Government of Kerala Local Self Government Department

Kerala Sustainable Urban Development Project

(PPTA 4106 – IND)

FINAL REPORT

VOLUME 8 – SOCIAL AND ENVIRONMENTAL

SAFEGUARD FRAMEWORKS

MAY 2005

COPYRIGHT: The concepts and information contained in this document are the property of ADB & Government of Kerala. Use or copying of this document in whole or in part without the written permission of either ADB or Government of Kerala constitutes an infringement of copyright.

FINAL REPORT VOLUME 8 Social and Environmental Safeguard Frameworks

Summary of Contents

This Volume of the Report is divided up into three Parts.

Part 1 includes the Draft Resettlement Framework for the Project and the Kerala Local Government Development Fund (KLGDF)

Part 2 includes the Indigenous People’s Development Framework applicable for KLGDF

Part 3 includes the Environmental Assessment Framework applicable for KLGDF.

FINAL REPORT

VOLUME 8 – SOCIAL AND ENVIRONMENTAL

SAFEGUARD FRAMEWORKS

PART – 1

DRAFT RESETTLEMENT FRAMEWORK

TA 4106 –IND: Kerala Sustainable Urban Development Project Project Preparation

FINAL REPORT

VOLUME 8

SOCIAL AND ENVIRONMENTAL SAFEGUARD FRAMEWORKS

Contents

Part 1 – Draft Resettlement Framework 2

1. Introduction 2 1.1 Background 2 1.2 Framework Principles and Entitlements 2 1.3 Abbreviations and Acronyms 2 1.4 Definitions 2 2. Resettlement Plan (RP) Preparation 2 2.1 Surveys 2 2.2 Resettlement Plan 2 3. Consultation and Disclosure 2 3.1 Consultation 2 3.2 Disclosure 2 3.3 Complaints and Grievance 2 4. Compensations and Rehabilitation 2 4.1 Compensations 2 4.2 Rehabilitation 2 5. Institutional Arrangements and Responsibilities 2

6. Resettlement Plan Implementation and Monitoring 2 6.1 Budgeting and Fund Flow Mechanism 2 6.2 Implementation Arrangements and Schedule 2 6.3 Monitoring and Evaluation 2

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Annex A Legal Framework 2 A.1 Existing Indian Legal Framework 2 A.2 ADB’s Involuntary Resettlement Policy 2 A.3 Comparison of Borrower’s Policy and ADB’s IR Policy 2 Annex B Entitlement Matrix 2

Annex C Census and Baseline Socio-Economic Survey Guidelines 2 C.1 Cut-Off Date 2 C.2 Census Requirement and Contents 2 C.3 Census Procedures 2 C.4 Database Management 2 Annex D Consultations and Dissemination 2 D.1 Consultations 2 D.2 Information Dissemination Campaign 2 Annex E Outline TOR for NGO 2 E.1 Background of the Project 2 E.2 Objectives 2 E.3 Tasks of the NGO 2 E.4 Methodology 2 E.5 Reporting 2 E.6 Time Schedule 2 E.7 Key Personnel 2

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List of Abbreviations and Acronyms

ADB Asian Development Bank

ADS Area Development Society

BOT Build Operate Transfer

BOO Build Own Operate

BOOT Build Own Operate and Transfer

CBO Community Based Organization

CDS Community Development Society

DFID Department for International Development

DPC District Planning Committee

DWCUA Development of Women and Children in Urban Areas

EIA Environmental Impact Assessment

EDII Entrepreneurship Development Institute of India

GDP Gross Domestic Product

GIS Geographical Information System

GoI Government of India

HRD Human Resources Development

HUDCO Housing and Urban Development Corporation

IEE Initial Environmental Examination

IKM Information Kerala Mission

IMA Indian Medical Association

IMR Infant Mortality Rate

IT Information Technology

JBIC Japan Bank for International Cooperation

KocMC Kochi Municipal Corporation

KolMC Kollam Municipal Corporation

KozMC Kozhikode Municipal Corporation

KSEB Kerala State Electricity Board

KSPCB Kerala State Pollution Control Board

KSRTC Kerala State Road Transport Corporation

KSUDP Kerala Sustainable Urban Development Project

KUDFC Kerala Urban Development Finance Corporation

KUDP Kerala Urban Development Project

KWA Kerala Water Authority

LFS Land Fill Site

Lpcd Litre Per Capita Per Day

LSGD Local Self Government Department

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MFI Micro Finance Institutions

MGP Modernizing Government Program

MIS Management Information System

MLD Million Litre Per day

MSL Mean Sea Level

NABARD National Agricultural Bank for Rural Development

NATPAC National Transportation Planning and Research Centre

NGO Non Government Organization

NH National Highways

NHG Neighborhood Group

NRY Nehru Rojgar Yojna

NSDP National Slum Development Program

O&M Operation and Maintenance

PIU Project Implementation Unit

PMO Project Management Office

PPP Public Private Partnership

PPTA Project Preparation Technical Assistance

PWD Public Works Department

RIS Repayment Information System

SC/ST Schedule Caste and Schedule Tribe

SHG Self Help Groups

SJSRY Swarna Jayanti Shahari Rozgar Yojna

STP Sewage Treatment Plant

SWM Solid Waste Management

TCPO Town and Country Planning Organization

ThMC Thiruvananthapuram Municipal Corporation

TMC Thrissur Municipal Corporation

TRIDA Thiruvananthapuram Development Authority

TUDP Trivandrum Urban Development Project

UFW Unaccounted Water

USEP Urban Self Employment Program

UBSP Urban Services for the Poor

VAMBAY Valmiki Ambedkar Awaz Yojna

WTP Willingness to Pay

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Part 1 – Draft Resettlement Framework

1. Introduction

1.1 Background The Kerala Sustainable Urban Development Project (KSUDP) will finance investment in the sectors of (i) water supply; (ii) sewerage and sanitation; (iii) urban drainage; (iv) solid waste management; (v) roads and transportation; and (vi) poverty alleviation. The overall development goal of the KSUDP is to provide sustainable growth and poverty reduction in Kerala’s Local Self Governments (LSGs). The development purpose is designed to assist LSGs to “promote good urban management, and develop and expand urban infrastructure to increase economic opportunities and to reduce vulnerability to environmental degradation and urban poverty”.

The KSUDP Draft Resettlement Framework (hereinafter referred to as the Framework) has been prepared for use by all LSGs falling within the Project’s purview. It outlines the objectives, policy principles and procedures for acquisition of land, if any, compensation and other assistance measures for Affected Persons (APs), if any. This Resettlement Framework is also applicable for LSG’s wishing to access the Kerala Local Government Development Fund (KLGDF)1 for funding sub- projects in the LSG.

The LSG will be the Implementing Agency for the Project and will be responsible for preparing social analysis and resettlement plans for all sub-projects, and in accordance with this framework. The LSG would prepare a Resettlement Plan (RP) and submit the same to the Project Management Office (PMO) for review and approval prior to commencement of Project component implementation.

This Draft Resettlement Framework draws from (i) Government of Kerala - PWD’s Resettlement Policy for the Kerala State Transport Project, 2000; (ii) a recently issued GoK guideline for Fast Track Projects; (iii) The National Policy on Resettlement and Rehabilitation for Project Affected Persons, issued by the Ministry of Rural Development, 2003; (iv) The Land Acquisition Act 1894 (amended in 1984), which addresses land acquisition and resettlement issues; and (v) the Asian Development Bank’s Involuntary Resettlement Policy. A brief review of the legal framework for the Draft Resettlement Framework is presented in Annex A.

1.2 Framework Principles and Entitlements The Resettlement Framework (RF) is drafted based on ADB’s IR Policy and the principles of the RF include:

„ Resettlement impact on persons affected by the sub-project should be avoided or minimized, exploring all viable alternative sub-project designs;

„ Where the resettlement impacts are unavoidable, the Affected Persons should be assisted in improving or regaining their standard of living;

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„ People’s participation should be undertaken in the planning and implementation of the sub- project; and

„ Positive impacts will be enhanced as far as possible.

Sub-projects covered under the Resettlement Framework would broadly have three impacts that require mitigation measures; these include (i) loss of assets, including land and houses; (ii) loss of livelihood or income opportunities; and (iii) collective impacts on groups, such as loss of common property resources. The Resettlement Framework broadly covers the following:

„ Impact Zone. Displacement under the sub-project will be limited to the area required for the sub- project and its safety zone. This area is referred to as the Impact Zone (IZ). Within this zone, there cannot be any structures or other hindrances. Every effort should be made during sub- project design and preparation to minimize acquisition of land and other assets and to reduce negative socio-economic impacts. The structures/assets falling outside the Impact Zone would as far as possible be left undisturbed.

„ Compensation and Rehabilitation. All APs will be provided with compensation and rehabilitation, based on the replacement value, if their land is reduced, income source adversely affected, houses partially or fully demolished, and other properties such as crops, trees and other facilities or access to these properties reduced or damaged due to project implementation. Lack of legal documents of customary rights of occupancy/titles shall not affect APs’ eligibility for compensation. It also must be noted that during the sub-project implementation stage if there are any changes in the design thereby adversely affecting the land, livelihood or other assets of the people, the same shall be compensated in keeping with this RF.

„ Entitlement. Based on the ADBs Involuntary Resettlement Policy, the entitlement matrix (Annex B) provides guidance for compensation and assistance to persons affected by the sub- project. The Entitlement Matrix lists various types of losses, identification/eligibility and entitlements and provides basic parameters for preparation of compensation and resettlement benefits.

1.3 Abbreviations and Acronyms

„ APs Affected Persons

„ AGs Affected Groups

„ BPL Below Poverty Line

„ BSR Basic Schedule of Rates

„ DC District Collector

„ DLPC District Level Purchase Committee

„ EWS Economically Weaker Section

„ EC Empowered Committee

„ GRC Grievance Redressal Committee

1 KLGDF is fund proposed under KSUDP, which will be made available for infrastructure development in Kerala’s LSG and shall operate on commercial principles. Kerala Local Government Infrastructure and Financial Services Limited (KLGIFSL) is the Asset Management Company (AMC) managing the KLGDF and LSGs will approach KLGIFSL for project development and infrastructure financing support.

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„ IZ Impact Zones

„ PC Project Consultant

„ RA Requisitioning Authority

„ RF Resettlement Framework

„ RO Resettlement Officer

„ RP Resettlement Plan

„ R&R Resettlement and Rehabilitation

„ SC Schedule Caste

„ ST Schedule Tribes

„ SIA Social Impact Assessment

1.4 Definitions The Resettlement Framework recognizes several categories of Affected Persons with varying eligibility for compensation and assistance packages. The relevant considerations are described below; however, this is only indicative and will be finalized based on detailed surveys.

„ Affected Groups (AGs): are groups or communities outside the immediate impact corridor that may be affected by the project with a focus on the more vulnerable or weaker groups in society.

„ Affected Persons (APs): are persons who have economic interests or residence within the project impact area and who may be adversely affected directly by the Project. Affected Persons include those displaced, those losing commercial or residential structures in whole or part, those losing agricultural land or homesteads in whole or part, and those losing income sources as a result of project action.

„ Any other unidentified category not yet identified, shall be documented and mitigated based on the principles agreed.

„ Assistance refers to the support provided to APs in the form of ex-gratis payments, loans, asset services, etc. in order to improve the standard of living and reduce the negative impacts of the Project.

„ Below Poverty Line (BPL) households: A household whose monthly consumption expenditure is less than a designated sum as determined by the Department of Rural Development, Government of Kerala, will be considered below poverty line.

„ Compensation refers to the amount paid under the Land Acquisition Act, 1894 (amended 1984), for private property, structures and other assets acquired for the Project. In this context, compensation refers to payments made by the Government when title of a property is transferred from a private entity to the government.

„ Competent Authority. A Government or Quasi-Government Agency that is a Requisitioning Authority wishing to acquire land for the purpose of an infrastructure project.

„ Consent Award is the amount that the AP negotiates with the Project authorities, for the loss incurred, on a willing buyer-seller basis. Once the amount is agreed upon, the AP cannot move to court for enhancement of the amount. This amount is negotiated between the GoK and the land/structure owner on a mutually agreed price without any preconditions.

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„ Cut-off Date: The date of Notification under Section 4 (1), of Land Acquisition Act, will be the cut-off date where land acquisition will be required. In the case of squatters, encroachers and unauthorized occupants the date of the Project Implementation Units socio-economic survey will be considered as the cut-off date for entitlements under the Project. For the purpose of recognizing adults (above 18 years) for economic rehabilitation, the date of extending assistance or payment of compensation will be used for determining economic rehabilitation. For the purpose of identifying below poverty line families, the cut-off date is the date of census survey.

„ District Collector: is the Administrative head of a District.

„ Encroachers: Encroachers are persons who have extended their building, agricultural lands, business premises or work places into government lands. As a rule, they are not eligible for either compensation or assistance. The assistance to these persons will be on case to case basis provided that they are below the poverty line.

„ Hawkers and Vendors: Persons whose economic activity will be temporarily affected during construction work. However, these people will be allowed to continue their business thereafter.

„ Households: are defined to include each adult displaced person his/her spouse, minor children and other dependents who habitually reside in one household.

„ Poverty Line based on the poverty indicators identified by GoK.

„ Private Property Owners: Are those who have legal title to land, structure and other assets.

„ Replacement Value of the acquired assets and property is the amount required for the affected household to replace/reconstruct the lost assets through purchase in the open market. Replacement value will be calculated at Basic Schedule of Rates without depreciation.

„ Requisitioning Authority shall mean any company, a body corporate, an institution, or any other organization for whom land is to be acquired by the appropriate Government, and includes the appropriate Government if the acquisition of land is for such Government either for its own use or for subsequent allotment of such land in public interest to a body corporate, institution, or any other organization or to any company under lease, license or through any other system of transfer of land to such company, as the case may be.

„ Squatters: Are those who have illegally occupied government lands for residential, business and or other purposes. They are not eligible for compensation but would qualify for assistance and targeted support if they are below poverty line (BPL).

„ Tenants: Tenants are those persons having bonafide written or unwritten tenancy agreements, with a private property owner having clear property titles, to occupy a structure or land for residence or business. They are eligible for certain compensation or assistance as per the existing norms and practice.

„ Vulnerable Groups are those groups such as women-headed households, handicapped/disabled and landless families, who will be dealt with on a case to case basis. The specific assistance for these groups will be reflected in the RP.

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2. Resettlement Plan (RP) Preparation

2.1 Surveys For proper rehabilitation of APs, social impact assessment (SIA) surveys will be undertaken. The SIA surveys will be based on preliminary technical designs of the sub-project (which may include any or a combination of the following: water supply, sanitation and sewerage, drainage, solid waste management and road improvement) identified. The SIA will assist in determining the magnitude of displacement, prospective losses, better targeting of vulnerable groups, ascertaining actual costs of resettlement and rehabilitation, preparing and implementing a rehabilitation program. The methodology for conducting SIA surveys and database management (to be used for Resettlement Plan preparation) is indicated in Annex C. The SIA surveys shall comprise:

„ Census. The purpose of the census is to register and document the status of the potentially affected population2 within the project impact area/Impact Zone. The census shall cover 100% of the Affected Persons. The census will provide a demographic overview of the population, and will cover people’s assets and main sources of livelihood.

„ Baseline Socio-economic Sample Survey. The purpose of the baseline socio-economic sample survey is for establishing monitoring and evaluation parameters and is used as a benchmark for monitoring the socio-economic status of APs. The survey shall cover 20% of the APs and carry- out the following (i) prepare accurate maps of the sub-project area and update the same; (ii) analyze social structures and income resources of the population; and (iii) document inventories of resources and economic production and marketing activities of tribal people (Scheduled Tribes will be addressed separately through the Indigenous People’s Development Plan).

2.2 Resettlement Plan The Resettlement Plan (RP) will be prepared based on the results of the census and from information drawn from the baseline socio-economic sample survey; the database on APs should be complete before RP preparation. The RP preparation will be governed by the involuntary resettlement impacts identified during the census, and shall be based on the following criteria:

3 „ If involuntary resettlement impacts are found to be “significant,” a full RP will be prepared for the sub-project for approval prior to award of contracts for that sub-project; and

„ If involuntary resettlement impacts are not significant, a short RP will be prepared for the sub- project for approval prior to award of contracts for that sub-project.

2 The identification of encroachers and squatters, in case they do not possess ration cards, would be sought from voters’ list, or from any other legal documents or information from the community. In the absence of any supporting legal documents, findings of the census shall be relied upon. 3 According to ADB’s Operational Manual Operational Procedures (OP), Involuntary Resettlement (para 19,20,21, page 5; Oct 2003) projects are assigned an involuntary resettlement category depending on the significance of the probable involuntary resettlement impacts. The categories include (a) Involuntary Resettlement Category A (Significant): means 200 or more people will experience major impacts, which are defined as (i) being physically displaced from housing, or (ii) losing 10% or more of their productive assets (income generating). Category A projects require a full resettlement plan. Some of these projects may require a resettlement framework prior to the full resettlement plan; (b) involuntary resettlement Category B (Not Significant): Category B projects include involuntary resettlement impacts that are not deemed significant and require a short resettlement plan. Some of these projects may require a resettlement framework prior to the short resettlement plan; and (c) Involuntary Resettlement Category C: No involuntary resettlement effects are foreseen in Category C projects. They require neither a resettlement plan nor a resettlement framework.

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The RP will be prepared by the LSG in consultation with the APs, local representatives and non- governmental organizations (NGOs). The LSG may appoint a Project Consultant (PC) to conduct preparatory/detailed design studies for the sub-project. The PC’s team should include an expert resettlement specialist familiar with ADB policy and procedures for preparation of the RP (PMO/KLGDF will finance PC payments and the selection and appointment of the PC will be based on ADB guidelines).

The RP shall be brought to the notice of the Affected Persons and Households, with the help of a local NGO, representative of APs and host communities for their suggestions. The RP will be translated in the local language (Malayalam) and notified to the public. The completed RP will include the census of AP, and their entitlements to restore losses, budget, institutional mechanisms and schedules, assessment of feasible income restoration mechanisms, avenues for grievance redressal, and participatory results monitoring mechanism. The RP should be broadly structured in the following manner:

„ Scope of Land Acquisition and Resettlement;

„ Objectives, Policy Framework, and Entitlements;

„ Gender Impact and Mitigation Measures;

„ Information Dissemination, Consultation, Participatory Approaches and Disclosure Requirements;

„ Grievance Redress Mechanisms;

„ Compensation, Relocation, and Income Restoration;

„ Institutional Framework;

„ Resettlement Budget and Financing;

„ Implementation Schedule; and

„ Monitoring and Evaluation Procedures.

Any direct negative impact of the sub-project on woman-headed Households should be taken up on a case- to-case basis and rehabilitation of these Households should be treated as priority under the sub-project. During disbursement for rehabilitation assistance and compensation, priority should be given to woman- headed households. Separate women focus group discussions should be conducted to address specific women related issues under the sub-project. The RP should ensure that gender impacts are adequately mitigated. The LSG will submit the RPs4 to the PMO for approval. The PMO will then submit the RP to ADB for its review and approval. Based on ADB’s approval of the RP, the PMO will proceed with RP implementation.

General Assistance to APs. The shifted population shall be assisted in getting their names included in voters’ lists of the area of their resettlement and APs falling under vulnerable groups shall be provided suitable assistance to minimize the adverse impacts through various means, which will be described in depth in the RP.

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3. Consultation and Disclosure

3.1 Consultation Each RP will be prepared and implemented in close consultation with the stakeholders and will involve focus group discussion (FGD) and meetings, particularly with affected households. The Framework will be made available in local language(s) during public meetings at the community- level. Copies of draft RPs will be made available at the LSG offices. This will enable stakeholders to provide inputs on the resettlement process, prior to award of civil work contract. The summary of the RP will be disclosed on ADB website and the consultation will continue throughout the sub-project implementation period (see Annex D).

The consultation process established for the sub-project has to employ a range of formal and informal consultative methods including in-depth interviews with key informants, focus group discussions, meetings, and workshops. The effectiveness of resettlement and rehabilitation process is directly related to the degree of continuing involvement of those affected by the sub-project.

The consultation program would be conducted at several levels with (i) heads of households/members likely to be impacted; (ii) local voluntary organizations, community based organizations (CBOs)/non- governmental organizations (NGOs), Government agencies and Departments; (iii) major project stakeholders, such as women, tribal and ethnic communities; and (iv) State-level stakeholders.

The LSG has to ensure that a process of consultation is carried out throughout the resettlement process. The NGOs will ensure that any views of the Affected Persons related to the resettlement process is looked into and addressed. The NGO will ensure that groups and individuals consulted are informed about the outcome of the decision-making process, and confirm how their views were incorporated. Since resettlement and rehabilitation is a continuous process and a baseline data/information is available, the NGO has to update the baseline information as and when required.

3.2 Disclosure An intensive information dissemination campaign for APs will be conducted by the LSG with assistance of the implementing NGO (see Annex E for NGO Terms of Reference), at the outset of RP implementation. All the comments made by the APs will be documented in the project record and summarized in sub-project monitoring reports. Copies of the ADB Policy on Involuntary Resettlement and the RP will be made available, in both English and Malayalam, at the LSG office for reference and study by the public.

The LSG will therefore ensure that the APs and other stakeholders are informed and consulted about the sub-project, its impact, their entitlements and options, and allowed to participate actively in the development process. This will be done particularly in the case of vulnerable individuals and groups, who will be encouraged to choose the options, which entail the lowest risk. This exercise will be done throughout the sub-project life – during preparation, implementation, and monitoring of sub-project results and impacts.

4 In case of projects under KLGDF, the RPs will be submitted to KLGIFSL, which will submit the same to ADB through the PMO. Based On ADB’s review and approval of the RP, KLGIFSL will take the project to the Management Board for its approval and sanction.

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3.3 Complaints and Grievance Complaints and grievance procedures will be outlined in each RP. The Grievance Redressal Committee (GRC) will redress the grievances at the local-level in a consultative manner and with full participation of the affected Households, or their representatives, Project officials and local government representatives. The GRC shall comprise of members from the LSG, members of the District Administration, NGOs, representatives of Affected Persons (including women and vulnerable groups), and a representative of the PMO/KLGDF. Grievances will be redressed within two to four weeks from the date of lodging the complaints. All costs incurred in resolving the complaints will be borne by the LSG.

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4. Compensations and Rehabilitation

All Affected Persons shall be entitled to resettlement and rehabilitation besides compensation as stipulated hereinafter. In case of acquisition of land/buildings/other assets, the replacement cost should be considered. Those APs who are not entitled for compensation may get R&R benefits as per their respective entitlement framework. All losses, including loss of income, should be compensated within the overall R&R package in accordance with the entitlement matrix detailed in Annex B. The entitlement of compensation and assistance will be extended to only those APs who are so identified on or prior to the cut off date. The Grievance Redressal Committee should deal with claims regarding R&R assistance.

4.1 Compensations Land Value. The compensation amount for the land and properties to be acquired shall be paid according to the provisions of the Land Acquisition Act 1894 (amended in 1984). The following procedures shall govern: a) Market Value determined by LSG/Competent Authority. Land surveys for payment of compensation shall be done on the basis of updated official records and ground facts. The land records shall be updated relating to title/classification/current use of land expeditiously for ensuring adequate cost compensation and allotment of land to the entitled displaced persons. For determining classification/current use of land, official records as they are on the cut-off date shall be taken into consideration. For this purpose, land market surveys5 will be done by the LSG in association with representatives of the APs and professional assesses. b) Replacement Value determined by Independent Agency. For determining the replacement value of the land, a District Level Purchase Committee (DLPC) will be constituted. The DLPC will take recourse to three systems of assessment described below:

„ Taking into account such prescribed rates or the average of the actual transaction rates of similar lands for contemporary years for which sale deeds are registered.

„ Taking into consideration 20 times the annual value of gross production of the concerned land, averaged over preceding five years.

„ Fixing up market value of land equal to the minimum land value if so prescribed by the State Government under Indian Stamp Act for the purpose of registration of sale deeds under Indian Registration Act, 1908.

5 If 75% or more land holding of a AP is acquired or when the part of a land remaining after acquisition becomes economically unviable after acquisition, the owner of such land/property shall have the right to seek acquisition of his entire contiguous holding/property provided the residual land is less than his Minimum Economic Holding (MEH).

FR Volume 8 - Draft Resettlement Framework PART 1 PAGE 9 TA 4106 –IND: Kerala Sustainable Urban Development Project Project Preparation c) Final Entitlements. The replacement value to be fixed by the District Level Purchase Committee shall be the amount, which shall be the highest among the three amounts arrived at by the aforesaid three alternative methods. In case replacement value is higher than the market value determined by the LSG6, the LSG should pay the cost difference.

Immovable Property Value. For valuation of immovable properties, the following shall govern: a) Houses and Buildings. The value of the houses, buildings and other immovable properties of the APs shall be determined for the purpose of payment of compensation at the relevant Basic Schedule of Rates (BSR) without deducting the depreciation value. b) Trees. Compensation for trees will also be based on their market value in case of timber bearing trees and replacement value in case of fruit bearing trees as per the rates decided by the LSG in consultation with Department of Agriculture, Forest, Horticulture, Sericulture, etc. as the case may be.

Compensation Payment and Title. Compensation shall be paid and efforts will be made to complete the R&R of APs before taking possession of the land/properties. The APs shall hand over the land and properties acquired to the Government free from all encumbrances such as mortgage, debt, etc., pertaining to the lands and properties acquired. However in case of any loans, on such acquired land and properties given to the AP by any Government agency, remains unadjusted as per the information furnished by the AP or by the lending agency then such amounts shall be deducted out of total compensation. The acquired land and properties shall vest in the LSG/Competent Authority paying compensation for such lands/properties.

4.2 Rehabilitation The following rehabilitation measures should be adopted under the Resettlement Framework: a) Agricultural Land. Agricultural land for land compensation will be provided to vulnerable persons and efforts will be made to allot the new agricultural land in the joint name of the husband and wife. b) Resettlement Sites. New resettlement sites or site for shopping complexes should be developed, if so opted by 25 or more number Affected Groups or displaced shop owners, as the case may be, at one place preferably in nearby areas. However, where Affected Groups do not opt for such site and prefer cash, then adequate assistance towards the cost of infrastructure development will be given to the AGs. At the new settlement centers, civic amenities like drinking water, internal and link roads, medical facilities, schools electricity, etc. will be provided along with any other amenities, which the AGs had at their abandoned place. Any facilities provided by the Government and all common resource properties being availed by the APs and AGs prior to the project will as far as possible be provided/continued at Government cost at the new place of their resettlement or at the old place, as the case may be.

6 A Government or Quasi-Government may approach KLGDF for financing sub-projects. For the purpose of the KLGDF, references to LSG in this Framework may be substituted with Competent Authority.

FR Volume 8 - Draft Resettlement Framework PART 1 PAGE 10 TA 4106 –IND: Kerala Sustainable Urban Development Project Project Preparation c) Plots. Plots for houses/shops at the new resettlement sites will be provided to the AGs on payment basis except for the vulnerable person who will receive it free of cost. The allotment of plot for house/shop will be in the joint name of husband and wife. Cost of registration to that effect would be borne by the Competent Authority/LSG. d) Rehabilitation Assistance

„ Economic rehabilitation assistance shall be provided to the affected vulnerable Households;

„ Transitional allowance, shifting allowance, and rental allowance shall be provided to the APs; and

„ Training for upgradation of skills or those related to income generation will be provided as a part of rehabilitation assistance.

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5. Institutional Arrangements and Responsibilities

Effective Resettlement Plan preparation and implementation is through coordination between the District Authorities, Requisitioning Authority (LSG) and the PMO/KLGDF. The activities and responsibilities are detailed below: a) District-level Activities. The following activities will be undertaken to ensure transfer of land/houses/buildings under the Resettlement Framework:

„ Due Diligence. The Land Acquisition Officer will verify title deeds, non-encumbrance certificate, basic tax receipt, possession certificate and other relevant records of each parcel of land to be purchased. The District Government Pleader or any other advocate specially authorized by the District Collector in this behalf will scrutinize the title deeds and other documents relating to ownership and possession and give necessary recommendation to the Land Acquisition Officer.

„ Sale Deed Execution and Payment. The designated officer of the concerned LSG would thereafter arrange for the titleholder to execute a sale deed in favor of the concerned LSG. Payment of land price and other approved package of assistance will be made to the title holder through the issuance of bank cheque by the District Collector (DC), after the LSG (in whose name the funds of the sub-project are kept) deposits the same with the DC.

