decision support tools for water planning and management are virtually nonexistent. 18. Third, there is a growing need to efficiently allocate and manage water resources in an integrated fashion within a river basin context supported by a coherent policy and institutional framework. One major factor is the growing water demand and conflicts in a number of river basins that necessitates a sound basis for water sharing and allocation. Competition among different sectors and users are increasing dramatically resulting in disputes and conflicts. A potentially major issue is the need to define water rights and allocation arrangements between the conflict-affected North-East region and the adjoining provinces in a few major rivers. 19. Fourth, Government has been implementing a process to establish a national water sector policy, legal and institutional framework. The World Bank complemented this process by triggering the transformation of a lead water development agency 3 Rainfall pattern divides the country into wet and dry zones. The wet zone receives a mean annual rainfall over 2,400 mm and the dry zone less than 1,200 mm, with a uni-modal rainfall distribution. 12 (Mahaweli Authority of Sri Lanka) to a river basin water management agency. However, the policy and institutional reforms in Sri Lanka have been slow. 20. The original project was designed to address the above sector issues and challenges. This was also in conformity with the recommendations of the ICR of the closed IDA financed MRRP (Report 28927 LK, May 2004) : (i) continued support for dam safety assurance program; (ii) dam safety legislation, institutional arrangements and capacity building; and (iii) management of major watersheds. AFP aims at doing ‘more of the same’ and the Development Objectives as well as components provided hereunder. AFP Development Objectives 21. The objectives of the project are to: (i) establish long-term sustainable arrangements for operation and maintenance of large dams; and (ii) improve water resources planning. This will be achieved through three main project components: (i) dam safety and operational efficiency improvement; (ii) meteorological information system improvement and, (iii) multi-sector water resources planning. Project Description 22. Component 1: Dam Safety and Operational Efficiency Improvement: The expected outcome of this component will be enhanced safety of selected high-risk dams and sustainable institutional arrangements for effective dam safety management and operation and maintenance (O&M). This is being achieved through: (a) remediation works for 32 high-risk dams, including replacement or repair and painting of hydro- mechanical works (gates), upstream embankment protection with rip-rap, grouting, construction or cleaning of toe drains, replacement or repair of sluice gates, and rehabilitation of spillways; (b) provision of basic safety and operational facilities for 80 dams, including access roads, communications, monitoring instruments, floodlights, and maintenance equipment and tools; (c) preparation of operation and maintenance manuals for all 32 project dams; (d) emergency action plans (EAP) for selected dams; and (e) the establishment of a Dam Safety Secretariat. Under the Additional Financing (AF) an additional 28 high- and medium risk dams will be included in the dam safety remedial works program. (ii) Component 2: Hydro-Meteorological Information System (HMIS): The expected outcome of this component would be enhanced staff capacity and physical and analytical infrastructure for monitoring hydro-meteorological data, detecting and forecasting water hazards and assessing water resources for multi-sectoral planning, development and management. This component would comprise: (a) Establishment of 122 hydrometric stations; (b) Establishment of data banks at the Irrigation Department (ID) and the Department of Meteorology (DoM) and improving the analytical capability of staff; (c) Establishing procedures and providing tools and training for real-time analysis of flood situations in the influent streams of some major reservoirs; and (d) Groundwater monitoring and assessment including support to upgrade the groundwater database. This component would finance goods, consultancy services and minor civil works. 13 Under the AF, another 20 hydro-meteorological stations will be established and the monitoring at the 7 ground water pilots will continue and one additional pilot area will be developed. (iii) Component 3: Multi-sectoral Water Resources Planning: The expected outcome of this component will be a national water use master plan, an updated Mahaweli water development plan, and the Mundeni Aru river basin plan. Support will mainly be through consulting services. The AF will support the preparation of feasibility studies for key developments identified in the three plans that were prepared under the original component 3. It will also support the improvement to ID training center at Galgamuwa and MASL training center at Kotmale so that the training program on various aspects of dam safety and water resources planning and management for staff of the ID and MASL, and other water management agencies can be carried out in-house. Given the above, of doing more of the same, this document updates the SA and SMP done earlier for the original project. 14 III Stakeholder Analyses Diversity Analysis. 1. The Project recognizes that the heterogeneity among the stakeholders arise primarily due to differentials in respect of water resource structures, socio-economic characteristics, water resource usage pattern, and water managers as well as service providers. Hence, it is essential that a brief insight into this ‘diversity’ is made before moving on to stakeholder analysis.4  Physical diversity in the proposed project context is reflected in the time of establishment, typology and the usage of dams. Based on the time of establishment, it is categorized broadly into ancient and modern dams. Most of the ancient systems have been renovated and rehabilitated during the British period and after the country gained independence. Modern systems too have been rehabilitated from time to time for proper functioning and addressing as and when the physical defects such as leaking and cracks etc have surfaced.  Typology could be many – tanks, reservoirs, tanks with independent catchments or sharing with others, tanks receiving water independently on its own or from the spills or return flows from another dam, etc. In some cases, a particular reservoir may only have a relatively small command, but could play an important role in conveying water to some downstream sub systems. On the purpose a dam can serve, it could be either exclusively for irrigation or it could be for multi-purpose use. They can be categorized as diversion structures or trans basin diversions or those used for water storing or flood protection.  A good number of the schemes/ structures form a part of the major systems, some serving large command areas while some divert water to a number of reservoirs in complex systems used for irrigation, power generation and other purposes. For example, the Polgolla dam (barrage) diverts water in the Mahaweli River, a major river in the country to Ukuwela through Suduganga to Bowatenna and from Bowatenna to reservoirs in the Kalawewa basin and Huruluwewa in Yan Oya basin in the North Central Province. The Minipe trans basin canal supplies water to Loggal Oya, Ratkinda and Ulhitiya reservoirs. In contrast, Usgala Siyambalangamuwa reservoir, fed from the Siyambalangamuwa Oya, a tributary of the Kala Oya serves a smaller command area than other systems studied. In some cases, reservoirs like Chandrikawewa are only a sub system in the Udawalawe complex, but play an important role in conveying water to other sub systems as the Walawe Right Bank (RB) canal runs through it. These physical diversities are important factors to be considered in identifying both likely positive and negative impacts of the projects on socioeconomic and physical environments in the areas concerned. 4 Institutional Diversity is discussed in a separate section, as a part of the Institutional Analysis. 15 Socio-Economic Diversity. 2. The irrigation settlement schemes in Sri Lanka comprise of multi ethnic and multi religious groups. The main ethnic groups are Sinhalese, Muslims and Tamils. Tamils and Muslim communities are found more in the irrigation systems in the Northern and Eastern part of the country while the Sinhalese are dominant in the North Central and Southern dry zone irrigation settlements. Sinhalese Buddhists form the bulk in the North Central, Central, Southern and North Western Provinces. Muslims are predominant in the Eastern parts, whereas a mix of Tamilian Hindus and Muslims are found in the North and Eastern regions.  Though the differences based on caste were reported at the initial stages of these irrigation settlements, these differences have disappeared with time and community solidarity based on the settlement (village, hamlet etc.) has emerged as a result of living together in the same village/hamlet for long periods. All these settlements are fairly old, having been established from the 1950s to the 1980s.  However, differences based on economic status are clearly observed in these settlements. There are settlers who have accumulated wealth through money lending, cultivation of large extent of land through mortgage and other leasing arrangements and diversification of economic activities, remittances from family members (some employed overseas), hiring and rental of tractors and other agricultural equipment, etc. In the course of the settlement process, some farmers have lost their land through sale and mortgage and become landless, even if the transactions may not be strictly legal. In addition, land originally allocated to settler families has become fragmented through distribution to the second and third generation of the settler families. Some have encroached on reservations for housing and cultivation purposes. The research on socioeconomic conditions of these systems shows that poverty is widespread among the second and third generation members of these communities earning a livelihood as non-owner operators whose main income sources are on-farm and non- farm employment such as wage labor. In addition, many of them pursue Chena farming on encroached government land (Somaratne, P.G. Unpublished)5 Usage Diversity. 3. Water diverted or stored have multiple uses: agriculture, power generation, domestic, livestock, fisheries, industry, recreation and for sustaining the environment. In order to cater to these various uses, water has to be issued via diversion structures and sluices of the dams on a regular basis and water levels need to be maintained at appropriate levels even between cultivation seasons. So, any disturbance to water availability/ flows will likely affect some sections of the community that would be dependent on the continued availability of water for domestic water supply schemes, 5 .Someratne, P. G. Jinapala, K.and Rebecca Tharme, Livelihood/socioeconomic dynamics with different stages of irrigation development and implications for biodiversity conservation: Walawe Left Bank Irrigation Upgrading and Extension Project, southern Sri Lanka, Technical Report (Final Draft), International Water Management Institute, (unpublished) 16 highland crops, bathing and washing, livestock, industrial and business activities and fishing. Stakeholder Mapping 4. A stakeholder is defined as an individual or agency that can be either impacted by, and/or impact on, the project. From an administrative perspective, stakeholder mapping is done normally taking into account different administrative/ geographical levels or jurisdiction – national, provincial, district, divisional and village. From a functional viewpoint, the discussions are made under four categories i.e. direct beneficiaries, indirect beneficiaries, pressure groups and other interested groups. It may however be noted that this categorization is done for practical purposes. The first two categories, direct and indirect beneficiaries, are relatively easy to map, and so is the ‘other interest groups’ category. Chief Direct Beneficiaries include: agricultural/ rural households eking livelihoods from the services provided through the candidate dams; residents in and around the dams; and the public sector service providers (Irrigation and MASL as well as Ceylon Electricity Board- CEB). Indirect beneficiaries include: consultants, suppliers, contractors and the country, at large. The pressure groups include some political parties and/ or NGOs who are driven either by certain ideological viewpoints or from a lack of fuller understanding of the nature and scope of the project interventions. Results of the stakeholder mapping and the analyses are presented in Tables 1 and 2 respectively. It may also be noted that detailed sub-group analysis of the Irrigation Department as well as MALS (two key service providers/ implementers) in the context of a ‘dam’ and its upward as well as downward linkages (with the communities) are presented in the next section – institutional analysis. Direct Beneficiaries 5. National level direct beneficiaries include external funding agencies who will be benefited through increased opportunities for investing in proposed interventions under the project. Apart from the Bank, the other agencies such as the Japanese Bank of International Cooperation (JBIC), Japanese International Cooperation Agency (JICA), ADB, Millennium Development Cooperation (MDC) and UNDP will have an opportunity to learn from these types of innovative and challenging interventions. The ministries with the portfolios of Irrigation, Water Management, Agricultural Development and responsibility for Mahaweli development/management, are the main direct beneficiary national stakeholders. This is mainly because they are the responsible and accountable agencies at the national level for managing, protecting and developing water resources in the country. In case of a dam failure, these Ministries would be responsible and accountable. The Ministry of Power and Energy will benefit directly from the dam strengthening activities that ensure their safety and water availability for generation of power. 