Environmental and Social Assessment Report Kerala Local Government Service Delivery Project

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Introduction: The 73rd and 74th Amendments to the Indian Constitution brought in a Local Government system as the third tier of governance with focus on economic development and social justice. Kerala embarked on a trajectory of rapid decentralization since October 1995. The State has moved ahead on the agenda of transferring functions and responsibilities to the local governments at good pace. As the decentralization movement in Kerala enters into its second decade, the GoK is keen to move forward on the next phase of institutionalizing local self- governments. In this context, the Government of Kerala is contemplating a new intervention in the shape of the Kerala Local Government and Service Delivery Project, for which it is planning to partner with The World Bank. The project has been designed with the basic objective of strengthening local government finances and service delivery.

Overview of the Kerala Local Government Service Delivery Project: The objective of this project is to enhance and strengthen the institutional capacities of local governments in Kerala to deliver services and undertake their basic administrative and governance functions effectively . Direct beneficiaries of the project will be the 978 GPs and 60 Municipalities in the State of Kerala. Investments made by the GPs and Municipalities will indirectly benefit the entire population (29.5 million) of the State of Kerala.

The project will have four components. A brief description of the project components is described below.

Component 1: Performance Grants . This component will phase in an annual, performance-based grant to all GPs and Municipalities in Kerala. The grant will be spent on both the creation and maintenance of capital assets used in service delivery. The overall goal is to improve GP and municipal performance in local governance and public service delivery. Allocation of this grant to the local government will be based on performance which will be determined through an Annual Performance Assessment exercise taken up under the project.

Component 2: Capacity Building. This component will provide capacity building inputs to strengthen and supplement the existing systems and human resource of municipalities and GPs to enhance their institutional performance. The focus will be in four core areas:

a. Development and improvement of administrative systems used by LSGs; b. Strengthening of capacities of LSGs personnel using these systems; c. Mentoring directed at human resource capacity improvement and supplementation; and d. Strengthening of the overall institutional capacities of the key organizations responsible for delivering LSG training in Kerala.

Environmental and Social Assessment Report Kerala Local Government Service Delivery Project

Component 3: Enhancing State Monitoring of the Local Government System. This component will provide support to strengthen the system of performance monitoring of GPs and municipalities in Kerala. This component will comprise four sub-components:

a. Establishment of a database of GP and municipal information. b. LSG Service Delivery Survey . c. Project Evaluations . d. Establishment of a Decentralization Analysis Cell (DAC) . Component 4: Project Management: This component will provide support to the Project Management Unit (PMU) within the LSGD in overall coordination, implementation, monitoring and evaluation of the project.

Need for an ESMF: The project has been classified under category B as per World Bank norms. This mandates the preparation of an Environmental and Social Management Framework (ESMF) as a necessary procedural requirement for project appraisal and adherence / compliance to the ESMF during project implementation, a vital performance criterion.

Given the inherent nature of the project goals, there are no concrete or physically well defined interventions proposed, which could be examined or assessed for likely environmental and social (E&S) impacts in order to develop an ESMF. However, many of the known functions and activities normally undertaken by the PRIs as a matter of routine can be examined.

Incidentally, the incorporation of the Part IX and IX A in the Constitution of India, made through 73rd and 74th Amendment in 1992, integrated ample provisions entrusting the Grama Panchayats and Municipalities to perform functions related to E&S management. Sustainable systems of natural resource management would require community participation in the planning and implementation of natural resource development programmes and the management of these resources. Local Governments are ideally placed to bring about this transformation in the local development paradigm. Therefore, even in this context, the ESMF will be a suitably relevant tool placed in the hands of local governments as it will empower them to manage E&S issues arising out of their own decisions and plans.

Overview of the Environment and Social Assessment Study: The environmental assessment study for the KLSGP has the following components:

• An in-depth understanding of the functioning of the local government including functions, authority, roles and responsibilities at various levels. • A detailed study and analysis of the existing State and Central legislation pertaining to activities and functions assigned to local governments; • An ESMF that identifies / recognizes possible E&S impacts of typical local government functions or interventions, recognizes the likely impacts and enables the users to take decisions that appropriately mitigate the same.

Environmental and Social Assessment Report Kerala Local Government Service Delivery Project

• An Institutional Plan that specifies roles and responsibilities various players along the LSG hierarchy have to perform / bear with respect to grant of E&S approval to any proposed LSG activity. • A Capacity Building Plan that strives to build the capacity of different stakeholders to mainstream E&S compliance in their day-to-day functioning. • An appropriate monitoring mechanism to track the implementation of the EMF.

Review of enactments, rules and regulations on environment: Prevailing and applicable laws and regulations, which are relevant in context of LSGs, have been compiled and reviewed. These are as follows:

Policy, Legislation and Regulation- Government of India

1. Policies • National Forest Policy 1988 • National Water Policy 2002 • National Health Policy 2002 • National Agricultural Policy 2003 • National Urban Transport Policy 2006 • National Environmental Policy 2006 • National Urban Housing and Habitat Policy 2007 • National Urban Sanitation Policy, 2008

2. Acts and Regulations

• Water (Prevention and Control of Pollution) Act 1974 • Water (Prevention and Control of Pollution) Cess Act, 1977 • Forest (Conservation) Act 1980 • Air (Prevention and Control of Pollution) Act, 1981 • Environment Protection Act 1986 • Coastal Regulation Zone Notification 1991 • Environmental Impact Assessment Notification 1994 • Bio-Medical Wastes (Management and Handling) Rules, 1998 • Plastics Manufacture, Sale and Usage Rules, 1999 • Municipal Solid Waste (Management and Handling) Rules, 2000 • The Noise Pollution (Regulation and Control) Rules, 2000 • The Biological Diversity Act, 2002 • National Rural Employment Guarantee Act, 2005

3. Programmes • Drinking Water Supply Programmes • Total Sanitation Campaign • Watershed Development Programme • Joint Forest Management Programme • Poverty Alleviation Programmes • Housing Programmes • Jawaharlal Nehru National Urban Renewal Mission

Environmental and Social Assessment Report Kerala Local Government Service Delivery Project

• Urban Infrastructure Development Scheme for Small and Medium Towns • Integrated Low Cost Sanitation Programme

Policy, Legislation and Regulation: Government of Kerala:

1. Policies

• Draft Environmental Policy, 2007 • Kerala State Water Policy 2007 • Kerala Biotechnology Policy • The Kerala Urban Policy • The Kerala Energy Policy • Draft Kerala Fisheries Policy • The Kerala Industrial and Commercial Policy 2007 • 6. The Kerala Housing and Habitat Policy 2007

2. Acts and Regulations • Kerala Panchayati Raj Act 1994 • Kerala Municipalities Act 1994 • Kerala Panchayat Raj (Issue of License to Dangerous & Offensive Trades & Factories) Rules, 1996 • The Kerala Municipality Building Rules, 1999 • The Kerala Protection of River Banks & Regulation of Removal of Sand Act, 2001 • The Kerala Groundwater (Control & Regulation) Act 2002 • Kerala Irrigation & Water Conservation Act 2003 • The Kerala Bio-diversity Rules, 2008 • The Kerala Conservation of Paddy Land and Wetland Act, 2008 • Draft Public Health Act for Kerala 2009 • Circulars to and by the LSG Department

3. Programmes • Food Security Mission • Malinya Mukta Kerala Action Plan • Animal Husbandry • Plantation Development • Housing Schemes • Wetland Eco-restoration Programmes • Rural Water Supply Schemes • Social Forestry Programmes • State Poverty Eradication Mission • Watershed Development Programmes • Fisheries Development Programme

Summary of the review: The review of the existing acts, rules, guidelines, notifications and circulars indicates that lot of powers and functions are vested with the Local Self Governments for the protection and conservation of the environment. Apart from

Environmental and Social Assessment Report Kerala Local Government Service Delivery Project these, there are many other E&S regulations and statutes, which indirectly requiring the Local Self Government to act upon by circulars and notices. It can be seen that The Kerala Panchayat Raj Act 1994 and the Kerala Municipalities Act 1994 gives ample power to the Local Self Governments in the matter of environmental protection.