„ Possession and Land Use. The designated officer of the concerned LSG with the assistance of the Land Acquisition Officer will assume possession of the land on the same day on which the sale deed is registered. Copy of the Deed of Registration would be obtained from the office of the Sub-Registrar and kept in safe custody along with the survey sketches by the designated officer of the concerned LSG. The designated officer of the concerned LSG will take steps to effect necessary changes in the classification of land through the Taluk Tahasildar on the basis of the copy of the registered deed obtained from the office of the Sub-Registrar. b) Requisitioning Authority Activities. The LSG would have the responsibility to ensure that RPs are prepared and approved prior to award of contracts for the project, and for monitoring any changes to project design, which may require re-evaluation of the need for and adequacy of the RP. The LSG will hire experienced NGOs / agency for assisting in preparation as well as implementation of the RP. The LSG will also appoint a Resettlement Officer (RO) (preferably to be deputed from the Revenue Department) to supervise and conduct internal monitoring of the implementation work. The RO will be adequately supported by the DLPC in terms of all valuations, due diligence carried out on Affected Persons’ properties and Empowered Committee decision on purchase/acquisition. c) PMO Activities. The PMO will ensure that the land acquisition and rehabilitation processes followed under the project comply with ADB’s IR Policy. A Deputy Collector at the PMO will monitor the process. Regular/monthly progress reports on the process will be made available to PMO and all due diligence carried out in this regard will be reported to the ADB for its review.

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6. Resettlement Plan Implementation and Monitoring

6.1 Budgeting and Fund Flow Mechanism The cost of all compensation and R&R works will be integral of the overall project cost, which will be borne by the sub-project. The LSG will take due care to document all costs towards compensation and R&R works.

As far as possible, land required under the sub-project and immovable assets thereupon will be transferred to the concerned Requisitioning Authority (LSG) by resorting to direct purchase from titleholders. Where direct purchase cannot be affected for any specific reason, procedures under the Land Acquisition Act, 1894 (and amendments), would be continued leading to passing of award under the Act.

The replacement value will be determined by the District Level Purchase Committee (DLPC), which shall comprise:

„ District Collector – Chairman;

„ Concerned Revenue Divisional Officer – Member;

„ Finance Officer of the Collectorate;

„ Officer designated by the LSG; and

„ Officer nominated by the KSUDP/PMO.

The DLPC will arrive at the replacement value within the principles of the Resettlement Framework after conducting due enquiries and after holding negotiations with the Affected Persons. The DLPC will forward its recommendations with justification for the value arrived to the Empowered Committee (EC) created under KSUDP for its approval. The EC will consider and approve land value proposed by the DLPC after affecting modifications in the recommended price, if necessary. All administrative expenditure for affecting the transfer will be borne out of the project budget.

The sub-project funds will rest with the Requisitioning Authority (RA) and based on the valuation by the DLPC and final recommended price by the EC, the RA will deposit the required funds with the District Collector. The DC shall make payments to the APs in accordance with the procedures laid down in the Land Acquisition Act.

6.2 Implementation Arrangements and Schedule During implementation, the NGO will submit monthly progress reports on the RP implementation to the PMO through the LSG. The LSG supported by the RO will conduct regular internal monitoring of resettlement implementation and prepare quarterly progress reports for submission to PMO, which will be further submitted to ADB. The reports will contain progress made in RP implementation with particular attention to compliance with the principles and Entitlement Matrix set out in the RP. The report will also document consultation activities conducted, provide summary of issues or problems identified and actions taken to resolve the issues, and provide summary of grievances or complaints lodged by households and actions taken to redress such complaints.

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The Resettlement Officer, LSG officials and the NGO staff will undergo orientation and training in resettlement management. The training activities will focus on issues concerning (i) principles and procedures of land acquisition; (ii) public consultation and participation; (iii) entitlements and compensation disbursement mechanisms; (iv) Grievance Redressal; and (v) monitoring of resettlement operations. The orientation and training will be financed by the PMO and will occur prior to commencement of RP preparation, at the beginning of RP implementation and once during the course of RP implementation. The LSG will further ensure resettlement budgets are delivered on time to the implementing NGOs for timely RP implementation.

6.3 Monitoring and Evaluation For monitoring and evaluation (M&E), PMO will appoint an independent agency/monitoring expert7 to undertake external monitoring for the entire sub-project (this agency will provide an independent view of the project progress and should not be confused with the NGO appointed by the LSG to oversee project implementation). The independent agency/monitoring expert will monitor the sub- project on a half-yearly basis and submit its reports directly to the PMO. The PMO will submit all M&E reports to the ADB for review.

7 In the case of sub-projects undertaken through KLGDF, KLGIFSL will appoint and independent agency (IA) and the IA will submit reports to KLGIFSL, which will then be forwarded to the PMO for onward submission to ADB.

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Annex A Legal Framework

A.1 Existing Indian Legal Framework a) National Policy on Resettlement and Rehabilitation for Project Affected Persons, (Ministry of Rural Development), 2003. The National Policy on Resettlement and Rehabilitation stipulates the minimum facilities to be ensured for persons displaced due to acquisition of land for public purposes. The objectives of the Policy are:

„ To minimize displacement and to identify non-displacing or least displacing alternatives;

„ To plan the resettlement and rehabilitation of Project Affected Families (PAFs) or Households, including special needs of tribal and vulnerable sections;

„ To provide better standard of living to PAFs; and

„ To facilitate harmonious relationship between the requiring body and PAFs through mutual cooperation.

Though this policy is applicable for projects where over 500 families are displaced, the basic principles can be applied for resettling and rehabilitating any project-affected family regardless of the number. b) The Land Acquisition Act, 1894 (amended 1984). The LA Act, 1894, provides a framework for facilitating land acquisition within the Country. This Act enables the State to acquire private lands for public purposes. The Act ensures that no person is deprived of land except under the Act and entitles affected persons to a hearing before acquisition. Compensation is based on registered price of land. c) The Resettlement and Rehabilitation Policy Framework, PWD, Government of Kerala, 2000. The Public Works Department, Government of Kerala has prepared the Resettlement and Rehabilitation Principles and Policy Framework for the Kerala State Transport Project (KSTP) in accordance with the principles of the World Bank Operational Directive 4.30 on Involuntary Resettlement. The Kerala State Government approved this Policy document in August 2000, and all land acquisition/resettlement under KSTP is based on the said policy. d) Guidelines for Land Acquisition and R&R Policy Framework, Government of Kerala, 2004. GoK’s Revenue Department issued a Government Order in November 2004 for accelerating land acquisition for Fast Track Projects (FTPs) in Kerala. The following projects are categorized as Fast Track Projects (i) doubling/gauge conversion of railway lines; (ii) four-laning of the National Highways; (iii) Vallarpadam Container Terminal Rail and Road Connectivity; (iv) International Airports and Thiruvananthapuram and Kozhikode; and (v) Kerala State Transport Project (KSTP). Under the above guidelines, additional projects may be classified as FTPs on receiving the Council of Ministers’ approval.

A.2 ADB’s Involuntary Resettlement Policy The involuntary resettlement policy objectives are (i) to avoid involuntary resettlement wherever feasible; (ii) to minimize resettlement where population displacement is unavoidable by choosing

FR Volume 8 - Draft Resettlement Framework PART 1 PAGE 15 TA 4106 –IND: Kerala Sustainable Urban Development Project Project Preparation alternative viable project options; and (iii) where involuntary resettlement is unavoidable, to ensure that affected people receive assistance, preferably under the project, so that they will be at least as well off as they would have been in the absence of the project. Where involuntary resettlement is unavoidable, the policy is designed to include any resulting losses in project budgets. The policy treats involuntary resettlement as a development opportunity and allows planners to manage impoverishment risks and turn the people dispossessed or displaced into project beneficiaries, particularly the poor and vulnerable, who may be disproportionately affected by resettlement losses.

A.3 Comparison of Borrower’s Policy and ADB’s IR Policy The National Policy on Resettlement and Rehabilitation represents a significant milestone in the development of a systematic approach to addressing resettlement issues in India. However, when compared to ADB’s IR Policy some key gaps remain. Some of the areas where there are major differences have been highlighted. However, this is not a critique of either of the policies and it is only a broad overview, which does not deal with detailed differences and inconsistencies. The key gaps are: a) The National Policy defines a “cut-off” threshold related to the number of families affected (500 families in plains and 250 in hilly regions). The conditions that would apply to projects that affect less than the threshold number of families described in the policy is not clear, nor is the basis for establishing the threshold of 500 and 250 families. The Bank’s policy, on the other hand, applies to all projects involving the taking of land, regardless of the number of persons displaced. b) In the National Policy there are no specific provisions for those without legal rights to affected land; restoration of living standards would be difficult in this case. The ADB IR Policy requires that those without legal tenure be provided with adequate assistance. c) The National Policy implicitly addresses rural and not urban resettlement; it is targeted mainly at land acquisition and resettlement in rural areas. The ADB’s IR Policy does not distinguish between the two; issues related to urban resettlement, such as, the need to relocate affected commercial properties to appropriate locations, compensate for losses of income during transition and provision of alternative housing options to affected people have been adequately addressed. d) The National Policy has inadequate provisions related to linear resettlement; the provisions related to linear resettlement, of paying Rs. 10,000 to each affected landowner without regard to the area lost, or the severity of impact of land acquisition on the respective landowner are inadequate. ADB’s IR Policy emphasizes on income restoration plans.

FR Volume 8 - Draft Resettlement Framework PART 1 PAGE 16 TA 4106 –IND: Kerala Sustainable Urban Development Project Project Preparation Annex B Entitlement Matrix8

Sl Type of Application Definition of Compensation Policy Implementation Issues No. Loss Entitled Person 1 Loss of Land used as Owner (s) with 1. Replacement Value or Market Value of land based on ƒ The Market Value or Replacement Value land/plot. homestead land, legal title of land to Consent Award; of the land has to be determined before agricultural land be identified by 2. Assistance for purchase of income generating assets negotiations. or vacant plot detailed survey. under economic rehabilitation for BPL Households ƒ BPL Households need to be identified. within the project (Rs.30,000*), if they are resettled and relocated; area or Impact Zone. 3. Subsistence allowance: a) Rs.3,500* per month for a period of six months if residual land unviable; or b) Rs.3,500* per month for a period of three months if residual land viable; 4. If Vulnerable Household, compensation for the entire land is by means of land for land if so wished by the Household; and 5. In case of severance of agricultural land, an additional grant of 10% of the amount paid for land acquisition. 2 Loss of Residential Owner (s) with 1. Replacement Value of structure based on Consent Award. ƒ Calculation of the Replacement Value residential structure within legal title of Replacement Value to be calculated at Basic Schedule of without deducting depreciation has to be structure. the project area structure to be Rates without deducting depreciation; done. or Impact Zone. identified by 2. Where loss of structure is partial and the remaining ƒ BPL Households need to be identified. detailed survey. structure is viable, Households will be entitled to only ƒ Rental value has to be agreed upon by the Replacement Value of the affected portion; LSG. Tenants 3. Shifting assistance (Rs.2,000* one time payment); occupying affected 4. Registration and taxes, associated with the new house, if structure to be any will be borne by the project; identified by detailed survey. 5. Right to salvage material from existing structure; 6. Subsistence allowance for BPL Households (Rs.3,500* per month for a period of six months); 7. Rental allowance for 6 months and a lump sum shifting allowance;

8 The Entitlement Matrix should be read in conjunction with the Resettlement Framework and the procedures therein.

FR Volume 8 - Draft Resettlement Framework PART 1 PAGE 17 TA 4106 –IND: Kerala Sustainable Urban Development Project Project Preparation Sl Type of Application Definition of Compensation Policy Implementation Issues No. Loss Entitled Person 8. Tenants receive a) deposit amount; b) 6 months rental in consideration of disruption caused; and c) compensation for any structure erected by the tenant; and 9. Absentee landlords will receive compensation at Replacement Value. 3 Loss of Commercial Owner (s) with 1. Replacement Value of structure based on Consent Award. ƒ BPL Households need to be identified. commercial structure within legal title of Replacement Value to be calculated at Basic Schedule of ƒ Rental value has to be agreed upon by the structure. the project area structure to be Rates without deducting depreciation to be paid; LSG. or Impact Zone. identified by 2. Assistance for purchase of income generating assets detailed survey under economic rehabilitation (Rs.30,000*); 3. Subsistence allowance for BPL Households (Rs.3,500* Tenants per month for a period of six months); occupying affected 4. Shifting assistance (Rs.2,000* one time payment); structure to be identified by 5. Right to salvage material from existing structure; detailed survey. 6. For tenants 3 months rental value is to given, based on mutually agreed rental value; and 7. BPL tenants will be given economic rehabilitation assistance (Rs.30,000*) . 4 Loss of Standing Owner (s) of trees/ 1. If notice under Section 4 (1) of LAA, for standing seasonal ƒ Notice has to be given for standing crop. trees/crops. trees/crops within crops getting crops cannot be given then cash compensation for lost ƒ Prices of trees/ crops have to be project area or affected to be localized standing crop will be paid based on the valuation ascertained. Impact Zone. identified by done by the Department of Agriculture/Horticulture; and detailed survey. ƒ The work schedule, if possible should 2. Compensation for perennial crops to be calculated as avoid the harvest season. annual net product value multiplied by number of productive years remaining. For trees, it will be based on the market value of timber in case of timber bearing trees and replacement cost in case of fruit bearing trees, to be done through the Department of Agriculture/Forest and Horticulture, as per LAA. 5 Loss of other Assets include Owner (s) of 1. Compensation at replacement value for all assets ƒ Replacement cost to be calculated at assets. wells, boundary assets getting acquired. Basic Schedule of Rates without walls/fencing, affected to be depreciation. sheds within sub- identified by project area. detailed survey.

FR Volume 8 - Draft Resettlement Framework PART 1 PAGE 18 TA 4106 –IND: Kerala Sustainable Urban Development Project Project Preparation Sl Type of Application Definition of Compensation Policy Implementation Issues No. Loss Entitled Person 6 Loss of illegal Illegal residential Squatter (s), those 1. Assistance for construction of houses under the ƒ Advance intimation for shifting has to be residential structures built without legal title, Economically Weaker Section (EWS) Housing Program given. structure. on government owning affected for BPL families; ƒ EWS Housing programs have to be land identified for structure to be 2. All Households will be given an advance intimation of 60 identified for rehabilitating affected projects. identified by days to shift from the public land; persons. detailed survey 3. Transitional allowance provided at minimum wages for 6 months; shifting and rental allowance for 6 months; 4. Compensation for structures at replacement cost to vulnerable person; and 5. Right to salvage material form existing structure. 7 Loss of illegal Illegal Squatter (s) those 1. Assistance for loss of business to be calculated for three ƒ Assistance for loss of business to be commercial commercial without legal title, months, for BPL Households only; determined by LSG after survey. structure. structures built owning affected 2. Assistance for the replacing the cost of affected structure ƒ Assistance for replacing the cost of on government structure to be to be determined by Competent Authority/LSG; affected structures to be determined by land identified for identified by LSG. projects. detailed survey. 3. All APs will be given an advance intimation of 60 days to shift from the public land; ƒ Advance intimation to be given. 4. Transitional allowance provided at minimum wages for 6 months; shifting and rental allowance for 6 months; and 5. Right to salvage material form existing structure. 8 Loss of Encroachments Encroachers 1. For BPL Households, replacement cost of structure ƒ Advance intimation to shift from the public encroached on government extending property affected will be given. land, has to be given. Residential or land identified for or using 2. All households will be given an advance intimation of 60 ƒ The replacement cost of structure has to Commercial projects. government land days to shift from the public land; be calculated. Structure. as identified during survey. 3. Shifting allowance (Rs.1,000* one time payment); and 4. Right to salvage material form existing structure. 9 Loss of For employees of Employees 1. Relief assistance for persons indirectly affected due to ƒ Relief assistance for employees to be livelihood establishments working in employer being displaced, based on wages for three calculated by LSG on a case-by-case getting affected. establishments months, to be decided on a case-by-case basis, with a basis. getting affected as minimum of three months lost income. ƒ Training option has to be identified by the identified by 2. Economic rehabilitation assistance for BPL and vulnerable LSG, and will be carried out on a case-to- survey. persons (Rs.30,000*). case basis. 3. Training for up-gradation of skills for BPL and vulnerable persons linked to employment opportunities.

FR Volume 8 - Draft Resettlement Framework PART 1 PAGE 19 TA 4106 –IND: Kerala Sustainable Urban Development Project Project Preparation Sl Type of Application Definition of Compensation Policy Implementation Issues No. Loss Entitled Person 10 Temporary Temporary Hawkers, vendors, 1. All temporarily disrupted commercial activities will be ƒ During construction activity the LSG may disruption of commercial squatters accommodated in the designs, especially in the case of identify an alternative temporary site for livelihood. activity within the temporarily getting road sector, without permanent displacement; and the vendors and hawkers to carry out their project area or affected during 2. Assistance at minimum wages for three months. economic activities. Impact Zone. construction activities. 11 Any other loss 1. Unanticipated involuntary impacts shall be documented not identified. and mitigated based on the principles provided in the ADB IR Policy. 12 Displacement Loss of Community or 1. Restoration/ replacement and improvement of community ƒ The Government for the restoration of of community community local body owning assets such as public water pumps, sanitation and affected community assets will provide structures. properties and the structure(s) drainage facilities, schools, hospitals, temples and alternative site. assets within the identified in the shrines, and cultural heritage resources; and project area or survey. 2. Enhancement of community resources and replacement of Impact Zone. likely/to be depleted resources in case of host communities. 13 Relocation Residential Owner (s) with 1. The size of the plots will be equal to the area lost or ƒ The Government for the restoration of structure within legal title of maximum up to 50 sq m for a house and 25 sq m for a affected community assets will provide the project area structure to be shop. alternative site. or Impact Zone. identified by 2. For those choosing self-relocation, the APs will be entitled detailed survey. to above-mentioned plots even if they do not opt for Commercial resettlement sites. structure within the project area or Impact Zone. 14 Additional Vulnerable 1. Economic rehabilitation grant calculated at one year’s support to Groups poverty line as determined by the State BPL survey. vulnerable groups

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Annex C Census and Baseline Socio-Economic Survey Guidelines

C.1 Cut-Off Date The cut-off date for those who have legal title is the date of Notification under Section 4 (1) of Land Acquisition Act. The date of census is the cut-off date for those who do not have legal standing for eligibility of assistance under the project. People moving into the project area after this cut-off date will not be entitled to support. Persons, who were not enumerated during the census but can show documentation or evidence that he/she is rightfully an entitled person, will be included. The LSG is responsible for such verification.

C.2 Census Requirement and Contents Census of households and individuals located within the project has to be undertaken to register and document the status of potentially affected population within the project impact area. It will provide a demographic overview of the population served by the Resettlement Plan (RP) and profiles household assets and main sources of livelihood. It will cover 100% of the potentially affected population within the project impact area.

„ Resource Base. The resource base including land, water, and forest etc., with an assessment of its development and ecological potential in the pre-project conditions. During the conduct of the census, legal boundaries of affected properties and the right of way (ROW) are to be verified. Structures, trees and other assets are to be recorded.

„ Economy Base. The economy base of the affected people including the modes and magnitude of production, consumption pattern, related economic institutions and allocation of carious productive resources.

„ Household Census. Household census covering immovable property owned by the APs and other resources in their possession/use. These surveys would be carried out in association with local and host communities as well as with the local representatives.

„ Social Structures. The social structure, norms, customs, cultural centers, traditions, patterns of leadership and institutions of social network.

„ Affected Persons. The census will prima-facie identify tenants, sharecroppers, encroachers and agricultural day laborers. During such census, those APs are dependant on the existing infrastructure link for their livelihood, shall also be identified and listed along with their identified income. Besides this, the census will also identify APS who are the ST and SC populations in accordance with the ST and SC lists of GoK, and the vulnerable APs such as the old, handicapped, infirm, orphans and destitute.

The survey information has to be verified and certified by the LSG. Only those APs within the Impact Zone will be considered eligible for support under the sub-project.

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C.3 Census Procedures The following procedure is to be adopted in carrying out the census: a) Preliminary screening to provide minimum information on social impacts; b) Verification of legal boundaries of project area, to document existing structures, land plots and others physical assets. This involves:

„ Identification of suitable resettlement sites, in close proximity to the affected area if required;

„ All encroachments, private land holdings and others assets in the project area is to be documented;

„ Assets, structures, land holdings, trees, etc. to be recorded; and

„ All information is to be computerized; photography/video recordings to be used to document existing structures. c) The baseline socio-economic survey shall cover information on the various categories of losses and other adverse impacts likely under the project; d) The census shall identify potentially affected populations with special attention to vulnerable groups; and e) Assessment on the value of various assets to be made.

C.4 Database Management a) Data Sources. As a pre-requisite for conducting the primary household surveys, relevant information is to be collected from secondary sources. These include:

„ Revenue records maintained at the LSG, with regard to land particulars for facilitating acquisition of properties and resettlement of oustees;

„ Census records for demographic information;

„ Development agencies to get information on various developmental programs for specific sections of population like those living below poverty line, Scheduled Tribes, Scheduled Castes, etc.; and

„ Local organizations including NGOs in order to involve them and integrate their activities in the economic development programs of the displaced population. b) Data Collection. Household level contacts and interviews with each affected family for completing the household socio-economic profile. Each of the households surveyed and the structure/land likely to be affected by the project has to be numbered, documented and photographed. Public consultation exercises in different project areas to be conducted with the involvement of affected persons. In these exercises, women of the affected families are to be involved to elicit their views and opinions on the overall planning of resettlement activities. Discussions with a cross-section of affected population will help towards understanding the problems and preferences of the APs.

FR Volume 8 - Draft Resettlement Framework PART 2 PAGE 22 TA 4106 –IND: Kerala Sustainable Urban Development Project Project Preparation c) Data Analysis. The analysis would cover the following: population, population density, age, sex ratio, literacy rates/education, gender issues, tribal issues, religious groups, income, occupation and poverty line. d) Data Update. Since there is generally a time gap between the census and land acquisition procedure, which will take at least one year, it implies that actual physical relocation of APs may be delayed by a year. Therefore, it is suggested that NGOs/CBOs responsible for implementation of RP along with LSG, should conduct a rapid appraisal to continuously update information.

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Annex D Consultations and Dissemination

Comprehensive planning is required to assure that local government, NGOs, host population and project staff interacts regularly and purposefully in all stages of the project. AP involvement increases the probability of successful resettlement and rehabilitation. The RP requires information disclosure at different stages and the project will need to have a continuous process of documenting people’s views. It will ensure that groups and individuals consulted are informed about the outcome of the decision-making process, also indicate how their views have been incorporated.

D.1 Consultations The overall goal of the consultation program is to disseminate project information and to incorporate APs views in the Resettlement Plan. The specific aims of the consultations are to: a) Improve project design and lead to fewer conflicts and delays in implementation; b) Facilitate development of appropriate and acceptable entitlement options; c) Increase long-term project sustainability and ownership; d) Reduce problems of institutional coordination; e) Make the R&R process transparent; and f) Increase effectiveness of sustainability of income restoration strategies, and improve coping mechanisms.

D.2 Information Dissemination Campaign An intensive information dissemination campaign for APs should be conducted at the outset of RP implementation. This campaign will be designed by the LSG and Project Consultant and executed by the partnering NGOs. The objectives of the campaign are: a) To help counter rumours and prevent distress; b) To assist in preparation for relocation to new sites; and c) Ensure all questions of the APs are answered to the best ability; print and audio-visual materials will be of secondary use in such areas.

All the comments made by the APs will be documented in the project record and summarized in project monitoring reports.

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Annex E Outline TOR for NGO

E.1 Background of the Project The Kerala Sustainable Urban Development Project (KSUDP) will finance investment in the sectors of (i) water supply; (ii) sewerage and sanitation; (iii) urban drainage; (iv) solid waste management; (v) roads and transportation; and (vi) poverty alleviation. The overall development goal of the KSUDP is to provide sustainable growth and poverty reduction in Kerala’s Local Self Governments (LSGs).

The LSG will be the Implementing Agency for the Project and will be responsible for preparing social analysis and resettlement plans for all sub-projects, and in accordance with this framework. The LSG would prepare a Resettlement Plan (RP) and submit the same to Project Management Office (PMO) for review and approval prior to commencement of Project component implementation.

E.2 Objectives The objectives of the NGO appointed for the implementation of the Resettlement Plan are:

„ To provide the LSG with grass-root skills and capacity for field activity in the implementation of the Resettlement Plan;

„ Identify through survey project beneficiaries and distribute identification cards to project beneficiaries and the Affected Persons Project and educate them regarding their rights, entitlements and obligations under the Resettlement Plan;

„ Ensure that Affected Persons obtain their full entitlements under the Resettlement Plan. Where options are available, the NGO shall provide advice to Affected Persons on the relative benefits of each option and link the affected persons to the respective employment and housing program;

„ Assist the Affected Persons in the redressal of grievances through the system implemented as part of the Resettlement Plan; and

„ Monitor and evaluate the implementation of the RP on the Affected Persons.

E.3 Tasks of the NGO The NGO will work as a link between the LSG, the APs’ representatives and the affected APs. The NGO will be responsible for assisting the APs during the resettlement and rehabilitation process and shall ensure that all of the provisions of ADB’s IR Policy and the RP with regard to the well being of the APs, are implemented appropriately and effectively. The NGO will: a) Develop rapport between the APs and the project authorities. This will be achieved through regular meeting with both the LSG representatives and the APs. Meetings with the LSG will be held at least fortnightly and meetings with APs will be held at least monthly. All meetings and decisions taken are to be documented. b) Assist LSG to undertake public information campaign in Malayalam, at the commencement of the project to inform the affected communities of:

„ The IR Policy, Resettlement Framework and entitlement packages;

„ The need for LA;

„ The need for shifting of squatters and encroachers; and

„ The likely consequences of the project on the communities/persons economic livelihood.

FR Volume 8 - Draft Resettlement Framework PART 2 PAGE 25 TA 4106 –IND: Kerala Sustainable Urban Development Project Project Preparation c) Identify and verify project beneficiaries through survey and distribute identity cards to beneficiaries only. d) Assist APs in getting the compensation for their land and properties acquired for the project. e) Ensure benefits due to the APs under the RF and RP are provided to the APs. The NGO will determine the entitlements of each AP and compare it to the offer being made by the project. If there is a discrepancy, between the two, the NGO will be responsible for assisting the AP in coming to some agreement with the LSG and, if necessary, pursuing the matter through the grievance redressal mechanism. f) Assist APs identify suitable land for relocation, wherever necessary. Where suitable government land is not available, the NGO will assist the AP to locate a landowner willing to sell his land and will assist in the negotiation of the purchase price. g) Assist project authorities in making arrangements for the smooth relocation of the APs and their business. This will involve close consultation with the APs to ensure that the arrangements are acceptable to them. h) Ensure proper utilization by the APs of various grants available under the R&R package. The NGO will be responsible for advising the APs on how best to use any cash that may be provided under the RP. i) Assist APs in getting benefits from various government development programs particularly for house construction. There are a number of government housing and training programs for livelihood programs that can be used by APs. The NGOs will investigate the availability of places in these programs and shall inform the APs of the opportunities that exist and their relative merits. The NGO will co-ordinate the training programs for sustainable livelihood and assist in developing the required skills for livelihood rehabilitation. The NGO shall coordinate with other government departments and other NGOs working in the area to ensure that all the options available to the AP are known and can be communicated to them. j) Assist APs in the redressal of their grievances. The NGO shall make APs aware of the grievance mechanism set out in the RP and shall assist APs who have grievances to pursue a suitable remedy. k) Develop micro level plans for resettlement and rehabilitation in consultation with the APs and the LSG where relevant. A plan shall be prepared and agreed for each AP and will include:

„ List of options open to and the choices made by the AP. The NGOs will explain to the APs the options available for their R&R and assist them in making their choices;

„ List of benefits due to the AP;

„ Arrangements for shifting:

„ Proposed utilization of any grant moneys due to the AP;

„ Involvement of AP in existing Government Development Programs;

„ Update information available on APs and collect information on APs coming in the project due to any changes. LSG will be monitoring the implementation of the RP and will require data from the NGO to monitor input, output and impact indicators; and

„ Any other responsibility as may be assigned for the welfare of the affected Households. l) Assist in the identification of sites for the relocation of cultural properties and community assets. This is to be done in consultation with the affected community and the LSG.

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E.4 Methodology In order to carry out the above tasks, employees of NGOs are to be stationed in the sub-project area. Besides contacting APs on an individual basis to regularly update the baseline information, group meetings will be conducted by the NGOs on a regular basis. The frequency of such meetings will depend on the requirements of the APs but should occur at least once a month, to allow the APs to remain up to date on project developments. NGOs will encourage participation of individual APs in such meetings by discussing their problems regarding LA, R&R and other aspects relating to their socio-economic lives. Such participation will make it easier to find a solution acceptable to all involved.

