Kerala Sustainable Urban Development Project
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Government of Kerala Local Self Government Department Kerala Sustainable Urban Development Project (PPTA 4106 – IND) FINAL REPORT VOLUME 7 URBAN MANAGEMENT & INSTITUTIONAL DEVELOPMENT 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. TA 4106 –IND: Kerala Sustainable Urban Development Project Project Preparation FINAL REPORT VOLUME 7 – URBAN MANAGEMENT AND INSTITUTIONAL DEVELOPMENT Contents 1. Overview 1 1.1 Policy Context 1 1.2 Legislative and Administrative Framework 3 1.3 Institutional Arrangements and Service Delivery 4 1.3.1 Local Self Government Department 6 1.3.2 Service Provision in Project Cities 6 1.3.3 Inter Agency Coordination and Project Implementation 8 2. Urban Management 10 2.1 State Level Initiatives 10 2.1.1 Improving Service Delivery 10 2.1.2 Streamlining Systems and Procedures 10 2.1.3 Training 11 2.2 Municipal Initiatives 12 2.3 Community Development and Poverty Alleviation 12 3. Framework for Institutional Development 14 3.1 Infrastructure Planning 14 3.2 Core Service Delivery and Asset Management 15 3.3 Institutional Development 15 3.4 Financial Management 16 3.5 Community Development and Poverty Alleviation 16 3.6 KSUDP and MGP 17 4. Institutional Development Components 18 4.1 UMID Components 18 4.1.1 Capacity Building – LSGD and DUA 18 4.1.2 Capacity Building – Municipal Corporations 19 4.1.3 Training on Basic Service Delivery 20 4.1.4 Community Development and Poverty Alleviation 21 4.1.5 Community Awareness and Participation Program 22 4.2 Project Sustainability – KSUDP and GoK Actions 23 5. Institutional Responsibilities 26 5.1 Overview 26 5.2 Road Map for Decentralization 27 5.3 Institutional Responsibilities for KSUDP Sustainability 30 5.4 Decentralization of Water and Sewerage Services 38 5.5 Institutional Strengthening of KWA 39 5.5.1 MIS and System Development 40 FR Volume 7 - Urban Management & Institutional Development PAGE i TA 4106 –IND: Kerala Sustainable Urban Development Project Project Preparation 5.5.2 Customer Service 40 5.5.3 Organization Arrangements and Human Resources 41 5.5.4 Procurement and Inventory Management 41 5.5.5 Support to IS Master Plan 42 6. KSUDP Implementation Arrangements 43 6.1 Project Management and Administration 43 6.2 Executing and Implementing Agencies 43 6.2.1 Executing Agency 43 6.2.2 Implementing Agencies 44 6.3 Project Implementation Management 44 6.3.1 Project Management Office (PMO) 44 6.3.2 Project Implementation Units (PIU) 45 6.3.3 Project Implementation Support Services 46 6.4 Project Performance Monitoring System 49 FR Volume 7 - Urban Management & Institutional Development PAGE ii TA 4106 –IND: Kerala Sustainable Urban Development Project Project Preparation Annexes Annex A Kerala Development Program 1 Annex B Legislative and Administrative Framework 4 Annex C Institutional Arrangements 10 Annex D MC Organization Structure and Inter Department Coordination 13 Annex E MGP Initiatives 23 Annex F E-governance Status in Five Municipal Corporations (IKM) 26 Annex G Prospective Training Curriculum (KILA) 28 Annex H Capacity Building for Poverty Alleviation Initiatives 29 Annex I Policy and Institutional Reform Agenda 30 Annex J Project Performance Management System 36 Annex K Proforma of the Project Progress Report 42 Annex L Framework and Guidelines In Calculating Project Progress 44 Annex M Project Administration & Institutional Development Costing 46 FR Volume 7 - Urban Management & Institutional Development PAGE iii TA 4106 –IND: Kerala Sustainable Urban Development Project Project Preparation List of Tables Table 1-1: Legislations, Regulations and Rules 3 Table 1-2: Utilization of Centrally Sponsored Poverty Alleviation Scheme Funds 8 Table 4-1: Project Sustainability – KSUDP and GoK Actions 24 Table 5-1: Road Map for Decentralized Service Provision – Water and Sanitation 28 Table 5-2: Sub-Projects - Thiruvananthapuram 31 Table 5-3: Sub-Projects - Kollam 32 Table 5-4: Sub-Projects - Kochi 33 Table 5-5: Sub-Projects - Thrissur 34 Table 5-6: Sub-Projects - Kozhikode 36 FR Volume 7 - Urban Management & Institutional Development PAGE iv TA 4106 –IND: Kerala Sustainable Urban Development Project Project Preparation List of Figures Figure 1-1: Institutional Arrangement at the State Level 5 Figure 6-1: KSUDP – Proposed Implementation Arrangement 47 Figure 6-2: KSUDP – Proposed Project Management Structure 48 FR Volume 7 - Urban Management & Institutional Development PAGE v TA 4106 –IND: Kerala Sustainable Urban Development Project Project Preparation 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 Organisation 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 INRM India Resident Mission 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 FR Volume 7 - Urban Management & Institutional Development PAGE vi TA 4106 –IND: Kerala Sustainable Urban Development Project Project Preparation 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 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 FR Volume 7 - Urban Management & Institutional Development PAGE vii TA 4106 –IND: Kerala Sustainable Urban Development Project Project Preparation 1. Overview 1.1 Policy Context Subsequent to the 74th Constitution Amendment Act (CAA), 1992 the Government of Kerala (GoK) embarked on a policy of decentralization of powers to local governments. The Kerala Municipalities Act, 1994, was drafted based on decentralization principles laid down in the 74th CAA. In September 1995, GoK transferred powers and functions to local governments; along with institutions, offices and functionaries. GoK chose to operationalize the decentralization process through participatory local- level planning and initiated it through the People’s Plan Campaign or the Kerala Development Program (refer Annex A). Key features of the decentralization initiative comprised (i) transferring health related institutions (except medical colleges and regional speciality hospitals) to local governments; (ii) transferring all schools to Urban Local Bodies (ULBs); (iii) planning and implementing centrally sponsored poverty alleviation schemes through ULBs; (iv) planning social welfare schemes, implementing Integrated Child Development Scheme (ICDS), payment of various social security pensions, and creating centres for disabled care are ULB responsibilities; and (v) planning and providing urban basic services, including water supply, sanitation, storm water drainage and urban roads (excluding those provided / maintained by the State Public Works Department). The 9th Five-Year Plan (FYP) between 1998-2002 witnessed a fiscal crisis, with growing revenue deficits arising out of (i) debt servicing on high borrowings; (ii) increase in salary and pension payments following the 5th Pay Commission and University Grant Commission (UGC) revisions; and (iii) sluggish growth in revenues and Central Government transfers. However, despite the moderate growth key achievements during the plan period comprised (i) decentralization of development through local governments; (ii) institutionalization of e-governance and computerization of departments; (iii) development of the tourism sector and the consequent impact on employment opportunities; (iv)