17 Table 1 - Direct and Indirect Beneficiaries of the Project Stakeholder Direct beneficiaries Indirect beneficiaries Pressure groups Other interested groups National External Resource Department (ERD), Consultants(International and Some political parties, Some political parties GOSL and the External Support agencies National), contractors, NGOs, Some NGOs, Some NGOs WB, JBIC, JICA, ADB, MDC and UNDP suppliers, Politicians Some Media and Some Media Government of Sri Lanka, Ministry of Individuals Individuals Irrigation Mahaweli, land and environment, Ministry of Urban Development, ID, IMD, Mahaweli, CEB, National water Supply and Drainage Board (NWS&DB), Disaster Management Center (DMC), DOA and Urban Development Authority (UDA), Archaeology Department Provincial Provincial level ministries (Ministry of Provincial administration Some Provincial level Some Provincial level Irrigation, Agriculture) and Departments (provincial councils) and politicians politicians and \Provincial Irrigation Department and some politicians at provincial administrators Provincial Agriculture Department level Some NGOs Individuals District District level government organizations Government Agent, Some District level politicians Some District level like ID, CEB, NWS&DB Contractors ( local) (provincial council members) , politicians and Non-Government Organizations (NGOs) Suppliers Some NGOs administrators NGOs Some NGOs/CBOs- federated ones Individuals Divisional Divisional level government DS (Divisional secretaries Local level politicians ( Some Some local level organizations involved in the project ( ID, office and all other related Pradeshiya Saba members), politicians and Department of Agrarian Development sections- social services, Some NGOs administrators (ADD) and Department of Agriculture environment, disaster CBOs Some NGOs/CBOs (DOA) , contractors and local consultants management, land and Individuals and local suppliers Samurdhi- National poverty 18 Stakeholder Direct beneficiaries Indirect beneficiaries Pressure groups Other interested groups alleviation program). Community Based Organizations (CBOs) NGOs Pradesheeya Sabaha (Local administration) Project Project level officers of ID, IMD, MASL, NGOs Some Local level politicians Some local level NWS&DB and CEB CBOs (Parliamentary members of politicians and Suppliers, the local area, provincial administrators Contractors council members and Some NGOs/CBOs, Pradesheeya Saba members) Some Individuals Some NGOs, Some CBOs Village Irrigation and settlement communities in NGOs Some Local level politicians Some Village leaders the project area, grass root level ID and CBOs Some NGOs, attached to some MASL officials ( gate operators - sluices Suppliers Some CBOs politicians at village and spillways) spillways of the respective Contractors ( small scale sub- level, Dams) contractors ) and also Some CBOs, individual laborers who can Some individuals work under sub-contractors 19 6. Apart from the above ministries, at the national level, there are other operational agencies which have a key stake. They are: Urban Development Authority (UDA), the Disaster Management Center (DMC), ID, IMD, MASL, CEB and NWS&DB. ID and MASL are the agencies responsible for managing almost all the dams in the country. Apart from this they, along with the Irrigation Management Division (IMD), bear responsibility for managing irrigation water for crop production. Further, CEB utilizes water from the dams for hydropower generation and, NWS&DB for domestic and industrial purposes. These apart, the Disaster Management Center has a stake in the project as it is the key agency responsible for disaster management (pre and post disasters) mitigation for which dam safety is also a major concern. 7. Provincial level ministries such as Provincial Irrigation and Agriculture and departments dealing with water resources are the provincial level beneficiaries. They are responsible to the public if a dam failure occurs and lives and livelihood are negatively affected. (They can influence the voters’ decisions by telling them that it is due to their intervening that the dams were repaired and made to function properly, if the proposed project is implemented in their provinces/electorates.) 8. At Divisional and project level agencies like ID, IMD, MASL, NWS&DB and CEB and the CBOs involved in water sector development activities are similarly benefited from the proposed project. 9. At district level, pubic sector service providers involved in water resources development activities as well as NGOs and consultants in the water sector are the district level direct beneficiaries. They are responsible for the protection and safety of the civil society that would be affected from a dam failure. Unlike in the case of Tsunamis, dam failures are generally considered to have occurred as a result of the negligence on the part of an agency and its officers responsible for managing them and are not tolerated by the public. 10. At village level farmers, settlement communities, fishermen, livestock owners and those using the dam crest for transport are direct beneficiaries at village level. Indirect Beneficiaries 11. At national level, indirect beneficiaries are consultants providing various kinds of consultancy services to the project, contractors, NGOs and suppliers of materials and services are indirect beneficiaries. 12. At Provincial, district and divisional levels, administrators like Government Agent (District Secretary) and Divisional Secretaries (DSs) coordinating development activities and disaster mitigation and management activities are the indirect beneficiaries of the project. In addition, NGOs and CBOs as well as suppliers and contractors involved in development activities are the indirect beneficiaries at district, divisional, project and village levels. 20 13. In addition to these direct and indirect beneficiaries, national, provincial, district and divisional level politicians, NGOs, media and individuals with an interest in development act as pressure groups and interested parties bring both positive and negative influences on the project and they are also considered as important stakeholders. 14. Pressure Groups include some political parties that are usually critical on government development programs on water, some individual politicians in different political parties (ruling party and the opposition) who may tend to react positively or negatively on the proposed project interventions and some NGOs and CBOs as well as individuals in them who may also create some pressure with regards to some project interventions. In addition, while some media supporting the government may be positive towards the project, tabloid papers are likely to create negative impressions on the project. Other Interest Groups 15. The most likely interest groups that may support or oppose the project are environmental NGOs politicians, religious leaders and political parties. Expectations and Likely Benefits 16. From a benefit point of view, stakeholders have been grouped into seven categories. They are: (i) water consumers; (ii) dam-perse users; (iii) water managers; (iv) other service providers; (v) regulators/ administrators; (vi) policy makers; and (vii) other interest groups. It is quite evident from the Table that the benefits expected are quite varied and definite. Table 2 - Expectations of the Stakeholders and Likely benefits Nature of Stakeholders Expectation and benefits stakeholders Water consumers Farmers, domestic water The water users expect that they will have users, fishermen, livestock an assured supply of water due to the keepers, people using power strengthening of dams (As reservoirs and supply, people using water for diversion structures would function bathing and washing, properly to store and divert water after the implementation of the project).They expect water availability of the tanks will get enhanced due to prevailing leakages be arrested by the proposed project. They can engage in their livelihood activities with the assured supply/availability of water (for irrigation, power generation and domestic purposes). 21 Nature of Stakeholders Expectation and benefits stakeholders People using dams for settlement communities in the Safety to their lives from hazards like flood protection / upstream and down stream rush floods/floods will be assured through transport areas of dams the dam safety interventions including strengthening of dams, capacity increase in spill ways/ repair and improvements to other infrastructures like sluice gates Water related problems for crop cultivation and other livelihood activities will not be disturbed due to failures in dams and diversion structures Transport alone the dams which are being used as main and sub roads would be easier because they expect some significant improvements to the dam roads Water Managers ID, IMD, MASL, Agriculture Safety of the systems under their charge Department (Though the and their sustainability Agriculture Department is not Improvement in system operation and involved in watermanagement due to physical and management directly, the institutional interventions and introducing improved hydro metrological technically sound physical features to the data and river basinhead works of Dams ( sluices, spill ways information would help them and barrages gates and so on) to develop their agriculture Improvement in data and information programs in a given irrigationcollection that facilitates forecasting and system or a basin. planning related to water resources and operations of structures of the Dams Planning and implementation of agricultural programs in the projects based on improved data and information Use of improved technologies for system operation Staff with improved knowledge and skill for system operation and management System operation made easy through automation of gates and other infrastructure operations Service providers CEB, NWS&DB, GAs, DSs, Power generation and domestic water DMC supply without interruption Safety of the people who would be affected if the dams are breached. Regulators GA, DS, GN (Grama Niladari The regulators expect that the project /administrators/Coordi – Grass root level government would be implemented within the existing nators officer) ADD, rules and regulations so that the affected 22 Nature of Stakeholders Expectation and benefits stakeholders parties would be adequately compensated and negative impacts of the project on the livelihoods of people and cultural properties etc. would be minimal. The regulators also expect that the proposed project will bring effective and improved infrastructure and institutional arrangements to exercise/enforce rules, regulations and other governance in effective manner. The Government agent (GA) and Divisional Secretary DS) are highly concerned if farmers are compelled to forgo a cultivation season and farmers press them for poverty alleviation and other government relief assistance Policy makers Ministries (ministers and Implementation of the project in line with higher level bureaucrats ) the development policy framework in the country. Livelihood enhancement and minimum negative impacts on the natural resources and cultural properties Other interested Some NGOs, media, They expect that the risk associated with parties and pressure individuals, some politicians dam failure will be addressed by the groups and political parties proposed project. In this case pressure groups like politicians can claim that they Archaeology Department influenced the implementation of the project for the benefit of people. Cultural Heritage Preservation ISSUES AND CONCERNS OF STAKEHOLDERS 17. While expecting significant benefits from the proposed project, the stakeholders expressed their concerns on issues related to likely implications of implementing this type of project in their respective localities. The issues and concerns ep0acgaeed by the stakeholders are summarized in the following Table 3. 23 Table 3 - Issues and Concerns of Stakeholders Nature of Stakeholders Issues and Concerns Stakeholders Water consumers Likely negative impacts of the projects Farmers, domestic water users, (forgoing cultivation seasons, disturbances fishermen, livestock keepers, people using power supply, to livelihood activities like fishing, livestock keeping) during the construction period people using water for bathing and washing, If it is temporary, say, one season, somehow they can adjust and over come the livelihood disturbances. But, they are not sure of this, given the Government Agencies are known for their delays. Timely completion of the dam and infrastructure improvement activities. Advance Intimation – communities are concerned whether they will get adequate advance intimation of the closure of irrigation, else, they will not be able to cope up Consultation – communities are also concerned that they may not be consulted on any front. Whether the dam and infrastructure improvement activities would be implemented satisfactorily by the contractors Farmers’ Organization - They would like to participate fully in the project, but not sure whether such a provision/ opportunity will be made and also whether the problems related to the dam and its infrastructure would be properly identified and addressed. They want to use this as an opportunity to ensure improvement in irrigation efficiencies – coverage and quantity. Drinking Water Consumers – Will the drinking water supplies be affected? If so, will the project make any alternative arrangements? The fishing communities – If the tanks are emptied for rehabilitation that will have serious negative impacts of the fishermen. However, they will be benefited if water level is reduced to some extent as it provide them opportunity to catch more fish. People using dams Settlement communities in the Whether the transport activities would be 24 Nature of Stakeholders Issues and Concerns Stakeholders for flood upstream and down stream areas disturbed during the construction period. If protection/transport of dams so, they are concerned whether alternative arrangements will be made or not. At the same time, they would like to use this opportunity to for improving condition of the road (widening and metalling of road) Water Managers ID, IMD, MASL, Timely completion of the project development activities in such a way not to disturb the livelihood activities of the people The World Bank procedures could delay procurement. Drawing up of a realistic implementation schedule and adhering to it, including completing investigations, preparing tenders, ensuing civil contracting and engineering supplies etc. Capacity