environmental and social management framework - …documents.gov.in/kl/15810.pdf · [type text]...

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Environmental and Social Management FrameworkKerala Local Government and Service Delivery

Project

Local Self Government Department, Government of Kerala November 2, 2010

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CCChhhaaapppttteeerrr 111 EEEnnnvvviiirrrooonnnmmmeeennntttaaalll aaannnddd SSSoooccciiiaaalll MMMaaannnaaagggeeemmmeeennnttt FFFrrraaammmeeewwwooorrrkkk 111...111 IIInnntttrrroooddduuuccctttiiiooonnn

he project provides discretionary performance based grant to be made available to LSGs. The grant is to be used for creation as well as maintenance of capital assets used in service

delivery. As per well established policy and precedent, The World Bank ensures that none of the activities undertaken through the use of its funds lead, directly or indirectly, to any kind of adverse Environmental or Social impact. It is in this context that this Environmental and Social Assessment exercise has been conducted on the proposed project concept and an appropriate Environmental and Social Management Framework (ESMF) developed to suitably address the implications identified during the assessment. The ESMF is discussed in detail and provides guidance on its correct implementation. Needless to say, application of the ESMF is mandatory for all expenditures incurred under Component 1: “Performance Grants” of the project. However in the future, the Local Self Government Department of the Government of Kerala could consider the option to apply it to all activities taken up by the LSG institutions irrespective of the source of funds. This project has been classified as Category ‘B’ meaning thereby that low to medium level Environmental and Social impacts are expected. Looking at the long and extensive list of LSG functions, it is quite apparent that all the functions listed therein would not necessarily lead to Environmental and Social impacts. It is only activities pertaining to certain specific sectors such as sanitation, infrastructure, agriculture, tiny or small-scale industries, etc. that could plausibly lead to environmental and/or social implications of low to medium magnitude. Most other LSG functions (such as promoting education, welfare of scheduled castes, etc.), would tend to remain rather benign when examined from the environmental and social safeguards angle. It follows that the ESMF would apply only to those activities that lead to any kind of significant adverse environmental and/or social impacts.

111...111...111 SSSaaallliiieeennnttt fffeeeaaatttuuurrreeesss ooofff ttthhheee EEESSSMMMFFF A simple ESMF for use of the Local Governments is suggested. The ESMF will enable the LSGs to examine proposed activity plans for possible adverse environmental or social implications. If any such implications are, in fact, anticipated and identified, then the ESMF will provide requisite guidance to the LSGs, enabling them to incorporate appropriate counter-measures into their activity implementation plans so that these impacts could be either prevented from occurring or at least, their severity reduced to manageable or permissible limits. The main feature of the ESMF is a simple screening procedure that would enable LSGs to predict, identify and estimate the scale of the likely environmental and social (E&S) impacts associated with the activities planned to be taken up by them, if any. It further features a set

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Environmental and Social Assessment Report Kerala Local Government Strengthening Project

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of mitigation guidelines that enable the LSGs to build in appropriate provisions in the respective activity plans that help prevent, mitigate or offset the identified E&S impacts, if any. Successful (or unsuccessful) application of screening procedures and mitigation guidelines will lead to grant (or denial) of Environmental Approval to the proposed activity. The ESMF also lays down simple but effective procedures for verifying the correctness of implementation and documenting compliance status vis-à-vis mitigation measures, when implementation takes place. The entire process described above is known as the E&S Clearance and Compliance Verification Procedure and comprises the primary component of the ESMF. Care has been taken during designing of this procedure to ensure that it is user friendly and simple enough to be understood and implemented by LSG functionaries or associated personnel. In addition, there are three components of the ESMF that play a supportive role in ensuring accurate and successful application of the E&S Clearance and Compliance Verification Procedure. These are discussed in the next section.

111...111...222 CCCooommmpppooonnneeennntttsss ooofff EEESSSMMMFFF Following are the components of this ESMF:

1. E&S Clearance and compliance verification procedures a. Screening for E&S safeguard requirements b. Impact assessment and mitigation planning (for activities requiring safeguards) c. E&S approval d. Compliance verification

2. Institutional framework 3. Capacity building plan 4. Implementation monitoring plan

The LSGs are expected to follow their standard procedures for approval of proposed activities that are to be funded through the Block Grant facility mooted under Component 1 of the project. The E&S clearance and compliance procedure, listed at No. 1 above, consists of a few easy additional process steps that have been superimposed on the existing procedures so that E&S clearance also becomes a part of the routine approval process. The add-on procedures described herein also contain a built-in provision that enables LSGs to integrate appropriate mitigation measures into the activity implementation plan itself and subsequently verify whether they have been adequately complied with during work execution. The Institutional Framework, listed a, allocates exact functions, roles and responsibilities to different players at various levels of hierarchy in the management set-up along the LSG organizational structure leading to the grant of E&S clearance as well as verification of compliance post implementation. Again, care has been taken to maintain close consistency with the prevailing lines of authority / reporting protocols in the existing LSG structure. Even though the E&S clearance procedures developed herein are simple, non-expert based and user friendly, they will be new and relatively unfamiliar to various associated players who are

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expected to make use of these procedures while discharging their respective roles and responsibilities. Consequently, they will not be able to apply these procedures effectively unless they are completely familiar with their application and have the necessary background knowledge and information to successfully implement them. The Capacity Building Plan has been included in the ESMF precisely intention of addressing this specific requirement. It suggests detailed training curriculum and training schedules that will ultimately lead to the familiarization of all involved with the E&S clearance and compliance procedures. The trainings suggested in this plan will be integrated with the overall training / capacity building plan of the project under Component 2, to be implemented by the Kerala Institute of Local Administration (KILA) and the State Institute of Rural Development (SIRD). The fourth and last component, namely implementation monitoring, will help the Project Management in assessing the quality of ESMF implementation and enable them to take up corrective measures wherever required. This activity will have interface with the overall project monitoring proposed under Component 4 of the project. Another monitoring activity undertaken in the project will comprise of Annual Performance Assessments proposed as a basis of disbursal of Performance Grants to qualifying LSGs under Component 1.

111...222 EEE&&&SSS CCCllleeeaaarrraaannnccceee aaannnddd CCCooommmpppllliiiaaannnccceee This section elaborately discusses the E&S Clearance and Compliance Verification procedures developed as the operational part of the ESMF. There is a slight difference between the procedures suggested for Grama Panchayats and Municipalities due to difference in organizational structure. Suggested procedures for both are discussed separately in forthcoming sections. Broadly, the procedure can broadly be divided into two distinct components, namely:

1. Grant of E&S Clearance 2. E&S Compliance Verification and Documentation

The former pertains to grant of E&S clearance to any proposed LSG activity. The basis for grant of this clearance is the correctness and appropriateness of the E&S impacts identified as likely in connection with the proposed activity, as well as the suggested action plan for mitigation. The latter pertains to physical verification of compliance to recommended E&S mitigation measures and documentation of this verification. Physical verification of compliance can be done a few times while execution of works pertaining to the activity is in progress depending upon the kind of activity and discretion of the verifying authority. However, after completion of works, the ESMF proposes a procedure that records the compliance to suggested mitigation measures and makes it mandatory to enable release of the last installment of payment to the executing agency. Sections 5.2.1 and 5.2.2 discuss details vis-à-vis these procedures for Grama Panchayats and Municipalities respectively.


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111...222...111 EEE&&&SSS CCCllleeeaaarrraaannnccceee aaannnddd CCCooommmpppllliiiaaannnccceee PPPrrroooccceeeddduuurrreeesss fffooorrr GGGrrraaammmaaa PPPaaannnccchhhaaayyyaaatttsss As mentioned earlier, the procedures for securing E&S Clearance have been developed in a manner that they fit the standard approval procedures followed by the LSGs. We first describe the standard approval procedures followed by GPs in Kerala in the normal course. These are as follows: • Subproject ideas are taken up by the Sectoral Working Groups (SWGs) (in the local body)

from the activities already listed in the 5 year Development Report1 for the respective GP. • The GP has a number of Working Groups, each of which is in-charge of a specific LSG

function such as sanitation, roads, Buildings, agriculture, water works, poverty reduction, etc. The proposals taken up by the SWGs are submitted to the Gram Sabha for prioritization of works/activities.

• Upon prioritization by the Gram Sabhas, the respective Working Groups prepare draft subproject plans and submit to the GP Committee

• The GP Committee discloses and discusses these proposal in a Development Seminar participated by experts, professionals, representatives of Gram Sabha and local people. Based on discussions and feedback obtained at the Development Seminar and after incorporating recommendations a final sub-project plan is arrived at.

• Subsequently, GPC concurs with and approves the final subproject plan discussed and disclosed in the Development Seminar.

• Thereafter, the respective Working Groups prepare the Detailed Project Reports (DPRs) through the GP technical staff

• The DPRs are submitted to the Technical Advisory Group (TAG) at the block level for vetting the subproject proposals with respect to compliance to procedures/norms laid down by Government, technical feasibility, financial viability, etc.

• Upon vetting the proposals The TAG forwards the same to District Planning Committee (DPC) for the latter’s approval of subproject and annual plan for the respective GP.

• Upon receipt of DPC, the DPR goes back to the TAG for accord of technical sanction to the engineering works component of the subproject, if any. If there is no engineering component, the subproject proceeds directly for implementation.

• The implementation of subprojects is carried out by the Implementation Officer who is also the convenor of the Working Groups. The day-to-day monitoring of implementation is carried out by the members of the working groups.

A depiction of the process flow for granting environmental clearance and subsequent verification of compliance for Grama Panchayats as superimposed on the above standard approval process is given in Figure 1.1.

1 Every 5 year a special consultation process for needs assessments at the ward levels are conducted and respective ward requirements are consolidated and tabled in the Gram Panchayat Committte for concurrence and incorporation in the Development Report for the respective Panchayat/Local Body.

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Figure 1.1: Environmental and Social Clearance and Compliance Verification Procedure for GPs

E&S Clearance and Compliance Verification Procedure for GPs

Project ideas from approved and disclosed Final Sub-project

Plan obtained from GP Committee

WORKING GROUP Prepares DPR and undertakes ESMF

screening with help of GP Engineering section

Referred to GP Committee for forwarding to Implementing

Officer

No

Yes

Has any permission / sanction been

accorded that enables this regulatory list

entry to be taken up for implementation?

