List of Tables....................... v
List of Figures.................... vii
List of Photographs.................. viii
List of Abbreviation................... ix

CHAPTER 1: INTRODUCTION..................... Ch 1-1
1.1 Need for Efficiency Improvements in Existing Irrigation Services.......................... Ch 1-2
1.2 Stakeholders that Require Efficiency Analysis.......... Ch 1-6
1.3 Objectives Envisaged in this Book............................. Ch 1-6
1.4 Objectives of the study................... Ch 1-7
1.5 Significance of the work........................ Ch 1-8
1.6 Presentation Structure Adopted in this Book.............. Ch 1-8

CHAPTER 2: IRRIGATION IN INDIA- THE HISTORICAL CONTEXT..........Ch 2-1
2.1 Global Water Scenario.................... Ch 2-1
2.2 The history of irrigation development in India........... Ch 2-2
2.2.1 Irrigation development in the medieval India............. Ch 2-2
2.2.2 Irrigation Development under the British Rule........... Ch 2-3
2.2.3 Irrigation Development Since Independence.............. Ch 2-3
2.3 Water in Indian Constitution........................... Ch 2-6
2.3.1 Legal Powers with Reference to the Water Sector................ Ch 2-7
2.3.2 Relevant Laws made by the Indian Parliament .......... Ch 2-8
2.3.3 Relevant Laws made on Water by the State Legislature of Madhya Pradesh.....Ch 2-9
2.4 Policy Framework Central and State Policies............. Ch 2-9
2.4.1 National Water Policy 2002.......................... Ch 2-10
2.4.2 The Need for a State Water Policy........................... Ch 2-14
2.4.3 State Water Policy in Madhya Pradesh..................... Ch 2-18
2.5 Plan Development after the Independence of India ( Post Year 1947) ....Ch 2-19
2.6 Trends in Irrigation Investment in India................... Ch 2-20
2.7 Water Resources in Madhya Pradesh ...................... Ch 2-24
2.7.1 Provision in Draft National Water Policy (2002) ..............Ch 2-26
2.7.2 Provisions in PIM Acts......................... Ch 2-27
2.7.2.1. Water Users' Association (WUA)............................ Ch 2-27
2.7.2.2. Distributary Committee........................ Ch 2-27
2.7.2.3. Project Committee....................... Ch 2-28
2.7.3 Necessity of PIM ....................... Ch 2-28
2.7.3.1 Need of increase in agricultural production ............ Ch 2-28
2.7.3.2 Problem of fiscal availability ....................... Ch 2-29
2.7.3.3 O&M cost and recovery of irrigation charges ......... Ch 2-29
2.7.3.4 Other compulsions...................... Ch 2-29
2.7.4 Objectives of PIM....................... Ch 2-30
2.7.5. Status of Enactment of Legislation for PIM............. Ch 2-31
2.7.6 Issues in Implementation of PIM............................. Ch 2-33
2.7.6.1 Lack of legal back-up and policy changes .............. Ch 2-33
2.7.6.2 System deficiency....................... Ch 2-34
2.7.6.3 Uncertainty of water availability................... Ch 2-34
2.7.6.4 Fear of financial viability..................... Ch 2-34
2.7.6.5 Lack of technical knowledge ....................... Ch 2-35
2.7.6.6 Lack of leadership...................... Ch 2-35
2.7.6.7 Lack of publicity and training....................... Ch 2-35
2.7.6.8 Demographic diversity......................... Ch 2-35
2.7.6.9 Mega irrigation projects........................ Ch 2-35
2.7.6.10 WUAs vs Panchayats.................... Ch 2-36
2.7.6.11 PIM in efficient systems ..................... Ch 2-36
2.8 Role of WUAs in Participatory Irrigation Management in Madhya Pradesh, India........ Ch 2-36
2.9 Reforms Programme of the Government of India........Ch 2-38

CHAPTER 3: A REVIEW OF LITERATURE RELATED TO PERFORMANCE MEASUREMENTS IN THE IRRIGATION SECTOR.......................... Ch 3-1
3.1 Indicators Based Measurement of Performances..................... Ch 3-1
3.2 DEA Based Measurement of Performances............ .Ch 3-20