E.5 Reporting The NGO shall submit an inception report-detailing plan of action, manpower deployment, time schedule, and detailed methodology within 30 days of the commencement of the assignment. The NGO should also submit quarterly progress reports on the activities carried out and proposed activities for the coming month. The quarterly progress reports will include data on indicators as required by the LSG. a) Updated data on APs and data on additional APs coming due to changes will be submitted within two months of the commencement of the assignment; b) Data on APs for monitoring of impact indicators will be submitted to the LSG as required; c) Micro level plans for each AP on the project will be submitted to the LSG for information within 3 months of the commencement of the services. Where changes occur during the project requiring changes to the micro level plans, the NGO will update the relevant plans and resubmit them to the LSG; and d) On completion of the assignment the NGO shall submit a final report summarizing the actions taken during the sub-project implementation, the methodology and manpower used to carry out the work, and a summary of assistance given to each AP under the sub-project.

E.6 Time Schedule It is estimated that the NGO services will be required for eighteen months for participating in the implementation of RP. However, this may be rescheduled based on the exact nature of the activity.

E.7 Key Personnel A Team Leader, a Gender Specialist and a Social Development Specialist will be required to carry-out the activities. The key professionals should have combined professional experience in the areas of socio-economic surveys, resettlement and rehabilitation, participation, community development and training for economic rehabilitation activities. The staffing requirements can be reviewed based on field requirement.

FR Volume 8 - Draft Resettlement Framework PART 2 PAGE 27

FINAL REPORT

VOLUME 8 – SOCIAL AND ENVIRONMENTAL

SAFEGUARD FRAMEWORKS

PART – 2

INDIGENOUS PEOPLE’S DEVELOPMENT FRAMEWORK

TA 4106 –IND: Kerala Sustainable Urban Development Project Project Preparation

FINAL REPORT

VOLUME 8

SOCIAL AND ENVIRONMENTAL SAFEGUARD FRAMEWORKS

Contents

Part 2 - Indigenous People’s Development Framework 2

1. Introduction 2 1.1 Background 2 1.2 Existing Legal Framework 2 1.3 Existing Institutional Arrangements 2 2. IPDF Preparation 2 2.1 Approach for IPDF Preparation 2 2.2 IPDF Policy 2 2.3 IPDF Components 2 3. IPDF Implementation 2 3.1 IPDP Implementation Arrangements 2 3.2 Roles and Responsibilities 2 Annex A Distribution of Scheduled Tribes in Kerala 2

Annex B Scheduled Tribes in Kerala 2

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List of Abbreviations and Acronyms

ADB Asian Development Bank ADS Area Development Society BOT Build Operate Transfer BOO Build Own Operate BOOT Build Own Operate and Transfer CBO Community Based Organization CDS Community Development Society DFID Department for International Development DPC District Planning Committee DWCUA Development of Women and Children in Urban Areas EIA Environmental Impact Assessment EDII Entrepreneurship Development Institute of India GDP Gross Domestic Product GIS Geographical Information System GoI Government of India HRD Human Resources Development HUDCO Housing and Urban Development Corporation IEE Initial Environmental Examination IKM Information Kerala Mission IMA Indian Medical Association IMR Infant Mortality Rate IT Information Technology JBIC Japan Bank for International Cooperation KocMC Kochi Municipal Corporation KolMC Kollam Municipal Corporation KozMC Kozhikode Municipal Corporation KSEB Kerala State Electricity Board KSPCB Kerala State Pollution Control Board KSRTC Kerala State Road Transport Corporation KSUDP Kerala Sustainable Urban Development Project KUDFC Kerala Urban Development Finance Corporation KUDP Kerala Urban Development Project KWA Kerala Water Authority LFS Land Fill Site Lpcd Litre Per Capita Per Day LSGD Local Self Government Department MFI Micro Finance Institutions MGP Modernizing Government Program MIS Management Information System MLD Million Litre Per day MSL Mean Sea Level NABARD National Agricultural Bank for Rural Development NATPAC National Transportation Planning and Research Centre NGO Non Government Organization NH National Highways NHG Neighborhood Group

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NRY Nehru Rojgar Yojna NSDP National Slum Development Program O&M Operation and Maintenance PIU Project Implementation Unit PMO Project Management Office PPP Public Private Partnership PPTA Project Preparation Technical Assistance PWD Public Works Department RIS Repayment Information System SC/ST Schedule Caste and Schedule Tribe SHG Self Help Groups SJSRY Swarna Jayanti Shahari Rozgar Yojna STP Sewage Treatment Plant SWM Solid Waste Management TCPO Town and Country Planning Organization ThMC Thiruvananthapuram Municipal Corporation TMC Thrissur Municipal Corporation TRIDA Thiruvananthapuram Development Authority TUDP Trivandrum Urban Development Project UFW Unaccounted Water USEP Urban Self Employment Program UBSP Urban Services for the Poor VAMBAY Valmiki Ambedkar Awaz Yojna WTP Willingness to Pay

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Part 2 - Indigenous People’s Development Framework

1. Introduction

1.1 Background The Kerala Local Government Development Fund (KLGDF) will finance investment in the sectors of (i) water supply; (ii) sewerage and sanitation; (iii) urban drainage; (iv) solid waste management; (v) roads and transportation; and (vi) poverty alleviation.

Negative impacts on the tribal population are not envisaged in any of the sub-projects to be identified for funding under the KLGDF. However, during the course of project identification and survey if any tribal communities are identified, the affected groups will be addressed according to the Indigenous People Development Framework (IPDF). The IPDF sets out the policy, principles, and implementation mechanisms to address tribal related issues. A Resettlement Framework has also been prepared, for all project-affected persons regardless of ethnicity. The IPDF will address the developmental needs of tribal members as a distinct community rather than as individuals through a process of sustainable development.

Kerala has a very small segment of tribal population accounting for 1.14% of the State’s total population. The Scheduled Tribes (synonymous with tribal/indigenous people) are spread through out the State. However, they are concentrated in the three districts of Waynad, Idduki and Kasargod accounting for 60% of the total Scheduled Tribes in the State. There are 36 tribal groups in the State, according to information provided by the Scheduled Tribes Development Department, 2004-2005. In addition, GoK has identified five primitive groups (PTG) viz. (i) Kattu Naikar; (ii) Chola Naikar; (iii) Koragar; (iv) Kurambar; and (v) Kadars. The distribution of Scheduled Tribes in the State’s districts is enumerated in Annex A. Sixty-one percent of the State’s Scheduled Tribes are found in the districts of Idukki (14%), Palakkad (10%) and Wayanad (37%), located towards the northern regions of the State. Most Scheduled Tribes are found in the forest regions of the State. Under the Kerala Sustainable Urban Development Project (KSUDP), there were no Scheduled Tribes identified within the Project Cities. Equally, Scheduled Tribes are unlikely to be found in the urban centers covered by KLGDF. However, any indigenous persons identified during detailed design surveys will be covered under this Indigenous People’s Development Framework.

1.2 Existing Legal Framework Scheduled Tribes in the State are covered by the Kerala Land Reforms (KLR) Act, 1962, Restriction on Transfer of Lands and Restoration of Alienated Lands (RTLRAL) Act, 1975, and Prevention of Atrocities Act, 1989.

„ Under the KLR Act, 1962, Scheduled Caste (SC) and Scheduled Tribe (ST) families are eligible for 50% of lands identified as surplus land in the State. Based on the surplus land identified, Government of Kerala (GoK) distributed approximately 2,250 Ha of land among 8,089 tribal persons.

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„ The RTLRAL Act, 1975, was brought into effect from 1982 and was intended for restricting the transfer of land by members of Scheduled Tribes in the State, and for the restoration of lands alienated by such members. The State Revenue Department received 8,088 applications to restore 6,817 Ha; land was restored in three cases only. An attempt by the State Legislative Assembly to amend the RTLRAL Act in 1996 was rejected by the President of India. Subsequent to the rejection, the state Government formed a new Act, Kerala Scheduled Tribes (Restriction on Transfer of Lands and Restoration of Alienated Lands) Act, 1999 with effect from 1986 – the provisions were challenged by the State High Court; currently, the implementation of the new Act awaits the Supreme Court’s decision. STs in the State are currently covered under the provisions of the RTLRAL Act, 1975.

The Ministry of Tribal Affairs, Government of India (GoI), has instructed all states to consult the National Policy on Resettlement and Rehabilitation (dated 19th February, 2004) prepared by the Ministry of Rural Development, GoI. The Policy provides guideline for the provision of minimum facilities and compensations towards resettlement and rehabilitation of persons displaced due to acquisition of land under public purposes – STs in Kerala affected by the project are covered under the aforesaid policy.

1.3 Existing Institutional Arrangements GoK’s Department for SC and ST Development manage all matters related to SC and ST development in the State. A Principal Secretary heads the Department, who is assisted by a Secretary. There is a Director for ST Development and another Director for SC Development.

At the Department-level, the Director, ST Development, is supported by a Joint Director and two Deputy Directors (one for Education and the other managing the Sub-Plan Cell). An Accounts Officer and a Finance Officer manage the Departments fund flows and disbursements. Other officials of the Department comprise two Assistant Directors (one for Publicity and the other for Education), two Senior Superintendents (one for Establishment and the other for Audits) and a Training Officer.

At the field-level, the Department has seven Integrated Tribal Development Project and nine Tribal Development Offices; 48 Tribal Extension Offices support the above set-up. The Tribal Extension Offices are organized based on the tribal population identified in the area. The Department also manages 18 model residential schools, 109 pre-metric hostels, one post-metric hostel, 20 training centers and three Industrial Training Centers. All plans and schemes for tribal development should be approved by the Director, ST Development.

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2. IPDF Preparation

2.1 Approach for IPDF Preparation ADB uses the following characteristics to define indigenous people: (i) descent from population groups present in a given area before territories were defined; (ii) maintenance of cultural and social identities separate from dominant societies and cultures; (iii) self identification and identification by others as being part of a distinct cultural group; (iv) linguistic identity different from that of dominant society; (v) social, cultural, economic, and political traditions and institutions distinct from dominant culture; (vi) economic systems oriented more towards traditional production systems rather than mainstream; and (vii) unique ties and attachments to traditional habitats and ancestral territories. Essentially, indigenous people have a social and cultural identity distinct from the mainstream society that makes them vulnerable to being overlooked or marginalized in the development processes.

The need for a full Indigenous People Development Plan (IPDP) will be established on the basis of the following criteria set out in ADB’s policy on indigenous people to determine if project impacts are significant: (i) adverse impacts on customary rights of use and access to land and natural resources; (ii) negative impacts on socio-economic and cultural identity; (iii) impacts on health, education, livelihood, and social security status; and (iv) any other impacts that may alter or undermine indigenous knowledge and customary institutions.

The main thrust of IPDP is to address the development issues taking into consideration the marginality status of tribal community. The IPDP will offer development options addressing community based needs of indigenous people while respecting their socio-cultural distinctiveness. The IPDP aims at strengthening the existing capacity of the affected tribal community. The strategy of IPDP therefore would be to promote participation of the tribal people, initiating and identifying people’s need, priorities and preferences through participatory approaches. Therefore, the action plan under a particular project will be prepared by the community themselves.

2.2 IPDF Policy The policy on indigenous people ensures that the process of initial social assessment includes specific consideration of indigenous peoples as a potentially affected population. If the initial social assessment identifies indigenous peoples specifically as a significantly and adversely affected population, or vulnerable to being so affected, it is required that an indigenous peoples plan acceptable to ADB is prepared by the project proponent. The key elements in an IPDP include:

„ All development plans for indigenous people should be based on full consideration of the options and approaches that best meet the interests of individuals and communities affected by the project.

„ Scope and impact of adverse effects be assessed and appropriate mitigation measures are identified.

„ Project should take into account the social and cultural context of affected peoples, and their skills and knowledge relating to local resource management.

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„ During project preparation, formation, and strengthening of indigenous peoples organization; communication to facilitate their participation in project identification, planning, execution and evaluation should be promoted.

„ Where previous experience and knowledge of working successfully with indigenous peoples is lacking, pilot scale operations should be carried out and evaluated prior to the execution of full- scale efforts.

„ In case project proponents are not capable of preparing and implementing IPDP, experienced community organizations, non-government organizations (NGOs), and consultants can be involved as intermediaries.

2.3 IPDF Components The components of an IPDP:

„ Generation of baseline data on social status and structure, income sources, assets, production system and land tenure, etc of the tribal people.

„ Review of status of indigenous people.

„ Framing the strategy for community participation.

„ Formulation of development and mitigation measures.

„ Strengthening the institutional capacity for the indigenous people.

„ Specifying the working procedures and norms for project implementation and preparing the implementation strategy.

„ Conducting periodic monitoring and evaluation of IPDP.

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3. IPDF Implementation

3.1 IPDP Implementation Arrangements Negative impacts on the tribal community are not anticipated and if any occur, they should be limited. Responsibility for all indigenous peoples activities will be with the borrowing Local Self Government (LSG), which will either recruit a full time resource person with an appropriate background to manage IPDP activities or assign the responsibility to the Urban Poverty Alleviation (UPA) Cell within the LSG. The designated staff will coordinate all IPDP activities with the Tribal Extension Office (TEO) under the Department, ST Development.

Project consultants appointed by the borrowing LSG would undertake Initial Social and Poverty Assessments (ISPAs) to evaluate projects. Based on the IPSA, the Community Development Officer from Kerala Local Government Infrastructure and Financial Services Ltd (KLGIFSL)9 will recommend if an IPDP is required based on project impacts.

If an IPDP is recommended, the implementation of the IPDP will be linked with State’s existing administrative setup for tribal affairs (as explained above) with maximum participative orientation. The LSG Council shall authorize the consultants appointed for project design to prepare an IPDP, in consultation with the concerned LSG staff and the TEO. Once prepared, the IPDP should be approved by the Director, ST Development Department. Fund flows from KLGDF to the borrowing LSG is contingent on the Director, ST Development, approving the IPDP.

The implementation of IPDP under each project will be under the direct responsibility of the borrowing LSG. An NGO appointed by the LSG, through funds from KLGDF, will facilitate IPDP Action Plan implementation. The Community Development Officer (CDO) will monitor IPDP implementation periodically along with an Independent Agency appointed by KLGIFSL.

Monitoring and Evaluation (M&E) are critical activities in developmental activity/program in order to ameliorate problems faced by the implementers and develop solutions immediately. Monitoring will be a periodic assessment of planned activities providing midway inputs, facilitating changes, and giving necessary feedback on activities and the direction on which they are going. Evaluation will take place at the end of the project assessing whether the activities have actually achieved their intended goals and purposes. The M&E mechanism will measure project performance and fulfillment of the project objectives. The CDO with the help of the NGO will carry out internal monitoring. NGO will be thoroughly briefed about the ADB’s Policy on Indigenous People. An external agency will be engaged to monitor and proactively evaluate the IPDP objectives. The external agency will submit monthly progress reports and will be responsible for mid term and end term evaluation. Broadly, monitoring and evaluation system will involve:

„ Administrative monitoring: daily planning, implementation, trouble shooting, feed back and trouble shooting, individual village file maintaining, progress reports;

9 KLGIFSL is the Asset management Company managing the Kerala Local Government Development Fund (KLGDF).

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„ Socio-economic monitoring: case studies, using baseline information for comparing the socio- economic conditions, morbidity & mortality, communal harmony, dates for consultations, employment opportunities, etc.; and

„ Impact evaluation monitoring: living standards improved; access to natural resources; better bargaining power in the society; etc.

3.2 Roles and Responsibilities The project consultants appointed by the LSG will be principally responsible for development of the IPDP after its recommendation has been approved by KLGIFSL. The activities of the consultant will include:

„ Review and analysis of the IPSA, the proposed project design, and other supporting materials and in conjunction with the CDO determine additional information needed to develop a Resettlement Plan (RP);

„ Define surveys and other measures to gather data for development of the IPDP;

„ Develop the IPDP in conjunction with the CDO, TEO, and tribal members; and

„ Provide periodic oversight for implementation of the IPDP.

The NGO will ensure that the benefits from the IPDP flow to the tribal members in the most effective and transparent manner. The success of the NGO inputs will largely depend on their liaison with the tribal and other concerned government agencies involved in IPDP. Other involved agencies are expected to collaborate in the IPDP, based on instructions from the LSG Department and the SC/ST Development Department, in accordance with the policy framework. The role of NGO will be of a facilitator. The NGO will work as an interface between the borrowing LSG and the tribal families. Briefly, the activities of the NGO will be to:

„ Develop rapport with the tribal family/community;

„ Identify and strengthen existing social organizations among the tribal community;

„ Identify appropriate indigenous technology;

„ Help form community based organizations including Women Interest Groups, etc.;

„ Strengthen the role and status of women;

„ Involve the LSG in the implementation of IPDP so that family/community as a whole could participate;

„ Help in formulation of participative system of monitoring and evaluation of IPDP;

„ Assist tribal households in getting benefits from various government tribal specific and non tribal development programs;

„ Train the tribes, if necessary, in acquiring literacy and income-generation related schemes;

„ Provide appropriate field staff; and

„ Undertake any other responsibility that may be assigned by the LSG for the welfare of the affected communities.

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It is extremely important for successful implementation of IPDP to select an effective NGO committed to the tasks assigned. The payment to the NGO should be linked to performance of the tasks assigned and the time period. Their payment will be arranged as per contract agreement. The NGO will submit a monthly progress report. The monitoring and evaluation will also include the performance of the contracted NGO. Key quality criteria include:

„ Experience in direct implementation of programs in local, similar and/or neighboring districts;

„ Availability of trained staff capable of including tribal community into their programs;

„ Competence, transparency, and accountability based on neutral evaluations, internal reports, and audited accounts;

„ Integrity to represent vulnerable groups against abuses, experience in representing vulnerable groups, demonstrable mandate to represent local groups; and

„ Should have a clearer understanding to gender and poverty relations within the tribal community and have the ability to pay particular attention to the social and economic needs of women and tribes.

Consultation and Disclosure. The tribal family/groups will be consulted in preparing the IPDP. They will be informed of the mitigation measures proposed and their views will be taken into account in finalizing the plan. The plan will be translated into the tribal language and made available to the affected people before implementation. The tribal institutions and organizations in the affected area will also be involved in implementing the IPDP and in resolving any disputes that may arise. The borrowing LSG will ensure that adequate funds are made available for the plan.

KLGIFSL will requisition the services of an independent agency not associated with the project execution to carry out monitoring and evaluation of the project. The independent agency will also evaluate the performance of the NGO. The agency will report its findings simultaneously to KLGIFSL and the ADB. Monitoring will also include:

„ Reactions from the community;

„ Information from the community on plan preparation, implementation, time taken at each stage, etc.

„ Visits to sites to observe physical progress of plans;

„ Socio-economic status of the community;

„ Degree of community participation;

„ Usefulness and utilization of training imparted;

„ Utilization of funds; and

„ Behavior of NGO staff with the community.

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TA 4106 –IND: Kerala Sustainable Urban Development Project Project Preparation

Annex A Distribution of Scheduled Tribes in Kerala

Distribution of Scheduled Tribes in Kerala, 2001

Sl Schedule No. District General Schedule Tribes Tribes Total Male Female Total Male Female % Total Popu 1 Thiruvananthapuram 3,234,356 1,569,917 1,664,439 20,893 9,890 11,003 0.65% 2 Kollam 2,585,208 1,249,621 1,335,587 5,190 2,447 2,743 0.20% 3 Pathanamthitta 1,234,016 589,398 644,618 6,549 3,184 3,365 0.53% 4 Alappuzha 2,109,160 1,014,529 1,094,631 3,131 1,565 1,566 0.15% 5 Kottayam 1,953,646 964,926 988,720 18,340 8,972 9,368 0.94% 6 Idukki 1,129,221 566,682 562,539 50,973 25,510 25,463 4.51% 7 Ernakulam 3,105,798 1,538,397 1,567,401 10,046 5,079 4,967 0.32% 8 Thrissur 2,974,232 1,422,052 1,552,180 4,826 2,293 2,533 0.16% 9 Palakkad 2,617,482 1,266,985 1,350,497 39,665 19,990 19,675 1.52% 10 Malappuram 3,625,471 1,754,576 1,870,895 12,267 5,996 6,271 0.34% 11 Kozhikode 2,879,131 1,399,358 1,479,773 5,940 2,924 3,016 0.21% 12 Wayanad 780,619 391,273 389,346 136,062 67,394 68,668 17.43% 13 Kannur 2,408,956 1,152,817 1,256,139 19,969 9,793 10,176 0.83% 14 Kasaragod 1,204,078 588,083 615,995 30,338 15,132 15,206 2.52% Grand Total 31,841,374 15,468,614 16,372,760 364,189 180,169 184,020 1.14% Source: Census 2001.

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Annex B Scheduled Tribes in Kerala

[As amended by The Scheduled Castes and Scheduled Tribes Orders (Amendment) Act, 2002 (Act. 10. of 2003) Vide Part VII – Kerala – Second Schedule notified in the Gazette of India dt. 8.1.2003]

1) Adiyan

2) Arandan [Aranadan]

3) Eravallan

4) Hill Pulaya [Mala Pulayan, Kurumba Pulayan, Karavazhi Pulayan, Pamba Pulayan]

5) Irular, Irulan

6) Kadar [Wayanad Kadar]

7) x x x [Omitted by The Scheduled Castes and Scheduled Tribes Orders (Amendment) Act, 2002 (Act 10 of 2003) vide part VII – Kerala – in the Second Schedule]

8) Kanikaran, Kanikkar

9) Kattunayakan

10) Kochuvelan [Substituted by The Scheduled Castes and Scheduled Tribes Orders (Amendment) Act, 2002 (Act 10 of 2003) vide part VII – Kerala – in the Second Schedule]

11) x x x [Omitted by The Scheduled Castes and Scheduled Tribes Orders (Amendment) Act, 2002 (Act 10 of 2003) vide part VII – Kerala – in the Second Schedule]

12) x x x [Omitted by The Scheduled Castes and Scheduled Tribes Orders (Amendment) Act, 2002 (Act 10 of 2003) vide part VII – Kerala – in the Second Schedule]

13) Koraga

14) x x x [Omitted by The Scheduled Castes and Scheduled Tribes Orders (Amendment) Act, 2002 (Act 10 of 2003) vide part VII – Kerala – in the Second Schedule]

15) Kudiya, Melakudi

16) Kurichan [Kurichiyan]

17) Kurumans [Mullu Kuruman, Mulla Kuruman, Mala Kuruman]

18) Kurumbas [Kurumbar, Kurumban]

19) Maha Malasar

20) Malai Arayan [Mala Arayan]

21) Malai Pandaram

22) Malai Vedan [Malavedan]

23) Malakkuravan

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24) Malasar

25) Malayan, Nattu Malayan, Konga Malayan (excluding the areas comprise the Kasargode, Cannonore, Wayanad and Kozhikode Districts)

26) Malayarayar

27) Mannan (to be spelt in Malayalam script in parenthesis)

28) x x x [Omitted by The Scheduled Castes and Scheduled Tribes Orders (Amendment) Act, 2002 (Act 10 of 2003) vide part VII – Kerala – in the Second Schedule]

29) Muthuvan, Mudugar, Muduvan

30) Palleyan, Palliyan, Palliyar, Paliyan [Substituted by The Scheduled Castes and Scheduled Tribes Orders (Amendment) Act, 2002 (Act 10 of 2003) vide part VII – Kerala – in the Second Schedule]

31) x x x [Omitted by The Scheduled Castes and Scheduled Tribes Orders (Amendment) Act, 2002 (Act 10 of 2003) vide part VII – Kerala – in the Second Schedule]

32) x x x [Omitted by The Scheduled Castes and Scheduled Tribes Orders (Amendment) Act, 2002 (Act 10 of 2003) vide part VII – Kerala – in the Second Schedule]

33) Paniyan

34) Ulladan [Ullatan]

35) Uraly

36) Mala vedan (in Kasargode and Kannur districts)

37) Ten Kurumban, Jenu Kurumban [Inserted by The Scheduled Castes and Scheduled Tribes Orders (Amendment) Act, 2002 (Act 10 of 2003) vide part VII – Kerala – in the Second Schedule]

38) Thachanadan, Thachanadan Moopan [Inserted by The Scheduled Castes and Scheduled Tribes Orders (Amendment) Act, 2002 (Act 10 of 2003) vide part VII – Kerala – in the Second Schedule]

39) Cholanaickan [Inserted by The Scheduled Castes and Scheduled Tribes Orders (Amendment) Act, 2002 (Act 10 of 2003) vide part VII – Kerala – in the Second Schedule]

40) Mavilan [Inserted by The Scheduled Castes and Scheduled Tribes Orders (Amendment) Act, 2002 (Act 10 of 2003) vide part VII – Kerala – in the Second Schedule]

41) Karimpalan [Inserted by The Scheduled Castes and Scheduled Tribes Orders (Amendment) Act, 2002 (Act 10 of 2003) vide part VII – Kerala – in the Second Schedule]

42) Vetta Kuruman [Inserted by The Scheduled Castes and Scheduled Tribes Orders (Amendment) Act, 2002 (Act 10 of 2003) vide part VII – Kerala – in the Second Schedule]

43) Mala Panickar [Inserted by The Scheduled Castes and Scheduled Tribes Orders (Amendment) Act, 2002 (Act 10 of 2003) vide part VII – Kerala – in the Second Schedule]

FR Volume 8 – Indigenous People’s Development Framework PART 2 PAGE 11

FINAL REPORT

VOLUME 8 – SOCIAL AND ENVIRONMENTAL

SAFEGUARD FRAMEWORKS

PART – 3

ENVIRONMENTAL ASSESSMENT FRAMEWORK

TA 4106 –IND: Kerala Sustainable Urban Development Project Project Preparation

FINAL REPORT VOLUME 8 – SOCIAL AND ENVIRONMENTAL SAFEGUARD FRAMEWORKS

Contents

Part 3 – Environmental Assessment Framework 2

1. Introduction 2 1.1 Background 2 1.2 Institutional Framework for Projects to be Assessed 2 2. Environmental Assessment Procedures 2 2.1 Country’s Environmental Assessment and Review Procedures 2 2.2 Specific Procedures to be used for Projects assisted by the Fund 2 2.2.1 Responsibilities and Authorities 2 2.2.2 Environmental Criteria of Project Selection 2 2.2.3 Procedures for Public Consultation and Information Disclosure 2 2.3 Staffing Requirements and Budget 2

Annex A IEE of Sewerage and Sewage Treatment Project 2

Annex B IEE of Solid Waste Management and Disposal Project 2

Annex C IEE of Upgrading of Urban Roads Project 2

Attachment 1. Ambient Water Quality Standards 2

Attachment 2. Municipal Solid Waste (Management and Handling) Rules, 2000 2

Attachment 3. The Bio-Medical and Hazardous Waste: Management and Handling 2

Attachment 4. Noise Pollution Standards and Ambient Air Quality Standards 2

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List of Tables Table 2-1: Summary of Responsibilities and Authorities 2

Table 2-2: Summary of Environmental Criteria for Project Selection 2

Table 2-3: Types of Environmental Issues Identified in the Example IEEs for KLGDF Sectors 2

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List of Abbreviations and Acronyms

ADB Asian Development Bank ADS Area Development Society BOT Build Operate Transfer BOO Build Own Operate BOOT Build Own Operate and Transfer BPL Below Poverty Line CBO Community Based Organisation CDS Community Development Society CRZ Coastal Regulation Zone DFID Department for International Development DPC District Planning Committee DWCUA Development of Women and Children in Urban Areas EIA Environmental Impact Assessment EDII Entrepreneurship Development Institute of India EWS Economically Weaker Section GDP Gross Domestic Product GIS Geographical Information System GoI Government of India GoK Government of Kerala GRC Grievance Redressal Committee HRD Human Resources Development HUDCO Housing and Urban Development Corporation IEE Initial Environmental Examination IKM Information Kerala Mission IMA Indian Medical Association IMR Infant Mortality Rate IT Information Technology JBIC Japan Bank for International Cooperation KCZMA Kerala Coastal Zone Management Authority KocMC Kochi Municipal Corporation KolMC Kollam Municipal Corporation KozMC Kozhikode Municipal Corporation KSEB Kerala State Electricity Board KSPCB Kerala State Pollution Control Board KSRTC Kerala State Road Transport Corporation KSUDP Kerala Sustainable Urban Development Project KUDFC Kerala Urban Development Finance Corporation KUDP Kerala Urban Development Project KWA Kerala Water Authority LFS Land Fill Site Lpcd Litre Per Capita Per Day LSGD Local Self Government Department M&E Monitoring and Evaluation MFI Micro Finance Institutions MGP Modernising Government Programme MIS Management Information System

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MLD Million Litre Per day MoEF Ministry of Environment and Forests MSL Mean Sea Level NABARD National Agricultural Bank for Rural Development NATPAC National Transportation Planning and Research Centre NGO Non Government Organization NH National Highways NHG Neighborhood Group NRY Nehru Rozgar Yojna NSDP National Slum Development Program O&M Operation and Maintenance PAP Project Affected Person PAF Project Affected Family PIU Project Implementation Unit PMO Project Management Office PPP Public Private Partnership PPTA Project Preparation Technical Assistance PWD Public Works Department RAP Resettlement Action Plan RIS Repayment Information System R&R Resettlement and Rehabilitation SC/ST Schedule Caste and Schedule Tribe SHG Self Help Groups SJSRY Swarna Jayanti Shahari Rozgar Yojna STP Sewage Treatment Plant SWM Solid Waste Management TCPO Town and Country Planning Organization ThMC Thiruvananthapuram Municipal Corporation TMC Thrissur Municipal Corporation TRIDA Thiruvananthapuram Development Authority TUDP Trivandrum Urban Development Project UFW Unaccounted Water USEP Urban Self Employment Program UBSP Urban Services for the Poor VAMBAY Valmiki Ambedkar Awaz Yojna WTP Willingness to Pay

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Part 3 – Environmental Assessment Framework

1. Introduction

1.1 Background The Asian Development Bank (ADB) is providing assistance in setting up the Kerala Local Government Development Fund (KLGDF), which will be available to all Local Self Governments (LSGs) in the State to finance infrastructure rehabilitation and development.