Yes

Level 1 activity

Revise DPR incorporating

mitigation plan from given mitigation guidelines and revising cost if

required

Revise DPR by conducting LESA#,

incorporating suggested mitigation plan and revising cost

if applicable

Yes

Level 2 activity

GP ENGINEERING SECTION

- Prepares DPR - Implements work

after DPC approval

No

Yes

NOT

APPROVED

No

TAG* Clearance Examination of DPR

by sub-group for accuracy and

acceptability of mitigation plan

DPC** Approval

Yes

PROJECT DEFERRED OR DPR SENT BACK

FOR REVISION

APPROVED

REGULATORY LIST SCREENING

Does any part of the Regulatory list apply the

proposed activity?

PROJECT PROPOSAL / DPR

No

No

DPR READY

CONTROL LIST SCREENING This list has two parts:

Level 1: low impact Level 2 medium impact

Does any entry in one of these lists apply to the proposed

activity?

DPR PREPARATION BY IMPLEMENTATION OFFICER

Interim compliance verification during works execution, wherever applicable

ESMF compliance filing by works contractor on completion of works

execution

COMPLIANCE VERIFICATION Only for activities requiring Mitigation Plans as per ESMF

Verification of ESMF compliance by GP Engineer before approval of final

installment of payment to works contractor.

ESMF COMPLIANCE VERIFICATION BY IMPLEMENTATION OFFICER WITH FACILITATION FROM BLOCK ENGINEER

BLOCK ENGINEER (Hired by Project)

Facilitates ESMF at all stages

ESMF SCREENING DURING DPR PREPARATION WORK

*TAG: Technical Advisory Group ** DPC: District Planning Committee # LESA: Limited Environmental and

Social Appraisal

REFERRED TO TAG SUB-GROUP for technical sanction of engineering

component, if applicable


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It is at the DPR preparation stage that the first stage of E&S Clearance will come into play. This would be done by screening of the proposal for environmental and social implications. Since the DPR preparation work is undertaken by the Working Groups along with the GP technical staff, it is best if the E&S screening and mitigation planning is also done by them. In spite of this, it is important for the GP Committee members, Technical Advisory Group (TAG) members and District Planning Committee members to be familiar with the entire screening process so that they understand the environmental and budgetary implications. The section below describes the procedures for the first step in grant of E&S Clearance, viz., E&S screening and mitigation planning.

111...222...111...111 SSScccrrreeeeeennniiinnnggg fffooorrr EEE&&&SSS iiimmmpppllliiicccaaatttiiiooonnnsss The E&S screening and mitigation planning is proposed to be done in two consecutive stages. While the Engineers will be doing the screening, guidance will be provided by the Block Engineer deputed at the Block level by the project. Following are the two stages in screening: First Stage Screening: This stage of screening is intended for weeding out activities that are prohibited by prevailing applicable regulations2 or allowed in only very special circumstances. A screening tool known as the ‘Regulatory List’ has been prepared for use in the first stage of screening. The Regulatory List (see Performa A, section 1.2.3 ‘E&S Clearance Toolkit’) is a list of given activities prohibited by regulations or a set of conditions or circumstances under which no activity is allowed by law, with conditional clearance in case of certain very specific situations, if any. If any type of activity or condition listed in the Regulatory List happens to correspond or apply to the proposed activity, it cannot be granted E&S clearance unless the requisite permissions / provisions listed therein, if any, are obtained / met. The Regulatory List is very useful and effective in weeding out activities that may be contravening any prevailing environmental or social legislation. Second Stage Screening: The second stage of screening is meant for proposals which have cleared the first stage. The tool used here is known as the ‘Control List’. The Control List (See Performa B; section 1.2.3 ‘E&S Clearance Toolkit’) consists of two separate components: that of activities classified as Level 1 and that of activities classified as Level 2. Level 1 activities are expected to have relatively low magnitude E&S impacts while Level 2 activities could lead to slightly higher, i.e., medium level E&S impacts. In case of Level 1 activities, the ESMF recommends a set of simple pre-determined mitigation measures which are provided as E&S Guidelines (See E&S Guidelines; section 1.2.3 ‘E&S Clearance Toolkit’). The concerned authority has to ensure that these mitigation measures are included and integrated with the overall activity proposal and cost implications, if any, are also added to the activity budget.

2 This includes National and State regulations as well as World Bank Safeguard Policies.

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In case of Level 2 activities, the ESMF proposes that a Limited Environmental and Social Appraisal (LESA) be undertaken. The LESA could be done internally by the Engineer or outsourced to an external expert. Whatever the route taken, the LESA is expected to analyze the risks as well as alternative intervention scenarios to arrive at a feasible mitigation plan. Again, as in the earlier case, the concerned authority has to ensure that these mitigation measures are included and integrated with the overall activity proposal and the associated cost figures are suitably updated to reflect the additional cost, if any, of implementing the mitigation measures. Once the mitigation measures are built into the activity plan, the project can be sent for further stages of approval as per the standard existing process described in later sections. At every stage, the ESMF related mitigation plan will be separately discussed and approved. During the entire process of preparation of subproject plans and DPRs, the various players (Working Groups, Engineers, GP Committee, etc.) will be supported, facilitated and mentored by the Block Engineer hired under the project for this specific purpose. The Block Engineer will provide hand holding support to all concerned throughout the Screening and E&S Clearance process. In case the proposed activity does not match any of the activities listed under Level 1 as well as Level 2 of the Control List, it can be forwarded directly to the next step of approval because, in such cases, no E&S clearance or subsequent compliance verification is necessary. Therefore, in effect, the ESMF linked screening and approval requirements in case of activities to which the Control list does not apply, are bypassed and further processing of these proposals as well as implementation can take place as per normal routine without further ESMF related obligations or requirement.

111...222...111...222 VVVeeerrriiifffiiicccaaatttiiiooonnn bbbyyy TTTAAAGGG Once the DPR is prepared by the Working Group, it is forwarded to the Technical Advisory Group (TAG) for vetting of the technical aspects such as compliance to procedures/norms lay down by Government, technical feasibility, financial viability, etc. The TAG is a group of technical people, some of whom are drawn from different Government Departments while others are independent professionals including retired officials. The TAG has many sector specific sub groups which reviews and approves the DPRs under their respective sector, for and behalf of the TAG. This TAG is functional at the block and district levels. Usually in context of GPs, the block level TAG is applicable. If the TAG takes a view that the proposal requires further modifications, it can send it back to the Working Group / Engineer for revision. The ESMF related function of reviewing the validity of the E&S screening and appropriateness of the mitigation measures included in the proposal has been added to the TAG’s list of responsibilities, considering that this fits in well with its prevalent function. In this case also, the Block Engineer will provide guidance, support and facilitation to the TAG.


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In case the TAG feels that the mitigation plan needs to be revised, they could refer it back to the Working Group for appropriate action. Once the DPR is cleared by the TAG, it is sent to the DPC for final approval.

111...222...111...333 AAApppppprrrooovvvaaalll bbbyyy DDDPPPCCC Subsequent to clearance by the TAG, as per standard procedure, the proposal is forwarded to the District Planning Committee for final approval. DPC reviews the DPRs and comments/recommendations/suggestions of TAG before due consideration and approval. It is envisioned that the DPC’s approval will also encompass the E&S Clearance, which will be nested in its overall approval of the project. Subsequent to DPC approval of the project, the DPR is sent again to the GP. The approved subprojects are tendered/implemented (as applicable) by the Implementation Officers in the respective SWGs. For engineering works, Technical Sanction will be issued by TAG before implementation.

111...222...111...444 CCCooommmpppllliiiaaannnccceee vvveeerrriiifffiiicccaaatttiiiooonnn Once work execution of the project starts, it is the Implementation Officers responsibility to ensure that the work plan is properly implemented. It is strongly recommended that the respective Implementation Officers should undertake interim review of the ESMF related mitigation measures while work is in progress and provide appropriate guidance should any be required. Further, before release of the final installment, it is recommended that the Block Engineer should verify and submit a report confirming the correct implementation of all recommended mitigation measures. The Implementation Officer should release final installment of payment duly verifying compliance to all recommended mitigation measures. The Implementation Officer is free to make use of the Block Engineer for any guidance, facilitation or support that may be required during the compliance verification process. Performa C provided in the E&S Compliance Toolkit (see section 5.2.3) is to be attached to the project file / DPR and used for recording E&S Clearance and Compliance.

111...222...222 EEE&&&SSS CCCllleeeaaarrraaannnccceee aaannnddd CCCooommmpppllliiiaaannnccceee PPPrrroooccceeeddduuurrreeesss fffooorrr MMMuuunnniiiccciiipppaaallliiitttiiieeesss There is a difference between the organizational structure of GPs and Municipalities. Even though the approval procedures are principally the same, there is a variation in the approval authorities and stages. In the normal course, subproject ideas are taken up by the Sectoral Working Groups (SWGs) (in the local body) from the activities already listed in the 5 year Development Report3 for the respective Municipality. The Municipality has a number of Working Groups, each of which is in-charge of a specific LSG function such as sanitation, roads, Buildings, agriculture, water works, poverty reduction, etc. Following is the procedure:

• The proposals taken up by the SWGs are submitted to the Ward Sabha for prioritization of works/activities.

3 Every 5 year a special consultation process for needs assessments at the ward levels are conducted and respective ward requirements are consolidated and tabled in the Gram Panchayat Committte for concurrence and incorporation in the Development Report for the respective Panchayat/Local Body.

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• Upon prioritization by the Ward Sabhas, the respective Working Group prepares the draft subproject plans and submits to the respective Municipal Council

• The Municipal Council discloses and discusses these proposals in a Development Seminar participated by experts, professionals, representatives of Ward Sabha and local people. Based on discussions, feedback and after incorporating recommendations, a final subproject plan is arrived at, discussed and disclosed in the Development Seminar

• Subsequently, the respective Municipal Standing Committees and Municipal Council concurs with the final subproject plan.

• Thereafter, the technical staff of the respective Working Groups prepares the Detailed Project Reports (DPRs)

• The DPRs are submitted to the Technical Advisory Group (TAG) at the block level for vetting the subproject proposals pertaining to compliance to procedures/norms laid down by Government, technical feasibility, financial viability, etc.

• TAG upon vetting the proposals submits it to District Planning Committee (DPC) for the latter’s approval of subproject and annual plan for the respective Municipality.

• Upon receipt of DPC approval by Municipality, technical sanction for engineering works will be accorded by TAG, while others will proceed for implementation.

• The implementation of subprojects will be carried out by the Implementation Officers who is also the convener of the Working Groups.

• The day-to-day monitoring of implementation is carried out by the members of the SWGs.