The review of implementation status of Central Statutes indicates that the awareness of LSGs on the various provisions of the statutes is meagre. Therefore, there is an urgent need for a broad based campaign among the public and intensive Information, Education and Communication (IEC) campaign among the officials and other functionaries of LSGs to bring in more clarity for utilizing the provisions of various regulations on E&S protection. It has been found that the technical expertise and staff available with LSGs as well as the infrastructure facilities for monitoring are inadequate to handle local E&S issues and enforcement provisions in the E&S statutes effectively. There is a need to strengthen the infrastructure and man power of the LSGs to enhance their capabilities for enforcement and tackling local E&S issues, requirements of natural resource management, environmental management including sanitation, environmental monitoring etc.

The World Bank's environmental and social safeguard policies: The World Bank's environmental and social safeguard policies are a cornerstone of its support to sustainable poverty reduction. The objective of these policies is to prevent and mitigate undue harm to people and their environment in the development process.

The World Bank safeguard policies and their applicability to the project are as follows:

Safeguard Policies Triggered Yes No Environmental Assessment (OP/BP 4.01) X Natural Habitats (OP/BP 4.04) X Forests (OP/BP 4.36) X Pest Management (OP 4.09) X Physical Cultural Resources (OP/BP 4.11) X Indigenous Peoples (OP/BP 4.10) X Involuntary Resettlement (OP/BP 4.12) X Safety of Dams (OP/BP 4.37) X Projects on International Waterways (OP/BP X 7.50) Projects in Disputed Areas (OP/BP 7.60) X

Review of functions of LSGIs and their environmental implications: The three tier local self government institutions have mandatory functions, general functions and sectoral functions to be performed. The sectoral functions include agriculture, fisheries, animal husbandry, dairy development, minor irrigation, social forestry, small industries, housing, waters supply, electricity and energy, education, public works, public health and sanitation, social welfare, poverty alleviation, SC /ST development, sports and cultural affairs, PDS, natural calamities relief, and cooperation. Some of these functions include interventions

Environmental and Social Assessment Report Kerala Local Government Service Delivery Project on ecosystem resources, and hence have environmental implications. There are many functions which have beneficial impacts if appropriate protocols are observed. In addition, major development initiatives under the state development plan will also have implications at local level. Though some of the major and medium projects are brought under the purview of environmental assessment and correction mechanisms, many of the small scale interventions can cause adverse impacts which are not subjected to any check measures, as such.

E&S Analysis of Development interventions: In order to understand the functions, responsibilities and sectoral programmes that can cause adverse E&S consequences, an impact analysis is carried out using an activity-impact matrix. The analysis is carried out for mandatory, general and sector wise responsibilities of the three tier Panchayats and Nagarpalika and interventions by development departments under state and central schemes. This has enabled the delineation of impact causing functions and activities and enabled their grading into high, medium and low impact. Appropriate mitigation measures for the impacting functions and activities are also incorporated in the matrix.

In order to understand the development paradigm and environmental concerns of local bodies at various levels, structured focus groups discussions were organized in one Zillah Panchayat, three Block Panchayats, four Gram Panchayats and three Municipalities. The discussions helped to identify the gaps in the existing systems, processes and tools adopted for development planning, capacity and capability for tackling development issues, in general, and environmental management, in particular.

The Environmental and Social Management Framework: It is proposed that an Environment and Social Management Framework (ESMF) to be applied to sub-project activities to be taken up by Local Self Government Institutions (LSGIs) making use of the untied ‘Performance Grants’ provided to them under Component 1 of the project. The main purpose of the ESMF is to ensure compliance of sub-projects with triggered safeguards policies as well as applicable laws or regulations pertaining to Environmental and Social (E&S) aspects.

The ESMF comprises the following:

a) A detailed strategy and procedures for Environmental and Social (E&S) screening of sub-project proposals to identify the likely E&S impacts, if any and determination of counter measures to mitigate the same.

b) Roles, responsibilities and hierarchical line of authority of officials / functionaries involved at various levels of the LSG institutional set-up vis-à- vis various stages of E&S approval process

c) A capacity building plan for suitability developing capacities and capabilities in all players involved in E&S approval process

Environmental and Social Assessment Report Kerala Local Government Service Delivery Project

d) A monitoring mechanism that generates reliable information on effectiveness and quality of ESMF implementation thereby enabling the management to undertake corrective measures if and whenever necessary.

E&S screening will enable identification adverse environmental and social impacts, if any, of all sub-projects proposed to be financed from Bank funds. The screening will also indicate whether the identified impacts are or low intensity or medium intensity. This exercise will be undertaken as part of the Detailed Project Report (DPR) preparation activity by the working groups of the LSGs with technical assistance from the LSG Engineers. Block Engineers, proposed to be deputed to the project will provide facilitation and hand holding support wherever required. If potentially adverse E&S impacts are identified, the ESMF has provision to build in suitable mitigation measures to offset the identified adverse impacts. The outcome of E&S screening of any proposed sub-project could be as follows:

a) Denial of E&S approval to the proposed sub-project if it happens to figure in the regulatory list containing that are not permitted to be taken up by local regulations or Bank policies.

b) Grant of E&S approval to low impact activities subject to incorporation of appropriate mitigation measures suggested in the Environmental and Social Guidelines provided in the ESMF in the sub-project proposal.

c) Grant of E&S approval to medium impact activities subject to conduction of a Limited Environmental and Social Assessment (LESA), by an expert and incorporation of mitigation measures suggested therein.

Further important salient features of the ESMF are as follows:

• Technical sanction will be provided by the Implementing Authorities and final approval will be granted by the District Planning Committee (DPC).

• Correct implementation of the works and compliance to suggested mitigation measures is ensured by the Project Implementation Officer under the overall supervision of the LSG Committee. Full and accurate compliance to mitigation measures will be an important requirement for release of final installment of payment to the works contractor.

• Appropriate forms / tools and Environmental and Social Guidelines (E&SGs) are provided for use of functionaries involved in screening and grant of Environmental Approval. The forms will streamline the application E&S Approval process and also enable maintenance of documentary records of the same. The E&S guidelines list various LSG projects stating the potential impact, required mitigation measures, and the possible government schemes for convergence. In case of activities referred for LESA, a dedicated form has been provided for recoding and documenting its findings and recommendations.

Environmental and Social Assessment Report Kerala Local Government Service Delivery Project

• The annual performance assessments, which have been mooted to determine the eligibility of LSGs for award of untied performance grants will include ‘Performance with respect to ESMF implementation’ as an important component.

• Monitoring of environmental and social performance will be undertaken through two Technical and Service Delivery evaluations conducted by an independent specialized agency. The first evaluation will be undertaken along with the mid- term review of the project and the second, along with the final project evaluation. The evaluations will be conducted on a selected sample of LSGIs and will focus on effectiveness of ESMF implementation, effectiveness of compliance to mitigation measures and extent of avoided harm to E&S aspects.