CHAPTER 4: METHODOLOGY & ITS APPLICATION ON THE MODEL WORK AREA ...........Ch 4-1
4.1 Study Methodology....................... Ch 4-2
4.1.1 Benchmarking Indicators Employed for Indicator-by-Indicator Comparisons integrated with a scorecard........... Ch 4-4
4.1.2 Study Methodology for Benchmarking by DEA........ Ch 4-8
4.2 Data Details....................... Ch 4-15
4.2.1 Work Area Details...................... Ch 4-15
4.3 Gross Performance Features......................... Ch 4-21

CHAPTER 5: PERFORMANCE ASSESSMENT AT THE PROJECT LEVEL USING INDICATORS AND DEA ...........Ch 5-1
5. 0 Analysis, Results and Discussions............................. Ch 5-1
5.1 Indicator-by-Indicator Comparisons, and integration of Indicators into a Scorecard ...... Ch 5-1
5.1.A Data employed for Indicator-by-Indicator benchmarking at Project level ...................... Ch 5-1
5.1.1 Technical Performance................... Ch 5-5
5.1.1.1 Water delivery capacity Index........................ Ch 5-5
5.1.1.2 Potential Created Versus Potential Utilised in Rabi Season for period of 2000-01 to 2007-08 Ch 5-9
5.1.1.3 Annual Water delivered against crop water requirement for period of 2000-01 to 2007-08 Ch 5-10
5.1.1.4 Field Efficiency for period of 2000-01 to 2007-08......................... Ch 5-11
5.1.1.5 Annual relative irrigation supply index for period of 2000-01 to 2007-08................... Ch 5-12
5.1.1.6 Annual irrigation water supply in command versus Irrigated area (2000-01 to 2007-08) Ch 5-13
5.1.2 Agriculture Production Performance........................ Ch 5-14
5.1.2.1 Output per unit command area versus irrigated area for period of 2000-01 to 2007-08 Ch 5-16
5.1.2.2 Output per unit Irrigated water supply versus output per unit water consumed in Irrigated Area for period of 2000-01 to 2007-08 ....................... Ch 5-17
5.1.3 Financial Performance ........................ Ch 5-18
5.1.3.1 Cost Recovery Ratio for period of 2000-01 to 2007-08 ................... Ch 5-19
5.1.3.2 Total O&M cost per unit area for period of 2000-01 to 2007-08 ...................... Ch 5-20
5.1.3.3 Total cost per person employed on water delivery per day for period of 2000-01 to 2007-08 Ch 5-22
5.1.3.4 Revenue collection performance for period of 2000-01 to 2007-08............................ Ch 5-23
5.1.3.5 Revenue per unit volume of water supplied for period of 2000-01 to 2007-08 ........... Ch 5-25
5.1.3.6 Maintenance expenditure to Revenue collection Ratios for period of 2000-01 to 2007-08 Ch 5-25
5.1.3.7 Staff members per 1000 ha area for period of 2000-01 to 2007-08 ............................ Ch 5-26
5.1.3.8 Total O & M cost per unit water supplied for period of 2000-01 to 2007-08 ............... Ch 5-26
5.2 A scorecard for measuring the Irrigation and drainage project performance ................ Ch 5-28
5.2.1 The design of Scale..................... Ch 5-29
5.3 Data Envelopment Analysis Framework.................. Ch 5-33
5.3.1 Inputs and Outputs for irrigation and drainage services employed in the Literature...... Ch 5-34

5.3.2 Selection of Inputs and Outputs.................... Ch 5-35
5.3.3 Inputs and Outputs specific to the Study Area for irrigation and drainage services....... Ch 5-35

CHAPTER 6: PERFORMANCE ASSESSMENT AT THE WUA LEVEL USING INDICATORS AND DEA ...........Ch 6-1 
6.0 Analysis, Results and Discussions............................. Ch 6-1
6.1 Indicator-by-Indicator Measure of Performance and integration into a scorecard .......... Ch 6-1
6.1.1 Technical Performance................... Ch 6-2
6.1.1.1 Potential created versus potential utilised in Rabi Season & Annually............................ Ch 6-2
6.1.1.2 WUA level number of Watering observed in year 2003-04 and 2007-08....................... Ch 6-4
6.1.2 Agriculture Production Performance.......................... Ch 6-6
6.1.2.1 Output per unit irrigated area (Rs/ha) ........................ Ch 6-6
6.1.3 Financial Performance.................... Ch 6-9
6.1.3.1 Cost Recovery Ratios.................... Ch 6-9
6.1.3.2 Maintenance Cost to RevenueCollection Ratios........................... Ch 6-11
6.1.3.3 Total O&M cost per unit area for period of 2003-04 and 2007-08.................... Ch 6-12
6.1.3.4 Total cost per person employed on water delivery.......................... Ch 6-14
6.1.3.5 Staffing number per unit area ...................... Ch 6-16
6.2 A scorecard for measuring the Irrigation and drainage project performance ................ Ch 6-17
6.3 Data Envelopment Analysis Framework at WUA level ................... Ch 6-24
6.3.1 Inputs and Outputs specific to the Indian irrigation and drainage services................... Ch 6-28