It is at the DPR preparation stage that the of E&S Clearance will come into play. This would be done by screening of the proposed activities for environmental and social implications as described in section 1.2.1.1. Since the sectoral Working Group Members and Engineers/officers in the SWGs will be preparing the Subproject plan and DPRs, it is best if the E&S screening and mitigation planning is also done by them. In spite of this, it is important for the Municipal Council members, Technical Advisory Group (TAG) members and District Planning Committee members to be familiar with the entire screening process so that they understand the environmental and budgetary implications. As in the case of GPs, in case of Municipalities also, care has been taken to adhere as closely as possible to the existing processes and procedures and integrating the E&S Clearance within the same. In this section we discuss the equivalent E&S Clearance and Compliance Procedures for Municipalities. A diagrammatic representation of the same is given in figure 1.2. The sections below describe the procedures for the first step in grant of E&S Clearance, viz., E&S screening and mitigation planning.

111...222...222...111 SSScccrrreeeeeennniiinnnggg fffooorrr EEE&&&SSS iiimmmpppllliiicccaaatttiiiooonnnsss (((MMMuuunnniiiccciiipppaaallliiitttiiieeesss))) The procedure for E&S screening and mitigation planning is the very same as proposed for Grama Panchayats including screening tools used: the Regulatory and Control Lists, mitigation guidelines or LESA procedures. In subsequent sections, we discuss the steps leading to grant of E&S Clearance in case of municipalities.


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111...222...222...222 VVVeeerrriiifffiiicccaaatttiiiooonnn bbbyyy TTTAAAGGG Once the subproject plan or proposal is cleared by the Municipal Council, it is forwarded to the Technical Advisory Group (TAG) located at the District level for vetting of the subproject proposals pertaining to compliance to procedures/norms laid down by Government, technical feasibility, financial viability, etc.. The TAG is a group of technical people, some of whom are drawn from different Government Departments while others are independent professionals including retired officials. The TAG has many sector specific sub groups which reviews and approves the DPRs under their respective sectors, for and behalf of the TAG. This TAG is functional at the block level. The ESMF related function of reviewing the validity of the E&S screening and appropriateness of the mitigation measures included in the proposal has been added to the TAG’s list of responsibilities, considering that this fits in well with its prevalent function. In this case also, the Block Engineer will provide guidance, support and facilitation to the TAG in these matters. In fact, it is proposed that the Block Engineer be made a member of the TAG to enhance the effectiveness of his/her support function.

111...222...222...333 AAApppppprrrooovvvaaalll bbbyyy MMMuuunnniiiccciiipppaaalll CCCooouuunnnccciiilll During the approval process of subproject proposals, if the Municipality at any stage feels that the subproject plan or DPRs or portions therein are deficient in some ways or need to be improved, or if the budget is higher than the amount sanctioned while granting ‘in principle’ approval, it may send them back to the Working Group / Engineer for revision. Alternatively, it may undertake steps to revise the sanctioned amount. The approval of the Municipal Council is usually given from the utility and financial angle. Technical aspects of the proposal are normally examined by the Technical Advisory Group (TAG).

111...222...222...444 AAApppppprrrooovvvaaalll bbbyyy DDDPPPCCC Subsequent to clearance by the TAG, as per standard procedure, the proposal is forwarded to the District Planning Committee for final approval. DPC reviews the DPRs and comments/recommendations/suggestions of TAG before the DPRs are discussed and approved. It is envisioned that the DPC’s approval will also encompass the E&S Clearance, which will be nested in its overall approval of the project. Subsequent to DPC approval of the project, the DPR is sent again to the Municipality. The approved subprojects are tendered/implemented (as applicable) by the Implementation Officers in the respective SWGs. For engineering works, Technical Sanction will be issued by TAG before implementation. As in the case of GPs, the Block Engineer hired under the project will be available for guidance, facilitation and mentoring at all stages of screening and approval.

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Figure 1.2: Environmental and Social Clearance and Compliance Verification Procedure for Municipalities

E&S Clearance and Compliance Verification Procedure for Municipalities Project ideas from approved

and disclosed Final Sub-project Plan obtained from Municipal

Committee

WORKING GROUP Prepares DPR and undertakes ESMF screening with

help of Municipal Engineering Department

Referred to Municipal Committee for forwarding to Implementing Officer

No

Yes

Has any permission / sanction been

accorded that enables this regulatory list

entry to be taken up for implementation?

Yes

Level 1 activity

Revise DPR incorporating

mitigation plan from given mitigation guidelines and revising cost if

required

Revise DPR by conducting LESA#,

incorporating suggested mitigation plan and revising cost

if applicable

Yes

Level 2 activity

MUNICIPAL ENGINEERING DEPARTMENT

- Prepares DPR - Implements work

after DPC approval

No

Yes

NOT

APPROVED

No

TAG* Clearance Examination of DPR

by sub-group for accuracy and

acceptability of mitigation plan

DPC** Approval

Yes

PROJECT DEFERRED OR DPR SENT BACK

FOR REVISION

APPROVED

REGULATORY LIST SCREENING

Does any part of the Regulatory list apply the

proposed activity?

PROJECT PROPOSAL / DPR

No

No

DPR READY

CONTROL LIST SCREENING This list has two parts:

Level 1: low impact Level 2 medium impact

Does any entry in one of these lists apply to the proposed

activity?

DPR PREPARATION BY IMPLEMENTING OFFICER

Interim compliance verification during works execution, wherever applicable

ESMF compliance filing by works contractor on completion of works

execution

COMPLIANCE VERIFICATION Only for activities requiring Mitigation Plans as per ESMF

Verification of ESMF compliance by Municipal Engineer before approval of final installment of payment to works contractor.

ESMF COMPLIANCE VERIFICATION BY IMPLEMENTATION OFFICER WITH FACILITATION FROM BLOCK ENGINEER

BLOCK ENGINEER (Hired by Project)

Facilitates ESMF at all stages

ESMF SCREENING DURING DPR PREPARATION WORK

*TAG: Technical Advisory Group ** DPC: District Planning Committee # LESA: Limited Environmental and

Social Appraisal

REFERRED TO TAG SUB-GROUP for technical sanction of engineering

component, if applicable


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111...222...222...555 CCCooommmpppllliiiaaannnccceee vvveeerrriiifffiiicccaaatttiiiooonnn Once work execution of the project starts, it is the Municipal Engineer’s responsibility to ensure that the work plan is properly implemented. It is strongly recommended that the respective Implementation Officers should undertake interim review of the ESMF related mitigation measures while work is in progress and provide appropriate guidance should any be required. Further, the approving authority should release of the final installment, only after verifying the correct implementation of all recommended mitigation measures. Wherever necessary, the Block Engineer will be available for support, guidance and facilitation. Performa D provided in the E&S Compliance Toolkit (see section 1.2.3) is to be attached to the project file / DPR in Municipalities and used for recording E&S Clearance and Compliance.

111...222...333 EEE&&&SSS CCCllleeeaaarrraaannnccceee TTToooooolllkkkiiittt Given below are the screening tools and guidelines developed for use of concerned LSG functionaries / officials for according E&S Clearance to proposed activities and subsequently verifying compliance. They comprise the E&S Toolkit for use of those concerned. The contents include:

1. The Regulatory List Screening Tool (Performa A)

2. The Control List Screening Tool (Performa B)

3. E&S Clearance and Compliance Format for GPs (Performa C)

4. E&S Clearance and Compliance Format for Municipalities (Performa D)

5. E&S Mitigation Guidelines for Level-1 activities (Performa E)

6. Format for Conduction of LESA for Level-2 activities (Performa F)

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Performa A- Regulatory List

List of Prohibited activities under various regulations

Involuntary land acquisition

Activities involving involuntary land acquisition

Child Labour

Activities involving use of child labour

CRZ areas

Activities involving discharge of untreated wastes and effluents

Activities involving harvesting or drawal of ground water in the CRZ (between 200 m and 500 m from High Tide Line) using mechanical pumps unless when done manually through ordinary wells for drinking water or domestic purposes only.

Activities involving land reclamation, bunding or disturbing the natural course of sea water except those required for control of coastal erosion and maintenance or clearing of water ways, channels or for prevention of sandbars or for tidal regulators, storm water drains or for structures for prevention of salinity ingress and sweet water recharge

Activities involving mining of sands, rocks and other substrata materials

Any construction activity between the Low Tide Line and High Tide Line in the CRZ-I and III without permission from the Kerala State Coastal Zone Management Authority.4

Forests, Natural Habitats and Trees Activities likely to cause significant damage to forests, mangroves, nesting grounds or

any other kind of identified / designated natural habitat.

Activities in forest areas and inside designated Protected Areas (e.g. National Parks, Wild Life Sanctuaries, Tiger Reserves, etc. without permission from the Forest Department.

Any activity that involves extraction of timber or any non-timber forest produce from a forest area or its transport without permission from the Forest Department, except in

4 CRZ I: Includes (i) Areas that are ecologically sensitive and important, such as national parks/marine parks, sanctuaries, reserve forests,

wildlife habitats, mangroves, corals/coral reefs, areas close to breeding and spawning grounds of fish and other marine life, areas of outstanding natural beauty/historically/heritage areas, areas rich in genetic diversity (ii) Area between Low Tide Line and the high Tide Line;

CRZ II: includes areas that have been already developed upto or close to shoreline

CRZ III: Areas that are relatively undisturbed and include coastal zone in the rural areas (developed and undeveloped).

CRZ IV: Includes coastal stretches in the Anadaman and Nicobar, Lakshadweep and small islands except those designated as CRZ I, II or III.


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accordance with the provisions of the Scheduled Tribes and other Traditional Forest Dwellers (Recognition of Forest Rights) Act, 2006.

Any activity that involves cutting of grass or grazing of livestock in a forest area without permission from the Forest Department (except in accordance with the provisions of the Scheduled Tribes and other Traditional Forest Dwellers (Recognition of Forest Rights) Act, 2006).

Any activity that involves cutting of any tree or trees except in accordance with the provisions of the Kerala Preservation Of Trees Act (1986)

Activities involving destruction / exploitation of any kind of wildlife.

Physical and cultural resources Activities likely to cause damage to objects, sites, structures, groups of structures, and

natural features and landscapes that have archaeological, paleontological, historical, architectural, religious, aesthetic, or other cultural significance

Any subproject involving construction within 200 meter to historical monuments and within 100 meter to railways, highways, etc.