Typical Initial Environmental Examinations (IEEs) for Sewerage / Sewage Treatment Plants, Solid Waste Management and Road Upgrade projects have been completed as examples of formats and are attached as Annex A to C. The following Environmental Assessment and Review Procedures have been prepared to put in place the procedures for environmental assessment and review of future projects to be financed through KLGDF. Due consideration has been given to ADB’s safeguard policies, and the relevant Indian national and state environment legislations.

1.2 Institutional Framework for Projects to be Assessed In order to provide Kerala’s local self-government institutions’ (LSGIs) additional resources for financing infrastructure projects, GoK with assistance from ADB is considering to establish a financial intermediary that will provide LSGIs with avenues for raising resources through non- budgetary sources (capital markets, infrastructure bonds, etc.); this option is more pronounced given the fact that Plan funds are inadequate to meet the growing demand for basic service delivery.

A separate ADB Line of Credit will flow into the Kerala Local Government Development Fund (KLGDF). It is proposed that the State Legislature will set-up KLGDF as a “Statutory Entity” of GoK and the Chief Minister of Kerala may chair the Fund. The KLGDF Board shall comprise members representing GoK, LSGIs and Financial Institutions. The KLGDF Governing Board will establish a Fund Management Company (known as the Asset Management Company) that will enter into a management contract with the Fund to operate the proceeds. GoK and LSGIs will have initial equity holdings in the Asset Management Company (AMC), which is to be called the Kerala Local Government Infrastructure and Financial Services Limited (KLGIFSL). It is suggested that the shareholding should be increased to involve Financial Institutions (FIs), Academic Institutions, etc.; GoK’s maximum holding in KLGIFSL will be limited to 26% of the equity.

KLGIFSL shall oversee project management and will undertake the following activities (i) infrastructure investment; (ii) project development and implementation; and (iii) institutional development assistance. The AMC will operate proceeds from KLGDF on commercial principles to be decided by the Management Board of KLGDF. Sources of fund will comprise GoK budgetary transfers, GoI fund transfers, loans/grants from bilateral / multilateral agencies, capital markets, etc. It is proposed that the ADB will provide the Fund a maximum line of credit of US$ 50 million.

The potential clientele of KLGDF shall comprise all LSGIs including the five municipal corporations and 53 municipalities. Sub-projects eligible for lending shall include water supply, sanitation, street lighting, solid waste management, roads, transportation, sites and services, area development, and

FR Volume 8 – Environmental Assessment Framework PART 3 PAGE 1 TA 4106 –IND: Kerala Sustainable Urban Development Project Project Preparation other remunerative and non-remunerative urban infrastructure project; KLGDF will not finance power and telecommunication projects. Eligible items for financing include civil works, services, goods and materials; KLGDF will not finance land acquisition and working capital costs. The projects proposed for funding by KLGDF will be primarily designed for rehabilitation and development of essential urban infrastructure facilities, covering the following five sectors:

1) Water Supply Rehabilitation and Upgrade, including rehabilitation, augmentation and expansion of existing water supply systems. 2) Sewerage and Sanitation, including provision of low cost sanitation, sewerage and sewage treatment. 3) Drainage Rehabilitation and Upgrade, including rehabilitation, upgrading and expansion of existing drainage systems. 4) Solid Waste Management and Disposal, including collection, transport and management of solid waste via segregation, composting, and sanitary landfill. 5) Urban Roads and Transportation, including rehabilitation and upgrading of urban roads and construction of complementary infrastructure such as footpaths, lighting and pedestrian underpasses.

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2. Environmental Assessment Procedures

2.1 Country’s Environmental Assessment and Review Procedures The environmental assessment and review process for any project included under this loan should address the requirements of Government of India’s (GoI) environmental legislation. In 1986, the Environmental (Protection) Act was promulgated as an umbrella legislation that supplements existing environmental regulations. This Act established a framework for environmental clearance, requiring that Environmental Impact Assessments (EIAs) be conducted for new development projects with a cost of Rs.1,000 million (approximately US $25 million) or more and capacity expansion/ augmentation with cost of Rs.500 million (approximately US$12.5 million). To rectify ambiguity regarding exactly what type of projects were subject to the Act, specific project types were listed in a 1994 EIA Notification issued by the Ministry of Environment and Forests which were updated in subsequent amendments.

The Notification does not require EIAs for urban environmental infrastructure projects (UEIP) because these are assumed to result in positive environmental impacts.

In addition to central government requirements, some states, regional development authorities and municipal corporations have established their own EIA requirements for projects under their jurisdiction. These requirements vary widely from one jurisdiction to another. Environmental clearance generally falls under the jurisdiction of the State Pollution Control Boards in each state. Some states require EIAs for certain types of UEIPs, others do not. Those that do require environmental clearance for UEIPs, generally specify sewage treatment and solid waste disposal. The situation is similarly mixed at the regional and municipal levels. In Kerala there is no specific recommendation on EIA requirement for UEIPs. However, every project requires “consent to establish” from state authorities (usually the Pollution Control Board) under the Water (Prevention and Control of Pollution) Act and the Air (Prevention and Control of Pollution) Act and authorisation under the Municipal Solid Waste (Management and Handling) Rules 2000.

Kerala State has a Coastal Zone Management Plan (Kerala Coastal Management Plan, 1995), which addresses the coastal strip 500m inland from high water mark and the foreshores (50m inland) of backwater lakes and wetland areas. Within these broad areas Coastal Regulation Zones (CRZs) are nominated depending upon the environmental assets, degree of development, degree of disturbance and coastal hazard (e.g. sea level rise) potential. The intention of the plan is for developments in these zones to be subject to regulatory/approval procedures by a nominated government authority. The Kerala Plan was approved in 1996. Developments in CRZs require the approval of Kerala Coastal Zone Management Authority/Central Coastal Zone Management Authority constituted by the MoEF.

The planning and operation of municipal solid waste facilities is covered by Municipal Solid Wastes (Management and Handing) Rules, 2000, under the Environment (Protection) Act, 1986, which was brought out by the Ministry of Environment and Forests (MoEF). These Rules are applicable to all urban local bodies. They prescribe a policy for waste management, which covers:

„ Collection and waste storage;

„ Segregation of waste;

„ Littering;

„ Transportation; and

„ Waste processing (compost plants, energy recover etc.).

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2.2 Specific Procedures to be used for Projects assisted by the Fund 2.2.1 Responsibilities and Authorities The Local Self Governments (LSG) will be responsible for preparing an initial environmental examination (IEE) or environmental impact assessment (EIA) for each project and a summary IEE (SIEE) or summary EIA (SEIA) for all infrastructure developments to be funded under the KLGDF in that town. The LSG will also be responsible for implementing the environmental management plan (EMP) stipulated in the IEE or EIA.

The LSG will submit the IEE/EMP or EIA/EMP to the KLGDF for review, and undertake the implementation of EMPs. The KLGDF10 will submit all EIAs and SEIAs to the ADB for review and approval. For projects requiring only an IEE, the KLGDF will (i) review the documents prepared by the LSGs, and (ii) as a preliminary phase, submit the first two IEEs/SIEEs to ADB for review and endorsement. After this preliminary phase the KLGDF will review and approve all IEEs. For all projects, the KLGDF will submit environmental documentation to the Kerala State Pollution Control Board/Kerala Coastal Zone Management Authority for in principle clearance. The LSGs will apply and obtain formal clearance from KSPCB/KCZMA for each project component. During project implementation, the KLGDF will supervise the LSGs on the implementation of EMPs.

The KLGDF will ensure that (i) projects are properly classified; (ii) the environmental assessment for projects are conducted in line with the requirements of ADB and the national and state governments, and (iii) the EMPs are appropriately implemented. Responsibilities and authorities of the implementing authorities and ADB at each stage are summarized in the Table 2-1 below.

Table 2-1: Summary of Responsibilities and Authorities

LSGs (through a Project KLGDF/KLGIFSL South Asia Department (SARD) Implementation Unit (PIU)) under ADB Conduct a rapid environmental Ensure that the projects are assessment (REA) for the selected categorized based on ADB’s subproject. Environmental Assessment If KLGIFSL or ADB find the project Guidelines (2003), as amended from does not comply with the ADB’s time to time, and are not in violation Guidelines, or Indian National or with National or State environmental State environmental requirements, requirements. reconsider and modify the project to be in compliance or categorize the project accordingly. This can be undertaken using LSG or other State Government staff resources or by commissioning suitable consultants. Prepare an IEE or EIA (containing an environmental management plan [EMP]) and summary IEE (SIEE) or summary EIA (EIA) for the project in line with ADB’s Guidelines (including public consultation) and GOI/GOK requirements. This can be undertaken using LSG

10 It is proposed that an Asset Management Company (AMC) called Kerala Local Government Infrastructure & Financial Services Limited (KLGIFSL) will manage the KLGDF; staff from KLGIFSL will oversee environmental assessments submitted by LSGs for specific projects and regularly monitor the EMP implementation.

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LSGs (through a Project KLGDF/KLGIFSL South Asia Department (SARD) Implementation Unit (PIU)) under ADB or other State government staff resources or by commissioning suitable consultants. Submit the IEE and SIEE or EIA and Review EIAs and SEIAs to ensure Review the EIAs and SEIAs, SEIA to the KLGIFSL for approval. that they comply with ADB reconfirm that the projects comply guidelines and submit to the ADB for with the ADB’s Guidelines, and review and approval approve the projects in consultation with Regional and Sustainable development Department (RSDD) of ADB. Review IEEs (including EMP) and Review the first two IEEs and SIEEs SIEEs for subprojects, confirm that submitted, reconfirm that the they are of adequate standard. As a projects comply with the ADB’s preliminary phase, submit the first Guidelines, and endorse KLGDF’s two IEEs (and SIEEs) to ADB to review. After this initial exercise the confirm KLGDF’s review. ADB will delegate IEE approval fully to the KLGDF The LSGs will apply and obtain After the preliminary phase (first two formal clearance, from IEEs) review IEEs (including EMP) KSPCB/KCZMA for each project and SIEEs for subprojects and components. exercise approval. After the reconfirmation of KLGIFSL Submit environmental documents to and/or ADB, disclose the EIA/SEIA the Kerala State Pollution Control or IEE/SIEE for public information as Board/Kerala Coastal Zone required by ADB’s Guidelines. Management Authority for in principle clearance. Based on the EMP for the project, Confirm that the environmental identify environmental monitoring monitoring activities and mitigation activities and mitigation measures measures are incorporated in the that need to be incorporated into the contractors’ contract documents. contractor’s contract document, and incorporate them in the document. Implement the EMP. Undertake Ensure that the EMPs, including all Review environmental aspects of the remedial action in consultation with proposed mitigation measures, are project in loan reviews. KLGIFSL, if there are any properly implemented. unexpected environmental impacts. Prepare quarterly reports including a Consolidate the quarterly reports Review the reports. Give necessary chapter on implementation of the and submit them to ADB. advice as needed to the LSG based EMP. Submit the reports to on the reports. KLGIFSL and thereon to ADB.

2.2.2 Environmental Criteria of Project Selection The project will comply with environmental requirements specified in ADB’s Environmental Assessment Guidelines and those listed in Section C above, including legislation and standards of the Government of India, and the State of Kerala. ADB’s Environmental Guidelines for Selected Infrastructure Projects and the example IEEs provided should be used to identify major environmental issues.

Table 2-2 summarizes environmental criteria for project selection. Table 2-3 provides a list of the types of environmental issues, which have been identified in the example IEEs for KLGDF sectors. These are not selection criteria but are an alert to issues, which will generally be important to their environmental assessment. Mitigation measures to avoid, minimize or offset impacts arising from these issues, where applicable, may be found in the sample IEEs (Annexes A, B and C) and in the KSUDP City component IEEs (DFR Vol. 5).

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Table 2-2: Summary of Environmental Criteria for Project Selection

Overall Selection Requirements Developments should avoid or minimize damage to valuable ecology and natural heritage areas: „ Avoid or minimize disturbance to the extent, depth, or hydrological balance of backwater wetlands; „ Avoid clearing or indirect destruction of mangroves; „ Minimise disturbance of mangroves; and „ Avoid adding to effluent load entering the lakes and river system. Developments should avoid disruption and dislocation to communities: „ Minimal resettlement or relocation should be required; and „ Avoid destruction / disturbance to historical / cultural items or values. Developments should avoid causing or exacerbating environmental hazards: „ Developments should not result in new or intensified drainage problems in other areas; „ Avoid development which could mobilise the acid reaction of acid sulphate soils; and „ Avoid development on flood-prone land or floodplain on the coastal strip. Flood mitigation / drainage improvement works will need to take account of downstream effects. Environmental Selection Criteria for Project Sectors Water Supply Rehabilitation

„ Avoid water use conflicts in abstraction of raw water for water supply with other beneficial water uses; „ Avoid siting raw water supply where upstream wastewater discharge from; „ Avoid hazard of land subsidence caused by excessive ground water pumping; „ Avoid over pumping of ground water, leading to salinization and ground subsidence; „ Avoid increase in production of sewage beyond capabilities of community facilities; „ Minimize dislocation or involuntary resettlement of people; „ Avoid excessive abstraction of water affecting downstream water users; and „ Ensure adequate availability of water at source. Sewerage and Sanitation

„ Avoid siting on or adjacent to environmentally sensitive areas (protected area, wetland, mangrove, estuarine, buffer zone of protected area, special area for protecting biodiversity, bay); „ Avoid loss or damage to historical/cultural heritage sites and areas; „ Avoid areas of incompatible land use (e.g. proximity of high density residential, schools, hospitals etc); „ Minimize dislocation or involuntary resettlement of people; „ Avoid impairment of downstream water quality due to inadequate sewage treatment or release of untreated sewage; „ Choose site where overflows can be handled to avoid impact on neighboring properties; and „ Choose site to minimize hazards to public health due to overflow flooding, and groundwater pollution due to failure of sewerage system. Drainage Rehabilitation

„ Avoid or minimize areas requiring relocation and resettlement for informal residential encroachments on drainage canals; and

„ Avoid delivering storm water volumes via rehabilitated system to receiving areas in excess of design or current absorption capacity. Solid Waste Management

„ Avoid siting on or adjacent to environmentally sensitive areas (protected area, wetland, mangrove, estuarine, buffer zone of protected area, special area for protecting biodiversity, bay);

„ Avoid loss or damage to historical/cultural heritage sites and areas;

„ Avoid areas not conforming to the MSW Rules 2000;

„ Avoid areas of high population;

„ Avoid/minimize resettlement or relocation;

„ Avoid deterioration of water quality as a result of contamination of receiving waters by leacheate from land disposal system;

„ Avoid contamination of ground and/or surface water by leach ate from land disposal system

„ Avoid land use conflicts;

„ Avoid sites where there is insufficient space for an adequate buffer zone around landfill site to alleviate nuisances; and

„ Design waste management collection and management practices to avoid health and safety hazards to workers from toxic gases and hazardous materials in the site.

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Roads Rehabilitation/Upgrades

„ Ensure space availability for road safety, residents, pedestrians and for installation of noise and air pollution mitigation measures;

„ Avoid loss or damage to historical/cultural heritage sites and areas;

„ Minimize disfiguration of landscape by road embankments, cuts, fills, and quarries;

„ Avoid encroachment on precious ecology (e.g. sensitive or protected areas);

„ Minimize alteration of surface water hydrology of waterways crossed by roads;

„ Minimize dislocation or involuntary resettlement of people living in right-of-way;

„ Avoid creating hazardous driving conditions where construction interferes with pre-existing roads; and

„ Design to minimize accident risks associated with increased vehicular traffic, leading to accidental spills of toxic materials and loss of life.

Table 2-3: Types of Environmental Issues Identified in the Example IEEs for KLGDF Sectors

Water Supply Rehabilitation

„ Design should ensure that original operational parameters of system are still relevant and that the rehabilitated system will fulfil project purpose; and

„ Appropriate environmental management of construction and operation. Sewerage and Sanitation

„ Protection of receiving water for managed discharge and overflow/bypass events;

„ Appropriate treatment of Coastal Regulation Zone;

„ Resettlement planning for roadside residential and commercial premises which might be affected;

„ Sludge handling and disposal;

„ Contaminated site management (from past sewage treatment uses); and

„ Appropriate EMP provisions for construction and operation. Drainage Rehabilitation

„ Design should ensure that original operational parameters of system are still relevant and that the rehabilitated system will fulfil project purpose;

„ Design should confirm absorption capacity of receiving areas for higher volumes from a rehabilitated system;

„ Environmental contamination from indiscriminate disposal of silt/spoil material; and

„ Appropriate environmental management of construction and operation. Solid Waste Management

„ Impacts associated with transport of wastes to the disposal site or treatment facility;

„ Degradation of aesthetic and property value loss;

„ Nuisance to neighboring areas due to foul odor and influx of insects, rodents, etc.;

„ Contamination of ground and/or surface water by leachate;

„ Deterioration of water quality as a result of contamination of receiving waters by leachate;

„ Pollution of surface and ground water from methane gas; and

„ Appropriate EMP provisions for construction and operation. Roads rehabilitation/Upgrades

„ Resettlement planning for roadside residential and commercial premises which might be affected;

„ Encroachment on and loss of natural heritage items (including loss of significant street trees);

„ Encroachment on and loss of historical/cultural/monument/areas;

„ Protection of sensitive receptors such as hospitals, religious places, schools/colleges from air/noise exposure;

„ Traffic disturbance and inconvenience to the local residents; and

„ Appropriate environmental management of construction and operation.

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2.2.3 Procedures for Public Consultation and Information Disclosure MoEF Notification (EIA Notification), 1994, as amended, 2000, requires an environmental clearance for those projects listed in its Schedule 1. Only for those projects, Public Hearing is required under the Notification. The schedule does not include any of the project sectors proposed for the KLGDF and therefore the public hearing under this Notification will not be invoked. Consequently, the public consultation and information requirements set out in the ADB’s Environmental Assessment Guidelines will be the primary focus for public consultation.

During the preparation of the IEE or EIA, public consultation will be carried out, and the comments from the public will be reflected in the final document. The SIEE/SEIA should be made available to the public, and the IEE/EIA should also be available upon request. Both the IEE and EIA, under the ADB guidelines, have strict requirements for Public Consultation and Information Disclosure, and these should be carefully followed so that the project will be complied with ADB policy in this area.

2.3 Staffing Requirements and Budget During project preparation, each LSG will undertake a REA for each project and, for those projects that are acceptable under the REA guidelines an IEE/EIA (and SIEE/SEIA for all projects in the LSG area) should be prepared.

An Environmental Specialist will have been recruited by the PMO to assist in the planning, design, implementation and monitoring of the KSUDP city components. This Specialist will also be available in this phase of KLGDF to assist LSG staff (or those seconded from agencies) in the preparation of these assessments. An estimate of time required for KLGDF involvement (and therefore cost at local rates) is 15 days (allow $2,000) per project taken through IEE (for an EIA under Category A, this would need to be expanded to 60 days (allow $10,000) per project). During project implementation the Environmental Specialist will: (i) review the IEE/EIA documents; (ii) inspect and ensure compliance with the mitigation measures proposed in the IEEs/EIAs and EMPs for all components funded by the KLGDF; and (iii) provide necessary training. This phase will require a budget equivalent to 12 person-months full time at local rates plus a travel allowance (allow $60,000).

Terms of reference for this position are presented in Annex E of Volume 5.

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Annex A IEE of Sewerage and Sewage Treatment Project

A.1 Introduction “The Sewage Disposal/Treatment Management” of {Municipality} is one of the important projects identified for assistance under the Kerala Local Government Development Fund (KLGDF), which will be available to all Local Self Governments (LSGs) in the State to finance infrastructure rehabilitation and development.

(Briefly outline here the process by which the project was identified and prioritised.)

A.2 Need for the Project Describe the existing sanitation situation. Use the 2001 census data to provide information on the number of households, which do not have access to any sanitation facilities and house-holds with pit latrines facilities.

Provide information on the demographic in terms of low, middle and higher income areas.

Where stakeholder and/or community workshops or meetings have been held, provide information on stakeholder perception of need and priority for the project.

A.3 Level of Environmental Assessment ADB's projects are assigned one of four categories (A, B, C, or F1) for environmental assessment depending on the significance of the associated environmental impacts of the various Project components. The category is assigned based on the project's potential for environmental impact.

Make a preliminary categorisation here on the basis of the magnitude and significance of potential environmental impacts. For example: “The proposed subproject is small in area coverage (<2.4Ha) and operational throughput (27 MLD). It uses fluidised aerobic bed technology, which produces treated water with 85-90% removal of biological oxygen demand (BOD) and total suspended solids (TSS). The site is owned by the LSG/state government agency and will require no/minimal relocation and resettlement of households“.

“A project is classified as Category B if its potential adverse environmental impacts on human populations or environmentally important areas, (e.g., wetlands, forests, grasslands, and other natural habitats) are less adverse than those of Category A projects. These impacts are site- specific, and few are irreversible. In most cases, mitigation measures can be designed more readily than for Category A projects” (ADB, 2003).

For Category B projects, the Bank requires an Initial Environmental Examination (IEE). An IEE is an initial examination of potential environmental impacts of the proposed activities of a project. The main objective of IEE is to initially screen whether the potential impacts are of such level that further studies or a full-scale EIA are warranted. If they are, the IEE should provide scoping for that exercise. If not, the IEE will identify any potential environmental impacts under different stages of the project implementation and prepare environmental management and monitoring plans for the

FR Volume 8 – Environmental Assessment Framework PART 3 PAGE 9 TA 4106 –IND: Kerala Sustainable Urban Development Project Project Preparation various sub project activities component. It should also describe the appropriate institutional framework to ensure proper implementation of the environmental safeguards.

A.4 Current Regulatory Provisions Environmental Impact Assessment EIA practice in India is relatively well established, though its application is not universal. The central government in India has created a foundation for environmental protection over the past three decades, beginning in 1974 with the enactment of the Water (Prevention and Control of Pollution) Act. A similar act addressing air pollution, the Air (Prevention and Control of Pollution) Act, was passed in 1977. These laws established baseline thresholds for water and air quality.

In 1986, a more comprehensive Environmental Protection Act was promulgated which established a framework for environmental clearance, requiring that EIAs be conducted for development projects with a cost of Rs.50 crore (approximately US $.12.5 million) or more. To rectify ambiguity regarding exactly what type of projects were subject to the Act, specific project types were enumerated in a 1994 EIA Notification issued by the Ministry of Environment and Forests which were updated in subsequent amendments. The earlier Notification identified 29 categories of projects for which proponents must conduct EIAs and receive a clearance from the central government. These include a range of manufacturing facilities, power plants, highways, ports, airports, dams and tourist development in coastal areas.

The Notification does not require EIAs for urban environmental infrastructure projects (UEIP) because these are assumed to result in positive environmental impacts.

In addition to central government requirements, some states, regional development authorities and municipal corporations have established their own EIA requirements for projects under their jurisdiction. These requirements vary widely from one jurisdiction to another. Environmental clearance generally falls under the jurisdiction of the State Pollution Control Boards in each state. Some states require EIAs for certain types of UEIPs, others do not. Those that do require environmental clearance for UEIPs, generally specify sewage treatment and solid waste disposal. The situation is similarly mixed at the regional and municipal levels.

In Kerala there is no specific recommendation on EIA requirement for UEIPs. However, every project requires “No Object Certificate” from state authorities (usually the Pollution Control Board) under the Water (Prevention and Control of Pollution) Act and the Air (Prevention and Control of Pollution) Act.

The key distinction between Indian central government and development agency decision making regarding EIAs lies in the threshold mechanism. For the Indian government, it is the project type and funding level (Rs.100 crores); for development agencies like ADB, it is the project type and the finding of the initial environmental examination.

Water Quality The most important regulatory concerns for the projects under the KLGDF concern the impact on the receiving water quality under the Water (Prevention and Control of Pollution) Act, 1974. The

FR Volume 8 – Environmental Assessment Framework PART 3 PAGE 10 TA 4106 –IND: Kerala Sustainable Urban Development Project Project Preparation prescribed standards for the different receiving water quality depending on the designated use of the receiving water are summarized in Attachment 1.

Coastal Management There is a Coastal Zone Management Plan for Kerala which addresses the coastal strip 500m inland from high water mark and the foreshores (50m) of backwater lakes and wetland areas. Within these broad areas, Coastal Regulation Zones (CRZs) are nominated depending upon the environmental assets, degree of development, degree of disturbance and coastal hazard (e.g. sea level rise) potential.

The intention of the plan is for developments in these zones to be subject to some sort of regulatory / approval procedures by a nominated government authority. As yet the legislative and institutional arrangements for this have not been completed, and the status of the plan is advisory.

A.5 Project Description Existing Status, Deficiencies and Sub-project Attributes Detail any existing sewerage system, its coverage and adequacy. Describe any sewerage plans by KWA, LSG, or donor-assisted programs, etc.

Discuss the feasibility of gravity and pumped systems and the areas they could serve. Discuss the availability and area requirements of land for sewage pumping stations and sewage treatment plants.

Proposed Sub-project Attributes Based on the needs analysis from the existing status of sewerage and sanitation infrastructures in the municipal area, set out the specifications of the project and its subcomponents, which have been identified and developed. Table A-1 provides, as an example, a list of the proposed components for upgrading sewerage and sanitation in used in an IEE for the KSUDP. Table A-1 Proposed Sub-Project Components

Sl. No. New Sewage Disposal and Treatment Proposals 1. Zone A; Commissioning of old 17 km UGSS line and construction of new sewer lines with required pumps, DG Set, pressure main etc. 2. Zone B: New sewer lines along with required infrastructure such as pumping stations, DG Set, pressure main etc. 3. New STP (based on FAB technology) for Zone-A, B of 27 MLD (no land requirements as 90 acres of KWA land is available capacity) 4. House hold sewage system of TPPFL type under NSDP (house-hold covered 1400) 5. Capacity built up for O & M activities by providing equipment support.

Project Sites Provide site plans for any proposed underground sewerage system and/or STP.

A.6 Environmental Setting Regional Environmental Setting The regional environmental context for the Kerala coastal plain has been examined during the feasibility considerations for the KSUDP. The following regional environmental description can be adapted to focus on the particular district area under consideration.

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Kerala is a strip of land roughly 550 km long and 80 km at its widest point, bounded by the Western Ghats on the eastern side and the Arabian Sea to the west. It is divided into three geophysical divisions:

„ Coastal plain (lowlands);

„ Midlands; and

„ Highlands. The highlands are the southern extension of the Western Ghats and its higher foothills. Although seriously depleted by forestry operations (largely illegal) and clearing for farming, valuable forest remnants remain. These include:

Tropical wet evergreen and semi evergreen 3,450 ha Moist deciduous 4,100 ha Dry deciduous 100 ha Sholas 70 ha Natural Grasslands 130 ha These remaining areas provide habitats for a wide variety of flora and fauna and include one Biosphere reserve, two National parks and 12 Wildlife sanctuaries.