CHAPTER 7: CONCLUSIONS AND POLICY RECOMMENDATIONS.................... Ch 7-1

References................... R-1

Appendix I: Data requirements of the SAS distribution system and its sub-system for Performance Indicators w.r.t. its Definitions & Data Specifications................... A1-1
Appendix II: Sources of Data collected from different Institutions.................... A2-4
Appendix III: Data collection protocol (Measuring techniques and locations) ..................... A3-6
Appendix IV: Weights and scores for various Categories........ A4-10
Photographs of Study Area..................... P-1

List of Tables

Table 2.1 Data on Global Water Scenario.............................2-1
Table 2.2 Water Basin-wise Availability (Cubic Km/Year).............................2-5
Table 2.3 Area and Percentage share of different irrigation sources....................... 2-19
Table 2.4 Outlay for Irrigation Sector in Five Year Plans......................... 2-21
Table 2.5 Plan-Wise Position Of Irrigation Potential Created And Utilised.............................2-21
Table 2.6 Distribution of irrigated area in India per Federal State or Union Territory...................2-22
Table 2.7 Water Requirements in India for various purposes.............................2-23
Table 2.8 State-wise Position of Enactment of New Act / Amendment of existing Irrigation Act .......................... 2-31
Table 2.9 State-wise Number of Water Users' Associations (WUAs) and Area covered by them........................... 2-32
Table 3.1 Typical applications available in the Literature for indicator-by-indicator measures of performances integrated with Scorecard in various areas....................... 3-7
Table 3.2 Water delivery and utilisation domain..................... 3-9
Table 3.3 Applied indicators and targets set by Maharashtra State Water Resources Department, India for Benchmarking......................... 3-20
Table 3.4 Application of DEA Across Various Sectors..................... 3-23
Table 4.1 Indicators for Performance Evaluation..................... 4-5
Table 4.2 Scale and variations.................... 4-7
Table 4.3 Input & output used for various DEA Models used at Project level Benchmarking....... 4-13
Table 4.4 Input & output used for various DEA Models used at WUA level Benchmarking........ 4-14
Table 4.5 Salient Features of the Project Distribution Service Area of WUAs................... 4-18
Table 4.6 Salient features of the Project.......................... 4-19
Table 4.7 Assessment of Pre-sowing (Palew) Irrigation in different Field Condition.................. 4-22
Table 4.8 Conveyance Losses....................... 4-22
Table 5.1 Characteristics of Data employed for Indicator-by-Indicator at Project level for period 2000-01 to 2007-08............................. 5-2
Table 5.2 Analysis of Data for Indicator-by-Indicator Comparision ..................... 5-3
Table 5.3 Statistical analysis of Performace Indicators.................... 5-4
Table 5.4 Water Delivery Capacity Index for period 2000-01 to 2007-08.......................... 5-6
Table 5.5 Technical Performance of Canal System ................... 5-8
Table 5.6 Agriculture Production Performance of Canal System for period 2000-01 to 07-08...... 5-15
Table 5.7 Financial Performance of Canal System for period 2000-01 to 2007-08....................... 5-19
Table 5.8 Weights associated with Indicators for evaluation of Scores................. 5-29
Table 5.9 Scale and its variations.................... 5-30
Table 5.10 Weights and scores for Technical Performance......................... 5-31
Table 5.11 Weights and scores for Agriculture Production Performance................ 5-31
Table 5.12 Weights and scores for Financial Performance.......................... 5-32
Table 5.13 Characteristics of Data employed for DA at Project level for period 2000-01 to 2007-08............................. 5-34
Table 5.14 Input & output used for various DEA Models used at Project level Benchmarking......... 5-35