Support – Institutional / Implementation Arrangements as well as supplementary human resources to prepare plans and effectively mobilize communities through a systematic IEC Implementation of the project with minimum negative impacts on the physical and socioeconomic environment Capacity Building – New Machinery and new systems might demand new skills and whether project provides for appropriate capacity building support. System Transition Support – Necessary support for transiting from the existing to the modern system operation would require a lot of support (both software and hardware) and apex level mentoring/ guiding supports. Service providers CEB, WS&DB, GAs, DSs, Timely and satisfactory completion of the DMC interventions proposed under the project Minimum disturbances to the public and those that are likely to be affected Regulators GA, DS, GN, ASD Implementation of the project within the /administrators/Coo existing rules and regulations in force in the rdinators country Payment of adequate compensation for the 25 Nature of Stakeholders Issues and Concerns Stakeholders parties that would be affected due to the project Archaeology Department Project may not secure adequate technical support and skilled personnel for managing cultural property Policy makers Ministries (ministers and higher Implementation of the project in terms of the level bureaucrats ) policies and procedures in force in the country Understanding the policy related problems and issues in implementing the development projects of this nature to initiate policy changes in the desired directions Proper IEC to convey the right message reflecting the objective of the interventions properly – else, a mis-communication campaign will start and bring disreputation to the authorities/ regime. Other stakeholders NGOs , media Implementation of the project in such a way to solve the problems that the project has been designed for. Assuring minimum negative impacts on the socioeconomic and physical environment Other stakeholders Encroachers in reservations, Compensation for the livelihoods dams etc. 26 Key issues of significance 18. The following issues emanate as significant in the context of designing the project  Diversity is significant in respect of water resources viz., the dams. Stakeholder profile too is quite diverse given the differentials in usages and affiliations.  All stakeholders including those who are likely to be affected temporarily do feel strongly the need for proposed project intervention. While dam safety ranks high among policy makers/ administrators/ managers, local communities perceive benefits from a livelihood improvement point.  Benefits perceived thus differ substantially across the stakeholder groups and so are the resultant issues and concerns.  Project designing necessarily has to provide for ‘participation’ by all the stakeholders backed up by intensive consultations.  Temporary livelihood disturbance is a serious concern among the local communities. Given that the Government Agencies are known for unusual delays in completing the works, the extent of temporariness viz., number of months/ seasons communities will have to suffer, assumes significance.  Many stakeholders are inquisitive about the mechanisms to ensure ‘quality’.  Some stakeholders, particularly poor and vulnerable, could remain ‘excluded’ unless proper institutional and implementation arrangements are effected. 27 IV. SERVICE DELIVERY (Institutional Arrangements) WATER ORGANIZATIONS 1. A number of public sector organizations have been established and vested with the responsibility of managing water resources. Besides some 25 government agencies at the national level involved in the water sector, there are many other entities involved with water at the provincial, district, divisional and local levels. Altogether, there are some 40 agencies that yield varying degrees of influence over the Sri Lankan water sector. Among these, the Ministry of Irrigation and the Ministry of Mahaweli Development are the key organizations responsible for irrigation development policy. The Irrigation Department and the MASL are the major organizations vested with the responsibility of policy implementation. 2. Depending upon the size and scale, irrigation systems could be categorized into the following : o Small-scale village tanks; o Medium-scale irrigation schemes; o Major irrigation schemes (which have a command area of above 80 ha); and o Major irrigation systems under the Mahaweli Authority of Sri Lanka (MASL). In addition, some systems, wherein power generation is envisaged, are being managed by Ceylon Electricity Board. 3. The proposed project’s dam safety component will be confined only to those under the major irrigation schemes only. Hence, the following three main agencies assume significance: o Mahaweli Authority (MALS) of Sri Lanka managing irrigation systems under Mahaweli systems and diversion structures (dams) on Mahaweli river; o Irrigation Department (ID) managing dams in major irrigation systems other than those under MASL; and o Ceylon Electricity Board (CEB) responsible for managing dams in reservoirs constructed solely for the purpose of power generation. In addition, the CEB generates power using water diverted through Mahaweli systems. MAHAVELI AUTHORITY OF SRI LANKA. 4. MASL is headed by a Director General (DG) who also leads a Water Management Panel (WMP) with which rests the overall responsibility for water resources management. The WMP consists of all Heads of Government Agencies concerned with the management and operation of the Mahaweli Project. One of the Directors, Director, Water Management Secretariat functions as the Secretary of both the Policy Planning Panel and the Mahaweli Water Management Panel, and this helps to maintain the 28 necessary communication link between the two panels. The WMP is also responsible for the overall cultivation programmes in the areas served by the Mahaweli Project and is assisted in its works by a technically specialized Water Management Secretariat (WMS) constituted within the MASL. It also shoulders responsibility for the operational planning and co – ordination responsibilities. The WMS provides information and recommendations to the WMP to assist it in reaching its operational policy decisions. Once the decisions are made, the monitoring of the total program rests with the WMS. 5. MASL’s Director General is responsible for the overall management of Mahaweli Systems including dams and water management and has 4 Executive Directors each of whom in turn is assisted by a Director (Fig 1A). Three Groups within MASL shoulder responsibility for dam safety – Dam Safety Management Center (DSMC), based in Colombo; the Headwork’s Division based in Digana; and the Resident Project Managers based at various sites. The DSMC, established in 2003, was envisaged to undertake dam inspection, preparation of status reports and coordinate the efforts of the three main dam owners – MASL, ID and CEB. However, of late, due to paucity of resources, it is confined only to MASL dams. The Head Works, led by a Director, comprises a group of senior civil, electrical and mechanical engineers as well as Geologist and Geo-Technical engineers and shoulders key responsibility for dam safety. In each major diversion like Polgolla, there is a Division of the Dam Safety to look in to the operation and maintenance aspects of dams. MASL’s RPMs are responsible for management of eight systems and an estimated 40 medium size dams. MASL’s dam safety management suffers from both hardware as well as software aspects. On the former, upgrading is essential on civil, mechanical and electrical aspects. Software, mostly relating to human resources, has huge gaps to be filled in. It ranges from the paucity of personnel to capacity building and capacity supports. 6. MASL’s irrigation system management for a scheme rests with a Resident Project Manager (RPM) who directly functions under the purview of the DG. The RPM is assisted by a group of deputies who are in charge of different service delivery aspects such as agriculture, land, community development, and water management (Figure 1B). While the RPM is responsible for the overall management of the project, operation and maintenance activities of reservoirs are managed by a DRPM (water management) with the assistance of his staff comprising Irrigation Engineers, Engineering Assistants and Work Supervisors at Block Level. The farmer communities participate in decision making on O&M of the system at different committees established at Project Level (Project Management Committee-PMC), Block Level (Block Management Committee- BMC) and Unit Level, the Unit Management Committee (UMC). These committees comprise both the government as well farmer representatives. These apart, at the distributory level, farmers are mobilized into Farmers’ Organization (FOs) who are accorded a legal recognition by Department of Agrarian Services. Institutions at different hydrological as well as administrative levels are enumerated below. Field Canal (FC) Level farmer organizations 7. This is the lowest hydrological unit of an irrigation system. Field Channel level committee is headed by a farmer representative selected by the rest of the farmers 29 cultivating in the command area of a FC. In a typical FC, there are 6–15 farmers cultivating under it. These organizations are informal in nature because they have not been registered as community based organization under the Department of Agrarian Development (ADD). The main function of the FC organizations includes operation and maintenance (O&M) of the FC. All the farmers under FC organizations are members of the Distributory Canal Organizations (DCOs), the next level of the hydrological hierarchy. Though Mahaweli and other agencies are involved in establishing and strengthening of these organizations, the agency officers are not required to participate in each and every meeting. These organizations do not have regular meetings and they meet as and when a requirement arise viz., decide upon the cleaning of the FC at the commencement of a cultivation season, discuss water sharing arrangement within the FC etc. Distributory Canal Organization (DCO) 8. A Distributory Canal (DC) comprises of several FCs. In a typical DC, there are about 5-10 FCs. An organization at this level has been established in Mahaweli Systems incorporating farmers in FCs served by the DC. This is known as DCO. In Each DCO, there is a committee called DCO committee represented by the FC level farmer representatives. Each DCO have a president, a secretary and a treasurer elected by the farmer representatives representing FCs. This is a legal body registered in MASL and ADD. The main function of the DCO is to carry out O&M function in the DC. The DCO has a constitution and the DCO committee has regular monthly meetings attended by the FC leaders. In addition, there are general monthly meetings of the DCO attended by all the members of the DCO. These general meetings of the DCO are attended by the Unit Manager (UM) and the Field Assistant (FA) of the respective Unit, the lowest administrative unit under Mahaweli systems. In addition to O&M activities, some DCOs are involved in input supply (fertilizer, agro-chemicals) etc. to farmers and coordinate credit. The DCO leaders representing higher level management bodies like Block Level Committees have the responsibility of channeling DC level problems (water management problems, agriculture extension related problems, problems in the physical system etc.) to those committees to find solutions to such problems. They also communicate decisions taken at higher level committees to the farmers and FC leaders. The DCO leaders play an important role in resolving conflicts. Unit Management Committee (UMC) 9. The Unit is the lowest administrative unit established in Mahaweli Joint Management system. Each unit has two to three DCs. Therefore, unit management committee comprises of two – three DCOs. The Unit Manager (UM), a MASL officer is in charge of a unit and is assisted by a Field Assistant (FA). Both are official members of the UMC. The chairman of the UMC is a farmer representative selected by the farmer representatives of DCOs. The secretary is the UM of the respective unit. The main function of the UMC is to develop irrigated agriculture development for the unit with the involvement of the farmer representatives. In a given cultivation season, UMC meets once for planning before the cultivation season starts. After this meeting, they meet once a month during the cultivation season for monitoring and evaluation of the cultivation plan. Any problems the UMC can not solve are forwarded to the Block level, level above 30 the Unit for solution. Each DCO is obliged to implement the cultivation plan prepared by the UMC. Block Management Committee (BMC) 10. Block level is the next level of administrative unit above the Unit in Mahaweli systems. A Block comprises of several units and is headed by a Block Manager (BM) who is assisted by an Irrigation Engineer (IE), Agricultural Officer (AO), Land Officer (LO) and a Community Development Officer (CDO). The BMC is represented by three farmer representatives from each UMC under the Block and UMs in all the units under the Block and the Block level officers (IE, CDO, LO, AO). The BMC is presided over by the BM while the secretary is a farmer representative selected by the BMC. The function of the BMC is to prepare an integrated agricultural plan for the block form each and every season incorporating Unit level agricultural plans prepared by UMCs. In addition, the BMC is responsible for solving land, water, settlement and marketing problems at Block level. The problems that can not be solved at this level are directed to the Project Management Committee, the highest level administrative committee in an irrigation system under Mahaweli. The UMCs are formerly obliged to carry out the decisions taken at BMC. Project Management Committee (PMC) 11. The highest level joint management Committee in a Mahaweli system is the PMC. The PMC is headed by Resident Project Manager (RPM) who is assisted by a Deputy Resident Project Manager (DRPM) agriculture, DRPM (Water Management), DRPM (Community Development) and Manager (Land). The Composition of the PMC is as follows: o RPM and DRPMs o All the Block Managers and IES, CDOs, AOs, LOs working at Block level o All the Unit Managers o Three farmer representatives from each