These protected areas in total make up 2,324 ha or 29.6% of the naturally forested area. They also comprise the highest floristic endemism in India (with 33% endemism of flowering plants). These areas include three areas designated as “Biodiversity Hotspots” (Pushpangadam et al, 1997):

„ Agasthyanala Range – 5 Wildlife Sanctuaries;

„ Anamalai High Ranges – Eravikulum NP and 7 Wildlife Sanctuaries; and

„ Silent Valley / Wyanad National Park. Since the forests are a mega-biodiversity center for plants, and since animal diversity is ultimately linked to plant diversity, it can be expected that fauna diversity is also high. The fauna inventory for Kerala is not complete, but records to date indicate that:

„ there are 14 mammal species (including the lion-tailed macaque, Nilgiri langur, Malabar civet, and gaur) which are endemic to the Western Ghats (of the 75 species recorded).

„ there are 475 species of birds recorded with 10 endemic species restricted to the Ghats.

„ the freshwater hill streams and rivers of Kerala support 196 species of fish. 25 are endemic species, many of which are rare and endangered. The cleared, sub-mountainous areas of the highlands are important for agriculture, supporting tea, coffee, cardamom and turmeric crops and, at a lower level, pepper, rubber, and ginger.

The midlands comprise the undulating country covered by lateritic soils and crossed by major rivers. This division represents about 42% of the land area (between the 7.5 and 75m contours) and supports 59% of the population.

The midlands are predominantly agricultural. Crops in the upper midlands are tapioca, banana, pepper, upland rice, vegetables, cashews, and fruit trees. The lower midlands mainly grow rice (2 crops per year) and in the summer fallow vegetables, sweet potato and pulses.

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Lowlands This is the important region for the Project because all project cities are located in this geophysical division. It is the coastal plain below the 7.5m contour and supports 26% of the population.

The zone is characterized by marine landforms of beach ridges, beaches, swamps and lagoons. The coastal wetland areas support rainfed and irrigated rice. Coastal drylands support coconut/tapioca/cashew plantations. Reclaimed backwater areas are used for coconut plantations.

Climate The lowland areas have 4 typical seasons; the dry weather from December to February, hot weather from March to May, South-West and North-East monsoon prevailing from June to November. The area has a moderate climate with the average annual temperature of 270C where as annual temperature range in Kozhikode district is 27.8 to 330C as a maximum and a range of 22.3-26.10C as a minimum. The South-West monsoon provides heavy and reliable rainfall with the average annual rainfall about 3100 mm, within an average of 115 rainy days.

The monthly mean value of relative humidity varies from 75-96% in the morning (08.30 hrs) to 65- 91% in the afternoon (17.30 hrs). Excessive rain during June to August causes frequent floods in the rivers and canals in the area, submerging low-lying areas.

Surface Geology and Soils The western extent of Thiruvananthapuram and Kozhikode and the whole of Thrissur are on laterite soils. These soils on moderate slopes are very deep, loamy to clayey. Erosion potential is high, since the soil is light textured and poorly to imperfectly drained (Varghese et al, 1993). Only rarely are agronomic practices designed to minimize erosion followed. Soil loss from agricultural areas on lateritic soils in the state can be as high as 40t/ha/yr.

The remainder of Thiruvananthapuram and Kozhikode and the whole of Kollam are on coastal alluvium and riverine alluvium. Both are mildly acidic, deep profiled and very porous. They are also mildly to strongly saline. Soil salinity not only renders water unsuitable for drinking/domestic uses, but also affects paddy production. Salt tolerant rice species grown in the state can tolerate salt concentrations up to 250ppm, but salinity levels in these soils can rise well above this.

Kochi is on marine alluvial and acid saline soils. The acid saline soils are very acidic when dry (pH 3-4) but acidity decreases when the soils are kept submerged. During June-November soils are continuously submerged by rainwater. Acidity is due to oxidation of sulphur compounds derived from organic sources and marine deposits.

Water Resources Rainfall in Kerala concentrates on the high ranges of the Western Ghats. Because the coastal plain is narrower in the north of the state, with the highlands in closer proximity to the coast, the rainfall is highest on the north coast and generally decreases towards the southern end of the coast:

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Kozhikode 3,400 mm/yr Kochi 3,200 mm/yr Thrissur 3,200 mm/yr Kollam 2,400 mm/yr Thiruvananthapuram 1,800 mm/yr

Surface water drainage is predominantly westward from the mountains (41 rivers out of a total of 44). They are monsoon fed and fast flowing. Therefore, in periods of high rainfall the high volume of water in the rivers draining the highlands supplement the in-situ rainfall – making the relatively lower rainfall areas of Kollam and Thiruvananthapuram as susceptible to flooding as the higher rainfall northern coastal cities.

Floods in Kerala have been increasing in severity because of land use changes and ill-planned flood protection works which move the impact downstream. A major flood in 1992 in south Kerala resulted in 75 deaths, more than 7,000 houses lost, and Rs1,000 crore in damages.

The annual runoff yield is 77,900 million m3, however not all runoff is usable for water supply. In the thickly populated coastal belt, water storage space is not available and in the summer salinity intrusion makes the waters of the coastal reaches of rivers unusable. “The entire runoff below the 15m contour may be considered unutilisable. In the midlands between 15m and 75m contours experience has shown that about 50% of the runoff may be considered utilizable directly or through storage..” whereas most of the runoff in the highlands is usable (Nampudripad, 1996).

Groundwater Resources Large groundwater resources exist in the coastal zone. These comprise three deep aquifers:

Warkallai Used for drinking water in Alleppey and Kuttanard – in south Kochi district Kollam Deeper than Warkallai aquifers and underlying them in parts Vaikom Large aquifer, between Kollam and Kayamkulam in the north. Brackish in its northern reaches.

In addition, coastal occur throughout the coastal strip under water table conditions are tapped by open wells, at a density of 100-250 wells/km2.

Combination use of both resources is only 30% of the total underground resource. Factors limiting the utilization, and seriously reducing the amenity of that which is utilized are:

„ Low pH;

„ High Fe;

„ High hardness;

„ High TDS; and

„ Salinity. The width of the sensitive zone for sea water intrusion into the groundwater of the coastal zone ranges from 100m to 500m inland.

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Overuse of groundwater has permanently lowered the water table and allowed subsequent intrusion of salinity into coastal aquifers. This is mainly due to bore wells withdrawing water directly from the water table rather than from the deeper aquifer. Sand quarrying from river beds throughout the coastal strip has also contributed to lowering of the water table.

Water Pollution The most polluted river in Kerala is the Periyar, which flows through the Kochi area. The major pollution source is discharge from local industries, including:

„ Sulfates;

„ Phosphates;

„ Ammonia;

„ Fluorides;

„ Heavy metals; and

„ Insecticides. Coir retting is also the source of elevated BOD levels in the waters.

In summer, barrages in some branches of the river are used to prevent upstream penetration of salt water. But continued wastewater discharge into these branches downstream of the barrages is therefore not flushed and pollutants concentrate to high levels resulting in large fish kills.

Also in Kochi, the Vernabanad wetland system receives industrial and domestic effluent from Kochi and other smaller towns. Total Dissolved Solids in the wetland have been recorded at >54,000 mg/l.

Paddies surrounding the backwater system also contribute large amounts of nitrogen, phosphorus and potassium through runoff from fertilizer application (at average rates of 500 t/ha/yr). More than 46 different formulations of pesticides amounting to 1,000 tonnes are used in this area every crop season. “The excessive pesticides and insecticides that leach out into the waterways, the stagnation of water caused by the construction of bunds in Vernbanad Lake to arrest salinity, unsanitary conditions prevailing in the area due to lack of garbage and excreta disposal arrangements have all contributed to make the water bodies in the area grossly polluted” (Nair, 1996).

Other backwater systems suffering similarly include:

„ Chalujar;

„ Sasthamkotta Lake; and

„ Pookot Lake.

Fisheries Resource Inland fisheries are made up of estuarine and freshwater fisheries. Estuary fisheries comprise:

„ Estuaries;

„ Backwaters;

„ Brackish water lagoons;

„ River mouths; and

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„ Adjoining paddy fields.

“The vast stretch of brackish water lakes that exists along the coastal belt of Kerala consists of 30 identifiable backwaters. They constitute nearly 70% of the inland water resource of the state and are considered to be a life support system for about 2 lakh population belonging to more than 32,000 fisher families” (Nair, 1996).

It is estimated by Nair (Nair, 1996) that around 50,000 fisherman work full or part-time in these brackish waters. The take is 80% prawns (both marine and freshwater species). The fish are predominantly mullet, horse mackerel, pearl spot, milk fish, grassy perchlet, and anchovy. Clams, mussels and backwater oysters are also collected. All inland fisheries production is consumed within the state of Kerala (Jayakumar et al, 2002).

Prawn raising in the adjoining paddy fields is a unique feature of the inland fisheries of Kerala. Areas used for this purpose are in the vicinity of Kanayamur, Parur, Mukundapuram, Kodungallur, Vaikom, and Shertalai and total 12,900 ha.

The continued productivity of backwaters is threatened by:

„ Reclamation of areas for agriculture;

„ Deforestation – mangrove clearing;

„ Industrial effluents;

„ Retting of coconut husks;

„ Pesticide use in adjoining agricultural areas;

„ Sewage;

„ Noxious floating weeds (Salvinia and Eichornia); and

„ Dredging for lime shells and navigation. Draining, filling and reclamation of backwater areas, construction of bunds and salt-water exclusion projects and extensive dredging operations for non-fishery projects has progressively damaged the ecosystem. “Entire backwater systems and other identified areas adjacent to the backwaters and sea need to be protected as potential areas for aquaculture and similar operations for the future development of fisheries.” (Nair, 1996).

Mangroves Kerala mangroves have high species diversity (32 different mangrove species), although two species have disappeared over the last decades, and more are threatened.

The mangrove ecosystems are biologically rich. The zooplankton strata are represented by almost all groups of aquatic forms like protozoans, sponges, carnivorous coelenterates (clenophora, hydromedusae, and polychaetes). Fishes are plentiful. Crustaceans include crabs, shrimps and barnacles; molluscs include clams, oysters, mussels and their larvae. Decapod crustaceans like the Uca and Scylla are numerous. Otters, water snakes, tortoises, resident and migratory birds water fowls form the characteristic vertebrate fauna.

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Indiscriminate reclamation of backwater wetlands during the past few decades has reduced the extent of mangroves from 700 km2 to only 50 km2. The majority of the remaining mangroves stands are distributed, unevenly, among the districts containing the five project cities:

Kozhikode District 3,500 ha Thrissur District 25 ha Ernakulam District (Kochi) 250 ha Kollam District 15 ha Thiruvananthapuram District 15 ha Total 3,805 ha Coastal Erosion Three hundred and seventy kilometers of the Kerala coast are subject to erosion. Beach abrasion rates are as high as 5.2 m/yr (at Chellanen) and 3.1 m/yr (at Thattappally). These are also small areas of accretion, which offset this trend but do not balance it.

A.7 Social and Cultural Resources Information on social and cultural resources for the Local Self Government area should be considered here in as much as it influences the planning for infrastructure facilities. For example, population and communities (e.g. numbers, locations, composition, employment), health facilities (this may have a significant impact on solid waste management impact, management and design), education facilities, socio-economic conditions (e.g. community structure, family structure, social well being).

Items of cultural heritage, resources for traditional purposes, structures or sites that are of natural, historical, archaeological, scientific, or architectural significance should also be identified.

Several areas of outstanding natural beauty along the Kerala coasts have been nominated in the Coastal Management Plan (1995), but their boundaries cannot be drawn at present, as no study has been undertaken by the concerned departments to specifically locate them. However, there are some cliff areas, which can be demarcated under this category (e.g. Chowar, Vizhinjam, Kovalam, Varkala, Ezhimala etc).

Areas of Outstanding Natural Beauty

Place name District Remark Puvar south Thiruvananthapuram Wide beach, back water Pulinkudi-Kovalam Thiruvananthapuram Rocky cliff, extensive stable beach Sankumugham Thiruvananthapuram Beach, archaeological sites, palace, park Veli Thiruvananthapuram Tourist Village, backwater, beach tourism, park Papanasam-Varkala Thiruvananthapuram Cliff & beach, artesian springs, temple Edava Kollam Barrier beach & backwater at close proximity, coconut grove Kappil Kollam Barrier beach, extensive backwater, coastal road Pozhikkara Kollam Pozhi (permanently connected to sea) with canal, temple, coconut groves Mundakkal Kollam Park, extensive stable beach (Jonnapuram) Thirumullavaram Kollam Bay, beaches, coconut groves, temple, pond Palliyamturuth Kollam Uninhabited island (islet) with beautiful backwater surroundings

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Place name District Remark Alappuzha Alappuzha Extensive stable beach, park, pier suitable for recreational fishing Fort Kochi Ernakulam Wide beach backed by backwater Cherai Ernakulam Extensive beach with sea and backwater frontage, park Bekal Kasargod Fort on high cliff, wide beach around backwater Kottikulam Kasargod Promontory and pocket beach around

List of Heritage areas along the Kerala Coast

Place name District Remarks Sankumugham Thiruvananthapuram Temple Vettukad Thiruvananthapuram Church Papanasam Thiruvananthapuram Pozhikkara- Paravur Kollam Church Neendakara Kollam Church Arthungal Alappuzha Church

The Archaeology Department has declared several areas as historically important. They are listed in the table.

List of historical areas (source Dept. of Archaeology)

Place name District Remarks Kottukal Thiruvananthapuram Vizhinjam Bhagavathy temple Sankumugham Thiruvananthapuram Palace, mandapam Anjengo fort Thiruvananthapuram Fort Thangasseri Kollam Fort & lighthouse Karunagapally Kollam Buddha image Ambalapuzha Alappuzha Buddha image, Karumadi Vaikom Kottayam Temple with fine panels of mural paintings Mattancheri Ernakulam St. Francis Church Chennamangalam Ernakulam Granite stone, Hebrew inscriptions Chennamangalam Ernakulam Pallipuram fort Chennamangalam Ernakulam Manjapra temple Chennamangalam Ernakulam Kovilakam- palace site of Raja of Villaravattath Chennamangalam Ernakulam Vaipikkota Seminary built by Portuguese in 18th century Parur Ernakulam Stone inscription Chemanchery- Kozhikode Kappad pillar-monument of the arrival of Vasco de Gama Quilandy Bekal Kasargod Bekal Fort

A.8 Developmental Setting The developmental context of the site should be briefly discussed: for example; neighboring infrastructure facilities (e.g. water supply, flood control), transportation (roads, harbors, airports, and

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A.9 Site Environment Settings The site environmental setting should focus on those aspects of the site and its immediate surroundings which will influence the development of the site or be impacted by site development.

Land Use / Land Cover This discussion should focus on the biophysical features of the site which will be obliterated or damaged by the development and their value.

The distributions of land cover types on the site itself should be presented, for example, as follows:

Land Cover Area (hectares)

Local Climate The local climate will be important for site drainage and odors. Any peculiarities which distinguish the site from the climatic norms of the surrounding area (e.g. winds and exposure) should be described.

Surface geology Local surface geology should be described here. Areas of reclamation, fill or other disturbance should be identified.

Terrain and Drainage Many candidate sites for KLGDF developments will be low lying. Local elevation should be reported and the terrain pattern, especially direction and pattern of drainage, should be described. Identify the watershed within which the site is located and its relationship to the drainage of neighboring areas.

Surface Water Quality Describe the local surface water resources focusing particularly on the receiving water for the proposed STP discharge. Identify current and any future planned uses. Present water quality data for receiving water (baseline). List current data for: BOD, TSS and Total coliform.

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Groundwater Resources

Describe the resource, including the degree to which groundwater is utilized locally, and the quality of groundwater in the vicinity of the site (if available).

A.10 Screening of Potential Environmental Impacts and Mitigation Measures The main purpose of projects assisted by KLGDF is to improve urban environmental conditions. As such, there are many environmental benefits to the proposed works. This section, however, focuses on the identification of potential adverse environmental impacts short and long term. Mitigation measures are proposed with recommended monitoring actions to be conducted during implementation to minimize any adverse environmental impacts. The mitigation measures will form the basis for an environmental monitoring plan during the implementation stages of the project.

The screening for environmental impacts is broken down into four categories, coinciding with the major phases of the project: ƒ Location impacts: those impacts associated with site selection, and include loss of on-site biophysical array and encroachment either directly or indirectly on adjacent environments. It also includes impacts on people who will lose their homes or livelihood by the development of that site. ƒ Design impacts: those impacts arising from project design, including technology used, scale of operation/throughput, waste production, discharge specifications, pollution sources and ancillary services. ƒ Construction impacts: those impacts caused by site clearing, earthworks, machinery, vehicles and workers. Construction site impacts include erosion, dust noise and wastewater. ƒ O & M impacts: those impacts arising from the operation and maintenance activities of the infrastructure facility. These include management of discharges, waste production and disposal, and occupational health and safety issues.

For the proposed project, the magnitude and significance of predicted impacts are described for each of the four categories of impact. For each impact, a mitigation measure should be identified. Mitigation measures can be:

„ safeguards to avoid the impact,

„ measures to minimize it, or

„ features provided to offset the impact. An impact assessment and identification of mitigation measures typical for sewerage and sewage treatment projects in cities of the Kerala coastal plain are as follows:

Location

Impacts Mitigation Measures Loss of on-site ecology or natural feature Control of site layout to avoid or minimize loss of natural features Loss of household residences, business Arrange site layout to minimize dislocation of community. premises, or livelihood (gardens, agricultural Preparation and implementation of a Resettlement Plan land) which conforms to the stipulations and guidelines

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Impacts Mitigation Measures provided in Asian Development Bank’s Policy on Involuntary Resettlement. Loss of amenity (aesthetics, property values) Provision of a buffer zone on vulnerable perimeters with to neighbours earthworks and landscaping to provide physical separation and a visual screen for the development. Impairment of historical/cultural Control of site layout to avoid or minimize loss of natural monuments/areas and loss/damage to these features sites Encroachment on backwater areas or Amend layout to avoid loss of mangroves. wetlands Amend layout to avoid any filling of backwater areas. Minimize intrusion on backwater foreshore areas

Design

Impacts Mitigation Measures Overflow/bypassing hazards leading to Design must provide for high flows/volumes. Sewerage contamination of environment plus flooding system to separate storm water flows. STP should be designed such that emergency overflow/bypass flow can be passed directly to a waterbody with appropriate absorptive capacity (for nutrients and volume). Inadequate protection of receiving waters Employ treatment technology to ensure consistent leading to impairment of downstream discharge standard of: beneficial uses BOD <30mg/l TSS <50mg/l Fecal coliform <1000/100ml Inadequate methods for sludge disposal Design to include appropriate sludge management and leading to environmental pollution disposal. A sludge management plan will be produced which includes provisions for on-site handling; maximized re-use of sludge (for agricultural manure or composting); locations and prohibitions on the disposal of surplus sludge. Inadequate management of industrial wastes Investigate make-up of sewage load. Identify potential discharge to sewers for intractable industrial waste to enter sewage and if necessary design appropriate cut-outs in sewerage infrastructure.

Construction

Impacts Mitigation Measures Silt runoff from construction operations Include construction site management provisions in causing soil erosion plus damage to water contracts for both STP construction and laying/rehabilitation quality/land values of sewerage and pumping stations to cover: Site preparation, which minimizes clearing and disturbance to adjoining vegetation and natural areas. Protection of unstable soil surfaces from high velocity runoff (interception drains and temporary stabilization) Siting of construction material stockpiles and access routes to avoid and disturbance to adjoining vegetation and natural areas. Disposal of construction wastes.

Road blocking and/or increased traffic during Include construction site management provisions in construction of facilities and contracts for both STP construction and laying/rehabilitation

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laying/rehabilitation of sewerage carriers of sewerage carriers and pumping stations to cover traffic management and nuisance minimization Noise and dust from construction activities Include construction site management provisions in contracts for STP construction and laying/rehabilitation of sewerage and pumping stations to cover dust and noise management (including water spraying and scheduling of activities).

Operation and Maintenance

Impacts Mitigation Measures Hazards to health/safety of workmen Operational management will include Occupational Safety Plan for workforce which will include: Provision of appropriate protective gear to workers on the site. Training for workers on site dangers, including potential health effects from sludge. Sewer trench cave in hazards Quality assurance of work to ensure appropriate materials and site finishing/drainage

Mitigation measures should be summarized in a table with the following format. Since the specific design, construction and operational activities of the project activities are not well defined, proposed measures will need to be revised along with the accompanying environmental management plan prior to the implementation of the project.

The institutions responsible for implementing the proposed mitigation measures are taken from those identified under Implementation Arrangements and Capacity Building by KSUDP. The cost estimates are mainly indicative of the effort required over the period of the project. Prior to implementation, further review of these cost estimates will be required.

Project Activity Impact Potential Proposed Institutional Preliminary No. Environmental Mitigation Responsibilities Costing Impacts Measures Location L1 L2 L3 etc Design D1 D2 Construction C1 C2 Operation & OM1 Maintenance OM2

A.11 Environmental Monitoring Plan Tables A-2 provides a summary of recommended environmental monitoring programs based on responses to potential adverse impacts listed in Section 5.

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Table A-2

Impact Mitigation Parameters Location Measurements Frequency Responsibilities Costs No. to be Measure Monitored

Institutional Requirements for Environmental Management The Local Self Governments (LSGs) will be responsible for preparing the initial environmental examination (IEE) for each project and a summary IEE (SIEE) for all infrastructure developments to be funded under the KLGDF in that town. The LSG will also be responsible for implementing the Environmental Monitoring Plan stipulated in this IEE (presented as Table 6.1 above).

The LSG will submit these environmental assessment and management documents to the KLGDF for review, and undertake the implementation of EMPs. The KLGDF will (i) review the documents prepared by the LSGs, (ii) consolidate documents submitted by the LSGs and submit them to ADB for review, and (iii) supervise the LSGs on the implementation of EMPs.

It is proposed that the KLGDF will be managed by an Asset Management Company (AMC) called Kerala Local Government Infrastructure Services Finance Company Ltd. (KLGISFL); staff from KLGISFL will oversee environmental assessments submitted by LSGs for specific projects and regularly monitor the implementation of mitigation measures.

A.12 Community Consultation and Information Disclosure This section should describe the stakeholder consultation processes undertaken during the identification, feasibility planning, and initial design of the sewerage and sewage treatment project. It should also document the process of informing the community about the environmental safeguards of the project.

The community consultation and information disclosure program undertaken for KSUDP in the five cities is presented below as an example.

During the Project scoping exercise considerable dialogue was had with the Municipal Corporation Mayors and technical staff as well as state line agencies. At the Mid Term Workshop, as part of the working group session, the City Mayors and officers were requested to proportion any funding that might be available for infrastructure improvements as an indicator of civic priority. The results assisted the prioritization of subproject selection.

Community priorities were examined through a Baseline Socio-Economic Survey, which was undertaken in all 5 Project cities. The 1% sample household survey included questions on municipal service delivery and priorities for improvement.

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Community Municipal Service Priorities

City / Sector Social Water Sewerage / Urban Solid Waste Roads & Category Supply Sanitation Drainage Management Transport Thiruvananthapuram Poor 1 2 3 4 5 Non-Poor 4 1 2 3 4 Kollam Poor 1 2 3 4 5 Non-Poor 3= 1 3= 2 4 Kochi Poor 1 2 3 4 5 Non-Poor 1 2 3 4 5 Thrissur Poor 4 1 2 3 5 Non-Poor 2 1 3= 3= 5 Kozhikode Poor 1 2 3 4= 4= Non-Poor 1 2 3 4= 4= Clearly, the community priority is for improvements in water supply, sewerage/sanitation and urban drainage, in that order.

Where subprojects involved relocation or resettlement of on-site residents or commercial premises, community stakeholders were initially consulted as part of the resettlement planning process. This is reported in {to be included in Annex}.

The environmental safeguards and impact mitigation measures, which have been formulated for the subproject via the EIA process were presented to a community meeting in {Municipality} (section to be completed after meeting). An important community consultation and information disclosure exercise following on from this will be a program of “Public Awareness and Benefit Monitoring”.

A domestic Public Relation Consultant (PRC) firm will be employed to make the public aware of the short-term inconveniences and long-term benefits of the project in order to gain full support of the beneficiaries for the project. Beneficiaries will also be made aware of preventive care to avoid environmental health-related hazards.

In addition, a domestic Benefit Monitoring and Evaluation Consultant (BMEC) firm will be required to help in generating baseline data which will be monitored to assess impact of the Project and providing guidance for mid course correction, if required, and assess benefits on commissioning of the Project.

A.13 Conclusions Findings The screening process for potential environmental impacts for Sewerage and Sewage Treatment Project in {Municipality} has found that the positive impacts of the project far outweigh the potential adverse impacts. All potential adverse impacts can be mitigated by measures identified in the Environmental Management Plan. Since this IEE has not identified any significant environmental issues, no further EIA studies are recommended for this project.

Any additional studies or special mitigation issues, which significantly affect the project concept should be described here.

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Conclusion The following is a conclusion that the proposed development will cause no significant environmental impact (taking account of the recommended mitigation measures) and that the Category B classification is appropriate. Where additional studies are required, these should be stated in the conclusion. All proposed works for the Sewerage and Sewage Treatment Project in {Municipality} would greatly improve the overall environmental quality of the Municipality. In particular, the development of a high performing sewerage system will reduce pollution load on surface and groundwater resources in the Municipality with immediate benefits to public health. It will also reduce the amount of high BOD wastewater entering estuarine areas from domestic waste runoff with subsequent impact on marine ecosystems. The Project is considered not to have significant environmental impacts and classification B is considered appropriate.

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Annex B IEE of Solid Waste Management and Disposal Project

B.1 Introduction “The Solid Waste Management and Disposal” of {Municipality} is one of the important projects identified for assistance under the Kerala Local Government Development Fund (KLGDF), which will be available to all Local Self Governments (LSGs) in the State to finance infrastructure rehabilitation and development.

(Briefly outline here the process by which the project was identified and prioritised.)

B.2 Need for the project Describe the existing solid waste management and disposal situation.

Use the 2001 census data to provide information on the population and the current amount of waste generated and projected over the next 5 to 10 years.

Provide information on how much waste is currently collected and the collection procedure and disposal arrangements

Describe the fate of uncollected garbage.

Where stakeholder and/or community workshops or meetings have been held, provide information on stakeholder perception of need and priority for the project.

B.3 Level of Environmental Assessment ADB’s projects are assigned one of four categories (A, B, C, or F1) for environmental assessment depending on the significance of the associated environmental impacts of the various Project components. The category is assigned based on the project's potential for environmental impact.

Make a preliminary categorisation here on the basis of the magnitude and significance of potential environmental impacts. Many MSW projects under the fund will focus on increasing efficiencies in collection and converting existing land dumping sites to scientific landfill operations. Similarly, enhancements are often proposed for existing composting plants. In these instances, a case for classifying the project as Category B is readily made.

Where the landfill site is a new site or where a new composting plant is to be developed the anticipated scale and magnitude of the work, as well as the environmental attributes of the sites will need to be carefully considered to determine the appropriate environmental assessment category

“A project is classified as Category B if its potential adverse environmental impacts on human populations or environmentally important areas, (e.g., wetlands, forests, grasslands, and other natural habitats) are less adverse than those of Category A projects. These impacts are site- specific, and few are irreversible. In most cases, mitigation measures can be designed more readily than for Category A projects” (ADB, 2003).

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For Category B projects, an Initial Environmental Examination (IEE) is required by the Bank. An IEE is an initial examination of potential environmental impacts of the proposed activities of a project. The main objective of IEE is to initially screen whether the potential impacts are of such level that further studies or a full-scale EIA are warranted. If they are, the IEE should provide scoping for that exercise. If not, the IEE will identify any potential environmental impacts under different stages of the project implementation and prepare environmental management and monitoring plans for the various sub project activities or components. It should also describe the appropriate institutional framework to ensure proper implementation of the environmental safeguards.

B.4 Current Regulatory Provisions Environmental Impact Assessment EIA practice in India is relatively well established, though its application is not universal. The central government in India has created a foundation for environmental protection over the past three decades, beginning in 1974 with the enactment of the Water (Prevention and Control of Pollution) Act. A similar act addressing air pollution, the Air (Prevention and Control of Pollution) Act, was passed in 1977. These laws established baseline thresholds for water and air quality.

In 1986, a more comprehensive Environmental Protection Act was promulgated which established a framework for environmental clearance, requiring that EIAs be conducted for development projects with a cost of Rs.500 million (approximately US $12.5 million) or more. To rectify ambiguity regarding exactly what type of projects were subject to the Act, specific project types were enumerated in a 1994 EIA Notification issued by the Ministry of Environment and Forests which were updated in subsequent amendments. The earlier Notification identified 29 categories of projects for which proponents must conduct EIAs and receive a clearance from the central government. These include a range of manufacturing facilities, power plants, highways, ports, airports, dams and tourist development in coastal areas.

The Notification does not require EIAs for urban environmental infrastructure projects (UEIP) because these are assumed to result in positive environmental impacts.