• The Capacity Building Plan details out the kind of trainings to be imparted to various functionaries and officials to enable smooth implementation of the ESMF. The trainings will be conducted by KILA under Component 2 of the project.

• A Social Development Framework relating to land acquisition has been developed. A Vulnerable Groups Development Framework has also been similarly developed. The ESMF includes clear guidelines to be followed in case of land acquisition.

• An indicative budget has been provided that gives allocations for successful implementation of the ESMF.

• The Environmental Assessment Report of KLGSDP was prepared and validated after proper consultations by Government prior to the rolling out of the Project and the document has been published in the LSGD website and KLGSDP website for use by Local Body functionaries. In compliance with the Project Development Objective and implementation policy, ESMF was made an integral and mandatory part of KLGSDP and had been implemented in all Subprojects under Performance Grant during the Project cycle.

• ESMF made applicable in all stages of Performance Grant plan process – formulation, approval, implementation & post-implementation. The integration and implementation of ESMF has been strictly coordinated, monitored and evaluated for its compliance by KLGSDP during the completed project period. For the integration and compliance of ESMF, envisaged Capacity Building Trainings have been conducted by KLGSDP and tool kits developed for the integration of KLGSDP in plan process have been evaluated and ensured with the plan softwares of IKM. Regular monitoring and Technical evaluations have been carried out by KLGSDP for the compliance verification and due diligence of ESMF on a regular basis as per the Project mandate.

Environmental and Social Assessment Report Kerala Local Government Service Delivery Project

• The ESMF will apply to the works / activities taken up under the Block Grant component of the project. However in the future, the Local Self Government Department of the Government of Kerala could consider the option to apply it to all activities taken up by the LSG institutions irrespective of the source of funds.

• On the basis of ESMF implementation experience at grass root level and also based on the findings of Environmental Audit carried out by KLGSDP during its Mid Term Evaluation, it has been observed that, for the due diligent compliance of ESMF, certain revisions/modifications are required in the existing ESMF document.

• A series of Consultation Workshops have been carried out by KLGSDP participating Subject Experts in the field, World Bank Representatives, LB Elected Representatives and LB Implementing Officers. The outcomes of the consultation workshops were consolidated and integrated appropriately in the ESMF document and shared to World Bank for clearance.

• This exercise has been carried out based on the long term vision of the Project that, in future, ESMF is to be mandatorily applied to all the Subprojects to be taken up by LBs irrespective of funding source.

Environmental and Social Assessment Report Kerala Local Government Service Delivery Project

CChhaapptteerr 11 IInnttrroodduuccttiioonn

erala embarked on a trajectory of rapid decentralization since October 1995. The State has moved ahead at good pace by transferring not only functions and responsibilities but KKalso the authority to three tier Local Governments for carrying them out along with resources, both human and financial. The decentralization and strengthening of Local Governments has very high potential for achieving effective and efficient governance, especially in delivering minimum needs, public services and poverty alleviation. As the decentralization movement in Kerala enters into its second decade, the GoK is keen to move forward on the next phase of institutionalizing local self-governments. The Kerala Local Government and Service Delivery Project (KLGSP) has been mooted by the Government of Kerala with the basic objective of strengthening local government finances, administrative and management systems and quality of service delivery of local governments. It is seeking to partner with the World Bank in its endeavour to launch and implement this project. This report pertains to the Environmental and Social Assessment (ESA) of this proposed project, which is a mandatory condition for any World Bank funding.

11..11 DDeecceennttrraallliiizzaattiiioonn iiinn KKeerraalllaa The Kerala Panchayat Raj Act, was brought into effect in 1994. This Act was basically a mixture of the provisions of the old Kerala Panchayat Act and the provisions of the Constitution. The significant feature was the provision that the Government shall, after the commencement of the Act, transfer to PRIs all institutions, schemes, buildings and other properties connected with the subjects listed in the respective schedules dealing with these functions. A detailed account of Kerala’s decentralization is given in Annexure I.

The first elections to the three-tier Panchayat Raj set up were held in September 1995 and the Panchayats came into being on the 2nd of October. A significant event was the issue of a comprehensive government order in September 1995, transferring various institutions and staff to the three tier PRIs. Another noteworthy event was the budget of 1996 which had a separate document known, which detailed the grants-in-aid, and the schemes transferred to the local bodies. Thus, the allocation for the local bodies was seen as an independent subset of the State Budget giving it the stamp of legislative approval and protecting it from the vagaries of executive decision-making. The Government, on 17th of August, 1996, launched the People's Planning Campaign spearheaded by the State Planning Board in partnership with the Department of Local Administration (now appropriately renamed as the Department of Local Self Government), with the full association of political parties, non-government organizations, professionals and elected members. This was to harness public action for participatory planning at the grass roots level and to create a favourable environment for genuine decentralisation and powerful demand for radical reform in the legislative, administrative and developmental systems. It helped to formalize and institutionalise the paradigm shift to a people-centered, bottom-up approach to planning and development giving a direct and

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Environmental and Social Assessment Report Kerala Local Government Service Delivery Project continuing role to the people. Simultaneously the Committee on Decentralization of Powers under the late Dr. S. B. Sen, laid down clear and coherent first principles and recommended basic restructuring of laws of local government. These recommendations were incorporated into the Kerala Panchayat Raj Act in February 1999, providing the legal foundation for healthy and accountable institutions, the local governments.

1.1.1 Features of Panchayati Raj in Kerala There are certain peculiar Socio-political features with respect to the Panchayati Raj in Kerala. ‹ Large size of the Grama Panchayats (999 Nos) providing the natural “right size” for several development services, especially viable service areas for PHCs, Veterinary Hospitals, Krishi Bhavans and so on. ‹ Large size limiting the direct participation by people only at the ward level, i.e., the constituency of a Grama Panchayat Member. ‹ Difficulty of earmarking exclusive functions for Block Panchayats (152 Nos.) which they alone can perform better than others due to the large Grama Panchayats and relatively compact Districts (14 Nos). ‹ Rural-urban continuum, existing in the settlement pattern in Kerala. ‹ Influence of the political milieu, leading to elections on party basis and polarization in the political composition of local governments. This had led to the policy decision to treat PRIs as non-hierarchical, i.e., the District Panchayat has no control over Block or Village Panchayats.

Decentralization in Kerala is marked by a rare clarity of vision about the nature of local governments and the process of empowering them. This vision is best captured in the words of the Committee on Decentralization of Powers:

“Local Self-Government (LSG) is essentially the empowerment of the people by giving them not only the voice, but the power of choice as well in order to shape the development which they feel is appropriate to their situation. It implies maximum decentralization of powers to enable the elected bodies to function as autonomous units with adequate power, authority and resources to discharge the basic responsibility of bringing about "economic development and social justice". It is not enough to formally transfer powers and responsibilities to the Local Self Government Institutions (LSGIs). They have to be vested with the authority to exercise them fully, which requires concordant changes not only in the appropriate rules, manuals, government orders and circulars governing development administration, but also in the conventions, practices and even, the value premises of the governmental agencies. De- centralization does not mean just de-concentration where a subordinate is allowed to act on behalf of the superior without any real transfer of authority, or delegation where powers are formally conferred on a subordinate without any real transfer or authority. It implies devolution where real power and authority are transferred to enable autonomous functioning with the defined areas.

