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  1. 1. Government of India & Government of The Netherlands DHV CONSULTANTS & DELFT HYDRAULICS with HALCROW, TAHAL, CES, ORG & JPS HP-FOLLOW-UP A DRAFT WORKING PAPER April 2002
  2. 2. HP-Follow-up A Draft Working Paper TOC Table of Contents 1 Introduction 1 2 Gains from the present HP 3 2.1 System 3 2.2 Monitoring network 3 2.3 Certified software for data processing, analysis and storage 3 2.4 Establishment of standardized data centers and inter-agency data exchange 3 2.5 Standard procedures for data collection, analysis and storage 4 2.6 Trained staff, training modules and measures for training sustainability 4 2.7 Reference Manuals for HIS Operation 4 2.8 Innovative R & D projects 4 2.9 Computerized historical data 5 2.10 Transition from “technology shy” to “technology friendly” environment 5 2.11 Improved data dissemination 5 2.12 Other institutional gains 5 3 Lessons learned 6 3.1 Expectations 6 3.2 Benefits 6 3.3 Management in implementing agencies 7 3.4 Approach to implementation 8 3.5 Government procedures 8 3.6 Staffing 9 3.7 Training 10 3.8 Conclusion 10 4 Logical framework 12 5 Horizontal expansion of HIS 15 5.1 Rationale 15 5.2 Implementation of HIS in remaining states 16 5.3 Consolidation of achievements in ‘old’ states 20 6 Vertical extension of HIS 23 6.1 Real-time use of data 23 6.2 Drought Management 28 6.3 Expansion of HIS to WIS for IWRM 29 6.4 Follow-up of HP from the perspective of IWRM 32 7 Institutional aspects 35 7.1 Creating a platform for broader appreciation of the HIS 35 7.2 Reallocating responsibility for the HIS 35 7.3 The national water policy and RBOs 36 7.4 Establishing RBOs 37 7.5 Potential obstacles to establishing RBOs 38 7.6 The role of existing river basin organizations 38 7.7 Other forward linkage looks 40 7.8 Conclusion 40 Annex I: Modified approach for horizontal expansion of the HIS 41
  3. 3. HP-Follow-up A Draft Working Paper Page 1 1 Introduction The present Hydrology Project (HP) will finish by March 2003. After that date the activities initiated under HP will be continued by the respective governmental organizations but without the financial and technical assistance as provided by the World Bank and the Royal Netherlands Embassy during HP. It is felt that HP has contributed substantially to the development of a comprehensive monitoring and data system in the states involved in the project, as well as at central level (CWC, CGWB and IMD). Specific recommendations on how GOI and the States should proceed with the activities initiated under HP will be presented in the final report of the Hydrology Project. In the SAR the aim of HP is phrased as follows: “The overall development objective of HP is to support major aspects of the National Water Policy (NWP) through improvement of the institutional and technical capacity to measure, process, and disseminate quantity and quality data on surface water, groundwater, and related climatic data. On a more general level, the NWP does not exist for its own sake but supports economic development and social well-being. More reliable and spatially intensive data on water quantity and water quality will enable better decision making on water-related projects in agriculture and domestic and industrial water supply. Moreover, it will enhance the management of the resources and safeguard a sustainable use of it. The hydrological information system established under HP, therefore, has important wider social and economic relevance.” This discussion document contemplates the question ‘What to do after HP?’ It addresses this question in a more general way, through reflections on the gains and lessons from HP and what kind of next steps can be taken. These next steps are described as general activities and are not yet translated into specific ‘projects’ or ‘services to be provided’ that could be taken up by the Government of India and possibly by donors for funding. Starting point for the discussion is the pressure from economic and demographic developments on the water resources in India. Water resources development and management should support the nation’s social and economic objectives but, at present, it is very difficult for the government to do so. In large areas in the country the available water resources are gradually getting depleted, groundwater levels are dropping dangerously low, and surface and groundwater are getting polluted. It is no exaggeration to say that India is either already in, or will soon be in a water crisis. This water crisis is not only about having too little water to meet the needs and that the water is too polluted. It is also a crisis of managing the water inadequately, resulting in the fact that millions of people - and the environment - suffer badly. India is not alone in facing a water crisis. Many other countries in the world are battling with the same problem, in developed and developing nations alike. On a global scale discussions have started on how to tackle this water crisis. The World Water Council (WWC) has developed in 2000 a ‘World Water Vision; making water everybody’s business’. This document highlights the main issues in water management, spells out the concepts of Integrated Water Resources Management (IWRM), and outlines the steps that should be taken to face the water crisis. The Global Water Partnership (GWP) has translated this Vision into an action plan ‘Towards Water Security: a Framework for Action’. Both documents were drafted with the inputs of many experts, including experts from India.
  4. 4. HP-Follow-up A Draft Working Paper Page 2 IWRM is defined by the GWP as “a process which promotes the coordinated development and management of water, land and related resources, in order to maximize the resultant economic and social welfare in an equitable manner without compromising the sustainability of vital ecosystems”. Important elements of the approach of IWRM are: • integrating the management of surface water, groundwater, water quantity and water quality; • taking into account all interests related to water (multi-sectoral); • advocating a participatory approach for water development and management, involving users, planners and policy-makers at all levels; • advocating development and management at river basin level; • recognizing that water has an economic value in all its competing uses and should be treated as an economic good, while taking into account the social and health aspects involved. Without mentioning Integrated Water Resources Management as such, the (draft) National Water Policy of 2001 addresses all elements of IWRM mentioned above, in particular in article 1 (the need for a national water policy), article 3 (water resources planning), article 4 (institutional mechanism), article 11 (financial and physical sustainability), and article 12 (participatory approach to water resources management). Hence, the National Water Policy of India reflects the current thinking on IWRM to a great extent. Local conditions and political considerations may prevent the implementation in India of the full scope of IWRM as presented in the above documents. This is quite acceptable, since development of IWRM is to be seen as a ‘process’ with room for the system to grow and mature. Moreover, one of the key-concepts of IWRM is that it should balance all relevant interests. India is of course free to make its own choices in this respect. Article 2 of the National Water Policy has provided the very basis for HP, and continues to provide the context for any follow-on activity. This article defines the need for a well- developed information system, including standards for coding, classification, processing, storage and dissemination. In its requirements for the system, the article goes even further than data on water availability and actual water use, by asking also to include comprehensive and reliable projections of future demands of water for diverse purposes. Evaluation of its achievements shows that the concept of HP has proven to be a success. The question is how we can continue to build further upon the results of HP. This document brings forward some thoughts for discussion. It starts with a summary of the gains of the project (Chapter 2) and the lessons learned (Chapter 3). The next chapter (Chapter 4) presents a logical framework that describes the overall and specific objectives and possible outputs and activities. These activities are further elaborated upon in Chapters 5 and 6, describing respectively horizontal expansion activities (other states, etc.) and vertical extension activities (operational use and IWRM). Chapter 7 presents ideas on the institutional aspects involved.
  5. 5. HP-Follow-up A Draft Working Paper Page 3 2 Gains from the present HP 2.1 System In the initial stages of water resources development, projects were formulated to serve largely irrigation requirements or irrigation combined with hydroelectric power generation. As the projects were few, inter-project considerations were absent and each project generally was investigated and planned as an independent item. Generally, no plans were made for long-range development, particularly for integrated use of water resources. As a result, hydrological data collection with respect to surface water remained limited to the specific project sites, and no link was made with groundwater data which, in contrast, was being collected on a system-wide basis. Only under HP has the potential for integrated hydrological data collection been achieved as also surface water data began to be collected from a system rather than project perspective. 2.2 Monitoring network The HP monitoring network is complex with domain specific data collection infrastructure having been activated in a multiple set of agencies. The network thus operationalized is distinctly different from the ‘pre-project’ system of data collection mechanisms both in terms of quality and spatial distribution. The noteworthy gains in the area of data collection have been a) optimization of network within the agency and integration of monitoring networks between different agencies operating in the same domain b) upgrading of domain specific monitoring networks c) introduction and operationalization of high frequency, error free data collection mechanisms d) establishment of time-specific and location-specific water quality monitoring network within GW and SW domains and e) uniform and standardised measurement methodologies and techniques. 2.3 Certified software for data processing, analysis and storage The concept of advanced levels of data processing and analysis was not entirely new to most of the institutions involved in the HP. However, the ‘pre-project’ system had some inherent drawbacks such as lack of standardization, non-availability of required hardware and software, large quantity of ‘heaped-up’ historical data in the form of paper records resulting in unmanageable time lag between data collection, processing and arriving at meaningful inferences, etc. HP enabled the institutions to initiate drastic and sustainable changes in the above areas. 2.4 Establishment of standardized data centers and inter-agency data exchange Meanwhile, demographic and development pressure has resulted in ever more projects being identified, and this has resulted in the recognition of the need for comprehensive strategic planning for integrated use of water resources. The ensuing need for proper coordination between various water resources planning and management agencies has indicated the need to establish suitable mechanisms for coordinating river basin development, and this has been enunciated in the National Water Policy. One of the key requirements for coordination was identified as collection and free exchange of hydrological data by the different agencies, and the possibility for this has been created through the Hydrology Project.
