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
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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
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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
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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
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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
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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 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
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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
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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) reduction of poverty through synergies between local governments and Kudumbashree/SPEM (State Poverty Eradication Mission); (v) development of Scheduled Castes (SC) and Scheduled Tribes (ST); (vi) launch of a participatory rural water supply project in six districts of the State; (vii) commissioning 13 power projects and completion of irrigation projects; and (viii) improvement of the State’s education system.
10th FYP Focus and Decentralization. Based on the lessons learnt through the 9th FYP, the 10th FYP (2002-07) for Kerala is based upon local government’s development plan and focuses on (i) reforms and improving organization efficiencies; (ii) increasing allocation in information technology, tourism infrastructure, poverty reduction and health; (iii) planning programs to facilitate employment generation; (iv) promoting private sector investment in economic development; (v) preparing sub- plans for poverty reduction with participation of women groups and focus on vulnerable sections of the society; (vi) evolving a plan for the disabled and women beneficiaries; (vii) strengthening decentralization and improving the planning process; (viii) continuing support to increased use of information technology in all facets of development; (ix) continuing support to tourism infrastructure development; (x) promoting the development of village and small industries; (xi) promoting the
FR Volume 7 - Urban Management & Institutional Development PAGE 1 TA 4106 –IND: Kerala Sustainable Urban Development Project Project Preparation participation of private sector in providing education; and (xii) improving service delivery in key areas like health, revenue, education, etc.
Fiscal Decentralization. Fiscal decentralization in Kerala requires the Municipal Corporation to generate own sources of revenue income and is assigned own taxes comprising property tax, profession tax, advertisement tax, entertainment tax and service tax. Based on the recommendations of the First State Finance Commission, in addition to devolving surcharge on stamp duty and 20% of the net collection of motor vehicle tax, and basic tax was also devolved to the MCs. For functions and schemes transferred after the 74th CAA, Plan and Non-plan grants are provided in a tied form; GoK also devolves untied plan grants equivalent to an amount greater than one-third the approved plan size of the State. Key features identified for fiscal decentralization include:
Devolution of State funds – Plan (untied and not less than 33% annual size of State Plan – of the total allocation to a local self government institution, 30% is allocated for SC/ST development and 70% is allocated for general purposes and comprises 10% in productive sectors, 10% for slum infrastructure, not more than 50% on infrastructure, and 30% for service sector); Asset Maintenance (Non-plan tied/5.5% of annual own-tax revenue of GoK); and General Purpose (Non-plan untied/3.5% of the annual own-tax revenue of GoK);
Entitlements to individual local governments based on a formulae and stipulating that no part of the devolved funds should be used for staff salaries and establishment expenditure;
Implementation of the plinth area based system of property taxation and increase in tax base through property mapping; affecting a four-yearly revision to property tax;
Asset survey of ULB own property and transferred properties to be carried out for devolution of asset maintenance fund;
Service tax to be made compulsory and linked to the cost of performing obligatory functions;
Carrying out two-yearly revision to non-tax license items and advertisement tax;
Releasing funds in fourteen instalments during a fiscal year; any shortfalls in fund usage would result in allocation lapsing.
Of importance is the feature regarding planning and implementing projects prepared by local self governments – 30-40% of the plan size of the State’s budget was set apart for local self governments with 15% of the said amount earmarked for ULBs.
The KM Act, recommendations of the State Finance Commission, the Decentralization of Powers Act and the Urban Policy and Action Plan govern urban management by the municipal corporations. The Urban Policy and Action Plan, 2002 was formulated to address the urbanization trends in the State and key elements comprise:
Preparation of a development vision;
Promotion of private sector participation;
Identification of growth centres for economic development;
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Preparation of a database to assist urban land consolidation;
Conservation of heritage structure and open space;
Urban road planning;
Provision of primary health care services;
Provision of urban drainage services;
Preparation and implementation of solid waste management and sewerage services;
Administration of accounting reforms in LSGIs;
Transition to the plinth area system of property taxation;
Restructuring the Kerala Urban Development Finance Company; and
Introduction of IT enabled services.
1.2 Legislative and Administrative Framework The legislative and administrative framework governing urban infrastructure development and urban management is based on Acts, Rules and Regulations formulated by the Central and State Government. The legislations considered under KSUDP is detailed in Table 1-1 below and described in Annex B.
Table 1-1: Legislations, Regulations and Rules
Legislations, Rules and Regulations Infrastructure / Management A. Central Acts and Rules
a. Constitutional Provisions (Article 48 and 51) Infrastructure and Environment
b. Constitutional Provisions (Project Affected Persons) Infrastructure and Social
c. Land Acquisition Act, 1894 and as amended 1984 Infrastructure and Social
d. Wildlife Protection Act, 1972 Infrastructure and Environment
e. Water (Prevention and Control of Pollution) Act, 1974 and as Infrastructure and Environment amended in 1978 and 1988
f. Water (Prevention and Control of Pollution) Cess Act, 1974 Infrastructure and Environment
g. Environment Protection Act and Rules, 1986 Infrastructure and Environment
h. Forest (Conservation) Act, 1980 and as amended In 1988 Infrastructure and Environment
i. Environmental Guidelines for Rail / Road / Highway Projects, Infrastructure, Environment and MoEF, 1989 Social
j. Hazardous Waste (Management & Handling) Rules, 1989 Infrastructure and Environment
k. Biomedical Waste (Management and Handling) Rules, 1998 Infrastructure and Environment
l. Coastal Regulation Zone (CRZ) Notification, 1990 Infrastructure and Environment
m. 74th Constitutional Amendment Act (CAA), 1992 Infrastructure and Management
n. Environmental Impact Assessment Notification, 1994 Infrastructure, Environment and Social
o. Municipal Solid Waste (Management & Handling) Rules, 2000 Infrastructure and Environment
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Legislations, Rules and Regulations Infrastructure / Management p. Municipal Solid Waste (Management and Handling) Rules, Infrastructure and Environment Notification, Sept 2000
q. National Policy on Resettlement and Rehabilitation for Project Infrastructure and Social affected Persons, 2003
r. Labour Welfare Laws Infrastructure and Social
B. State Acts, Rules and Policies
a. Local Authorities Loans Act, 1963 Management
b. Kerala Water and Sewerage Act, 1986 Infrastructure and Environment
c. Kerala Municipalities Act, 1994 Infrastructure and Management
d. First State Finance Commission, 1996 and Second State Management Finance Commission, 2001
e. Kerala Decentralization of Powers Act, 2000 Management
f. Kerala State Transport Project (KSTP), R&R Policy, 2000 Infrastructure and Social
g. Kerala Ground Water Control and Regulation Act, 2002 Infrastructure and Environment
h. Urban Policy and Action Plan, 2002 Infrastructure and Management
i. Kerala Infrastructure Development Bill, 2001 Infrastructure and Management
j. Kerala Fiscal Responsibility Act, 2003 Management
1.3 Institutional Arrangements and Service Delivery In addition to the Municipal Corporations/local self-governments, State-level Departments, Programs and Missions, and Institutions govern urban development and basic service delivery in the State’s ULBs (refer Annex C for details on institutions involved in urban development).
State Level Departments of Local Self Government, Water Resources, Public Works, Revenue and Housing, General Administration, Power, Health, and Science, Technology and Environment provide policy and administrative directions to various State and local-level agencies for effective urban basic service delivery. Departments overseeing transferred functions like education, health, etc. also play a key role in urban service delivery.
Missions constituted by GoK effectively administer the process of good governance, facilitate urban environmental management, improve financial management in ULBs and assist in poverty alleviation; these include the Modernizing Government Program (MGP), Clean Kerala Mission (CKM), Information Kerala Mission (IKM), and State Poverty Eradication Mission (Kudumbashree).
Institutions supporting activities in urban management include Kerala Water Authority (KWA), Kerala Urban Development Finance Corporation (KUDFC), Kerala Institute of Local Administration (KILA), and Development Authorities.
Institutional arrangements for urban development are indicated in Figure 1-1.
FR Volume 7 - Urban Management & Institutional Development PAGE 4 TA 4106 –IND: Kerala Sustainable Urban Development Project Project Preparation Figure 1-1: Institutional Arrangement at the State Level
Govt.Govt. of of Kerala Kerala ChiefChief Secretary Secretary
PowerPower Department Department HealthHealth Department Department LocalLocal Self Self Govt. Govt. WaterWater Resources Resources GeneralGeneral Admn. Admn. RevenueRevenue & & Housing Housing PublicPublic Works Works PrincipalPrincipal PrincipalPrincipal DepartmentDepartment DepartmentDepartment DepartmentDepartment DepartmentDepartment DepartmentDepartment SecretarySecretary SecretarySecretary PrincipalPrincipal Secretary Secretary PrincipalPrincipal Secretary Secretary PrincipalPrincipal Secretary Secretary PrincipalPrincipal Secretary Secretary PrincipalPrincipal Secretary Secretary
Health Planning & Transport PowerPower Health LocalLocal Self Self Govt. Govt. Planning & WaterWater Resources Resources ModernizingModernizing HousingHousing PublicPublic Works Works Transport Department Economic Affairs Department DepartmentDepartment Department (Urban)(Urban) Department Department Economic Affairs DepartmentDepartment Govt.Govt. Prgm Prgm CommissionerCommissioner DepartmentDepartment Department Addnl. Secretary Addnl. Secretary Secretary Secretary Addnl. Secretary Addnl. Secretary SecretarySecretary Secretary SecretarySecretary SecretarySecretary SecretarySecretary Secretary
Kerala State Kerala State Poll. Kerala State Kerala State Road Kerala State Kerala State Poll. KeralaKerala Sate Sate Ground Ground KeralaKerala Water Water IrrigationIrrigation Kerala State Kerala State Road Electricity Board Control Board Housing Board Trans. Corp Electricity Board Control Board WaterWater Department Department AuthorityAuthority DepartmentDepartment Housing Board Trans. Corp Member Secretary Secretary Managing Dir.. MemberMember Secretary Secretary Member Secretary DirectorDirector ManagingManaging Director Director ChiefChief Engineer Engineer Secretary Managing Dir..
DirectorateDirectorate of of TownTown & & Country Country Planning Planning UrbanUrban Affairs Affairs DepartmentDepartment (14) (14) DirectorDirector ChiefChief Town Town Planner Planner
MunicipalMunicipal Municipalities Regional DUAs Municipalities Regional DUAs InformationInformation KudambashreeKudambashree CleanClean Kerala Kerala KeralaKerala Inst. Inst. Of Of DevelopmentDevelopment KeralaKerala Urban Urban CorporationsCorporations (5) (5) (53) (3) (53) (3) KeralaKerala Mission Mission ExecutiveExecutive Dir. Dir. MissionMission LocalLocal Adm. Adm. AuthoritiesAuthorities (5) (5) Dev.Dev. Fin. Fin. Corp. Corp. SecretarySecretary SecretarySecretary Regional Dir. Regional Dir. ExecutiveExecutive Dir Dir ExecutiveExecutive Dir. Dir. DirectorDirector MemberMember Sec. Sec. DirectorDirector
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1.3.1 Local Self Government Department The State Government’s Local Self Government Department (LSGD) is in charge of urban development in the State. Through the Secretary, Urban, the LSGD oversees the functioning of the State’s ULBs. The Secretary Urban, LSG is assisted by a Deputy Secretary and Under Secretary in overseeing functions of the Department.
The Directorate of Urban Affairs under the Secretary, Urban’s office issues policy directives, staff sanctioning, postings and transfers, and ensures release of plan funds to respective ULBs. Secretaries of the ULBs report to the Secretary, LSG (U) through the Director, DUA. The Director, DUA is supported by three Regional Directors having offices at Kollam, Kochi and Kozhikode; at the central office, the Director is supported by a Joint Director.
Key responsibilities of the Director, DUA include (i) functioning as the appointing authority for staff in ULBs and undertaking necessary disciplinary actions required; (ii) undertaking transfer of State funds to ULBs and affecting budgetary control; (iii) administering pension and provident funds of municipal staff; (iv) providing the LSGD with policy matters and reform agenda support; (v) according sanction to ULBs for borrowing from the Kerala Urban Development and Finance Corporation (KUDFC); (vi) undertaking overall supervision and control of activities in the ULBs; and (vii) playing an important role in the functions and decisions of the three missions – the Information Kerala Mission (IKM), Clean Kerala Mission (CKM) and the State Poverty Eradication Mission (SPEM)/Kudumbashree.
Key responsibilities of the Regional Directors include (i) conducting inspections of ULBs; (ii) carrying out performance audits of ULBs every three months, on behalf of the State Performance Audit; (iii) undertaking grievance redressal; (iv) undertaking performance appraisal of ULBs regarding resource mobilization activities; (v) reviewing no-confidence motions against municipal chairpersons; (vi) undertaking preparation of reports on plan fund utilization, for submission to the Minister, LSGD; and (vii) reviewing compliance of ULBs with Local Fund Audit Report and submitting the same to the Director, DUA.
Missions and Programs constituted by LSGD facilitate ULB functioning, ensure basic service delivery, prepare policy papers, provide training to municipal staff, and build staff capacity to manage municipal functions. Urban management, waste management and poverty alleviation are facilitated by IKM, CKM and Kudumbashree, respectively. All three Missions report to the LSGD and play a key role in urban development. The Kerala Institute of Local Administration (KILA) undertakes training programs for both municipal and panchayat organizations; KILA also reports to the LSGD.
1.3.2 Service Provision in Project Cities Service provision type, institutions involved and the legal context for the provision define MC performance and coordination with other agencies/State Line Departments. The following are key issues associated with the aforesaid services:
1) Water and Sewerage. Currently, KWA creates water and sewerage infrastructure assets and maintains the same. While the KM Act, 1994 and amendments therein require the MCs to maintain and arrange water and sewerage services, KWA continues to provide water services in
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all municipal corporations except Thrissur. Sewerage is limited to ~ 40% area coverage in Thiruvananthapuram and 5% area coverage in Kochi – both systems are maintained by the KWA. KWA directly collects water charges from the consumers and the Municipal Corporation. New/additional lines within the MC area are constructed as deposit works, with the MC making a deposit with KWA for the identified work. KWA carries out major repairs (like pipe bursts / leakage) on distribution systems but the MC carries out road rectification. Water quality assurance is by KWA and any contamination of water is reported to KWA (and at certain instances an intimation is sent to the MC’s Health Department). Key concern areas regarding water supply and wastewater disposal comprise:
Non-remittance of the water tax component in the property tax, apportioned towards capital contribution, to the KWA affects repayment of funds towards capital creation to improve water supply.
Reduction in State transfers to the MC from duty on transfer of property. Through a 1994 Government Order, GoK ensures that KWA receives payment towards demand raised on the MC towards operational cost on headworks and street taps (25% of the duty on transfer of property, transferred by GoK to the MC, is deducted and apportioned to KWA).
Improvement in coordination with KWA regarding operation and maintenance. GoK through a Government Order has created a system of coordination on the aforesaid aspect; the same may be further refined to facilitate large-scale/citywide projects.
2) Solid Waste Management. Municipal solid waste management – collection, handling, treatment and disposal – is a mandatory function of the ULB. Conservancy staff appointed by the MC carries out waste management activities. Regarding waste treatment and disposal, the KSPCB’s mandate includes monitoring the methods of waste collection and transportation, and the treatment and disposal technology. Bio-medical waste handling and treatment is the responsibility of the waste generators/hospitals. The MC is expected to ensure that bio-medical/hazardous waste generators dispose waste generated in an environmentally sound manner. The Clean Kerala Mission (CKM) conducts training programs for MC staff associated with waste management, in addition to identifying waste management and disposal strategies for ULBs in the State.
3) Roads and Drainage. Municipal Corporations and the State PWD are responsible for creation and maintenance of roads and roadside drains in the cities; services offered by an agency is limited to the assets created by it and there is overlap in jurisdictions. While the PWD caters to main road links and highways/district roads and drains along these links, the MC undertakes works and maintenance on other roads and roadside drains. The State PWD creates new roads and roadside drains based on the Master Plan prepared by the TCPD and processed by the Development Authority; funding is either sourced directly from the State or identified State Line Departments. The MC creates new roads and roadside drains based upon the Annual Plan approved by the District Planning Committee – the funds for new works is sourced from the plan allocations of the State for developmental works. The Project Engineer from the MC’s Engineering Department oversees construction of all new works.
4) Waterways/Canals. The presence of waterways/canals affects connectivity between different parts of the city and between the city and the hinterland. The Irrigation Department under the
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State Water Resources Department maintains waterways/canals in urban and rural areas of the State. Storm water flows into the natural drains/canals through a reticulation of roadside and secondary drains. Dredging activities along main drainage channels are carried out by the Irrigation Department based on the gravity of the problem.
5) Poverty Alleviation. The MC provides infrastructure in low-income settlements, primarily housing Below Poverty Line (BPL) households. Funds drawn from the MC’s capital budget and those available from centrally sponsored schemes are utilized for infrastructure creation in BPL settlements. Kudumbashree channels funds of centrally sponsored schemes to the MC and monitors fund utilization through its District Mission Coordinator (DMC). Infrastructure requirement is identified through the neighbourhood groups/area development societies/community development societies and indicated to both the MC and Kudumbashree. Based on the funds available through Centrally Sponsored Schemes and projects/schemes approved by the MC, Kudumbashree transfers the requisite amount to the MC for utilization in BPL settlements – 2% of the Municipal Corporation’s own revenue is earmarked for poverty alleviation schemes. The Urban Poverty Alleviation (UPA) Cell within the MC handles urban poverty related functions. Table 1-2 indicates the fund utilization/project progress in the five MCs related to poverty alleviation schemes.
Table 1-2: Utilization of Centrally Sponsored Poverty Alleviation Scheme Funds
Municipal SJSRY (Income NSDP (Infrastructure VAMBAY (Housing Corporation Generation Scheme) Development scheme) Development Scheme) Allocation Expenditure Allocation Expenditure Sanctioned Completed
Thiruvananthapuram Rs.26 mn 79.5% Rs.44 mn 54.0% 1,160 nos. 338 nos.
Kochi Rs.22 mn 81.6% Rs.43 mn 66.0% 2,610 nos. 1,140 nos.
Kozhikode Rs.24 mn 124.0% Rs.45 mn 81.4% 1,116 nos. 160 nos.
Thrissur Rs.7 mn 65.7% Rs.19 mn 67.0% 16 nos. 2 nos.
Kollam Rs.15 mn 95.7% Rs.26 mn 58.0% 536 nos. 29 nos. Source: Kudumbashree, Aug 2004.
6) Town Planning. The Development Authority (DA) is a coordinating agency responsible for Master Plan implementation, which is prepared by the Town and Country Planning Department. The DA is expected to coordinate with State Line Agencies and the MC regarding plan implementation. The MC currently oversees land use zoning originally the responsibility of the DA. Under Section 30 of the KM Act, 1994, the MC is required to carry out spatial planning; this function is currently carried out by the TCPD at the MC’s request.
1.3.3 Inter Agency Coordination and Project Implementation Improvement in inter-agency coordination is contingent on the MC staff’s capacity to handle large- scale works, the MC’s financial soundness and ability to leverage funds for works and a clear distinction regarding the operational jurisdiction of the MC and State Line Departments. For sub- projects proposed under KSUDP, coordination of activities between the MC and State Line Departments is important with regards approvals and clearances, land acquisition, and resettlement and rehabilitation of affected persons. Further, post construction, sub-projects will require incorporating adequate operation and maintenance controls/measures to sustain investments in
FR Volume 7 - Urban Management & Institutional Development PAGE 8 TA 4106 –IND: Kerala Sustainable Urban Development Project Project Preparation addition to defining responsibilities of each agency. Improvements in inter-agency coordination are dependent on the project implementation arrangement with a focus on sustainability during the operation and maintenance period.
Regarding project implementation capabilities, the MC currently undertakes new projects through the Engineering Department (through the Project Engineer in larger municipal corporations). However, these projects are limited to construction of shopping complexes, marriage halls, etc. and are largely limited to buildings. Major urban infrastructure projects are generally outsourced to State Line Departments on a deposit work basis, wherein the entire cost of the project is deposited with the State Department for undertaking the project; the State Department is responsible for designs, contract award and project management. The Municipal Corporation has no control on the progress and quality of the work carried out. Staff in the Municipal Corporation’s Departments attend to operation and maintenance or basic service delivery and are not equipped to handle project design, detailed engineering or construction supervision of urban infrastructure projects. It is therefore imperative to build staff capacity to handle the aforesaid functions in order to manage sub-project components under KSUDP. Refer Annex D for organization structure of the municipal corporations and inter- department coordination within the MC. Review of the staffing in each municipal corporation is provided in Volume 2 – City Reports.
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2. Urban Management
2.1 State Level Initiatives State-level initiatives in improving urban management and capacity building are fostered through the Modernizing Government Program, the Information Kerala Mission and the Kerala Institute of Local Administration.
2.1.1 Improving Service Delivery GoK through the Modernizing Government Program (MGP), initiated in 2002, conceptualised a development approach for Kerala to (i) ensure an assured level of basic services to the poor and marginalized through a Minimum Needs Program (28 initiatives); (ii) build an enabling economic growth environment (15 initiatives); (iii) achieve fiscal sustainability at the State and Local Self Governments (7 initiatives); (iv) enhance effectiveness and efficiency of core Government functions (17 initiatives); and (v) build on decentralization for efficient, effective and accessible Local Self Governments (33 initiatives). The MGP Steering Committee identified 100 initiatives and currently 60 are operational (refer Annex E for MGP initiatives). MGP support is to 2,605 institutions with funds amounting to Rs.12,000 million sourced from the ADB in two tranches.
With specific reference to local governments, MGP aims to (i) provide a framework for preparing five-year plans; (ii) design systems to ensure performance focused basic service delivery; (iii) identify local economic development potentials; (iv) institute systems to strengthen accountability; (v) institute management, budgeting and accounting, and resource mobilization systems to strengthen local self governance; (vi) identify training needs for local government personnel; and (vii) facilitate policy decisions for effective governance.
The Steering Committee has recommended a Service Delivery Project (SDP), which focuses on (i) direct service delivery areas comprising core civic services, public amenities and social security; and (ii) support service delivery (physical infrastructure, human resources and administrative support). Municipal Corporations are currently preparing plans to access MGP support under the support service delivery component, which comprises (i) infrastructure (construction and procurement); (ii) human resource development (institution, customer/citizen service and staff/manpower requirement); and (iii) administrative support (improved systems and procedures and consumables/recurring expenses).
2.1.2 Streamlining Systems and Procedures The Government of Kerala through the Local Self Government (LSG) Department and the State Planning Board conducted a systems and process study1 in the State’s local self-governments; various experts supported the State departments in this exercise. The Information Kerala Mission (IKM), established in June 1999, has an e-governance mandate/program to implement the recommendations
1 The systems and processes covered: (i) plan formulation, monitoring and implementation; (ii) citizen services comprising pension disbursement, welfare schemes, etc.; (iii) revenue transactions; (iv) finance and accounts; (v) public works and purchase management; (vi) administration and establishment; and (viii) local body institutions covering Panchayat Committee, Standing Committees, Gram Sabhas, etc.
FR Volume 7 - Urban Management & Institutional Development PAGE 10 TA 4106 –IND: Kerala Sustainable Urban Development Project Project Preparation of the aforesaid study, which primarily aims at prudent financial management, accountability and transparent government-citizen interface in local self-government institutions (LSGIs). The mandate covers software development, training, support and handholding, and database management (refer Annex F for e-governance initiatives in the five municipal corporations).
In order to undertake immediate deployment and testing of its applications, IKM entered into a memorandum of understanding (MoU) with a few of the State’s LSGs. The MoU also identified beneficiary contribution/support to facilitate the initiative. IKM is currently working at two levels:
Creating a database at the local-level; and
Developing the identified software at the State-level (at IKM headquarters).
GoK’s LSG Department now proposes to implement its comprehensive computerization program through public-private partnership on a Build-Transfer-Maintain (BTM) model. The BTM Operator shall (i) supply, deliver, install, commission and maintain hardware in the 1,249 LSGIs and related institutions; (ii) maintain the applications developed by IKM; (iii) provide training and support services; and (iv) carry out relevant data entry. The Kerala State Industrial Development Corporation Ltd. (KSIDC) currently manages the bid and an Operator(s) would be appointed by Dec 2004; the bid would be evaluated on a Quality-Cost Based Selection (QCBS) basis. The BTM Operator fees would be borne out of State Plan funds over a five-year period. The Operator fees would be paid every half- year for the first two operating years and every quarter for the remaining three operating years. The assets would be transferred to the LSGI on completion of hardware installation, which is expected to occur within the first year of contract award. On completion of the contract, the BTM Operator would have handheld LSGI staff in managing the e-governance applications and improved the LSGI’s financial management capability.
On appointment of the BTM Operator, IKM will provide technical guidance to the Operator and limit its role to being an application service provider (ASP). IKM will oversee BTM operations on behalf of the LSG Department and through the assistance of stakeholders groups at the local-level it will oversee and certify database creation and analysis. IKM’s term would expire along with the completion of the BTM Operator’s contract, by when it is envisaged that the LSGI would be self- sufficient and will effectively manage computerized operations.