1.1.2 Empowering of Local Governments The transfer of functions and powers to the LSGIs and their exercise by them are governed by the following basic principles: i. Autonomy, basically functional, financial and administrative autonomy ii. Subsidiarity, transferring functions and powers from the level of the Grama Sabhas and Wards Committees and go to the higher level up to the Union Government. iii. Role clarity, calling for clear perception of role in the developmental process with unity of vision and diversity of means. iv. Complimentarity, related to the principle of role-clarity, consistent with local needs and priorities and convergence into an integrated local plan. v. Uniformity, implying the norms and criteria for selection of beneficiaries and sites or prioritization of activities and pattern of assistance within a given LSGI vi. People's participation, involving the people fully by empowering them to take their own decisions after analyzing the situation. vii. Accountability, to the people within their jurisdiction and in certain respects, to the whole nation to be ensured through social audit of the performance of the LSGIs and objective audit both concurrent and post-facto. viii. Transparency, ensuring decisions based on norms and criteria evolved on the basis of social consensus and rationale of the decision

1.1.3 Objectives of Decentralisation The following objectives are for decentralization in Kerala.

1. To improve the quality of investment by allocating resources for priorities fixed by the local people. 2. To facilitate emergence of local solutions to developmental problems through improved planning, better implementation, use of traditional knowledge and appropriate technology. 3. To exploit local production possibilities. 4. To enable people's participation leading to better vigil in execution of schemes followed up with better upkeep of assets. 5. To provide the enabling environment for people to make contributions in kind and cash for development programmes identified by them for priority action. 6. To bring about a convergence of resources and services to tackle development problems with greater vigour. 7. To unleash public action resulting in a demand led improvement in the delivery of developmental and welfare services.

1.1.4 Institutions of Local Government The Kerala Panchayat Raj Act particularly through the amendments brought about in 1999 has several innovative features laying a strong legal foundation for building up strong local self government institutions. The salient features are described below:

‹ Grama Sabha, equated with the electoral constituency of a Village Panchayat Member, as all the electors of the Ward are members of the Grama Sabha. 11

Environmental and Social Assessment Report Kerala Local Government Service Delivery Project

‹ Standing Committee System, every elected Member of the Local Government gets a chance to function in one Standing Committee or the other. ‹ Control by Government, limiting to general guidelines and intervention only through a process and in consultation with the Ombudsman or Appellate Tribunal ‹ Setting up of independent institutions, to reduce governmental control and foster the concept of self government such as • The State Election Commission. • The Finance Commission. • Ombudsman for Local Governments • Appellate Tribunals • Audit Commission • State Development Council The powers and responsibilities of the Grama Sabha as defined in the Act are given in Annexure II.

1.1.5 Decentralised planning Process The decentralised local level planning has been used as the engine for harnessing public action in favour of decentralisation. In order to shake the system and force the process, a campaign approach has been followed. This campaign has succeeded in setting the agenda for decentralised development. The salient features of the campaign methodology are described in Annexure III, stage by stage.

1.1.6 Finances of PRIs The first State Finance Commission, constituted in May 1994, analysed the resource mobilisation aspect in local governments and suggested fundamental changes to ensure rationalisation and control tax evasion. Though the Finance Commission recommended one per cent of the net revenue of the State to be devolved to local governments, the Government went far beyond and decided to devolve 35 to 40% of the Plan Funds to local governments

Only the Grama Panchayats and Municipalities are given the power of taxation. The establishment cost of Block and District Panchayats are met by a non-plan grant-in-aid from Government. The major taxes levied by Village Panchayats are Property Tax, Profession Tax, Entertainment Tax and Advertisement Tax, the last one practically not exploited. The assigned taxes by the State Government consist of Land Revenue and Surcharge on Stamp Duty and the shared tax is the Motor Vehicle Tax. The Kerala Panchayat Raj Act provides for levy of user charges and also availing of institutional finance by Panchayat Raj Institutions.

1.1.7 Performance Assessment Decentralization has had several positive spin-offs. They are summarized below: 1. The formula based devolution of funds has ensured that funds have flowed to every nook and corner of the State including the hitherto outlying and backward areas, facilitating public investment. 2. The cornerstone of Kerala’s decentralization has been people’s participation. The processes have been designed to facilitate intervention by the interested citizen at all

stages of the development process right from generation of developmental ideas through project planning, project implementation, up to monitoring. 3. Decentralization has resulted in better targeting especially in the case of individual benefits by insisting on a due process in the selection of beneficiaries. The quality of identification has certainly improved. 4. Decentralization has opened up opportunities for wide ranging reforms. Already right to information, prescription of dire process in giving of benefits, outsourcing of technical services, community management of assets and simplification of procedures have taken place. More reforms in the form of independent regulatory institutions, improved management systems both financial and administrative, enhanced accountability mechanisms etc., are in the offing. 5. Evolved an organic relationship between transferred departments and local governments and bring in role clarity. 6. Launched a comprehensive capacity building programme going beyond plan formulation and implementation and stressing management, governance and long term development issues 7. In development matters local governments have significant achievements. The important ones are:

• As is evident from the performance, local governments have done well in provision of minimum needs infrastructure both to households as well as to communities. This is particularly true of housing, sanitation, water supply, infrastructure of hospitals and schools and connectivity. • The introduction of the mandatory Women Component Plan has been a path breaker. Local governments have gradually matured in their planning for gender sensitive schemes. Earmarking of 10% of the plan outlay for women has helped considerably the disadvantaged groups among women like widows, and has improved the provision of services which are of direct benefit to women. The local governments have to be further guided to improve the quality of planning to engender it fully. • Local government plans have shown a strong anti-poverty bias. More funds have flown to families below poverty line through local governments than would normally have been. • Local governments have evolved good models in water supply, improvement of quality of education, improving agriculture productivity, etc. They have generally shown a preference for affordable technologies and appropriate solutions. There have been some positive steps in areas like integrated natural resource management

Certain innovations have been introduced in the planning methodology to make it more participatory and quality oriented. They include, preparation of a Vision document by a Working Group consisting of Experts drawn from among elected members, practitioners, officials, academicians and activists. The functions of this Working Group are:

o Analysis of the development sector(s)/area(s) assigned to it. o Evaluation of the performance during the last five years.

Environmental and Social Assessment Report Kerala Local Government Service Delivery Project

o Identification of existing problems, gaps, needs, possibilities. o Generation of a shared vision on the development of the sector(s)/area(s) o Suggesting an action plan to realize the vision with priorities and reasons for the priority. o Preparation of draft projects to implement the action plan. o Identification of spillover projects. o Updation of development reports. o Monitoring of projects every quarter. o Any other task assigned by the DPC or local government

11..22 EEnnvviiirroonnmmeenntt rreelllaatteedd FFuunnccttiiioonnss aanndd RReessppoonnssiiibbiiillliiittiiieess ooff LLooccaalll GGoovveerrnnmmeennttss Conservation and protection of the environment have been an inseparable part of Indian heritage and culture. Realizing its importance, necessary amendments have been made in the Indian Constitution from time to time. The incorporation of the Part IX and IX A in the Constitution of India, made through 73rd and 74th Amendment in 1992, enabled the Grama Panchayats and Municipalities to perform functions related to environmental management. Therefore, the Grama Panchayats are assigned with functions as much as 29 subjects, in the Eleventh Schedule of the Constitution. Among the 29 subjects, the following are related to environment management.

1. Agriculture including agriculture extension. 2. Land improvement, implementation of land reforms, land consolidation and soil conservation. 3. Minor irrigation, water management and watershed development. 6. Social forestry and farm forestry 11. Drinking water 15. Non-conventional energy sources 23. Health and sanitation, including hospitals, primary health centers and dispensaries.