  6. 6. HP-Follow-up A Draft Working Paper Page 4 Establishment of active, logical and up-to-date links between various field level data collection units and multi-tier, multi-location data processing centers has been one of the key contributions of the HP. Multiple sets of data undergo a series of well-defined validation treatments including systematic, inter-agency data exchange, within and between these centers before being readied for storage at the apex level data storage center at each of the states and central agencies. In total, the HP has established 390 data entry and processing centers at various levels and 31 data storage centers at the apex levels. 2.5 Standard procedures for data collection, analysis and storage Wide variations in data collection, analysis, and storage practices within and between states and agencies were prevalent during the ‘pre-HP’ days. HP initiated demonstrable levels of transformation in this regard, with a high degree of success. The HP formalized standard procedures for data collection, analysis and storage and framed them in the form of HIS protocols. The fact that these procedures have been accepted and translated into uniform institutional practices across states and agencies is a clear and crucial gain from HP. 2.6 Trained staff, training modules and measures for training sustainability One outstanding and most visible gain from the HP has been extensive skill building of HIS staff across levels. Over 9,000 people at the top, middle and field level have been trained in HIS concepts, methods, tools, techniques and applications. In addition, the HP provided ample opportunities for ‘hands on training’ using an appropriate mix of direct training and through training of in-house trainers. Creation of a dedicated group of over 300 in-house trainers, (110 hydrometry, 60 WQ, 15 each SWDES and HYMOS, 70 GW, 30 GWDES) and documentation of standardized training curriculum and reference material (WQ, GWDES, SWDES, HYMOS, GW application software, data storage software) for current use and future reference have been some of the most important gains of the HP. 2.7 Reference Manuals for HIS Operation The HIS reference manual, comprising nine volumes, covers various operational, maintenance, and management aspects of the HIS. This voluminous documentation of ‘what and how’ of the HIS (mainly on SW, meteorology and WQ, while GW is under finalisation) in a sequential and ‘easy to refer’ to form is an important output of the HP, that has been designed to enable the institutions to operate and manage HIS on an ‘error free’ and sustainable basis. In the near future this Manual along with other documents will become available on the internet through an HIS resources database. 2.8 Innovative R & D projects The HP has initiated some innovative R&D projects in both the surface and groundwater domains. These include projects specific to groundwater such as a) fresh water-salt water interface in the multi-aquifer system of Krishna delta b) solute transport modeling studies for Kuttanad, Kerala. Similar examples of R&D projects in the surface water domain are a) integrated river basin planning and management in Sabarmati and Godavari basins and b) hydrological investigations and modeling for water quality sedimentation in upper Bhopal Lake.
  7. 7. HP-Follow-up A Draft Working Paper Page 5 2.9 Computerized historical data Before the present HP, each of the implementing agencies had a large “store house” of historical data (project-specific as well as regional) in the form of paper records. Under HP, these records have been converted into computer compatible formats, following several stages of validation. Thus, the quality of the available historical data has been improved, and they have become easily accessible in the data storage centers for any form of computerized analysis. The historical data has thus become immensely valuable for trend analysis and historical interpretation of current data. 2.10 Transition from “technology shy” to “technology friendly” environment Before HP, data collection and processing mechanisms were mainly manual and generally involved low technology. This contributed to the doubtful veracity of the data. Though better methods and equipment were of course available, the organizations involved were hesitant to adopt them for a variety of reasons, such as inadequate resources, insufficient skills, and high resistance to change, etc. Visible gains were made in this area with the introduction of and adaptation to modern technology through HP, viz. data collection (e.g., DWLR, electro- magnetic current meters, BoCW), data entry software (e.g. GWDES, SWDES), and data processing (e.g. computer hardware, HYMOS, dedicated GW software). A comprehensive performance assessment of the equipment and technology introduced and implemented under HP still needs to be done. 2.11 Improved data dissemination Data dissemination during ‘pre-project’ days has been very sporadic. The Hydrology Project introduced the concept and practice of systematic and ‘demand linked’ data dissemination, through standardised and inter-connected data storage centers. The value addition of these data storage centers is in the form of inter-connectivity, speed of data accessibility, 2.12 Other institutional gains A number of tangible and intangible gains were made in the area of institutional development, while working around and through the existing constraints and limitations. The gains so far achieved include a) establishing a national level WQ Assessment Authority, b) establishing and activating unified (GW, SW & WQ) Data Storage Centers c) introduction of O&M procedures, and d) systematic inter-agency data exchange practices etc. The gains as described above are some of the intermediate outputs of the HP. These intermediate outputs will contribute to a) improved dissemination of the HIS data to a wide variety of users, b) optimizing investments in the water sector, c) improved water resource planning and management at the regional, state and national level, d) ensuring more equitable distribution of water resources, and e) enabling the administrators and decision makers to respond to extreme situations (drought, flood) in a more responsible and efficient manner.
  8. 8. HP-Follow-up A Draft Working Paper Page 6 3 Lessons learned The framers of the present HP had certain expectations with respect to the outputs it was to produce and the impact this should have on the organizations involved. For a number of reasons not all these expectations could be met. On the side of the implementing authorities these reasons included limited technical and management capacity in the agencies, government procedures, and staffing constraints. However, the set-up of the project and its approach to implementation also played a role. Any follow-on activity, whether expanding the HIS to other states or further developing the HIS in its present location(s) into meaningful planning and decision support systems, must take into account the lessons learned in implementing the present HP. Notwithstanding the fact that it was unable to meet all expectations, the project did succeed in developing and establishing a working HIS. Perhaps the most important lesson is that understanding and willingness to cooperate have developed as the HIS has begun to take tangible shape, especially so now that it has begun to produce outputs. Moreover, the experience and results in the peninsular states make it easier for any future implementing organization to embrace the goals of HP in states heretofore not covered by the system. 3.1 Expectations The TA for the project has been formulated from different perspectives, resulting in different expectations among the different parties. The PCS expected technical and training support for project implementation, WB focused on disbursement and institutional strengthening (offices, vehicles, equipment, training), and RNE expected institutional reforms, i.e. expected involved agencies to change their way of doing business (impact beyond HP). In reality, the TA could focus on institutional development (supporting introduction of a new technical system in the organizations, coupled with a different approach to planning and management regarding the hydrology function). The SAR is a multi-purpose document. Within the Bank, it serves to underpin the decision to extend a credit agreement to the client country. To the client country, it serves to further pin down the commitment undertaken in signing the development credit agreement. And to the implementing agency it provides a benchmark for activities. The level of detail employed in the report does not serve all purposes equally well. While a rule of thumb assessment may satisfy decision-making in the Bank, such assessment is not a good basis for specific implementation. Nevertheless, implementing agencies claimed that the finance divisions considered the quantitative assessment in the report as cast in stone and therefore felt in practice unable to deviate from the rule of thumb solutions. This made it difficult to formulate appropriate network designs relative to circumstances and functions to be performed, rather than following literally the ‘estimates’ provided in the SAR. 3.2 Benefits The specific objective of HP and the TA is to develop a functional HIS. The benefits of this output are not immediately clear to relative outsiders such as finance divisions and secretaries. This made it difficult to enlist such parties’ support when required to overcome obstacles that the agencies themselves could not deal with. This was exacerbated by the lack of external demand for the HIS and its data, due to which there was no pressure from user organizations to give priority to completion of the HIS. External demand was to become clear in the HDUG, but this remained inactive because without an actual HIS in place there was nothing for such agencies to discuss. The technological improvement has not shown itself to be a product that sells easily, and marketing has proven to be difficult.
  9. 9. HP-Follow-up A Draft Working Paper Page 7 The focus in HP has been on developing a system for processing monitoring data. Hence, the key agencies were the monitoring agencies, whereas the utility of the database for wider application should have included formal participation of the development agencies (e.g. irrigation department). Even though these monitoring and development agencies are often part of the same department, they are not necessarily aware of each other’s activities. While the user agencies were included in the HDUG, a more fundamental involvement of the key development agencies should perhaps have been specified in the SAR. Sample projects should be selected to show the social-economic relevance of a good HIS. For example, for dams built in the past the design conditions could be recalculated using the HIS data. This would reveal potential under- or over-dimensioning of these dams, the former pointing to high-risk situations, and the latter indicating significant unnecessary expenditures of public funds. The utility of HIS is beginning to become more widely understood. Due to the support from pro-active administrators and decision makers, HIS information is now a critical parameter for developing a pilot for integrated water resources development in AP and HIS monitoring in Karnataka has resulted in planning of more projects. 3.3 Management in implementing agencies Introduction of new work processes and procedures associated with the HIS involves many significant changes. Training implementation shows that there are many capable and willing individuals in the agencies ready to absorb the necessary changes. However, they need direction. Steering the organizations involved successfully through this process requires enthusiastic leadership with a pioneering spirit. It is therefore essential that the relevant top management positions be held by enthusiastic individuals who are not just biding their time until retirement. At least during the project period (the “pioneering stage”) the selection and positioning of personnel in these posts should be geared towards this requirement, instead of routine shifting of staff for reasons of tenure-based career advancement. In general the implementing organizations’ officers remain more focused on inputs than on outputs. Moreover, there is little appreciation for systematic collection of information on the organizations’ transformation process (i.e. not the hydrological data itself, but management information on how the different units in the organization are performing in making the system work). Effective management of the HIS units in agencies demands that the in- charge can avail of such information, with possibility for (abstracted) reporting to higher-ups, and that he/she understands the information provided and is able to act upon it. The HIS as developed in the present HP does include a dedicated MIS component. However, because the HIS is installed only in the computers used by the technical personnel, there is a risk that the management information generated will not automatically flow to the relevant levels of general supervision and management. The follow-on project should further develop the MIS component in this direction, and incorporate the managers’ computers in the local HIS networks.