2.1.3 Training The Kerala Institute of Local Administration (KILA) conducts training programs on various activities comprising decentralized planning, poverty alleviation, financing urban infrastructure, good governance, resource mobilization, planning for urban infrastructure, and women development. KILA conducts sessions for elected councillors, municipal staff and non-governmental organizations (NGOs). Training on decentralized planning is conducted at the district level through resource persons trained by KILA; all other training is conducted at the KILA premises in Thrissur. The Institute of Management in Government (IMG), Thiruvananthapuram also conducts training sessions in urban management but is limited to senior-level functionaries.
The courses conducted by KILA provide ample exposure to participants on urban management issues and innovative initiatives in other parts of the country but are not oriented towards applying urban
FR Volume 7 - Urban Management & Institutional Development PAGE 11 TA 4106 –IND: Kerala Sustainable Urban Development Project Project Preparation management techniques. KILA’s main course is on decentralized planning, which is held at the District Headquarters and aims at training LSGI staff, elected councillors and NGOs on working group functions. Guest faculty train 150 resource persons, who in turn impart training to the aforesaid stakeholders – 50,000 stakeholders are trained annually. KILA has limited internal staff to conduct programs and depends largely on resource persons. KILA is currently identifying a resource group (25-30 persons) of elected representatives to conduct trainings in Urban Local Bodies (ULBs).
KILA receives funds from GoK, CapDeck2, Housing and Urban Development Corporation (HUDCO), National Institute of Urban Affairs (NIUA) and the UN HABITAT for implementing training programs. The aforesaid training finance support organizations have pre-defined areas of training, for example, NIUA supports training on financing urban infrastructure and resource mobilization. The training programs are generally scheduled for three days and are conducted at KILA as residential programs. KILA facilities require upgradation and the organization is currently in discussion with Central and Donor Agencies for additional funding to build KILA’s capacity.
Training through KILA and IMG are oriented towards exposing staff to LSGI management issues; there is no course related to application wherein handholding through project implementation/physical and financial monitoring and financial management is dealt with. KILA also lacks a comprehensive Training Impact Assessment (TIA), which would have helped determine the outcome of the training programs conducted and the actual demand for training. IKM, however, has a comprehensive training program built into the mission’s activity schedule, which focuses on implementation and management.
2.2 Municipal Initiatives Municipal Corporations of Thiruvananthapuram, Kochi and Kozhikode have made efforts to improve service delivery and urban management in their respective jurisdictions. Of specific importance is the DFID aided Poverty Alleviation Project in Kochi and the Capital Region Development Program in Thiruvananthapuram, where infrastructure projects were undertaken; the City Development Strategy (Cities without Slums) for Kozhikode laid down areas of urban management and basic service delivery for the Municipal Corporation to adopt. The MCs of Kollam and Thrissur are recent formations; the MCs are gradually undertaking initiatives to improve urban management and service delivery within their respective regions.
The aforesaid initiatives were supported through some form of external assistance and were not internally generated initiatives. Municipal Corporations are continuously faced with issues related to insufficient staff, inadequate staff qualification, lack of streamlined systems and procedures and overall inability to handle large-scale projects. Currently, MGP and IKM initiatives are the only mediums of improving urban management in the Municipal Corporations.
2.3 Community Development and Poverty Alleviation The State Poverty Eradication Mission (SPEM) of Kerala, also known as Kudumbashree (means prosperity of the family), is a holistic, participatory, women-oriented poverty reduction programme.
2 CapDeck is Capacity Development for Decentralization in Kerala, a program sponsored by the Swiss Agency for Development and Cooperation.
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GoK implements it with the active support from GoI and NABARD. SPEM was constituted as an independent society, registered under the Travancore Cochin Literary Scientific and Charitable Societies Registration Act, of 1995, on November 18, 1998. Unlike in other Indian states, in Kerala the roles and functions of the State Urban Development Agency (SUDA) to monitor and facilitate GoI’s state-level poverty reduction programme is performed by Kudumbashree. The society has a time bound mission statement to eradicate absolute poverty in 10 years through convened community action and facilitating community organisation of the poor.
The Governing Body of SPEM has 24 members, chaired by the Minister for Local Self Government and the Secretary to Government, Local Self Government assisting the Chairman in the capacity of the Vice Chairman. Six GoK Departments represented by their respective secretaries, Directors of Panchayats and Urban Affairs, other nominated representatives from the District, Collector, one Lady Mayor, one Lady Panchayat President and other nominees from the State Government constitute the committee. While SPEM is a unit of GoK’s Local Self Government Department, it is autonomous in its operations as it is registered under the Societies Act.
SPEM/Kudumbashree operates in the State’s three regions of south, central and north; a Director manages each region. Each District is managed by a mission co-ordinator functioning as the District Head supported by an Assistant District Mission Co-ordinator. The roles of these officers are strategic and facilitative to ensure that time bound activities are carried out. They monitor the programme and provide technical backup support to the corporations, poverty reduction teams and women groups. The project officer in the corporations or local bodies carries out the actual implementation of poverty eradication programs with support from the municipal staff in the Health Department. The project officers are designated as community officers who oversee field level works.
Kudumbashree programs are designed on a participatory approach, which has enabled women groups to design self-managed groups, driven by spirit within and not from outside. The women members at the grass root level are encouraged to take up leadership through functional activities like Community Health Volunteers, Income Generation Activities Volunteers, Infrastructure Volunteers, Secretary and President. These groups prepare periodical micro plans, which become the base for the Community Development Society (CDS) plan or antipoverty sub-plan of the local body. Based on the local body’s approval, the CDS societies take up the sanctioned work. These groups also act as Thrift and Credit Societies and play a pivotal role in assisting Development of Women and Children in Urban Areas (DWCUA) groups under SJSRY.
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3. Framework for Institutional Development
As a service organization, institutional strengthening and capacity building of the MC is dependent on the following functions: infrastructure/urban planning, service provision, institutional development and financial management. The following sub-sections detail issues related to the MCs’ ability to provide municipal service and provide a framework for enhancing urban management in the State. The current section lays the background for identifying urban management and institutional development components and based on the identified issues, a comprehensive urban management and institutional development component was identified for the Project.
3.1 Infrastructure Planning According to the State’s Tenth Five Year Plan and the KM Act, the MC requires:
Undertaking responsibility of urban planning, where the MC requires building staff capacity to undertake preparation of the Municipal Development Plan including urban planning to reduce State agency involvement in urban planning and implementation;
Undertaking preparation of Development Vision and Citywide Development Plans, which the MC is currently undertaking but the planning mechanism does not provide for a holistic approach; MC staff capacity should be built to ensure integration of plan works and adoption of a holistic approach to citywide infrastructure provision; and
Establishing a Planning Department within the MC, which should undertake all planning responsibilities for the preparation of the Municipal Development Plan including spatial planning and land use management for the identification of land for specific projects such as solid waste treatment/disposal plants. The MC’s Planning Department will ensure works implementation, and monitoring and asset management by the Engineering and Health Department. Immediate focus is required to address requirements under the Kerala Development Program, where no specific post was sanctioned or department created within the Municipal Corporation to carry out decentralized planning3.
4 In formulating local-level plans, Ward Committees play an active role supported by the MC’s Engineering Department. However, procurement is carried out based on the Stores Purchase Manual and PWD Manual; the MC lacks access to a comprehensive Works Manual comprising procedure from planning through implementation. Besides proving to be a pressure on the MC’s resources, works are disjointed and do not adopt a holistic view to planning.
3 Technically qualified staff was absent in panchayats; hence, they were allowed to procure external assistance for plan/estimate preparation. 4 Ward Committees are constituted in LSGIs with population exceeding 100,000 persons. A Ward Sabha is constituted in all LSGIs with population less than 100,000 persons.
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3.2 Core Service Delivery and Asset Management GoK’s Tenth Five-Year Plan and KM Act focuses on core service delivery with specific emphasis on:
Improving urban drainage, where it is imperative for the MC to develop Storm Water Master Plans that should be part of integrated planning within the Municipal Development Plan;
Undertaking solid waste management and sewerage provision, where GoI guidelines suggest waste disposal should be under the direction of a Municipal Environmental Engineering Department instead of the present Health Department (as a recommendation under KSUDP, it is suggested that the Project Implementation Unit created for KSUDP implementation will subsequently form a part of the Municipal Corporation’s Engineering and Planning Department5);
Undertaking water and sewerage services, where Section 315 of the KM Act, 1994, provides the Municipal Corporation with a mandate to construct and maintain water supply and sewerage assets within its jurisdiction and outside KWA’s control, and provide services to the city6;
Preparing annual maintenance plans;
Promoting public-private partnerships is dependent on the a policy of the LSGD, though certain municipal corporations have taken initiatives to undertake projects on a public-private partnership mode; e.g. Thiruvananthapuram Municipal Corporation proposes to construct a scientific landfill on a Build-Operate-Transfer mode; and
Implementing urban poverty alleviation programs, where the MC is undertaking steps to ensure increase in centrally sponsored scheme fund utilization with assistance from Kudumbashree.
3.3 Institutional Development Institutional development in the MC is governed primarily by the State Finance Commission recommendations and the KM Act, which focus on:
Reorganizing decentralized operations based on magnitude of works/revenue collection/municipal functions to satisfy the requirement for preparing Municipal Development Plans;
Introducing information technology (IT) enabled services and streamlining municipal systems and procedures; the Information Kerala Mission oversees property mapping and introducing computerized accounting and management information systems (MIS); and
Addressing human resource development, through appointment of additional and appropriately qualified staff for Municipal Development Plan preparation and implementation.
5 It is recommended that the Engineering Department of the city is reconstituted to undertake the following activities (i) spatial planning, (ii) urban infrastructure design, construction and maintenance; and (iii) solid waste management. A Superintending Engineer shall head the department and an Executive Engineer in each of the aforementioned wings/groups shall oversee functions assigned therein. 6 While GoK has constituted a committee to review staff transfer from State Line Departments to Local Self-Government Institutions, staff transfer has not yet been affected. KWA continues to maintain water services in all cities except Thrissur. Future service provision in water and sewerage is contingent on GoK policy regarding staff and asset transfer to LSGIs.
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3.4 Financial Management Financial management in the MC is governed primarily by the State Finance Commission recommendations and the KM Act, which focus on:
Legislations for implementing the plinth area based system of property taxation are pending, which critically effects the MC’s ability to increase its revenues – the implementation of the aforesaid property taxation system is a commitment made to access Government of India’s Urban Reforms Incentive Fund (URIF); and
While accounting reforms have been accepted by GoK in-principle, new Rules are yet to be framed to make the transition from cash-based accounting system to double-entry accounting system.
3.5 Community Development and Poverty Alleviation Dovetailing Kudumbashree programmes in KSUDP will substantially improve the impact of the Project. The baseline survey revealed the need for sustainable project support to poor settlements by way of infrastructure provision. Hence, it is proposed that community development and poverty alleviation is undertaken through a Community Infrastructure Fund (CIF) and Poverty Social Fund (PSF). The MCs will utilize the CIF for (i) infrastructure provision in BPL settlements; (ii) assistance to women and children; and (iii) provision of health and education facilities. The MCs will utilize the PSF for (i) providing facilities to vulnerable groups; (ii) undertaking income and employment generation activities; and (iii) capacity building of staff and institutions to undertake poverty alleviation initiatives. Kudumbashree will play a key role in activity identification for CIF and PSF utilization.
Infrastructure in BPL Settlements. Provision of basic services comprising water, sanitation, roads, streetlights, drainage, community hall, day care centres for children, health facilities, and rainwater harvesting facilities.
Women and Children. Creation of Gender Resource Centre, Child Development Centre, legal aid support, nutritional support, support to street children/child labourers, and scaling-up Balasabha programs.
Public Health and Education. Support to Kudumbashree groups to clear garbage from the communities, mosquito spraying, mini health centre, health kits to volunteers, and health campus.
Income Generation Program. Establishing marketing centres, skill development, micro enterprise units, Enterprise Development Program training, quality support unit for Kudumbashree products, and setting-up Livelihood Oriented Business Schools (LOBS).
Vulnerable Groups. Proposals for destitute rehabilitation, street children rehabilitation, centres for old age people, widows, women in distress, physically and mentally challenged persons, beggars and migrants, orphans and sex workers rehabilitation.
Capacity Building and Institutional support. Capacity building initiatives for CDS, ADS, NHG members, CSOs, MC, Kudumbashree team, intervention partners, computer network support to Kudumbashree DMC, and quality control unit in Kudumbashree.
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The CIF will be available to Corporations on an annual basis for the implementation of programs within the framework of GoK’s Peoples Planning process through city-level Poverty Alleviation workshops. The workshops will be organised by the Project Implementation Unit (PIU) and the plan prepared on behalf of the Corporation. In support of GoK’s decentralization policy, annual allocations of the CIF will permit the implementation by the Corporation of a prioritised program of slum improvement and poverty alleviation based on designs developed by the Corporation in partnership with local communities.
Subsequent annual allocations will be performance-based (based on an appraisal of scheme implementation and operational performance) and may include incentives for additional elements such as matching funding (e.g., from own-revenue or by fund convergence of GOI schemes such as SJSRY and NSDP), or other targets such as cost recovery and wider revenue mobilisation. Proposals will be generated by a participatory planning process led by the women-based Community Development Society (CDS) structure set up under the existing SJSRY framework. Outline proposals from the Neighbourhood Associations will be submitted to the City-level Steering Committee for prioritisation and approval based on defined criteria.
The Poverty Social Fund (PSF) will also be available on an annual basis based on plans discussed by the Civil Society Organization (CSO) and approved by the City-level Steering Committee. The proposals, to meet the priority needs of the community, will be identified by Kudumbashree in coordination with the Municipal Corporation and CSOs with assistance from CDS representatives.
3.6 KSUDP and MGP From the urban management perspective, KSUDP will complement the activities envisaged under the ADB aided Modernizing Government Program (MGP). The MGP activities related to urban local bodies is limited to (i) preparation of holistic waste management systems through incentive mechanisms (Theme I.7.1); (ii) regulation for management of institutional waste change (Theme I.7.3); and (iii) Town and Country Planning Legislation (Theme V.1.5). Urban Management and Poverty Alleviation activities under KSUDP would address select initiatives in MGP’s Theme V on Effective, Efficient and Accessible Local Self Government and shall include:
Five-Year Planning Framework. Asset management plans, community rehabilitation plans for the physically and mentally challenged, and spatial plan with focus on connectivity.
Local Economic Development. Identification of micro-enterprise opportunities for the poor.
Strengthen Local Self Governments. New office management systems, procurement manuals, public works manual, IT plan, budgeting, accounting and resource mobilization.
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4. Institutional Development Components
While KSUDP will ensure infrastructure provision in the five municipal corporations, for long-term sustainability of the assets created and for effective management of urban basic services, it is imperative to address key urban management issues. Infrastructure creation under KSUDP will be implemented by the Project Management Office (PMO) at the state-level in association with Project Implementation Units (PIUs) at each corporation; Kudumbashree will advise and monitor poverty alleviation components in the city corporations. The urban management component under KSUDP is related to institutionalizing a system to address the municipal corporations’ ability to sustain service provision and the Local-Self Government Department’s ability to oversee service delivery by LSGIs. In summary, the urban management and institutional development under KSUDP will address:
Capacity building of the Local Self Government Department, the Directorate of Urban Affairs and the Town and Country Planning Department regarding internal systems and procedures and ULB performance monitoring at the DUA;
Capacity building of Project municipal corporations comprising urban planning, asset inventorization, accounting and financial management;
Municipal staff training on project development, design and implementation – this shall apply to the five municipal corporations and 53 municipalities; and
Community development and participation for poverty alleviation.
4.1 UMID Components 4.1.1 Capacity Building – LSGD and DUA The current role of the LSGD is primarily related to policy formulation and administrative control of all agencies within its purview; the DUA shares this responsibility and facilitates in tracking Plan fund flows/devolution and human resource/personnel management. However, in order to enhance the role of the LSGD and DUA in urban management, the capacity building assistance activities comprise:
Facilitating creation of a database on municipal services and finances – across all corporations and municipalities – which is expected to facilitate performance monitoring of ULBs, facilitating future State Finance Commission recommendations and providing a basis for Plan fund devolution;
Facilitating creation of a database on human resources/personnel in each of the State’s ULBs and associated attributes including payroll and pension details and to facilitate performance based promotions, transfers and consideration for training;
Preparing a Budgeting Manual to allow departments to provide accurate and planned financial requirement to the Accounts Department, which will complement the proposed double-entry accounting system;
Analysing cost of providing municipal services and identifying the base and basis for taxes and tariffs – establishing guidelines for property taxation and a basis for fixing user charges for at least water, sewerage and solid waste management; and
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Facilitating creation of a database on municipal assets and asset valuation as a leveraging option for infrastructure financing in the State’s ULBs.
Key outputs comprise:
Comparative Performance Assessment/Municipal Database institutionalised at the DUA and maintained by the DUA for ready reckoning by the State in policy matters;
Database on the ULBs’ human resources/personnel;
Budgeting Manual for ULBs;
State Policy on environmental sanitation infrastructure cost recovery; and
State Policy/Guideline on financing patterns for infrastructure projects.
4.1.2 Capacity Building – Municipal Corporations The capacity building assistance to the five municipal corporations is aimed at addressing the planning, core service delivery, institutional development and financial management improvements. The capacity building assistance activities and outputs comprise:
Preparing Geographical Information System (GIS) based maps through use of satellite (Quick Bird) imagery (it is envisaged that IKM or the Centre for Earth Sciences will undertake this conversion) and making base maps available to Design and Supervision Consultants for topographical surveys and detailed design of infrastructure systems;
Providing GIS based maps for asset management activities that consist of enumerating and plotting property tax assessments and existing service utility lines – the maps will form a key component of the Project Implementation Unit (PIU) and will be updated through the Project period and eventually rest with the MC’s Planning Department and thereby provide a base for future spatial planning;
Facilitating financial management reforms through property tax rationalization and accounting reforms by (i) transiting to a double-entry accounting system7 from the existing cash-based accounting system (this exercise will also involve valuation of municipal assets and preparing an inventory of municipal liabilities) – this activity shall consist of integration of IKM developed modules on plan monitoring (Sulekha), accounting and finance functions (Sankhya), and revenue collection (Sanchaya); and (ii) providing on-job training to municipal staff on accounting functions and the usage of IKM developed software;
Undertaking other e-governance initiatives including (i) municipal-citizen interface through citizen charters and provision of information kiosks, etc.; and (ii) networking zonal offices and head office for information access and work flow; and
7 Under the ADB aided Modernizing Government Program (MGP), GoK has prepared a Detailed Implementation Plan to (i) finalize the accounting systems in local government; (ii) design a system of accounts and issue new accounts rules and an Accounts Manual; (iii) develop an accounting software for local governments (developed by IKM); and (iv) conduct a capacity building program for local government staff. The plan’s focus is limited to rural LSGIs currently. It is therefore recommended that the activities for the five Municipal Corporations should be undertaken as a part of KSUDP to ensure effective financial management.
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Developing performance based contracts for procurement, infrastructure creation and service provision; thereby overcoming the constraints arising from the current format based on the Stores Purchase Manual.
In order to undertake accounting reforms, its imperative to ascertain the completeness of the accounting and Management Information Systems (MIS) software proposed for usage by the ULBs, prepare a methodology for asset valuation, and based on the aforesaid activities, prepare an accounts and audit manual for usage by ULBs. The indicated activities are proposed as a separate Technical Assistance (TA) by the ADB, to the five corporations and two municipalities. The TA will provide the requisite manual for rolling-out the transition activities in the municipalities.
Key components in the process of conversion is:
Ensuring compliance of the accounting system with the guidelines stated in the Accounting and Auditing Manual currently being prepared by the Government of India;
Verifying assets and liabilities in the records of urban local bodies;
Conducting a valuation of assets and liabilities for entry into the urban local bodies’ accounting records; and
Soliciting a chartered accountant’s certification on the financial records of urban local bodies upon conversion to accrual/double-entry accounting.
4.1.3 Training on Basic Service Delivery Under KSUDP, the objective of the training support is to address three key elements comprising effective planning and infrastructure provision, core service delivery and asset management, and prudent financial management. The training assistance shall address the following aspects (i) sensitisation/orientation training; (ii) conceptual training; and (iii) implementation training. It is envisaged that this training and capacity building program will target the five Municipal Corporations and 53 Municipalities. In order to clearly define the training curriculum, KSUDP will conduct a Training Needs Assessment (TNA) in ULBs targeting elected councillors, LSGI staff, NGOs and members of the Working Groups formed for Decentralized Plan preparation. The TNA will identify the requirement of stakeholders/participants with respect to the three key elements; it will also comprise a TIA of past training programs that will provide insights into structuring the curriculum, based on ULB demand.
Training programs will essentially focus on the three elements and shall include:
Sensitisation/orientation training on planning, financial management, solid waste management and practices, etc. to expose participants to functions and best practices across the country – the training shall apply to elected councillors, ULB staff, select State Line Department and NGOs;
Conceptual training on project identification, structuring and feasibility assessment for participants to comprehend project selection for implementation and on goods, works and services procurement to participate and evaluate bids – the conceptual training shall apply to participants involved during the sensitisation stage and shall comprise select ULB staff from the Engineering, Health, Accounts and Town Planning Departments, and staff of State Line
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Departments such as Public Works Department, Irrigation Department, and Kerala Water Authority; and
Implementation training on project (infrastructure investment and institutional strengthening) physical and financial monitoring, and infrastructure maintenance/asset management – the training will once again apply to staff involved at the conceptual level and field staff involved in project implementation, with an aim to ensure adequate reporting on project progress and quality control; specifically for field staff, KSUDP will structure and administer a course on asset maintenance.
KILA will impart training to guide staff in appreciating project structuring and feasibility analysis; this activity will run parallel with the works of the Design and Supervision Consultant (DSC) in the five Corporations to help staff contribute in the works of the DSC. Preliminary sessions of the implementation training will commence before construction contracts are awarded; main sessions on physical and financial monitoring will commence once the contractor is appointed for project implementation. Prospective training sessions are indicated in Annex G.
4.1.4 Community Development and Poverty Alleviation Under KSUDP, the objective of capacity building for poverty alleviation initiatives is to ensure that the Project benefits reach the poorest of poor and that all stakeholders involved in the Project are well informed regarding the activities and process to achieve Project activities. A key component for successful implementation of poverty alleviation initiatives is the constitution of a Civil Society Organization (CSO), which is a support system that will assist identify requirement of the poor and vulnerable, and facilitate Project implementation. The CSO will essentially comprise city-level stakeholders including but not limited to the Municipal Corporation, business groups, resident welfare associations, NGOs, CBOs, CDS and Kudumbashree. The CSO will strengthen the activities of the Urban Poverty Alleviation (UPA) cell in the Municipal Corporation for utilizing the CIF and the PSF with appropriate facilitation by Kudumbashree. Kudumbashree will play a key role in arriving at a uniform strategy at the state-level for the Poverty Social Fund component.
Training of CSO members, UPA staff at MC, Kudumbashree and CDS members is therefore imperative and may be carried out through identified training institutes (refer Annex H for an indicative list of courses; costs for capacity building is indicated in the Poverty Alleviation Investment Plan detailed in Volume 3 – Social and Poverty Analysis). While a training needs assessment is a requisite for identifying areas of capacity building, the following is an indicative list:
Community Infrastructure Fund. Activities may include (i) planning and identification of community infrastructure needs; (ii) operational and maintenance issues relating to infrastructure provision; and (iii) awareness regarding women empowerment, health and diseases, and education.
Poverty Social Fund. Activities may include (i) conceptual clarity for scaling-up livelihood initiatives through livelihood development strategies; (ii) facilitating confederation of Self Help Groups to graduate into Micro Finance Institutions (MFI); and (iii) focus on business development initiatives for micro enterprises.
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Strategic Programs. Activities may include (i) project development programs with specific reference to CIF and PSF utilization; (ii) CSO networking and resource convergence; and (iii) creating strategy mechanism for CSO to run programs under health, sanitation and income generation.
4.1.5 Community Awareness and Participation Program KSUDP success is contingent on appropriate and adequate public awareness generation. A domestic Community Awareness and Participation Program (CAPP) firm will be recruited to facilitate public awareness / social mobilization programs on project related issues. Approaches for stakeholder awareness and participation will involve preparation of information materials and media campaigns. The Information, Education and Communication (IEC) materials will be developed using mass-media techniques. Amongst other things, the CAPP will undertake the following specific tasks:
Inventory and review recent and current community-based development initiatives in Kerala; organizations involved, mechanisms used, successes achieved;
Plan and deliver initial briefing, training and orientation of Design and Supervision Consultants (DSCs) and Project Implementation Units (PIUs) in community awareness and participation programs;
Plan and organize regular training events, including workshops and seminars for the duration of the Project;
Prepare IEC materials, advertisement clippings, project Web pages, etc.;
Promote Project Policy Agenda;
Conduct awareness campaign on scope of project, including the poverty alleviation components, water optimization and conservation program, environmental and social issues, such as, resettlement entitlements through various media means;
Transfer information about the Project to the target groups, especially women;
Create awareness among stakeholders regarding long-term benefits and short-term inconvenience of the Project in order to gain full support of the beneficiaries for the Project;
Create awareness regarding preventive care to avoid any health related hazards;
Create awareness among beneficiaries regarding their responsibilities, including issues such as user charges and property tax reform etc for achieving the goal of the Project; and
Create awareness among beneficiaries regarding the existing health care facilities and optimal use of the same.
The CAPP will closely consult PMO, PIU, PMC, DSCs and work with NGOs under the Project, while preparing materials for public awareness campaign, and provide feedback to PMO with a view to adjusting work program based on the impact of campaign and concerns raised by the beneficiaries.