Air, land and water resources

Activities pertaining to construction of any reservoir or anicut or weir or any other permanent structure in or across any water course for the purpose of diverting water

Activities involving abstraction of water from a water course by a mechanical device of more than five horse power

Activities connected with quarrying of sand in any area in a water course within a distance of five hundred metres from any dam, check dam, reservoir or any other structure or construction on or across such watercourse, owned or controlled or maintained by Government for the purpose of irrigation

Digging of a tube-well or well from which water is extracted without permission of the State Ground Water Authority in notified areas or in areas classified as Critical / Over Exploited Zones

Any activity involving promotion, use, storage and distribution of pesticides that are banned by the Government of India, Government of Kerala or are included in classes Ia, Ib and II of the WHO classification (Refer to Annexure on WHO classification of pesticides)

Any industrial and mining activity without obtaining necessary permits (compliance with siting restrictions, Consent to Establish, Consent to Operate) from the Kerala State Pollution Control Board

Any activity involving conversion or reclamation of paddy land or wetland

Any activity involving discharge of effluent or water into public places or water bodies without permission from the State Pollution Control Board

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Any construction activity involving locating of the leach pit, soak pit, earth closet or septic tank within a distance of 7.5 m radius from existing well or 1.2 m from the plot boundary

Any activity involving littering and burning of Municipal Solid Waste in cities, towns and in urban areas

Activities involving new drinking water supply without testing of water quality to ensure that it is safe for human consumption and effective water treatment measures

Activities involving pollution of the air from any industrial activity without consent from the State Pollution Control Board

The list of protected forests, such as biosphere reserve, National parks, wildlife sanctuaries, tiger reserves, reserve forests etc are given in Annexure X. The maps depicting CRZ 1 areas are given in the document ‘Coastal Zone Management Plan for Kerala’ approved by the Ministry of Environment & Forest, Government of India and published by the Kerala State Council for Science, Technology & Environment (KSCSTE), who is also the Kerala Coastal Zone Management Authority (KCZMA). This document is made available to all the coastal Panchayats, Municipalities and City Corporations. The list of banned pesticides and insecticides are given in Annexure XI. The endogenous people involve the scheduled tribe settlements.

In the Notification on Coastal Regulation Zone, CRZ-I includes (i) Areas that are ecologically sensitive and important, such as national parks/marine parks, sanctuaries, reserve forests, wildlife habitats, mangroves, corals/coral reefs, areas close to breeding and spawning grounds of fish and other marine life, areas of outstanding natural beauty/historically/heritage areas, areas rich in genetic diversity (ii) Area between Low Tide Line and the high Tide Line; CRZ III: Areas that are relatively undisturbed and include coastal zone in the rural areas (developed and undeveloped).

Performa B- Control list* (Tick One Box)

Level-1 (Low Impact) Activities Level-2 (Medium Impact) Activities

Buildings- Construction and repair Irrigation channels: Construction and maintenance

Ponds/Tanks/Wells/Canals: Construction, de-silting, cleaning

Roads/bridges/culverts/: Construction and repair

Public amenities and places: Construction, operation and maintenance

Sanitation: Collection and management of solid & liquid waste

Minor and micro-irrigation: Construction and maintenance Storm-water drains: Construction and repair

Health Institutions: Management of sanitation and hygiene

Meat and fish products: Production and marketing

Fairs and festivals: Organization and management

Tiny and small industrial activities: Establishment and expansion

Ferry: Operation and maintenance of ferries Pisci-culture: Development and extension

Agriculture/Horticulture/Social Forestry: Management and extension

Drinking water supply: Implementation and maintenance

Animal husbandry & diary farming:


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Management and extension Mining and quarrying

*Note: If any of the above activities irrespective of the level they are classified under, involve Land acquisition, it should be done only as per process described in the note entitled “Land acquisition process requirements”. This note has been provided at the end of Performa E: Mitigation Guidelines as well as in the “Notes” section of Performa F: the LESA format. Further, both the above proformas also contain a short section on “Guiding Principles for maximizing benefits to Vulnerable Groups”. LSGs are encouraged to examine the project idea closely to see if these features can be suitably built into the same in order to enhance its benefits to vulnerable groups.

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E&S Clearance and Compliance Format for GPs (Performa C)

1. Does any item in the Regulatory list apply to the proposed activity? Yes No

2. If yes, have necessary permissions been obtained? Yes No NA

3. Does any item in Level 1 of Control List apply? Yes No


MITIGATION PLAN

Likely Environmental Risks Mitigation Measures to be adopted

Additional cost on account of mitigation measures added to overall project cost, if any: Note: Use Environmental Mitigation Guidelines (Performa E) in case of Level-1 activities or LESA report (Performa F) in case of Level-2 activities to fill in the above section. Write N/A if answers to questions 2 and 3 are ‘No’

Filed by: Implementing Officer (Signature)

Working Group Chairman (Signature)

APPROVALS

Cleared Not cleared Chairperson, GP Committee (Signature & Comments)

Cleared Not cleared Chairperson, TAG (Signature & Comments)

Cleared Not cleared Chairperson DPC (Signature & Comments)

COMPLIANCE VERIFICATION

Verified that all mitigation measures proposed have been implemented / not implemented to my satisfaction.

Additional comments, if any:

Village: GP: Taluk: District: Title of Proposed Activity: Proposed date of commencement of work:


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Signatures: Block Engineer GP Engineer

E&S Clearance and Compliance Format for Municipalities (Performa D)

1. Does any item in the Regulatory list apply to the proposed activity? Yes No

2. If yes, have necessary permissions been obtained? Yes No NA



MITIGATION PLAN

Likely Environmental Risks Mitigation Measures to be adopted

Additional cost on account of mitigation measures added to overall project cost, if any: Note: Use Environmental Mitigation Guidelines (Performa E) in case of Level-1 activities or LESA report (Performa F) in case of Level-2 activities to fill in the above section. Write N/A if answers to questions 2 and 3 are ‘No’

Filed by: Implementing Officer (Signature)

Ward Committee Chairman (Signature)

APPROVALS

Cleared Not cleared Forwarded to MC for approval

Chairperson, Standing Committee (Signature & Comments)

Cleared Not cleared Forwarded to DPC for approval

Chairperson, Municipal Council (Signature & Comments)

Cleared Not cleared

Chairperson TAG (Signature & Comments)

Cleared Not cleared

Chairperson DPC (Signature & Comments)

Village: GP: Taluk: District: Title of Proposed Activity: Proposed date of commencement of work:

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COMPLIANCE VERIFICATION

Verified that all mitigation measures proposed have been implemented / not implemented to my satisfaction.

Additional comments, if any:

Signatures: Block Engineer Municipality Engineer

E&S Mitigation Guidelines for Level-1 activities (Performa E) Buildings- construction and repair

Adverse Impact Mitigation Guidelines / Best Practices Loss of land & open space • Identification and use of land for construction should be in compliance with the provisions

given in the regulatory list • Optimize land use through appropriate design and plan • Seek clearance on design and plan by qualified civil engineer

Natural resource depletion • Optimize use of construction material • To the extent possible, minimize the use of wood • Do not use soil for construction from agricultural lands • Adhere to the regulatory list during selection of water source for construction. • Use eco-friendly construction material, such as fly-ash bricks, concrete roofing tiles, and

bamboo reinforcement, etc. to the extent possible. • Use efficient technology for internal systems such as lighting, cooling/space heating,

cooking, refrigeration, etc. Tree felling • Obtain permit for tree felling, as per rule

• Include compensatory planting with at least twice the number of trees felled as a component in the construction plan

Waste generation • Plan and adopt solid and liquid waste disposal system including re-use of relevant waste material, where possible.

Ponds/Tanks/Wells/Canals: construction, de-silting, cleaning

Adverse Impact Mitigation Guidelines / Best Practices Loss/wastage of land • Selection of the most appropriate location with respect to the watershed

• Prepare detailed lay-out plan for main and subsidiary activities Land clearance • Confine the clearance according to the lay-out plan

• Amend the lay-out plan, if necessary, to protect critical trees and landforms Tree felling • Obtain permit for tree felling, as per rule

• Include compensatory planting with at least twice the number of trees felled as a component in the construction plan

Loss of top-soil • Collect, conserve and re-use appropriately on barren / wastelands Bank failure/caving in • Reinforcement / protection of side walls Accumulation of excavated material

• Collect and re-use appropriately

Community conflicts • Consensus building Public amenities and places: construction, operation and maintenance

Adverse Impact Mitigation Guidelines / Best Practices Loss of land, congestion & loss of open space

• Optimize land use through appropriate design and plan • Seek clearance on design and plan by qualified civil engineer

Depletion of natural resources • Optimize use of construction material • To the extent possible, minimize the use of wood • Do not use soil for construction from agricultural lands • Adhere to the regulatory list during selection of water source for construction. • Use eco-friendly construction material, such as fly-ash bricks, concrete roofing tiles, and

bamboo reinforcement, if possible. • Use efficient technology for internal systems such as lighting.

Littering & poor aesthetics • Placement of waste bins and display boards • Ensure timely and regular collection and appropriate disposal


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Solid waste generation • Ensure collection, segregation, management and appropriate disposal of solid waste Water stagnation • Ensure adequate provision of drainage and soak pits duly maintained on a periodic basis. Contamination of water bodies

• Prevent discharge of waste water into water bodies without adequate treatment. • Obtain necessary permits from competent authorities wherever applicable.