  10. 10. HP-Follow-up A Draft Working Paper Page 8 3.4 Approach to implementation Implementation of HIS has been characterized by delays in meeting ambitious targets (number of states, institutional development, training, physical targets, etc.). These targets could not be met, especially in the short run. One reason for this has been that basic thinking and planning had to be completed first. For similar activities in other states it would be better to have an interim phase, in which agencies would do all the think work (e.g. network planning) to prepare for actual implementation. Implementation in all states, all agencies, and all districts/divisions at the same time (blanket approach) has proved unmanageable, especially due to limited capacity to manage agency- wide development. Hence, while concurrent implementation in all states and agencies should remain a key element of the approach, at the agency level major steps in implementation should be piloted in one division and be replicated to other units only after successful completion. This would spread out physical target achievement in time, with commensurate impact on financial requirements and disbursement projections. The linking between hardware and software procurement has resulted in significant delay in the availability of hardware. There is no real need to postpone formulating hardware specifications until those for the software are completed. However, in HP exactly this approach has resulted in delays of hardware procurement for groundwater, as the completion of software specifications was very time consuming. This is especially concerning since the supply of software is only a small part of a combined soft/hardware package. De-linking of hardware from software implies procurement of hardware preceding the finalisation of software. With the given rapid advancements in information technology, this strategy has an inherent risk of hardware being outdated at the time the software finally becomes ready. Therefore, the appropriate strategy would be to procure hardware in a phased manner and adjust the technical specifications based on actual experience and requirements emerging from software becoming available. 3.5 Government procedures Procedural delay has plagued the project till the end, particularly with respect to procurement. Moreover, procedures were unable to prevent serious errors in procurement. The system is biased towards lowest-cost procurement without guaranteeing that minimum technical and operational requirements are met. Moreover, the procurement officers are often not technically able to do more than administrative checking of paper documentation provided by the supplier against the specifications. This has resulted in several instances of mis-procurement, where items failed to perform as expected. This could have been avoided if procurement had been batched not just administratively but also on the basis of long-term performance (e.g. for one year) under field conditions. Initial procurement of smaller numbers of items would have made it possible to do this field testing and to instruct manufacturers to make the necessary corrections in the configuration of the equipment they supplied. However, it was decided to go for large-scale procurement early on in the project, apparently out of a concern that procurement targets would otherwise not be reached.
  11. 11. HP-Follow-up A Draft Working Paper Page 9 To make matters worse, the different implementing agencies have ignored documented mis- procurement by others, while other agencies are often reluctant to document and report on their mis-procurement. Hence, mis-procurements often remain hidden or go unreported. For such reasons, it has often happened that equipment proven to be unsatisfactory in one state has nevertheless been procured time and again by agencies in other states. Under these circumstances the suppliers have had little incentive to be responsive to complaints from other agencies about the performance of equipment already delivered, and to correct the failures under warranty, with the result that part of the equipment is no longer functional. Such suppliers should be disqualified from tendering under any follow-on project. To avoid these problems in the future, for all new items to be procured there should be a Technical Approval Committee in each agency with authority to decide on the proposed purchase. The Consultant should participate in these Committees in an advisory role only. Moreover, where large quantities are involved, long-term field testing of early batches should precede large-scale procurement of the relevant items. In this connection, there should be an obligation to consider experience with the same equipment already procured by other agencies and/or states, through actual verification on-site. 3.6 Staffing Despite the fact that CWC is lagging behind in data center equipment, the best-trained personnel for SW in the HIS are in this organization. Therefore, with respect to surface water, the CWC should play a leading role and generally be developed as an example for SW organizations to follow. The project duration of HP has proved to be (much) longer than the term of office of many key officers. Perhaps as a result, HP priorities often remained overlooked and deadlines were not met. In fact, much of the work has been undertaken more as a government activity than as a project. This has been particularly clear in staffing, for which general targets were given in the SAR, but no timing. Had the agencies been committed through the SAR to meet the relevant targets at specific times, overall progress could have been faster. Such approach should of course leave room for adjustment of schedules in the light of actual development on the ground (e.g. in order to avoid training staff on equipment that is not yet being procured). Positioning of specialist staff, especially for WQ and IT, has been difficult since the agencies do not have such staff for redeployment to HIS and there exists a ban on recruitment. Solutions that have been attempted are deputation of staff from specialist organizations to HIS units, contracting staff, outsourcing of works and training of existing staff. Deputation is difficult since the staff involved may not wish to remain separate from their parent organization. Outsourcing to an organization has been successful in Maharashtra (WQ analysis) and Tamil Nadu (IT), where non-government staff have been hired through a local company to conduct the necessary activities in the facilities established under HP. Contracting free-lance personnel has proved to be successful in Karnataka (IT & WQ), at least for the time being. However, this may not be sustainable in the longer term due to excessive budgetary burden. Hence, the only solution seems to be training existing staff belonging to other disciplines. For example, the agencies have many staff with a chemistry background, and many engineers have an understanding of IT. In this respect it appears that the actually required abilities may not be as sophisticated as previously imagined and, hence, the training need may not be insurmountable.
  12. 12. HP-Follow-up A Draft Working Paper Page 10 One type of specialist function conspicuously absent in the agencies is that of instrumentation specialist. This is an obvious handicap, considering the many instances where equipment has failed to perform (aside from the lack of technical attention during the procurement process itself). Ideally, each agency should have an instrumentation specialist who could investigate instances of non-performance and arrange improvements with the suppliers accordingly. An alternative presently being discussed is to place this responsibility with the CWPRS. Although this would be better than nothing, the CWPRS is a centralized organization lacking regional representation in the states. Hence, all issues involving equipment performance would have to be dealt with by staff based in Pune. Thus the CWPRS only could deal with general procurement issues, more or less in the way the Consultant has been able to provide support, but local non-performance of equipment would remain essentially non-addressed. 3.7 Training In the initial stages of the project, agencies approached training only in terms of numerical targets. The gradual transition from numbers to impact was initiated during the later part of the project implementation, based on the identification of individual learning paths. Thus, identification of individual learning paths defined based on the required skill sets turned out to be an important training performance indicator for assessment of lasting impact. In the follow-up project, early documentation of individual learning paths will help to set realistic training targets and deliverables. Many national level institutes (NWA, NIH, RGI) participated in the delivery of various training courses. These institutes gained a good grasp of HIS-specific training requirements and became proficient in the delivery of domain-specific course contents. Experience indicates that these institutes can successfully become the ‘knowledge banks’ for future training deliveries. However, absence of a centralised training institute for water quality was recognized as a major constraint. This was partly addressed by drawing upon the expertise of operational agencies (CPCB) as well as research institutes (ITRC, EPTRI, NEERI). There is a need to identify a national level organization to fill this apparent gap. Since CPCB has the required expertise and national level stature, recognizing and positioning it as an apex body for training in water quality will be a step in the right direction. Since the HIS is knowledge intensive, the need to put an HIS specific staff transfer policy in place can not be overemphasised. Such a policy must address the need to overlap between two incumbents so that knowledge and skills are retained with HIS institutions (transfer of knowledge). 3.8 Conclusion Any follow-on activity should have realistic expectations and targets, lest the participating organizations and the individuals involved become disappointed and demoralized. In this connection, it is important to recognize that the development and introduction of the HIS alone is unlikely to bring about major changes in the performance of the participating organizations beyond the use and utility of the system itself. To ensure purposeful and active implementation it is necessary to appoint enthusiastic managers to the post of nodal officer during project implementation. At the very least the agencies should ensure that the persons placed in these posts are not just biding their time until retirement. An appropriate staff transfer policy will address this need.
  13. 13. HP-Follow-up A Draft Working Paper Page 11 Now that the system has become operational in several states and significant outputs are becoming available, it becomes possible to identify specific social-economic benefits. This will be useful for convincing officials who are not directly involved with the HIS of the system’s relevance to their own area of responsibility. Introduction of the HIS in other states should include a dedicated MIS component from the very beginning. This will enable the managers at the more general supervisory levels to keep track of progress and organize external support (e.g. from the finance division, secretary, etc.) if necessary. The project should include a specific HIS management component to assist these managers in developing the relevant understanding and skill. The lack of attention for technical aspects in the procurement process will again lead to mis- procurement unless specific action is taken. Procurement Committees should be established, with participation by the consultant in an advisory capacity. Suppliers that have been non-responsive to requests for correction of equipment failures during the present HP should be disqualified from tendering under a follow-on project. Each agency should assign an instrumentation specialist for technical management after procurement. As also recommended for the other specialist positions (information technology and water quality), the post should be held by one of the agency’s “regular” professionals after relevant training.