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4.2 Project Sustainability – KSUDP and GoK Actions Asset creation through KSUDP requires an institutional mechanism for long-term sustainability. In addition, the institutional mechanism established for asset creation should undertake asset management and maintenance in the long-term besides undertaking future urban infrastructure planning with a holistic perspective. Currently, Municipal Corporations do not plan for large-scale urban infrastructure projects as the activity is undertaken by State Line Departments like the KWA and PWD. In addition, solid waste management rests with the MC’s Health Department, which is ill equipped to handle the responsibility being oriented towards public health functions. The People’s Plan Campaign/Kerala Development Program is currently overseen by the MC’s Engineering Department but should ideally be the responsibility of a Planning Department to ensure holistic approach to infrastructure creation.
The Project Implementation Units (PIU) proposed for KSUDP implementation will draw staff from various State Line Departments. Through the Project period and with adequate training/capacity building initiatives, it is envisaged that the PIU staff would be well equipped to oversee long-term asset creation and service provision in the sectors of water supply, sewerage, urban drainage, solid waste management, and urban roads and traffic management. Staff requirement for infrastructure operation and maintenance is detailed in Volume 6 – Technical Analysis; costs for system O&M takes into consideration staffing.
The KM Act, 1994, provides the legislative framework for ULBs to undertake urban planning and undertake water supply and sewerage services within its jurisdiction. Hence, from a long-term perspective and based on the KM Act and State Finance Commissions’ recommendations, it is recommended to merge the PIU with the Corporation’s Engineering Department to form a City Planning and Engineering Department. The reorganised department will then be well equipped to carry out future project development, implementation and asset management and will oversee spatial planning, infrastructure development and construction, and solid waste management. This arrangement will ensure long-term sustainability of KSUDP and provide for complete decentralization of infrastructure provision and urban basic service delivery.
The Project component Part B: Urban Management and Institutional Development (UMID) is designed for long-term sustainability of infrastructure investments undertaken as a part of KSUDP and in line with GoK’s approach to urban basic service delivery and urban management. Table 4-1 maps GoK and KSUDP actions required to address items identified under the institutional development framework (refer Section 3). The actions indicated in the table are from a viewpoint of achieving sustainable urban development to address GoK’s principles on urban development; it is not contingent on KSUDP implementation (refer Annex I for a detailed review of GoK’s policy and institutional reform agenda).
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Table 4-1: Project Sustainability – KSUDP and GoK Actions
Objectives GoK Actions KSUDP Actions Responsible Agencies / Time frames A. Planning
MCs to assume Establishment of a new Town KSUDP capacity LSG Dept., Town and responsibility for urban and Country Planning Act and building for PIU/MC Country Planning planning, undertake Rules to meet the objectives staff will provide Dept. (TCPD), preparation of of the Project. technical principles and Development Development Vision and actual exposure project Authority (DA) and Citywide Development development, planning MCs Plans, and undertake urban and implementation road planning. activities. FY 2008-2009
B. Core Service Delivery and Asset Management
Provision of improved KWA to formulate a Non - Water Resources water supply services Revenue Water (NRW) Department, KWA within MC area. Reduction Plan and a Program for increasing its FY2006-2007
collection efficiency.
KWA to enforce its FY2006-2007 disconnection policy for customers who do not pay.
GoK to formulate and implement a policy on conversion of standposts to FY2006-2007 individual metered house service connections.
KWA enhancement of water tariffs to ensure cost recovery FY2006-2007 of O&M by 2010.
Provision of improved Viability gap funding for LSG Department, and sewerage and solid waste sewerage services through MCs management services levy of service tax on Project within MC area. Beneficiaries as a service tax FY2007-2008 for O&M (determined as a
surcharge on property tax) – Council Resolution and Govt Order required.
Introduction of a Solid Waste Collection charge in MCs. FY2006-2007
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Objectives GoK Actions KSUDP Actions Responsible Agencies / Time frames C. Institutional Development
MC accountability in Changes and reforms in KSUDP capacity LSG Dept., MCs, service provision and accounting, MIS, and tax building for PIU/MC IKM, KILA, DUA greater citizen participation mapping. staff on city wide in infrastructure planning, planning. On-going; to be introduction of IT enabled Human Resources Policy for completed by fiscal services and streamline urban local bodies. KSUDP will support year FY 2009-10 municipal systems and base map preparation, Conduct awareness procedures, and human property mapping, and campaigns to educate resource development in implementation of citizens on MC functions. project MCs. accounting and auditing reforms.
KSUDP capacity building of DUA through trainings and creation and maintenance of database of LSGD staff.
D. Financial Management
Implementation of the plinth Implement law to amend the KSUDP will undertake GoK area based Property Tax property taxation system and base map preparation and increase in tax base as to enhance the MC revenue and property tax FY 2006-07 recommended by the tax base. mapping. Second Finance Commission.
Asset survey of ULB owned Establishment of a mandatory KSUDP will undertake LSG Dept., MCs and property and transferred process complying with asset mapping of municipal IKM. properties (e.g., water, inventory management. properties and creation sewerage, transferred of database at DUA. FY 2006-07 institutions such as education and health). Asset register maintained as suggested by the Second Finance Commission in 1999.
Biannual revision to non- Implement law to effect - GoK, LSG Dept. and tax license items and required revisions. MC Advertisement Tax; recommended by the FY 2006-07 Second Finance Commission.
Accounting reforms in Acceptance of double-entry KSUDP will base GoK and LSG Dept. ULBs entered into a MoU accounting and establishment implementation of with GoK. of rules at State-level. accounting reforms on FY 2006-07 the accounting and auditing manuals, asset valuation procedures, and software verification for compliance with commercial accounting principles prepared under ADB’s TA for Capacity Building for Municipal Service Delivery in Kerala.
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5. Institutional Responsibilities
5.1 Overview Government of Kerala (GoK) has undertaken a process of decentralization, which is manifest in various planning processes and service delivery initiatives in the State. From the Kerala Development Program (People’s Planning Process) to works proposed under the Jalanidhi Project (decentralization of water and sanitation services at the rural-level), the State has adopted a stand of equipping the grass-root levels with a planning and implementation mandate. This approach emerges predominantly from India’s 73rd and 74th Constitution Amendment Act.
Various other states in the country have also gradually progressed towards decentralization of services, with specific emphasis on water and sanitation services being undertaken by local self- governments. Two of India’s most progressive states – Tamil Nadu and Karnataka – have facilitated local self-governments (LSGs) with an option of undertaking service delivery outside the framework of State-driven programs/projects. Under the World Bank aided Tamil Nadu Urban Development Project (TNUDP) and through funds available from the Tamil Nadu Urban Development Fund (TNUDF), LSGs have appointed design and supervision consultants, and awarded substantially sizeable sewerage contracts departmentally. The Government of Karnataka, based on recommendations of the Directorate of Municipal Administration (DMA), has revised the Cadre and Recruitment Policy to appoint additional technical and accounting staff in LSGs – this move also addresses the project implementation requirement under proposed externally aided projects in the State. However, the transition to absolute decentralization in the above two states have occurred over a long period and the transition from state-managed programs to LSG-managed programs have been gradual.
The above approach to decentralization is primarily aimed at reducing involvement of multiple agencies in service delivery and fixing the onus of service delivery on the local self-government. With various agencies involved in service provision, coordination of delivery and efficiency in service provision is diluted. More often works are implemented without appropriate coordination and a lack of responsibility by a single entity for overseeing execution/project coordination renders the exercise futile (for example, rectification of water supply leakages and road overlays after work completion). In this context, the process of decentralization and institutional responsibility for service delivery assumes importance for long-term urban management.
KSUDP urban infrastructure improvement component includes water supply, sewerage and sanitation, solid waste management, urban drainage, urban roads and transport. In addition, the urban management and institutional development component supports the overall objective of urban basic service delivery and identifies poverty alleviation initiatives for supporting vulnerable groups of the society.
Water and sewerage is currently the responsibility of the Kerala Water Authority, while the Kerala Municipalities (KM) Act, 1994 and the Decentralization of Powers Act, 2000 empowers the urban local body (ULB) to undertake future water and sewerage service provision. GoK’s Minor Irrigation Department maintains primary drainage channels / canals, while the ULB maintains secondary / link
FR Volume 7 - Urban Management & Institutional Development PAGE 26 TA 4106 –IND: Kerala Sustainable Urban Development Project Project Preparation drains and roadside drains. Based on the ownership of roads, the State Public Works Department or the ULB maintain respective stretches. Solid waste management is carried out by the ULB.
Long-term sustainability of KSUDP is therefore contingent on the institutional responsibilities for “service provision”. The Government of Kerala (GoK) has undertaken a path of decentralization and devolving functions and responsibilities to local-self governments – KSUDP is designed to support and facilitate GoK’s initiative.
5.2 Road Map for Decentralization For effective service provision, it is imperative to define the parameters governing the decision to allocate responsibility to any particular institution – Local Self-Government or State Line Department. These parameters include (i) asset ownership; (ii) asset planning, design and creation; (iii) asset maintenance; (iv) cost recovery and tariff structures; and (v) cost recovery / billing and collection.
A road map for decentralization is prepared and detailed in the following section – the road map assumes that the Municipal Corporation / ULB is responsible for “cost effective” service provision; asset planning and management, and cost recovery should eventually rest with the MC / ULB. State Line Departments should oversee service provision at the regional-level e.g., bulk water supply to ULBs and villages. The road map also assumes that ULBs should be empowered to fix tariffs and recover costs on service provision, based on the underlying fact that the municipal council owns the project and is therefore responsible for undertaking measures to sustain investments. The road map provides a framework for gradual progression to a preferred situation; GoK should set the timeline based on its decentralization policy.
Based on the road map (primarily for revenue generating projects – water supply and sewerage), institutional responsibilities for KSUDP sustainability are identified and prospective activities indicated for service provision. Factors governing the decision to assign responsibilities to institutions include (i) current constraints in service delivery; (ii) resource mobilization options available with institutions; and (iii) reducing the long-term liability in terms of expenditure (outsourcing as an option over recruiting new staff). Table 5-1 provides a Road Map for Decentralization of water and sewerage services.
FR Volume 7 - Urban Management & Institutional Development PAGE 27 TA 4106 –IND: Kerala Sustainable Urban Development Project Project Preparation Table 5-1: Road Map for Decentralized Service Provision – Water and Sanitation
Parameters Current Situation Activities leading to a Mid Term Mid Term Situation Activities leading to a Preferred Situation Situation Preferred Situation A. Asset Planning and Management a) Asset Status. 1. Bulk Water Supply. Map Status. - Status. Ownership bulk water supply assets GoK/KWA creates and owns Bulk water supply – headworks, KWA owns and maintains all bulk (headworks, Water Treatment assets intake, water treatment plant and water supply related assets Plant and Transmission transmission assets remain with Risks. Mains) and conduct condition MC owns, creates and manages KWA surveys water supply distribution system Staff not accountable to ULB; MC owns all water supply and sewerage assets within MC affects response to system 2. Water Distribution and distribution system and sewerage jurisdiction failures Sewerage System. Identify assets and funds future and map existing assets expansions and rehabilitation within MC jurisdiction; works (all new assets shall belong conduct condition survey for to MC) existing assets; value and transfer existing assets to MC b) Asset Status. 1. Bulk Water Supply. KWA Status. 1. Build MC staff Status. Planning, plans, designs and augments capacity for KWA plans and designs MC coordinates planning within its KWA plans, designs and creates Design & system based on demand by undertaking system system, responsible for jurisdiction of (water distribution systems for bulk water supply; Creation cities. planning, design maintenance and rehabilitation and sewerage) capital works, KWA responsible for serving and construction 2. Water Distribution and maintenance and rehabilitation, enroute villages/urban local Risks. supervision Sewerage System. Appoint with enhanced systemic bodies KWA lacks coordination with technical staff at MC to knowledge MC plans and designs (water other agencies for service coordinate system planning supply distribution and sewerage) provision (town planning, road with KWA; build staff capacity system expansion / rehabilitation, construction, etc.) within MC through KSUDP. MC to or outsources asset development jurisdiction; unable to coordinate future asset and creation (Pvt. Sector or undertake works within MC planning through the KWA), for assets within MC jurisdiction as a priority proposed City Planning & jurisdiction Engineering Department c) Asset Status. 1. Bulk Water Supply. KWA Status. 1. KWA hands over Status. Management builds staff capacity for water distribution KWA maintains assets KWA continues maintaining MC oversees system maintaining existing assets, and sewerage departmentally existing bulk water supply assets maintenance through supervisory or KWA incrementally system departmentally staff; actual O&M may be Risks. outsources existing asset maintenance (within outsourced (or contracted to maintenance KWA responsible for maintaining MC’s jurisdiction) to KWA dependent on State funds KWA) through performance based old water and sewerage assets by MC for establishment and O&M 2. Water Distribution and contracts outsourcing expenditure, fund shortage Sewerage. KWA affects quality of assets / incrementally outsources MC outsources maintenance of service provision existing asset maintenance new water distribution and sewerage assets
FR Volume 7 - Urban Management & Institutional Development PAGE 28 TA 4106 –IND: Kerala Sustainable Urban Development Project Project Preparation Parameters Current Situation Activities leading to a Mid Term Mid Term Situation Activities leading to a Preferred Situation Situation Preferred Situation B. Cost Recovery a) Cost Status. 1. Bulk Water Supply. Status. 1. Wastewater Status. Recovery / Estimate actual costs on surcharge GoK/KWA fix uniform water GoK to fix bulk water tariffs, GoK (through KWA) recovers Tariff water production and supply, introduced where tariffs (across the State); payable by urban and rural local costs on bulk water supply Structures and identify tariff structures sewerage provided property tax is the only mode of bodies, based on volumetric for bulk supply; install bulk based on volumetric MC Council sets tariffs / charges recovering investments on supply water meters at off-take water tariff. and recovers service provision sewerage points MC Council responsible for fixing costs; MC Council indexes 2. Household water Risks. tariffs (water charges and revisions with inflation and 2. Water Distribution. Conduct service connections sewerage charges) based on electricity charges to recover KWA dependent on GoK Policy water tariff study to ascertain increased to reduce service provision costs (including costs regarding water tariff revisions actual costs of water supply need for free public repayment of financing costs, (uniform tariff across the State), provision, also conduct stand posts. MC Council revises property tax in O&M and staff costs) – each MC which affects funds available willingness to pay (WTP) accordance with the Kerala has the liberty to fix tariffs based for establishment and system studies to identify tariff Municipalities Act, 1994 on costs incurred within the MC O&M (fund shortage affects ranges; install meters at jurisdiction quality of assets / service consumer points provision) Risks. 3. Sewerage. Identify costs for MCs unable to recover costs sewage collection, treatment Lack of political will to charge through property taxes (only and disposal, and identify consumers, dearth of funds for form of cost recovery for MC); options for sewer charges system maintenance, GoK funds consequently, State plan funds (bulk water) / municipal fund 4. Implement property taxation to MC deducted and payment (water distribution and sewerage) system – plinth area based or made to KWA tapped for overcoming fund capital asset value – to shortfall Sanitation tax component in recover capital costs on property tax not apportioned service provision towards sewerage maintenance b) Cost Status. 1. Outsource billing and Status. 1. Transfer Status. Recovery / collection activities for retail outsourcing contract KWA issues bills to ULBs for KWA continues to bill and collect, MC bills and collects water and Billing & water supply (to household / of retail billing and bulk supply and to household / through outsourcing – sewer charges through Collection commercial / industrial collection activities commercial / industrial performance based contracts outsourcing or departmentally consumers) to MC; MC consumers for retail supply; ensure maximum efforts to bill dependent on high KWA recovers charges retail consumers collection of water departmentally Risks. and sewer charges Risks. to pay for service Control on billing and collection provision KWA not affected by low may require further monitoring collection; expenditure offset by State funds
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5.3 Institutional Responsibilities for KSUDP Sustainability The above road map indicates the ultimate arrangement required from the perspective of efficient service delivery. While state-level agencies, particularly the Minor Irrigation and Public Works Department, will continue to manage assets created under their jurisdiction, water and sewerage services will be managed by the ULB (bulk water supply will remain with the Kerala Water Authority given the various enroute supplies to villages and towns) given the need for localized control and cost recovery/tariff fixation resulting from high operation and maintenance costs.
However, since the current set-up is not adequately staffed to manage water and sewerage services, under KSUDP, Project cities will only manage small portions of the system/asset created – specifically sewerage systems – as a gradual transition to managing services across the city. Water supply sub-projects are limited to asset rehabilitation, which is best managed by KWA given the existing control. However, in the long-term, the municipal corporations may gradually takeover water supply based on the road map (and as indicated in the KWA White Paper). An exception is in the case of Thrissur where the MC manages water supply in the erstwhile municipality area, and under KSUDP it will extend coverage to the entire MC jurisdiction.
The transfer of water and sewerage services to the MC holds significance from the perspective of cost recovery on services by a single entity responsible for services within the urban/municipal area. Currently, the only form of recovery of costs on services is through property taxation, which is largely limited to repaying debt borrowed for asset creation – this resource is not tapped by KWA and it has recourse to only water charges, which only meet part of the operation and maintenance costs. MC’s undertaking responsibility for service delivery also ensures that resources are managed efficiently to provide efficient services. Further, it is envisaged that the elected councillors, responsible for efficient service delivery, will ensure resource mobilization/cost recovery on service delivery and affect taxes and tariffs to meet the needs of services. In order to gradually progress towards this situation, KSUDP has proposed institutional strengthening measures to equip the ULB in efficient resource management.
The following tables provide details on institutional responsibilities for asset creation and future O&M. While asset creation is envisaged through the Project Implementation Unit, long-term O&M will be the responsibility of the identified agency. From the Municipal Corporation’s perspective, a financial improvement and action plan (FIAP) will define the path to be adopted for future sustainability of assets, once transferred from state-level agencies.
FR Volume 7 - Urban Management & Institutional Development PAGE 30 TA 4106 –IND: Kerala Sustainable Urban Development Project Project Preparation Table 5-2: Sub-Projects - Thiruvananthapuram
Sub-Project Components Component Current Proposed Activities for Future Service Provision Base Cost Responsibility Responsibility a. Water Supply 1. Undertaken by JBIC - - - - b. Sewerage and Sanitation 1. Rehabilitation of existing sewerage -350,000 Rs.64 mn Kerala Water Kerala Water • Identify and map existing assets within MC persons Authority Authority jurisdiction; conduct condition survey for existing assets 1. Interceptor sewers along TS canal and Rs.800 Mn - Municipal • MC oversees system maintenance through extension of sewerage in coastal areas -150,000 Corporation supervisory staff; actual O&M may be outsourced (or persons contracted to KWA) through performance based 2. Supply of sanitation and sewer maintenance contracts equipment 3. 120 MLD STP for existing and extension sewerage c. Urban Drainage 1. Rehabilitation of existing culverts, construction of Rs.35 mn Minor Irrigation Municipal • Implement new system of property tax and recover by-pass culvert, silt pits, etc. and widening of Corporation costs for system maintenance Pazhavangadi Thodu (main canal)· 2. Improvement of other secondary drains Rs.35 mn Municipal Municipal • Outsource secondary / roadside drain maintenance Corporation Corporation with solid waste / street sweeping activities d. Solid Waste Management 1. Under Capital Region Development Program - - - - e. Urban Roads / Transport 1. Upgrading of 6 critical roads – totalling 22.5 km Rs.268 mn Public Works Municipal • Source funds for future operation and maintenance – Department Corporation sale of advertisement rights along medians, at junctions, etc. • Undertake regular O&M through earmarked staff Total Cost Rs.1,202 mn
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Sub-Project Components Component Current Proposed Activities for Future Service Provision Base Cost Responsibility Responsibility a. Water Supply 1. Improvements to the 2 existing water treatment Rs.364 mn Kerala Water Kerala Water • KWA responsible for future asset planning, design, plants Authority Authority creation and maintenance 2. Leak detection program including rehabilitation / Rs.63 mn Kerala Water Kerala Water • Identify and map existing assets within MC jurisdiction strengthening of the existing distribution network Authority Authority and conduct condition survey for existing assets. b. Sewerage and Sanitation 1. Rehabilitation of 38 km existing sewer lines and Rs.569 mn Kerala Water Municipal • Identify and map existing assets within MC laying 90km of new sewers in old municipal area Authority Corporation jurisdiction; conduct condition survey for existing 2. Construction of 11 pumping stations assets; value and transfer existing assets to MC 3. Construction of 16 MLD STP at Kureepuzha • MC oversees maintenance through supervisory staff; actual O&M may be outsourced (or contracted to 4. Supply of sanitation and sewer maintenance KWA) through performance based contracts equipment c. Urban Drainage 1. Improvement of existing storm water drains – Rs.85 mn Municipal Municipal • Fund inadequacy and insufficient staff to oversee citywide Corporation Corporation system maintenance 2. Construction of new drains to improve the storm • Implement new system of property tax and recover water drainage network of the city costs for system maintenance • Outsource secondary / roadside drain maintenance with solid waste / street sweeping activities d. Solid Waste Management 1. Collection & transportation equipment Rs.74 mn Municipal Municipal • MC to provide waste collection and transportation 2. Compost plant installation and development of Corporation Corporation equipment; actual activities outsourced as sanitary land fill site performance based contracts • MC to provide funds for installing compost plant and constructing sanitary landfill; operations outsourced on three -year operations contract e. Urban Roads / Transport 1. Upgrading improvements of 3 major roads (total Rs.110 mn Public Works Municipal • Source funds for future O&M – sale of advertisement 11 km) and 8 junctions Department Corporation rights along medians, at junctions, etc. 1. Underpass at Chinnakada Rs.53 mn Municipal Municipal • Undertake regular O&M through earmarked staff 2. Street lighting improvements Corporation Corporation Total Cost Rs.1,319 mn
FR Volume 7 - Urban Management & Institutional Development PAGE 32 TA 4106 –IND: Kerala Sustainable Urban Development Project Project Preparation Table 5-4: Sub-Projects - Kochi Sub-Project Components Component Current Proposed Activities for Future Service Provision Base Cost Responsibility Responsibility a. Water Supply 1. Trunk water transmission main rehabilitation Rs.450 mn Kerala Water Kerala Water • KWA responsible for future asset planning, design, 2. Leak detection program with rehabilitation / Authority Authority creation and maintenance strengthening of the existing distribution network b. Sewerage & Sanitation 1. Extension of sewerage in S. Ernakulam –60,000 Rs.584 mn Kerala Water Municipal • Identify and map existing assets within MC jurisdiction persons with 10 Mld STP Authority Corporation and conduct condition survey for existing assets. 1. Extension of sewerage in North Kochi -100,000 Rs.409 mn - Municipal • MC oversees system maintenance through persons with 20 MLD STP Corporation supervisory staff; actual O&M may be outsourced (or 2. Supply of sanitation and sewer maintenance contracted to KWA) through performance based equipment contracts c. Urban Drainage 1. Improvement of link drains in the most flood Rs.146 mn Municipal Municipal • Implement new system of property tax and recover prone and waterlogged areas of city centre Corporation Corporation costs for system maintenance 2. Rehabilitation of the major drainage canals in • Outsource secondary / roadside drain maintenance the central city zone. with solid waste / street sweeping activities 3. Improvement of secondary drains and covering of existing open drains d. Solid Waste Management 1. Collection & transportation equipment Rs.139 mn Municipal Municipal • MC to provide waste collection and transportation 2. Compost plant installation and development of Corporation Corporation equipment; actual activities outsourced as sanitary land fill site performance based contracts • MC to provide funds for installing compost plant and constructing sanitary landfill; operations outsourced on three -year operations contract e. Urban Roads / Transport 1. Upgrading improvements to 2 roads (0.8 km) Rs.203 mn Public Works Municipal • Source funds for future operation and maintenance – 2. Junction improvements (10 nos) Department Corporation sale of advertisement rights along medians, at 3. Road safety proposals for 43km length of roads junctions, etc. 1. Construction of a new road to stadium (1.5 km) Rs.47 mn Municipal Municipal • Undertake regular O&M through earmarked staff 2. Upgrading improvements of 1 road (0.6 km) Corporation Corporation 3. Junction improvements (2 nos) 4. Bridge over Canal across SA Road Total Cost Rs.1,978 mn
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Sub-Project Components Component Current Proposed Activities for Future Service Provision Base Cost Responsibility Responsibility a. Water Supply 1. Replacement of existing transmission main and Rs.409 mn Kerala Water Kerala Water • KWA responsible for future asset planning, design, installation of bulk flow meters Authority Authority creation and maintenance 1. Leak detection program with rehabilitation / Rs.70 mn KWA & Municipal Municipal • Identify and map existing assets within MC strengthening of the existing distribution network Corporation Corporation jurisdiction; conduct condition survey for existing assets; value and transfer existing assets to MC • MC oversees system maintenance through supervisory staff; actual O&M may be outsourced (or contracted to KWA) through performance based contracts b. Sewerage & Sanitation 1. Septic tank emptying equipment Rs.8 mn Municipal Municipal • MC oversees maintenance through supervisory staff; Corporation Corporation 2. Development of sludge treatment facilities actual O&M may be outsourced (or contracted to KWA) through performance based contracts c. Urban Drainage 1. Side protection and de-silting of primary canals Rs.277 mn Minor Irrigation Municipal • Implement new system of property tax and recover and in all drainage zones (15km) Corporation costs for system maintenance 2. Renovation of existing and construction of new culverts on the primary canals 3. Renovation of Vanchikulam Tank
1. Covering and channel improvements to existing Rs.14 mn Municipal Municipal • Outsource secondary / roadside drain maintenance secondary drains Corporation Corporation with solid waste / street sweeping activities d. Solid Waste Management 1. Collection & transportation equipment Rs.61 mn Municipal Municipal • MC to provide waste collection and transportation Corporation Corporation 2. Development of sanitary land fill site equipment; actual activities outsourced as performance based contracts (as practised currently) • MC to provide funds for installing compost plant and constructing sanitary landfill; operations outsourced on three –year operations contract
FR Volume 7 - Urban Management & Institutional Development PAGE 34 TA 4106 –IND: Kerala Sustainable Urban Development Project Project Preparation Sub-Project Components Component Current Proposed Activities for Future Service Provision Base Cost Responsibility Responsibility e. Urban Roads / Transport 1. Upgrading improvements of 5 roads (20 km) Rs.145 mn Public Works Municipal • Source funds for future operation and maintenance – Department Corporation sale of advertisement rights along medians, at junctions, etc. 1. Upgrading improvements of 4 roads (7.5 km) Rs.159 mn Municipal Municipal • Undertake regular O&M through earmarked staff Corporation Corporation 2. Safety improvements for central city roads 3. 3 Pedestrian subways 4. Improved street lighting for all major roads Total Cost Rs.1,142 mn
FR Volume 7 - Urban Management & Institutional Development PAGE 35 TA 4106 –IND: Kerala Sustainable Urban Development Project Project Preparation Table 5-6: Sub-Projects - Kozhikode
Sub-Project Components Component Current Proposed Activities for Future Service Provision Base Cost Responsibility Responsibility a. Water Supply 1. Under JBIC - - - - b. Sewerage & Sanitation 1. Rehabilitation of 17 km existing sewers and Rs.612 mn Kerala Water Municipal • Identify and map existing assets within MC completion of zone. 8.2 sq. km area – approx. Authority Corporation jurisdiction; conduct condition survey for existing 70,000 persons assets; value and transfer existing assets to MC 2. Extension of sewerage in North west side – 13.5 • MC oversees system maintenance through sq. km for 100,330 persons supervisory staff; actual O&M may be outsourced (or 3. Construction of 30 Mld STP contracted to KWA) through performance based contracts 4. Supply of sanitation and sewer maintenance equipment c. Urban Drainage 1. Secondary drains and inlets to Elathur-Kallai Rs.47 mn Minor Irrigation Municipal • Implement new system of property tax and recover (EK) Canal Corporation costs for system maintenance 2. Construction of wall and fencing to EK Canal from Karaparamba Bridge to Arayadathpalam 3. Construction of Culverts at Kuzhippavayal and Varuthichery Vayal 4. Construction of drainage outlets to the sea 1. Drainage improvements in Wards 15 and 17 Rs.251 mn Municipal Municipal • Outsource secondary / roadside drain maintenance Corporation Corporation with solid waste / street sweeping activities d. Solid Waste Management 1. Collection & transportation equipment Rs.79 mn Municipal Municipal • MC to provide waste collection and transportation Corporation Corporation 2. Development of sanitary land fill site equipment; actual activities outsourced as performance based contracts • MC to provide funds for installing compost plant and constructing sanitary landfill; operations outsourced on three -year operations contract
FR Volume 7 - Urban Management & Institutional Development PAGE 36 TA 4106 –IND: Kerala Sustainable Urban Development Project Project Preparation Sub-Project Components Component Current Proposed Activities for Future Service Provision Base Cost Responsibility Responsibility e. Urban Roads / Transport 1. Upgrading improvements of 1 road (3 km) Rs.120 mn Public Works Municipal • Source funds for future operation and maintenance – Department Corporation 2. Pedestrian subway, footpaths & safety sale of advertisement rights along medians, at improvements junctions, etc.