Fugitive emission • Develop green-belt using local species of plants & trees Nuisance to residential houses • Maintain distance norms, comply with noise pollution regulations Tree felling • Obtain permit for tree felling from the State Forest Department and include compensatory

planting with at least twice the number of trees felled as a component in the construction plan

Emissions and effluent discharge due to mechanized systems

• Ensure emission control through relevant equipment as well as compliance with standard norms (such as stack height, etc.) and through appropriate effluent treatment systems

Minor and micro-irrigation: construction and maintenance

Adverse Impact Mitigation Guidelines / Best Practices Break in natural drainage • Make appropriate provisions in drainage plan to compensate for the break in natural

drainage • Have the plan approved by a qualified civil engineer

Super saturation of soil, reduced aeration & poor operational efficiency

• Provide for appropriate regulation of water distribution, preferably through • Participatory Irrigation Management

Poor upkeep, siltation and water stagnation

• Ensure periodic maintenance and desiltation

Natural Resource depletion • Comply with applicable regulations and norms, obtain necessary permits and control natural resource extraction and supply domains

Health Institutions: management of sanitation and hygiene

Adverse Impact Mitigation Guidelines / Best Practices Accumulation of bio-medical waste

• Facilitate segregation, storage, management and safe disposal • Obtain necessary permits and install appropriate facilities such as incenerators, if required

Accumulation of domestic waste

• Facilitate segregation, storage and management • Obtain necessary permits

Inadequacy of toilet facilities & maintenance

• Ensure sufficient number of toilets, adequate water supply and effective periodic maintenance

Water stagnation & unhygienic premises

• Construction of soak pits and periodic cleaning of premises

Fairs and festivals: organization and management

Adverse Impact Mitigation Guidelines / Best Practices Littering & waste accumulation

• Placement of appropriate and adequate waste bins

Inadequate sanitation • Ensure provision of adequate numbers of toilets. • Also provide at least 30 days advance notice to local Health Officer or competent authority

and provision for sanitation facilities, water supply, lighting, fire extinguishers and first aidDust & noise pollution • Maintenance of lawn, optimal water sprinkling and enforce noise level stipulations, for

example, through placement of increased number of loud-speakers at regulated noise levels

Risks, accidents & hazards • Maintenance of exit routes, placement of exit-display boards & publicize emergency preparedness plans

Agriculture/Horticulture/Social Forestry: management and extension

Adverse Impact Mitigation Guidelines / Best Practices Soil erosion and soil quality deterioration

• Ensure soil conservation measures and use of organic soil nutrients/manures

Loss/reduction of species • Ensure species diversity and prevent introduction of alien species Indiscriminate use of water • Promote group farming and participatory irrigation Sale and use of banned/non permitted pesticides

• Adhere to the regulatory list of use of banned pesticides (WHO Class 1a, 1b and II)

Unsafe handling of pesticides • Maintain proper storage facilities for pesticides • Stock and promote sale of safety gadgets to be used while handling pesticides

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Ecosystem imbalance due to spread of invasive alien crops & improper pest management

• Promote only locally adaptable species & integrated pest management practices • Provide soil testing, fertilizer recommendation, pesticide safety services to member farmers• Do not use fertilizers without ISI mark certification

Provision for ferries

Adverse Impact Mitigation Guidelines / Best Practices Littering & pollution of water bodies

Awareness building and regulation of the use of mechanized boats

Risk of accidents Enforce traffic regulation & ensure compliance of preventive measures for safety of humans and goods.

(Mitigation Guidelines cont’d)

Land acquisition process requirements The project will not use In-voluntary land acquisition in sub-projects using the Project Funds. Land requirements are expected to be small for sub-projects. Land requirements, if any, will be met through: • location of facilities on appropriate public lands; • direct market purchase (willing seller and willing buyer)5; • innovative benefit sharing arrangements where feasible; and • Voluntary land donations of unencumbered lands where the willingness of the contributor is

documented and verifiable. Project will follow due procedures and documentation processes for all land acquisitions. The details of the land acquisition should be discussed in an open forum and compensatory measures if any shared with the local community. Due diligence as part of the ESMF will be exercised to avoid economic displacement as a result of sub-project activities (even when there is no land acquisition). In order to effectively monitor land acquisition, project GPs will: (i) maintain details of all lands acquired for the project; (ii) ensure proper registration and legal transfer of title deeds of procured/donated lands; (iii) Wherever the land is donated by the community, complete documentation will be carried out for the title transfer of the land. For any land donated, there will be an agreement – properly witnessed – where by the donor will state that the land is donated voluntarily giving up all rights; (iv) The land donation process should be recorded in a Grama Sabha meeting in the presence of the donor Voluntary land donations6: The project will discourage land donation by poor families and vulnerable groups. The guidelines to be followed for voluntary land donations would include the following principles: (i) Impacts are minor (loss of land less than 10% of holdings), (ii) No physical re-location; (iii) The sub project is not site specific; (iv) The land required to meet technical project criteria must be identified by the affected community, not by line agencies or project authorities (nonetheless, technical authorities can help ensure that the land is appropriate for project purposes and that the project will produce no health or environmental safety hazards); (v) The land in question must be free of squatters, encroachers, or other claims or encumbrances; (vi) Grievance mechanisms must be available; (vii) Verification (for example, notarized or witnessed statements) of the voluntary nature of land donations must be obtained from each person donating land.

5 Where access requirements are needed, these should be guaranteed by the title holder 6 If any loss of income is envisaged, verification of voluntary acceptance of GP/community-devised mitigation measures must be obtained from those expected to be adversely affected.


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Guiding principles for maximizing benefits to vulnerable groups

• Sub Project design should ensure that maximum number of vulnerable groups benefit (STs, SCs, Women, BPL families etc.)

• To the best extent possible employment opportunities emerging out of sub projects should benefit local communities and particularly vulnerable groups in the locality

(Performa F)

Format for Conduction of Limited Environmental and Social Assessment (LESA) for Level-2 activities

Name of the Project

Project Code Name of the Local Government Location of the Project Place Name Ward Nos……. Outlay & Duration Outlay-Rs. Duration: ........... Months

Evaluation of the project Objectives Components Resource requirements Technology

1.

3. Project activities critical to environment 2. 4.

1.

3. Mitigation measures inherent in the project, if any 2. 4.

Environmental Impact Scenario

IMPACTS ON AIR (Tick if applicable)

Expected Impacts (Tick applicable impacts and fill corresponding cells) Mitigation proposed Cost Dust and particulate matter in the air Smoke and fumes Erosion of land due to air velocity Any other (specify)

IMPACTS ON WATER (Tick if applicable) Expected Impacts (Tick applicable impacts and fill corresponding cells) Mitigation proposed Cost

Increased siltation in water bodies

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Reduced availability of water Erosion of soil / land due to run-off Depletion of groundwater Depletion of water in surface water bodies Reduction in groundwater re-charge capacity Discharge Solid and liquid waste or other pollutants into water bodies Any other (specify)

IMPACTS ON LAND (Tick if applicable) Expected Impacts (Tick applicable impacts and fill corresponding cells) Mitigation proposed Cost

Disfiguration of landscape due to land modification or soil erosion Disruption in services / utilities Break or interference in natural drainage Interference with existing drainage pathways leading to waterlogging Dumping of waste or littering in open areas Solid or liquid waste discharge Loss of open space Loss of topsoil and impacts pertaining to soil erosion Soil quality deterioration Any other (specify)

IMPACTS ON HEALTH AND SAFETY (Tick if applicable) Expected Impacts (Tick applicable impacts and fill corresponding cells) Mitigation proposed Cost

Accumulation of domestic waste (solid & liquid) Accumulation of bio-medical waste Inadequate maintenance of public toilet facilities Risk of accidents and hazards Hazard of vector borne diseases Hazard of communicable diseases Hazard of increased disease burden due to inadequate sanitation Absence or inadequate use of occupational safety equipment Fugitive emissions Any other (specify)

IMPACTS ON BIO-DIVERSITY (Tick if applicable) Expected Impacts (Tick applicable impacts and fill corresponding cells) Mitigation proposed Cost

Tree felling without requisite permission Threat to endangered or endemic species (plant or animal) Obstruction to path of migratory bird species Obstruction to natural foraging pathway of any wild animal species Obstruction or damage to natural breeding or roosting sites of any wild

species

Threat from invasive alien species (plant or animal) Threat from pests or improper pest management Any other (specify)


24

IMPACTS ON COMMUNITY AND SOCIETY (Tick if applicable)

Expected Impacts (Tick applicable impacts and fill corresponding cells) Mitigation proposed Cost Nuisance due to excessive noise to residential areas or schools/hospitals Accumulation of bio-medical waste Inadequate maintenance of public toilet facilities Possibility of resource conflict Displacement of any indigenous community or vulnerable group Any other (specify)

Analysis of Alternatives Alternatives, if any – only if significantly more attractive

Environmental implications

Environmental mitigation measures required

1. 2. 3. 4.

Overall Recommended Mitigation Plan

Overall cost, if any, of implementing recommended mitigation measures

Prepared by Signature:

Name: Designation/Identity:

Date:

Notes on LESA:

The LESA shall be carried out by the GP Engineer or by an Environmental Expert or an agency using a structured format given in Performa F. A person or agency with experience in teaching or practicing environmental science/engineering, geology, civil engineering or such other related subjects and having a perspective of environmental effects can be engaged for carrying out the LESA. Such people or agency may be available locally or in nearby areas and the local governments may enlist them on a normative search process and engage them. Tentatively, the consultation fee shall be 0.75% of the project cost with a lower limit of Rs. 1,500/-.

25

The desirable Terms of Reference for conducting an LESA could be the following.

• Identification of the project activities / components that could have critical environmental and social implications

• Identify the impacts of these activities on various environmental components such as land, surface and groundwater, air quality, noise level, flora and fauna and social development and their aspects

• Examine whether any in-built mitigation measures happen to be present in the project • Identify possible risks and accidents, due to project activities and suggest ways and

means to preventing the same • Consider alternatives to the project, if any, especially in respect of project location

and technology and compare the risks associated with the alternatives • Suggest appropriate mitigation measures for reducing/offsetting the environmental

effects of the project • Determine the cost involved for implementing mitigation measures, if any

The mitigation measures evolved for potential environmental impacts, risks and accidents shall be incorporated into the Project proposal by the Working Group with the help of the Block Engineer and LSG Engineer. Further, in case the sub-project involves any kind of land acquisition, the following process is to be adhered to: Land acquisition process requirements: The project will not use In-voluntary land acquisition in sub-projects using the Project Funds. Land requirements are expected to be small for sub-projects. Land requirements, if any, will be met through:

• location of facilities on appropriate public lands; • direct market purchase (willing seller and willing buyer)7; • innovative benefit sharing arrangements where feasible; and • Voluntary land donations of unencumbered lands where the willingness of the

contributor is documented and verifiable. Project will follow due procedures and documentation processes for all land acquisitions. The details of the land acquisition should be discussed in an open forum and compensatory measures if any shared with the local community. Due diligence as part of the ESMF will be exercised to avoid economic displacement as a result of sub-project activities (even when there is no land acquisition). In order to effectively monitor land acquisition, project GPs will: (i) maintain details of all lands acquired for the project; (ii) ensure proper registration and legal transfer of title deeds of procured/donated lands; (iii) Wherever the land is donated by the community, complete documentation will be carried out for the title transfer of the land. For any land donated, there will be an agreement – properly witnessed – where by the donor

7 Where access requirements are needed, these should be guaranteed by the title holder


26

will state that the land is donated voluntarily giving up all rights; (iv) The land donation process should be recorded in a Grama Sabha meeting in the presence of the donor Voluntary land donations8: The project will discourage land donation by poor families and vulnerable groups. The guidelines to be followed for voluntary land donations would include the following principles: (i) Impacts are minor (loss of land less than 10% of holdings), (ii) No physical re-location; (iii) The sub project is not site specific; (iv) The land required to meet technical project criteria must be identified by the affected community, not by line agencies or project authorities (nonetheless, technical authorities can help ensure that the land is appropriate for project purposes and that the project will produce no health or environmental safety hazards); (v) The land in question must be free of squatters, encroachers, or other claims or encumbrances; (vi) Grievance mechanisms must be available; (vii) Verification (for example, notarized or witnessed statements) of the voluntary nature of land donations must be obtained from each person donating land.