Addition of part IX A through amendment in the Indian Constitution, the following subjects related to environment management in the 12th schedule of the Constitution have also been added as functions of Municipalities.

1. Urban planning including town planning 2. Regulation of land-use and construction of buildings 3. Water supply for domestic, industrial and commercial and solid waste management. 4. Public health, sanitation conservancy and solid waste management. 5. Urban forestry, protection of the environment and promotion of ecological aspects. 7. Provision of urban amenities and facilities such as parks, gardens, playgrounds. 9. Regulation of slaughterhouse and tanners

Therefore, the Local Governments have significant role in environment management.

The level of awareness regarding environmental issues is high in Kerala and therefore, Government of Kerala could undertake several programs and initiatives having linkage to environmental management and sustainable development. For example:

• The Panchayat Level Resource Mapping Programme, as a tool for environmental appraisal of resources and natural resource based planning at the village level and for realizing the goal of spatial planning. • The state wide campaign of preparing Watershed based Development Master Plan at the Block Panchayat Level (1990, 1998), as a tool for institutionalizing decentralized planning based on geohydrological unit. • The Kerala Total Sanitation and Health Mission (1999) for coordinating sanitation campaign in the state leading to almost 97% of the villages achieving Open Defecation Free status, a success story of the Total Sanitation Campaign of Government of India. • The Clean Kerala Mission (2003) for enabling the urban and rural local bodies to establish integrated municipal solid waste management system. • The Suchitwa (Sanitation) Mission (2003) for proving advisory support to the state government and handholding support to the local governments in the form of enabler in all respects (capacity building, project formulation, regulatory advice, top-up grant, technology provider etc) for achieving improved output in all sanitation components and sustainable outcome in the health and environmental aspects.

Though many of the known functions and activities, normally undertaken by the PRI institutions as part of their routine business, are examined implicitly for their likely impact on environment, there are no concrete or physically well defined procedure for explicit assessment.

11..33 NNaattuurraalll RReessoouurrcceess MMaannaaggeemmeenntt aanndd LLooccaalll GGoovveerrnnmmeennttss Natural Resources like land, water and biomass are fundamental factors that have a bearing on the livelihoods of the rural poor. Attempts by Local Governments to integrated natural resource management began in the Ninth Plan with the initiative for Block level Watershed Master Plan preparation. With the introduction of NREGA, Local Governments have embarked upon a trajectory of community based integrated natural resource management. The focus of the works permitted by the Act is on development of natural resources particularly land, water and biomass that would help in addressing drought, deforestation and soil erosion. A large majority of NREGA workers reside in areas where protective and restorative measures are urgently needed. The complementarity of NREGA would provide the much needed fillip to watershed development programmes of Local Governments.

Government of Kerala have decided that core objectives of the People’s Plan component of Eleventh Plan would be revitalization of agriculture and promotion of local economic development along with improvement of public services with focus on the poor. The methodology aims at improving the quality of planning and preparing District Plans, with enhanced participation of the people and support of professionals. The core of the new

Environmental and Social Assessment Report Kerala Local Government Service Delivery Project methodology would be preparation of integrated Watershed Management plans, following the principles of iterative, multilevel planning, with local watershed plans being prepared with a full understanding of the River Basin issues and being organically merged to form a River Basin Management plan. This process will be highly participatory, involving agricultural workers, farmers, all those dependant on natural resources and farm produce for their livelihood, and officials, professionals and activists concerned. The outputs would be implementable action plans for increasing production and productivity in agriculture and other allied sectors. The outcomes are expected to be progressive restoration of water- land- biomass balance and improved livelihood opportunities based on sustainable natural resources management. In order to make this happen conservation activities like afforestation, biomass development, soil and water conservation, water resource development and promotion of sustainable income generation activities would have to be attempted through community based organizations, ensuring micro watershed based governance of resources.

One of the objectives of decentralisation is to increase public participation in decision making. Public participation coupled with locally accountable people’s representatives will increase efficiency and equity in the use of natural resources. Sustainable systems of natural resource management would require community participation in the planning and implementation of natural resource development programmes and the management of these resources. This would be critical to build ownership and participation of the local community in the whole process. Local Governments are ideally placed to bring about this transformation in the local development paradigm.

Experience of decentralization shows that it is easier to sensitize Local Governments to the subtle links that exist between natural resources within a natural boundary called watershed. Local Governments have greater potential than line departments to push integrated natural resource management approach because of their effectiveness in: a) Empowering stakeholders b) Resolving conflicting interests of stakeholders c) Fostering adaptive management capacity d) Adopting inter-disciplinary solutions to developmental issues e) People’s participation

The Local Governments have specific role, especially in the areas of sustainable management of resources, land use, conservation of water, waste management, health and sanitation and environment protection. At present the Local Governments are in general utilizing the expertise and services available in various state Govt. agencies for the delivery of those functioning. The Local Governments have been so far successful in addressing some specific areas of environment management like solid waste management, slaughter house, public health and sanitation including managing of hospitals, using their own resources or mobilizing external support. Only very limited service are being rendered by Local Governments in the areas of water conservation and environmental protection. Strengthening of activities in the areas of land use, agriculture and social forestry, drinking water etc. is also crucial.

Local Governments can play significant role in conserving natural resources, maintaining micro environment prevailing in the area, conservation of water bodies, rain water harvesting etc. The Local Governments can play a role by coordinating the services / activities of relevant State Government agencies and ensure a holistic approach for protection of environment. Also the three tier system of Local Governments can be used effectively for bringing in a regional perspective in the planning process, especially in issues related to natural resource management and watershed management. Local Governments thus should play a more proactive role in bringing in sectoral and regional convergence in development interventions.

11..44 EEnnvviiirroonnmmeennttaalll CCaappaacciiittyy BBuuiiilllddiiinngg ooff LLooccaalll GGoovveerrnnmmeennttss iiinn KKeerraalllaa -- PPrreevviiioouuss AAtttteemmppttss Democratic decentralization and participatory planning initiated in Kerala during the last one and a half decade has been made significant efforts to bring the issue of natural resource and environment management in the development politics of the state. The People’s Planning Campaign realized the importance of natural resources and environment management for sustainable development of the state and for strengthening the primary production sectors and promoting livelihood of the poor and the deprived sections of the society. In order to facilitate this, massive efforts was taken for capacity building of different local government functionaries. The training programmes for local plan formulation included:

• Need Identification Phase (Grama Sabha) • Prioritization Phase (Development Seminar) • Projectization Phase (Working Groups) • Plan Formulation Phase (Elected Council) • Plan Appraisal Phase (Technical Advisory Group) • Plan Approval Phase (District Planning Committee)

Natural resource and environment management and sustainable development was one of the topics in the generic training module on local plan formulation for all the stakeholders of local governance. In the designing and implementing the training module on natural resources and environment the support of the state level scientific, environment and training institutions like, the Centre of Earth Science Studies ( CESS), Centre for Water Resources Development and Management ( CWRDM )Kerala Agriculture University ( KAU), State Institute of Rural Development (SIRD) and institutions managed by NGOs like, Integrated Rural Technology Centre ( IRTC), Peerumedu Development Society(PDS), Malanadu Development Society ( MDS) have been utilized by the State Planning Board.