Block 12. The Vice President of the committee is a farmer representative while the Secretary is a DRPM. The main function of the PMC is to prepare the agricultural plan for the whole system integrating the plans prepared at Block levels, ratify the decisions over the plan and communicate the decisions to Block level for implementation. In addition, the BMC monitors and evaluate the agricultural plan on a regular basis. It also addresses issues encountered by BMCs. The officers from other line agencies such as the Department of Agriculture (DOA) do not attend PMC as MASL have separate sections to handle all the agriculture and irrigation related activities. The farmers and officers at different hierarchical levels of the system are legally obliged to implement agriculture related decisions taken at the PMC. 31 IRRIGATION DEPARTMENT 13. In the Irrigation Department, responsibility for dam safety management is shared between the Dam Safety Branch (based in the head office in Colombo) and the Regional Directors of Irrigation based in different irrigation regions. Thus, at the national level, responsibility for designing, constructing and managing the main systems lie with the Director of Irrigation who is assisted by a team of deputies including one responsible for dams and dam safety. The Range Deputy Directors appointed to each district/range is responsible for the operation and management of the irrigation systems in his range. At each irrigation division, there are Irrigation Engineers responsible for operation and maintenance and management of irrigation systems in the division. The IEs are assisted by Technical Assistants and Work Supervisors in carrying out O&M activities. The constraints encountered are similar to those cited in respect of MALS. Additional factors include: updating of the operational manual, revising the emergency action plans and physical facilities for storing document management systems. Description of joint management system (Project Management Committee system) in Irrigation system managed by the Department of Irrigation (ID) 14. Project management committee system (PMC) has been established in each irrigation system under major irrigation systems under the Participatory Irrigation Management Policy implemented in Sri Lanka from 1978. The PMC systems comprises of different hydrological hierarchies that are described below. Field Canal (FC) Level farmer organizations 15. This is the lowest hydrological unit of an irrigation system. Field Channel level committee is headed by a farmer representative selected by the rest of the farmers cultivating in the command area of a FC. In a typical FC, there are 6–15 farmers cultivating under it. These organizations are informal in nature because they have not been registered as community based organization under the Department of Agrarian Development (ADD). There is no legal or functional requirement for these organizations registered under ADD. The main function of the FC organizations includes operation and maintenance (O&M) of the FC. All the farmers under FC organizations are members of the Distributory Canal Organizations (DCOs), the next level of the hydrological hierarchy. These organizations do not have regular meetings and they meet only when there is a requirement (to take decision over cleaning of the FC at the commencement of a cultivation season, to discuss water sharing arrangement within the FC etc). In these systems, establishing and strengthening of farmer organizations are the responsibility of the Irrigation Management Division (IMD). There are Institutional Development Officers appointed by IMD to organize FC groups. They help farmers to elect representatives for FC organizations which are commonly called FC groups. 32 Distributory Canal Organization (DCO) 16. A Distributory Canal (DC) comprises of several FCs. In a typical DC, there are about 5-10 FCs. An organization at this level has been established in Mahaweli Systems incorporating farmers in FCs served by the DC. This is known as DCO. In Each DCO, there is a committee called DCO committee represented by the FC level farmer representatives. Each DCO have a president, a secretary and a treasurer elected by the farmer representatives representing FCs. This is a legal body registered in ADD. The main function of the DCO is to carry out O&M function in the DC. The DCO has a constitution and the DCO committee has a regular monthly meetings attended by the FC leaders. In addition, there are general monthly meetings of the DCO attended by all the members of the DCO. These general meetings of the DCO are attended by the IDO. When invited Irrigation Department field level officers like the Work Supervisor (WS) or the Technical Assistant (TA) in charge of the DC and the Agriculture Instructor of the Agriculture Department working in the area attend this meeting. They are invited only when farmers have an irrigation related problem or agriculture related problem. In addition to O&M activities, some DCOs are involved in input supply (fertilizer, agro- chemicals) etc. to farmers and coordinate credit. The DCO leaders representing higher level management bodies like Sub Project Committees and Project Committee have the responsibility of channeling DC level problems (water management problems, agriculture extension related problems, problems in the physical system etc.) to those higher level committees to find solutions to such problems. They also communicate decisions taken at higher level committees to the ordinary farmers and FC leaders at DCO level committee meetings and general meetings. The DCO leaders settle dispute among farmers over water and land etc. In some cases, where there are a large number of farmers and DCOs, a federation of the latter too has been formed. Project Committee (PC) 17. The highest level joint management Committee in systems managed by ID is the PC. The PC is headed by a Project Manager appointed by the Irrigation Management Division (IMD) under the Ministry of Irrigation. The main responsibility of the PM (IMD) is to organize farmers for joint management of the irrigation system with the ID. In these irrigation systems, ID is responsible for O&M of the main system while DCOs are responsible for O&M of the tertiary system (DC and FC level). PM (IMD) is assisted by Institutional Development Officers (IDOs) whose main responsibility is forming and strengthening FC groups and DCOs through training and awareness creation programs. PM (IMD) is responsible for coordinating agricultural plan implementation in the project through joint management committees. Composition of the PC President – Project Manager IMD Secretary – Agency officer selected by the members of PC Members:  Irrigation Engineer and Technical Assistants in the project  Agriculture Officer and Agriculture Instructors working in the project area 33  Divisional Officers (DO) of the Agrarian Development Department working in the project area  Colonization officers in the project area (they are responsible for land matters, issue of deeds, encroachment related problems in the project and are attached to Divisional Secretaries (DS) offices, Divisional level administrative offices in the project.  Two representatives from each DCO (President and secretary) 18. The main function of the PMC is to prepare the agricultural plan for the whole system and take decisions over agricultural plan implementation and monitoring and evaluation of the plan. The committee takes decision on O&M of the system and is responsible for planning and implementing O&M activities in the project. Activities such as coordination of inputs (seeds, agro-chemicals) and credit are also handled by the committee. The decisions are taken at PC is legally valid as PC has authority over making decisions according to the Irrigation Ordinance. AGRARIAN DEVELOPMENT DEPARTMENT (formerly known as Agrarian Services Department). 19. In the Joint Irrigation Management set-up, agricultural agencies have a formal role and do figure prominently. They shoulder responsibility for:  Registration of DCOs for legal recognition to enter in to contracts/sue free riders  Initiating taking legal action against those who violate cultivation decisions, damage irrigation structures and damages to crop by stray cattle  Maintaining tenement records and resolving tenure related problems  Forming and strengthening of farmer organizations in minor irrigation systems  Facilitating in the Input supply activities (through Agrarian Service Committees) represented by farmer organizations CEYLON ELECTRICITY BOARD 20. The Ceylon Electricity Board dams are managed by the Dam Safety and Environment and Civil Structure Branch headed by a Deputy General Manager. Work load, currently chiefly relates to maintenance of civil structures such as residential quarters and complexes and power stations. Power generating assets receive priority attention and no dedicated attention is given to dam safety. Irrigation management under these dams rest with MASL. FISHERMEN / ORGANIZATIONS 21. At the grassroots level, apart from the Farmers Organizations, there also exists fishers owning small fishing crafts and catch fish using fishing nets. Fisheries are an important livelihood activity in major irrigation schemes. In sample study sites like 34 Chandrikawewa tank, Tabbowa tank, Kalawewa, there are sizeable number of households depending on fisheries for livelihood. The fishermen in these systems have formed in to Fisheries Associations initiated by the Department of Inland Fisheries. The main function of these associations are to impose restriction on non-members to access the tanks for fishing, organize marketing and obtain credit and other facilities provided by the government to promote inland fisheries. These associations are not represented at the Project Committees in ID managed systems or Project Management Committees in MASL managed systems. They have no water rights in tanks enjoyed by the farmers holding land under irrigation systems. Their rights are not recognized in Irrigation Ordinance or any other legal enactment. SALIENT FEATURES / ISSUES FROM A SOCIAL DEVELOPMENT PERSPECTIVE Figure 1 Key issues arising in the context of the proposed project are as follows:  Dam safety seems to be on a low priority list. Hardware and software improvements have not kept pace with the time.  Availability of personnel – both quantity and quality wise- has been a major issue.  Dam management has remained exclusively in the hands of technical agencies without any provision for users’ participation.  Provision for farmers participation, however, does exists for irrigation management.  Several institutions have been established, providing for participation – some exclusively for farmers and others, joint participation by officials and farmers. Grassroots bodies are rather informal associations of farmers, the higher level bodies are formal and empowered to take decisions.  Whereas the farmers’ informal bodies’ functioning is not known fully, formal bodies have been functioning regularly and satisfactorily.  Fishers do not have representation in any of the water bodies.  Irrigation and agriculture management seem to be integrated with a formal and adequate provision for agriculture officials’ participation.  Any endorsement for an intervention necessarily has to emanate from bodies comprising exclusively of local users, and not merely by those having a mix (officials and users).  Joint representation bodies, however, could be powerful vehicles for launching IEC campaigns, preparation as well as implementation of community action plans and monitoring and evaluation. They can also serve as institutions for redressal of grievances. 35 Management Structure in Systems under Integrated Management of Major Agricultural Schemes (INMAS) Secretary Irrigation Ministry National Level Irrigation Department Secretary Secretary (Director Irrigation) Agricultural Ministry Ministry of Lands Deputy Directors Commissioner Director Land Commissioner Agrarian Development Agrarian Department Department District Agricultural Committee Government Agencies (GA) District Level Divisional Range IMD Deputy Deputy Farmer Secretaries Deputy Project Director Commissioner Representatives Directors Manager (Agriculture) Agrarian (Irrigation) Development INMAS Project Level Program Committee (INMAS) Project Level PM (IMD) IE AO DO FRs Federated (Irrigation (Agriculture (Agrarian Farmer Department) Department) Development Organizations Department) IDOs TAs DCOs Farmer Companies WSS FCS Farmers 36 37 Vertical Linkages Horizontal Linkages RPM Project Management Committee DRPM DRP DRPM PM DRPM (Water M (Comm O (Land) Mgmt) (Agri) unity Dev) BM Block Management Committee UM Unit Management Committee AO IE CDO M LO A FA DCO Legend: RPM = Resident Project Manager Field Canal CDO = Community Development Officer Organizations DRPM = Deputy Resident Project Manager MA = Marketing Assistant PMO = Project Marketing Officer LO = Land Officer BM = Block Manager UM = Unit Manager AO = Agricultural Officer FA = Field Assistant IE = Irrigation Engineer DCO = Distributory Canal Organization Figure 1 – The Mahaweli Organization Structure. 38 V IMPACT ASSESSMENTS and LESSONS LEARNED This section presents a list of positive as well as negative impacts likely to occur as a result of the project interventions and as identified by the social assessment enquiry. PART 1 : Impacts likely to occur Positive Impacts 1. Water Using Communities 1. The project will have positive beneficial impacts for all the stakeholders. The benefits from the dam strengthening and improvements in regulatory infrastructure will have immediate benefits for the people settled in the upstream and down stream areas whose lives are at risk due to floods and rush floods in the event of breaching of dams. Public safety at large will be ensured. 2. The agricultural communities in the downstream, in particular, depending on reservoir storage for crop cultivation will also be benefited as dam strengthening and improvement in regulatory arrangements reduce risk such as breaching of dams that would deprive them of their livelihoods. 3. Dam repair and rehabilitation will contribute towards improvements in agricultural production and productivity, and thence increased farm household incomes. 4. Enhanced as well as reliability of water availability for domestic needs – drinking, cooking, washing, bathing etc, thus contributing to better hygiene and health. 