Guiding principles for maximizing benefits to vulnerable groups

• Sub Project design should ensure that maximum number of vulnerable groups benefit (STs, SCs, Women, BPL families etc.)

••• To the best extent possible employment opportunities emerging out of sub projects should benefit local communities and particularly vulnerable groups in the locality

111...333 IIInnnssstttiiitttuuutttiiiooonnnaaalll fffrrraaammmeeewwwooorrrkkk As discussed earlier, the institutional framework in the project for effective implementation of the ESMF will be almost the same as the existing pattern. The few marginal changes that have been made have more to do with providing facilitation and mentoring support as well capacity building. The actual implementation of the ESMF will be affected through the existing organizational structure as discussed in the earlier section also. Project Management Unit: Overall coordination and monitoring support will be provided through the Project Management Unit (PMU). The PMU will comprise an Environment and Social Management Specialist whose mandate is to ensure correct and effective implementation of the ESMF. Further, at Block level, the project will depute Engineers who will work closely with the GPs and Municipalities in their jurisdiction and provide hands on mentoring support in implementing the ESMF. The E&S specialist will also monitor the implementation of the ESMF and will provide additional support to areas where the effectiveness of implementation is found to be lacking. The E&S Specialist will also supervise the ESMF related capacity building activities designed by KILA/SIRD and provide them with relevant technical information. Given below is a snapshot of the various players involved in implementation of the ESMF in the case of GPs and Municipalities, respectively.

Table 1.1: KLGSP Institutional Structure for ESMF Implementation for GPs

8 If any loss of income is envisaged, verification of voluntary acceptance of GP/community-devised mitigation measures must be obtained from those expected to be adversely affected.

27

Institution Current roles in development planning

Responsibilities with respect to EMF implementation

KLGSP State PMU having 1

Environmental and Social Expert

Project Implementation Overall Management Monitoring Reporting and documentation

• Provide technical support to development of capacity building modules

• Coordinate Capacity building activities on ESMF • Institutionalize ESMF process • Ensure correct implementation of ESMF • Review & update ESMF procedures, if required • Compile annual report on ESMF implementation and

compliance with highlights of environmental gains Ward/Grama Sabha

• Conceive & raise the local needs & issues

• Review earlier development pursuits.

• Prioritizes subproject proposals

• Raise E&S issues with respect to proposed project, if any

Working Group • Prepares project proposals based on inputs from Ward/Grama Sabha

• Prepares DPR


• Undertakes screening and mitigation plan preparation

GP Committee • Conducts Development Seminar and prepares final subproject plan

• Cross-verifies ESMF implementation

GP Engineer • Oversees all technical work and works execution

• Provides technical guidance to GP

• Prepares DPRs

• Prepares DPR • Screens project and prepares mitigation plan • Forwards DPR to GP Committee for onward processing • Oversees and supervises work in progress including

ESMF compliance and manages contractors • Verifies ESMF compliance

Block Engineer NA • Provides mentoring support to Ward/Grama Sabhas, Working Group, GP Committee, GP Engineer, TAG and DPC

• Supports in ESMF implementation • Provides support in Capacity Building

Technical Advisory Group (TAG)

• Ensures compliance to mandatory guidelines

• Ensures compliance to technical guidelines and ESMF

• Verifies costing & phasing of projects

• Suggests innovation & integration possibilities

• Sub-group Gives technical sanction to projects

• Ensures ESMF compliance • Examines the accuracy of impact assessment &

adequacy of mitigation measures • Addresses inter-sectoral environmental conflicts, if

any • Recommend E&S clearance to the project • Extend support as resource persons for capacity

building on ESMF

District Planning Committee (DPC)

Project approval Plan integration

• Issue E&S clearance along with Project approval • Conduct annual review • Suggest modifications, if any, in EMP

Table 1.2: KLGSP Institutional Structure for ESMF Implementation for Municipalities Institution Current roles in development

planning Responsibilities with respect to EMF

implementation KLGSP State PMU

having 1 Environmental and

Social Expert

Project Implementation Overall Management Monitoring Reporting and documentation

• Provide technical support to development of capacity building modules

• Coordinate Capacity building activities on ESMF • Institutionalize ESMF process • Ensure correct implementation of ESMF • Review & update ESMF procedures, if required • Compile annual report on ESMF implementation and

compliance with highlights of environmental gains Ward Sabha • Conceive & raise the local needs

& issues • Review earlier development



28

pursuits. • Prioritizes subproject plans

Ward Committee • Prepares project proposals based on inputs from Ward/Grama Sabha


Standing Committee

• Conducts Development Seminar and prepares final subproject plan


Municipal Council • Conducts Development Seminar and prepares final subproject plan


Technical Advisory Group (TAG)

• Ensures compliance to mandatory guidelines

• Ensures compliance to technical guidelines and ESMF

• Verifies costing & phasing of projects

• Suggests innovation & integration possibilities

• Sub-group Gives technical sanction to projects

• Ensures ESMF compliance • Examines the accuracy of impact assessment &

adequacy of mitigation measures • Addresses inter-sectoral environmental conflicts, if

any • Recommend E&S clearance to the project • Extend support as resource persons for capacity

building on ESMF

District Planning Committee (DPC)

Project approval Plan integration

• Issue Environmental clearance along with Project approval

• Conduct annual review with respect to environmental gains, in general, District level ESMF Compliance Report, in particular

• Suggest modifications, if any, in EMP Engineer • Oversees all technical work and

works execution • Provides technical guidance to

the SC/MC/DPC • Prepares DPRs

• Prepares DPR including mitigation plan if applicable • Forwards DPR to Standing Committee for onward

processing • Oversees and supervises work in progress including

ESMF compliance and manages contractors • Verifies ESMF compliance

Block Engineer NA • Provides mentoring support to Ward Sabhas, Standing Committee, Municipality Engineer, MC and DPC

• Provides support in ESMF implementation • Provides support in Capacity Building

111...444 CCCaaapppaaaccciiitttyyy BBBuuuiiillldddiiinnnggg PPPlllaaannn Considering that there will be several players associated with the task of ESMF implementation, it is important to ensure that all concerned have adequate capacity to discharge their respective roles effectively. Accordingly, a capacity building plan has been developed to achieve this objective. All capacity building activities under the project will be conducted as part of Component 2 and will be implemented by KILA and SIRD. Given below are the major ESMF related trainings suggested under the project: The indicative training module as part of Capacity Building Plan is given hereunder:

Module Key participants Themes Schedule ESMF-1 General orientation on Environmental issues Half day

• Ward members • Elected LSG members • GP/Municipality Officials • DPC Members • Municipal Council

Members

• What is environment • Environmental and Social issues in Kerala • Major prevailing E&S issues • Typical E&S impacts of village activities • How can we safeguard against E&S

impacts • How the project seeks to address

environmental and social issues

Block level training every year

29

ESMF-2 Orientation on ESMF 1 day

• State PMU, KLGSP • Elected members • GP/Municipality officials • DPC Members • TAG members • Block Engineers

• Overview of regulations pertaining to E&S issues relevant to LGs.

• Role of LGs in the context of management of E&S impacts

• Overview of E&S assessment • Overview of E&S mitigation planning • Overview of ESMF

Block level training in Year-1 followed by refresher training once in two years during the project period

ESMF-3 Specialized training on EMF 2 days

• Working Group members • LSG Engineers • Block Engineers • GP/Standing Committee

members • TAG members

• E&S regulations • Overview of ESMF • E&S screening • E&S mitigation planning • Conduction of LESA • Preparation of E&S mitigation plans • Integration of costs in mitigation plans • Compliance verification procedures • Monitoring of E&S implementation

Block level training in Year-1 followed by refresher training in year-3 during the project period

ESMF-4 Orientation on EMF Half day

• State PMU and relevant LSGD Officials

• Overview of E&S assessment • Introduction to ESMF procedures • Overview of environmental mitigation

planning • Monitoring of ESMF implementation

State level training in Year-1 followed by refresher training in Year-3

As mentioned earlier, the training activity shall be undertaken through the Kerala Institute of Local Administration, a premier training organizations under the Local Self Government Department (LSGD), Kerala. The State Institute of Rural Development (SIRD) and its five Extension Training Centres (ETC) under the LSGD, could also play a major role in extending the training to the entire state. The Environment and Social Safeguards Specialist shall assist and oversee the preparation the training materials on various themes by KILA and SIRD. KILA and SIRD at present do not have any faculty in the field of environment and social issues. Therefore, they will have to outsource to suitable external experts or firms, the task of preparing the training modules and training of trainers. The Environment and Social Safeguards Specialist from the state PMU will provide all the necessary support and assistance to KILA and SIRD in procuring services of a good expert or firm. The budget pertaining to implementation of the capacity has been included in section 5.6.

111...555... MMMooonnniiitttooorrriiinnnggg An appropriate monitoring mechanism is necessary to ensure the following: • To verify and confirm whether ESMF related capacity building is taking place and is

effective • To confirm that the ESMF is implemented satisfactorily; • To ensure that compliance to mitigation measures is taking place • To learn from experience in order to improve the EMF process and practice. • To provide relevant ESMF implementation related information to the Annual Performance

Assessment mooted under this project • To verify whether adherence to ESMF is actually translating to benefits to the Environment

in the field • To generate relevant information that feeds into the project’s Results Framework


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Following are the main components of monitoring mechanism proposed under this project: • Surveillance and supervision – to oversee adherence to and implementation of ESMF,

particularly the following aspects: o Capacity Building activities o Extent of usage of ESMF procedures by the LSGs o Extent of compliance with ESMF recommendations in LSG works

• Annual Performance Assessments • Mid-term and End-of-Project Environmental Audits We discuss these in detail below.

111...555...111... SSSuuurrrvvveeeiiillllllaaannnccceee aaannnddd SSSuuupppeeerrrvvviiisssiiiooonnn Surveillance and supervision of all ESMF implementation and compliance related activities will be undertaken by the Environment and Social Safeguards specialist in the PMU. Some of the work undertaken in these respects will include: • Maintaining a record of number of ESMF related trainings taking place, number of persons

trained and number of certificates issued. Information on the quality of trainings and effectiveness of the trainings on participants will also be collected through one to one interactions on a feasible sample of trainees from each of the trainings conducted.