In addition to central government requirements, some states, regional development authorities and municipal corporations have established their own EIA requirements for projects under their jurisdiction. These requirements vary widely from one jurisdiction to another. Environmental clearance generally falls under the jurisdiction of the State Pollution Control Boards in each state. Some states require EIAs for certain types of UEIPs, others do not. Those that do require environmental clearance for UEIPs, generally specify sewage treatment and solid waste disposal. The situation is similarly mixed at the regional and municipal levels.

In Kerala there is no specific recommendation on EIA requirement for UEIPs. However, every project requires “No Object Certificate” from state authorities (usually the Pollution Control Board) under the Water (Prevention and Control of Pollution) Act and the Air (Prevention and Control of Pollution) Act.

The key distinction between Indian central government and development agency decision making regarding EIAs lies in the threshold mechanism. For the Indian government, it is the project type and

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Water Quality The most important regulatory concerns for the projects under the KDUSF concern the impact on the receiving water quality under the Water (Prevention and Control of Pollution) Act, 1974. The prescribed standards for the different receiving water quality depending on the designated use of the receiving water are summarized in Attachment 1.

Municipal Solid Waste Management The management of municipal solid wastes is covered by the Municipal Solid Wastes (Management and Handing) Rules, 2000 under the Environment (Protection) Act, 1986, which was brought out by the Ministry of Environment and Forests (MOEF). These Rules are applicable to all urban local bodies. They prescribe a policy for waste management, which covers:

„ Collection and waste storage;

„ Segregation of waste;

„ Littering;

„ Transportation;

„ Waste processing (compost plants, energy recover etc.). The details of the rules which local authorities are obliged to follow in setting up and operating waste management facilities under this statute are summarized in Attachment 2.

Bio Medical and Hazardous Waste Beside MSW management rules, there are separate rules on handling and management of bio-medical waste as well as from hazardous waste. As per requirements, all small hospitals, nursing homes, laboratories, dispensaries and pathology laboratories, regardless of size, should attempt to follow the directions contained in the Rules and the instructions given by the Central Pollution Control Board and State Government Pollution Control Boards. The State Government and the Municipal Authorities should take the lead in setting up proper facilities for their own medical establishments. It should be ensured by the medical institutions that their bio-medical waste does not get mixed with municipal solid waste. Bio-medical waste management is currently being regulated under the Bio- Medical Waste (Management and Handling) Rules, 1998 and its provisions, relevant to the project, are summarized in Attachment 3.

Coastal Management There is a Coastal Zone Management Plan for Kerala, which addresses the coastal strip 500m inland from high water mark and the foreshores (50m) of backwater lakes and wetland areas. Within these broad areas, Coastal Regulation Zones (CRZs) are nominated depending upon the environmental assets, degree of development, degree of disturbance and coastal hazard (e.g. sea level rise) potential.

The intention of the plan is for developments in these zones to be subject to some sort of regulatory/approval procedures by a nominated government authority. As yet the legislative and institutional arrangements for this have not been completed, and the status of the plan is advisory.

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B.5 Project Description Existing Status, Deficiencies and Project Attributes Detail the existing waste management system, its coverage and adequacy.

Undertake a deficiency analysis in the existing waste management system by comparing the prevailing situation with that of excepted norms promulgated under regulatory provisions or other accepted guidelines developed on the subject, i.e. Municipal Solid Waste disposal (Management and Handling) Rules and CPHEO guidelines. Items to examine include:

„ Degree of segregation of waste at source;

„ Provision of formal pick-up points;

„ Schedule of waste collection;

„ Adequacy of collection fleet;

„ Processing/segregation of waste at disposal point;

„ Leachate control at disposal site;

„ Vermin and odor control; and

„ Disposal management of biomedical waste. Typical deficiencies in existing waste management systems in Kerala are:

„ Segregation, treatment and disposal of different streams of MSW are neither adequate nor efficient.

„ Collection practices from residential, commercial and markets are irregular and involve multiple agencies.

„ Road cleaning is inadequate and causes occupational hazards.

„ The monitoring/supervision mechanisms to ensure efficient waste removal are low.

„ Lack of infrastructure and availability of appropriate infrastructure cause public health hazards.

„ Low public cooperation or participation in the whole system of solid waste management of the town.

„ Operation and maintenance of open and non-scientific MSW dumping site is neither hygienic nor adequate as per mandatory norms.

„ “Rag pickers” of recyclable material are exposed to an extremely unhygienic working environment.

Proposed Sub-project attributes Based on the needs analysis from the existing status of waste management infrastructures in the municipal area, set out the specifications of the project and its subcomponents which have been identified and developed. Table B-1 provides, as an example, a list of the proposed components for upgrading solid waste management and disposal as used in an IEE for the KSUDP.

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Table B-1: Proposed Sub-Project Components

Sl. No. Project Proposal 1. Supply of long handle brooms, metal tray, shovels, etc. for street sweeping teams. 2. 66 small (0.5 m3), 44 medium (1.0 m3) and 47 dumper placer (3.0 m3) containers with 24 auto pickers for improved waste storage facilities and segregation. 3. 8 dumper placer trucks and 1 refuse collectors to improve waste collection and scheduling. 4. Vehicle maintenance facilities to ensure appropriate O & M. 5. Civil works and mechanical equipment for development of composting plant and sanitary landfill site.

Project Sites Provide site plans for any proposed landfill operation and/or composting plant.

B.6 Environmental Setting Regional Environmental Setting The regional environmental context for the Kerala coastal plain has been examined during the feasibility considerations for the KSUDP. The following regional environmental description can be adapted to focus on the particular district area under consideration.

Kerala is a strip of land roughly 550 km long and 80 km at its widest point, bounded by the Western Ghats on the eastern side and the Arabian Sea to the west. It is divided into three geophysical divisions:

„ Coastal plain (lowlands);

„ Midlands; and

„ Highlands. The highlands are the southern extension of the Western Ghats and its higher foothills. Although seriously depleted by forestry operations (largely illegal) and clearing for farming, valuable forest remnants remain. These include:

Tropical wet evergreen and semi evergreen 3450 ha Moist deciduous 4100 ha Dry deciduous 100 ha Sholas 70 ha Natural Grasslands 130 ha These remaining areas provide habitats for a wide variety of flora and fauna and include one Biosphere reserve, two National parks and 12 Wildlife sanctuaries.

These protected areas in total make up 2,324 ha or 29.6% of the naturally forested area. They also comprise the highest floristic endemism in India (with 33% endemism of flowering plants). These areas include three areas designated as “Biodiversity Hotspots” (Pushpangadam et al, 1997):

„ Agasthyanala Range – 5 Wildlife Sanctuaries;

„ Anamalai High Ranges – Eravikulum NP and 7 Wildlife Sanctuaries; and

„ Silent Valley / Wyanad National Park.

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Since the forests are a mega-biodiversity center for plants, and since animal diversity is ultimately linked to plant diversity, it can be expected that fauna diversity is also high. The fauna inventory for Kerala is not complete, but records to date indicate that:

„ there are 14 mammal species (including the lion-tailed macaque, Nilgiri langur, Malabar civet, and gaur) which are endemic to the Western Ghats (of the 75 species recorded).

„ there are 475 species of birds recorded with 10 endemic species restricted to the Ghats.

„ the freshwater hill streams and rivers of Kerala support 196 species of fish. 25 are endemic species, many of which are rare and endangered. The cleared, sub-mountainous areas of the highlands are important for agriculture, supporting tea, coffee, cardamom and turmeric crops and, at a lower level, pepper, rubber, and ginger.

The midlands comprise the undulating country covered by lateritic soils and crossed by major rivers. This division represents about 42% of the land area (between the 7.5 and 75m contours) and supports 59% of the population.

The midlands are predominantly agricultural. Crops in the upper midlands are tapioca, banana, pepper, upland rice, vegetables, cashews, and fruit trees. The lower midlands mainly grow rice (2 crops per year) and in the summer fallow vegetables, sweet potato and pulses.

Lowlands This is the important region for the Project because all project cities are located in this geophysical division. It is the coastal plain below the 7.5m contour and supports 26% of the population.

The zone is characterized by marine landforms of beach ridges, beaches, swamps and lagoons. The coastal wetland areas support rainfed and irrigated rice. Coastal drylands support coconut/tapioca/cashew plantations. Reclaimed backwater areas are used for coconut plantations.

Climate The lowland areas have 4 typical seasons; the dry weather from December to February, hot weather from March to May, South-West and North-East monsoon prevailing from June to November. The area has a moderate climate with the average annual temperature of 270C where as annual temperature range in Kozhikode district is 27.8 to 330C as a maximum and a range of 22.3-26.10C as a minimum. The South- West monsoon provides heavy and reliable rainfall with the average annual rainfall about 3,100 mm, within an average of 115 rainy days.

The monthly mean value of relative humidity varies from 75-96% in the morning (08.30 hrs) to 65- 91% in the afternoon (17.30 hrs). Excessive rain during June to August causes frequent floods in the rivers and canals in the area, submerging low-lying areas.

Surface Geology and Soils The western extent of Thiruvananthapuram and Kozhikode and the whole of Thrissur are on laterite soils. These soils on moderate slopes are very deep, loamy to clayey. Erosion potential is high, since the soil is light textured and poorly to imperfectly drained (Varghese et al, 1993). Only rarely are agronomic practices designed to minimize erosion followed. Soil loss from agricultural areas on lateritic soils in the state can be as high as 40t/ha/yr.

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The remainder of Thiruvananthapuram and Kozhikode and the whole of Kollam are on coastal alluvium and riverine alluvium. Both are mildly acidic, deep profiled and very porous. They are also mildly to strongly saline. Soil salinity not only renders water unsuitable for drinking/domestic uses, but also affects paddy production. Salt tolerant rice species grown in the state can tolerate salt concentrations up to 250ppm, but salinity levels in these soils can rise well above this.

Kochi is on marine alluvial and acid saline soils. The acid saline soils are very acidic when dry (pH 3-4) but acidity decreases when the soils are kept submerged. During June-November soils are continuously submerged by rainwater. Acidity is due to oxidation of sulfur compounds derived from organic sources and marine deposits.

Water Resources Rainfall in Kerala concentrates on the high ranges of the Western Ghats. Because the coastal plain is narrower in the north of the state, with the highlands in closer proximity to the coast, the rainfall is highest on the north coast and generally decreases towards the southern end of the coast:

Kozhikode 3,400 mm/yr Kochi 3,200 mm/yr Thrissur 3,200 mm/yr Kollam 2,400 mm/yr Thiruvananthapuram 1,800 mm/yr Surface water drainage is predominantly westward from the mountains (41 rivers out of a total of 44). They are monsoon fed and fast flowing. Therefore, in periods of high rainfall the high volume of water in the rivers draining the highlands supplement the in-situ rainfall – making the relatively lower rainfall areas of Kollam and Thiruvananthapuram as susceptible to flooding as the higher rainfall northern coastal cities.

Floods in Kerala have been increasing in severity because of land use changes and ill-planned flood protection works which move the impact downstream. A major flood in 1992 in south Kerala resulted in 75 deaths, more than 7,000 houses lost, and Rs1,000 crore in damages.

The annual runoff yield is 77,900 million m3, however not all runoff is usable for water supply. In the thickly populated coastal belt, water storage space is not available and in the summer salinity intrusion makes the waters of the coastal reaches of rivers unusable. “The entire runoff below the 15m contour may be considered un-utilizable. In the midlands between 15m and 75m contours experience has shown that about 50% of the runoff may be considered utilizable directly or through storage.” Whereas most of the runoff in the highlands is usable (Nampudripad, 1996).

Groundwater Resources Large groundwater resources exist in the coastal zone. These comprise three deep aquifers:

Warkallai Used for drinking water in Alleppey and Kuttanard – in south Kochi district Kollam Deeper than Warkallai aquifers and underlying them in parts Vaikom Large aquifer, between Kollam and Kayamkulam in the north. Brackish in its northern reaches. In addition, coastal occur throughout the coastal strip under water table conditions are tapped by open wells, at a density of 100-250 wells/km2.

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Combination use of both resources is only 30% of the total underground resource. Factors limiting the utilization, and seriously reducing the amenity of that which is utilized are:

„ Low pH;

„ High Fe;

„ High hardness;

„ High TDS; and

„ Salinity. The width of the sensitive zone for sea water intrusion into the groundwater of the coastal zone ranges from 100m to 500m inland.

Overuse of groundwater has permanently lowered the water table and allowed subsequent intrusion of salinity into coastal aquifers. This is mainly due to bore wells withdrawing water directly from the water table rather than from the deeper aquifer. Sand quarrying from river beds throughout the coastal strip has also contributed to lowering of the water table.

Water Pollution The most polluted river in Kerala is the Periyar, which flows through the Kochi area. The major pollution source is discharge from local industries, including:

„ Sulphates;

„ Phosphates;

„ Ammonia;

„ Fluorides;

„ Heavy metals; and

„ Insecticides. Coir retting is also the source of elevated BOD levels in the waters.

In summer, barrages in some branches of the river are used to prevent upstream penetration of salt water. But continued wastewater discharge into these branches downstream of the barrages is therefore not flushed and pollutants concentrate to high levels resulting in large fish kills.

Also in Kochi, the Vernabanad wetland system receives industrial and domestic effluent from Kochi and other smaller towns. Total Dissolved Solids in the wetland have been recorded at >54,000 mg/l.

Paddies surrounding the backwater system also contribute large amounts of nitrogen, phosphorus and potassium through runoff from fertilizer application (at average rates of 500 t/ha/yr). More than 46 different formulations of pesticides amounting to 1,000 tonnes are used in this area every crop season. “The excessive pesticides and insecticides that leach out into the waterways, the stagnation of water caused by the construction of bunds in Vernbanad Lake to arrest salinity, unsanitary conditions prevailing in the area due to lack of garbage and excreta disposal arrangements have all contributed to make the water bodies in the area grossly polluted” (Nair, 1996).

Other backwater systems suffering similarly include:

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„ Chalujar;

„ Sasthamkotta Lake; and

„ Pookot Lake.

Fisheries Resource Inland fisheries are made up of estuarine and freshwater fisheries. Estuary fisheries comprise:

„ Estuaries;

„ Backwaters;

„ Brackish water lagoons;

„ River mouths; and

„ Adjoining paddy fields. “The vast stretch of brackish water lakes that exists along the coastal belt of Kerala consists of 30 identifiable backwaters. They constitute nearly 70% of the inland water resource of the state and are considered to be a life support system for about 2 lakh population belonging to more than 32,000 fisher families” (Nair, 1996).

It is estimated by Nair (Nair, 1996) that around 50,000 fisherman work full or part-time in these brackish waters. The take is 80% prawns (both marine and freshwater species). The fish are predominantly mullet, horse mackerel, pearl spot, milk fish, grassy perchlet, and anchovy. Clams, mussels and backwater oysters are also collected. All inland fisheries production is consumed within the state of Kerala (Jayakumar et al, 2002).

Prawn raising in the adjoining paddy fields is a unique feature of the inland fisheries of Kerala. Areas used for this purpose are in the vicinity of Kanayamur, Parur, Mukundapuram, Kodungallur, Vaikom, and Shertalai and total 12,900 ha.

The continued productivity of backwaters is threatened by:

„ Reclamation of areas for agriculture;

„ Deforestation – mangrove clearing;

„ Industrial effluents;

„ Retting of coconut husks;

„ Pesticide use in adjoining agricultural areas;

„ Sewage;

„ Noxious floating weeds (Salvinia and Eichornia); and

„ Dredging for lime shells and navigation. Draining, filling and reclamation of backwater areas, construction of bunds and salt-water exclusion projects and extensive dredging operations for non-fishery projects has progressively damaged the ecosystem. “Entire backwater systems and other identified areas adjacent to the backwaters and sea need to be protected as potential areas for aquaculture and similar operations for the future development of fisheries.” (Nair, 1996).

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Mangroves Kerala mangroves have high species diversity (32 different mangrove species), although two species have disappeared over the last decades, and more are threatened.

The mangrove ecosystems are biologically rich. The zooplankton strata are represented by almost all groups of aquatic forms like protozoans, sponges, carnivorous coelenterates (clenophora, hydromedusae, and polychaetes). Fishes are plentiful. Crustaceans include crabs, shrimps and barnacles; molluscs include clams, oysters, mussels and their larvae. Decapod crustaceans like the Uca and Scylla are numerous. Otters, water snakes, tortoises, resident and migratory birds water fowls form the characteristic vertebrate fauna.

Indiscriminate reclamation of backwater wetlands during the past few decades has reduced the extent of mangroves from 700 km2 to only 50 km2. The majority of the remaining mangroves stands are distributed, unevenly, among the districts containing the five project cities:

Kozhikode District 3,500 ha Thrissur District 25 ha Ernakulam District (Kochi) 250 ha Kollam District 15 ha Thiruvananthapuram District 15 ha Total 3,805 ha Coastal Erosion Three hundred and seventy kilometers of the Kerala coast are subject to erosion. Beach abrasion rates are as high as 5.2 m/yr (at Chellanen) and 3.1 m/yr (at Thattappally). These are also small areas of accretion, which offset this trend but do not balance it.

B.7 Social and Cultural Resources Information on social and cultural resources for the Local Self Government area should be considered here in as much as it influences the planning for infrastructure facilities. For example: population and communities (e.g. numbers, locations, composition, employment), health facilities (this may have a significant impact on solid waste management impact, management and design), education facilities, socio-economic conditions (e.g. community structure, family structure, social well being).

Items of cultural heritage, resources for traditional purposes, structures or sites that are of natural, historical, archaeological, scientific, or architectural significance should also be identified.

Several areas of outstanding natural beauty along the Kerala coasts have been nominated in the Coastal Management Plan (1995), but their boundaries cannot be drawn at present, as no study has been undertaken by the concerned departments to specifically locate them. However, there are some cliff areas which can be demarcated under this category (e.g. Chowar, Vizhinjam, Kovalam, Varkala, Ezhimala etc).

Areas of Outstanding Natural Beauty

Place name District Remark Puvar south Thiruvananthapuram Wide beach, back water Pulinkudi-Kovalam Thiruvananthapuram Rocky cliff, extensive stable beach

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Place name District Remark Sankumugham Thiruvananthapuram Beach, archaeological sites, palace, park Veli Thiruvananthapuram Tourist Village, backwater, beach tourism, park Papanasam-Varkala Thiruvananthapuram Cliff & beach, artesian springs, temple Edava Kollam Barrier beach & backwater at close proximity, coconut grove Kappil Kollam Barrier beach, extensive backwater, coastal road Pozhikkara Kollam Pozhi (permanently connected to sea) with canal, temple, coconut groves Mundakkal Kollam Park, extensive stable beach (Jonnapuram) Thirumullavaram Kollam Bay, beaches, coconut groves, temple, pond Palliyamturuth Kollam Uninhabited island (islet) with beautiful backwater surroundings Alappuzha Alappuzha Extensive stable beach, park, pier suitable for recreational fishing Fort Kochi Ernakulam Wide beach backed by backwater Cherai Ernakulam Extensive beach with sea and backwater frontage, park Bekal Kasargod Fort on high cliff, wide beach around backwater Kottikulam Kasargod Promontory and pocket beach around

List of Heritage areas along the Kerala Coast

Place name District Remarks Sankumugham Thiruvananthapuram Temple Vettukad Thiruvananthapuram Church Papanasam Thiruvananthapuram Pozhikkara- Paravur Kollam Church Neendakara Kollam Church Arthungal Alappuzha Church

The Archaeology Department has declared several areas as historically important. They are listed in the table.

List of historical areas (source Dept. of Archaeology)

Place name District Remarks Kottukal Thiruvananthapuram Vizhinjam Bhagavathy temple Sankumugham Thiruvananthapuram Palace, mandapam Anjengo fort Thiruvananthapuram Fort Thangasseri Kollam Fort & lighthouse Karunagapally Kollam Buddha image Ambalapuzha Alappuzha Buddha image, Karumadi Vaikom Kottayam Temple with fine panels of mural paintings Mattancheri Ernakulam St. Francis Church Chennamangalam Ernakulam Granite stone, Hebrew inscriptions Chennamangalam Ernakulam Pallipuram fort

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Place name District Remarks Chennamangalam Ernakulam Manjapra temple Chennamangalam Ernakulam Kovilakam- palace site of Raja of Villaravattath Chennamangalam Ernakulam Vaipikkota Seminary built by Portuguese in 18th century Parur Ernakulam Stone inscription Chemanchery- Kozhikode Kappad pillar-monument of the arrival of Vasco de Gama Quilandy Bekal Kasargod Bekal Fort

B.8 Developmental Setting The developmental context of the site should be briefly discussed: for example; neighboring infrastructure facilities (e.g. water supply, sewerage, flood control), transportation (roads, harbors, airports, and navigation), power sources and transmission, agricultural development, mineral development, and tourism facilities.

B.9 Site Environment Settings The site environmental setting should focus on those aspects of the site and its immediate surroundings which will influence the development of the site or be impacted by site development.

Land Use / Land Cover This discussion should focus on the biophysical features of the site which will be obliterated or damaged by the development and their value.

The distributions of land cover types on the site itself should be presented, for example, as follows:

Land Cover Area (hectares)

Local Climate The local climate will be important for site drainage and odors. Any peculiarities which distinguish the site from the climatic norms of the surrounding area (e.g. winds and exposure) should be described.

Surface geology Local surface geology should be described here. Areas of reclamation, fill or other disturbance should be identified. The presence or absence of on-site clay deposits for leachate control will be important.

Terrain and Drainage Many candidate sites for KLGDF developments will be low lying. Local elevation should be reported and the terrain pattern, especially direction and pattern of drainage, should be described. Identify the watershed within which the site is located and its relationship to the drainage of neighboring areas.

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Surface Water Quality Describe the local surface water resources focusing particularly on the receiving water for any site runoff or leachate escapes. Identify current and any future planned use for the water resources. Present water quality data for adjacent waterbodies (baseline). List current data for:

„ pH range;

„ BOD;

„ TSS;

„ Petrochemical substances;

„ Heavy metals and

„ Total coliform.

Groundwater Resources Describe the resource, including the degree to which groundwater is utilized locally, and the quality of groundwater in the vicinity of the site (if available). Any available groundwater quality analyses in the vicinity of the site should be presented.

B.10 Screening of Potential Environmental Impacts and Mitigation Measures The main purpose of projects assisted by KLGDF is to improve urban environmental conditions. As such, there are many environmental benefits to the proposed works. This section, however, focuses on the identification of potential adverse environmental impacts short and long term. Mitigation measures are proposed with recommended monitoring actions to be conducted during implementation to minimize any adverse environmental impacts. The mitigation measures will form the basis for an environmental monitoring plan during the implementation stages of the project.

The screening for environmental impacts is broken down into four categories, coinciding with the major phases of the project:

„ Location impacts: those impacts associated with site selection, and include loss of on-site biophysical array and encroachment either directly or indirectly on adjacent environments. It also includes impacts on people who will lose their homes or livelihood by the development of that site.

„ Design impacts: those impacts arising from project design, including technology used, scale of operation/throughput, waste production, discharge specifications, pollution sources and ancillary services.

„ Construction impacts: those impacts caused by site clearing, earthworks, machinery, vehicles and workers. Construction site impacts include erosion, dust noise and wastewater.

„ O & M impacts: those impacts arising from the operation and maintenance activities of the infrastructure facility. These include management of disposal cells, leachate control and treatment, and occupational health and safety issues.

For the proposed project, the magnitude and significance of predicted impacts are described for each of the four categories of impact. For each impact, a mitigation measure should be identified. Mitigation measures can be:

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„ safeguards to avoid the impact,

„ measures to minimize it, or

„ features provided to offset the impact. An impact assessment and identification of mitigation measures typical for solid waste management and disposal projects in cities of the Kerala coastal plain are as follows:

Location

Impacts Mitigation Measures Loss of on-site ecology or natural feature Control of site layout to avoid or minimize loss of natural features Loss of household residences, business Arrange site layout to minimize dislocation of premises, or livelihood (gardens, agricultural community. land) Preparation and implementation of a Resettlement Plan which conforms with the stipulations and guidelines provided in Asian Development Bank’s Policy on Involuntary Resettlement Encroachment on backwater areas or wetlands Amend layout to avoid loss of mangroves. Amend layout to avoid any filling of backwater areas. Minimize intrusion on backwater foreshore areas

Design

Impacts Mitigation Measures Loss of amenity (aesthetics, property values) to Provision of a buffer zone on vulnerable perimeters neighbours with earthworks and landscaping to provide physical separation and a visual screen for the development. Impacts associated with transport of wastes to Ensure transport routes have adequate capacity for the disposal site or treatment facility required truck movements Provide enclosed refuse collection vehicles or tarps to cover open vehicles Nuisance to neighboring areas due to foul odor Plan and implement adequate set-backs and buffer and influx of insects, rodents, etc. zones (where no refuse is deposited). Establish tree-planting and landscaping on boundaries with neighboring residential areas.

Construction

Impacts Mitigation Measures Silt runoff from construction of disposal cells and Include construction site management provisions in other preparation activities causing soil erosion contracts to cover: plus damage to water quality/land values Site preparation, which minimizes clearing and disturbance to adjoining vegetation and natural areas. Protection of unstable soil surfaces from high velocity runoff (interception drains and temporary stabilization) Siting of construction material stockpiles and access routes to avoid and disturbance to adjoining vegetation and natural areas. Noise and dust from construction of disposal Include construction site management provisions in cells and other preparation activities contracts to cover dust and noise management (including water spraying and scheduling of activities).

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Operation and Maintenance

Impacts Mitigation Measures Contamination of ground and/or surface water by Scientific landfill disposal facilities operated as per leachate the provisions of the Municipal Solid Waste (Management and Handling) Rules 2000: Design of land fill cells as impermeable clay vessels Interception drainage network uphill of landfill to divert runoff water from encroaching on landfill area Drainage and pondage system to collect fugitive leachate and redirect away from natural drainage lines

Deterioration of water quality as a result of Drainage and pondage system will be designed and contamination of receiving waters by leachate provided to collect fugitive leachate and redirect away from natural drainage lines. No direct drainage to a stream, river or backwater will be permitted. Pollution of surface and ground water from Provide gas control systems in landfill. methane gas Loss of adjoining deep-rooted vegetation (e.g. Provide gas control systems in landfill trees) from landfill gas Dust from unloading and spreading/grading Pave access roads operations at landfill site Design location of working face to minimize truck movements Daily compacting, spreading and covering of incoming refuse Hazards to health/safety of workmen Operational management will include Occupational Safety Plan for workforce which will include: Provision of appropriate protective gear to workers on the site. Training for workers on site dangers, including potential health effects from sludge.

Mitigation measures should be summarized in a table with the following format. Since the specific design, construction and operational activities of the project activities are not well defined, proposed measures will need to be revised along with the accompanying environmental management plan prior to the implementation of the project.

The institutions responsible for implementing the proposed mitigation measures are taken from those identified under Implementation Arrangements and Capacity Building by KSUDP. The cost estimates are mainly indicative of the effort required over the period of the project. Prior to implementation, further review of these cost estimates will be required.

Project Impact Potential Proposed Institutional Preliminary Activity No. Environmental Mitigation Responsibilities Costing Impacts Measures Location L1 L2 L3 etc Design D1 D2

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Project Impact Potential Proposed Institutional Preliminary Activity No. Environmental Mitigation Responsibilities Costing Impacts Measures Construction C1 C2 Operation & OM1 Maintenance OM2

B.11 Environmental Monitoring Plan Tables B-2 provides a summary of recommended environmental monitoring programs based on responses to potential adverse impacts listed in Section 5.

Table B-2

Impact Mitigation Parameters Location Measurements Frequency Responsibilities Costs No. Measure to be

Institutional Requirements for Environmental Management The Local Self Governments (LSGs) will be responsible for preparing the initial environmental examination (IEE) for each project and a summary IEE (SIEE) for all infrastructure developments to be funded under the KLGDF in that town. The LSG will also be responsible for implementing the Environmental Monitoring Plan stipulated in this IEE (presented as Table 6.1 above).

The LSG will submit these environmental assessment and management documents to the KLGDF for review, and undertake the implementation of EMPs. The KLGDF will (i) review the documents prepared by the LSGs, (ii) consolidate documents submitted by the LSGs and submit them to ADB for review, and (iii) supervise the LSGs on the implementation of EMPs.

It is proposed that the KLGDF will be managed by an Asset Management Company (AMC) called Kerala Local Government Infrastructure Services Finance Company Ltd. (KLGISFCL); staff from KLGISFCL will oversee environmental assessments submitted by LSGs for specific projects and regularly monitor the implementation of mitigation measures.

B.12 Community Consultation and Information Disclosure This section should describe the stakeholder consultation processes undertaken during the identification, feasibility planning, and initial design of the solid waste management and disposal project. It should also document the process of informing the community about the environmental safeguards of the project.