5. Spillways repair/ rehabilitation would reduce floods as well as potential hazards from a dam over topping or failures. 6. Bund repairs and rehabilitation increase mobility as well as transportation capacity. Transportation of inputs and output marketing will be more efficient and easier. 7. Temporary wage labor works will also be generated during project implementation. The communities will be benefited from hydro metrological information management and basin management interventions as such interventions lead to better planning and long term sustainability of water resources as perceived by stakeholders 2. Water Managers 39 1. Officials would get an opportunity to upgrade/update themselves with the state of the art technologies in dam safety. 2. The agencies managing dams and regulatory ware would find it easy to operate the systems after strengthening of dams and improvements in regulatory arrangements. They will also be able to plan and implement their water management programs with the introduction of hydro metrological data and information system. 3. In systems where dams are in dilapidated conditions, engineers and their staff managing dams have to be on alert at rainy periods and take precautions. They are greatly relieved after the dams are strengthened and regulatory wares are upgraded. 4. Availability of reliable data and information to plan agricultural and water management activities 5. Sedimentation of tanks, water courses would be arrested through basin management interventions, ensuring greater sustainability. 3. Service Providers (Electricity Board, Disaster Management Center, Water Supply and Drainage Board etc) Operation of power generation machines properly as CEB will receive water free of debris, weeds etc. Less repairs to power generation machines. Uninterrupted power generations. Basin management interventions would lead to arrest water pollution and help WS&DB to provide clean water to communities. Disaster Management Center will be able to prepare well for disasters caused by floods/rush floods etc. with the use of improved hydro metrological data and information. 4. Regulators/ Administrators/ Coordinators Availability of hydro metrological data for planning and implementation of agriculture programs/other development activities. General social welfare of the people through water related disaster mitigation and water pollution control. 5. Policy Makers and APEX Administrators Opportunity to understand policy constraints implementing DSWRPPP type of projects. Introducing changes to existing policies and procedures for water resources management and water related disaster mitigation. 40 General socioeconomic welfare of the people through the implementation of the project 6. Public/ Nation at Large Aesthetic and recreational values will be enhanced leading to increased land prices and overall regional development. Public Safety ensured and savings on post disaster expenditures. Project would provide an opportunity to preserve ancient cultural property such as sluices and spillways which are of quite archaeological value. Negative Impacts There are no permanent negative impacts expected from the project. However, there could be some temporary disturbances to agricultural production. The same are discussed below. 7. Water Users / Consumers In a few cases, in particular, the ancient dams, it is likely that water flows into the reservoir and consequently, irrigation flows might have to be stopped for prolonged periods to provide for investigation and repair/ rehabilitation. This could prevent farmers from growing paddy. Instead, they will have to resort to some other crops (relatively alien to them) or forego cultivation for one or two seasons. Discussions with Agricultural Experts reveal that the farmers need not forego cultivation even for one season. They can as well grow other field crops like maize, cowpea and green gram and ground nuts under rain-fed condition in Maha (wet) season However, this will be an entirely a new practice to some farmers as many of them may not have cultivated other field crops in their irrigated land under rain-fed conditions for which different land preparation and crop husbandry practices need to be adopted. As farmers are generally risk aversive in their behavior, they need to be made aware of the program beforehand and their agreement sought at joint management committees and ratified at the Project Management Committee before implementing the program. Farmers growing perennial or semi-perennial crops will easily be affected for more than a season. Stoppage of irrigation flows could also affect domestic water supplies for households in the down streams. Some farmers who are siphoning water from canals by damaging the canal (especially in systems like Minipe Trans basin canal) will be affected when the damage places are repaired. Some landless households exclusively dependent on wage labor from the ‘dam area’ could be affected temporarily. 41 Most fishers also own agricultural lands. Yet, some fishers’ livelihoods could be affected to some extent if water flows into the reservoir are disrupted. Animal health/ productivity may also suffer for want of water during the irrigation flow stoppage period. Bund repair / rehabilitation could affect mobility temporarily. 8. Water Managers There could be disturbances to dam operations while transiting from the ‘old’ to ‘new’ or ‘updated’ system as some time would be required for the operators to acquaint themselves fully. In some cases, it may not be desirable to transit to a new system of dam operations overnight. Probably, both systems may have to be kept under operation. This would mean, extra efforts to keep the systems going. Local communities may start complaining as they encounter water flow stoppages. This can build pressure to complete the construction works compromising on quality. 9. Service Providers Power and water supplies could be disrupted resulting in complaints and unrest from the public as well as pressures from the politicians and administrators. This would mean extra efforts to ensure some minimum supplies. 10. Regulators / Administrators Additional efforts will be required to ensure that livelihoods are not affected severely. Alternative arrangements for transport and domestic water supplies will have to be made. Planned efforts are essential to provide for wage labor. Mechanisms to address grievances needs to be put in place. 11. Policy Makers / APEX Administrators Pressure from the public could be too many. If the works are not of good quality and not completed in a reasonable time frame, backlashes will be severe. SUM-UP: The above discussions lead us to identifying one critical negative impact which necessarily requites to be addressed – temporary suspension of water flows during repair and rehabilitation period. Accordingly, a Management Plan is formulated, details of which are enumerated in the next section. 42 VI SOCIAL MANAGEMENT PLAN This section has two parts. One, presents how a SMP was developed while preparing the original project which includes the approach, contents as well as the institutional and implementation arrangements. Second part reflects on the experiences of implementing the SMP as well as lessons learnt, to be incorporated into the AFP. PART 1 : SMP Formulation – Triggering of Operational Policy on Involuntary Resettlement (OP 4.10) 1. The project remediation works under its key component, ‘dam safety’, would involve either one or all of the following interventions: (i) strengthening of the existing dams; (ii) repair/ replacement of sluices; and (iii) repair/ improvements to existing spillways. In addition, the project would finance the replacement of essential electro-mechanical equipment to improve operational efficiency of dams. None of these activities will require acquisition of any land. Hence, no land acquisition is envisaged, nor will there be any displacement of people. However, in a few cases, it is likely that water flows into the reservoir and consequently, irrigation flows might have to be stopped for prolonged periods to conduct detailed technical investigations and repair/ rehabilitation works. This could impact livelihoods of some downstream users adversely. Given this situation, a better appreciation of the need, or otherwise, for triggering the Bank’s operational policy on Involuntary Resettlement Policy (OP 4.10) demands an understanding of the selection processes and different types of dams being covered by the project. Sri Lanka has 350 major dams, of which 80 dams are categorized as “Large Dams” according to the classification of International Committee of Large Dams. The Selection of dams for remedial works are based on a scientific risk assessment of the nature and extent of public safety. Given the paucity of resources, of these 80 dams, portfolio risk assessment (PRA) for 38 dams have been carried out to prioritize dams according to their hazard and risk levels. This risk analysis considered the number of population at risk in the event of dam failure as one of the risk profiling criteria. The risk profiles of the analyzed dams are ranked according to the safety deficiencies using the Risk Based Profile System (RBPS) developed by United States Bureau of Reclamation (USBR). This is an internationally and widely accepted risk ranking methodology. Subsequently, 32 dams that pose the highest threat to public safety had been listed for remedial measures under the component 1 of the original project. These 32 were classified into four broad categories depending on the nature and extent of social impacts point of view:  Category I (11 dams)-- (example, Victoria) the interventions or the nature of remediation measures are such that it does not obstruct the water flows into the down stream uses. Remedies could either be undertaken without obstructing water flows or that alternatives could be worked out to ensure water flows.  Category II (12)-- there is direct agriculture under its command but the nature of remedial measures are such that it does not require suspension of water releases to its users for prolonged period (example, Inginimitiya Dam).  Category III (7)-- there is direct agriculture under its command and the nature of remedial measures do require suspension of water releases to its users for prolonged periods (example, Tabbowa and Ridiyagama dams). 43  Category IV (2)-- those which serve multiple commands and users and whose radius of influence extend beyond the immediate agriculture command area to a number of other distant hydraulically inter-connected agricultural command areas and villages/ towns (ex; Chandrikawewa dam). Given this typology, Categories III and IV are significant from the perspective of adverse social impacts (Table 1 and 2). It is expected that out of the 32 dams likely to be included in the 44 Table 4 : CATEGORY III & IV DAMS IN DSWRP PROJECT (Prioritization of Dams according to RBPS Risk Index) Failure Socio Economic Dam involving Dam Index Risk Index Index U/S face repairs Nachchaduwa 342 6042 3045 1% of repair Chandrikawewa 231 4850 3203 60% of repair Kaudulla 201 3041 3036 30% of repair Minneriya 172 2961 2562 30% of repair Ridiyagama 227 2654 1819 70% of repair Nalanda 174 2454 414 No upstream Nuwarawewa 141 1835 982 35% of repair Kantale 163 1680 1190 No upstream Castlereigh 104 1557 3307 No Upstream Giritale 150 1457 881 40% of repair Vendarasan 144 1248 858 75% of repair Tabbowa 217 1150 637 60% of repair Usgala Siyambalangamuwa 256 1041 199 50% of repair Tissawewa 209 972 655 50% of repair Huruluwewa 136 901 1466 40% of repair Kandalama 135 854 370 No Upstream Victoria 20 852 1640 No upstream Lunugamvehera 120 753 1005 Ulhitya Ratkinda 121 717 711 No upstream Parakrama Samudraya 128 710 272 No upstream Angamuwa 118 701 448 Randenigala 21 664 1726 No upstream Uda Walawe 43 577 1173 Mousakelle 84 548 1279 Kotmale 26.5 498 3164 No Upstream Rajangana 150 420 216 5% of repair Kalawewa 164 412 284 4% of repair Bowatenna 75 466 150 No Upstream Inginimitiya 169 332 158 No Upstream Rantembe 60 237 48 No Upstream Dambulu Oya 62 223 85 5% of Repair Samanalawewa 36 192 149 Maduru Oya 55 159 87 Polgolla 41 135 14 1% of Repair Norton 70 37 20 No Upstream Laxapana 63 36 34 Canyon 33 33 33 No Upstream Category III & IV Dams Implementations schedule of Irrigation Department & Mahaweli Authority dams are in Attachment I 45 Table 5: Final List of 32 dams under consideration in Remedial Works Total Estimate Revised Total Elect & Mech (Incl. Costs (without (without Dam Contingencies and Contingencies) Contingency) Owner Engineering Management Cost) Bowatenna 15,301,000 12,645,455 4,374,000 MASL Canyon 24,805,000 20,500,000 6,210,000 CEB Castlereigh* 67,480,000 55,768,595 37,800,000 CEB Chandrikawewa* 74,616,000 61,666,116 2,592,000 MASL Dambulu Oya 13,435,000 11,103,306 2,160,000 MASL Giritale* 52,100,000 24,793,388 216,000 ID Huruluwewa* 32,725,000 27,045,455 540,000 ID Kalawewa 106,849,000 70,247,934 5,832,000 MASL Kandalama* 18,876,000 15,600,000 324,000 MASL Kantale* 48,652,000 40,208,264 27,540,000 ID Kaudulla* 180,310,000 123,966,942 14,720,400 ID Kotmale 134,844,000 111,441,322 102,600,000 MASL Laxapana 23,593,000 33,057,851 9,288,000 CEB Minneriya* 54,088,000 44,700,826 6,739,200 ID Nachchaduwa* 386,502,000 223,140,496 48,384,000 ID Nalanda* 20,564,000 16,995,041 0 ID Norton 14,194,000 11,730,579 3,780,000 CEB Nuwarawewa* 85,262,000 41,322,314 756,000 ID Parakrama Samudra* 130,905,000 108,185,950 17,010,000 ID Polgolla Dam 97,756,000 80,790,083 68,472,000 MASL Rajangana 182,087,000 82,644,628 62,640,000 ID Randenigala 28,886,000 23,872,727 14,040,000 MASL Rantembe 21,465,000 17,739,669 8,035,200 MASL Tissawewa* 89,791,000 74,207,438 28,836,000 ID Ulhitiya-Rathkinda* 29,636,000 24,492,562 4,860,000 MASL Vendrasan* 102,107,000 84,385,950 864,000 ID Victoria* 128,297,000 106,030,579 50,868,000 MASL Kalatuwawa 20,000,000 16,528,926 0 NWSDB Inginimitiya* 350,877,600 289,981,488 18,822,000 ID Ridiyagama* 200,000,000 165,289,256 3,672,000 ID Tabbowa* 150,000,000 123,966,942 28,836,000 ID Usgala Siyambalangamuwa* 253,343,000 165,289,256 0 ID 46 program, not more than 9 dams will be of category III and IV, and there may be as few as 2 dams in Category IV. And, project will not take up any Category IV dams. Thus, there were some 7 dams falling under Category III which were the focus of attention due to interruption of water flows. Interruption of water flows and impacts. 