Table 5.15 Efficiency Scores for Model-I (period of 2000-01 to 2007-08)......................... 5-36
Table 5.16 Efficiency Scores for Model II (Period 2000-01 to 2007-08).................... 5-37
Table 5.17 Efficiency Scores for Model III (Period 2000-01 to 2007-08)................... 5-38
Table 5.18 Efficiency Scores for Model IV (Period 2000-01 to 2007-08)................... 5-40
Table 5.19 Efficiency Scores for Model V (Period 2000-01 to 2007-08).................... 5-40
Table 5.20 Efficiency Scores for Model VI (Period 2000-01 to 2007-08)........................... 5-42
Table 5.21 Project level Efficiency scores for Model I and Model IV (Period 2000-01 to 2007-08)............................. 5-43
Table 5.22 Potential savings for Model I & Model IV (2000-01 to 2007-08)....................... 5-43
Table 5.23 Project level Efficiency scores for Model II and Model V (Period 2000-01 to 2007-08)............................. 5-44
Table 5.24 Potential savings for Project level Revenue versus AgricultureCRS and VRS Model (Period 2000-01 to 2007-08) ............................. 5-44
Table 5.25 Project level Efficiency scores for Model III and Model VI (period 2000-01 to 2007-08)............................. 5-45
Table 5.26 Potential savings for Revenue versus Agriculture CRS and VRS Model III and Model VI (Period 2000-01 to 2007-08) .............................5-46
Table 5.27 Status of Model-wise Theoretical Benchmarks for period 2000-01 to 2007-08............. 5-46
Table 6.1 Potential created to potential utilised in Rabi Season at WUA level..................... 6-2
Table 6.2 WUA level number of Watering observed in year 2003-04 and 2007-08....................... 6-5
Table 6.3 Output per unit irrigated area versus output per unit command area.................... 6-7
Table 6.4 Cost Recovery Ratios and Ratio of Maintenance Cost to Revenue Collection Ratios..... 6-9
Table 6.5 Total O&M cost per unit area for period (2003-04 and 2007-08)...................... 6-12
Table 6.6 Persons deployed per irrigated area for WUA-wise of Samrat Ashok Sagar Project...... 6-14
Table 6.7 Weights associated with Indicators for evaluation of Scores for WUAs....................... 6-19
Table 6.8 Weights and scores for Technical Performance......................... 6-20
Table 6.9 Weights and scores for Agriculture Production Performance................ 6-21
Table 6.10 Weights and scores for Financial Performance......................... 6-22
Table 6.11 Characteristics of Data employed for DEA applied on WUAs................ 6-26
Table 6.12 A review on DEA inputs and outputs used in various studies on Irrigation and Drainage services at WUA level ............................. 6-27
Table 6.13 Input & output used for various DEA Models used at WUA level Benchmarking......... 6-29
Table 6.14 Efficiency Scores for various WUAs in Model I........................ 6-30
Table 6.15 Efficiency Scores for various WUAs in Model II...................... 6-32
Table 6.16 Efficiency Scores for various WUAs in Model III.................... 6-34
Table 6.17 Efficiency Scores for various WUAs in Model IV..................... 6-36
Table 6.18 Efficiency Scores for various WUAs in Model V...................... 6-38
Figure 6.19 Efficiency Scores for various WUAs in Model VI.................... 6-40
Table 6.20 Status of Model-wise Theoritically Efficient (Benchmark) WUAs...................... 6-42
Table 6.21 Status of Model-wise WUAs indicating Increasing Return to Scale..................... 6-42
Table 6.22 Efficiency Score for Year 2003-04 & 2007-08 at WUA level................... 6-43
Table 6.23 Saving in Operation and Maintenance Costs for various models......................... 6-45
Table 6.24 Possible Savings in Total Staff Deployment for various Models......................... 6-45
Table 6.25 Saving in O&M Cost & Total Staff Deployed under Models III and VI......................... 6-47