1. Upgrading improvements of 2 roads (1.4 km) Rs.249 mn Municipal Municipal • Undertake regular O&M through earmarked staff Corporation Corporation 2. Street lighting improvements for 58km. of major roads 3. Pedestrian subway, footpaths & safety improvements 4. 1 Flyover
Total Cost Rs.1,358 mn
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5.4 Decentralization of Water and Sewerage Services The White Paper on Kerala Water Authority (July 2002) set out the following targets based on a review of KWA functions: a) Transfer Responsibilities to Local Governments. The targets comprised (i) transfer of single panchayat scheme to the local government, during 2002-03, and not undertaking such schemes in future; (ii) transfer all comprehensive rural water supply schemes to local governments by 2007; (iii) transfer urban water supply distribution responsibilities to urban local bodies by 2007; and (iv) supply, meter and charge bulk water supply to local governments. b) Balance Revenue Budget. The targets comprised (i) discontinuation of diversion of plan and capital funds to revenue expenditure; and (ii) determine instalments for overdue payments of electricity charges, and clear loan repayments and maintenance charges by end 2002-03. c) Increasing Revenues. The targets comprised (i) time bound action to check unauthorized and unaccounted water connections in urban areas; (ii) replace defective meters at water connections; (iii) adopt measures to check unaccounted for water in urban schemes and bulk supply; and (iv) computerize billing and collection at all urban centres by 2003-04. d) Reducing Expenditure. The targets comprised (i) ban on recruitment and filling vacancies (including retirement) during current Plan period; (ii) reduce number of offices by 2005; (iii) end the system of appointment of hand receipt/daily wage workers by 2002; (iv) conduct energy studies and implement improvements to reduce energy charges to reduce costs by 10% by 2004; (v) issue bonds in 2002-03 for retiring high-cost loans and reducing interest charges; (vi) computerize all staff payments by 2003-04; (vii) increase the level of computerization systematically; and (viii) pose a Voluntary Retirement Scheme to GoK for assistance. e) Project and Materials Management. The targets comprised (i) separate KWA into four functional units instead of the current three regional units; (ii) reduce the number of pending scheme; (iii) contracts – supply and laying, and Engineering, Procurement and Construction Management – should be performance based; and (iv) reduce old stock materials and introduce Computerized Materials Management by end 2003. f) Human Resource Development. The targets comprised (i) instituting a training and reorientation program, a transparent promotion policy based on performance appraisal and KWA Service Rules; (ii) engage competent professionals on contract to undertake personnel management and training, cost accounting, and public relations and vigilance; and (iii) reduce the number of unions to 2 or 3 from the current 34.
To facilitate achievement of the aforementioned targets, the White Paper recommended the following
All loans to KWA should be converted into grants, and interest on loans to be waived – KWA finances should be rescheduled to start on a clean slate;
Non-Plan grant to KWA may be fixed on a rational basis;
GoK may consider a water utility rate for electricity charges and instalment payment worked out for arrears;
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The system of payment of a portion of registration fee towards street tap expenditure may be streamlined;
One time settlement of past dues of local bodies to KWA should be finalized;
Fund release for rural schemes as grants and urban schemes as loans;
KWA may levy a sewerage surcharge to cover maintenance cost of sewerage schemes;
KWA may consider an increase in water charges at the beginning of 2003-04, as appropriate; and
Details of above-mentioned monitorable targets may be worked out by August 2002 on the basis of Council decisions.
A substantial number of the White Paper recommendations is pending before the Government and decisions are awaited on critical issues, particularly on decentralization of services. However, the ongoing Japanese Bank for International Cooperation (JBIC) funded Kerala Water Supply Project (KWSP) proposes to address a significant number of components identified in the White Paper.
5.5 Institutional Strengthening of KWA In the event that existing water and sewerage assets are not transferred to the municipal corporations in line with GoK’s decentralization policy, GoK would need to ensure long-term sustainability of assets created under KSUDP. The ongoing Japanese Bank for International Cooperation (JBIC) funded Kerala Water Supply Project (KWSP) has proposed institutional strengthening measures to strengthen the Kerala Water Authority and improve the organization’s capacity to provide water and sewerage services – this initiative is likely to ensure long-term sustainability of KSUDP assets. JBIC’s institutional strengthening/organizational development is focused on the following areas:
Support to KWA in enhancing existing systems and people capabilities through review of current operational and business practices with recommendations for improvement. For example, billing and collection activities, communications, people and organizational development activities, etc. This support through JBIC will provide complimenting support to KWA’s ongoing drive to meet their operational, business and service aspirations.
Support to KWA in developing a strategy for Human Resource Development (HRD) including the production of a HRD and Training Manual. The activity will comprise a change management program that will introduce new updated HR procedures such as job profiles, reorientation of attitudes and values of KWA staff towards a new customer focussed vision.
Enhancing, defining and developing business and systems strategies for KWA, by implementing new systems such as a management information system (MIS), Complaints Redressal System, Project Monitoring System, O&M and Procurement Systems.
The following sub-sections provide insight into “Institutional Strengthening (IS) Master Plan” proposed under the JBIC funded Kerala Water Supply Project.
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5.5.1 MIS and System Development The MIS and System Development component of the IS Master Plan aims at achieving automation of existing systems and procedures in the Kerala Water Authority (KWA). Outputs under the component is categorized into the following:
Systems Development. Activities under this sub-component comprises (i) reviewing current systems and procedures, work practices and capabilities; (ii) developing an appropriate systems strategy; (iii) preparing systems specifications for hardware and software identified under the IS Master Plan; (iv) assisting KWA in procuring hardware and developing software for IS functions; (v) training staff identified to operate systems identified; and (vi) providing post implementation support on identified areas.
Network and Connectivity. The KWSP proposes installing a Wide Area Network (WAN) to address requirement at three tiers of KWA management – data generation, middle management and senior management – spread across all operational units of KWA. The objective behind installing this system is to ensure that data collated at the regional offices is available at the central office for decision-making. Infrastructure development for the WAN will be undertaken in coordination with systems and procedures software application development. The planned infrastructure would be controlled through three regional data centres located in Thiruvananthapuram, Kochi and Kozhikode. The works are scheduled for completion over a two- year period.
MIS Development. Based on the Systems Strategy developed under the Systems Development sub-component, it is proposed to develop a Management Information System (MIS) that will provide information for decision-making. The MIS will be developed based on the following system modules – Complaint Redressal System (CRS), Billing/Revenue, Employee Information, Financial Information, Procurement, Operation and Maintenance, and Project Monitoring. KWA is in the process of introducing a computerized Employee Information System and a computerized Financial Accounting System; KWSP will dovetail outputs of the above systems along with outputs of the MIS. The MIS will be available to Middle Management and Senior Management only; primary functions of the MIS shall comprise data capture, analytical processing and report generation supporting decision-making procedures. The MIS will be provided on a pilot basis and later rolled out to the rest of Kerala by means of a separate Management Contract.
Web Enabling KWA Activities. As a part of the MIS development, KWSP will assist KWA to interact with public on its activities and also monitor projects undertaken by KWA. The objective is to gradually transit into a web-enabled system of complaint redressal and project monitoring. KWSP will manage the contractor appointed to develop, commission and maintain the MIS software and KWA website.
5.5.2 Customer Service The KWSP will implement a Complaint Redressal System (CRS), which will be capable of logging, referring, escalating and resolving complaints with an audit trail for each contact. This will provide statistical data and management information to ensure customer complaints are dealt with quickly and professionally. The CRS will be implemented on a pilot basis for Thiruvananthapuram, which will
FR Volume 7 - Urban Management & Institutional Development PAGE 40 TA 4106 –IND: Kerala Sustainable Urban Development Project Project Preparation broadly consist of a regional Customer Service Centre (CSC) with walk-in facilities suitable connected over a Local Area Network (LAN) and a Wide Area Network (WAN) to various remote offices. On roll-out, it is envisaged that customer service activities will be managed by the region through three Regional Customer service Centres.
5.5.3 Organization Arrangements and Human Resources In addition to improving KWA’s approach to service delivery through improved systems and procedures, and MIS development, KWSP will assist KWA through a change management program that will address human resource development/organizational development. The sub-components comprise:
Organization Review. The organizational review sub-component will focus on strategies for improving KWA’s “business approach” and will entail integrating business systems comprising process management, asset management, people management and information system management.
HR and Training Manual. The Human Resource (HR) and Training Manual will set out the principles and policies of good practice for KWA based on existing employment laws and regulations, and State procedures. The manual will broadly comprise (i) organizational framework; (ii) policies and procedures; (iii) values and behaviour; (iv) recruitment and redeployment; (v) manpower planning; (vi) job profiles; (vii) capability assessment, skill development, standards and qualification; (viii) performance appraisal and development; (ix) health, safety and welfare; (x) disciplinary/grievance procedures; and (xi) training and development activities.
Infrastructure Project Training and Development. Through the period of KWSP, KWA staff will be trained in all aspects of the project – during construction, testing and commissioning period. Locally based training and overseas training will form a part of the program. A training centre will be constructed at Aruvikkara, which will form a part of the project.
5.5.4 Procurement and Inventory Management KWSP will assist in preparing an integrated operation and maintenance system to coordinate (i) the scheduling of O&M tasks; and (ii) ensure that purchasing and inventory management activities are integrated with O&M activities. The computerized system will provide valuable asset information to ensure that assets are operated and maintained in accordance with appropriate design and operational parameters. The software development and implementation will be undertaken on a pilot basis and subsequently rolled-out to all KWA offices – the web enabled system/WAN will provide appropriate information to the MIS. The software package developed will include modules for task scheduling, planned/preventive/predictive maintenance, asset management and inventory management and control.
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5.5.5 Support to IS Master Plan It is envisaged that the KWSP will facilitate institutional strengthening of Kerala Water Authority and in the long-term, develop KWA’s ability to undertake and manage water and sewerage service professionally and on commercial principles. To support the aforesaid IS Master Plan activities, KWSP will procure the following equipments and services:
Procurement of Services. In order to implement the Change Management Program, KWSP will procure services of a consulting firm to provide staff training and development. The change management program support will inter alia include (i) KWA project evaluation and developing a project management development program; (ii) KWA employee attitude surveys and developing functional specific and organization wide programs to re-orient KWA staff and change attitudes towards internal and external customers and staff motivation; and (iii) develop information, education and communication (IEC) programs in partnership with local community for new projects.
Procurement of Equipment Package. Procurement of equipment under KWSP is associated with activities to be undertaken as a part of the IS Master Plan. Tenders shall be invited for supply, warranty, training and support for information technology and communications equipment, computer furniture and general equipment, vehicles, heavy plant and equipment, operational tools and equipment. The execution of the entire contract (across all KWA offices) is expected to take two-years.
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6. KSUDP Implementation Arrangements
6.1 Project Management and Administration A Project Management Office (PMO) is responsible for overall coordination, management and administration of the Kerala Sustainable Urban Development Project (KSUDP). The PMO will be responsible for overseeing components under KSUDP, which includes urban infrastructure improvement, urban management, and implementation assistance. The PMO will be responsible for Project implementation along with Project Implementation Units (PIUs) established in each Municipal Corporation. The implementation arrangement is indicated Figure 6-1.
The urban infrastructure component comprising water supply, sewerage and sanitation, solid waste management, urban drainage, urban roads and transport, and community infrastructure will be implemented through the PIU housed in each Municipal Corporation. Project development and implementation assistance will be provided through Project Management Consultants (PMC) and through Design and Supervision Consultants (DSC). The PMO will be directly responsible for urban management component, which comprises institutional development (capacity building and training) activities at the state-level and municipal-level, policy review and formulation and legislative and administrative framework assistance at the state-level. Kudumbashree will facilitate the municipal corporations in implementing poverty alleviation programs; capacity building of Kudumbashree staff will form a key part of the urban management component.
The PMO will also be responsible for overseeing the operations of the Kerala Local Government Development Fund (KLGDF), managed by a Fund Management Company (FMC), Kerala Local Government Infrastructure and Financial Services Limited (KLGIFSL). KLGDF will be made available to the five municipal corporations, 53 Municipalities and other Local Self Governments. KLGDF will provide financial assistance for urban infrastructure creation to borrowing LSGs; it will also support LSGs through project development and implementation assistance. KLGDF through KLGIFSL will report physical and financial progress to the PMO, which will in turn be reported to GoK, GoI and ADB. The PMO- KLGDF relationship is detailed in Figure 6-1.
6.2 Executing and Implementing Agencies 6.2.1 Executing Agency The Local Self Government (LSG) Department of the State government would be the Executing Agency (EA) of the Project and will be responsible for overall strategic guidance, technical supervision, execution of the project, and ensuring compliance with the loan covenants. A state-level Project Management Office (PMO), led by a full-time Project Director executes the project; he/she will have no other duties within the LSG or elsewhere. The Project Director, supported by the PMO and consultants, will (i) coordinate all activities under the Project; (ii) will be responsible for overall project implementation, monitoring, and supervision; and (iii) will directly report to the Secretary, LSG (Urban) Department.
A state-level Empowered Committee (EC) will be set-up with full powers to decide on matters related to the project. The Project Director would be the member secretary; the members of the committee include the Chief Secretary (chairperson), Secretaries of Planning, Finance, Local Self Government,
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Water Resource (or represented by MD, KWA and Chief Engineer, Minor Irrigation) and Public Works. The Executive Director, Kudumbashree will also form a part of the EC. Other relevant officials may be invited as necessary. Once the project is made effective, the EC will meet regularly to review project performance and decide on major issues, such as counterpart funding, implementation bottlenecks, land disputes, special procurement, policy reforms, etc.
A Tender Approval Committee (TAC) comprising Secretary, LSG (U), Secretary, Finance, and PD, KSUDP will approve all tenders related to KSUDP implementation; the EC will delegate powers related to tender approvals to the TAC. The TAC will take decisions related to all tenders under KSUDP.
6.2.2 Implementing Agencies Given the multiplicity of functions and the overlap in service provision, identifying the implementing agency is critical for smooth operations. The Municipal Corporations will be the implementing agencies for the urban infrastructure and traffic component, and administer the Community Infrastructure Fund (CIF) and Poverty Social Fund (PSF), conforming to GoK’s policy of decentralizing planning and service delivery. Kudumbashree will play an active role in overseeing the utilization of the two funds for poverty alleviation.
A city-level Steering Committee (SC) in each Project city would be constituted for overcoming any bottlenecks in sub-project progress. The SC would constitute the District Collector, Mayor, Corporation Secretary, representatives of State-level departments in the town (Public Works Department, Electricity Board, Kerala Water Authority, Pollution Control Board, etc.), and representatives of chamber of commerce, industry and NGOs. Besides reviewing project progress, the SC also sorts out local issues and provides guidance on policy matters. Figure 6-2 indicates the project management arrangements. The members of the Civil Society Organization (CSO) will jointly discuss and prepare poverty alleviation projects, which will be approved by the City-level Steering Committee. Kudumbashree will continue to play an active role in advising and monitoring activities facilitating poverty alleviation.
6.3 Project Implementation Management 6.3.1 Project Management Office (PMO) The PMO is responsible for: a) Appointing project management consultants, detailed design and construction supervision consultants, benefit monitoring and evaluation (BME) consultants, public relations and community awareness consultants, and NGOs; b) Approving the design of the investment components prepared by the project cities; c) Pre-qualifying contractors; d) Reviewing public relations and community awareness programs; e) Preparing standard bid documents to comply with ADB guidelines;
FR Volume 7 - Urban Management & Institutional Development PAGE 44 TA 4106 –IND: Kerala Sustainable Urban Development Project Project Preparation f) Monitoring the tendering process and guiding the project cities in bid evaluation and preparing bid evaluation reports for approval by ADB; g) Procuring equipment and services at the state-level; h) Ensuring project compliance with loan covenants; i) Coordinating with ADB on matters related to disbursements; j) Conducting the training and capacity building programs; k) Providing support under the institutional development assistance; and l) Maintaining project accounts and submitting timely reports (including monthly project performance reports, quarterly progress reports, BME reports) to ADB and GoK.
The PMO is headed by the Project Director and supported by three deputies – Executive Director, Detailed Engineering and Construction, Executive Director, Institutional Development, and Executive Director, Administration and Finances. The PMO is staffed with senior level technical, financial, social, capacity building/management and procurement officers to manage all technical, procurement and loan account administration, with 13 professional staff.
The EC will authorize the ED, Detailed Engineering and Construction to provide technical sanctions to all works under KSUDP after carrying out suitable proof-checking of designs. The ED will involve other members of the PMO to evaluate the detailed designs prepared by the Design and Supervision Consultants or Turnkey Contractors before providing technical sanctions.
6.3.2 Project Implementation Units (PIU) The PIU will be established within each Municipal Corporation. The responsibilities of the PIU include: a) Carrying out detailed surveys, investigations and engineering designs of individual city components; b) Tendering, evaluating bids and awarding works, contract administration, supervision and quality control; c) Measuring works carried out by the contractors and certifying payments; d) Conducting public awareness campaigns and participation programs, e) Carrying out the Benefit Monitoring and Evaluation (BME) studies; f) Carrying out environmental assessments; g) Ensuring project city compliance with loan covenants; and h) Preparing monthly reports.
The Design Supervision Consultant (DSC) supports the PIU in all the aforesaid activities (refer section on Project Management and Consulting Services). A Project Manager will head the PIU and will be supported by sector specialists in water supply, sewerage, and civil engineering. The PIU will
FR Volume 7 - Urban Management & Institutional Development PAGE 45 TA 4106 –IND: Kerala Sustainable Urban Development Project Project Preparation also comprise staff involved in procurement, accounts and community development. Staff deputed from the Revenue Department shall handle all land acquisition and resettlement and rehabilitation issues. Each PIU will comprise approximately 10 professional staff and seven support staff. The Project Manager at the PIU will report to the Secretary, Municipal Corporation, and the Project Director at the PMO. All administrative and project co-ordination related issues will be handled by the Secretary. The Secretary will also be authorized to release payments to contractors based on the approval/certification of the Project Manager, PIU, and subject to fund release by the PMO. The Secretary shall interface with the Municipal Corporation Council and KSUDP regarding Project progress.
6.3.3 Project Implementation Support Services Consulting services are required for project management, engineering design, construction supervision, procurement of goods and services, public relations and awareness, and BME. Consultants would be selected and engaged in accordance with ADB’s Guidelines on the Use of Consultants and other arrangements satisfactory to ADB for selecting and engaging domestic consultants.
Project Management Consultant (PMC). A Project Management Consultant group comprising international and domestic firms will assist the PMO in project management activities including reviewing engineering designs, procurement, and implementation. The PMC also assists the Project Management Office (PMO) and the Project Implementation Units (PIUs) in project formulations, management, monitoring and evaluation, financial and environmental management aspects, public relations and awareness, training and capacity building, and institutional development/strengthening.
Design and Supervision Consultant (DSC). The main objectives of the DSC is to update maps and plans, undertake survey, investigations and prepare detailed designs of various project components for each project city, prepare technical specifications and contract documents, assist in construction supervision and quality control, and undertake works measurement.
Community Awareness and Public Participation Consultant (CAPP). A domestic CAPP firm appointed will facilitate public awareness / social mobilization programs on project related issues.
Benefit Monitoring & Evaluation Consultants (BMEC). A domestic Benefit Monitoring & Evaluation (BME) consulting firm recruited by the PMO will identify and evaluate broad macroeconomic, socio-economic and environmental impact of the Project and ensure that project facilities are managed efficiently and the benefits of the project reach the target groups.
Non-Governmental Organisations (NGOs). NGOs recruited in each project city will assist in public awareness campaigns and benefit monitoring and evaluation, and resettlement monitoring. NGOs will also form a part of the CSO to help identify and implement the poverty alleviation component.
Implementation assistance costs are detailed in Annex M.
FR Volume 7 - Urban Management & Institutional Development PAGE 46 TA 4106 –IND: Kerala Sustainable Urban Development Project Project Preparation Figure 6-1: KSUDP – Proposed Implementation Arrangement
Govt.Govt. of of Kerala Kerala LSG LSG (Urban)(Urban) Department Department
ProjectProject Kerala Local Govt. KeralaKerala Local Local Govt. Govt. Reporting Kerala Local Govt. Fund Mgmt ManagementManagement InfrastructureInfrastructure and and DevelopmentDevelopment UnitUnit FinancialFinancial Service Service Ltd. Ltd. FundFund
Overall Project Coordination
Capacity Training Poverty Project Dev. & Infrastructure Project Dev. & Building Programs Alleviation Implementation Projects Implementation
5 Municipal Project Implementation 5 Municipal Project Implementation 55 Municipal Municipal Corporations, Corporations, Corporations and Unit (PIU) within the 5 Corporations and Unit (PIU) within the 5 5353 Municipalities Municipalities and and other other 53 Municipalities Municipal Corporations 53 Municipalities Municipal Corporations LocalLocal Self Self Governments Governments
a) Corporations will access KLGDF for projects other than those identified for supervision through PMO b) PIU staff will consist of staff sourced from State Line Depts and/or experts from the field
FR Volume 7 - Urban Management & Institutional Development PAGE 47 TA 4106 –IND: Kerala Sustainable Urban Development Project Project Preparation Figure 6-2: KSUDP – Proposed Project Management Structure
AsianAsian DevelopmentDevelopment Government BankBank of India
Govt. of Kerala Empowered Committee (EC)
Project ProjectProject Project City-level Steering Management ManagementManagement Management Committee (each city) Office ConsultantsConsultants (PMC) (PMC) Office
BenefitBenefit Monitoring Monitoring and and Evaluation Evaluation CommunityCommunity Awareness Awareness and and Public Public ConsultantsConsultants (BMEC) (BMEC) ParticipationParticipation Consultants Consultants
Project Imp. ProjectProject Imp. Imp. Unit, Unit, ProjectProject Imp. Imp. Project Imp. ProjectProject Imp. Imp. ProjectProject Imp. Imp. Unit, Unit, Unit, Kochi ThiruvananthapuramThiruvananthapuram Unit,Unit, Kollam Kollam Unit, Kochi Unit,Unit, Thrissur Thrissur KozhikodeKozhikode
DesignDesign and and Supervision Supervision DesignDesign and and Supervision Supervision ConsultantsConsultants (DSC) (DSC) ConsultantsConsultants (DSC) (DSC) TVMTVM and and KLM KLM KCH,KCH, TSR TSR and and KZD KZD
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6.4 Project Performance Monitoring System The Project Performance Monitoring System (PPMS) forms an essential part of project implementation and is a systematic set of procedures aimed at monitoring Project progress. The Project performance is measured through a set of defined indicators (indicated in Annex J), which assist in evaluating the Project’s achievement in terms of the goals, purpose and outputs established in the Draft Project Framework (as indicated in Volume I Appendix 1 and to be finalized between ADB and the Executing Agency).