  14. 14. HP-Follow-up A Draft Working Paper Page 12 4 Logical framework Taking into account the lessons learned in implementing the present project, there are several possibilities to “leverage” the gains achieved. This basically involves two distinct but related approaches. The first is a so-called “horizontal (geographical) expansion” of the present project, by replicating the gains in a number of states heretofore not included, thus expanding the coverage of the HIS. The second is a “vertical extension” of the gains, by broadening the present HIS into a Water Information System (WIS) as well as by including real-time monitoring and water resource management elements. A broader WIS would comprise, besides hydrological data, also socio-economic and other data and would thus improve the relevance for water resources planning. Inclusion of real-time elements would enable establishment of decision support systems for flood forecasting and flood warning, management of water resources systems (dams, irrigation schemes, etc), and drought management (conjunctive use, including responsible water harvesting, etc.). These possible developments from the present state of the HIS are further discussed in the following chapters. The present chapter presents a so-called logical framework showing the interrelationships between the different components. The logical framework analysis is an internationally accepted method for goal analysis and development of programs and projects. In its full application, it extends all the way to the identification of inputs required for specific project activities. Such level of detail would be premature at this moment, but it is appropriate to analyze the relevance of possible goals and the different strategies to achieve them, and the suitability of different possible project components. Part of the logical framework analysis is the formulation of a Project Planning Matrix. This is a one-page summary of: • Why a program or project is being carried out (=who or what will benefit?) • What the program or project is expected to achieve (=utilization of services) • How the program’s/project’s outputs/results will be achieved (=measures executed) • Which external factors are crucial to success (=risks and frame conditions) • How to assess success (=indicators) • Where the data is available to assess the success (=means of verification) For the sake of clarity, the logical framework presented here comprises two sections, one for the horizontal expansion of HP and one for vertical extension of the HIS. However, this should not be construed as two alternative project proposals, although it is of course possible to implement only one or the other. One of the most important lessons learned in the present HP is, that this has been focused too much on effectiveness and efficiency of monitoring and data processing and not sufficiently on the utility of the information that this process can produce. This has made it difficult to generate enthusiasm for the HP beyond the persons immediately involved. If the vertical extension would indeed be taken up in the “old” states, it would be likely that the “new” states involved in horizontal expansion would not be satisfied with establishment of the HIS alone, but would also seek inclusion of vertical extension elements within the duration of the project. After all, unlike in the present HP, any “new” state embarking on the establishment of the HIS has a much more ready reference to the achievements and potentials of the system than the “old” states had six years ago. Thus, the main difference between “old” and “new” project states could be that vertical extension would be more elaborately pursued in the former than in the latter, only because the “new” states would need a few years to establish the HIS as a starting point.
  15. 15. HP-Follow-up A Draft Working Paper Page 13 Logical Framework Analysis Vertical Extension of the HIS Narrative Summary Verifiable indicators Means of verification Assumptions 1 Project Goal: 1.1 Institutionalization of integrated river basin planning & management systems, methods, and mechanisms 1.1.1 optimized investments in water sector less dramatic impact of disasters Census data Rural and Urban Water Supply Data Irrigation data Project MIS Formal acceptance of changes in the existing models of water resource planning & management 2 Project Purpose: 2.1 Optimized WR management at basin level 2.1.1 HIS linked to non-hydrological databases of other organizations 2.2 Improved response to disasters and improved management of such events 2.2.1 Operational pilots for real time basin management and disaster management Project MIS Project specific impact evaluation studies Government directive to establish and manage RBOs 3 Outputs/Results 3.1 Decision support systems for disaster management, comprising real time flood forecasting, flood warning and disaster mitigation plans. 3.1.1 Establishment of infrastructure and installation of equipment to enable real time data acquisition in river basins xyz. 3.2 Decision support systems for irrigation management (reservoir operation), comprising HIS linked with non-hydrological data from other agencies. 3.2.1 Collection, processing, analysis and use of real time data for flood forecasting and extreme event management Project MIS 3.3 Decision support systems for drought management comprising conjunctive use of SW/GW and responsible water harvesting 3.3.1 Emergency management plans notified in Gazette Gazette 3.4 Draft legislation to establish River Basin Organizations 3.4.1 Gazette notification of establishment of RBOs 3.5 Integrated water resource development plans for selected river basins 3.5.1 Gazette notification of basin-specific, integrated water resource development plans Gazette 3.6 Institutional capacity to formulate project proposals to implement WRD and disaster management plans 3.6.1 Proposal for infrastructure and other measures to implement WRD and disaster management plans submitted to GoI for appraisal. PCS reports Inter-state/inter-agency synergy for instituting RBO planning & management models
  16. 16. HP-Follow-up A Draft Working Paper Page 14 Logical Framework Analysis for Horizontal Expansion of the HIS Narrative Summary Verifiable indicators Means of verification Assumptions 1 Project Goal 1.1 Improvement of the institutional and technical capacity for data collection, processing, and dissemination 1.1.1 Fully activated data storage center within the WRD Availability of validated and easily accessible database 2 Project Purpose 2.1 Establishing an integrated hydrological information system 2.1.1 Institutional capability to deliver ‘demand driven’ HIS User response and feedback; project MIS Policy initiative to make HIS data more transparent in Northern India. Assimilation of lessons learned in Indian peninsula. 3.1.1 Fully operationalized data collection network as per design Design specifications Project MIS 3.1.2 Data collection, collation, analysis, and processing capabilities Project MIS 3 Outputs/Results 3.1 Standardized physical observation network procedures for data collection, processing, and dissemination 3.1.3 Hardware and software for data storage activities Project MIS 3.2 Appreciation for and acceptance of HIS for use in the regional and state level water resource planning by government agencies and by non-government and private users 3.2.1 Increased demand for HIS by a wide variety of users Project MIS User feedback
  17. 17. HP-Follow-up A Draft Working Paper Page 15 5 Horizontal expansion of HIS This chapter describes possible follow up activities to extend the results of the Hydrology Project to other states and to consolidate the achievements in the ‘old’ states. The activities can be described as ‘replication of the present HP’s success’; of course taking into account the experiences from the previous period. 5.1 Rationale As mentioned in the previous chapters, water plays a crucial role in the socio-economic development of India. Safe drinking water is required for the very large and growing population. Water has also become a major constraining factor for the growth of the agricultural and industrial sectors. In contrast, flooding frequently threatens populations and their properties. Competing demands, between individual and groups of users as well as among states, require proper planning, design and management of water resources and water use systems. India’s National Water Policy advocates an integrated planning and development of the conjunctive use of surface and groundwater, addressing the multiple uses of the water simultaneously. It stipulates in article 2 that: “The prime requisite for resources planning is a well-developed information system. A standardized national information system should be established with a network of data banks and data bases, integrating and strengthening the existing Central and State level agencies and improving the quality of data and the processing capabilities. There should be free exchange of data among the various agencies and duplication of data collection should be avoided. Apart from the data regarding water availability and actual water use, the system should also include comprehensive and reasonable reliable projections of future demands for water for diverse purpose.” A major component in the information system for water resources planning, design and management is a Hydrological Information System (HIS), which comprises a reliable data base on all aspects of the hydrological cycle. An efficient and comprehensive HIS is a prerequisite (although not the complete basis, as it does not contain much non-hydrological data) for appropriate planning, design and management, to get better decisions made as well as to achieve efficiency. The Hydrology Project was originally conceived as a National Hydrology Project, to develop a countrywide Hydrological Information System. The overall objective of the project was to improve upon various facets of Hydrological Information Services in the country. However, owing to reservations in bringing the waters of international rivers under the project, it was ultimately approved only for the peninsular part of the country and became known as the Hydrology Project. The implementation of the Hydrology Project in the peninsular states has brought about significant improvements. Utilizing the experience gained under HP for similar improvements in the remaining part of the country is not only a logical follow up of the HP, but from an integrated water resources perspective it is also a necessity to properly deal with the spatial and temporal variation of water availability, quantity and quality-wise in Northern and North-Eastern India. It would only be fitting to multiply the efforts and propagate experience of HP. Besides the expansion of the HIS to North and North East India it is of utmost importance to consolidate the HIS infrastructure established in peninsular India, to ensure its sustainability. The latter should be given due attention as the originally planned two years consolidation period of HIS activities under HP-I could not be achieved due to considerable delays in procurement and software development as well as shortage of specialist staff as outlined in the previous chapters.