The community consultation and information disclosure program undertaken for KSUDP in the five cities is presented below as an example.

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During the Project scoping exercise considerable dialogue was had with the Municipal Corporation Mayors and technical staff as well as state line agencies. At the Mid Term Workshop, as part of the working group session, the City Mayors and officers were requested to proportion any funding that might be available for infrastructure improvements as an indicator of civic priority. The results assisted the prioritization of subproject selection.

Community priorities were examined through a Baseline Socio-Economic Survey, which was undertaken in all 5 Project cities. The 1% sample household survey included questions on municipal service delivery and priorities for improvement.

Community Municipal Service Priorities

City / Sector Social Water Sewerage / Urban Solid Waste Roads & Category Supply Sanitation Drainage Management Transport Thiruvananthapuram Poor 1 2 3 4 5 Non-Poor 4 1 2 3 4 Kollam Poor 1 2 3 4 5 Non-Poor 3= 1 3= 2 4 Kochi Poor 1 2 3 4 5 Non-Poor 1 2 3 4 5 Thrissur Poor 4 1 2 3 5 Non-Poor 2 1 3= 3= 5 Kozhikode Poor 1 2 3 4= 4= Non-Poor 1 2 3 4= 4=

Where projects involved relocation or resettlement of on-site residents or commercial premises, community stakeholders were initially consulted as part of the resettlement planning process. This is reported in {To be filled in Annex}.

The environmental safeguards and impact mitigation measures which have been formulated for the project via the EIA process were presented to a community meeting in {Municipality} (section to be completed after meeting). An important community consultation and information disclosure exercise following on from this will be a program of “Public Awareness and Benefit Monitoring”.

A domestic Public Relation Consultant (PRC) firm will be employed to make the public aware of the short-term inconveniences and long-term benefits of the project in order to gain full support of the beneficiaries for the project. Beneficiaries will also be made aware of preventive care to avoid environmental health-related hazards. In addition, a domestic Benefit Monitoring and Evaluation Consultant (BMEC) firm will be required to help in generating baseline data which will be monitored to assess impact of the Project and providing guidance for mid course correction, if required, and assess benefits on commissioning of the Project.

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B.13 Conclusions Findings The screening process for potential environmental impacts for Solid Waste Management and Disposal in {Municipality} has found that the positive impacts of the project far outweigh the potential adverse impacts. All potential adverse impacts can be mitigated by measures identified in the Environmental Management Plan. Since this IEE has not identified any significant environmental issues, no further EIA studies are recommended for this project.

Any additional studies or special mitigation issues which significantly affect the project concept should be described here.

Conclusion The following is a conclusion that the proposed development will cause no significant environmental impact (taking account of the recommended mitigation measures) and that the Category B classification is appropriate. Where additional studies are required, these should be stated in the conclusion.

All proposed works for the Solid Waste Management and Disposal project in {Municipality} would greatly improve the overall environmental quality of the Municipality. In particular, the development of a high performing solid waste management system will reduce garbage levels in the town, and pollution load on surface and groundwater resources in the area with immediate benefits to public health and location amenity. The Project is considered not to have significant environmental impacts and classification B is considered appropriate.

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Annex C IEE of Upgrading of Urban Roads Project

C.1 Introduction “The Upgrading of Urban Roads” project in {Municipality} is one of the important projects identified for assistance under the Kerala Local Government Development Fund (KLGDF), which will be available to all Local Self Governments (LSGs) in the State to finance infrastructure rehabilitation and development.

(Briefly outline here the process by which the project was identified and prioritised.)

C.2 Need for the project Describe the existing urban road system and its performance.

Use the 2001 census data to provide information on the population and vehicle usage. Provide projections for traffic volumes over the next 5 to 10 years.

Provide information on transport nodes and problem areas.

Where stakeholder and/or community workshops or meetings have been held, provide information on stakeholder perception of need and priority for the project.

C.3 Level of Environmental Assessment ADB’s projects are assigned one of four categories (A, B, C, or F1) for environmental assessment depending on the significance of the associated environmental impacts of the various Project components. The category is assigned based on the project's potential for environmental impact.

Make a preliminary categorisation here on the basis of the magnitude and significance of potential environmental impacts. Many road upgrade components will involve construction of drains and footpaths, lighting, pedestrian facilities or widening where there is room to do and in locations where the natural and social environment will not be significantly affected in the long term. In these instances, a case for classifying the project as Category B is readily made.

This IEE format will address a project whose components only involve those where a Category B classification is appropriate.

“A project is classified as Category B if its potential adverse environmental impacts on human populations or environmentally important areas, (e.g., wetlands, forests, grasslands, and other natural habitats) are less adverse than those of Category A projects. These impacts are site- specific, and few are irreversible. In most cases, mitigation measures can be designed more readily than for Category A projects” (ADB, 2003).

For Category B projects, the Bank requires an Initial Environmental Examination (IEE). An IEE is an initial examination of potential environmental impacts of the proposed activities of a project. The main objective of IEE is to initially screen whether the potential impacts are of such level that further studies or a full-scale EIA are warranted. If they are, the IEE should provide scoping for that

FR Volume 8 – Environmental Assessment Framework PART 3 PAGE 44 TA 4106 –IND: Kerala Sustainable Urban Development Project Project Preparation exercise. If not, the IEE will identify any potential environmental impacts under different stages of the project implementation and prepare environmental management and monitoring plans for the various sub project activities or components. It should also describe the appropriate institutional framework to ensure proper implementation of the environmental safeguards.

C.4 Current Regulatory Provisions Environmental Impact Assessment EIA practice in India is relatively well established, though its application is not universal. The central government in India has created a foundation for environmental protection over the past three decades, beginning in 1974 with the enactment of the Water (Prevention and Control of Pollution) Act. A similar act addressing air pollution, the Air (Prevention and Control of Pollution) Act, was passed in 1977. These laws established baseline thresholds for water and air quality.

In 1986, a more comprehensive Environmental Protection Act was promulgated which established a framework for environmental clearance, requiring that EIAs be conducted for development projects with a cost of Rs.500 million (approximately US $.12.5 million) or more. To rectify ambiguity regarding exactly what type of projects were subject to the Act, specific project types were enumerated in a 1994 EIA Notification issued by the Ministry of Environment and Forests which were updated in subsequent amendments. The earlier Notification identified 29 categories of projects for which proponents must conduct EIAs and receive a clearance from the central government. These include a range of manufacturing facilities, power plants, highways, ports, airports, dams and tourist development in coastal areas.

The Notification does not require EIAs for urban environmental infrastructure projects (UEIP) because these are assumed to result in positive environmental impacts.

In addition to central government requirements, some states, regional development authorities and municipal corporations have established their own EIA requirements for projects under their jurisdiction. These requirements vary widely from one jurisdiction to another. Environmental clearance generally falls under the jurisdiction of the State Pollution Control Boards in each state. Some states require EIAs for certain types of UEIPs, others do not. Those that do require environmental clearance for UEIPs. The situation is similarly mixed at the regional and municipal levels.

In Kerala there is no specific recommendation on EIA requirement for UEIPs. However, every project requires “No Object Certificate” from state authorities (usually the Pollution Control Board) under the Water (Prevention and Control of Pollution) Act and the Air (Prevention and Control of Pollution) Act.

The key distinction between Indian central government and development agency decision making regarding EIAs lies in the threshold mechanism. For the Indian government, it is the project type and funding level (Rs.50 crores); for development agencies like ADB, it is the project type and the finding of the initial environmental examination.

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Ambient Noise and Air Quality Requirements The Noise Pollution (Regulation Control) Rules 2001 were promulgated under the authority of the Environment (Protection) Act 1986. In essence they require that:

1) The ambient air quality standards in respect of noise for different areas/zones shall be such as specified in the Schedule annexed to these rules (presented at Attachment 4). 2) The State Government [shall categorize] the area into industrial, commercial, residential or silence areas/zones for the purpose of implementation of noise standards for different areas. 3) The State Government shall take measures for abatement of noise including noise emanating from Vehicular movements and ensure that the existing noise levels do not exceed the ambient air quality standards specified under these rules. 4) All development authorities, local bodies and other concerned authorities while planning developmental activity or carrying out functions relating to town and country planning shall take into consideration all aspects of noise pollution as a parameter of quality of life to avoid noise menace and to achieve the objective of maintaining the ambient air quality standards in respect of noise. 5) An area comprising not less than 100 metres around hospitals, educational institutions and Courts may be declared as silence area/zone for the purpose of these rules. 6) The implementing authority shall be responsible for the enforcement of noise pollution control measures and the due compliance of the standards in respect of noise.

National Ambient Air Quality Standards have been instituted by G.S.R.176 (E), dated 2nd April, 1996. These standards are also listed in Attachment 4. These standards nominate levels of air quality necessary within adequate margin of safety, to protect the public health, vegetation and property.

“Whenever and wherever two consecutive values exceed the limit specified above for the respective category, it shall be considered adequate, reason to institute regular/continuous monitoring and further investigations.”

Coastal Management There is a Coastal Zone Management Plan for Kerala which addresses the coastal strip 500m inland from high water mark and the foreshores (50m) of backwater lakes and wetland areas. Within these broad areas, Coastal Regulation Zones (CRZs) are nominated depending upon the environmental assets, degree of development, degree of disturbance and coastal hazard (e.g. sea level rise) potential.

The intention of the plan is for developments in these zones to be subject to some sort of regulatory/approval procedures by a nominated government authority. As yet the legislative and institutional arrangements for this have not been completed, and the status of the plan is advisory.

C.5 Project Description Existing Status, Deficiencies and Project Attributes The towns transport network is {xx km} with density of {x kms per square kilometre} area {x% of urban area land use is for roads}. Most of the local road network is less than {x meter} of ROW (right

FR Volume 8 – Environmental Assessment Framework PART 3 PAGE 46 TA 4106 –IND: Kerala Sustainable Urban Development Project Project Preparation of way). In the town {xx kms} of roads are inadequate, with the majority of roads now congested due to concentration of offices, shops, business and houses within a small central area.

The current urban policy and active plan formulated by the Government of Kerala aim at to provide basic service and economic growth in urban areas and to address transport and road safety, along with other urban infrastructure issues.

Through workshops, discussion with government agencies and consultation, a list of road improvement projects was formulated. The list was screened by prioritizing the road sections exhibiting the following criteria:

„ Projects not committed to under any other existing schemes;

„ Projects, which will provide access, to major activity centers and provide travel benefits to poor section of society;

„ Projects, which will act to relive higher traffic-demand corridors elsewhere; and

„ Projects, which will improve road safety.

Proposed Sub-project attributes All components of the road upgrade project should be described here. An example below is from KSUDP and shows the road upgrade components proposed for Thrissur Corporation area.

Sl. Road Name Implementing No. Agency A ROAD WIDENING/CAPACITY AUGMENTATION 1 Inner Ring Road 1.1 Kappalandimukku - Kadapakada Jn i) Kappalandimukku - Jawahar Jn ( 4 lane for a length of 0.30 km) PWD ii) Jawahar Jn - Kadapakada Jn ( 4 lane for a length of 1.20 km) PWD 1.2 Kadapakada Jn - Ashram Jn ( 4 lane for a length of 1.25 km) PWD 1.3 Ashram Jn - Muneshwaran Temple (BOT Road start point) ( 4 lane for a length of 0.30 PWD km) 1.4 Ananthavalli Temple – Thekkekutchery ( 4 lane for a length of 0.40 km) PWD 1.5 Thekkekutchery - Altharamoodu Jn ( 3 lane for a length of 0.30 km) PWD 1.6 Altharamoodu Jn - Wadi Jn ( 3 lane for a length of 0.50 km) PWD 1.7 Kochupilamoodu Jn - AR Camp Jn on NH 47 (2 lane for a length of 0.80 km) PWD 1.8 AR Camp Jn on NH 47 - Kappalandimukku on NH 47 ( 4 lane for a length of 1.00 km) PWD 2 Mundalamoodu Jn - Thirumullavaram Road ( intermediated lane for a length of 1.90 km) PWD 3 Road from Lakshminada Junction to Vellatiyambalam Junction i) First 250m from Lakshminada junction ( 2 lane for a length of 0.25 km) PWD ii) Remaining portion of the section (2 lane for a length of 3.05 km) PWD B NEW INFRASTRUCTURE 1 Private Bus Terminal at Chinnakada Kollam Corporation 2 Street Lighting 2.1 Major Road Sections Kollam Corporation

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Sl. Road Name Implementing No. Agency 2.2 Minor Road Sections Kollam Corporation 3 Underpass at Chinnakada KDA/Kollam Corporation C JUNCTION IMPROVEMENT 1 Kadapakada Junction PWD 2 Railway Station Junction PWD 3 High School Junction PWD 4 Thekkekachery Junction PWD 5 Chemmamukku Junction PWD 6 Vellayatambalam Junction PWD 7 Kappalandimukku Junction PWD 8 Ramankulangara Junction PWD

Project Sites Provide site plans for any proposed road upgrade components.

C.6 Environmental Setting Regional Environmental Setting The regional environmental context for the Kerala coastal plain has been examined during the feasibility considerations for the KSUDP. The following regional environmental description can be adapted to focus on the particular district area under consideration.

Kerala is a strip of land roughly 550 km long and 80 km at its widest point, bounded by the Western Ghats on the eastern side and the Arabian Sea to the west. It is divided into three geophysical divisions.

„ Coastal plain (lowlands);

„ Midlands; and

„ Highlands.

The highlands are the southern extension of the Western Ghats and its higher foothills. Although seriously depleted by forestry operations (largely illegal) and clearing for farming, valuable forest remnants remain. These include:

Tropical wet evergreen and semi evergreen 3450 ha Moist deciduous 4100 ha Dry deciduous 100 ha Sholas 70 ha Natural Grasslands 130 ha These remaining areas provide habitats for a wide variety of flora and fauna and include one Biosphere reserve, two National parks and 12 Wildlife sanctuaries.

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These protected areas in total make up 2,324 ha or 29.6% of the naturally forested area. They also comprise the highest floristic endemism in India (with 33% endemism of flowering plants). These areas include three areas designated as “Biodiversity Hotspots” (Pushpangadam et al, 1997):

„ Agasthyanala Range – 5 Wildlife Sanctuaries

„ Anamalai High Ranges – Eravikulum NP and 7 Wildlife Sanctuaries

„ Silent Valley / Wyanad National Park

Since the forests are a mega-biodiversity center for plants, and since animal diversity is ultimately linked to plant diversity, it can be expected that fauna diversity is also high. The fauna inventory for Kerala is not complete, but records to date indicate that:

„ there are 14 mammal species (including the lion-tailed macaque, Nilgiri langur, Malabar civet, and gaur) which are endemic to the Western Ghats (of the 75 species recorded).

„ there are 475 species of birds recorded with 10 endemic species restricted to the Ghats.

„ the freshwater hill streams and rivers of Kerala support 196 species of fish. 25 are endemic species, many of which are rare and endangered.

The cleared, sub-mountainous areas of the highlands are important for agriculture, supporting tea, coffee, cardamom and turmeric crops and, at a lower level, pepper, rubber, and ginger.

The midlands comprise the undulating country covered by lateritic soils and crossed by major rivers. This division represents about 42% of the land area (between the 7.5 and 75m contours) and supports 59% of the population.

The midlands are predominantly agricultural. Crops in the upper midlands are tapioca, banana, pepper, upland rice, vegetables, cashews, and fruit trees. The lower midlands mainly grow rice (2 crops per year) and in the summer fallow vegetables, sweet potato and pulses.

Lowlands This is the important region for the Project because all project cities are located in this geophysical division. It is the coastal plain below the 7.5m contour and supports 26% of the population.

The zone is characterized by marine landforms of beach ridges, beaches, swamps and lagoons. The coastal wetland areas support rainfed and irrigated rice. Coastal drylands support coconut/tapioca/cashew plantations. Reclaimed backwater areas are used for coconut plantations.

Climate The lowland areas have 4 typical seasons; the dry weather from December to February, hot weather from March to May, South-West and North-East monsoon prevailing from June to November. The area has a moderate climate with the average annual temperature of 270C where as annual temperature range in Kozhikode district is 27.8 to 330C as a maximum and a range of 22.3-26.10C as a minimum. The South-West monsoon provides heavy and reliable rainfall with the average annual rainfall about 3,100 mm, within an average of 115 rainy days.

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The monthly mean value of relative humidity varies from 75-96% in the morning (08:30 hrs) to 65- 91% in the afternoon (17:30 hrs). Excessive rain during June to August causes frequent floods in the rivers and canals in the area, submerging low-lying areas.

Surface Geology and Soils The western extent of Thiruvananthapuram and Kozhikode and the whole of Thrissur are on laterite soils. These soils on moderate slopes are very deep, loamy to clayey. Erosion potential is high, since the soil is light textured and poorly to imperfectly drained (Varghese et al, 1993). Only rarely are agronomic practices designed to minimize erosion followed. Soil loss from agricultural areas on lateritic soils in the state can be as high as 40t/ha/yr.

The remainder of Thiruvananthapuram and Kozhikode and the whole of Kollam are on coastal alluvium and riverine alluvium. Both are mildly acidic, deep profiled and very porous. They are also mildly to strongly saline. Soil salinity not only renders water unsuitable for drinking/domestic uses, but also affects paddy production. Salt tolerant rice species grown in the state can tolerate salt concentrations up to 250ppm, but salinity levels in these soils can rise well above this.

Kochi is on marine alluvial and acid saline soils. The acid saline soils are very acidic when dry (pH 3-4) but acidity decreases when the soils are kept submerged. During June-November soils are continuously submerged by rainwater. Acidity is due to oxidation of sulfur compounds derived from organic sources and marine deposits.

Water Resources Rainfall in Kerala concentrates on the high ranges of the Western Ghats. Because the coastal plain is narrower in the north of the state, with the highlands in closer proximity to the coast, the rainfall is highest on the north coast and generally decreases towards the southern end of the coast:

Kozhikode 3,400 mm/yr Kochi 3,200 mm/yr Thrissur 3,200 mm/yr Kollam 2,400 mm/yr Thiruvananthapuram 1,800 mm/yr Surface water drainage is predominantly westward from the mountains (41 rivers out of a total of 44). They are monsoon fed and fast flowing. Therefore, in periods of high rainfall the high volume of water in the rivers draining the highlands supplement the in-situ rainfall – making the relatively lower rainfall areas of Kollam and Thiruvananthapuram as susceptible to flooding as the higher rainfall northern coastal cities.

Floods in Kerala have been increasing in severity because of land use changes and ill-planned flood protection works which move the impact downstream. A major flood in 1992 in south Kerala resulted in 75 deaths, more than 7,000 houses lost, and Rs1,000 crore in damages.

The annual runoff yield is 77,900 million m3, however not all runoff is usable for water supply. In the thickly populated coastal belt, water storage space is not available and in the summer salinity intrusion makes the waters of the coastal reaches of rivers unusable. “The entire runoff below the 15m contour may be considered un-utilizable. In the midlands between 15m and 75m contours

FR Volume 8 – Environmental Assessment Framework PART 3 PAGE 50 TA 4106 –IND: Kerala Sustainable Urban Development Project Project Preparation experience has shown that about 50% of the runoff may be considered utilizable directly or through storage.” Whereas most of the runoff in the highlands is usable (Nampudripad, 1996).

Groundwater Resources Large groundwater resources exist in the coastal zone. These comprise three deep aquifers:

Warkallai Used for drinking water in Alleppey and Kuttanard – in south Kochi district Kollam Deeper than Warkallai aquifers and underlying them in parts Vaikom Large aquifer, between Kollam and Kayamkulam in the north. Brackish in its northern reaches. In addition, coastal occur throughout the coastal strip under water table conditions are tapped by open wells, at a density of 100-250 wells/km2.

Combination use of both resources is only 30% of the total underground resource. Factors limiting the utilization, and seriously reducing the amenity of that which is utilized are:

„ Low pH;

„ High Fe;

„ High hardness;

„ High TDS; and

„ Salinity. The width of the sensitive zone for sea water intrusion into the groundwater of the coastal zone ranges from 100m to 500m inland.

Overuse of groundwater has permanently lowered the water table and allowed subsequent intrusion of salinity into coastal aquifers. This is mainly due to bore wells withdrawing water directly from the water table rather than from the deeper aquifer. Sand quarrying from river beds throughout the coastal strip has also contributed to lowering of the water table.

Water Pollution The most polluted river in Kerala is the Periyar, which flows through the Kochi area. The major pollution source is discharge from local industries, including: - Sulfates; - Phosphates; - Ammonia; - Fluorides; - Heavy metals; and - Insecticides.

Coir retting is also the source of elevated BOD levels in the waters.

In summer, barrages in some branches of the river are used to prevent upstream penetration of salt water. But continued wastewater discharge into these branches downstream of the barrages is therefore not flushed and pollutants concentrate to high levels resulting in large fish kills.

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Also in Kochi, the Vernabanad wetland system receives industrial and domestic effluent from Kochi and other smaller towns. Total Dissolved Solids in the wetland have been recorded at >54,000 mg/l.

Paddies surrounding the backwater system also contribute large amounts of nitrogen, phosphorus and potassium through runoff from fertilizer application (at average rates of 500 t/ha/yr). More than 46 different formulations of pesticides amounting to 1,000 tonnes are used in this area every crop season. “The excessive pesticides and insecticides that leach out into the waterways, the stagnation of water caused by the construction of bunds in Vernbanad Lake to arrest salinity, unsanitary conditions prevailing in the area due to lack of garbage and excreta disposal arrangements have all contributed to make the water bodies in the area grossly polluted” (Nair, 1996).

Other backwater systems suffering similarly include: - Chalujar; - Sasthamkotta Lake; and - Pookot Lake.

Fisheries Resource Inland fisheries are made up of estuarine and freshwater fisheries. Estuary fisheries comprise: - Estuaries; - Backwaters; - Brackish water lagoons; - River mouths; and - Adjoining paddy fields.

“The vast stretch of brackish water lakes that exists along the coastal belt of Kerala consists of 30 identifiable backwaters. They constitute nearly 70% of the inland water resource of the state and are considered to be a life support system for about 2 lakh population belonging to more than 32,000 fisher families” (Nair, 1996).

It is estimated by Nair (Nair, 1996) that around 50,000 fisherman work full or part-time in these brackish waters. The take is 80% prawns (both marine and freshwater species). The fish are predominantly mullet, horse mackerel, pearl spot, milk fish, grassy perchlet, and anchovy. Clams, mussels and backwater oysters are also collected. All inland fisheries production is consumed within the state of Kerala (Jayakumar et al, 2002).

Prawn culture in the adjoining paddy fields is a unique feature of the inland fisheries of Kerala. Areas used for this purpose are in the vicinity of Kanayamur, Parur, Mukundapuram, Kodungallur, Vaikom, and Shertalai and total 12,900 ha.

The continued productivity of backwaters is threatened by: - Reclamation of areas for agriculture; - Deforestation – mangrove clearing; - Industrial effluents; - Retting of coconut husks;

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- Pesticide use in adjoining agricultural areas; - Sewage; - Noxious floating weeds (Salvinia and Eichornia); and - Dredging for lime shells and navigation.

Draining, filling and reclamation of backwater areas, construction of bunds and salt-water exclusion projects and extensive dredging operations for non-fishery projects have progressively damaged the ecosystem. “Entire backwater systems and other identified areas adjacent to the backwaters and sea need to be protected as potential areas for aquaculture and similar operations for the future development of fisheries.” (Nair, 1996).

Mangroves Kerala mangroves have high species diversity (32 different mangrove species), although two species have disappeared over the last decades, and more are threatened.

The mangrove ecosystems are biologically rich. The zooplankton strata are represented by almost all groups of aquatic forms like protozoans, sponges, carnivorous coelenterates (clenophora, hydromedusae, and polychaetes). Fishes are plentiful. Crustaceans include crabs, shrimps and barnacles; molluscs include clams, oysters, mussels and their larvae. Decapod crustaceans like the Uca and Scylla are numerous. Otters, water snakes, tortoises, resident and migratory birds water fowls form the characteristic vertebrate fauna.

Indiscriminate reclamation of backwater wetlands during the past few decades has reduced the extent of mangroves from 700 km2 to only 50 km2. The majority of the remaining mangroves stands are distributed, unevenly, among the districts containing the five project cities:

Kozhikode District 3,500 ha Thrissur District 25 ha Ernakulam District (Kochi) 250 ha Kollam District 15 ha Thiruvananthapuram District 15 ha Total 3,805 ha

Coastal Erosion Three hundred and seventy kilometers of the Kerala coast are subject to erosion. Beach abrasion rates are as high as 5.2 m/yr (at Chellanen) and 3.1 m/yr (at Thattappally). These are also small areas of accretion which offset this trend but do not balance it.

C.7 Social and Cultural Resources Information on social and cultural resources for the Local Self Government area should be considered here in as much as it influences the planning for infrastructure facilities. For example: population and communities (e.g. numbers, locations, composition, employment), health facilities (this may have a significant impact on solid waste management impact, management and design), education facilities, socio-economic conditions (e.g. community structure, family structure, social well being).

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Items of cultural heritage, resources for traditional purposes, structures or sites that are of natural, historical, archaeological, scientific, or architectural significance should also be identified.

Several areas of outstanding natural beauty along the Kerala coasts have been nominated in the Coastal Management Plan (1995), but their boundaries cannot be drawn at present, as no study has been undertaken by the concerned departments to specifically locate them. However, there are some cliff areas which can be demarcated under this category (e.g. Chowar, Vizhinjam, Kovalam, Varkala, Ezhimala etc).

Areas of Outstanding Natural Beauty

Place name District Remark Puvar south Thiruvananthapuram Wide beach, back water Pulinkudi-Kovalam Thiruvananthapuram Rocky cliff, extensive stable beach Sankumugham Thiruvananthapuram Beach, archaeological sites, palace, park Veli Thiruvananthapuram Tourist Village, backwater, beach tourism, park Papanasam-Varkala Thiruvananthapuram Cliff & beach, artesian springs, temple Edava Kollam Barrier beach & backwater at close proximity, coconut grove Kappil Kollam Barrier beach, extensive backwater, coastal road Pozhikkara Kollam Pozhi (permanently connected to sea) with canal, temple, coconut groves Mundakkal Kollam Park, extensive stable beach (Jonnapuram) Thirumullavaram Kollam Bay, beaches, coconut groves, temple, pond Palliyamturuth Kollam Uninhabited island (islet) with beautiful backwater surroundings Alappuzha Alappuzha Extensive stable beach, park, pier suitable for recreational fishing Fort Kochi Ernakulam Wide beach backed by backwater Cherai Ernakulam Extensive beach with sea and backwater frontage, park Bekal Kasargod Fort on high cliff, wide beach around backwater Kottikulam Kasargod Promontory and pocket beach around

List of Heritage areas along the Kerala Coast

Place name District Remarks Sankumugham Thiruvananthapuram Temple Vettukad Thiruvananthapuram Church Papanasam Thiruvananthapuram Pozhikkara- Paravur Kollam Church Neendakara Kollam Church Arthungal Alappuzha Church

The Archaeology Department has declared several areas as historically important. They are listed in the table.

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List of historical areas (Source Dept. of Archaeology)

Place name District Remarks Kottukal Thiruvananthapuram Vizhinjam Bhagavathy temple Sankumugham Thiruvananthapuram Palace, mandapam Anjengo fort Thiruvananthapuram Fort Thangasseri Kollam Fort & lighthouse Karunagapally Kollam Buddha image Ambalapuzha Alappuzha Buddha image, Karumadi Vaikom Kottayam Temple with fine panels of mural paintings Mattancheri Ernakulam St. Francis Church Chennamangalam Ernakulam Granite stone, Hebrew inscriptions Chennamangalam Ernakulam Pallipuram fort Chennamangalam Ernakulam Manjapra temple Chennamangalam Ernakulam Kovilakam- palace site of Raja of Villaravattath Chennamangalam Ernakulam Vaipikkota Seminary built by Portuguese in 18th century Parur Ernakulam Stone inscription Chemanchery- Kozhikode Kappad pillar-monument of the arrival of Vasco de Gama Quilandy Bekal Kasargod Bekal Fort

C.8 Developmental Setting The developmental context of the site should be briefly discussed: for example; neighboring infrastructure facilities (e.g. water supply, sewerage, flood control), transportation (roads, harbors, airports, and navigation), power sources and transmission, agricultural development, mineral development, and tourism facilities.

C.9 Site Environmental Setting The site environmental setting should focus on those aspects of the site and its immediate surroundings which will influence the development of the site or be impacted by site development.