The responsibility for ensuring that the project performance monitoring system (PPMS) is established and undertaken rests with the PMO. The PPMS has numerous categories of monitoring, corresponding to development activities and representing the direct and indirect outcomes expected from the Project. The PPMS also defines the responsibility for monitoring, recording, and reporting. Certain tasks will be outsourced to external contractors; others form part of the routine reporting from the PIUs at the city level to the central PMO.
Indicators broadly cover (i) physical progress of infrastructure works; (ii) institutional development and capacity building; and (iii) impact assessment. Key categories of indicators covered include:
Preparatory activities, comprising pre-loan agreements including loan conditions, key appointments, legislative changes, establishment of departments, etc.;
Physical works for infrastructure, comprising project development and detailed design, tendering and infrastructure construction; the system would also include standard construction management procedures;
Financial monitoring, comprising fund draw down and expenditures made;
Institutional development, comprising targets on transiting to double-entry accounting, streamlining systems and procedures, improved efficiencies in urban planning and management processes; and
Impact indicators, comprising data on Project impact on economic growth, urban poverty alleviations, and public health improvement.
The PMO would be expected to conduct initial baseline physical and socio-economic surveys and submit a detailed implementation plan for monitoring performance and for preparing benchmarking information for ADB’s review and concurrence within 6 months of loan effectiveness. Thereafter, the PMO will submit annual monitoring and evaluation reports to ADB throughout project implementation. The guidelines for determining and preparing the Project Progress Report are provided in Annex K and Annex L.
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Annex A Kerala Development Program
The provisions under Kerala Municipality Act, Decentralized Plan Guidelines and Public Works Rules govern development projects in ULBs. The Annual Plan of the ULB comprises development projects planned at the grassroot level and approved by the Council – financing of all approved projects is through ULB own funds, loans from Financial Institutions and plan grants under State and Central schemes.
1) Plan Preparation. Working Groups are constituted for different development sectors, with generally ten working groups being constituted for each ULB. Based on the ULB’s Vision Document and updated Development Report, working groups prepare draft project proposals for the assigned area. Draft project proposals (DPPs) include among other issues, the criteria for identification of location, beneficiaries if any, resource requirement and financing sources including contribution from the people benefited.
2) Appraisal and Approval. DPPs are discussed at the Ward Sabha/Committee (the grassroot level planning body) with special emphasis on spatial planning. Suggestions from the Ward Committee are considered for finalizing the area’s development strategy and DPPs. Outcomes of group consultations with key stakeholders add to finalizing the DPPs. The Standing Committee for each sector discusses the DPPs with the Working Group and determines a priority list. The Corporation Council considers the reports of the Standing Committees and Working Group, discusses the DPPs in a Development Seminar and finalizes the projects for inclusion in the Annual Plan. The Corporation Council approves the project(s) and intimates the Working Group on the funding sources/pattern.
3) Administrative Sanction. A Technical Advisory Committee (TlAC) at the District level vets the Annual Plan for the ULB but do not possess the powers to change the ULB’s project priority or force the ULB to undertake a particular scheme/work. The District Planning Committee (DPC) reviews the appraisal carried out by the TlAC in the presence of the ULB’s Chairperson and Secretary. Based on the plan feasibility, the DPC approves the Annual Plan and communicates its consent to the ULB, which in turn proceeds to implement the project.
4) Detailed Project Report. Based on projects identified in the Annual Plan, the ULB prepares detailed project reports (DPRs) for implementation. DPRs for minor works are prepared by the ULB under the Corporation Engineer’s supervision. DPRs for major works are prepared through consultants appointed by the Corporation from a shortlist of consultants approved by the Council. The successful consultant is paid according to the scale of fees prescribed by GoK. Consultants prepare designs and bill of quantities (BoQs) based on the 1999 PWD Schedule of Rates (SoRs). If the project is to be implemented by approved agencies like Nirmrithi Kendra, Cost Food, Habitat, etc. the estimate shall be prepared using their standard specification data.
5) Technical Sanction. For all projects irrespective of the source of fund, the Corporation Level Technical Committee (CLTC) shall accord the technical sanction. The District Collector is the authority to constitute this committee. Engineers currently serving, retired, from academic institutions and from NGOs are included in this committee. The Corporation Secretary convenes
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the meeting of the CLTC; each CLTC could have independent subgroups for different infrastructure areas. Sub-groups may also accord technical sanctions based on the following financial limits:
a) Asst Engineer as Convener upto Rs.300,000
b) Asst Executive Engineer as Convener upto Rs.1,500,000
c) Executive Engineer as Convener upto Rs.4,500,000
d) Superintending Engineer as Convener Unlimited
6) Financial Sanction. Financial sanction for projects is sought from the Standing Committee and/or the Council depending upon the project size. The financial sanctioning powers of each body comprise:
a) Council unlimited
b) Standing Committee upto Rs.100,000
7) Project Execution. All projects are awarded on a competitive basis, through percentage rate tenders. Projects over Rs.7,000,000 require pre-qualification of bidders, which is mandatory.
Key concerns of the Municipal Corporation regarding plan preparation, implementation and monitoring comprise:
Utilization of plan funds is constrained as far as the productive sector is concerned – 25 % user contribution in irrigation/drinking water is not possible in urban areas.
Plan allocation is reduced towards the financial year-end due to lack of State Government fund availability, which results in a uniform reduction in allocation for each sector. Clubbed with low/poor fund utilization in productive sectors, the downsizing of funds affects the infrastructure sector, which actually serves urban areas.
The Municipal Corporation is burdened with an increase in jurisdiction/area and the additional responsibility of decentralized planning process – this, however, has not resulted in a commensurate increase in Municipal Corporation staff. Lack of skilled staff for plan preparation and implementation affects the work quality substantially. Despite revision of the Staff Standardization Order (SSO), 1967, in 1998 the SSO has not addressed MC staff strength requirement to cope with current functions. Increase in staff strength was limited to ministerial and health related functions.
The Municipal Corporation’s Engineering Department is actively involved in plan preparation; the process taking 6-8 months for finalization. Lack of experienced and trained staff affects plan preparation and implementation, in addition to affecting the daily functions of the Municipal Corporation.
The Municipal Corporation lacks powers to sanction tender excesses, which are not provided for in the KM Act, 1994. Since tenders are based on the 1999 Schedule of Rates, current submissions are substantially high. Negotiated prices result in poor work quality by the contractor and affects the overall infrastructure condition in the city.
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Lack of appropriate coordination between the Municipal Corporation and GoK Revenue Department for land acquisition critically affects project progress and delays completion. Projects requiring land acquisition are invariably delayed and do not meet the completion deadline.
Works undertake through plan funds are subject to numerous audits, which include performance audit, local fund audit (statutory), social audit (by beneficiaries), store purchase audit (GoK’s Financial Inspection Wing), Chief Technical Examiner audit, and audit by the Accountant General. Standardization of forms for physical and financial reporting under plan fund projects would reduce staff burden substantially and cater to the requirement of the aforesaid audits.
Variations in project scope and components require reconvening of the Technical Advisory Committee and re-according technical, financial and administrative sanctions. While the process itself is justified, substantial time is lost in going through each stage, which affects the final sanction.
Table A-1: Chronology of Decentralization Initiatives in Kerala
Timeline Government of Kerala Initiatives Oct 1995 Transfer of powers and functions to local governments; along with institutions, offices and functionaries.
Feb 1996 Introduction of a Special Budget Document for local government allocations.
Aug 1996 Launching of People’s Plan Campaign for decentralized planning and announcement of earmarking 35 % plan resources to local governments.
Mar 1999 Restructuring the Kerala Panchayat Raj Act and the Kerala Municipality Act.
Mar 2000 Amendments to 35 Acts having relevance to local governments’ functioning.
Jul 2000 Transfer of district-level offices and staff to District Panchayats.
Jan 2002 Decision taken to redeploy surplus staff, especially engineers, to local governments.
Jan 2002 Decision taken to fix share of untied plan grants as one-third of the total plan size of the State.
2003 Redeployment of surplus clerical staff completed.
2004 Focus on service delivery.
FR Volume 7 - Urban Management & Institutional Development ANNEX PAGE 3 TA 4106 –IND: Kerala Sustainable Urban Development Project Project Preparation Annex B Legislative and Administrative Framework
Legislations, Rules Infrastructure / Salient Features Significance Responsible and Regulations Management Agencies A. Central Acts and Rules a. Constitutional Infrastructure and The Indian Constitution in its Article 48 provides for the protection and preservation of Mandatory State Government Provisions on Environment the environment and states that “the State shall endeavour to protect and improve the and Citizens Environment environment and safeguard the forests and wild life of the country”. Further, Article 51-A (g) on Fundamental Duties emphasises that, “It shall be the duty of every citizen of India to protect and improve the natural environment including forests, lakes, rivers and wild life and to have compassion for living creatures”. These two provisions of the constitution are the guiding principles for various environmental legislations in the country and safeguarding environment. b. Constitutional Infrastructure and The Indian Constitution provides for the protection of project-affected persons (PAPs) Mandatory Central and State Provisions on Social through the provisions of fundamental rights and directive principles. These guarantees Government Resettlement and scheme of governance comprise (i) Guarantees: Between the fundamental rights (Ministries, and the directive principles, the rights of PAPs (in particular tribal and other vulnerable Departments and groups) are protected; the fundamental rights are enforceable while the directive Agencies) principles are not; and (ii) Scheme of Governance: There is no provision specifically concerned with resettlement and rehabilitation; however, various Government agencies and specific Ministries are empowered to deal with adverse social impacts and issues of resettlement and rehabilitation (R & R). c. Land Acquisition Infrastructure and The Act enables the State to acquire private land for public purpose and for industrial Prescriptive State Government Act, 1894 and as Social purposes too. The Act ensures that no person is deprived of land except under the Act and and Implementing amended 1984 entitles affected persons to a hearing before acquisition, with due and adequate Agency compensation made thereafter. Compensation is based on market value, damage sustained by person (in case of standing crops and at the time of taking possession, resulting by reason of severing of such land from PAP’s land), damage to movable/immovable property, diminution of profits from land (Section 23); an additional 30% solatium is also applicable. d. Wildlife Infrastructure and The Act provides for protection of wild animals, birds and plants and for matters connected Mandatory State Government Protection Act, Environment therewith. The provisions under this Act comprise (i) prohibits hunting of wild animal 1972 specified in Schedule I to the Act; (ii) prohibits picking, uprooting, damaging, destroying, acquiring any specified plant from any forestland; (iii) bans the use of injurious substances, chemicals, explosives that may cause injury or endanger any wildlife in a sanctuary; (iv) prohibits alteration of the boundaries of a National Park except on a resolution passed by the State Legislature; and (v) prohibits destruction or damaging of any wildlife property in the National Park.
FR Volume 7 - Urban Management & Institutional Development ANNEX PAGE 4 TA 4106 –IND: Kerala Sustainable Urban Development Project Project Preparation Legislations, Rules Infrastructure / Salient Features Significance Responsible and Regulations Management Agencies e. Water Infrastructure and The Water Act is the first environmental regulation that brought in the State and Central Mandatory State Pollution (Prevention and Environment pollution control boards to control / regulate environmental pollution in India. Further to Control Board and Control of amendments, the Act vests regulatory authority on the State Pollution Control Boards Implementing Pollution) Act, (PCBs) and empowers them to establish and enforce effluent standards for industries Agency 1974 and as and local authorities discharging effluents. The Water (Prevention & Control of amended in 1978 Pollution) Rules, 1975 were formulated to facilitate the actions related to collection of and 1988 cess. f. Water Infrastructure and The Act enables the (Central and State) Pollution Control Board to levy and collect cess Mandatory State Pollution (Prevention and Environment on water consumed by persons, industries and local authorities and augment the PCB’s Control Board and Control of resources. As per the provision of Section 3, all specified industries under the Act are Implementing Pollution) Cess liable to pay cess in the prescribed rate made under the statute. It is provided under Agency Act, 1974 Section 5 that every specified industry or local authority is liable to furnish cess to respective authorities. In addition, all specified industries and local authorities shall install suitable meters for measuring the quantity of water consumed. g. Environment Infrastructure and The Environment (Protection) Act, popularly known as EP Act, is an umbrella legislation Mandatory State Government, Protection Act Environment that supplements existing environmental regulations. Empowered by EP Act, the State Pollution and Rules, 1986 Ministry of Environment & Forests (MoEF), Government of India has issued notifications Control Board and regulating siting of industry and operations, procuring clearance for establishing Implementing industries and development projects with appropriate EIA studies, coastal zone Agency regulations and other aspects of environment. h. Forest Infrastructure and The Act aims at restricting large-scale diversion of forestland for non-forest use. Post Mandatory State Government (Conservation) Environment amendment in 1988, the Act states that no State Government or authority shall make, Act, 1980 and as except with the prior approval of the Central Government, the following (i) denotify amended In 1988 reservation of forest land or any portion thereof; (ii) use for any non-forest purpose, any forest land or any portion thereof; (iii) assign by way of lease or otherwise to any private person to any authority, corporation, agency or any other organization not owned, managed by Government, any forest land or any portion thereof; and (iv) clear trees on any forest land or any portion thereof, which have grown naturally in that land or portion for the purpose of using it for re-forestation. i. Environmental Infrastructure, While these Guidelines are prescriptive in nature and do not bind the Government to Prescriptive State Government, Guidelines for Environment and implement the provisions, in case of social requirements, the Guidelines provide for State Pollution Rail / Road / Social relocation of PAPs and recommends various compensation and impact mitigation Control Board and Highway measures. Implementing Projects, MoEF, Agency 1989
FR Volume 7 - Urban Management & Institutional Development ANNEX PAGE 5 TA 4106 –IND: Kerala Sustainable Urban Development Project Project Preparation Legislations, Rules Infrastructure / Salient Features Significance Responsible and Regulations Management Agencies j. Hazardous Waste Infrastructure and These Rules aim at providing control for the generation, collection, treatment, transport, Prescriptive State Government, (Management & Environment import, storage and disposal of hazardous wastes. These Rules are provided for State PCB, Local Handling) Rules, making effective and proper inventory, control, handling and disposal of hazardous Body and 1989 waste. Implementing Agency k. Biomedical Infrastructure and These Rules aim at providing control for collection, treatment, transport, storage and Prescriptive State Government, Waste Environment disposal of bio-medical waste in accordance with Schedule I and in compliance with the State PCB, Local (Management standards prescribed in Schedule V of the Rules. Body and and Handling) Implementing Rules, 1998 Agency l. Coastal Infrastructure and This Notification applies to all coastal stretches of seas, bays, estuaries, creeks, rivers Mandatory State Government Regulation Zone Environment and backwaters that are influenced by tidal action up to 500 m from the High Tide Line (CRZ) (HTL) and the land between the Low Tide Line and the HTL – these land stretches fall Notification, 1990 within the jurisdiction of the Coastal Regulation Zone. However, the Notification states that the distance from the HTL may be modified on a case to case basis for reasons to be recorded while preparing Coastal Zone Management Plans by competent authorities. The Notification holds significance for environmental regulations and affects to infrastructure projects on the natural environment in Coastal Zones. m. 74th Infrastructure and The objective of the CAA is to make provisions for ULBs in the Constitution by (i) Prescriptive State Government, Constitutional Management strengthening the State Government and Urban Local Body (ULB) relationship with Local Body and Amendment Act respect to functions and taxation powers and arrangements for revenue sharing; (ii) Implementing (CAA), 1992 ensuring regular conduct of elections; (iii) ensuring timely elections in the case of Agency supersession; and (iv) providing adequate representation for the weaker sections. Accordingly, the 74th CAA makes provisions for constitution and composition of municipalities, constitution and composition of Ward Committees, reservation of seats, duration, powers and responsibilities of municipalities, powers to impose taxes by municipalities, constitution of the Finance Commission, and constitution of committees on district and metropolitan planning. n. Environmental Infrastructure, This Notification is applicable under the Environment (Protection) Rules, 1986 inviting Prescriptive Central and State Impact Environment and objections from the public against the intention of the Government to impose Government Assessment Social restrictions and prohibitions on the expansion and modernization of any activity or new Notification, 1994 projects (public and/or industrial) unless environmental clearance is accorded by the Central or State Government. The Notification also provides for social impact mitigation and has provisions for a comprehensive rehabilitation plan, if more than 1,000 persons are likely to be displaced – the Notification requires the impact assessment agency to prepare a set of recommendations based on technical assessment of documents and data, in interaction with the affected people and environmental groups.
FR Volume 7 - Urban Management & Institutional Development ANNEX PAGE 6 TA 4106 –IND: Kerala Sustainable Urban Development Project Project Preparation Legislations, Rules Infrastructure / Salient Features Significance Responsible and Regulations Management Agencies o. Municipal Solid Infrastructure and These Rules aim at providing control for the generation, collection, treatment, transport, Prescriptive State Government, Waste Environment import, storage and disposal of municipal solid waste. The Rules are provided for State PCB, Local (Management & making effective and proper inventory, control, handling and disposal of municipal solid Body and Handling) Rules, waste. Implementing 2000 Agency p. Municipal Solid Infrastructure and The Notification states that every municipal authority will be responsible for the Prescriptive State Government, Waste Environment implementation of the Rules’ provision, for collection, storage, segregation, State PCB, Local (Management transportation, processing and disposal of municipal solid waste. Body and and Handling) Implementing Rules, Agency Notification, Sept 2000 q. National Policy Infrastructure and This Policy is in the form of broad guidelines and instructions for guidance of all Prescriptive State Government on Resettlement Social concerned. It is expected that the Government and Administrator for Resettlement and and Rehabilitation shall implement this Policy, in order to ensure that the benefits envisaged Rehabilitation for under the Policy reaches the PAP. The objectives of the policy are (i) to minimize Project affected displacement and to identify non-displacing or least displacing alternatives; (ii) to plan Persons, 2003 the resettlement and rehabilitation of project affected families including special needs of tribal and vulnerable sections; (iii) to provide better standard of living to the PAP; and (iv) to facilitate harmonious relationship between the requiring body and project affected families through mutual co-operation. This Policy is issued by the Ministry of Rural Development. r. Labour Welfare Infrastructure and Acts indirectly influencing the infrastructure sector comprise (i) Minimum Wages Act, 1948; Mandatory State Government Laws Social (ii) Maternity Benefit Act, 1961; (iii) Equal Remuneration Act, 1976; (iv) Inter-State Migrant and Implementing workmen Act, 1979; (v) Child Labour Act, 1986; and (vi) Building and other Construction Agency Worker’s Act, 1996.
B. State Acts, Rules and Policies a. Local Authorities Management The Act enables the Local Authority to borrow money from the Government or with the Mandatory State Government Loans Act, 1963 previous sanction of the Government from any other person on the security of funds or any and Local Body portion thereof for carrying out any works, which it is legally authorized to do so; subject to certain conditions. b. Kerala Water Infrastructure The Act establishes an autonomous body, Kerala Water Authority (KWA), for the Prescriptive State Government, Supply and development and regulation of water supply and wastewater collection and disposal in KWA and Local Sewerage Act, the State (amended in 1993 and through the Decentralization of Powers Act, 2000). Body 1986
FR Volume 7 - Urban Management & Institutional Development ANNEX PAGE 7 TA 4106 –IND: Kerala Sustainable Urban Development Project Project Preparation Legislations, Rules Infrastructure / Salient Features Significance Responsible and Regulations Management Agencies c. Kerala Infrastructure and The Act incorporates provisions as laid down in the 74th CAA and provides guidelines Mandatory and State Government Municipalities Management for constitution of Ward Committees, reservation for women, fixing tenure of 5 years for Discretionary and Local Body Act, 1994 municipalities, devolution of powers and responsibilities upon the municipalities with respect to the preparation of plans for economic development and social justice and for the implementation of development schemes, grant-in-aid from the consolidated fund of the State, designated taxes, duties, tolls and fees, authorizing the State Finance Commission to review the financial position of the Municipalities, constitution of District Planning Committees, constitution of Metropolitan Planning Committee for every metropolitan area with population of 1 million persons and above, etc. The Act has been further amended by Act 5 of 1995, Act 8 of 1996 and Act 14 of 1999. d. First State Management In pursuance of the 73rd and 74th CAA, a Finance Commission is constituted to review Prescriptive State Government Finance the financial position of the Municipalities and for devolution of the funds from State and Local Body Commission, Government to the local self-governments. It is confined to devolution of non-plan funds 1996 and Second only. The recommendations of the Finance Commission are submitted to the Governor. State Finance The functions comprise (i) framing principles governing the determination and Commission, distribution between the State and the municipalities on the net proceeds of taxes, 2001 duties, tolls and fees leviable by the State; (ii) identifying measures needed to improve the financial position of municipalities; and (iii) any other matter referred to the Finance Commission by the Governor in the interest of financial management of municipalities. e. Kerala Management The Act enables the State Government to effect proposals for decentralization of Prescriptive State Government Decentralization powers to local self-government institutions (LSGIs) in the State. The Act specifies and LSGI of Powers Act, amendments to various State Acts to facilitate decentralization of functions at local- 2000 level. Key components of the Act comprise (i) management of health and educational institutions by LSGIs; (ii) enhancement of LSGI income through tax fixation, sharing of motor vehicle tax, and levying tolls; (iii) fixing of LSGI borrowing power in relation to the annual income and providing for issuing revenue bonds; (iv) sanctioning of schemes by the District Planning Committee; (v) housing for economically weaker section; (vi) provision of technical services by the Kerala Water Authority in relation to water and sewerage services but allowing for local bodies to execute schemes independently and recover costs; and (vi) transfer of assets of the Rural Development Board to the State. f. Kerala State Infrastructure and GoK’s Public Works Department has prepared the Resettlement and Rehabilitation Prescriptive State Government Transport Project Social Principles and Policy Framework for the Kerala State Transport Project (KSTP) in and Implementing (KSTP), R&R accordance with principles laid down in the World Bank OD 4.30 on Involuntary Agency Policy, 2000 Resettlement, OD 4.20 on Indigenous Peoples and GoI’s legal framework. In order to minimize delay in the land acquisition process, the urgency clause of the LA Act is routinely invoked. In such a case, a composite notification in the prescribed form is published, as required by the sub-section 4(1) and 17(4) of the LA Act.
FR Volume 7 - Urban Management & Institutional Development ANNEX PAGE 8 TA 4106 –IND: Kerala Sustainable Urban Development Project Project Preparation Legislations, Rules Infrastructure / Salient Features Significance Responsible and Regulations Management Agencies g. Kerala Ground Infrastructure and The Act provides for the conservation of ground water and for the regulation and control Prescriptive State Government Water Control Environment of its extraction and use in the State. The State Government is to constitute a State and Regulation Ground Water Authority. The activities of the Authority include notifying areas for the Act, 2002 control and regulation of ground water, grant of permit to extract and use ground water, registration of the existing wells of the notified area, registration of user of ground water and protection of public drinking water sources. As per the Act, the Authority is to constitute a Ground Water Authority Fund and all sums received from the Government are to be credited to the Fund. Money from the Fund can be utilized to meet the expenses of the Authority. h. Urban Policy and Infrastructure and The Policy was formulated to address the urbanization trends in the State and key Prescriptive State Government Action Plan, 2002 Management elements comprise (i) preparation of a development vision; (ii) promotion of private and LSGI sector participation; (iii) identification of growth centres for economic development; (iv) preparation of a database to assist urban land consolidation; (v) conservation of heritage structure and open space; (vi) urban road planning; (vii) provision of primary health care services; (viii) provision of urban drainage services; (ix) preparation and implementation of solid waste management and sewerage services; (x) administration of accounting reforms in LSGIs; (xi) transition to the plinth area system of property taxation; (xii) restructuring the Kerala Urban Development Finance Company; and (xiii) introduction of IT enabled services. i. Kerala Infrastructure and The Bill provides the Government with a framework for private sector participation in Prescriptive Kerala Infrastructure Management financing, construction, maintenance and operation of infrastructure projects in the Infrastructure Development Bill, State, and suggests establishment of an Infrastructure Development Board to promote Development 2001 such participations. The Bill is yet to be enacted. Board (to be constituted) j. Kerala Fiscal Management The Act enables State Government to ensure prudence in fiscal management and fiscal Mandatory Government of Responsibility stability by progressive elimination of revenue deficit and sustainable debt management Kerala Act, 2003 consistent with fiscal stability, greater transparency in fiscal operations of the Government and conduct of fiscal policy in a medium term fiscal framework.