  18. 18. HP-Follow-up A Draft Working Paper Page 16 5.2 Implementation of HIS in remaining states 5.2.1 Areal extent As many states as possible should be brought under the Project, since the improvement in HIS is needed throughout the country. Priority should be given to areas with a lot of pressure on the water resource, or where there is considerable additional potential (as in the case of northeastern states), especially for hydropower. The sooner this is done, the better it would be. Leaving any state out would put that area off for another 5-6 years. States like Jammu and Kashmir can be left out, because of security reasons. The proposed horizontal expansion of the Hydrology Project is presented in Table 5.1. Its total area amounts to approximately 1.6 million km2 , which is nearly the same as the area included in the current Hydrology Project, which covers 1.7 million km2 . The inclusion of Goa in the follow-up project may also be considered. The HIS in the listed states will fit to the same structure as designed for peninsular India, with a few extensions regarding measurement of some hydrological variables, since (ref. Annex I): • flow measurement techniques have to be adjusted in view of the fact that about 25% of the area is classified as hilly, with a number of steep mountain streams, while large rivers such as the Ganges and Brahamputra rivers require specific monitoring techniques. • snow hydrology will be of importance during part of the year in the states of Arunachal Pradesh, Himachal Pradesh, Sikkim and Uttranchal. • sediment transport is crucial in the Indo-Gangetic Alluvial Plains. • multi-acquifer systems in the Alluvial Plains require a different approach to GW monitoring. Table 5.1: Horizontal expansion of the Hydrology Project States Capital Area (km 2 ) Topography Arunchal Pradesh Itanagar 83,743 Hilly Assam Dispur 78,438 Plain Bihar Patna 115,877 est. Plain Haryana Chandigarh 44,212 Plain Himachal Pradesh Shimla 55,673 Hilly Jharkhund Ranchi 58,000 est. Hilly Madhya Pradesh (Narmada + Ganges) Bhopal 282,450 Plain Manipur Imphal 22,327 Hilly Meghalaya Shillong 22,429 Hilly Mizoram Aizawl 21,081 Hilly Nagaland Kohima 16,579 Hilly Punjab Chandigarh 50,362 Plain Rajasthan Jaipur 342,239 Plain Sikkim Gangtok 7,096 Hilly Tripura Agartala 10,486 Plain Uttar Pradesh Lucknow 220,411 Plain Uttranchal Dehradun 74,000 est. Hilly West Bengal Kolkatta 88,752 Plain Total 1,594,155
  19. 19. HP-Follow-up A Draft Working Paper Page 17 5.2.2 Implementation Operation of a Hydrological Information System broadly involves the following categories of activities: 1. Assessment of needs of users 2. Establishment of an observational network 3. Management of historical data 4. Data collection 5. Data processing, analysis and reporting 6. Data exchange and reporting 7. Data storage and dissemination, and 8. Institutional and human resource development. This implies that the following steps are required to set up an HIS: 1. Establishment of a suitable forum for the assessment of needs of data users 2. Establishment of an observational network • Design of network • Site selection, inclusive of procurement of land • Equipment selection, specification and procurement • Station design and establishment • Equipment installation • Staffing and training • Data collection and transfer 3. Establishment of data processing and storage centers • Hiring of temporary workspace • Procurement of hardware and software • Staffing of data centers and training of staff • Management of historical data and handling of current data streams • Design of data centers, procurement of land • Establishment of data processing centers. Implementation of the project ideally must cover the full area of each state for each activity. At present most of the material (the specifications, manuals, software etc.) would be readily available from the day 1, though an update will be required and new technologies need to be introduced in particular for larger rivers and steep rivers (erosion). Therefore, it would be possible to advise all divisions of a State to start working on the various activities at the earliest. The only requirement is to properly schedule various activities, lay down the milestone for completion, parameters for quality control and strictly monitor the progress. However, experience of HP in peninsular India suggests that it is difficult to carry out the same activities in all districts/divisions at the same time. Hence, while all relevant units of an agency should be involved in the project from the start, in each agency only one district/division should be assigned to take a lead role, acting as a guide for the other units. This will also make capacity building more manageable from a training point of view. The other units should schedule their activities realistically, thereby making use of the experience of the lead unit. Identification of staff should start well before the establishment of the monitoring and processing infrastructure, to ensure that staff is available when stations/laboratories/centers become operational. Training of staff should fit into this schedule. No training should be embarked upon if no immediate practicing in the field, laboratory or processing center can be guaranteed.
  20. 20. HP-Follow-up A Draft Working Paper Page 18 The establishment of HDUGs or some other forum for inter-active data needs assessment with potential data users does not seem to be required in the early stages of the project, provided that experienced hydrologists and water resources experts working for the implementing authority make a proper assessment of present and future functions and uses of water in a state, and of existing and up-coming water resources development plans, and related data needs. This should allow identification and assessment of some 90% of the actual data need that the system should be able to meet. Once the HIS begins to produce outputs, HDUGs can play an active role in the review of the HIS at regular intervals to keep it tuned to the changing data needs of the different users. Entry and validation of historical data should be addressed at an early stage. Even in the bridging period between the present HP and a follow-on project the states and central organizations could take up this activity by making use of the data entry and primary validation tools GWDES and SWDES. NIH can provide training and guidance to work with the software, to make a thorough inventory of the data available, and enter the appropriate data. The relevant process and procedures have been worked out in the present HP. An early start of such activity has the advantage that much sooner than under HP-I attention can be given to streamlining the handling of current data. If initially there should be a shortage of computers or trained staff, one should consider outsourcing the entry of historical data. With respect to procurement reference is made to Chapter 3 on the lessons learned under the present HP. An active involvement of experienced staff is needed, as well as the execution of the various tests designed to be carried out before acceptance of delivered goods, to ensure that mis-procurement does not take place in HP-II. Particularly during the bid-evaluation tests should be carried out to investigate the quality of the offered equipment, and other customers should be visited to directly observe on-site experience. 5.2.3 Likely scope of horizontal expansion A first assessment of the required observational and processing infrastructure results in the following indicative scope of a horizontal expansion of the HIS established under the present HP. Hydro-meteorological network The minimum required meteorological network according to WMO norms for hilly, plains, and desert areas consists of one rainfall/precipitation station per 250, 500 and 900 km2 , respectively. This results in a total requirement of nearly 3,700 stations of which 10% (=370) should be equipped with recording gauges and some 2% (=74) designated as Full Climatic Stations. Important aspects in some of the states will be the measurement of snow: snow coverage, depth and water content. Hydrometric network Again following the minimum requirement of WMO in hilly regions, one hydrometric station per 300 – 1000 km2 is needed, and one station per 1000 to 2000 km2 for plains areas. This implies some 600 stations for the hilly regions and about 825 stations for the plains. Special attention will be required for flow measurement in mountainous streams, whereas sediment yield and transport will also be important aspects.
  21. 21. HP-Follow-up A Draft Working Paper Page 19 Observation wells There are no global standards for GW monitoring network density. It is governed by a variety of factors including local hydro-geological conditions. Given the poor performance of so many DWLRs, the strategy for GW observation wells (piezometers) needs to be reconsidered. The density may be reduced, with more emphasis on multi-aquifer nest observations. It should also be kept in mind that the geological and geo-hydrological conditions and GW regimes are distinctly different in the northern (alluvial) river basins as compared to the peninsular river basin and, hence, require a modified approach. Water Quality Laboratories The northern and the north-eastern states have sufficiently high rainfall and are garlanded by a large number of rivers. These states depend mostly on surface water for irrigation. The groundwater table being high in these states, the potential for contamination of groundwater is profound. The central region of Rajasthan is water-starved due to desertification and less precipitation. There the surface water and the groundwater sources are considerably polluted. The requirement of laboratories in the above geographical area is estimated as follows. Requirement of Laboratories State Level I Level II Level II + Total Arunachal Pardesh 3 1 4 (3) Assam 3 1 4(3) Bihar 5 1 6(4) Haryana 2 1 3(2) Himachal Pradesh 2 1 3(2) Jharkhand 2 1 3(2) Manipur 1 1 2(1) Meghalaya 1 1 2(1) Mizoram 1 1 2(1) Nagaland 1 1 2(1) Punjab 2 1 3(2) Rajasthan 7 1 8(8) Sikkim 1 1 2(1) Tripura 1 1 2(1) Uttar Pradesh 9 1 10(7) Uttaranchal 2 1 3(3) West Bengal 5 1 6(3) Total 158 48 17 Note: Figures in parenthesis represent groundwater laboratories Data centers The set up of data processing centers will be multi-tier and domain (SW &GW) specific. While there will be one apex level data storage center at each of the states, the total number of data processing centers and subsequent allocation of their specific responsibilities will entirely depend on the project implementation format that will be adopted, i.e. RBO or the traditional structure. The total number of data storage centers will be one per state (17 in total) and the number of various levels of data processing centers is estimated to be about 170 {(17 * 4 (SW) + 17* 4 (GW) + 17 (CWC) + 17 (CGWB)} in the traditional format. In case, the RBO format is followed, the number of data processing centers will be drastically reduced.
  22. 22. HP-Follow-up A Draft Working Paper Page 20 Staffing The average staffing requirements including specialist categories worked out to be about 600 per agency for SW and about 175 per agency for GW, during the implementation of the project in the Peninsula. Using this benchmark, the total requirement of staff will be over 10,000 for SW and about 3000 for GW. 5.3 Consolidation of achievements in ‘old’ states The consolidation of the HIS in the existing states involves: 1. optimization of monitoring activities 2. consolidation of day to day operational procedures and maintenance 3. collection of data on water use and socio-economic data relevant for future projections of water demands (ref. Section 6.4.3) 4. human resources 5. linkage of HIS to economic and public sectors 6. assessment reports 5.3.1 Optimization of monitoring activities The optimization of the monitoring activities comprises first of all the regular review of hydrological data needs, by consultation of the Hydrological Data User Group. Though HDUGs were established early on in the present HP, they have largely remained inactive. This is because the HIS only produced its first outputs at the very end of the project, leaving very little to discuss otherwise. Nevertheless, due attention is to be given to active participation of HDUGs or some other relevant consultative forum in regular HIS reviews in the future, to ensure demand-driven data supply. It is essential that the review takes place at regular intervals as prescribed in the HIS- manual, to make sure that the HIS remains a dynamic system, i.e. developing the system to accommodate data needs of the users as they change over time. A prioritization should be made to best match the requirements with the available budget. Optimization may involve expansion or intensification of the network at one place or reduction at another. Apart from this, existing overlaps between different agencies’ networks should be eliminated. Optimization may also have consequences for the monitoring frequency and/or may result in adjustments of the measuring technique, data storage and transfer. 5.3.2 Consolidation of operational procedures and maintenance. Due to delays in the implementation of the HIS in the present HP, insufficient time was available to obtain sufficient experience with the day-to-day handling of the current data, also because occasionally priority was wrongly given to the historical data entry. It should be stressed that the immediate validation of the current data and timely feed back to the observation site is a key factor in the creation of a reliable and up-to-date database. No delays are allowed here. Hence, due attention should be given to streamlining these activities, within the organization and between the organizations. The latter is of great importance as the monitoring networks are in principle complementary rather than overlapping.