3. The suspension of water could prevent farmers from growing paddy. Instead, they will have to resort to some other crops (relatively alien to them) or forego cultivation for one or two seasons. However, discussions with Agricultural Experts reveal that although the farmers would have to forego paddy cultivation, they can grow other field crops like maize, cowpea and green gram and ground nuts using residual moisture and limited rainfall during the Yala season and under rain-fed condition in Maha (wet) season. However, rainfed farming of non-paddy crops would be an entirely a new practice to some farmers, because it requires different crop husbandry practices and probably higher wage labor inputs. Thus, despite this potential alternative cropping possibility, it is felt that that the livelihoods for the following users could be affected adversely: (i) farmers who draw water from the reservoir for cultivating paddy; (ii) landless laborers eking their wages from the agricultural operations in the command area; and (iii) fishers involved in catching fishes from the reservoir. In addition, in a few cases, water supplies for domestic purposes (drinking, bathing, washing, cooking) could also be affected. A SMP detailing measures to mitigate the adverse impacts resulting out of temporary water flow interruption was developed. Social Management Plan --Mitigation Management 4. Voluntary Participation. The temporary interruption of irrigation water, if not planned properly, could affect paddy cultivation, however much, other crops can be grown. Against this background, irrespective of whether other crops can be grown or not, the project has developed measures to mitigate crop/ income losses (if any). However, the project well recognizes that it is essential to secure communities' acceptance for participation. This means, decision to participate, or otherwise, in the project will be fully voluntary and the right to refusal too rests with them. In the case of the latter, such dams will not be taken up under the project. To enable communities decide on participating, or otherwise, intensive consultations will be held through an effective Information, Education and Communication Campaign (IEC). 5. IEC Campaign. The project understood that stakeholders need to be adequately and appropriately prepared to enable informed decision-making. To this end, the project 47 deployed social animators, designated as Livelihood Support Facilitators (LSF)6 and launched an extensive IEC campaign where dam safety works could affect irrigation water provision. This campaign comprised intensive consultations with Farmers’ Organizations, Women, Fishers, Laborers and other relevant stakeholders. The campaign covered: discussions of dam safety issues and designs, technical aspects and construction work schedules, quality control requirements, arrangements for the monitoring of the construction program, in addition to development of a local strategy to cope with livelihood impacts. The campaign enabled that potentially affected communities are fully informed and consulted on the rationale, nature, and timing of works proposed to assure dam safety. This led to a fuller community awareness of the potential social and economic disruptions of the contemplated dam safety remedial measures and attain a consensus with the users on the implementation schedule and salient aspects of the repair work. 6. Implementation Schedule and Coping Assistance. However, it is clear that community decisions to opt for or reject inclusion in the project will be highly influenced by two major factors – TIMINGS and COPING ASSISTANCE. On the timings, in the first instance, the construction schedule should be such that the Maha (Principal) Cropping Season is not disrupted. Second, irrigation disruption to the extent possible should coincide with either rainy / slack season and/ or dam closure period, OR that disruption resultant affects should be the most minimum. In the event of small scale disruptions during Yala or between the two crop seasons, the project will work with the community to develop four mutually-agreed Livelihood Support Assistance (LSA) plans: (i) Coping Assistance Plan to assist cultivator households; (ii) Alternative Cropping Plan, to provide best options for alternative (rainfed) crops; (iii) Wage Assistance Plan, to assist laborers and fishers; and (iv) Gender Action Plan, to address specific requirements of women. 7. TIMINGS. As regards Timings, the project has already prepared implementation schedule of each and every dam (Table-6 – Procurement Plan ID-1007 xls ) and those with LSA are ear marked in yellow highlights, ‘Social Assessments’. In the same table, the contemplated construction time is shown in "red line" of PIS file. Also are shown the rainy months and canal closure period. It is clear that the construction period is spread over two years. This longer implementation schedule provides for longer and multiple slack periods. Though the actual time taken for repair effecting irrigation may at the most be 7-8 months (and even during that period there will be a rainy period of 3 months), longer construction schedule is provided to enable planning construction such that the Maha Season irrigation is not disrupted. Between the two years, the upstream side (where the reservoir is) of the embankment dam repair will be taken place either in first year or in second year. The remaining time is for repairing other parts which will not 6 External professional consultants/ NGOs with extensive expertise in community mobilization and conducting Information, Education and Communication campaigns. In depth consultations will be held with communities and CBOs. Consultations will be done in sub-groups, and going beyond representatives to all the households. Ultimately, all these efforts will lead to a completely informed decision making. Efforts will be made to develop TOR such a way that all these efforts are reflected in some distinct outputs. The SO team will, a.o., comprise women qualified and experienced in conducting consultations. 48 affect to the delivery of irrigation water. This implementation schedule will form a basis for consultations with the communities. Taking into account communities’ views, necessary changes will be effected before firming up the schedule. 8. Memorandum of Understanding (MOU). Cooperation was sought on the basis of the final implementation schedule in which not only the community agrees to the project, but endeavors to prepare LSA plans. These will culminate in the signing of a MOU among the project (represented by Resident Project Manager/ Project Manager) and the local communities (represented by Farmers’ Organizations and Fishers’ Associations). Once a decision is made by the stakeholders to carry out the remedialworks, a site level construction monitoring committee will be formed to ensure that the dam safety measures are carried out in accordance with the agreed implementation plan and in conformity with the agreed window of time. This committee will be built on the existing farmer and other community organizations and institutions. Further, this project will not include dams where it is not feasible to clearly ascertain 'voluntariness' on the part of the community, as is the case for some Category IV dams. A comprehensive baseline survey to take stock of demographics, the specifics of household economic strategies, and agricultural assets, including land, will be carried out in communities which opt to participate in the project. This would form a basis for the preparation of LSA Plans. 9. LSA PLANS. The project will work with the community to develop four mutually-agreed plans: (i). A Coping Assistance Plan (CAP), to assist cultivator households to manage the impacts of crop losses. These crop losses can be quickly assessed on the basis of irrigation areas and yield data. (ii). An Alternative Cropping Plan (ACP), to provide best options and assist with sowing of alternative crops rain-fed crops. (iii). A Wage Assistance (WAP), to provide wage employment for fishers, landless laborers, and vulnerable people. (iv). A Gender Action Plan (GAP), to address specific requirements of women. 10 Coping Assistance Plan. Extensive discussions have been held with the elected representatives of farmers’ organizations and federations of selected critical dams during the social assessment. The social assessment took stock of their perceptions and reactions to the potential public safety threat and management of likely economic disruptions. It is clear that community support is highest where stakeholders understand the dam safety threat and feel that the project interventions are timely and essential. In such cases, farmers indicated that they could forego the second (more restricted and smaller) Yala season of cultivation provided that they are adequately consulted, informed of the nature of remedial works, and informed of the implementation schedule well in advance: at least 4- 6 months before start-up of civil works, to enable them to prepare themselves. 49 11 Timing and scheduling of works is critical for a successful community coping strategy. Sri Lanka has two crop seasons – Maha, from October to February / March and Yala, from April to July; paddy is the major crop. Maha is the most important season which coincides with the main rainy season and covers the maximum land area. Full area coverage during Yala is not possible for want of water. Consultations during project preparation showed that farmers could be willing to forego cultivation during the lesser Yala season. However, disruption during the Maha season would be dramatic. This means that the project has a window of opportunity, during March to September, for completion of remedial measures affecting irrigation. If works affecting irrigation water supply can be completed during the Yala season, fewer cultivators will be affected. If remedial measures affecting water supply are too extensive or complicated to be fully completed by mid-September, the work will be broken down into achievable packages for the time window with remaining works done in the subsequent year. Procurement of essential items, such as sluice gates will be synchronized to assure that all material is on site in advance of start up of works. 12 The farmers’ current coping strategy for the majority who cannot sow during the Yala season is to put aside about 35 Bushels (1Bushel = 22 kg) per household (of 5 people), about 150 kg/person, to assure food supply and seed for the next Maha season as well as to meet some exigencies. However, the farmers stated that if irrigation supply is interrupted beyond the Yala season, they will not be able to sustain themselves and significant assistance would be required. Further it was clear that a majority of them could cope with assurance of the 7 Bushels per capita strategy currently used, although there are some vulnerable households who may requite additional assistance. Thus, the coping strategy described by the farmers is essentially designed to provide a ‘paddy buffer’. Thus the approach of the project to development of a community designed and endorsed coping strategy will depend at a minimum on two key factors: (a) strict adherence to the time windows between Maha seasons; and (b) provision of assistance to assure a ‘paddy buffer’ needed to meet food requirement and re-start cultivation in the next Maha season. 13 Community-designed coping strategies will be developed for selected dams as an integral part of the community approval process. The estimated budget provision to assure the household ‘paddy buffer’ was Rs 10,000 per household (to tide over one season). However, if the remedial measures disrupt the Maha season cropping, communities will be put to a lot of hardship. In such a case, ‘paddy buffer’ coping strategy will not suffice. A full compensation for the crop loss becomes inevitable. This would work out to about Rs 50,000 per household per year viz., Maha and Yala seasons together . The project was expected to gather significant experience during implementation. This experience was to be used to improve this community-based approach to dam rehabilitation projects. The legal agreement provided for a formal review for improvement / adjustment of this approach within 15 months of project commencement. 50 Wage Assistance. 14. In respect of landless laborers and fishers, the situation is little different from that of the farmers. First; unlike the farmers, they are totally un-organized and hence no information exists on them. Consequently, it is difficult to clearly identify the potentially affected such people. Second, households who do not own land and which earn their livelihood exclusively from daily wage labor in farms are not many. Third, wage laborers are not fully locally based, they migrate from one place to the other, to towns in search of livelihoods. In all, mapping them is difficult. But, it is expected that on an average, 10- 15% of the farmers to be exclusively landless laborers in any given situation. As regards fishers, each reservoir could have some 50- 100 fishers depending exclusively on the reservoir for their livelihoods. Towards ensuring that their livelihoods are not adversely affected, project would place funds at the disposal of the RPM / PM who (with the Livelihood Support Facilitators) will prepare a Wage Assistance action plan to use the same and deploy labor for some asset generation/ maintenance work. Efforts will also be made to impress upon the remedial measures contractor to engage local people as laborers. Gender Action Plan 15. will be prepared as a part of the overall LCA activity which will inter-alia enable : (i) recognize women as a distinctly separate group with a different set of requirements of their own; and (ii) seek and feed their requirements into the LCA plan; (iii) their participation in decision making. Systems will be established such as to ensure that women’s perspectives are reflected in all the processes, as catalysts, participants and recipients. In recognition of the diversity of women’s situation and in acknowledgement of the needs of specially disadvantaged groups, measures and activities will be undertaken to provide them with special assistance. These groups could include women in extreme poverty, destitute women, women in conflict situations, the disabled widows, elderly women, single women in difficult circumstances and women heading households. 