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Annex C Institutional Arrangements
Table C-1: State-level Departments Associated with Urban Development
Departments Functions related to urban development
Local Self Government The Local Self Government (Urban) Department controls the functioning of the (Urban) State’s ULBs. Through the Directorate of Urban Affairs (DUA), LSG (U) Department issues policy directives, staff sanctioning, postings and transfers, and ensures release of plan funds to respective ULBs. Secretaries of the ULBs report to the Principal Secretary, LSG (U) through the Director, DUA. Missions and Programs constituted by LSG (U) Dept. facilitate ULB functioning, ensure basic service delivery, prepare policy papers, and provide training to municipal staff and build staff capacity to manage municipal functions.
Water Resources The Water Resources (WR) Department ensures urban basic service delivery Department through three organizations under its control: a) Kerala State Ground Water Department, which controls ground water regulation for domestic/industrial consumption; b) Kerala Water Authority (KWA), which is responsible for water and sewerage provision in urban and rural areas (with the enactment of the Kerala Municipalities Act, 1994, service provision related to water and sewerage has passed on to the ULBs); and c) Irrigation Department, which is responsible for maintaining the waterways in the State (stretches of waterways carrying wastewater pass through urban areas).
Public Works The State Public Works Department (PWD) is responsible for maintenance of Department roads (Highways and District Roads) and roadside drains in urban areas. Through the Kerala Road Development Fund (KRDF), the PWD has initiated improvement and maintenance of roads in Thiruvananthapuram under the Capital Region Road Improvement Project on an Annuity system.
Revenue and Housing The Revenue and Housing (R&H) Department, through the Kerala State Housing Department Board (KSHB), which was established in 1971 provides organized direction and planning in the preparation and execution of housing and improvement schemes in the State. The primary objective of KSHB is to formulate and implement various housing construction schemes as well as housing loan schemes catering to the housing needs of various income groups in the State. In addition to this, KSHB also executes general improvement schemes (like commercial cum office complex), government directed schemes (rental housing schemes, slum improvement schemes, housing complexes for EWS, rehabilitation housing scheme, revenue towers, etc.) and deposit works (undertaking construction of work of other agencies). The R&H Dept. is also associated with land acquisition issues and plays an important role in providing clearances for land availability in infrastructure creation.
General Administration The General Administration Department (GAD) facilitates urban management Department through the Modernizing Government Program (MGP).
Power Department The Power Department supports urban management through the Kerala State Electricity Board (KSEB). The KSEB is responsible for supply of electricity and maintenance of street lighting for ULBs, and is responsible for power supply to the KWA towards pumping of water and sewage.
Health Department The Health Department controls environmental pollution in urban areas and regulates solid waste collection and disposal through the Kerala State Pollution Control Board (KSPCB). The KSPCB’s mandate is to ensure that ULBs comply with the Supreme Court Guidelines on municipal, bio-medical and hazardous waste handling and disposal.
State Planning Board The State Planning Board administers GoK’s 10th FYP, regularly assesses the State’s economy, formulates Annual Plans for budget integration, organizes and guides planning units at the district/local levels; and advises on all economic development and policy matters.
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Departments Functions related to urban development
Town and Country The TCPD is the prime agency for providing technical inputs for the planned Planning Department development of urban settlements. The TCPD a) prepares Master Plans for the (TCPD) State’s cities and towns; b) prepares detailed development plans; c) provides guidance to local bodies and Development Authorities on plan implementation; d) prepares area development plans for controlled areas; and e) advises various State-level agencies on planning, site selection, and preparation of development schemes.
Health Department The Health Department is responsible for a) preventive measures against infectious and communicable diseases; b) overall supervision of the administration of the Prevention of Food Adulteration Act; and c) matters pertaining to the Public Health Act within the local area.
Finance Department Finance Department largely perform the function of advising the Government on all Financial matters. The formulation of the Budget is one of its most important functions. The Finance Department is also entrusted with the responsibility of framing rules regulating pay, emoluments and other service conditions of all Government employees. It has administrative control over the departments of Local Fund Audit, Directorates of National Savings, State Lotteries, State Insurance and Treasuries. The Department is headed by the Principal Secretary and has two Secretaries in charge of Expenditure and Finance Resources.
Table C-2: Missions Associated with Urban Development
Program/Mission Functions related to urban development Modernizing Government GoK launched MGP in 2002 with an objective of improving governance in various Program (MGP) Mission State departments. With specific reference to local governments, MGP aims to a) provide a framework for preparing five-year plans; b) design systems to ensure performance focused basic service delivery; c) identify local economic development potentials; d) institute systems to strengthen accountability; e) institute management, budgeting and accounting, and resource mobilization systems to strengthen local self governance; f) identify training needs for local government personnel; and g) facilitate policy decisions for effective governance.
Clean Kerala Mission Initiated in Jan 2003, CKM effectively commenced work in Dec 2003 with an (CKM) objective to a) initiate effective waste handling and management actions at all levels – from households to ULBs; b) support waste management initiatives through research and development, and dissemination; c) promote waste handling/management methods through awareness, IEC and training programs; and d) identify enforcement measures for local governments to affect best practices in waste collection and disposal. CKM’s activities are scheduled for completion in 2006.
Information Kerala Initiated in Jun 1999, IKM’s objective is to a) computerize functions and develop Mission (IKM) software applications for 1,215 local governments in the State; b) network ULBs with State Departments for information transfer; and c) provide on-job training to local government staff for improved functioning. IKM is currently working on improving functions of a pilot local government – Vellanad Gram Panchayat – and proposes to scale-up the outcomes to other local bodies. Mapping and spatial data capture also forms part of IKM’s activities.
State Poverty Eradication The GoK and the National Bank for Agriculture and Rural Development (NABARD) Mission (Kudumbashree) initiated Kudumbashree, a woman based participatory poverty eradication program, in May 1998. Implemented by Community Based Organizations (CBOs) of poor women, Kudambashree’s objective is to eradicate absolute poverty in the State’s 58 ULBs through a) women empowerment; b) forming an informal bank of poor women; c) forming micro-enterprises; d) convergent community action; e) facilitating the decentralization process; f) facilitating housing activities – renewal and new construction for Below Poverty Line (BPL) households; and f) establishing a rural marketing network through the State.
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Table C-3: Institutions Associated with Urban Development
Institution Functions related to urban development Kerala Water Authority KWA was established in 1984 as an autonomous body under the Water Resources (KWA) Department, GoK. KWA is responsible for water and sewerage services in both urban and rural areas of the State. The organization designs, procures financing, constructs, operates and maintains water and sewerage services. It is also responsible for revenue collection and the responsibility of tariff fixation vests with KWA. According to the Kerala Municipality Act, 1994, water and sewerage service provision now rests with the ULBs; however, except Thrissur, KWA continues to provide the said services and is responsible for revenue collection in all other Municipal Corporations.
Kerala Urban KUDFC is a quasi-Government organization that provides finances to ULBs for Development and remunerative infrastructure projects (and specific non-remunerative projects). Finance Corporation KUDFC was established in 1970 and until 1998 it disbursed Rs.312.6 Mn. GoK (KUDFC) proposes to restructure the organization by merging the Rural Development Board with KUDFC8 to cater to infrastructure financing for all local governments.
Kerala Institute of Local KILA was established in 1990, as an autonomous body under the LSG (U) Dept. Administration (KILA) KILA’s main objective is to provide training, research and consultancy services to local governments. KILA offers regular programs in governance to urban and rural local bodies.
Development Authorities Five Development Authorities implement Master Plans and development schemes in the five Municipal Corporations of the State. Main functions of Development Authorities include a) land acquisition; b) housing for different sections of the society; c) development of commercial complexes; and d) preparing and implementing detailed town planning schemes and area development schemes.
8 GoK Economic Review, 2003. Under the proposed ADB Loan, it is proposed that KUDFC will discontinue its operations and future infrastructure development and lending in the State will be through the newly created Fund.
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Annex D MC Organization Structure and Inter Department Coordination
Figure D-1: Thiruvananthapuram MC Organization Structure
MunicipalMunicipal Corporation Corporation CouncilCouncil
MunicipalMunicipal Corporation Corporation MayorMayor
MunicipalMunicipal Corporation Corporation SecretarySecretary
CouncilCouncil GeneralGeneral Administration Administration AccountsAccounts RevenueRevenue EngineeringEngineering TownTown Planning Planning HealthHealth Department Department DepartmentDepartment DepartmentDepartment DepartmentDepartment DepartmentDepartment DepartmentDepartment DepartmentDepartment CorporationCorporation Health Health CouncilCouncil Secretary Secretary DeputyDeputy Secretary Secretary AccountsAccounts Officer Officer RevenueRevenue Officer Officer CorporationCorporation Engineer Engineer TownTown Planning Planning Officer Officer OfficerOfficer
LadyLady Medical Medical OfficerOfficer ProjectsProjects EngineerEngineer UPAUPA Cell Cell ProjectProject Officer Officer
PA to Assistant Town CouncilCouncil PA to AccountsAccounts RevenueRevenue AssistantAssistant Executive Executive Assistant Town AssistantAssistant Health Health Secretary Planning Officer SuperintendentSuperintendent Secretary SuperintendentSuperintendent InspectorInspector EngineerEngineer Planning Officer OfficerOfficer
PlanningPlanning Cell Cell AssistantAssistant AssistantAssistant DrawingDrawing Section Section SuperintendentSuperintendent EngineerEngineer EngineerEngineer Asst.Asst. Eng. Eng.
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Figure D-2: Kollam MC Organization Structure
MunicipalMunicipal Corporation Corporation CouncilCouncil
MunicipalMunicipal Corporation Corporation MayorMayor
MunicipalMunicipal Corporation Corporation SecretarySecretary
Town Planning CouncilCouncil GeneralGeneral Administration Administration AccountsAccounts RevenueRevenue EngineeringEngineering Town Planning HealthHealth Department Department HealthHealth Department Department Department DepartmentDepartment DepartmentDepartment DepartmentDepartment DepartmentDepartment DepartmentDepartment Department CorporationCorporation Health Health CorporationCorporation Health Health Town Planning Officer UDUD Clerk Clerk PAPA to to Secretary Secretary AccountsAccounts Officer Officer RevenueRevenue Officer Officer CorporationCorporation Engineer Engineer Town Planning Officer OfficerOfficer (2) (2) OfficerOfficer (1) (1)
Planning Cell Superintendent Planning Cell AccountsAccounts Superintendent AssistantAssistant Executive Executive HealthHealth Supervisor Supervisor Superintendent Superintendent SuperintendentSuperintendent EngineerEngineer (SWM)(SWM)
RevenueRevenue AssistantAssistant BuildingBuilding HealthHealth InspectorInspector EngineerEngineer InspectorInspector InspectorInspector
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Figure D-3: Kochi MC Organization Structure
MunicipalMunicipal Corporation Corporation CouncilCouncil
MunicipalMunicipal Corporation Corporation MayorMayor
MunicipalMunicipal Corporation Corporation SecretarySecretary
CouncilCouncil GeneralGeneral Administration Administration AccountsAccounts RevenueRevenue RevenueRevenue EngineeringEngineering TownTown Planning Planning HealthHealth Department Department DepartmentDepartment DepartmentDepartment DepartmentDepartment DepartmentDepartment DepartmentDepartment DepartmentDepartment DepartmentDepartment CorporationCorporation Health Health CouncilCouncil Secretary Secretary PAPA to to Secretary Secretary AccountsAccounts Officer Officer DeputyDeputy Secretary Secretary RevenueRevenue Officer Officer CorporationCorporation Engineer Engineer TownTown Planning Planning Officer Officer OfficerOfficer
LadyLady Medical Medical OfficerOfficer
AsstAsst Revenue Revenue ProjectsProjects OfficerOfficer (West) (West) EngineerEngineer UPAUPA Cell Cell ProjectProject Officer Officer
PA to Assistant Town CouncilCouncil PA to AccountsAccounts RevenueRevenue AssistantAssistant Executive Executive Assistant Town AssistantAssistant Health Health Secretary Planning Officer SuperintendentSuperintendent Secretary SuperintendentSuperintendent InspectorInspector EngineerEngineer Planning Officer OfficerOfficer
PlanningPlanning Cell Cell AssistantAssistant AssistantAssistant DrawingDrawing Section Section SuperintendentSuperintendent EngineerEngineer EngineerEngineer Asst.Asst. Engineer Engineer
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Figure D-4: Thrissur MC Organization Structure
MunicipalMunicipal Corporation Corporation CouncilCouncil
MunicipalMunicipal Corporation Corporation MayorMayor
MunicipalMunicipal Corporation Corporation SecretarySecretary
CouncilCouncil GeneralGeneral Administration Administration AccountsAccounts RevenueRevenue EngineeringEngineering TownTown Planning Planning HealthHealth Department Department DepartmentDepartment DepartmentDepartment DepartmentDepartment DepartmentDepartment DepartmentDepartment DepartmentDepartment CorporationCorporation Health Health CouncilCouncil Secretary Secretary DeputyDeputy Secretary Secretary (Post (Post AccountsAccounts Officer Officer RevenueRevenue Officer Officer CorporationCorporation Engineer Engineer TownTown Planning Planning Officer Officer OfficerOfficer (Clerk(Clerk In-charge) In-charge) Unfilled)Unfilled) (Post(Post Unfilled) Unfilled) (Suptd.(Suptd. In-charge) In-charge)
PA to Assistant Town CouncilCouncil PA to AccountsAccounts RevenueRevenue AssistantAssistant Executive Executive Assistant Town AssistantAssistant Health Health Secretary Planning Officer SuperintendentSuperintendent Secretary SuperintendentSuperintendent InspectorInspector EngineerEngineer Planning Officer OfficerOfficer (Section (Section (Post Unfilled) (Post(Post Unfilled) Unfilled) (Dept(Dept In-charge) In-charge) (Post Unfilled) ClerkClerk In-charge) In-charge)
AssistantAssistant BuildingBuilding EngineersEngineers InspectorsInspectors
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Figure D-5: Kozhikode MC Organization Structure
MunicipalMunicipal Corporation Corporation CouncilCouncil
MunicipalMunicipal Corporation Corporation MayorMayor
MunicipalMunicipal Corporation Corporation SecretarySecretary
CouncilCouncil GeneralGeneral Administration Administration AccountsAccounts RevenueRevenue EngineeringEngineering TownTown Planning Planning HealthHealth Department Department DepartmentDepartment DepartmentDepartment DepartmentDepartment DepartmentDepartment DepartmentDepartment DepartmentDepartment CorporationCorporation Health Health CouncilCouncil Secretary Secretary DeputyDeputy Secretary Secretary AccountsAccounts Officer Officer RevenueRevenue Officer Officer CorporationCorporation Engineer Engineer TownTown Planning Planning Officer Officer OfficerOfficer
ProjectsProjects LadyLady Medical Medical EngineerEngineer OfficerOfficer
PA to Assistant Town CouncilCouncil PA to AccountsAccounts RevenueRevenue AssistantAssistant Executive Executive Assistant Town AssistantAssistant Health Health Secretary Planning Officer SuperintendentSuperintendent Secretary SuperintendentSuperintendent InspectorInspector EngineerEngineer Planning Officer OfficerOfficer
AssistantAssistant AssistantAssistant DrawingDrawing Section Section EngineerEngineer EngineerEngineer AsstAsst Engineer Engineer
DecentralizedDecentralized CouncilCouncil PlanningPlanning Cell Cell SectionSection
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Table D-1: Inter Departmental Coordination within the Municipal Corporation
Department Accounts Revenue Engineering Health Town Planning General Admn. Accounts
Ensuring audit Coordinating on Coordinating on Releasing payments Releasing all claims Procuring information clearances; budget estimate budget estimate towards establishment based on admissibility; on staff requirement preparation; preparation; and other expenditure; and proposals for Preparing draft Procuring audit notes delegation; budget estimates; Procuring details Auditing bills and Coordinating on for clearance; regarding tax and fee ensuring release of budget estimate Releasing payments Conducting collection; payments; preparation; Coordinating on budget towards claims and internal audits of estimate preparation; bills; all bills; and Procuring replies to Reporting cases of Scrutinizing works, audit; over sanctions; purchases and stores; Procuring information Undertaking action Preparing annual and regarding fund receipt; against erring staff; financial Coordinating on Communicating audit and statements and preparing budget observations for Procuring audit notes Procuring audit notes DCB. allocations to meet clearances; and for clearance. Procuring DCB for clearance; and salaries, pension, etc.; statement. and Procuring utilization Preparing proposals for certificates for financial Council/Standing Coordinating on claim assistance received. Committee consideration. refunds.
Revenue
- Raising resources; Procuring list of Procuring property tax Procuring list of newly Providing staff municipal buildings and profession tax list constructed properties; requirement particulars Effecting tax and other assets for verification; and staff postings to assessment and requiring repairs and Procuring valuation GAD; and collection; and renewals; and Procuring details on details on municipal trade license properties; Providing files for Monitoring tax Procuring list of assessment and other Council/Standing Verifying annually, details evasion. completed revenue licenses issued; and Committee review on municipal immovable generating properties; through GAD. schemes/leasing of Procuring proposals municipal properties; for improving Procuring a copy of and sanitation in municipal occupancy certificate and markets, bus stands, completion plan of Catering to property etc. buildings for tax valuation staff assessment; and requirement. Conducting a survey of municipal lands.
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Department Accounts Revenue Engineering Health Town Planning General Admn. Engineering
- - Ensuring internal staff Maintaining municipal Preparing new layouts; Providing infrastructure discipline; buildings, protecting facilities for GAD; municipal land, Conducting valuation of Dealing with internal buildings; Reporting staff status, work arrangements Undertaking required vacancies, disciplinary and establishment constructions; Implementing Master actions; and related matters; Plan/Town Planning Upkeep of health Schemes; Reporting matters Preparing proposals institutions; and pertaining to the Council for Council approval; Ensuring structural through the GAD. and Arranging vehicle stability of municipal repairs. buildings; Attending to audit queries. Procuring asset list for valuation;
Procuring proposals for property maintenance, survey and demarcation of properties, and layouts for new construction; and
Procuring sites for projects.
Health
- - - Collecting and Procuring clearances/ Providing GAD with disposing solid waste; reports related to health proposals for posting and safety aspects of and transfer of staff, Preparing proposals sites proposed for and general office for Council approval; projects; and orders; and
Conducting routine Requesting for Providing GAD with inspection of trades identification and survey proposals for Council and health facilities; of land for solid waste approval and disposal, burial ground, administration reports, Providing responses slaughter houses, etc. etc. for audit clearances;
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Department Accounts Revenue Engineering Health Town Planning General Admn. Providing details for purchase of consumables; and
Maintenance of municipal vehicles.
Town Planning
- - - - Managing internal work Providing proposals to arrangements; GAD for town planning Standing Preparing proposals for Committee/Council land acquisition; approval;
Initiating proposal Submitting proposals for preparation for Council land acquisition; approval; and Conducting surveys and Preparing planning land demarcations; schemes and conducting routine Providing staffing inspection of municipal requirement to GAD; properties. and
Submitting to the GAD, annual claims for consumables.
General Admn
- - - - - Defining duties and responsibilities of all staff;
Identifying staff postings and transfers;
Placing staff requirement proposals before the Council;
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Department Accounts Revenue Engineering Health Town Planning General Admn. Making available consumables for all departments, including stationery, forms, registers, etc.;
Preparing administration reports;
Preparing pay bills; and ensuring proper communication between departments and Council.
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Figure D-5: Kerala Water Authority Organization Structure
CHAIRMANCHAIRMAN & & KWA KWA BOARD BOARD
MANAGING DIRECTOR
TECHNICAL MEMBER ACCOUNTS MEMBER
CE (HRD) CE (PS & GL) FM & CAO
CE (SOUTH) CE (IPD) CE (CENTRAL) CE (OECF) CE (NORTH) TRIVANDRUM COCHIN COCHIN TRIVANDRUM KOZHIKODE
SE SE SE SE SE SE SE SE SE SE CIRCLE CIRCLE CIRCLE CIRCLE CIRCLE HUDCO CIRCLE BIL. CR CIRCLE CIRCLE TVM KOLLAM KOTTAYAM MUVATUPUZHA KOCHI KALAMASERY THRISSUR THRISSUR KOZHIKODE KANNUR PH Dn., S. S. PH Dn., PH Dn., Bathery Bathery PH Dn., PH Dn., PH Dn., Kozhikode Kozhikode PH Dn., PH Dn., Malappuram Malappuram PHPH Dn., Dn., EdappalEdappal PH Dn., PH Dn., Vadakara Vadakara PH Dn., Kannur Kannur Dn., Dn., PH PH PH Dn., Kochi Kochi Dn., Dn., PH PH Aluva Aluva Dn., Dn., PH PH PH Dn., Kasargode Kasargode Dn., Dn., PH PH PH Dn., Mattannur Mattannur Dn., Dn., PH PH WSWSDn.,Dn., P P Kannur Kannur WS Dn., Kochi Kochi WSWS Dn., Dn., HudHud Dn., Dn., Kalamaseri Kalamaseri PHPH Dn., Dn.,KunnamkulamKunnamkulam PH Dn., Nattika Nattika PH Dn., PH Dn., PH Dn., Thrissur Thrissur PH Dn., PH Dn., PHPH Dn., Dn., Shornnur Shornnur PHPH Dn., Dn., Irinjalakua Irinjalakua Palakkad Palakkad PH Dn., PH Dn., PH Dn., Piravam Piravam Dn., Dn., PH PH Perumbavoor Perumbavoor Dn., Dn., PH PH PHPH Dn., Dn., Thodupuzha Thodupuzha PH Dn., Dn., Dn., Alappuzha Alappuzha PH PH PH Dn., PH Dn., PH Dn., Thiruvalla Thiruvalla Kottayam Kottayam Dn., Dn., PH PH PH Dn., Kollam Kollam Dn., Dn., PH PH WSWS Kollam Kollam Dn., Dn., WSWS Dn., Dn., Adoor Adoor Pathanamthitta Pathanamthitta PH Dn., PH Dn.,
Sub 3 4 2 2 2 3 2 4 3 3 3 Divisions 4 3 5 3 2 3 3 2 3 2 3 4 4 6 4 3 1 2
4 Sections 7 8 4 4 9 8 11 5 6 5 8 7 6 7 5 7 6 5 7 5 7 9 12 14 10 9 2 5
IPD Dn., Tvm 2 5
PH Dn., Tvm 4 9 IPD Dn., Changanasery 3 6
WS Dn., Tvm 3 10 2 4 IPD Dn., Kochi
2 4 Sew Dn., Tvm 2 6 IPD Dn., Palakkad
3 6 IPD Dn., Thalassery Sew P Dn., Tvm 2 3
3 5 IPD Dn., Malapuram Int. Aug. Dn., Tvm 1 2 3 6 QC Dn., Aluva
WS Dn., Attingal 3 CE - Chief Engineer 7 2 6 QC Dn., Kozhikode FM & CAO – Finance Manager & Chief Accounts Officer
Mech. Dn., Kochi 1 0 SE – Superintending Engineer
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Annex E MGP Initiatives
Key Result Area Strategic Implementation 1 Targeting and Optimizing Development of property index Resources Application of poverty index to existing below the poverty line lists Restructuring subsidy for index based entitlement Surveillance and tracking system Participatory community management Policy for housing to the landless
2 Facilitation of credit Consolidation of Self Help Groups and MFI environment and micro Corpus for credit circulation enterprises for the poor Niche market study Consultation for value addition and market penetration Facilitation for ancillarisation
3 Capacitating LSGS for pro- Specialization of extension machinery poor service delivery Incentive systems Replication of best practices Capacity building for citizen charter
4 Capacitating the poor for Community social audit governance Participatory community management Space for NGOs for empowerment
5 Standardizing Health Study for standardization and costing Services Finalization of referral protocol Introduction of equitable allocation system Formulary for drug procurement Upgradation of essential and costed drugs Computerized inventory management system
6 Resource mobilization for Study on scope for resource mobilization including scope for levy of service delivery in health health/education cess and tax on private institutions and education User charges on identified services Pay clinics, use of school infrastructure for income generation
7 Operational efficiency and LSGs to take doctors, teachers on contract etc transparency-Health and Greater financial autonomy education Community led health and education Recertification of teachers and reaccreditation of institutions Health extension interface with SHGs School management systems with internal and community feedback provisions 8 Policy and curricular reform Restrictions on aided school teachers for quality enhancement in Special curricula for vulnerable categories education Vocational inputs Special schools for disabled
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Key Result Area Strategic Implementation 9 Integration of WATSAN into Policy for water and sanitation water resources Unified water resource policy Legislation for rainwater harvesting Deployment and capacity building of WATSAN unit in LSG Regulatory framework for watershed GIS for water resources, etc. 10 Facilitation for community Framework for determination of user charges management of drinking Decentralization of procurement/contracting procedures water/WATSAN Participatory community management for OM Asset management interventions Water quality management and monitoring by LSGs 11 Innovations for Holistic waste management systems through incentives environmental hygiene Investment into RD for appropriate technologies Regulation for institutional waste management Augmentation of waste water mgt systems Accreditation and training of rag pickers Creating Enabling Environment
12 Strengthening infrastructure Number of infrastructure projects taken up with private participation Higher share of resources for welfare measures of the poor etc 13 Comprehensive Policy document infrastructure strengthening policy
14 Preparation of projects for Project reports private participation
15 Strengthening of Number of training programs institutional mechanism
16 Conducting public Number of campaigns awareness campaigns
17 Rationalizing tax structures Increase in productivity of government land Reduction in number of non-payment of building tax etc Fiscal sustainability
18 Improved asset Increased revenues through optimum utilization of assets management
19 Self sufficient local self Own revenues of local self government increased governments
20 Improved budget process in New budget manual published LSGs E-budgeting in self governments
21 Better administrative E accounting systems efficiency of LSGs Revised manual for fixing user charges and new procedures for assessing tax
22 Efficient, fund and project Predetermined fund flow from government based on entitlement management by LSGs
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Key Result Area Strategic Implementation Effective, efficient and accessible local self government
23 Five year planning New guidelines framework Social security schemes Anti poverty sub plans Capacity building of community development for anti poverty planning and implementation Asset management plan New town and country planning Act Guidelines for PPP Sector plan for health and education integrated at district level Spatial plan with focus on connectivity Shelf of PPP project ideas 24 Establish results and Service standards and performance standards prescribed performance focused Citizens charter published service delivery framework Management manuals monitoring system established for all basic services
25 Strengthening accountability Audit commission with professional top management set up and the same operationalised Social audit systems designed as a community check on public expenditure and the same made operational Release of funds linked to audit compliance made operational Ombudsman restructured into a three member body 26 Strengthening LSG New office management system and its implementation administration Management manuals New procurement procedure Public works manual IT Plan 27 Human resource Training needs assessment and resource requirements development Road map for local government personnel policy Top management model for LSG 28 Enabling environment Rationalization of local self government and rural development department Restructuring of KUDFC An integrated policy framework consisting of planning, service delivery, HRM and other initiatives with plan and resources Parallel schemes and structures brought within LSG frame work 29 Results based and All departments introduce integrated strategic planning for plan and non- performance oriented public plan funds, focus on key result areas, and outcomes service Annual reports containing performance information Performance reports tabled in legislature 30 Policy framework for service Service delivery cell in CS office to guide implementation of policy and delivery have service delivery policy Service delivery guidance and training explicit standards for services that individual users can expect. Annual performance against standards. Systems to put things right when required standards are not achieved Office modernization Target number of social audits and correctional measures Public expenditure tracking surveys and corrective actions Information on performance, services cost and who is in charge Social equity in delivery of services 31 E-governance initiatives In various departments
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Annex F E-governance Status in Five Municipal Corporations (IKM)
Application Objective Activity Status Sevana This module is for efficient administration of local body level welfare Phase 1 network and services. This module facilitates management and disbursement of various social pensions and unemployment wages, Operational in Kochi, Kozhikode, Thrissur and Kollam since 2003. as well as administration of various social welfare schemes. In Thiruvananthapuram, data entry complete and quality check due; deployment by Oct 2004. The module also handles registrations and issue of certificates for births, deaths and marriages in the local body; and acts as a grievance redressal medium.