As a result of the massive capacity building exercise during the People’s Plan Campaign, massive awareness to the different functionaries of local governments was created in the following subject areas:

• Sustainable Development and Environment Management • Agriculture Development and Enhancing Food Production • Sanitation and Solid Waste Management

Environmental and Social Assessment Report Kerala Local Government Service Delivery Project

• Sanitation and Water Management • Watershed Development and Strengthening Rural Livelihood • Environment Impact Assessment and Formulation of Development Projects

In order to bring in more focus on the issue of natural resources and environment management in development planning and to engage the community in the local level planning and implementation of local plans with implicit objective of sustainable development, new initiatives for capacity building was made by the state Planning Board during the close of the Ninth Plan period. Efforts have been made for organizing special Grama Sabhas for discussing issues related to watershed development and natural resource management. Local governments prepared baseline documents and discussion notes on issues related to watershed management and presented in Grama Sabha meetings. Grama Sabha meetings attended by common people delineated micro watersheds and discussed, in detail, the issues related to depletion of natural resources and management of environment.

Specific training programmes have been designed and implemented for the Block Level Watershed Committee members and the elected representatives and officers of different line departments transferred to local governments. This was to develop master plan for watershed based development by the Block Panchayats with a regional development perspective. The core subject areas of the training programme were:

• Basic concept of watershed development and natural resource management • Identification and delineation of micro watersheds • PRA Techniques for assessing the watershed development and natural resources management issues • Preparation of Baseline report on natural resources and environment • Preparation of Watershed Status Report: Structure and Methodology

During the Tenth Plan period, efforts have been made for institutionalizing the capacity building interventions. In order to facilitate this, appropriate manuals and guidelines have been prepared on various aspects of natural resources management, environmental assessment, sanitation etc as part of the Decentralization Support Programme (DSP). Efforts have also been made by the Government of Kerala to forge linkages between scientific institutions and local governments for improved capacity building and handholding support.

The important constraints and limitations of the capacity building efforts for natural resources and environment for local governments during the Ninth and Tenth Plan period are listed below:

• Lack of policy and legal framework for intervention of local government in natural resources and environment management • Capacity gaps of elected representatives and officials of local governments was not scientifically assessed and training was not properly designed • Scope and importance of sustainable development was not explicitly incorporated in the training modules

• No separate working group at the local level for watershed development and natural resources management • Lack of comprehension on the concept and methodology of integration of different development sectors with an overall objective of sustainable development • Lack of capacity of the plan appraisal team to assess the environmental impact of different development projects and effective tools and techniques for doing environmental assessment • Inadequacy of appropriate Environmental Management Framework.

11..55 KKeerraalllaa LLooccaalll GGoovveerrnnmmeenntt aanndd SSeerrvviiiccee DDeellliiivveerryy PPrroojjeecctt ((KKLLGGSSPP)) –– aann OOvveerrvviiieeww The objective of this project is to enhance and strengthen the institutional capacities of local governments in Kerala to deliver services and undertake their basic administrative and governance functions effectively . Direct beneficiaries of the project will be the 978 GPs and 60 Municipalities in the State of Kerala. Investments made by the GPs and Municipalities will indirectly benefit the entire population (29.5 million) of the State of Kerala.

The project will have four components with an estimated cost of US$338.4 million. A brief description of the project components is described below.

Component 1: Performance Grants . This component will phase in an annual, performance- based grant to all GPs and Municipalities in Kerala. The grant will be spent on both the creation and maintenance of capital assets used in service delivery. The overall goal is to improve GP and municipal performance in local governance and public service delivery. Allocation of this grant to the local government will be based on performance which will be determined through an Annual Performance Assessment exercise taken up under the project.

(i) Development and improvement of administrative systems used by LSGs; (ii) Strengthening of capacities of LSGs personnel using these systems; (iii) Mentoring directed at human resource capacity improvement and supplementation; and (iv) Strengthening of the overall institutional capacities of the key organizations responsible for delivering LSG training in Kerala.

a. Establishment of a database of GP and municipal information.

b. LSG Service Delivery Survey .

Environmental and Social Assessment Report Kerala Local Government Service Delivery Project

c. Project Evaluations .

d. Establishment of a Decentralization Analysis Cell (DAC) .

Component 4: Project Management: This component will provide support to the Project Management Unit (PMU) within the LSGD in overall coordination, implementation, monitoring and evaluation of the project.

11..66 CCoonntteexxtt ooff tthhee EESSAA The project has been classified under category B as per World Bank norms. This mandates the preparation of an Environmental and Social Management Framework (ESMF) as a necessary procedural requirement for project appraisal and adherence / compliance to the ESMF during project implementation, a vital performance criterion.

Incidentally, the incorporation of the Part IX and IX A in the Constitution of India, made through 73rd and 74th Amendment in 1992, has also integrated ample provisions entrusting the Grama Panchayats and Municipalities to perform functions related to E&S management. Sustainable systems of natural resource management would require community participation in the planning and implementation of natural resource development programmes and the management of these resources. Local Governments are ideally placed to bring about this transformation in the local development paradigm. Even in this context, the ESMF will be a suitably relevant tool placed in the hands of local governments as it will empower them to manage E&S issues arising out of their own decisions and plans.

The ESA and ESMF developed for this project shall have the following components:

• An ESMF that identifies / recognizes possible E&S impacts of typical local government functions or interventions, recognizes the likely impacts and enables the users to take decisions that appropriately mitigate the same.

• An Institutional Plan that specifies roles and responsibilities various players along the LSG hierarchy have to perform / bear with respect to grant of E&S approval to any proposed LSG activity.

• A Capacity Building Plan that strives to build the capacity of different stakeholders to mainstream E&S compliance in their day-to-day functioning.

• An appropriate monitoring mechanism to track the implementation of the EMF.

Environmental and Social Assessment Report Kerala Local Government Service Delivery Project

CChhaapptteerr 22 PPoolliiccyy,, LLeeggiissllaattiioonn aanndd RReegguullaattiioonn

22..11.. IIInnttrroodduuccttiiioonn he indiscriminate development in the State has led to various environmental issues; some of them are irreversible and catastrophic. These issue are linked to the present TTstatus/ use of natural resources such as land, water, air, flora, fauna etc., the drivers of environmental degradation such as population growth, inappropriate technology, consumption choices, poverty etc and undesirable impacts from intensive agriculture, improper landuse, indiscriminate mining, polluting industries, and unplanned urbanization. Over the years, it has changed the intrinsic relationship between people and ecosystems and caused drastic environmental degradation. The introduction of the Kerala Panchayat Raj Act 1994 and the Kerala Municipalities Act 1994 enables the Local Governments (LG) to have vast powers in all the matters in their jurisdiction including environment protection/ conservation. These Acts contain provisions for the prevention and control of pollution, elimination of nuisance and environmental protection and conservation. Apart from these, the Government of Kerala and the Government of India enacted a number of comprehensive laws, rules and regulations and issued guidelines and circulars pertaining to environmental protection which also cast various duties and responsibilities on the LGs. Thus, LGs have a major role in the environmental upkeep of the State. The salient aspects of the policy, legislation and regulation and programmes of Government of India and Government of Kerala are compiled and reviewed here.