• Review from time to time, on a sample basis, whether Proformas C and D are being filed correctly or not. If not, take appropriate remedial action. The recommended sample size is to cover at least 5% of the number of GPs / Municipalities on a quarterly basis, to whom Block Grants are disbursed from Year 3 onwards subject to a minimum of 10.

An Annual Compliance Report (ACR) on ESMF will be filed every year by the E&S Safeguards Specialist in the PMU summarizing the findings and actions taken on the above aspects and submitted to Project Director. The report will be shared with The World Bank.

111...555...222 AAAnnnnnnuuuaaalll PPPeeerrrfffooorrrmmmaaannnccceee AAAsssssseeessssssmmmeeennnttt Adherence and compliance to ESMF has been made one of the criteria that contribute to deciding any LSG’s eligibility for receiving performance grants as assessed by the Annual Performance Assessment (APA). Though the exact methodology and approach for carrying out the APAs will be worked out only later, from the point of view of ESMF compliance, it is envisaged to be akin to an exclusive Environmental Audit of each concerned LSG. The primary aspects that could be assessed for any given review period are as follows:

• Knowledge, capacity and skill level of concerned LSG functionaries, officials and technical personnel with respect to ESMF

• Number of activities to which the ESMF was applied • Whether the Screening procedure (including LESA, if applicable) was correctly followed

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• Correctness or aptness of the mitigation measures recommended • Whether deficiencies, if any, in screening or mitigation planning were identified at TAG

or other levels and pointed out at later stages of the environmental clearance process • Whether compliance verification procedures were correctly followed • Degree of compliance with recommended mitigation measures during works execution

The objectives of the ESMF related portion of the Annual Performance Assessment will be as follows:

1. To determine the extent of effectiveness achieved by the concerned LSG in respect of ESMF implementation and compliance, with specific reference to:

a. Assimilation of ESMF related knowledge and skills by relevant LSG functionaries and officials

b. Extent of accuracy in application of ESMF procedures in routine project approval process

c. Extent of correct application of compliance verification procedures 2. To assess if this has translated into any significant results on the ground 3. To allocate a numerical rating to the concerned LSG that suitably captures its degree of

adherence and compliance to ESMF Since the Annual Performance Assessment will apply to all LSGs, a methodology and rating system will be developed that can be applied uniformly.

111...555...444 PPPrrrooojjjeeecccttt EEEnnnvvviiirrrooonnnmmmeeennntttaaalll AAAuuudddiiitttsss In any project involving ESMF it is important to obtain an overall picture of the performance and effectiveness of its implementation, particularly with respect to lessons learned for purposes of improving effectiveness of implementation as well as for use in similar future projects. The Annual Performance Assessments, described in the earlier section, will apply individually to a single LSG at a time. They will provide a numerical score based on its performance vis-à-vis the ESMF, which will help in deciding allocation of the performance grant to various LSGs. However, the APAs will not be able to provide an overview of the status of ESMF implementation in the entire project. Even though the APAs will evaluate several aspects pertaining to ESMF implementation, the results will be applicable only to the LSG level. In order to build a macro level picture vis-à-vis ESMF implementation for the project, findings of several APAs may have to be compiled, collated and analyzed to get the macro-level picture. This may have to be further corroborated by additional primary information collected through various means. In view of this, two Environmental and Social Audits of the project by an independent external agency are recommended: one after mid-term and the other at the end of the project period. While part of the purview of this audit will be similar to that of the Annual Performance Assessments (as mentioned in section 1.5.4), the added dimension here would be to assess the


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effectiveness of the ESMF in actually safeguarding the Environment and preventing harm. The auditing agency will come up with cases where it will quantify the damage that could have been caused had the ESMF not been implemented. The mid-term Environmental and Social Audit will focus on correctness of application of procedures. It will depend on a random sample of LSGs (GPs as well as Municipalities) across the state and on information generated from APA exercises. This is because the implementation of the ESMF would only have been newly introduced and effects in the field, if any, would not be significantly visible by that time. However, there would be useful information on deficiencies, if any, in the ESMF procedures or implementation. Given below are some important points that could be its purview:

• Knowledge, capacity and skill level of concerned LSG functionaries, officials and technical personnel with respect to ESMF

• Number of activities to which the ESMF was applied • Whether the Screening procedure (including LESA, if applicable) was correctly followed • Correctness or aptness of the mitigation measures recommended • Whether deficiencies, if any, in screening or mitigation planning were identified at TAG

or other levels and pointed out at later stages of the environmental clearance process • Whether compliance verification procedures were correctly followed • Degree of compliance with recommended mitigation measures during works execution • Recommendations for improving effectiveness of ESMF and its implementation

The recommendations of this audit will be useful in improving the effectiveness of the ESMF over the balance period of the project. The second and final Environmental and Social Audit will focus on results achieved and benefits accrued. It will assess:

• Effect, if any, of the improved procedures implemented post mid-term Environmental Audit

• Estimate of quantum of harm from which the Environment has been safeguarded based on a random sample of selected LSGs.

• Recommendations for further improvement in ESMF systems and procedures for future projects

111...555...555 DDDaaatttaaa CCCooolllllleeeccctttiiiooonnn aaannnddd CCCooommmpppiiilllaaatttiiiooonnn fffooorrr RRReeesssuuullltttsss FFFrrraaammmeeewwwooorrrkkk Some indicators on which data / information are to be compiled for overall assessment of ESMF implementation are as follows:

• Module –wise number of ESMF trainings organized • Number of persons trained in ESMF implementation categorized by (i) Elected

representatives, (ii) Officials, (iii) Technical Personnel,(iv) Independent members • Number of LSGs rated as good in ESMF implementation by APAs • Number of LSGs rated as good in ESMF compliance by APAs

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• Number of cases wherein projects were not approved due to Regulatory considerations • Number of LESAs conducted

111...666 BBBuuudddgggeeettt The budget for ESMF implementation has the following components:

1. PMU Component consisting of salary and operational expenses of Environmental and Social Safeguards Specialist

2. Capacity Building component to be mainly provided to KILA/SIRD under Component 2 of the project. This will have the following sub-components:

a. Cost of hiring an Environmental Specialist in KILA/SIRD on a short term, part time contract to oversee development of training modules and training schedules

b. Cost of developing training modules (to be outsourced to specialist agency) and training material including translation

c. Cost of printing training material d. Training Costs: these will be part of KILA’s normal training budget and hence no

funds are expected from the project 3. Cost of mid-term and end-of-project Environmental Audit

The overall budget will be as follows: S. No. Training Component Sub-component Amount INR Remarks

E&S Specialist for 5 years 27,00,000 @INR 45,000 per month for 5 years ESMF Surveillance costs 30,00,000 @ INR 50,000 per month for 5 years

1. PMU Component APA Costs 3,15,90,000

@ INR 10,000 per LSG, for 1053 LSGs for 3 years

Supervision of training material preparation

2,10,000 6 months @INR 35.000/- per month

Training module & material preparation

10,00,000 4 month contract 2. Capacity Building

Training material printing 2,00,000 Work order 3. Environmental Audits Midterm audit 20,00,000 4 month contract End-of-project audit 20,00,000 4 month contract TOTAL 4,27,00,000

The training materials shall be prepared by engaging appropriate consultants and vetted by the experts in the State PMU for KLSGP. These materials shall be printed and made available to all the local governments. In addition, this shall also be made available in the website of KLGSP for quick reference and downloads.

111...777 SSStttaaakkkeeehhhooollldddeeerrr CCCooonnnsssuuullltttaaatttiiiooonnn The Environmental Assessment Report of the Kerala Local Government Strengthening Project was placed for Stakeholder Consultation at Thiruvananthapuram and Kozhikkode on 18.6.2009 and 19.6.2009 respectively. There were 49 participants at Trivandrum and 32 at Kozhikkode. The stakeholders included elected representatives of Urban and Rural Local Governments,


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State and District level Government Officials, Academics, representatives of Non Governmental Organizations, environmental activists and experts in democratic decentralization. The minutes of both the stakeholder consultations are given as Annexure IX. The corrections suggested by the participants were examined and incorporated. The suggestions and opinions aired by the participants were examined and incorporated to the extent possible. Another Project Disclosure Workshop was held on Nov 2010.

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CCChhhaaapppttteeerrr 222 SSSoooccciiiaaalll SSSaaafffeeeggguuuaaarrrdddsss Vulnerable Groups Development Framework (VGDF)

2.1. Introduction

2.1.1 The Kerala Local Governments Strengthening Project will operate throughout the State of Kerala dealing with all local government bodies (save and except large Municipal Corporations). 2.1.2 The security of life and sustainable livelihood is one of the resurfacing issues in the development discourse. This issue is rising because certain groups in the society – termed Vulnerable Groups (VGs) - are deprived of basic needs and lacks to fully enjoy the wide range of human rights. VGs are disadvantaged as compared to others mainly on account of their reduced access to habitat, health, sanitation, education, livelihood opportunities, political participation, etc. The premise is that the chances of sustainable livelihood and social security must not be unfairly disadvantaged because of sex, class, religion, caste, sexual orientation, ethnic identity, disability, health status, civil, political, social or other statuses. In Indian context, there are multiple socio-economic disadvantages that members of particular groups experience which limits their access to livelihood options and secured life. This document looks into the decentralization initiatives in Kerala for the vulnerable groups. 2.1.3 The 73rd and 74th Amendments to Indian Constitution has brought enormous opportunities for the hitherto excluded poor and marginalized sections of the population through building democratic structures at the grass roots level (e.g. Village Assembly), and reservation of seats for women, SC, and ST. The Amendments also mandated Local Self Government Institutions (LSGIs) to plan for local economic development and social justice. The very purpose of social justice can be attained only through the inclusion of excluded; the vulnerable groups. The decentralization of power or planning from below would benefit the vulnerable groups whose voice were not heard earlier and denied opportunities. By conceiving this in letter and spirit, Kerala has launched the decentralization specifically targeting the vulnerable groups.