Sulekha This module is for effective monitoring of the People’s Plan Phase 1 Projects/Kerala Development Program – formulation and implementation – at the local bodies, both in terms of physical and Data entry is centralized and information on plan works for all financial targets. The program will be monitored at three levels – Local LSGIs available since FY 2003. Information feeds into the State’s Body, District Planning Office and the State Planning Board. Economic Review.
Saaphalya This module acts as a database on employment information, to Phase 1 address severe unemployment situation in the State. Deployed only in Vellanad Panchayat. Implementation plan for five corporations to be prepared.
Sanchitha This module is a reference application for Acts and Rules on a Phase 1 Compact Disk Complete and updated as of FY 2001.
Soochika This module addresses workflow management and file tracking at the Phase 2 local body. This module will assist tracking the progress of any process and improve the grievance handling of any local body. Module is operational in the LSG Minister’s office. Operationalizing requires computerization of all LSGI departments, which is scheduled to occur once the Build-Tranfer-Maintain Operator is appointed (by Dec 2004).
Sankhya This module handles all accounting and finance functions of the local Phase 3 body. This module covers all receipts and payments, and generation of necessary registers, reports, budget and financial statements. Online version of Sankhya available at Vellanad Panchayat; Sahatha operational in all five municipal corporations. This module will be deployed based on SFC recommendation and finalization of the account code and manual by the Institution of Public Sankhya is scheduled for deployment in all five municipal
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Application Objective Activity Status Auditors and Local Self Government Dept. corporations by Nov 2004. The module has incorporated the recommendations of the CAG’s Task Force on Accounting in Sahatha, the receipt-generating module is integrated into Sankhya. A Urban Local Bodies but the outputs will conform to GoK/LSGI module for decision-making and tracking of major expenditure items – prescription until the State takes a decision to shift to accrual- purchases and works – is incorporated in Sankhya. based accounting system.
Sanchaya This module addresses revenue collection at the local body and Phase 3 covers 80 revenue sources including taxes, licenses, grants, auctions and direct collection. On integration with Soochika, Sanchaya Main focus is on property tax database creation and integration generates revenue demand, records collection and indicates the with cadastral maps to plot properties. revenue income status of the local body. Database created in Kochi and Thrissur; yet to commence in The module is supported through a property tax database creation, Thiruvananathapuram, Kozhikode and Kollam. which is aimed at addressing a citizen database and applying the new Cadastral map complete in Thrissur and nearing completion in system of taxation (plinth area method) to generate demand. Kochi. Property mapping in Thrissur scheduled to commence in Supported by a standardized cadastral database, it utilizes the same Oct 2004. for resource management and spatial planning at the local body level.
Stapana This module relates to establishment matters of the local body and Phase 3 specifically deals with human resource management. Once connected with the Panchayat and Municipal Directories, it will provide Current focus is on payroll management; database for the same immediate access to staff status in the State’s local self-governments. complete in Kochi and Kozhikode. The module is scheduled for deployment by Nov 2004 in both corporations. Thrissur is scheduled next.
Sakarma This module is designed as a decision support system at the local Phase 3 body and covers the schedule and conduct of various statutory meetings by decision-making bodies based on statutory guidelines. Data in Kochi was collected. Implementation plan being prepared for all municipal corporations.
Training Manuals and Materials Develop training materials for computer based training and application Complete for all current versions of the software. of e-governance modules.
Subadhra This module tracks budgets and audit compliance reports. Not deployed in any municipal corporation; data on Kochi entered.
Sachithra GIS based application; essentially focuses on property mapping and Operational in Vellanad and is planned for implementation in MCs assigning attributes for easy referencing. after the cadastral survey.
Samookhya This module tracks the citizen identity from the time of birth Incorporated in the main modules. registration; a key component in Sevana and Sanchaya.
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Annex G Prospective Training Curriculum (KILA)
Course Prospective Course Content Target Group
Sensitization/Orientation KSUDP operations and functions, and Mayors/Chairpersons, Training Program potential support made available through Secretaries/Commissioners, KSUDP. Elected Councillors, Department Heads, NGOs, Planning tools/elements and their practical and select participants from applicability, various options available for State Line Departments better management practices. (PWD, KWA, ID and PCB)
Guidelines on Municipal Development Plan preparation.
Briefing to Councillors on responsibilities under KM Act, 1994.
Best practices on resource mobilization, expenditure management, public-private partnerships, and innovative project structuring and financing.
Overview on the KLGD Fund objective, support for project development, eligibility and access criteria to tap the Fund and avail loans for infrastructure development.
Overview of KSUDP Implementation Arrangements (roles of PMO and PIU, reporting, accounting and project performance management).
City visits to review and comprehend impact of best practices.
Conceptual Training Project structuring and feasibility Secretaries/Commissioners, Program assessment. Department Heads, NGOs, select staff from State Line Innovative financing mechanisms, Departments (PWD, KWA, guarantees, infrastructure bonds. ID and PCB), and select staff from Engineering, Health, Goods, Works and Services Procurement, Town Planning and Accounts and contract preparation, evaluation and Department of LSGI. award.
Techniques and methods of resource mobilization and expenditure management.
Implementation Training Training on updating project physical and Department Heads, NGOs, Program financial monitoring reports. select staff from State Line Departments (PWD, KWA, Training on quality assurance aspects during ID and PCB), and select staff construction phase for identified sub-projects from Engineering, Health, Town Planning and Accounts Training on asset maintenance and operation Department of LSGI. and maintenance measures.
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Annex H Capacity Building for Poverty Alleviation Initiatives
Course Prospective Course Content Target Group
Sensitization KSUDP operations and functions, and City-level Poverty alleviation potential support made available through Committee, CDS, ADS and KSUDP. NHG Office bearers, Council Members, CSOs, Resident Planning tools/elements and their practical Welfare Associations, applicability, various options available for Municipal Corporation – better management practices. Mayor, Secretary and other Officials, State Line Case studies and best practices. Department Officials,
City visits to review and comprehend impact Corporation UPA Cell and of best practices. Key Resource Persons
Conceptual and Activity Infrastructure needs assessment, planning, CSOs, Gender Resource Related community participation and project finance. Centre, Livelihood Oriented Business Schools (LOBS), Communication and leadership, personality Mentoring Staff, Rag pickers, development and other income generation and Geriatric Club programs managers.
Target programs for women empowerment, destitute, vulnerable groups and street children.
Monitoring and evaluation.
Strategic Programs Livelihood development. Municipal Corporation, District Mission Coordinator Long-term capacity building of CDS. (Kudumbashree) and CDS.
Institutional mechanism for scaling-up micro enterprises and Self Help Groups.
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Annex I Policy and Institutional Reform Agenda
Objectives GoK Policy Current Status Actions Needed Responsible Directive Agencies / Time frames A. Planning a. MCs to assume responsibility KM Act, 1994 State Town and Country Planning Dept. Establishment of a new Town and LSG Dept., Town and of urban planning. continues to prepare Master Plans – MCs Country Planning Act and Rules to meet Country Planning undertake implementation. Infrastructure the objectives of the Project. Dept. (TCPD), planning limited to small-size projects under Development Authority decentralized planning. MCs lack During KSUDP implementation, PIU will (DA) and MCs. appropriately qualified staff. include city engineering and planning staff. At the end of project, PIU/MC staff (FY 2009) would continue as the core of the City Planning and Engineering Department (CPED). An amendment to the KM Act, 1994, may be required to form the CPED.
b. MCs to undertake preparation Tenth Five Year Being prepared as a part of the Five- MC staff capacity should be built to State Planning Board, of Development Vision and Plan, 2002-07 Year/Decentralized Planning exercises and ensure integration of plan works and LSG Dept. and MCs. Citywide Development Plans. involves citizen participation in plan adopt a holistic approach to citywide preparation. Planning is currently piece- infrastructure provision. (FY 2009) meal in nature and does not take cognisance of integrated citywide requirement. Currently, the planning mechanism does not provide for a holistic approach.
c. MCs to undertake urban road Tenth Five Year Road asset inventory absent and MCs lack Strengthen ULB staff capacity for a LSG Dept., MCs and planning. Plan, 2002-07 capacity to build database and plan for holistic approach to transport planning PWD. urban transport. Transport planning is and road maintenance and currently carried out through Consultants management system (RMMS). A RMMS (FY 2009) appointed by GoK. should be instituted in all MCs at the earliest.
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Objectives GoK Policy Current Status Actions Needed Responsible Directive Agencies / Time frames B. Core Service Delivery and Asset Management a. Provision of improved water KM Act, 1994 and Cost of water supply substantially high KWA to formulate a Non Revenue Water Resources supply services within MC Water Supply & compared to recovery – water tariffs not Water (NRW) Reduction Plan and a Department and area Sewerage Act, 1986 revised since 1999. Program for increasing its collection Kerala Water Authority efficiency. (FY 2007) KWA to enforce its disconnection policy for delinquent customers.
GoK to formulate and implement a policy on conversion of standposts to individual metered house service connections.
KWA enhancement of water tariffs to ensure cost recovery of O&M by 2010 b. MC to create new water KM Act, 1994 Except for Thrissur Municipal Corporation New sewerage assets created under LSG Dept., Water supply and sewerage assets (within the old Municipality area), all water KSUDP will be managed by the MC. Resources Dept., and provide services within its assets retained with KWA. KWA could continue as a service KWA and MCs. jurisdiction/area. provider of water services. Despite the First SFC’s recommendation to (FY 2010) constitute a committee to ensure GoK staff transfers to MCs, transfer of assets and staff unlikely; there is no clear directive in this aspect. c. All MCs to prepare Annual First SFC (1996) and No progress. Capacity lacking; focus on Training required as part of capacity LSG Dept. and MCs Maintenance Plans. Second SFC (2001) asset creation only. building for the preparation of Municipal recommendation Development Plans. (FY 2010) d. MCs to ensure priority to solid Tenth Five Year GoK has constituted the Clean Kerala Mission As per GoI guidelines, waste disposal LSG Dept., ULBs and waste management and Plan, 2002-07 (CKM) to promote liquid and solid waste should be under the direction of a CKM. sewage disposal services. management in ULBs (including MCs). Municipal Environmental Engineering Current focus of CKM is on facilitating solid Department instead of present Health (FY 2010) waste treatment/disposal. However, CKM as a Department. MCs may need to create a facilitating organization lacks capacity to City Planning & Engineering Department assist all GoK ULBs in developing waste for undertaking SWM, in addition to other (solid and liquid) management programs. activities.
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Objectives GoK Policy Current Status Actions Needed Responsible Directive Agencies / Time frames e. MCs to undertake urban - Reticulation of storm water drainage is Develop Storm Water Master Plans in LSG Dept., PWD, drainage projects and ensure through roadside drains (MCs and PWD) all MCs, initiated through topographic Water Resources effective storm water and secondary and primary drains and surveys and identification of drainage Dept. and MCs disposal. canals / waterways (Irrigation Dept.). A lack catchment areas. To be a part of of coordination between various agencies integrated planning within the Municipal (FY 2010) results in gross neglect of the system, and Development Plan. KSUDP will facilitate the problem is accentuated due to the Storm Water Master Plan preparation. absence of a Storm Water Master Plan. f. Promote public private - Currently limited to solid waste Local Self Government Policy required GoK and LSG Dept. partnership in service management collection and maintenance of for involvement of private sector. delivery. waste treatment/composting plants. (FY 2007) g. ULBs to effectively implement KM Act, 1994 Active involvement of the State Poverty ULBs are undertaking steps to ensure LSG Dept., urban poverty alleviation Eradication Mission/Kudumbashree in increase in fund utilization; PIU Kudumbashree and programs. channelling Central funds to ULBs; formation and capacity building of CDS ULBs. however, funds are under utilized due to under KSUDP will ensure additional administrative issues and organization of fund utilization. MCs will be required to On-going ULB staff to facilitate program prepare antipoverty sub-plans to ensure implementation. Kudumbashree is actively poverty alleviation. involved in eliciting beneficiary contributions to be eligible for Central funds. Kudumbashree has also facilitated formation of women-run micro-enterprises.
C. Institutional Development a. Decentralized operations of - MCs have created zonal offices for MCs require reorganizing decentralized LSG Dept. and ULBs MCs. administrative ease, however, these are operations based on magnitude of limited to Panchayats merged with the works/revenue collection/municipal (FY 2010) Municipality to form the Corporation. Fiscal functions and to satisfy the decentralization not achieved in ULBs. requirements for preparing Municipal Development Plans. b. Redressal of grievances in Committee on General Ombudsman constituted. Internal General Ombudsman in operation but LSG Dept. ULBs. Decentralization of grievance redressal not instituted. MCs will be needed to institute an Powers, 2000 internal grievance redressal On-going mechanism.
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Objectives GoK Policy Current Status Actions Needed Responsible Directive Agencies / Time frames c. ULB accountability in service KM Act Amendment, Citizen Charter introduced in ULBs and Citizen plans should be integrated into LSG Dept. and MCs provision and greater citizen 1999 ULB functions made transparent; citizens the Municipal Development Plan. MCs participation in infrastructure also involved in plan preparation. Citizen will also be needed to institute a public On-going / (FY 2010) planning. awareness and involvement in planning disclosure mechanism to provide progressing effectively. citizens with information on MC operations.
d. Introduce IT enabled services - Information Kerala Mission constituted to Mapping of properties in five municipal LSG Dept., MCs and and streamline municipal facilitate IT enabled services in ULBs – corporations to be complete by Jan IKM systems and procedures. works in progress. MIS software 2005. MIS software proposed for rolling- (Accounting / Budgeting / Revenue / out in five municipal corporations (FY 2010) Works) complete but not rolled out. through FY 2006. Comprehensive Municipal asset valuation pending. The implementation of identified modules is main activity completed by IKM is on critical for streamlining municipal revenue collection and issuance of Birth / functions and increasing efficiency. Death and other certificates. Lack of adequate staff and infrastructure hinders IKM activities.
e. Human resource - Merger of Panchayats with Municipalities to Appointment of additional staff for LSG Dept, DUA, ULBs development in project ULBs. form Corporations has not resulted in increased responsibility critical, commensurate staff increase. Current especially sensitive in case of Municipal (FY 2010) training programs are ad-hoc and are not Development Plan preparation and demand driven. Programs also lack training implementation, and catering to needs and impact assessments. additional areas incorporated to extend the municipal jurisdiction. This would be facilitated by formation of the CPED. Provide exposure to ULB staff. Training programs should focus on applying training curriculum in ULB functions. Training Program under KSUDP should address the aforesaid concerns. ULB councillors, etc. to be made aware of responsibilities under the KM Act.
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Objectives GoK Policy Current Status Actions Needed Responsible Directive Agencies / Time frames D. Financial Management a. Implementation of the plinth First (1996) and No revision in property tax base affected Implement law to amend the property GoK area based Property Tax and Second (2001) SFC since amendment to KM Act in 1999 (when taxation system and to enhance the MC increase in tax base through recommendation taxation basis was converted from ARV to revenue tax base. (FY 2007) property mapping; four-yearly Plinth Area method). Tax mapping revision to Property Tax. envisaged as a part of the IKM agenda; process in a nascent stage and needs support.
b. Asset survey of MC own First SFC No survey conducted. Being a requirement Establishment of a mandatory process LSG Dept., MCs and property and transferred recommendation, for asset maintenance, asset inventory and complying with asset inventory IKM. properties to be carried out 1996 valuation is imperative for transition to management. for devolution of maintenance double entry/accrual accounting system. (FY 2007) fund.
c. Biannual revision to non-tax First SFC Pending. Tax and non-tax not revised by Implement law to effect required GoK, LSG Dept. and license items and recommendation, MCs due to legislations and are affecting revisions MC. Advertisement Tax. 1996 MC revenues. (FY 2007)
d. Accounting reforms in Urban - Cash based system of accounting GoK in-principle acceptance to GoK and LSG Dept. Local Bodies. prevalent; conversion to accrual system of introduce double-entry accounting accounting pending. system – new Rules to be framed.9 (FY 2006)
9 Section 295 of KM Act, 1994 specifies that accounts and audits may be in a form prescribed by GoK.
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Objectives GoK Policy Current Status Actions Needed Responsible Directive Agencies / Time frames E. Legislative and Administrative a. Amendments to KM Act, 1994 - GoK in-principle acceptance and is Legislations required for making it GoK to specify minimum share of reviewing legislative changes. mandatory. ULBs, of Maintenance and Undetermined General Purpose Grant. b. Cell under LSG and Finance First SFC Cell under the Finance Dept. was formed Monitoring as recommended by the GoK Department to monitor all recommendation, on the expiry of the Second SFC’s term. First SFC to be operationalized. financial matters of ULBs. 1996 (FY 2006) c. Restructuring Kerala Urban First SFC Rural Development Board merged with GoK to clarify and confirm. - Development and Finance recommendation, KUDFC. GoK proposes to restructure Corporation. 1996 KUDFC to manage the Kerala Local Government Development Fund (KLGDF). d. GoK to enact Draft Town and - Pending GoK to bring in new legislation. LSG Dept. Country Planning Act. FY 2007
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Annex J Project Performance Management System
Activity Process Target Date Outcome Indicator Responsible Monitoring Agencies Mechanism Project Preparation • Approval of the KSUDP Resettlement May 2005 Resettlement Framework, Resettlement Plan GoK ADB Review Framework, Resettlement Plan and and Indigenous Peoples Development Mission Report Indigenous Peoples Development Framework for urban infrastructure projects (RMR) Framework accepted by GoK and posted on GoK / ADB websites. • Notification of Empowered Committee (EC) Aug 2005 Notification Issued LSGD ADB RMR • Notification Designating Executing Agency Aug 2005 Notification Issued LSGD ADB RMR (LSGD) and Implementing Agencies (City Corporations) • Establish fund flow mechanism from Aug 2005 Notification Issued LSGD ADB RMR State/ensure budgetary allocation towards Project • Notification of Tender Approval Committee Aug 2005 Government Order issued (confirming TAC LSGD ADB RMR (TAC) powers, constitution and approvals) • Procure satellite imagery for preparing GIS Aug 2005 Map details identified, approvals sought for PMO / BTA ADB RMR based maps required for property tax procurement and map purchase and IKM Disbursement and assessment and detail design Reimbursement Records (DRR) • Establish Project Fund account in Sept 2005 Government Order issued (confirming EC LSGD ADB RMR Nationalized Bank approvals, signatories and drawing limits) • Establish full-time Project Management Sept 2005 Staff identified, postings issues and operations LSGD ADB RMR Office (PMO) commenced • Establish full-time Project Implementation Sept 2005 Staff identified, postings issued and operations LSGD ADB RMR Units (PIU) in each of 5 MCs commenced • Form City-level Steering Committees Sept 2005 Notification issued and Committee formed LSGD ADB RMR • Identify Civil Society Organization (CSO) Oct 2005 CSO constituted PMO / PIU QPR members and form the CSO
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Activity Process Target Date Outcome Indicator Responsible Monitoring Agencies Mechanism • Create guidelines for accessing and utilizing Jan 2006 Guidelines approved by LSGD, EC and GoK PMO / BTA / QPR and AWP the Community Infrastructure Fund (CIF) SPEM and Poverty Social Fund (PSF) • Pre-qualify Contractors / Suppliers Jan 2006 Contractors identified based on eligibility PMO / BTA ADB RMR criteria and procurement package size • Select Project Management Consultants Mar 2006 Tenders invited and Consultants selected PMO ADB RMR (PMC) and Design Supervision Consultants (await loan effectiveness before signing (DSC) contract)
Urban Infrastructure Improvement 1. Project • Prepare SWM equipment procurement Oct 2006 Procurement plan (including specifications and PIU QPR Design Phase master plan and routing pattern for waste shortlisted suppliers) and transportation
• Select SWM Contractors / Equipment Jan 2007 SWM Contractors / suppliers appointed PMO Construction and suppliers Procurement Report (CPR) and QPR • Complete surveys and finalize topography Sep 2006 Detailed contoured digitized base maps plus PIU QPR maps suitable for GIS plus stormwater Master Plans for drainage and sewerage. drainage and sewerage Master Plans
• Complete hydraulic analysis on water supply Dec 2006 Designs approved PIU QPR system, designs for sewerage system and storm water drainage
• Proof check concept designs and contract Mar 2007 Designs and bidding documents approved PIU QPR bidding documentation for sewage treatment plants and road improvements / bridges
• Tenders floated and contractors selected Jun 2007 Construction contracts awarded PIU / PMO Construction and Procurement Report (CPR) and QPR
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Activity Process Target Date Outcome Indicator Responsible Monitoring Agencies Mechanism 2. Project • Improve water treatment plants and Apr 2009 Water discharge and flows measured at PIU QPR, CPR, AWP Implementation rehabilitate / replace transmission mains identified sections and DRR Phase
• Complete optimization and leak detection Jun 2009 Water balanced on identified sections of PIU QPR, CPR, AWP program system and non-revenue water (NRW) and DRR measured
• Expand distribution system, provide house Jan 2011 Length of mains laid, number of HSCs PIU APR, AWP, DRR service connections (HSCs) for water supply provided and number of standposts removed and billing records and regularize illegal connections plus illegal connections identified; details marked on GIS
• Construct sewerage system with sewer lines Jan 2011 Length of sewers laid, number of connection PIU QPR, CPR, AWP and pumping stations chambers installed, number of plots connected and DRR and pumping machinery procured; details marked on GIS
• Construct sewage treatment plant – civil Apr 2009 Commissioning of STP, testing of pumping PIU Commissioning works, installation of electrical and machinery at pumping stations and certificate, CPR, mechanical equipment mechanical/electrical equipment at STP AWP, QPR and DRR
• Conduct improvements, rehabilitation and Jan 2011 Water logging minimized / overcome at PIU QPR and AWP expansion of drainage channels; prepare identified low-lying areas maintenance programs
• Prepare network inventory and resource Jun 2007 Inventory accessible and available on GIS, and PIU QPR and AWP allocation for maintenance planning maintenance plan in place (finances and human resources)
• Procure and test SWM collection / Oct 2007 Records of equipment procured and in use PIU QPR, DRR and transportation equipment CPR
• Construct compost plant and sanitary landfill Jan 2009 Waste composting operational PIU QPR, DRR and CPR
• Collect waste and increase coverage of Continuous Weighbridge data, vehicle operation records PIU / MC QPR households and household satisfaction survey
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Activity Process Target Date Outcome Indicator Responsible Monitoring Agencies Mechanism Urban Management and Institutional Development 1. Project • Prepare training curriculum for municipal Mar 2006 Curriculum approved by PMO/LSGD PMO / KILA QPR and Annual Design Phase staff and councilors and conduct Work Plan (AWP) sensitization programs
• Procure computers, software and other Mar 2006 Hardware identified (brand and quantity), PMO QPR and DRR hardware required for mapping and tenders invited and equipment purchased accounting/management information systems for 5 project MCs
• Complete GIS-based base maps Aug 2006 IKM prepares maps and carries out ground- PMO QPR and ADB level geo-referencing RMR
• Prepare Budgeting, Accounting and Auditing Dec 2006 State Accounting & Budgeting Manual GoK ADB RMR Manual (Technical Assistance through ADB proposed)
• Develop standard performance based Dec 2006 Performance standards incorporated in PMO / PMC QPR contracts for procurement and infrastructure bid/tender documents for contractor/equipment creations/service provision procurement
• Finalize property mapping and geo- Jan 2007 City base map with properties mapped PMO QPR referencing on GIS-based maps at city-level
• Enact legislations to implement plinth area Mar 2007 Amendments to Kerala Municipalities Act, GoK QPR based Property Tax 1994
• Enact legislations to revise tax and non-tax Mar 2007 Amendments to Kerala Municipalities Act, GoK QPR revenue items 1994
• Complete design of database management Mar 2007 Database established PMO QPR package for DUA regarding municipal services and finances, human resources and municipal assets
• Enact the Town and Country Planning Act Mar 2008 Town and Country Planning Act enacted GoK QPR
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Activity Process Target Date Outcome Indicator Responsible Monitoring Agencies Mechanism 3. Project • Update database on municipal services and Continuous Municipal MIS created and institutionalized at PMO / DUA QPR Implementation finances, staff and assets for 5 Corporations DUA Phase and 53 Municipalities • Analyze costs for service provision and Jan 2007 State Policy/Guideline on financing patterns for DUA / LSGD QPR and ADB develop tariffs for municipal services (water, infrastructure projects / KWA RMR sewerage and SWM) for 53 Municipalities • Transition to double-entry accounting system Apr 2007 Balance Sheet for FY 2006-07 PIU / MC QPR and affect improved accounting practices for 5 Corporations • Complete conceptualization and Apr 2009 Staff undertaking integrated planning for new KILA / PMO QPR, DRR and implementation training programs including development at corporation and municipal Project Completion preparation of Development Plans by level in compliance with the Kerala Municipal Report (PCR) municipalities Act (Section 51). • Streamline systems and procedures, Continuous Increase in Corporation year-on-year revenue PIU / MC QPR improve management information systems surplus and improve tax/non-tax revenue collection efficiency
Community Development and Poverty Alleviation 1. Project • Design and develop programs for community Aug 2006 Record of program material PIU / SPEM QPR and AWP Design Phase awareness, women and children, health and education, income generation / livelihood business, and vulnerable groups • Design capacity building programs for Aug 2006 Record of program PIU / SPEM QPR Community Development Societies (CDS) • Create database on vulnerable groups, Jul 2006 Database established and installed at DUA, PMO / PMC / QPR women, children and unemployed youth PMO, PIUs and Kudumbashree (SPEM) SPEM • Identify BPL settlements for accessing CIF, Oct 2006 Settlements recorded and detailed plans ready PIU / CSO / QPR and AWP and plan infrastructure SPEM • Identify target population for accessing PSF Oct 2006 Population identified, plan prepared and land PIU / SPEM/ QPR and AWP and prepare fund utilization plan identified for facility construction CSO
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Activity Process Target Date Outcome Indicator Responsible Monitoring Agencies Mechanism 2. Project • Provide micro water supply schemes in BPL Jan 2011 Reduced population per standpost and PIU QPR, DRR and Implementation settlements improved access by BPL households to water PCR Phase
• Provide sanitation facilities for BPL Jan 2011 On-plot and community sanitation facilities PIU QPR, DRR and settlements constructed PCR
• Provide facilities for vulnerable groups Jan 2011 Numbers of night shelters for migrant laborers, PMO / SPEM QPR, DRR and rehabilitation centers for street children, PCR destitute homes, geriatric clubs and Gender Resource Centers
• Provide entrepreneur development training Jan 2011 Numbers of unemployed youth employed in PMO / SPEM QPR, DRR and livelihood business / micro enterprises PCR
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Annex K Proforma of the Project Progress Report
K.1 Introduction and Basic Data Provide the following:
ADB loan number, project title, borrower, executing agency (ies), implementing agency (ies);
Total estimated project cost and financing plan;
Status of project financing including availability of counterpart funds and co-financing;
Dates of approval, signing, and effectiveness of ADB loan;
Original and revised (if applicable) ADB loan closing date and elapsed loan period based on original and revised (if applicable) loan closing dates; and
Date of last ADB review mission.