16. Domestic water supplies are not likely to be affected for two reasons. One, there are many open wells in any command areas. Two, no reservoir is expected to be emptied fully and even in the event of a natural disaster, some dead storage water would always be available. Still, if there is a necessity to ensure uninterrupted water supplies for drinking, the project will enlist the help of the local administration and make available water at certain key locations. 17. LSA Costs.: Costs are worked out on the basis that: a typical dam at the maximum will have 3,500 cultivator households; 500 laborers and 100 fishers. If only coping assistance is to be extended, then, LSA aggregates to US $ 820,000 per dam. We expected about 8- 10 such dams to be covered by the project, which would mean a total of US$ 8.2 million. If full assistance, corresponding to the full crop loss, is extended, it amounted to US$ 20.5 million. 51 Table 08 One Typical Dam Per HH/ Cultivators Laborers Fishers Total Total year (3,500) (500) (100) (Rs) (US$) (Rs) Coping 20,000 70000000 10000000 2000000 82000000 820,000 Assistance Full 50,000 20,05,000 Assistance LSA Support Costs. Sl No Rs Per Dam Total Total (10 Dams) (US$) (Rs) 1. Baseline Data, Consultations 600,000 60,00,000 60,000 and Action Plan Preparation 2. IEC Campaign 200,000 20,00,000 20,000 3. LSA Administration 100,00,000 100,00,000 100,000 LSA ADMINISTRATION (Implementation Arrangements) 18. Livelihood Support Assistance broadly is of three types:  Cash Assistance – to cultivator households;  Wage labor -- to landless laborers and fishers; and  Facilities (domestic water supplies) -- public at large. Administering the above would require conduction of the following key activities: a. identification of the households likely to be affected by the project (PAHs); b. generation of a baseline on demographic as well as socio-economic information; c. consultations with various sub-groups and community based organizations (CBOs) and Joint Management Bodies/ Committees (JMC) backed up by an IEC campaign; d. Agree to DO – communities’ expression of willingness for the project intervention, culminating in a Memorandum of Understanding (MOU); e. a detailed action plan including the number of installments, and time frame for payments; f. an action plan for wage labor generation; 52 g. arrangements for domestic water supplies; h. monitoring and evaluation arrangements; and i. mechanisms for redressal of grievances. 19 Given the above activities, implementation arrangements depicting the role and responsibilities of different agencies/ bodies have been worked out. Overall responsibility rests with the PCU. A Community Development Specialist (CDS) will be deployed in the PCU who would steer the LSA under the guidance and leadership of the Project Director. At the Dam level, key responsibility would rest with the RPM (in MASL) and PM (in ID). Farmers Organizations and other JMCs will endorse the program and extend technical support as appropriate. RPM / PMs will deploy LS Facilitators and undertake IEC campaigning as well as community consultations. Detailed description in different phases – pre-planning, planning, implementation and monitoring and evaluation-- are made in the following sections. 53 Table 7 : PROCESS MAP/ CYCLE Activity Responsibility Review/ Approval Primary Secondary Assoc. Pre-Planning Phase 1 Preparation of Long List of Dams – based on Risk Assessment GOSL 2 Categorization of Dams – I , II, III and IV GOSL 3 Priority wise Category III Dams – Activity Initiation GOSL Designing of IEC Campaign – CDS RPM/ PM LSFs PD training of facilitators, production (PMU) (PMU) of materials, workshops, advertisements etc. 2 IEC campaigning – awareness RPM/ LSF FOs PD creation PM (PMU) 3 Public Consultations LSF RPM/PM -- CDS (PMU) 4 Community Mapping – FOs / LSF RPM/PM -- CDS Fishers/ CBOs/ laborers/ Others (PMU) Socio-Economic Accounting LSF CDS completed and Vulnerable RPM/ Households identified PM 5 Agree To Do – 1 : Resolution by FOs/ RPM/PM LSF PD communities Fishers/ CBOs 6 Preliminary site reconnaissance PMU/ES PD/PMU and consultations with affected people/IAs on environmental concerns relating to proposed dam repair work 7 Initiate discussion on PMU/ES PD/PMU environmental safeguards to provide input to the preparation of detail technical plans PMU will seek Comments from the Bank on the ATD Report 8 DECISION to go ahead or not – PMU – Planning Phase Initiated 9 Village Resource/ Community LSF RPM/PM - CDS Mapping – Detailed 10 Baseline Information Generation SLF RPM/PM CDS PD 11 Consultations done; Technical RPM/ LSF FO/ CDS/ PD Proposals explained in detail; PM CBOs Feedback obtained on changes/ other requirements; Assurance or otherwise provided. 12 Agree To Do – Final – Resolutions FOs RPM/ PM SLF PD CBOs 54 11 Preparation of TOR for ES/ PD/PMU Environmental Assessments PMU WB 12 Conducting of Environmental Consulta PD & Assessment nts ES/PMU WB 13 Public Consultations on EA PMU/ CEA/ ES WB EA Review and Clearance CEA/ WB 13 GO ahead – detailed plans 14 Coping Assistance Plan – for RPM/ CDS CBOs cultivating Households PM LSF PMU –Number of Households --nature and extent of assistance --scheduling for releases --Number of vulnerable households --nature and extent of assistance --scheduling for releases. -- Joint Accounts opened -- Bank Account Numbers and the Bank details (all payments will be through cheques and paid into the bank accounts) 15 Alternative Crop Plans- RPM/ LSF FOs PD/ PMU cultivating Households PM CBOs --Crops to be grown -- input requirements --technical assistance --any other information 16 Endorsement of coping assistance FO LSF CDS PMU and alternative crop plans CBOs 17 Wage Employment Plans RPM/ LSF Labors PMU PM Fishrs 18 Facilities Plan–Drinking Water etc RPM/ LSF PMU PM/ DS 19 Gender Action Plan RPM/ CDS/LSF CBOs PMU PM 55 20 Consolidation of all plans, RPM/ CDS/ DS PMU aggregation of costs and PM/ LSF supplementary assistance requirements as well as M&E. Public Disclosures done. Objections, if any, are addressed 21 Approval of Livelihood Coping PMU Plans, and mechanisms for redressal of grievances established PMU will share the Plans with, and receive comments from the Bank Implementation Phase 22 Coping Assistance Plan- RPM/ LSF FOs PMU Implemented PM CBOs Construction Monitoring Committee Established 23 Wage Assistance Plan and Gender RPM/ CDS/ DS/ PMU Action Plan- Implemented PM LSF GA 24 Facilities Plan – Implemented RPM/ LSF DS/ PMU PM GA 25 EMP implemented EMC PMU WB 26 Monitoring of EMP EMC ES/PMU PMU/WB implementation 27 Day to Day oversight, Concurrent RPM/ LSF CDS PMU Monitoring, and ROGs PM 28 Monthly Meetings/ Reviews PMC/ PD 29 Quarterly Reviews PMC/ PMU PD 30 Terminal Evaluation PMU Consultant WB GOSL : Government of Sri Lanka; PMU: Project Management Unit; PD: Project Director RPM: Resident Project Manager (Mahaweli Authority); PM: Project Manager (Irrigation Department); CDS: Community Development Specialist; FO: Farmers Organziation; CBOs: Community Based Organizations; DS: Divisional Secretariat; GA: Government Agent; Fishr: Fishers; Labors: Laborers; ATD : Agree to Do Report.; ES: Environmental Specialist; WB:World Bank; EMC: Environmental Monitoring Committee; LSF: Livelihood Support Facilitator; PMC: Project Management Committee. 56 Livelihood Support Assistants Mahaweli Authority of Sri Lanka Dams Initial Discussion with GA/DS & all the Stakeholders to explain The Implementation Activities by Project Management Unit (PMU) MICROSOFT CORPORATION Public Consultations Community Mapping done by LSF with the help of Design of IEC Campaign by RPM/DRPM (Eng.)/BM Livelihood Support Facilitators IEC Campaign by LSF and approved by CDS at PMU Dissuasion regarding the future action Base Line Information generation done by Socio- Economic Accounting done by LSF with coordination of Village Resource Mapping in Detail By LSF & CDS And review by RPM/DRPM (Eng.)/BM CDS and LSF and forwarded for the CDS’s review RPM/DRPM (Eng.)/BM Get the approval of PD Resolution done by Fos,CBOs,RPM/ Final Resolution Approved by PD Community awareness programs regarding the DRPM (Eng.)/BM& LSF and Project Implementation & Mitigatory Measures forwarded for PD Approval Consolidation of all the plans - Crops - Supplementary Done by RPM/DRPM (Eng.)/BM, CDS,LSF & Approve by PD Gender Action Plan Facilitating Plan Wage Employment Plan Alternative Crop Action Plan $ $ $ 57 List of name of affected people’s name with their Identity card No send to a Government Banks near to them & pay the Compensations Livelihood Support Assistants Irrigation Department Dams Initial Discussion with the GA/GS and all the stakeholders To explain Project Implementation Activities by Project Management Unit (PMU) MICROSOFT CORPORATION Public Consultations Community Mapping done by LSF with Design of IEC Campaign by Livelihood Support Facilitators (LSF) IEC Campaign by LSF the help of RDI/IE / IMD-PM and approved by Community Development Specialist (CDS) at PMU Dissuasion regarding the Base Line Information generation done by future action LSF with coordination of RDI/IE / IMD-PM Village Resource Mapping in Detail By Socio- Economic Accounting done by , CDS and Get the approval of PD LSF and forwarded for the CDS’s review LSF & CDS And review by RDI/IE / IMD-PM / Resolution done by Fos,CBOs,RDI/IE Community awareness programs regarding the IMD-PM & LSF and forwarded for PD Final Resolution Approved by Project Director Project Implementation & Mitigatory Measures Approval Consolidation of all the plans Figure 1 - Crops - Supplementary Done by RDI/IE / IMD-PM ,CDS,LSF & Approve by PD Gender Action Plan Facilitating Plan Wage Employment Plan Alternative Crop Action Plan $ $ $ 58 List of affected people’s names with their Identity card No are to be sent to a Government Banks near to the location & to pay the Compensations Figure 2 59 Proposed Imlementation Structure for Mahaweli Authority of Sri Lanka Director General (MASL) Executive Director (Technical Services) Resident Project Director (Project Director Manager planning & Design) (HAO&M) (Nos. 01) Deputy Director Deputy Resident Deputy Director (Procurement) Deputy Director Deputy Director Project Manager (Nos. 01) (Nos. 01) (Civil) (Nos. 01) (E&M) (Nos. 01) (TS) (Nos.01) Engineer Incharge (EIC) (Nos. 01) Assistant Director Assistant Director (Civil) (Nos. 01) (E&M) (Nos. 01) Engineers/ Environmental Engineers Agricultural Officer Economist Civil Engineers Project Engineer Hydrologists Officer (Civil 02/Mech 01/ (Nos. 01) (Nos. 01) (Nos. 02) (Nos. 01) (Nos. 03) (Nos. 01) Elec 01) Engineering Assistants (Civil 01/ Mech 01/ Elec 01) Engineering Engineering Eng. Assistants Engineering Draught Person Assistants Draught Person Assistants (Civil 01/Mech 01/ Assistant (Nos. 01) (Civil 01/ Mech 01/ (Nos. 01) (Nos. 02) Elec 01) (Civil 02/Mech 01) Elec 01) Data Entry Technical Officer Draught Person Technical Officers Technical Officer Operators (Nos. 02) (Nos. 01) (Nos. 02) (Nos. 04) (Nos. 01) Component 03 ED (TS) Division Director (HAO&M) EIC Office RPM Division Figure 3 60 Proposed Implementation Structure of Irrigation Department Director General (Irrigation ) Director Director Director (Project Planning Director (Specialist Services & Training) (Regional Development & (Assets & Design Unit) (No 01) (No 01) Construction) Management) Deputy Director (No Deputy Directors Deputy Director Regional Director of Deputy Director 01) (Nos 02) (Tendering/Contract) Irrigation (No 1) (Nos 2) Dam Safety (No 1) Chief Engineers Chief Irrigation Chief Irrigation (No 02) Engineer (No 1) Engineer Engineers/ Environmental Economist Agricultural GIS/Remote Irrigation Engineer Irrigation Engineers Civil Engineers Computer/ Data Irrigation Engineers Hydrologists Officer (No 01) (No 01) Officer (No sensing (No 1) (No 2) (Nos 02) Base Programmer ( IE Office) (No 1) (Nos 05) 01) specialist (No 01) (No 01) Accountant (No 1) Engineering Eng. Assist Assistants (No 01) (N0 1) Account Clerk (No 1) Auto CAD Communication Hydrological Draught Management Draughts Work Draught Draught Draught persons Facilitator Field Assistants Person Assistant (Nos 02) Person (No 1) Supervisor Person Persons (Nos 4) (Nos 03) (No 01) (Nos 04) (Nos 02) (No 1) (Nos 4) Data Entry Data Entry Data Entry Work Work Operator Operator Operator Clerk Clerk (No 1) (Nos 02) (Nos 04) (N0 1) (No 1) Data Entry Data Entry Operator Operator (Nos 2) (No 1) Office Assistant Office Aid (No 1) Office Aid Office aid (No 1) (No 01) (No 1) LEGEND Com 02 Hydro Meteorological Information System IE Office RDI Office Head Office Com 03: Multi Sectoral Water Resource Planning Figure 4 61 PART 2: SMP Implementation Experience and lessons learned What happened during the implementation: 1. Project preparation had expected that water flows interruption could take place in respect of some 9 dams. However, technical alternatives could be found and eventually, water flows interruption took place in only 4 dams. 2. Project enlisted the services of external support organizations, one each for the four dams, who shouldered full responsibility for planning, implementing and monitoring and evaluating the SMP. 3. The LSA plan has not only been successfully implemented in four dams but has come for great appreciation from all sections of the society for its innovativeness, contextual relevance and utility. Overall, in four dams, a sum of Rs 138 million has been expended by the project and provided assistance to 8,600 familes. Of this, 92% account for wage assistance. This apart, GOSL provided assistance for taking up alternative crops – 12,000 acres of green gram, 1000 acres of maize and 600 acres of vegetables which resulted in a gross income of Rs 200 million. Fish fingerlinks worth Rs 4.3 million too have been replenished by GOSL under the four dams. Apart from the economic assistance/ impacts, there are two institutional developments. One, 60% of the families did not have an account in the Bank and all of them do own and operate an account, as theproject insisted on payments being made through the Bank accounts directly. Two, the project provided a platform for all the actors – irrigation department, agricultural department, farmers organizations, fishers, agriculture traders, NGOs- to come together and work together. 4. Project has done a comprehensive evaluation of all the four Plans and a detailed documentation outlining the processes, SOs adopted in each of the dam, towards planning LSA along with the costs, issues/ hurdles encountered, and the benefits accrued as well as lessons learnt. All the four reports are available on the website of the project. A gist of the findings are enumerated below. 