2.2 Targeting the Vulnerable Groups through Decentralization 2. 2.1 Following the Constitutional Amendments, the Government of Kerala made legal, fiscal, and administrative reform on decentralization. With the legal backing for decentralization, launched a massive participatory programme during the 9th plan period under the banner ‘People’s Plan Campaign’ (PPC). The methodology evolved through PPC has been successfully followed even now as an effective mechanism to deliver basic services to the poor and addressing the issues of vulnerable groups. The policy and systems have been spiraled over the period targeting the Vulnerable Groups intensively. One of the priorities of 11th five year plan (2007-2012) for LSGIs is social security, which states that: “While attempting to bring about economic development, social justice would be the overarching


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concern. The direct attack on poverty would be intensified, moving on to inclusion of the socially and economically marginalized and excluded groups”. (Govt. of Kerala, 2007). The initiatives to address the issues of the vulnerable groups directly through LSGIs under the peoples planning process are:

• Tribal sub Plan (TSP) for tribal groups • Special Component plan (SCP) for scheduled castes • Women component Plan (WCP) earmarking 10% of plan funds to meet specific needs

of women • Aashraya – for rehabilitation of destitutes • Anti poverty sub plan (APSP) for provision of sites to landless families • Disadvantaged groups (reserving 5% of budget) for physically challenged and elderly

2.2.2 Special Component Plan (SCP) and Tribal Sub-Plan (TSP) 2.2.2.1 The SCP and TSP are the two major programmes that seek to address the problems of Scheduled Castes (SCs) and Scheduled Tribes (STs) respectively. The SCP and TSP were introduced way back in 1975 with the objective of formulating a plan appropriate to the scheduled communities. Following the Constitutional Amendments, Kerala took a crucial step forward at the time of ninth five-year plan by transferring to the LSGIs the responsibilities of formulation and implementation of SCP and TSP. Accordingly two-third of the allocations for SCP and TSP were earmarked for the LSGIs under successive annual plans. The LSGIs began formulating and implementing SCP and TSP with people’s participation. The SCP and TSP follow a separate methodology by preparing plans for each family and habitat on the basis of primary survey and habitat mapping. The plans would be prepared for providing minimum needs of households like housing, sanitation, electricity, water supply, street lights, and other common facilities. 2.2.2.2 TSP represents funds earmarked exclusively for tribals (with contribution from State and central funds). Kerala is the only State in the country where substantial parts of the Tribal sub plan (TSP) are directly9 implemented by Local Self Governments (LSG). Robust and detailed institutional/process guidelines have already been prepared by Govt. of Kerala (GOK) for TSP. Hence there is a good opportunity to strengthen access of Tribal groups to these funds by linking TSP performance to the proposed performance assessment system (PAS)10 of the project. The TSP performance is will be measured based on (i) Existence of annual Tribal Sub Plans; (ii) Quality of plan preparation process and (iii) actual implementation results. 2.2.3 Women Component Plan (WCP) 2.2.3.1 A special aspect of decentralized planning in Kerala has been WCP that includes projects aimed at meeting the specific needs of women and raising their status in the society. Apart from providing special consideration for women in general projects, a minimum of 10% of the Plan funds must be earmarked for projects on women development. This would ensure gender equality and social justice. 9 In all other states, these funds are generally under the control of the line departments. 10 Project will implement an independent performance assessment system for participating LSGs. LSGs meeting overall performance standards (including VGDF) will be eligible to receive the performance grant.

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2.2.4 ASHRAYA

2.2.4.1 Ashraya – an extraordinary programme for rehabilitation of destitutes has been developed by Kudumbashree. It targets absolute destitutes covering about one to two percent of the population who need continuous handholding for their very survival. The destitute are identified using the criteria developed by Kudumbashree. The Village Panchayats, Municipalities, and Corporations may in addition to the existing programmes for the poor, prepare a Package of Care Services for the destitute families under Ashraya viz.

• Food • Health Care • Assistance to Physically and Mentally Challenged (Disabled) • House Sites • Housing • Water • Education • Social Deprivation

2.2.5 Anti-poverty Sub Plan (APSP) 2.2.5.1 It aims at providing landless person with house site and site within the first two years of the 11th Five Year Plan. Preparation of APSP is mandatory for all Local Governments. As part of this Sub Plan, a prioritized list of families should be prepared from the new BPL list for providing shelter to all of them. This should be in two parts: Provision of house sites and houses, and Provision only for houses. 2.2.6 Plans for Disadvantaged Groups 2.2.6.1 Creation of conditions conducive for the sustenance of disadvantaged groups – children, aged, physically and mentally challenged persons – is a fundamental aspect of development. In view of this, a mandatory minimum allocation of 5% of total plan allocation of LSGIs is prescribed by the Government. 2.2.7 Fisher People 2.2.7.1 Responding to the concerns on alienation of traditional fish workers from the customary rights, equity, and sustainability, attempts have been made in decentralization process to address their issues. Appointing a Taskforce on Livelihood Security of Fishing Community during 9th plan had been a modest attempt in this direction. The 11th plan guideline also state: “Traditional Fishermen and other groups facing vulnerability also would get special attention”. (Govt. of Kerala, 2007).

2.3 Equity Oriented Devolution of Funds 2.3.1 The devolution of fund is formula-based with zero discretion. The formula is equity oriented with the result that backward Local Governments with a naturally higher proportion of socially disadvantaged groups get larger allocations irrespective of their location or clout.


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As mentioned elsewhere, 2/3rd of the funds under SCP and half of the funds under TSP are devolved to Local Governments on the basis of SC and ST population.

2.4 Deploying Functionaries

2.4.1 Cutting edge level officials up to the district level from the departments of SC Development, ST Development, Social Welfare and Rural Development have all been transferred to Local Governments.

2.5 Proposed Vulnerable groups development Frame work (VGDF) 2.5.1 As can be seen from the above, robust policies and planning systems are already in place in Kerala for vulnerable groups. However, much needs to be done to achieve the desired outcomes in the field. Some of the key constraints observed relate to:

• Inadequate capacity/understanding of implementers • Lack of awareness among beneficiaries of their rights and responsibilities • Shortcomings in due diligence in the processes • Ineffective monitoring, and • Short comings in adhering to social accountability processes

2.5.2 It is therefore proposed, as a part of the proposed Kerala Local Government Project to lay special emphasis on removing the constraints so that results are achieved on the ground as envisaged in the policy and planning process framework.

2.6 Objectives of VGDF

2.6.1 The objective of the VGDF under the proposed project is to incentivize operationalisation of existing policy framework for vulnerable groups (VG) in general and for Scheduled Tribes (STs), Scheduled Castes (SCs) and Women in particular. This will be achieved through

• Capacity building support • Measurement and monitoring of performance, and • Linking access of LSGIs to performance grants in relation to their overall

performance including performance on VGDF.

2.7 Activities under VGDF 2.7.1 The main activities under VGDF would be:

• Capacity building activities o to familiarize LSGI functionaries with VGDF o focused training on short comings in the present planning & implementation

processes vis-a-vis guidelines o sensitise them on their importance and relationship of VGDF in the context of the

performance grant system

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• Independent measurement of process and outcomes through specific parameters o Planning :

Is there a plan? Plan vs. Entitlement (Have the LSGI tried to access all available resources for

VGs?) Is the quality of planning process satisfactory?

o Implementation Implementation Vs Plan - Have all planned activities actually implemented

for VGs? Is the Implementation process satisfactory

o Post- Implementation Social Audit (Have the outcomes been achieved for VGs?)

o Transparency & Accountability Display of citizens charter GP report for citizens

2.7.2 The measurements mentioned above will be carried out for TSP, SCP and WCP during annual independent performance assessments. Capacity building activities would be continually refined

2.8 Implementation arrangements: 2.8.1 The VGDF will be implemented as per the existing planning process guidelines issued by Government of Kerala. TSP planning, implementation & monitoring guidelines for TSP S No Stage Action Responsibility 1 Preparatory Constitution of working group Chairman of LSGI 2 Training & sensitisation KILA 3 Environment creation/IEC VG Promoters 4 Situation Analysis presentation/

discussion with VGs VG Promoters

5 Planning Hamlet/Oorukoottam meeting Officer assigned by LSGI/VG promoter

6 Draft Plan preparation Chairman of LSGI/Chairman of standing committee

7 Projectisation Working group 8 Draft Plan finalization (for ZP &

TP only)

9 Development Seminar DPC 10 Plan finalization LSGI - Board 11 Vetting of Plans TAG 12 Plan Approval DPC 13 Plan Publicity (dissemination) Working Group/VG promoter


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14 Implementation Plan Implementation Accredited agency/ CBO/ SHG

15 Monitoring Social Audit – by community State planning Board/LSGD (through its designated agency) DPC monitoring teams

• Methodology for Inclusion of Excluded o Participatory budgeting, following an elaborate methodology which ensures

transparency, visibility, inclusiveness, and accountability. o Special features have been built into the planning process in respect of sectors

related to social justice. These include community consultations over and above the Grama Sabha, mandatory inclusion of representative socially disadvantaged groups in the Working Groups. Another feature is compulsory preparation of social maps for infrastructure schemes under SCP and TSP showing distinctly benefited SC or ST families and other families.

• Support Systems

o A range of support systems which are particularly sensitive to the issues related to socially disadvantaged groups has been put in place for the planning process.

o 1183 social animators from among SCs and 1000 social animators from among STs for extension activities support community organization and development.

o NHG network through Kudumbashree

• Vigilance System o The Vigilance Committees (Jagrata Samitis) at the LSGI level have been

constituted to redress issues related to gender discrimination and atrocities against women.

o ST hamlets are given the full power to decide their needs in the Hamlet Assembly (Ooru Koottam; Ooru meaning hamlet and Koottam meaning Assembly) – a platform specifically accorded for Tribals.

o Social Auditors from among persons of integrity and commitment to the cause of tribal development is also ensured.

• Capacity Building

The capacity building activities for democratic decentralization is essential for empowerment and social mobilization. The approach adopted has been long-term investment in people and organisations for building social capital and enlightened citizenry through KILA, with special focus on social justice. Deliberate attempts were made to involve numerous mass organisations and voluntary experts along with elected representatives and officials in the capacity building programmes. Guidelines, Handbooks and Toolkits have also been in circulation focusing on inclusion of excluded.

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• Status Studies The cutting edge LSGSIs will conduct status studies and prepare status reports on Women. Detailed instructions have already been issued for guiding the LSGIs for preparing Women Status Report. The census of SCs and STs are also underway to assess their status.

• Liaison with Departments

Local Self Government Department (LSGD) will liaise closely with the Women’s Commission, the SC and ST Commission, and the Commissioner for People with Disabilities to discuss issues related to the socially disadvantaged groups.

environmental and social management framework - …documents.gov.in/kl/15810.pdf · [type text]...

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