22..22.. GGoovveerrnnmmeenntt ooff IIInnddiiiaa:: PPoollliiiccyy,, LLeeggiiisslllaattiiioonn aanndd RReegguulllaattiiioonn Conservation, protection and preservation of environment have been the cornerstone of the Indian ethos, culture and traditions. It has been enshrined in our Constitution also. India is one of the first in the world to recognize the importance of environmental conservation. The Indian constitution enjoins the “States to take measures to protect and improve the environment and to safeguard the forests and wildlife of the country”. It also makes it a “fundamental duty of every citizen to protect and improve the natural environment including forests, lakes, rivers and wildlife and to have ecological compassion for the living creatures”. Accordingly, legislation for environmental protection started long back in the country. However, attempts to make comprehensive laws on environment initiated only after the UN Conference on Human Environment at Stockholm on 5th June 1972. The Water (Prevention and Control of Pollution) Act 1974 has been the first legislative measure on environment in our country. Subsequently a series of legislations, rules, notification and guidelines have been introduced. Some of these enactments, rules and regulations, confer certain duties and responsibilities directly or indirectly, on the Local Governments. The following sections attempt a review of these policies, enactments and government programmes.

Chapter 2 Policy, Legislation and Regulation

22...22...11... PPoollliiicciiieess 2.2.1.1. National Forest Policy 1988 National Forest Policy, 1988 and the subsequent policy documents and approaches to forest conservation and management, together aim at ensuring environmental stability and maintenance of ecological balance. Direct economic benefits shall be subservient to the above. The objectives shall be: 1. Preservation/restoration of critical catchment areas of streams, rivers and other water bodies. 2. Conservation of natural heritage of local wild biodiversity through preservation of natural habitats 3. Increase forest and tree cover through identifiable stakeholder groups in private and public lands. 4. Produce fuel-wood, fodder and small timber requirements of the rural populations 5. Encourage efficient utilization of forest produce for reduction of consumption 6. Minimize pressure on existing forests

The Local Governments (LGs) shall i. work through identifiable stakeholder groups for bringing about 1⁄3rd of the area under forest/tree cover in ordinary areas and 2⁄3rd of the area in hilly regions and outside designated forest areas. The stakeholder groups shall be fully involved in preservation/creation and protection of natural habitats and the critical catchment areas mentioned as item 2 above. ii. support the stakeholder groups in the above activities iii. support conservation education iv. not support forest based enterprises except that at village/cottage level unless availability of raw materials are fully assured but without sacrificing the basic requirement of the local population. However, LGs can encourage forest based enterprises to raise required raw-materials (including NTFPs) through public participation outside forest areas. v. undertake environment protection and conservation outside forests through peoples participation at the local level. vi. establish local level institutions for afforestation of areas outside forests, formulate rules for the same and undertake afforestation. vii. encourage private forestry among land owners and viii. assist stakeholders in utilizing and marketing the products

It is suggested that the following areas may be selected for management outside designated forest areas: i. Ecologically fragile areas (Seashore, Inland water bodies and shores, wetlands, water courses etc. These are Public Trust properties with open and limited access) ii. Biodiversity rich habitats (sacred groves, bird habitats etc.) iii. Institutional lands (Land available with public and private institutions) iv. Public lands (Land available with various Public Departments) v. Plantations (Own/lease lands with private individuals and companies) vi. Homesteads

Environmental and Social Assessment Report Kerala Local Government Service Delivery Project vii. Any other land found suitable by the appropriate authority

The activities will be planned, implemented and the resources will be maintained and monitored by the institutions created for the purpose, viz. • Grama Haritha Samithy at Ward Level comprising of stakeholders • Panchayat Haritha Samithy at Panchayat Level comprising of all Grama Panchayat Ward Members - Ex-officio • Block Haritha Samithy at Block Level • District Level Haritha Co-ordination Committee at District Level chaired by District Panchayat President

For management in designated forest areas, PFM institutions in forest areas have to support the Forest Department in protection of forests and their biodiversity. In order to fulfill the objective they are required to prepare and implement plans for: • Management of fires to reduce forest degradation • Introduction of sustainable NTFP harvesting practices to reverse the declining trend of growth of valuable NTFPs. • Application of indigenous knowledge of local communities on forests and biodiversity management. • Promotion of biodiversity related intellectual property rights and harnessing this strength for forest management. • Promotion of non-invasive eco-tourism in forest areas • Stopping illicit collection of forest produce • Stopping illicit activities in forests. The Local Gov ernments in Kerala, in • Stopping further encroachment into forest general, are not making use of the areas. provisions contained in the policy, • Reversing localized environmental degradation even in the forest fringe Panchayats. such as seasonal water shortage and soil However, there are new initiatives erosion resulting from deforestation in being taken through the convergence watersheds/catchments. of NREGS and management plans of Forest Department. The ESMF The PFM institutions can undertake Village proposed will enable the Development Programmes (Eco-development identification of permissible Programmes) keep in view their commitment to the activities and encourage conservation measures forests and the biodiversity for which detailed activities are included in their micro plans. The micro plans look at various aspects of sustainable resource (forest as well as other resources) mobilization and incorporate activities for utilizing them for socio-economic and cultural advancement. The LSGs can contribute to PFM by supporting the PFM institutions for undertaking various activities suggested in the micro plans. Concerned Grama Panchayat Ward Member is an Ex-officio Member of the Vana Samrakshana Samitis (VSS)/Eco Development Committee (EDC) s (the PFM institutions in forest areas)

Chapter 2 Policy, Legislation and Regulation

2.2.1.2. National Water Policy 2002 The earlier National Water Policy was adopted in September 1987 and a revised policy has been adopted by the National Water Resources Council in April 2002. Recognizing water as a precious national asset, the National Water Policy embodies the Nation’s resolve that planning and development of water resources should be governed by the national perspective. The policy recognizes drainage basin as the basic unit of planning for development of water resources and calls for appropriate measures to optimize utilization of this resource not only for the benefit of the people living in the basin, but also for transfer of surplus water to meet the requirements of areas which have shortage of water. The principal elements of the policy are:- • Water is a precious national resource and its development should be governed by the national perspectives; • The available resources, both surface and ground water, should be made utilizable to the maximum extent; • Planning for water resources to be on the basis of the hydrological unit such as a drainage basin or sub-basin. Appropriate organizations should be established for the planned development and management of the river basins as a whole; • Water should be made available to areas where there is a shortage by transfer from other areas including transfers from one river basin to another, after taking into account the requirements of the basins ; • Project planning for development of water resources should, as far as possible, be for multiple benefits based on an integrated and multidisciplinary approach having regard to human and ecological aspects and special needs of disadvantaged sections of the society; • In the allocation of water, ordinarily first priority should be for drinking water, with irrigation, hydro-power, industrial and other uses following in that order • The ground water potential should be periodically reassessed and its exploitation regulated with reference to recharge possibilities and consideration of social equity; • Due care should be taken right from the project planning stage to promote conjunctive use of surface and groundwater; • Maintenance, modernization and safety of structures should be ensured through proper organizational arrangements; • There should be close integration of water use and land use policies and distribution of water should be with due regard to equity and social justice; • Efficiency of utilization should be improved in all the diverse uses of water and conservation consciousness promoted through education, regulation, incentives and disincentives; • Water rates should be such as to foster the motivation for economy in water use and should adequately cover the annual maintenance and operational charges and a part of the fixed cost; • Farmers should be progressively involved in the management of irrigation system; • There should be a Master Plan for flood control and management for each flood prone basin. In flood control and management, the strategy should be to reduce the intensity of floods by sound watershed management and provision of adequate flood cushion in water

Environmental and Social Assessment Report Kerala Local Government Service Delivery Project

storage projects wherever feasible to facilitate better flood management of each flood prone basin; • Land erosion by sea or river should be minimized by suitable cost effective measures. Indiscriminate occupation of, and economic activity in coastal areas and flood plain zones should be regulated; • Needs of drought-prone areas should be given priority in the planning of projects for development of water resources. These areas should be made less vulnerable through soil- moisture conservation measures, water harvesting practices, the minimization of evaporation losses, the development of ground water potential and transfer of surface water from surplus areas where feasible and appropriate. Pastures, forestry or other modes of Since Kerala has brought out its own development which are relatively less water Water Policy which brought out state demanding should be encouraged; specific priority and action areas in • A national information system on water resources consonance with the regional natural should be established with a net-work of data resource scenario, the National policy banks and data bases integrating and strengthening may not be of direct relevance to the ESMF the existing Central and State level agencies; • Training and research efforts should be intensified as an integral part of water resources development programmes.