  23. 23. HP-Follow-up A Draft Working Paper Page 21 A sustainable HIS also requires that at regular intervals maintenance of stations, equipment, data transfer means, hardware, software and of accommodations takes place. Instructions spelled out in the HIS manual should meticulously be followed up. Sufficient spares, funds and appropriate staff should be available to carry out such activities. To enable managers in the agencies to be pro-active in their efforts to keep the different parts of the system functioning, data processing and data storage software developed in the present HP automatically produces information as to the state of the system and execution of activities to guide the management for taking appropriate actions. 5.3.3 Human resources Appropriate staffing in number and skills of observation stations, laboratories and processing centers is a prerequisite for a sustainable HIS. In HP-I Consultants have proposed the introduction of roving teams for surface water hydrology to reduce costs by economizing on staff without loss of information. It was shown that crores of rupees could be saved annually by implementing such methodology. Implementation of this procedure, therefore, merits re- consideration. With respect to the training of field staff it is stressed that due attention should be given during the training to the actual fieldwork, rather than to theory alone. Each participant should gain experience with and ultimately show his competence in the fieldwork to the trainer’s satisfaction. A major constraint has been the staffing of water quality laboratories. Qualified staff seems to be difficult to find under the prevailing recruitment limitations. Under these circumstances use should be made of staff within the organization, properly trained in standard laboratory work, who carry out the activities under the guidance of a qualified chemist. The staffing of the data processing centers should be thoroughly reviewed after the bulk of historical data have been validated and the reporting thereupon has been completed, to fit to the actual staffing need for handling of the current data. A good cadre of trainers has been established under HP-I, who also guide the data processing offices in their day-to-day activities. It is essential that such a high-level cadre be kept, which is a prime responsibility of NIH, NWA and RGTI. Furthermore, proper attention should be given by the agencies to in-house training of staff, to become less vulnerable to the effects of frequent staff transfers. 5.3.4 Linking HIS to economic and public sectors The HIS output has a wide variety of users, both in the public services domain and in the private sector. For the purpose of brevity, the users can be broadly grouped under two major clusters viz. ‘large scale and repeat users’ and ‘occasional or one-time users’. A majority of the users in the public services domain belong to the former, where as most of the users in the private sector are likely to belong to the latter. Large scale and repeat users of HIS may mainly belong to a) various policy level and operational level government departments b) financial institutions c) command area development authorities d) irrigation departments e) NGOs, etc. Occasional users may be of two types viz. a) those who need to find and use water in a micro-geographical area for their own use, and b) those who need to find and use water for commercial or community activities.
  24. 24. HP-Follow-up A Draft Working Paper Page 22 An inventory of such users and their data needs is required. The need identification will culminate in linking the needs with specific HIS outputs, thus making HIS demand-driven and customer-specific. Defining and documenting transparent data dissemination procedures will respond to the ‘right for information’ and good governance policy of the government. Timely and speedy dissemination of data, using various electronic and physical media, will have to be done initially under guided conditions prior to full-fledged institutionalization of the concept. The optimum utility of HIS will be fully realized only when it is linked to existing data bases (e.g. on land use, cropping pattern, population) at various levels in other organizations and to related software (e.g. GIS). This linkage will have to be firmly established at the initial stages of the project. HIS products must be appropriately priced to allow sustainable demand on a long-term basis. Determining tariff mechanisms in the public services domain is complex and prone to drawn-out public debate. Therefore, it is important to analyze and document best practices observed in India and abroad, including in other sectors, and tailor them to meet specific local needs. The institutional capabilities of the implementing agencies in this regard will have to be substantially be enhanced. 5.3.5 Assessment reports The Groundwater Estimation Committee lays down norms for estimation of the groundwater potential in the country, the latest being the GEC-1997 norms. The HIS outputs can be used as useful inputs to estimate the availability of groundwater resources in the southern peninsula. However, the most distinct value addition of HIS is going to be in the use of its outputs to revise the norms based on scientific evidence and validated facts.
  25. 25. HP-Follow-up A Draft Working Paper Page 23 6 Vertical extension of HIS The Hydrology Project has focused on the collection of hydrological data and related institutional development. Collecting data is not an objective by itself. It serves higher goals of GOI, in particular economic development and social well-being. The HIS of HP is an important, but very basic component, to achieve these higher goals. This chapter presents suggestions on how to extend the results of the Hydrology Project towards these higher goals. This involves a shift from collecting and processing the data towards the use of data in the planning and management of water resources. Of course, the HIS as presently developed enables use of the data already. However, the users mostly have a passive role in this, as the manner in which the HIS is able to meet the needs of the different actors involved (e.g. agriculture, industry, water managers) was mainly determined in the development of the HIS following a broad identification by the Consultant. Linking the demand for data and the present ‘supply’ will result in additional activities. In this chapter the following possibilities are described to make the data more ‘active’: • Real time use of data for operational purposes (Section 6.1). • Planning and implementing Integrated Water Resources Management (IWRM), and the role of HIS in it – developing the HIS into a WIS (Section 6.2). 6.1 Real-time use of data Activities in the HIS as established under the present HP concentrate on the collection of data for planning and design. Thus, the HIS provides only static information. Day-to-day management of water resources requires dynamic real-time information on the boundary conditions of the water resources/water use system (rainfall, runoff, water levels and water quality) as well as on the state of the system. Such real-time use of data for operational purposes includes: • Early flood warning • Operational management of irrigation systems and reservoirs • Drought monitoring There are already many systems in place throughout India for flood forecasting and management of reservoir operation. The CWC has Flood Forecasting Systems in place on all major trunks, involving different technical systems. The information from these systems, together with information from IMD, is used to give regular forecasts to the local population and authorities. However, the general impression is that there is scope for improvement of these systems. One potential area for improvement lies in introduction of the latest technologies for data collection, processing and communication, which would improve the accuracy of the forecasts and the timeliness of the warnings. Other improvements are possible by developing effective disaster management plans, etc. Reservoir operation is mostly in the hands of the Irrigation Departments at the state level. As presently executed, this is underdeveloped in terms of coverage, timeliness and accuracy of data used. As such, the systems do not really embody true real-time operation of irrigation systems. Large-scale implementation of real-time monitoring systems requires a considerable investment in equipment for monitoring and data transfer, computer hardware and software, as well as in human resources development. Therefore, it is proposed to develop and test appropriate equipment and tools for pilot areas of potential application fields prior to large- scale implementation. It is essential that the pilot areas are carefully selected to be representative for an application in general.