List of Figures

Figure 2.1 WUA executed works in SAS Project..................... 2-41
Figure 4.1 The Study Approach with Scorecard......................... 4-1
Figure 4.2 Flowchart for Study Mehodology................... 4-2
Figure 4.3 Methodology for Benchmarking by Data Envlopment Analysis.......................... 4-8
Figure 4.4 Envelopment surfaces and orientation..................... 4-10
Figure 4.5 Map of Major River Basins of Madhya Pradesh (Source: ESA, 2004)........................ 4-16
Figure 4.6 Satellite Map showing Study Area (Source: Sharma, 2004)................ 4-17
Figure 4.7 Map of Project area showing WUA boundries........................ 4-18
Figure 4.8 Elevation Capacity Curve for year 1997 and Year 2003.................... 4-21
Figure 4.9 Conveyance losses observed in Study Area........... 4-23
Figure 5.1 Water Delivery Capacity Index (Year 2000-01to 2007-08).................. 5-7
Figure 5.2 Status of Potential Created Versus Potential Utilised in Rabi Season for period of 2000-01 to 2007-08 (Source: Phadnis and Kulshrestha, 2010d)...................... 5-9
Figure 5.3 Status of Potential Created Versus Potential Utilised Annually for period 2000-01 to 2007-08............................ 5-10
Figure 5.4 Annual Water delivered against requirement for 2000-01 to 2007-08.......................... 5-11
Figure 5.5 Field application efficiency.......................... 5-11
Figure 5.6 Annual relative irrigation supply index for period 2000-01 to 2007-08....................... 5-12
Figure 5.7 Annual Irrigation Water Supply per unit Command Area and Irrigated Area for period 2000-01 to 2007-08............................ 5-14
Figure 5.8 Output per unit Command Area versus Irrigated Area for 2000-01 to 2007-08............ 5-16
Figure 5.9 Output per unit irrigation supply for period 2000-01 to 2007-08..................... 5-17
Figure 5.10 Cost Recovery Ratio....................... 5-20
Figure 5.11 Total O&M cost per unit area for period 2000-01 to 2007-08........................... 5-21
Figure 5.12 Total cost per person employed on water delivery per day for 2000-01 to 2007-08.... 5-22
Figure 5.13 Revenue Collection Performances for period 2000-01 to 2007-08................... 5-24
Figure 5.14 Average revenue per cubic metre of irrigation water supplied for 2000-01 to 2007-08... 5-24
Figure 5.15 Maintenance cost to revenue collection for period 2000-01 to 2007-08....................... 5-25
Figure 5.16 Staffing numbers per unit area annually for period 2000-01 to 2007-08...................... 5-26
Figure 5.17 Total O & M cost per unit of water supplied for period 2000-01 to 2007-08 .............. 5-27
Figure 5.18 Relative performances across various Categories..................... 5-32
Figure 5.19 Efficiency Score of Model I (period 2000-01 to 2007-08)................. 5-37
Figure 5.20 Efficiency Scores for Model II (period 2000-01 to 2007-08)........................... 5-38
Figure 5.21 Efficiency Scores for Model III (period 2000-01 to 2007-08)......................... 5-39
Figure 5.22 Efficiency Scores for Model IV (period 2000-01 to 2007-08)......................... 5-40
Figure 5.23 Efficiency Scores for Model V (period 2000-01 to 2007-08).......................... 5-41
Figure 5.24 Efficiency Score of Model VI (period 2000-01 to 2007-08)................... 5-42
Figure 6.1 WUA wise Irrigation Potential created versus Irrigation Potential utilised in Rabi Season 6-3
Figure 6.2 WUA wise Irrigation Potential created versus Annual Irrigation Potential utilised.......... 6-4
Figure 6.3 Number of Watering provided for Each WUA in different years....................... 6-5
Figure 6.4 Output per unit irrigated Area........................ 6-8
Figure 6.5 Output per unit Command Area..................... 6-8
Figure 6.6 WUA level cost recovery ratio.................... 6-10
Figure 6.7 Maintenance cost to Revenue Collection Ratio........ 6-11
Figure 6.8 Total O&M cost per unit area (period of 2003-04 and 2007-08) ..................... 6-13
Figure 6.9 Total Staff Deployed per ha irrigated Area............. 6-15
Figure 6.10 Total cost per person employed on water delivery per day (Rs/person/annum) at WUA Level..................... 6-17
Figure 6.11 Relative performances for Various Categories........................ 6-23
Figure 6.12 Efficiency Score for various WUAs in Model I........................ 6-31
Figure 6.13 Efficiency Scores for various WUAs in Model II....................... 6-33
Figure 6.14 Efficiency Scores for various WUAs in Model III.................... 6-35
Figure 6.15 Efficiency Scores for various WUAs in Model IV................... 6-37
Figure 6.16 Efficiency Scores for various WUAs in Model V..................... 6-39
Figure 6.17 Efficiency Scores for various WUAs in Model VI................... 6-41

List of Photographs

Samrat Ashok Sagar Project – Satellite View........................ P-1
Dam View ........................ P-1
Head Sluice of Dam........................ P-1
Divide Regulator of Right Bank and Left Bank Canal ........................ P-2
Scouring below Divide Regulator of Left Bank Canal ........................ P-2
Scouring below Divide Regulator of Right Bank Canal ........................ P-2