K.2 Utilization of Funds (ADB Loan, Co-financing, and Counterpart Funds) Provide the following:
Cumulative contract awards financed by the ADB loan, co-financing, and counterpart funds (commitment of funds to date), and comparison with time-bound projections (targets);
Cumulative disbursements from the ADB loan, co-financing, and counterpart funds (expenditure to date), and comparison with time-bound projections (targets); and
Re-estimated costs to completion, need for reallocation within ADB loan categories, and whether an overall project cost overrun is likely.
K.3 Project Purpose Provide the following:
Status of project scope/implementation arrangements compared with those in the report and recommendation of the President (RRP), and whether major changes have occurred or will need to be made;
An assessment of the likelihood that the immediate development objectives (project purpose) will be met in part or in full, and whether remedial measures are required based on the current project scope and implementation arrangements;
An assessment of changes to the key assumptions and risks that affect attainment of the development objectives; and
Other project developments, including monitoring and reporting on environmental and social requirements that might adversely affect the project's viability or accomplishment of immediate objectives.
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K.4 Implementation Progress Provide the following:
Assessment of project implementation arrangements such as establishment, staffing, and funding of the PMO or PIU;
Information relating to other aspects of the EA’s internal operations that may impact on the implementation arrangements or project progress;
Progress or achievements in implementation since the last progress report;
Assessment of the progress of each project component, such as,
- Recruitment of consultants and their performance;
- Procurement of goods and works (from preparation of detailed designs and bidding documents to contract awards); and
- Performance of suppliers, manufacturers, and contractors for goods and works contracts;
Assessment of progress in implementing the overall project to date in comparison with the original implementation schedule—quantifiable and monitorable target (include simple charts such as bar or milestone to illustrate progress, a chart showing actual versus planned expenditure, S-curve graph showing the relationship between physical and financial performance, and actual progress in comparison with the original schedules and budgets, the reference framework or guidelines in calculating the project progress); and
An assessment of the validity of key assumptions and risks in achieving the quantifiable implementation targets.
K.5 Compliance with Covenants Provide the following:
The borrower's compliance with policy loan covenants such as sector reform initiatives and EA reforms, and the reasons for any non-compliance or delay in compliance;
The borrower’s and EA’s compliance with financial loan covenants including the EA’s financial management, and the provision of audited project accounts or audited agency financial statements; and
The borrower’s and EA’s compliance with project-specific loan covenants associated with implementation, environment, and social dimensions.
K.6 Major Project Issues and Problems Summarize the major problems and issues affecting or likely to affect implementation progress, compliance with covenants, and achievement of immediate development objectives. Recommend actions to overcome these problems and issues (e.g., changes in scope, changes in implementation arrangements, and reallocation of loan proceeds).
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Annex L Framework and Guidelines In Calculating Project Progress
L.1 Introduction To ensure that all implementation activities are reflected in measuring implementation progress against the project implementation schedule, the term "physical completion” in the PPR has been changed to "project progress.”
Physical and pre-commencement activities are considered in calculating project implementation progress. These activities, which may include recruitment of consultants, capacity building, detailed design, preparation of bid and prequalification documents, etc., could constitute a significant proportion of overall implementation and therefore should be counted.
Each activity in the implementation schedule will be weighted according to its overall contribution (using time as a reference) to progress of project implementation. These weights will then be used to calculate the percentage of project progress along the entire time span of the project. This is to provide a holistic view of the pace of implementation.
L.2 Framework for Compiling Activity List and Assigning Weights As implementation activities and their corresponding weights will vary according to the type of project, sector, and country, sector divisions or Indian Resident Mission (INRM) will be responsible for determining and including them in the project administration memorandum. The actual project implementation progress of these activities should be reported regularly through the EA’s quarterly project progress report. To ensure ADB-wide consistency, the following framework has been established; its application will be monitored through the PPR.
Compilation of Activity List. Sector divisions or INRM concerned should identify major implementation activities and include them in the implementation schedule, which is attached as an appendix in the report and recommendation of the President (RRP). The implementation schedule should follow the critical path of the project’s major activities in project implementation taking account of various country, sector, and project constraints.
Assignment of Weights. Corresponding weights for each activity should be assigned to ensure that “project progress" measures the percentage of achievement (non-financial except when the project has credit components) for all events during the entire duration of the implementation schedule. To avoid disproportionate assignment of weights, to the extent possible these should be evenly distributed along the implementation schedule. When activities are concurrent, avoid “double counting.”
Computation of Project Progress. Once all activities are identified and corresponding weights assigned, project progress should be calculated using the following steps: - Determine the actual percentage progress (non-financial) of each activity. - Multiply these percentages by the assigned weight of each activity to arrive at the weighted progress. - Add up the resulting weighted progress of all activities to determine the project progress.
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Below is an illustration of this calculation using a generic sample implementation schedule of an education project.
Implementation Schedule with Activities and Weights
Yr1 Yr2 Yr3 Yr4 Yr5
A
a B
b C d c D ef A C T I V I T I E S
E
1. Sum of all weights should equal 100 percent (a+b+c+d+e+f+g = 100%) 2. When calculating the percentage of “project progress,” all completed activities should be counted as accomplished, regardless of when they were scheduled to be completed. For example, when calculating the percentage of “project progress” after year 3, if activity D is completed in year 3 rather than in year 2, it should still be included in the computation. 3. Total weight of each activity is as follows: Activity A–a; Activity B–b; Activity C–c; Activity D–d; and Activity E–e + f +g 4. Project progress of a project is the summation of the actual percentage of progress for each activity multiplied by the total weight of each activity.
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Annex M Project Administration & Institutional Development Costing
Table M-1: KSUDP – Project Management Consultants
Position Units ForeignLocal INR Million INR Million AManpower I International Staff Team Leader / Municipal Engineer 54 66.9 Water Supply/Wastewater Engineer 18 17.9 Construction Supervision Specialist 6 6.0 Subtotal- International Manpower 78 90.8 II Domestic Staff Dy. Team Leader / Water Supply Engineer 60 20.8 Wastewater Engineer 18 6.7 Procurement Specialist 12 4.5 Urban Planner/GIS Expert 36 13.4 Environmental Expert 12 4.5 Social and Resettlement Expert 12 3.7 Performance Evaluation and Monitoring Expert 18 3.7 CA/Financial Management Expert 36 11.2 Institutional & Governance Expert 12 4.5 Subtotal- Domestic Manpower 216 90.8 73.0 Subtotal- Manpower Costs 294 163.8
B Travel, Stay & Per Diem I International Staff Travel 6 1.5 Stay & Per Diem 78 4.0 Subtotal- International Travel & Stay 84 5.5 II Domestic Staff Travel 38 0.8 Stay & Per Diem 210 13.1 Subtotal- Domestic Travel & Stay 248 13.9 Subtotal- Travel, Stay & Per Diem 19.4
C Office Establishment & Documentation I Office Staff Office Administration Manager 60 1.0 Accounts Manager 60 0.7 Support Staff 60 0.5 Receptionist 60 0.4 DTP Operators 120 1.0 Office Boy 60 0.3 Office Drivers 120 1.3 Subtotal- Office Staff 5.2 II Office Operations Office Rent & Maintenance 60 2.0 Office Supplies LS 0.2 Vehicle Maintenance and Local Conveyance Charge 120 2.6 Electricity and Maintenance Cost LS 0.7 Communication Charges 60 1.0 Postage & Courier 60 0.2 Printing & Stationery 60 1.3 Subtotal- Office Operations 8.0 III Office Equipment, Vehicles etc Vehicle Costs 2 1.1 Computers - PCs, Printers etc 0.6 Office Furniture & Supplies 60 0.2 Subtotal- Office Equipment, Vehicles etc 1.9 Subtotal- Office Establishment & Documentation 15.1
D Other Costs O&M Training LS Benefit Monitoring and Evaluation Consultant LS 9.9 NGO Participation LS 5.0 Community Awareness & Participation Programe LS 9.9 Other Miscellaneous LS 1.1 Subtotal- Other Costs 25.9
Total- Project Management Consultancy 224.2
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Table M-2: KSUDP Design & Supervision Consultants
Position Units Local Units Local Total TVM/KLM INR (Million) KCH/TSR/KZ INR (Million) INR (Million) AManpower I Professional Staff Team Leader / Water Supply Engineer 60 15.3 60 17.7 Dy. Team Leader / Wastewater Engineer 60 12.2 60 14.1 Stormwater Drainage Engineer 18 17.7 24 20.5 Electrical and Mechanical Engineer 18 17.7 24 20.5 Environment/Solid Waste Management Specialist 12 1.8 12 2.1 Social and Community Development Expert 24 4.1 30 4.8 Roads & Transportation Engineer 24 4.1 30 4.8 Procurement Specialist 24 4.1 30 4.8 Quantity Surveyor 36 5.5 48 6.4 Structural Engineer 18 2.2 24 2.5 Construction Supervision Specialist - PHE 36 5.5 48 6.4 Construction Supervision Specialist - Roads 36 5.5 48 6.4 Subtotal- Professional Staff 366 95.7 438 111.0 II Support Staff ACAD Draughtsman 120 1.3 120 1.4 Engineering Support 120 1.8 120 2.1 Jr. Quantity Surveyor 60 1.8 120 2.1 Const. Supervision Resident Engineers 84 2.6 126 3.2 Site Supervisors 420 8.0 630 9.4 Junior Social / Community Development Support 60 0.9 60 1.1 Subtotal- Support Staff 864 16.4 1,176 19.3 Subtotal- Manpower Costs 1,230 112.1 1,614 130.3 242.4
B Travel, Stay & Per Diem Travel 45 0.7 45 0.8 Stay & Per Diem 366 18.5 438 21.4 Subtotal- Travel, Stay & Per Diem 19.2 22.2 41.4
C Office Establishment & Documentation I Office Staff Office Administration Manager 60 0.9 60 1.1 Accounts Manager 60 0.6 60 0.8 Support Staff 60 0.4 60 0.5 Receptionist 60 0.4 60 0.4 DTP Operators 120 0.9 120 1.1 Office Boy 60 0.3 60 0.4 Drivers 1.8 2.1 Subtotal- Office Staff 5.3 6.4 II Office Operations Office Rent & Maintenance 60 1.5 75 1.8 Office Supplies LS 0.3 60 0.4 Electrical and Maintanace Cost LS 0.6 LS 0.8 Vehicle Maintenance and Local Conveyance 120 2.4 180 2.8 Communication Charges 60 0.9 75 1.1 Postage & Courier 60 0.2 75 0.2 Printing & Stationery 60 1.3 75 1.4 Subtotal- Office Operations 7.2 8.5 III Office Equipments & Vehicles Vehicle Costs 1.5 1.8 Computers - PCs, Printers etc. 1.1 1.2 Office Furniture & Supplies 60 0.2 75 0.2 Subtotal- Office Equipment, Vehicles etc 2.8 3.2 Subtotal- Office Establishment & Documentation 15.3 18.1 33.4
DOther Costs Survey & Investigation LS 20.7 LS 24.0 Water & Energy Audit Studies 1 0.5 2 1.0 STP Site Contamination & Water Quality Modelling S 1 3.6 0.0 Subtotal- Other Costs 24.8 25.0 49.8
Total- Design & Supervision Consultancy 171.4 195.6 367.0
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Table M-3: KSUDP - Project Management Office & Project Implementation Units
Position Units Local Months INR (Million) AProject Management Office I Key Staff Project Director - Urban Planer 60 1.5 Executive Director - Institutional Development 60 1.1 Executive Director - Administration and Finace 60 1.1 Water/Wastewater Engineer 120 2.1 Roads / Municipal Engineer 60 1.1 Urban Planner 60 1.1 Deputy Collector / Revenue (LA and R&R) 60 1.1 Procurement Officer 60 1.1 Environmental Specialist 60 1.1 Social / Community Development Specialist 60 1.1 BME Officer 60 1.1 IEC Manager 60 1.1 Training Co-ordinator 60 1.1 Management Information / IT Officer 60 1.1 Municiapal Finace / Accounts & Revenue Officer 120 2.1 Subtotal- Key Staff Costs 1,020 18.9 II Support Staff Office Administration Manager 60 0.7 Accounts Manager 60 0.6 Support Staff 120 1.0 Receptionist 60 0.4 DTP Operators 120 0.8 Office Boy 180 0.8 Driver 120 0.5 Subtotal- Support Staff Costs 720 4.8 III Travel, Stay & Per Diem Travel 900 1.4 Stay & Per Diem 1,800 0.9 Subtotal- Travel, Stay & Per Diem 2,700 2.3 IV Office Operations Office Rent & Maintenance 60 1.7 Office Furniture & Supplies 60 0.3 Computer Running Costs 300 1.7 Communication Charges 60 0.6 Postage & Courier 60 0.1 Printing & Stationery 60 0.3 Vehicle Maintenance & Local Conveyance 120 2.7 Subtotal- Office Operations 720 7.4 Total- Project Management Office 33.4
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BProject Implementation Units I Key Staff Project Manager 300 5.5 Water/Wastewater Engineer 540 7.0 Roads & Traffic Engineer 300 4.0 Procurement Officer 300 4.0 Social and Community Development Expert 300 4.0 Tahsildar/Revenue (LA/R&R) 300 4.5 Municipal Finance/Accounts & Revenue Officer 300 4.0 Solid Waste Management Expert 240 3.2 MIS/IT Officer 300 3.0 Subtotal- Key Staff Costs 2,880 39.2 II Support Staff Office Administration Manager 300 3.0 Accounts Manager 300 3.0 Support Staff 600 5.0 DTP Operators 300 1.5 Office Boy 300 1.0 Driver 300 1.0 Subtotal- Support Staff Costs 2,100 14.5 III Travel, Stay & Per Diem Travel 1,500 2.5 Stay & Per Diem 3,000 1.5 Subtotal- Travel, Stay & Per Diem 4,500 4.0 IV Office Operations Office Rent & Maintenance 60 0.0 Office Furniture & Supplies 300 1.0 Computer Running Costs 1,500 8.5 Communication Charges 300 3.5 Postage & Courier 300 0.5 Printing & Stationery 300 1.5 Vehicle Maintenance & Local Conveyance 300 6.5 Subtotal- Office Operations 3,060 21.5 Total- Project Implementation Units 79.2
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Table M-4a: KSUDP - Institutional Development Component
Position Units Local INR (Million) A Government Level 1 Infrastructure Disaster Recovery Server (incldg SW) 1 0.8 Web Server (incldg SW) 1 2.9 Sub-Total Infrastructure 2 3.7
2System Improvement of IKM Facility for Document Mgmt 1.1 Facility for Application Change Mgmt 1.7 Strengthening State-level Infrastructure 2.8 Subtotal- System Improvement of IKM 5.6
3 Capacity Building of Directorate of Urban Affairs (DUA) Strengthening State-level Infrastructure 1 1.7 Strengthening Regional-level Infrastructure 1 2.8 Software Development 1 1.7 Budget Manual Preparation 12 2.0 Asset Inventory 13.3 Data Base Creation & Comparative Performance Assessment 2.7 Subtotal- Capacity Building of DUA 24.2
Total- Institutional Dev Govt. Level 33.5
FR Volume 7 - Urban Management & Institutional Development ANNEX PAGE 50 TA 4106 –IND: Kerala Sustainable Urban Development Project Project Preparation Position Table M-4b: KSUDP - Institutional Development Component
Units Local Units Local Units Local Units Local Units Local Total TVM INR (Million) KLM INR (Million) KCH INR (Million) TSR INR (Million) KZD INR (Million) INR (Million) A Municipal Cor poration Level 1 Infrastructure Touch Screen Kiosks for Citizen Info 25 5.0 13 2.6 25 5.0 13 2.6 10 2.0 17.2 Automated Vending M/C for Forms 12 3.0 6 1.5 12 3.0 6 1.5 6 1.5 10.5 Linking of Zone with HO (ADSL Modem) a) Zonal Offices 6 4 6 5 b) Circle Offices 14 5 21 6 16 c) Layer 3 managed Switch 1 0.1 1 0.1 1 0.1 1 0.1 1 0.1 0.5 d) ADSL Pairs 20 0.5 9 0.2 27 0.7 11 0.3 16 0.4 2.1 Upgrade of Servers and Clients a) Server Upgrades 2 0.3 2 0.3 1 0.2 6 0.9 2 0.3 2.0 b) Client Computer Upgrades 10 0.1 8 0.2 15 0.3 19 0.2 58 1.2 2.0 Strengthening of Existing Network Infra a) Ethernet Switch 1 0.1 1 0.1 1 0.1 1 0.1 1 0.1 0.5 b) Addnl Network Nodes 20 0.1 15 0.1 20 0.1 15 0.1 20 0.1 0.5 Security Devices for Access Control a) Access Control 1 0.1 1 0.1 1 0.1 1 0.1 1 0.1 0.5 b) Authentication Devices 30 0.3 20 0.3 30 0.3 20 0.2 30 0.3 1.4 Layout and Furniture Redesign 1 0.6 1 0.3 1 0.6 1 0.3 1 0.6 2.4 Subtotal- Infrastructure 10.2 5.8 10.5 6.4 6.7 39.6 BCapacity Buildin g for E-Governance Staff and Councillor Training 1 0.2 1 0.2 1 0.2 1 0.2 1 0.2 1.0 Subtotal- E-Gov Capacity Buildin g 1 0.2 1 0.2 1 0.2 1 0.2 1 0.2 1.0 C GIS Based Map Preparation Quick Bird Imagery 142 0.3 57 0.1 95 0.2 101 0.2 83 0.2 1.0 Field Verification & Permanent Numbering 1 0.6 1 0.2 1 0.6 1 0.2 1 0.3 1.9 GIS Software 1 0.2 1 0.2 1 0.2 1 0.2 1 0.2 1.0 GIS Hardware/Computers and GPS 2 0.2 2 0.2 2 0.2 2 0.2 2 0.2 1.0 Subtotal- Base Map Preparation 1.3 0.7 1.2 0.8 0.9 4.9 D Business Process Reengineerin g Integrating KMBR with Property Tax Syste m 1 0.3 1 0.1 1 0.3 1 0.1 1 0.3 1.1 Municipal Asset Database & Mgmt 1 0.6 1 0.3 1 0.6 1 0.3 1 0.6 2.4 Database Software 1 0.2 1 0.2 1 0.2 1 0.2 1 0.2 1.0 Computers & Printers 2 0.2 2 0.2 2 0.2 2 0.2 2 0.2 1.0 Subtotal- Business Process Reengg 1.3 0.8 1.3 0.8 1.3 5.5 E Quality Control Initiative Archiving Manual Records 1 0.6 1 0.6 1 0.6 1 0.6 1 0.6 3.0 Training in Quality Aspects 1 0.2 1 0.1 1 0.2 1 0.1 1 0.2 0.8 Subtotal- Qualit y Control Initiatives 0.8 0.7 0.8 0.7 0.8 3.8 Total- Institutional Dev MC Level 13.8 8.2 14.0 8.9 9.9 54.8 Total for Institutional develo pment 88.3
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Table M-5: KSUDP – Training Program
Position Units Units Total Corporations Municipalities INR (million) A Sensitization/Orientation Program a/ I Councillors Mayor/Chairperson 5 53 Standing Committee Chairpersons (7) 35 371 Other Councillors (10) 50 530 Subtotal- Councillors 90 954 II Municipal Staff Secretary/Commissioners 5 53 Engineering Department (5) 25 265 Health Department (3) 15 159 Accounts & Revenue Department (4) 20 212 Town Planning Department (3) 15 159 Planning Cell (2) 10 106 Other State Agency Staff (5) 25 265 Subtotal- Municipal & State Agency Staff 115 1,219
Subtotal- Sensitization/Orientation Program Costs 115 1,219 10.6
B Conceptual Program b/ I Councillors Mayor/Chairperson 5 53 Standing Committee Chairpersons (7) 35 371 Other Councillors (10) 50 530 Subtotal- Councillors 90 954 II Municipal Staff Secretary/Commissioners 5 53 Engineering Department (5) 25 265 Health Department (3) 15 159 Accounts & Revenue Department (4) 20 212 Town Planning Department (3) 15 159 Planning Cell (2) 10 106 Other State Agency Staff (5) 25 265 Subtotal- Municipal & State Agency Staff 115 1,219
Subtotal- Conceptual Training Program Costs 115 1,219 19.5
C Implementation Training Program c/ I Councillors Mayor/Chairperson - - Standing Committee Chairpersons (7) - - Other Councillors - - Subtotal- Councillors - - II Municipal Staff Secretary/Commissioners 5 53 Engineering Department (5) 25 265 Health Department (3) 15 159 Accounts & Revenue Department (4) 20 212 Town Planning Department (3) 15 159 Planning Cell (2) 10 106 Other State Agency Staff (5) 25 265 Subtotal- Municipal & State Agency Staff 115 1,219
Subtotal- Implementation Training Program Costs 115 1,219 13.1
Total- Training Program Costs 43.2
a/ 1 session and a site visit to a Best Practice Project b/ 3 sessions during the first three years c/ 3 sessions during two years of implementation
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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