5. Creating full awareness of about the potential social and economic disruptions of the contemplated dam safety remedial measures is critical to secure buy-in from the down stream water users. A systematically designed IEC campaign is essential for this. The campaign should also focus on enabling the water users an economic benefit out of the project interventions. 6. The most important lesson is preparation of beneficiary list for offering benefits under LSA program. This should be done effectively in such a way to avoid all possible interferences from external parties such as politicians. A systematic baseline study would help immensely. Baseline Survey and Information Education and Communication (IEC) campaign should be designed such as to bring about an attitudinal change which then will ensure transparency and laid the foundation for developing beneficiary confidence. 7. The potential role of FO leaders in implementation of this kind of program is very high. Capacity building, close interactions and frequent motivation of farmer leaders lead to create 62 committed and skilful community Managers to handle the planning and implementation process of LSA program. 8. Communities in all the four dam sites were opposed to project handing out free assistance or doles, say, in the form of cash assistance to individual households. Rather, they thought this as an opportunity to come together and address irrigation distribution infrastructure issues to secure enhanced long term benefits. 8. WAP is an innovative program that has provided useful lessons. It proved that farmer organizations can do a lot in maintenance of their canal system if they are mobilized effectively. This also indicated that subsidy should not be just outright grants. Instead it should be used as incentives to motivate communities to contribute for maintenance of their own infrastructure Identification of real needs holds the key to bring all the farmers together. 9. Innovative approaches to reach communities are essential to enable participation of both men and women in large numbers. The methodologies could include pocket meetings, group consultations and focus group discussions with community organizations such as farmer and fishing organizations and women societies and key informant interviews. These methodologies are to be supplemented with an effective IEC campaign. The campaign also should enable contributing towards ensuring risk mitigation measures by focusing on grievance handling mechanisms. SOs should be encouraged to advocate on behalf of the local communities and raise issues/ complaints/ suggestions with grievance and other project overseeing committees. 10. All village level development functionaries should find a place in the LSA management. RPM could make occasions for participation of officers such as Gram Niladhari, Agricluturla Instructor, Samurdhi officer, DO Agrarian Services to enhance the effectiveness of the program. 11. Although the alternative crop cultivation was not a DSWRPP initiated or funded program, the farmers in the irrigation scheme were self-motivated thanks to the IEC campaign and other repeated awareness trainings given to them by the SO and other parties of the project to cultivate green gram in the command area twice within the LSA program implementation period. This enabled trying Other Field Crops (Green Gram in particular) for the first time instead of paddy. The first round of green gram was cultivated soon after the previous Maha season’s paddy cultivation (2010/2011) on the stubble itself. The significant yield derived from this green gram cultivation motivated all the farmers to go for the second round of green gram cultivation as a normal crop after preparation of the land. The income farmers derived from both rounds was significantly more than the income they would have earned from the normal Yala paddy cultivation (2012) in the irrigation scheme. This also led to create a positive impression among farming communities in the irrigation scheme on the DSWRPP. 12. The income farmers derived from the WAP together with the income from green gram cultivation was quite adequate for them to live during the project implementation period. This LSA program with the alternative crop cultivation came in for high 63 appreciation as GOSL adopted this approach for tackling drought elsewhere in the country. Finally, the institutional strengthening program implemented from planning to implementation phase of LSA program helped immensely to improve the performance of the FOs as organizations and their leaderships were empowered significantly. Way forward -AFP : 1. Scope- It is expected that only 5 dams out of 28 may require LSA intervention during the AFP. Details about the dams are presented in an attachment. 2. LSA Manual – Experiences gained out of implementing 4 plans during the original project will be synthesised and the current manual will be used for adoption during the AFP. 3. Problem Analysis Matrix- developed as a part of the evaluating Usgala dam/ scheme, is quite unique and exhaustive (Attachment- ). This will be transformed into a Q&A note. These will find a place in the revised manual. 4. SO TOR – Terms of Reference for enlisting SOs too will be revised to incorporate the lessons learnt so far. 5. IEC campaign- One of the key features will be arranging for cross-visits to the 4 previous sites for community to community interface. 6. LSA Assistance Costs -- While coping assistance in terms of paddy would remain the same, it will be double in terms of cash. The project has worked out the cost presuming an assistance of Rs 20,000 LKR per household. 7. All the LSA Plans will be subject to clearance from IDA. 64 VII Risks One main purpose of the dam strengthening component of the DSWRPPP project is to address risks and hazardous likely to occur in case of a dam failure. However, the implementation of the project also involves risks to some livelihood activities and cultural prosperities. Therefore, the risks with and without DSWRPPP project is highlighted in this section referring to the previous chapters. Risks without DSWRPPP Project As discussed in previous chapters, if a major dam fails, it will lead to a hazardous situation in the downstream areas affecting lives of a large number of people, their houses and properties, industries and enterprises, infrastructure, places of historical and religious significance. In addition it will create long term negative impacts on their livelihood systems due to the damages to infrastructure like dams, canal systems, paddy fields, home-gardens and other cultivable lands and business places. The vulnerable groups like the poor and the old as well as female headed households will face serious socioeconomic problems due to the impacts of such a disastrous situation. Social risks of the project) if the DSWRPPP Project is implemented As pointed out in the previous chapters, DSWRPPP Project does not involve serious negative impacts such as involuntary resettlement or long term negative impacts on the livelihood systems of the people. However, there will be temporary disturbances to their livelihood activities that can be mitigated through planning and implementation of a livelihood supporting plan with a due care for the vulnerable groups. The possible risks during planning and implementation of the DSWRPPP project are listed below: Risk during the planning stage o Intervention by politicians and other powerful individuals in the selection process of the project affected persons. This may lead to neglect the poor and socially marginal weak and vulnerable groups o Misunderstanding in the part of the politicians and influential individuals of the project. Different kind of rumors by some interest groups may create unfriendly attitude among the communities and other stakeholders. This is likely to discourage their interactive participation leading to delays in project planning and implementation activities. o Delays in the part of the project planners to do planning in time which would lead to implement the project within an off season or within a specified period o Failure in the part of the project planners to consult stakeholders and communities properly to prepare a comprehensive list of project affected people and prepare compensation packages based on realistic data and information. Risk during implementation stage 65 o Delays in project implementers to complete the project within the time specified leading to forgoing cultivation for more than one season o Discriminations in the payment of LSA due to failures in estimating project impacts on livelihoods of individual households o Payment of compensations to those who are not affected o Improper planning for cultivation of crops in the command area on rain-fed conditions or with water issues during construction period may lead to crop failures o Agency staff may be overburdened with work as they will have to handle additional work related to LS Social safeguards The social safeguards are proposed in this section to address the impact of risks discussed above in this section: Social safeguards during planning stage o Preparation of a comprehensive data and information base on project affected persons/properties and nature of impacts and compensation/assistance that should be payable to each and every household affected by an independent consultant. o Validation of data and information on the project affected persons/properties by the proposed institutional mechanisms o Establishment of transparent information sharing system for the people to know the policies, procedures, actions and institutional arrangements with regard to the payment of LSA o Establishment of the institutional mechanism (proposed in chapter VI – Para 2) to plan, implement and monitor LS and redress grievances related to LSA. Social safeguards during implementation stage o Payment of LSA needs to be made into bank accounts. This means accounts will have to be opened for all the affected households. o Mobilization of communities properly in order to avoid delays in project activities as well as payment of LSA o Establishment of an effective mechanism (as proposed in proposed in chapter VI – Para 2 ) to safeguard the interest of the poor and marginal groups o To make proposed GRC ( Grievances Redress committee) to function effectively, action need to be taken to make affected communities aware of this institutional arrangement made for their safeguards o Preparation of an implement able plan for cultivation of other field crops in the irrigation command under rain-fed or irrigation conditions during the project implementation period 66 o To take maximum care to protect properties of religious significance (bo-trees, temples etc.) close to dams. They are used for water related rituals etc. in tanks o Preservation of ancient sluices in tanks o Establishment of construction management committees in which FO leaders should also be given opportunities to become members in order to get the community feed back on the implementation program 67 VIII Monitoring and Evaluation Livelihood Coping Assistance .-- A detailed activity break down chart for LCA has been prepared for the different phases – pre-planning, planning, implementation and monitoring and evaluation. Keeping this activity chart in mind, implementation arrangements depicting the role and responsibilities of different agencies/ bodies have been worked out.. A Community Development Specialist (CDS) will be deployed in the PMU who would steer the LSA under the guidance and leadership of the Project Director. At the Dam level, key responsibility would rest with the RPM (in MASL) and PM (in ID). Farmers Organizations and other JMCs will endorse the program and extend technical support as appropriate. RPM / PMs will deploy LS Facilitators and undertake IEC campaigning as well as community consultations. Mechanism for redressed of grievances too has been worked out. Overall responsibility rests with the PMU.. A process cycle/ map, depicting sequentially activities that will go into ensuring voluntariness and further measures along with the role and responsibilities of the different actors as well as the review/ approval mechanisms has been presented which enables operational guidance. . Monitoring and Evaluation: A systematic program has been designed to monitor various environmental and social parameters. The environmental and social issues will be monitored as a part of the overall sub-project progress monitoring. Monitoring of compliance with EMP specifications by the contractor is key for proper environmental management and will primarily be conducted by an environmental committee appointed by the PMU for each site which require regular monitoring. The committee will receive input from an environmental and social development specialist/s hired to the consultants’ team overseeing the design and implementation, environmental specialist in the PMU, Environmental Officers of the CEA and interested members of the projected affected community. Monitoring of compliance will be the responsibility of the “Engineer” on behalf of the Employer and will enforce and monitor the compliance of EMP/ SA by the contractor. PMU will share the quarterly progress reports regularly with the CEA and IDA, through formal reports. . In addition, PMU will enlist the services of an external consulting agency to conduct an assessment thrice during the project implementation, at the end of 12th, 24th and 36th month. Results of the evaluation will be used for midcourse corrections (if need be). Also, regular IDA mission will include specialists to monitor project’s compliance with the World Bank’s safeguard policies. Public disclosure arrangements viz., making available information related to all the sub-project proposals, individually, as well as the project, as a whole, at different places, including locally at the reservoir level and at the national level have been made. . All key project staff are being made aware of the provisions in the environmental and social assessments and these have been budgeted and included into the project budgets. Summary of the assessments have been translated into Sinhala and Tamil languages and disseminated widely across the stakeholders. A brochure too has been developed for this purpose (Annexure- 2). 68 69