  26. 26. HP-Follow-up A Draft Working Paper Page 24 6.1.1 Early Flood Warning Systems (EFWS) Required and potential lead-times for early flood warning systems In principle, an EFWS provides a non-structural means to eliminate or mitigate negative effects of floods. Essentially, it alerts people to take action. To determine what action or set of actions is to be taken, the system makes it possible to directly assess the timing, possible extent and duration of the flooding, as well as the expected consequences. Based on the forecast, the system would implement a strategy involving measures such as anticipatory emptying of reservoirs to make room for storing part of the advancing flood, gate manipulations to divert flood water, temporary heightening of levees, controlled breaching of dikes, etc. In the worst case the strategy may comprise large-scale evacuations to protect communities, livestock, and goods from floodwater. Which measures are to be included in the system and to what extent they can be employed requires an evaluation of their potential effectiveness in saving human lives and/or reducing the overall cost of potential damage. Damage assessment and risk analysis are part of the selection process. In implementing the strategy, the EFWS should not only indicate who and what is going to be affected by the flood, but also who is to be informed to take the appropriate actions. Losses can be reduced if sufficient lead-time is available to warn authorities and individuals about the events to come and actions to be taken. Hence, one often tries to maximize the lead-time. However, there are limitations to this as the measures to be taken for lead-time extension are expensive and the accuracy of the forecast declines as the lead-time is extended. The minimum possible lead-time is achieved by considering only water that is already in the “pipeline”. This requires telemetering of upstream stages and routing of the flood to the forecasting point. Such systems potentially have a high accuracy. Lead-times can be extended by considering rainfall over the catchment. The system would then include rainfall monitoring and transformation of rainfall into runoff. However, the accuracy of the forecasts for the extended period will be less, as both the rainfall estimate and the rainfall- runoff model introduce certain uncertainties. Still further extension of the lead-time is possible through quantitative precipitation forecasts. However, the accuracy of such forecasts is often poor; they constitute the weakest part of the lead time elements, but they have high potential for giving at least a qualitative early flood warning. The development of an EFWS commences with an analysis of historical floods (available through the HIS), their genesis, and the required and possible lead-time for flood warning. The required lead-time depends on many factors. A proper assessment involves detailed analysis of: • Land use and occupancy, population distribution, and infrastructure (rivers, roads, hydraulic structures and control means) • Frequency of flooding and flooding depths • Flood damage as a function of flood level and the risks involved • Flood mitigation options (measures and means) • Accessibility of evacuation routes • Available resources (human, technical, institutional, financial) to disseminate flood warnings and to implement flood mitigation strategies. An assessment of the physically possible lead-time requires a thorough investigation of meteorological and hydrological data and of weather maps. It involves:
  27. 27. HP-Follow-up A Draft Working Paper Page 25 • Analysis of meteorological conditions leading to flooding, and their temporal and spatial variability • Assessment of the predictability of meteorological events leading to flooding • Assessment of concentration times of sub-basins, based on an analysis of rainfall and runoff data and/or relevant physical features of the drainage basins • Determination of flood wave celerities in the main river system, to estimate travel times for various types of floods. The physically possible lead-time is often less than the required lead-time. In such case, the requirement must either be scaled down or one must accept larger uncertainties in the forecast, with an increased likelihood of disseminating an erroneous warning and consequently invoking the wrong actions. There is also a trade off between accuracy and cost. EFWS components The components of an EFWS are determined through analysis of the required lead-time and its elements. This is a cyclical process where achievable accuracy, lead-time, and cost (initial investment, and operation and maintenance cost) play a role. In general an EFWS consists of the following components: • Detection system • Forecasting system • Warning system • Response system The latter two, dealing with dissemination of warnings and co-ordination and activation of emergency services, have strong local components. These components have to be framed in the institutional setting of the responsible administration in the basin/state. Detailed action plans for all possible alert levels must be available for implementation when required. The action plans should regularly be evaluated on their weaknesses and effectiveness of implementation. The former two EFWS components, the detection system and the forecasting system, are mostly of a technical nature. The design of the detection system depends on the layout of the forecasting system. Forecasting system To identify the required components of the flood forecasting system (FFS), it is necessary to do a preliminary analysis of required lead-time and to assess the relative importance of basin lag and travel time. A forecasting system including runoff from sub-basins as well as conveyance by the river system should include the following components: 1. rainfall-runoff models for sub-basins 2. routing model(s) for conveying the flood waves through the rivers, including a GIS-based flood extent mapper to demarcate the extent of flooding 3. reservoir routing model(s)
  28. 28. HP-Follow-up A Draft Working Paper Page 26 4. a database, consisting of • a flood-forecasting archive (FFA), storing all relevant data for making and maintenance of the forecasting tools and flood warning infrastructure and methods/strategies; • a dedicated flood-forecasting database (FFD), which automatically updates the FFA with validated field data and forecast results. 5. user interface for data entry, validation, and processing, for model interaction and control, and for visualization of input and output results. Not all components will be required in all situations, and there are various possible levels of sophistication and accuracy with respect to the modelling. Different approaches exist. The effectiveness of the chosen configuration depends on tailor-made procedures for assimilation of real-time data to update the model state for the forecast. Due attention should also be given to the incorporation of “controllers” in the EFWS, such as feed-forward controllers, which can activate e.g. reservoir releases to mitigate flooding in anticipation of forecasted undesirable system conditions. All components should be incorporated into one system, with flexible exchange of data from one to another. Detection system Once the forecasting system has been designed it is known what type of information, at which locations, and with what frequency has to be produced by the detection system, i.e. the real-time observation network can be framed. Dependent on the components of the forecasting system, the following information may be required in real-time: • quantitative precipitation forecasts (information from satellites, GCMs and nested models, etc.) • point rainfall data • sub-basin rainfall from weather radar • climatic data • river water levels and/or discharges in real-time • reservoir levels and releases in real-time. In general, the detection component comprises two systems: 1. Data acquisition system (DAS), including: • a data acquisition segment • a data communication segment 2. Data processing system (DPS) The latter system receives the real-time data and, after validation, transforms this into useful information for the forecasting system. Often this component is incorporated in the user interface of the FFS. The data processing system is housed in a Data Processing Center (DPC). Modern Data Acquisition Systems integrate the data acquisition segment and a data communication segment (see sketch below). Both segments make use of the same power supply.
  29. 29. HP-Follow-up A Draft Working Paper Page 27 The data acquisition segment comprises the sensors, a data acquisition controller/data logger and an integrated power controller for the sensors. The choice of the sensors depends on local conditions, and should be evaluated for each station. The data logger acts as the system controller. It controls the power to the sensors, acquires the sensor signals, and prepares the telemetry messages for transmission by the data communication segment. It also records all acquired data for later retrieval. The data logger should have sufficient memory capacity to contain combined data acquired from a water level sensor and a rain gauge for a given period of time. The data communication segment comprises the data communication equipment on-site, all intermediate components, and the network controller at the Data Processing Center. The radio segment can be terrestrial radio, e.g. HF radio modem, Meteor-burst, or VHF/UHF, but it may also be satellite-based. The selection should be based on effectiveness, cost, technical feasibility, and reliability. Regarding cost, it is important to consider both the one-time investment cost to build and implement the network and the recurrent cost for annual maintenance, communication license fees, satellite access and use, operation, service and repair, etc. A cost-effective solution is one that is technically feasible and financially affordable. The telemetry system could operate in a polling mode, i.e. in which the DPC can interrogate all remote stations (DAS) to transmit the acquired data. There are also systems in which the field station activates the data flow, but preference goes to the polling mode for adaptable forecasting applications. An alternative that reduces complexity (even as it retains reliability) is the use of one-way communication with redundant messaging. For error-free data delivery the data communication processes must involve effective “handshaking” and error detection/recovery protocols. The following communication means can be considered: • GSM • Radio: • HF voice-radio • Digital HF radio • VHF/UHF radio • Meteor-burst telemetry, and • Satellite telemetry
  30. 30. HP-Follow-up A Draft Working Paper Page 28 6.1.2 Operational management of irrigation systems and reservoirs The basic principles of water management of irrigation schemes are fairly simple. However, the enormous amount of information and diversity of the data involved, together with the various parties concerned, makes day-to-day management a complicated task, particularly when water availability does not meet the requirement. Input of real-time information on crop water requirement and actual and forecasted water availability is to be combined with the system’s capacity and supply constraints. Water availability includes precipitation, water in canals and reservoirs, and groundwater aquifers. The objective of operational management of irrigation systems (OMIS) is to maximize the output of command areas. The tool used for day-to-day management is a decision support system consisting of: 1. A real-time data acquisition system to collect data on river/canal flows, reservoir levels, rainfall, climatic variables relevant for evapotranspiration, water distribution, and soil moisture conditions. 2. A database system, containing the relevant data of the irrigation system, including: • The characteristics of the surface water hydraulic infrastructure (river/canal dimensions and capacities, reservoir dimensions, off-take capacities and rule curves, etc.) • Hydrological data, including real-time information on river and canal flow, reservoir levels, rainfall, and climatic data. If the system is to be used also for pre-season planning then additionally dependable flows are required, which the HIS can supply. • Monitoring data, i.e. real-time information on actual water distribution and soil moisture status in the units • Agricultural data of the command areas, crop data, soil characteristics • Economic data • Institutional data on organizational structure and responsibilities. 3. A data analysis system, to generate detailed operating instructions, such as gate settings, based on hydraulic computations in response to water requirements, water availability, and management rules. Furthermore, this system should include tools for evaluation of system performance and crop planning. 4. A user interface, integrating the data acquisition, database, and data analysis system. It should feature: • a task-oriented menu system allowing use at various levels of aggregation; • visualization of data and results in time and space, in tabular and graphical form. It is noted that the tool required for operational management of irrigation systems and reservoirs differs substantially from an EFWS. Though both systems accommodate a data acquisition system, the communication component in case of an OMIS can be simpler than in case of an EFWS, since the former operates generally under normal weather conditions, and the system state and boundary conditions are less variable. 6.2 Drought Management Conjunctive use of surface water and groundwater Groundwater build up is witnessed in different canal commands area, which have led to salinity in certain areas. Water logging is increasingly being regarded as a resource to be harnessed during periods of absence of canal flow. The conjunctive use of groundwater and surface water provides a flexible approach to water management in canal commands with