There are environmental factors important for examination which is specific to road alignments. One such major issue concerns the on site environmental sensitivities along the road alignment (i.e. the availability of road width to ensure safety of pedestrians as well as road side residential and commercial activities). Appropriate road width is essential not only for road safety but for the space required for implementing mitigation measures, such as protecting sensitive receptors from excessive traffic noise or air pollution.

Local Climate The local climate will be important for air pollution issues. Any peculiarities which distinguish the site from the climatic norms of the surrounding area (e.g. winds and exposure) should be described.

Terrain and Drainage Many candidate sites for KLGDF developments will be low lying. Local elevation should be reported and the terrain pattern, especially direction and pattern of drainage, should be described. Identify the watershed within which the site is located and its relationship to the drainage of neighbouring areas.

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Air Quality Air quality data should be collected and presented for the town area to provide a baseline. Data for both particulate and gaseous pollutants should be sought. The example below is data collected for the KSUDP road upgrade subproject in Thrissur Municipality.

Ambient Air Quality for Dust Pollution in Thrissur City

SPM RSPM Location Max Min Avg SD Max Min Avg SD T1 57 3 14 14 25 3 7 5.0 T2 55 3 24 23 313 12 59 82.0 T3 58 3 19 16 57 4 20 14.0 T4 40 3 13 11 22 3 8 6.0

Ambient Air Quality for Gaseous Pollution in Thrissur City

S02 NO2 NH3 Location Max Min Avg SD Max Min Avg SD Max Min Avg SD T1 17 2 6 5 92 9 46 23.3 85 17 53 19.8 T2 36 1 8 9 53 7 22 15.3 82 12 49 20.2 T3 17 1 8 5 100 12 47 26.9 745 24 110 153 T4 25 1 8 7 110 7 52 33.1 201 3 83 55.2

Land Use The topology of road side activities should be provided. The example below from the KSUDP road upgrade subproject in Thrissur Municipality.

Land Use (%) Name of the Road Section Residential Commercial Industrial/Institutional Thrissur - Mannuthy Road (Old NH 84 16 0 47 section) From Swaraj Round to Thalore 57 43 0 Junction Thrissur - Kodungaloor Road 38 58 0 Thrissur - Kandasankadavu Road 78 22 0 (West Fort Jn. to Ollari) Link Road connecting Ernakulam Road and Kodungaloor Road from 100 0 0 Chiyyaram to Kurukkancherry KSRTC - Fathima Nagar Jn (2 km) 48 52 0 Improvement to Swaraj Round 0 96 0

Sensitive Receptors along the alignment of proposed road sections Other sensitive receptors affected by road improvements are hospitals, schools/colleges and religious places. Also, tree cutting for road widening purposes is an issue and is discussed below.

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This road sub-project primarily aims to improve city road networks and also improve the prevailing environmental conditions associated with this infrastructure. Therefore the on site plans drawn to implement mitigation measures should be practical and should be designed to accommodate in-situ practical limitation on land availability.

Sl. No. Road Name Activities & Sensitive Average available Required land Approximate LA Receptor (including trees) land width (m.) width (m.) requirement (m2) 1 Thrissur - Shornur Road Km 2/20 - Km 4/700 of the 1.1 PWD Road(2.5 km) Thrissur - Mannuthy Road (Old ƒ Trees identified along 2 NH 47 section) the road:26 ƒ Area is predominantly residential with approx 132 residential Km 0/0 to Km 2/0 of PWD structures. 2.1 Road (2 km) ƒ Commercial structures identified are approx. 60, Commercial complexes. ƒ Area is predominantly residential with approx. 222 identified structures. Private property identified are 18; Km 2/0 to Km 5/0 of PWD ƒ Commercial 2.2 18-20 18.30 Road (3 km) establishment on either side is about 60; with 5 commercial complexes. Other structures include 3 churches, 1 mosque, 1 temple, 1school and 1 park. Thrissur - Ernakulam Road ƒ Trees identified along 3 (Old NH 47 section) the road:46 ƒ Mix of residential and commercial structures. ƒ Approx. 525 residential structures were identified; about 35 private properties. ƒ Commercial From Swaraj Round to Thalore establishments 3.1 10.50 to 14 11.5 400.00 Junction (8 km) identified are about 362. Commercial complexes are about 23. ƒ Other structures identified are 9 churches; 1 school; 1 children’s home; 1 hospital. ƒ Trees identified along 4 Thrissur - Kodungaloor Road the road :61 Kokkali Jn. to Kurukkancherry 4.1 10 to 15 11.5 50.00 section (2 km)

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Sl. No. Road Name Activities & Sensitive Average available Required land Approximate LA Receptor (including trees) land width (m.) width (m.) requirement (m2) Thrissur - Kandasankadavu ƒ Trees identified along 5 Road (West Fort Jn. to Ollari) the road:5 5.1 Km 0/0 - 0/500 (0.5 km) 11 to 13 11.5 50.00 5.2 Km 0/5 - 3/00 (2 km) 11 to 12 11.5 Link Road connecting Ernakulam Road and ƒ Trees identified along 6 Kodungaloor Road from 11 to 12 11.5 50.00 the road: 126 Chiyyaram to Kurukkancherry (2 km) Improvement to Inner Ring ƒ Trees identified along 7 Road the road: 3 KSRTC - Fathima Nagar Jn (2 7.1 km) Improvement to Swaraj Round ƒ Trees identified along 8 (3 km) the road: 8

Street Trees The road widths available for upgrade are limited and hence, the number of road side trees impacted is not large. The age or cultural/religious values of these trees should be established for making any decisions on their removal.

C.10 Screening of Potential Environmental Impacts and Mitigation Measures The main purpose of projects assisted by KLGDF is to improve urban environmental conditions. As such, there are many environmental benefits to the proposed works. This section, however, focuses on the identification of potential adverse environmental impacts short and long term. Mitigation measures are proposed with recommended monitoring actions to be conducted during implementation to minimize any adverse environmental impacts. The mitigation measures will form the basis for an environmental monitoring plan during the implementation stages of the project.

The screening for environmental impacts is broken down into four categories, coinciding with the major phases of the project:

„ Location impacts: those impacts associated with site selection, and include loss of on-site biophysical array and encroachment either directly or indirectly on adjacent environments. It also includes impacts on people who will lose their homes or livelihood by the development of that site.

„ Design impacts: those impacts arising from project design, including technology used, scale of operation/throughput, waste production, discharge specifications, pollution sources and ancillary services.

„ Construction impacts: those impacts caused by site clearing, earthworks, machinery, vehicles and workers. Construction site impacts include erosion, dust noise and wastewater.

„ O & M impacts: those impacts arising from the operation and maintenance activities of the infrastructure facility. These include drainage maintenance and occupational health and safety issues.

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For the proposed project, the magnitude and significance of predicted impacts are described for each of the four categories of impact. For each impact, a mitigation measure should be identified. Mitigation measures can be:

„ safeguards to avoid the impact,

„ measures to minimize it, or

„ features provided to offset the impact.

An impact assessment and identification of mitigation measures typical for road system upgrade activities in cities of the Kerala coastal plain are as follows:

Location

Location impacts per se will relate primarily to small areas of new road proposals (if extensive new construction were involved, the project would be classified Category A and require an EIA).

Impacts Mitigation Measures Loss of on-site ecology or natural feature Control of site layout to avoid or minimize loss of natural features Loss of household residences, business premises, Arrange site layout to minimize dislocation of or livelihood (gardens, agricultural land) community. Preparation and implementation of a Resettlement Plan (RP) which conforms to the stipulations and guidelines provided in Asian Development Bank’s Policy on Involuntary Resettlement. Encroachment on backwater areas or wetlands Amend layout to avoid loss of mangroves. Amend layout to avoid any filling of backwater areas. Minimize intrusion on backwater foreshore areas

Design

Impacts Mitigation Measures Disruption of commercial activities. During detailed design stage minimal land acquisition may be necessary. Resettlement issues to be addressed by the RP. Encroachment on and loss of natural heritage Loss of Street trees to be minimized. New trees items planted where losses have occurred. Encroachment on and loss of Detailed inventory of items and their heritage historical/cultural/monument/areas significance required. Include significantly large and/or old street trees.

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Construction

Impacts Mitigation Measures Road blocking and/or increased traffic during Include construction site management provisions in construction of facilities contracts to cover traffic management. Noise/dust or any hazardous material generated Include construction site management provisions in from construction activities contracts to cover dust and noise management (including water spraying and scheduling of activities). All precautions will be taken to reduce the level of dust emissions from the hot mix plants, crushers and batching plants. Delivery vehicles will be covered. Mixing equipped as per existing standards. The plants and equipment used for construction will conform to noise standards. Workers will be provided with appropriate noise protection. The noise level will be monitored during the construction. Construction vehicles and equipment will be maintained and refueled so that spillage does not contaminate the soil. Fuel storage and refueling sites will be kept away from drainage channels and important water bodies. To avoid contamination from fuel and lubricants, the vehicles and equipment will be properly maintained and refueled. Waste petroleum products will be collected, stored, and disposed of at the approved sites as per Indian Hazardous Waste Management and Handling Rules, 2002. Silt runoff during construction leading to Include construction site management provisions in impairment of down stream water quality and land contracts to cover: values. Site preparation, which minimizes clearing and disturbance to adjoining vegetation and natural areas. Protection of unstable soil surfaces from high velocity runoff (interception drains and temporary stabilization) Siting of construction material stockpiles and access routes to avoid and disturbance to adjoining vegetation and natural areas.

Operation and Maintenance

Impacts Mitigation Measures Noise and vibrations leading to nuisances to Mitigation by barriers/earthworks, vegetation planting travellers and neighbours. where possible. Space for mitigation measures may not be available for existing road upgrades. Full mitigation not expected Increased air pollution leading to nuisances and Unavoidable impact due to increased traffic using health hazards to travellers/workers. upgraded roads. Changes in fuel chemistry and low pollutant motor vehicles outside the scope of this assessment.

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Mitigation measures should be summarized in a table with the following format. Since the specific design, construction and operational activities of the project activities are not well defined, proposed measures will need to be revised along with the accompanying environmental management plan prior to the implementation of the project.

The institutions responsible for implementing the proposed mitigation measures are taken from those identified under Implementation Arrangements and Capacity Building by KSUDP. The cost estimates are mainly indicative of the effort required over the period of the project. Prior to implementation, further review of these cost estimates will be required.

Project Activity Impact Potential Proposed Institutional Preliminary No. Environmental Mitigation Responsibilities Costing Impacts Measures Location L1 L2 L3 etc Design D1 D2 Construction C1 C2 Operation & OM1 Maintenance OM2

C.11 Environmental Monitoring Plan Tables C.1 provides a summary of recommended environmental monitoring programs based on responses to potential adverse impacts listed in Section 5.

Table C.1

Impact Mitigation Parameters Location Measurements Frequency Responsibilities Costs No. Measure to be Monitored

Institutional Requirements for Environmental Management The Local Self Governments (LSGs) will be responsible for preparing the initial environmental examination (IEE) for each project and a summary IEE (SIEE) for all infrastructure developments to be funded under the KLGDF in that town. The LSG will also be responsible for implementing the Environmental Monitoring Plan stipulated in this IEE (presented as Table C.1 above).

The LSG will submit these environmental assessment and management documents to the KLGDF for review, and undertake the implementation of EMPs. The KLGDF will (i) review the documents

FR Volume 8 – Environmental Assessment Framework PART 3 PAGE 61 TA 4106 –IND: Kerala Sustainable Urban Development Project Project Preparation prepared by the LSGs, (ii) consolidate documents submitted by the LSGs and submit them to ADB for review, and (iii) supervise the LSGs on the implementation of EMPs.

It is proposed that the KLGDF will be managed by an Asset Management Company (AMC) called Kerala Local Government Infrastructure Services Finance Company Limited (KLGISFCL); staff from KLGISFCL will oversee environmental assessments submitted by LSGs for specific projects and regularly monitor the implementation of mitigation measures.

C.12 Community Consultation and Information Disclosure This section should describe the stakeholder consultation processes undertaken during the identification, feasibility planning, and initial design of the road system upgrade project. It should also document the process of informing the community about the environmental safeguards of the project.

The community consultation and information disclosure program undertaken for KSUDP in the five cities is presented below as an example.

During the Project scoping exercise considerable dialogue was had with the Municipal Corporation Mayors and technical staff as well as state line agencies. At the Mid Term Workshop, as part of the working group session, the City Mayors and officers were requested to proportion any funding that might be available for infrastructure improvements as an indicator of civic priority. The results assisted the prioritization of subproject selection.

Community priorities were examined through a Baseline Socio-Economic Survey, which was undertaken in all 5 Project cities. The 1% sample household survey included questions on municipal service delivery and priorities for improvement.

Community Municipal Service Priorities

City / Sector Social Water Sewerage / Urban Solid Waste Roads & Category Supply Sanitation Drainage Management Transport Thiruvananthapuram Poor 1 2 3 4 5 Non-Poor 4 1 2 3 4 Kollam Poor 1 2 3 4 5 Non-Poor 3= 1 3= 2 4 Kochi Poor 1 2 3 4 5 Non-Poor 1 2 3 4 5 Thrissur Poor 4 1 2 3 5 Non-Poor 2 1 3= 3= 5 Kozhikode Poor 1 2 3 4= 4= Non-Poor 1 2 3 4= 4=

Where projects involved relocation or resettlement of on-site residents or commercial premises, community stakeholders were initially consulted as part of the resettlement planning process. This is reported in {to be filled in Annex}.

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The environmental safeguards and impact mitigation measures which have been formulated for the project via the EIA process were presented to a community meeting in {Municipality} (section to be completed after meeting). An important community consultation and information disclosure exercise following on from this will be a program of “Public Awareness and Benefit Monitoring”.

A domestic Public Relation Consultant (PRC) firm will be employed to make the public aware of the short-term inconveniences and long-term benefits of the project in order to gain full support of the beneficiaries for the project. Beneficiaries will also be made aware of preventive care to avoid environmental health-related hazards. In addition, a domestic Benefit Monitoring and Evaluation Consultant (BMEC) firm will be required to help in generating baseline data which will be monitored to assess impact of the Project and providing guidance for mid course correction, if required, and assess benefits on commissioning of the Project.

C.13 Conclusions Findings The screening process for potential environmental impacts for the upgrading of urban roads in {Municipality} has found that the positive impacts of the project far outweigh the potential adverse impacts. All potential adverse impacts can be mitigated by measures identified in the Environmental Management Plan. Since this IEE has not identified any significant environmental issues, no further EIA studies are recommended for this project.

Any additional studies or special mitigation issues which significantly affect the project concept should be described here.

Conclusion The following is a conclusion that the proposed development will cause no significant environmental impact (taking account of the recommended mitigation measures) and that the Category B classification is appropriate. Where additional studies are required, these should be stated in the conclusion.

All proposed works for the upgrading of urban roads project in {Municipality} would greatly improve the overall environmental quality of the Municipality. In particular, the reduction in traffic congestion will reduce noise and pollution to nearby residents and business premises. Development of pedestrian facilities and drains will enhance the environmental amenity of the roads. The Project is considered not to have significant environmental impacts and classification B is considered appropriate.

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Attachment 1. Ambient Water Quality Standards

SW-II WATERS (For Bathing, Contact Water Sports and Commercial Fishing)

Parameter Standards Rationale/Remarks PH range 6.5 – 8.5 Range does not cause skin or eye irritation and is also conducive for propagating aquatic lives.

Dissolved Oxygen 4.0 mg/1 or 50 percent. Not less than 3.5 mg/1 at any time for protection of Saturation value, whichever is aquatic lives. higher Colour and Odour No noticeable colour or Specially caused by chemical compounds like offensive odour creosols, phenols, naphtha, benzene, pyridine, toluene, etc. causing visible colouration of water and tainting of and odour in fish flesh.

Floating Matters Nothing obnoxious or None in concentration that would impair usages detrimental for use purposes. specially assigned to this class. Turbidity 30 NTU (Nephelo Turbidity Measured at 0.9 m depth. Unit) Fecal Coliform 100/100 ml (mpn) The average value not exceeding 20/100 ml. In 20 per cent. Of samples in the year and in 3 consecutive samples in monsoon months.

Biochemical Oxygen 3 mg/1 Restricted for bathing (aesthetic quality of water). Demand {BOD) {3 Also prescribed by IS: 2296-1974. days at 270C}

SW-III WATERS [For Industrial Cooling, Recreating (non-contact) and Aesthetics]

Parameter Standards Rationale/Remarks PH range 6.5-8.5 The range is conducive for propagation of aquatic species and restoring natural system. Dissolved Oxygen 3.0 mg/1 or 40 percent. To protect aquatic lives. Saturation value, whichever is higher Colour and Odour No noticeable colour or None in such concentration that would impair usages offensive odour specifically assigned to this class. Floating Matters No visible, obnoxious floating debris, oil slick, scum

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SW-IV WATERS (for Harbours Waters)

Parameters Standards Rationale/Remarks pH range 6.5-9.0 To minimize corrosive and scaling effect. Dissolved Oxygen 3.0 mg/1 or 40 percent. Considering bio-degradation of oil and inhibition to Saturation value, oxygen production through photosynthesis. whichever is higher.

Colour and Odour No visible colour or None from reactive chemicals, which may corrode offensive odour paints/metallic surfaces.

Floating materials Oil, 10 mg/1 Floating matter should be free from excessive living grease and scum (including organisms, which may clog or coat operative parts Petroleum products) of marine vessels/equipment.

Fecal Coliform 500/100 ml (MPN) Not exceeding 1000/100 ml. In 20 per cent of samples in the year and in 3 consecutive samples in monsoon months

Biochemical Oxygen 5 mg/1 To maintain water relatively free from pollution Demand (3 days at 270C) caused by sewage and other decomposable wastes.

SW-V WATERS (For Navigation and Controlled Waste Disposal)

Parameter Standards Rationale/Remarks pH range 6.0-9.0 As specified by New England Inter-State Water Pollution Control Commission Dissolved Oxygen 3.0 mg/1 or 40 per cent. To protect aquatic lives. Saturation values whichever is higher. Colour and Odour None in such As in (1) above. concentrations that would impair any usages specifically assigned to this class Sludge deposits, Solid None except for such As in (1) above. refuse, floating solids, oil, small amount that may grease & scum result from discharge of appropriately treated sewage and / or industrial waste effluents. Fecal Coliform 500/100 ml (MPN) Not exceeding 1000/100 ml in 20 per cent. Of samples in the year and in 3 consecutive samples in monsoon months.

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Attachment 2. Municipal Solid Waste (Management and Handling) Rules, 2000

The Municipal Solid Waste (Management and Handling) Rules, 2000

S.O.908 (E) dates 25th September, 2000 – in exercise of the powers conferred by Secs. 3, 6 and 25 of the Environment (Protection) Act. 1986 (29 of 1986), the Central Government hereby makes the following rules to regulate the management and handling of the municipal solid wastes.

Defined it may be treatment here to highlight the responsibility of local bodies under the responsibility of municipal authority.

„ Every municipal authority shall, within the territorial area of the municipality, be responsible for the implementation of the provisions of these rules, and for any infrastructure development for collection, storage, segregation, transportation, processing and disposal of municipal solid wastes.

„ The municipal authority of an operator of a facility shall make an application in Form I, for grant of the State authorization for setting up waste processing and disposal facility including landfills form the State Board or the Committee in order to comply with the implementation programme laid down in Sch.1.

„ The municipal authority shall comply with these rules as per the implementation schedule laid down in Sch.1.

„ The municipal authority shall furnish its annual report in Form II

„ To the Secretary in charge of the Department of Urban Development of the concerned State or as the case may be of the Union Territory, in case of a metropolitan city; or

„ To the District Magistrate or the Deputy Commissioner concerned in case of all other towns and cities. With a copy to the State Board or the Committee on or before the 30th day of June every year. Responsibility of the State Government and the Union Territory Administrations. 1) The Secretary-in charge of the Department of Urban Development of the concerned State or the Union Territory, as the case may be, shall have the overall responsibility for the enforcement of the provisions of these rules in the metropolitan cities. 2) The District Magistrate or the Deputy Commissioner of the concerned district shall have the overall responsibility for the enforcement of the provisions of these rules within the territorial limits of there jurisdiction.

Responsibility of the Central Pollution Control Board and the State Board or the Committee. 1) The State Board or the Committee shall monitor the compliance of the standards regarding groundwater, ambient air, leachate quality and the compost quality including incineration standards as specified under Schs. II, III and IV. 2) The State Board or the Committee, after the receipt of application from the municipal authority or the operator of a facility in Form 1, for grant of authorization for setting up waste processing and disposal facility including landfills, shall examine the proposal taking into consideration the views of other agencies like the State Urban Development Department, the Town and Council

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Planning Department. Air Port or Air Base Authority, the Ground Water board or any such other agency prior to issuing the authorization. 3) The State Board or the Committee shall issue the authorization in Form III to the municipal authority or an operator of a facility within forty-five days stipulating compliance criteria and standards as specified in Schs.II, III and IV including such other conditions, as may be necessary. 4) The authorization shall be valid for a given period and after the validity is over, afresh authorization shall be required. 5) The Central Pollution Control Board shall co-ordinate with the State Boards and the Committees with particular reference to implementation and review of standards and guidelines and compilation of monitoring data.

Management of municipal solid wastes 1) Any municipal solid waste generated in a city or a town, shall be managed and handled in accordance with the compliance criteria and the procedure laid down in SchII. 2) The Waste processing and disposal facilities to be set up by the municipal authority on their own or through an operator of a facility shall meet the specifications and standards as specified in Schs.III and IV.

The Central Pollution Control Board shall prepare the consolidated annual review report on management of municipal solid wastes and forward it to the Central Government along with its recommendations before the 15th December every year.

Accident Reporting: When an accident occurs at any municipal solid wastes collection, segregation, storage, processing, treatment and disposal facility or landfill site or during the transportation of such wastes, the municipal authority shall forthwith report the accident in Form V to the Secretary in charge of the urban Development Department in metropolitan cities, and to District Collector or Deputy Commissioner in all other cases.

Table 2-1: Implementation Schedule

Sl.No. Compliance Criteria Schedule 1 Setting up of waste processing and disposal facilities By 31-12-2003 or earlier 2 Monitoring the performance of waste processing and disposal facilities Once in six months 3 Improvement of existing landfill sites as per provisions of these rules By 31-12-2001 or earlier 4 Identification of landfill sites for future use and making site(s) ready for By 31-12-2002 or earlier operation

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Table 2-2: Standards for Surface and Groundwater in and around Landfill Site

Parameters Maximum acceptable limit for drinking Arsenic 0.02 mg/l Cadmium 0.01 mg/l Chromium 0.02 mg/l Fluoride 1.5 mg/l Lead 0.05 mg/l Mercury 0.001 mg/l Nitrate 10.0 mg/l pH 6.5-7.5 Conductivity 100-200 u mhos/cm Total dissolved solids 500 mg/l Chlorides 250 mg/l Sulfates 1000 mg/l Color 5 hazon units BOD 30 mg/l or lower COD 250 mg/l or lower

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Attachment 3. The Bio-Medical and Hazardous Waste: Management and Handling

Bio-medical waste management and handling rules, 1998.

S.O 630 (E), dated 20th July, 1998: In exercise of the powers conferred by Secs. 6, 8 and 25 of the Environment (Protection) Act, 1986 the Central Government herby notifies the rules for the management and handling of bio-medical waste.

Prescribed authority: 1) The prescribed authority for enforcement of the provision of these rules shall be the State Pollution Control Board in respect of States and the Pollution Control Committees in respect of the Union territories and all pending cases with a prescribed authority appointed earlier shall stand transferred to the concerned State Pollution Control Board, or as the case may be, the Pollution Control Committee. 2) The prescribed authority for the State or Union territory shall be appointed within one month of the coming into force of these rules. 3) The prescribed authority shall function under the supervision and control of the respective Government of the State or Union territory. 4) The prescribed authority shall on receipt of Form I make such enquiry as it deems fit and if it is satisfied that the applicant possesses the necessary capacity to handle bio-medical waste in accordance with these rules, grant or renew an authorisation as the case may be. 5) An authorisation shall be granted for a period of three years, including an initial trial period of one year from the date of issue. Thereafter, an application shall be made by the occupier/operator for renewal. All such subsequent authorisation shall be for a period of three years. A provisional authorisation will be granted for the trial period, to enable the occupier/operator to demonstrate the capacity of the facility. 6) The prescribed authority may after giving reasonable opportunity of being heard to the applicant and for reasons thereof to be recorded in writing, refuse to grant or renew authorisation. 7) Every application for authorisation shall be disposed of by the prescribed authority within ninety days from the date of receipt of the application. 8) The prescribed authority may cancel or suspend an authorisation, if for reasons, to be recorded in writing, the occupier/operator has failed to comply with any provision of the act or these rules:

Provided that no authorisation shall be cancelled or suspended without giving a reasonable opportunity to the occupier/operator of being heard.

Authorization 1) Every occupier of an institution generating, collecting, receiving, storing transporting treating, disposing and/or handling bio-medical waste in any other manner, except such occupier of clinics, dispensaries, pathological laboratories, blood banks providing treatment/service to less than 1000 (one thousand) patients per month, shall make an application in Form I to the prescribed authority for grant of authorization.

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2) Every operator of a bio-medical waste facility shall make an application in form I to the prescribed authority for grant of authorization. 3) Every application in Form I for grant of authorization shall be accompanied by a fee as may be prescribed by the Government of the State or Union territory.

[The authorization to operate a facility shall be issued in Form IV, subject to conditions laid therein and such other condition, as the prescribed authority, may consider it necessary].

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Attachment 4. Noise Pollution Standards and Ambient Air Quality Standards

Ambient Air Quality Standards In Respect Of Noise

Limits in dB(A) Leq* Category of Area/Zone Day Time Night Time Industrial area 75 70 Commercial area 65 55 Residential area 55 45 Silence Zone 50 40 1) Day time shall mean from 6.00 a.m. to 10.00 p.m. 2) Night time shall mean from 10.00 p.m. to 6.00 a.m. 3) Silence zone is an area comprising not less than 100 metres around hospitals, educational institutions, Courts, religious places or any other area which is declared as such by the competent authority.

NATIONAL AMBIENT AIR QUALITY STANDARDS (NAAQS)

Pollutant Time Weighted Concentration Residential, Rural Sensitive Method of Average in Ambient air and other area Area measurement Industrial Area Sulphur Annual Average 80 µg/m3 60 µg/m3 15 µg/m3 _Improved West and Dioxide * Gaeke method (SO)2

24 hours** 120 µg/m3 80 µg/m3 30 µg/m3 -Ultra-violet fluorescence Oxides of Annual 80 µg/m3 60 µg/m3 15 µg/m3 -Jacob Hochhiser nitrogen as Average** Modified {Na-Arsenite NO2 method). 24 hours** 120 µg/m3 80 µg/m3 30 µg/m3 -Gas phase Chemilum inescence.

Suspended Annual 360 µg/m3 140 µg/m3 70 µg/m3 -High Volume Sampling particulate Average*

matter (SPM) -Average flow rate not 3 24 hours** 3 3 3 less than 1.1 m /- 500 µg/m 200 µg/m 100 µg/m minute.]

Respirable Annual 120 µg/m3 60 µg/m3 50 µg/m3 -Respirable particulate Particulate Average* matter sampler matter {size 3 3 3 less than 10 150 µg/m 100 µg/m 75 µg/m um) 24 hours** {RPM}

Lead {Pb} Annual 1.0 µg/m3 0.75 µg/m3 0.50 µg/m3 - AAS Method after Average* sampling using EPM 2000 or equivalent filter 24 hours** 3 3 3 1.5 µg/m 1.00 µg/m 0.75 µg/m paper.

Carbon 8 hours* 5.0 mg/m3 2.0 mg/m3 1.0 mg/m3 -Non-diabersive, infrared Monoxide 1 hour 10.0 mg/m3 4.0 mg/m3 2.0 mg/m3 spector-scopy.

* Annual Arithmetic mean of minimum 104 measurements in a year taken twice a week 24 hourly at uniform interval.

* * 24 hours/8 hourly values shall be met 98 % of the time in a year. 2% of the time, it may exceed but not on two consecutive days.

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TA 4106-IND: KERALA SUSTAINABLE URBAN DEVELOPMENT PROJECT FINAL REPORT List of Documents

Volume 1: Main Report Volume 2: City Reports − Thiruvananthapuram − Kollam − Kochi − Thrissur − Kozhikode Volume 3: Social and Poverty Analysis Volume 4: Project Economic Analysis Volume 5: Initial Environmental Examination Volume 6: Technical Analysis Volume 7: Urban Management and Institutional Development Volume 8: Social & Environmental Safeguard Frameworks Volume 9: Short Resettlement Plan

Supplementary Reports Baseline Socio-economic Survey Urban Roads and Transport Survey Stakeholder Presentations