  31. 31. HP-Follow-up A Draft Working Paper Page 29 water logging conditions. Conjunctive use should be considered as an option of "banking" surplus surface water in aquifers in times of plenty, for use in times of scarcity. The technique of aquifer storage and recovery (ASR) are new concepts emerging in facilitating groundwater storage and withdrawl. Watershed management, including rainfall harvesting/recharge The bulk of groundwater in the drought-prone peninsular India occurs in the weathered formations, which have been mostly tapped, and in the fractured rock aquifer much of which is still available for use. However, rates of groundwater movement and the response to recharge have not been clearly understood. Groundwater recharge response appears to be influenced by a number of factors including its location in the physiographic basin, the soil, geology of the area, thickness of the weathered mantle, the orientation of fractures and the hydraulic head distribution. There is a need to identify and develop better techniques for quantification of recharge, the recharge response to different rainfall intensities and the rate of release of recharge in different situations. The best watershed management options that can contribute to groundwater recharge have to be understood and effective structures that can enhance the vertical movement of groundwater need to identified. The dedicated piezometers, DWLR and weather stations combined with the new analytical tools have enhanced our understanding, which needs to be carried to its logical end for developing improved watershed management techniques and units for enabling groundwater recharge in different hydrogeological units. Improved norms for GW resource assessment Changes in groundwater abstraction, land use and recharge patterns are creating major variations in the dynamics of the hydrologic cycle, thus creating an impact on groundwater resource availability. In recognition of the need for effective and efficient methods for sustaining the groundwater resources in rural and urban areas, and particularly in irrigation areas overlying unconfined aquifers, the groundwater resource assessment methodology (GEC-97 norms) has to be refined. This methodology has to emerge as a prediction tool for identifying areas that are likely to become overexploited, contaminated or affected as a result of changes in agriculture, land use, industrialisation and urbanisation. For this the groundwater resource assessment should be linked with the GIS tools and interfaced with flow and contaminant transport modelling tools. The resource assessment tool has to be user-interactive and should be able to respond to varying changes in groundwater abstraction, recharge and land use. 6.3 Expansion of HIS to WIS for IWRM 6.3.1 The concept of Integrated Water Resources Management Although the concept of IWRM by itself is not new in India, its implementation at national, regional and local level has hardly begun. Basically, IWRM consists of the identification of all interests related to water and the balancing of these interests in relation to the natural conditions of the water system and the services the system can provide. The balancing of interests requires a participatory approach to water management. Without mentioning the term IWRM as such, the National Water Policy of the Government of India has adopted the concept of IWRM already in 1987. At his moment the National Water Policy is being reformulated. The set-up of the Policy will remain the same but some articles will be redrafted or added in the light of the latest developments in the Water Sector. In particular articles 1, 3, 4 and 12 address the key-aspects of IWRM. The following passages are highlighted in this respect:
  32. 32. HP-Follow-up A Draft Working Paper Page 30 • Article 1:…..water is a prime natural resource, a basic human need and a precious national asset. Planning, development and management of water resources need to be governed by national perspectives..….. keeping in view the socio-economic aspects and needs of the States concerned • Article 3:….water resources planning, development and management will have to be done for a hydrological unit such as drainage basin as a whole or for a sub-basin, multi- sectorally, taking into account surface and groundwater for sustainable use, incorporating quantity and quality aspects as well as environmental considerations • Article 4: ….existing institutions at various levels under the water resources sector will have to be appropriately reoriented / reorganized and even created, wherever necessary appropriate river basin organizations should be established for the planned development and management of a river basin as a whole or sub-basins, wherever necessary. • Article 12: …..management of the water resources for diverse uses should be done by adopting a participatory approach……….. Articles 3 and 4 have been worked out in the document ‘Guidelines for the preparation of River Basin Master Plan’ (CWC, 1990). The main part of this guideline is still very valid. In addition to the National Water Policy, several states have developed their own Water Policies. Those Policies also advocate the concept of IWRM. Despite the adoption of the IWRM principles in the NWP, the reality is that it has not really been implemented yet in India (with a few mostly local exceptions). A similar conclusion was drawn on a more global scale during the World Water Forum in The Hague in 2002. In their document ‘Towards Water Security: A framework for Action’ the Global Water Partnership (GWP) recommends the following actions to implement IWRM: • mobilizing the political will to act (clear policies and targets); • making water governance effective (institutions, pricing, etc.); • generating water wisdom (awareness campaigns, capacity building, research, etc.); • tackling urgent water priorities: - protect and restore water resources - achieve water-food security - improve environmental sanitation - meet the challenge of urbanization - improve the management of floods • investing for a secure water future (determine investment needs, private participation, etc.). The new draft National Water Policy has taken some of these recommendations into account and enables the implementation of IWRM, both at national as well as state level.. 6.3.2 IWRM and the HIS From the perspective of IWRM, the present project has contributed substantially to enabling the implementation of IWRM in India by making available the required information on the condition of the water system and the availability of water. This kind of information is essential in IWRM. Without knowing how much water is available and already used and what kind of developments are taking place in the natural systems in terms of quantity and quality, IWRM is not possible. But, hydrological information is only part of the full picture and much more is needed for real IWRM. The list of actions given in ‘The Framework of Action’ as
  33. 33. HP-Follow-up A Draft Working Paper Page 31 given in Section 6.3.1 seems to apply for India as well. Emphasis of these actions in India will be at the State level while at the National level the enabling conditions should be created. These enabling conditions relate to the political, institutional and capacity-building aspects involved. A key element in applying IWRM is that planning and management will be done at a river basin level. This is recognized in the National Water Policy of India. Various institutional structures are possible to achieve this, ranging from coordinating committees to full-fledged River Basin Authorities. What will be the best structure for India depends on many factors and will mainly be a political decision, in particular with respect to the responsibilities of and between the states involved. Implementing IWRM in India requires (amongst others) the following. At national level the enabling conditions should be created: • Clear national policies and targets • Adaptations of existing legislation and/or providing new legislation • Initiatives to (further) develop/establish river basin coordinating mechanism, e.g. authorities (full management) or committees (coordinating over stakeholders and states) • Support of activities at state level. At state level the following has to be achieved: • Acceptance of concepts of IWRM and RBP by political and top-management level • Training of staff at mid-management level (analysts) in concepts and approaches • Provisions of equipment and analytical tools (incl. computer models) • Data needed for a proper analysis 6.3.3 Experiences from the Sabarmati and Godavari RBP studies Within the Hydrology Project two research studies have been initiated on IWRM and Riverbasin planning: the Sabarmati River Basin planning study (Gujarat) and the Upper Godavari River Basin planning study (Maharashtra). The studies are being carried out by project teams at the state level, supported by specialized staff from CWC / NWA, CGWB and NIH. The studies make use of the information from the HIS. Both studies are still continuing. Preliminary results are promising and generate enthusiasm in the states, also among the ‘other’ stakeholders. A first assessment of these studies leads to the following statements: • In general all involved in the study accept the concept of IWRM as the leading principle for this kind of studies. • The institutions involved are very much oriented towards a single discipline. A multi- disciplinary approach needed for IWRM is new for most staff members. In particular, the leading institutions involved, the water resources departments, are very much civil engineering oriented. Some institutional change will be required (i.e. to enable the involvement of other disciplines) and staff needs to be trained to make a more multi- disciplinary approach possible. In particular staff must become more familiar with a process-oriented approach, including the involvement of other stakeholders, instead of the more familiar project approach. • Related to the above, more attention is required for the non-structural measures that can and should be applied in IWRM. It seems that the word ‘measure’ for most civil engineers in India is synonymous with the word ‘dam-project’.
  34. 34. HP-Follow-up A Draft Working Paper Page 32 • The step from project planning to river basin planning proves to be a big one. There is a tendency among the engineers to approach river basin planning in the same way as project planning, i.e. with the same level of detail and technical focus. Summarizing it can be stated that these two studies have generated a lot of enthusiasm and that the will to follow an IWRM approach in planning is certainly present. To enable the broad implementation of this approach, institutional development will be necessary including the training of staff involved. It is stressed here that above studies are related to planning aspects of IWRM only. Another aspect of IWRM is to manage water in accordance with these principles on a daily basis. Such IWRM-oriented management will most probably require substantial institutional changes, e.g. establishing (sub) riverbasin organizations. 6.4 Follow-up of HP from the perspective of IWRM The core of the Hydrology Project has been development and establishment of the Hydrological Information System (HIS) and related institutional structure. Taking this as a starting point the following follow-up activities can be contemplated: • stimulating the acceptance of IWRM in India (central and state level) • training of staff (state and central) and provision of additional equipment and tools • extension of HIS into a Water Information System (WIS) for IWRM • pilot studies on River Basin Management based on IWRM (inter-state) 6.4.1 Acceptance of IWRM in India (central and state level) Following the Global Water Partnership’s (GWP) first recommendation, i.e. ‘Mobilizing the political will to act’, the political and decision making level must be educated in and convinced of the need for IWRM. This can be achieved by organizing study tours, national conferences, and the use of mass media. Local organizations (among others the CWC), supported by external agencies (e.g. Global Water Partnership, International Water Management Institute) can be instrumental in this. After acceptance of the concepts of IWRM the next step is to create the enabling environment to make it possible that the lower levels of government will indeed implement these concepts in their planning for water resources development and management of the resources and the system. 6.4.2 Training of staff and provision of equipment and tools Water Resources Development and Management in India is typically the domain of civil engineers. Their basic inclination is to think in terms of building and operation of infrastructure. IWRM requires a different approach, taking into account many other disciplines such as economy, sociology, ecology, etc., and the ability of all involved to work together and appreciate each other contributions. Various tools are available to support this process, including communication procedures and techniques and computer models. Staff needs to be trained in the new approach and the use of these tools. CWC (NWA) should play a major role in this but also universities (NHI) should be involved.