The policy highlights overall water resource scenario in the country and suggests the importance of inter-basin transfer as a mode to achieve broad based equitable water resource distribution. It provides an overall guidance as to how water resource management can be achieved though may not be universally adoptable considering the socio-environmental variations across the country.

2.2.1.3. National Health Policy 2002 The main objective of this policy is to achieve an acceptable standard of good health amongst the general population of the country. The approach would be to increase access to the decentralized public health system by establishing new infrastructure in deficient areas, and by upgrading the infrastructure in the existing institutions. Overriding importance would be given to ensuring a more equitable access to health services across the social and geographical expanse of the country. Emphasis will be given to increasing the aggregate public health investment through a substantially increased contribution by the Central Government. It is expected that this initiative will strengthen the capacity of the public health administration at the State level to render effective service delivery. The contribution of the private sector in providing health services would be much enhanced, particularly for the population group which can afford to pay for services. Primacy will be given to preventive and first-line curative initiatives at the primary health level through increased sectoral share of allocation. Emphasis will be laid on rational use of drugs within the allopathic system. Increased access to tried and tested systems of traditional medicine will be ensured.

This Policy broadly envisages a greater contribution from the Central Budget for the delivery of Public Health services at the State level. The Policy highlights the expected roles of different participating groups in the health sector. Further, it recognizes the fact that, despite all that

Chapter 2 Policy, Legislation and Regulation may be guaranteed by the Central Government for assisting public health programmes, public health services would actually need to be delivered by the State administration, NGOs and other institutions of civil society.

Kerala’s achievements in Pubic health With regard to role of LSGIs in Health Sector, the sector have been remarkable, and policy points out that some States have adopted a decentralization and involvement of policy of devolving programmes and funds in the Local Self governments in public health sector through different levels of the health sector interventions have so Panchayati Raj Institutions. Generally, the experience far been largely positive. The has been an encouraging one. The adoption of such an national policy, as a whole brings in organizational structure has enabled need-based convergence with the local allocation of resources and closer supervision through governance and hence influences the ESMF. the elected representatives. NHP-2002 lays great emphasis upon the implementation of public health programmes through local self-government institutions. The structure of the national disease control programmes will have specific components for implementation through such entities. The Policy urges all State Governments to consider decentralizing the implementation of the programmes to such Institutions by 2005. In order to achieve this, financial incentives, over and above the resources normatively allocated for disease control programmes, will be provided by the Central Government.

2.2.1.4. National Agricultural Policy 2003 The National Policy on Agriculture seeks to actualize the vast untapped growth potential of Indian agriculture, strengthen rural infrastructure to support faster agricultural development, promote value addition, accelerate the growth of agro business, create employment in rural areas, secure a fair standard of living for the farmers and agricultural workers and their families, discourage migration to urban areas and face the challenges arising out of economic liberalization and globalization. Over the next two decades, it aims to attain: • A growth rate in excess of 4 per cent per annum in the agriculture sector • Growth that is based on efficient use of resources and conserves our soil, water and biodiversity; • Growth with equity, i.e., growth which is widespread across regions and farmers; • Growth that is demand driven and caters to domestic markets and maximizes benefits from exports of agricultural products in the face of the challenges arising from economic liberalization and globalization; • Growth that is sustainable technologically, environmentally and economically.

To attain these, the policy outlines the following focus areas. • Sustainable agriculture: The policy aims to promote technically sound, economically viable, environmentally non–degrading and socially acceptable use of country’s natural resources – land, water and genetic endowments. • Food and nutrition security: Special efforts will be made to raise the productivity and production of crops to meet the increasing demand for food generated by unabated demographic pressures and raw materials for expanding agro-based industries. A major thrust will be given to development of rain-fed and irrigated horticulture, floriculture,

Environmental and Social Assessment Report Kerala Local Government Service Delivery Project

roots and tubers, plantation crops, aromatic and medicinal plants, bee-keeping and sericulture, for augmenting food supply, exports and generating employment in the rural areas. Development of animal husbandry, poultry, dairying and aqua-culture will receive a high priority in the efforts for diversifying agriculture, increasing animal protein availability in the food basket and for generating exportable surpluses. An integrated approach to marine and inland fisheries, designed to promote sustainable aquaculture practices, will be adopted. • Generation and transfer of technology: NAP calls for according very high priority to evolving location specific and economically viable improved varieties of agricultural and horticultural crops, livestock species and aquaculture. There is added emphasis on regionalization of agricultural research based on identified agro climatic zones. • Inputs management: Adequate and timely supply of quality inputs such as seeds, fertilizers, plant protection chemicals, bio-pesticides, agricultural machinery and credit at reasonable rates to farmers will be the endeavour of the Government. • Incentive for agriculture: Agricultural policy repeats the policy concerns echoed in the beginning of green revolution to provide favourable economic environment for promoting farm investments through (1) removal of distortions in the incentives (2) improvement in terms of trade with manufacturing (3) external and domestic market reforms. • Investment in agriculture: Public investment for narrowing regional imbalances, accelerating development of supportive infrastructure for agriculture and rural development particularly rural connectivity will be stepped up. • Institutional structure: NAP advocates land reforms by focusing on consolidation of holdings, redistribution of surplus/waste land among landless, tenancy reforms, development of lease market and recognition of women’s rights in land. Other areas listed for policy attention are private sector participation through contract farming, assured markets for crops especially for oilseeds, cotton and horticultural crops, increased flow of institutional credit, strengthening and revamping of cooperative credit system. The policy states that the rural poor will be increasingly involved in the implementation of land reforms with the help of Panchayati Raj Institutions, Voluntary Groups, Social Activists and Community Leaders. • Risk management : Price fluctuation and natural The policy provides an overall calamities are recognized as main factor for framework for planning food security imparting instability to condition of farmers. NAP activities. However, the platform of suggests Agriculture Insurance Scheme covering all actions envisaged in the policy is very broad. As such it is not very farmers and all crops throughout the country with responsive to local environmental built in provision for insulating farmers from scenario and hence may not influence financial distress. Other measures suggested under the ESMF. this are (1) enhancing flood proofing and drought proofing through (2) ensuring remunerative prices through announcement of MSP and (3) future trading in agriculture products. • Management reforms: Effective implementation of policy initiatives will call for comprehensive reforms in the management of agriculture by the Central and the State Governments. The Central Government will supplement/complement the State Governments' efforts through regionally differentiated Work Plans, comprising

Chapter 2 Policy, Legislation and Regulation

crop/area/target group specific interventions, formulated in an inter-active mode and implemented in a spirit of partnership with the States.

2.2.1.5. National Environmental Policy 2006 The National Environment Policy is intended to be a guide to action: in regulatory reform, programmes and projects for environmental conservation; and review and enactment of legislation, by agencies of the Central, State, and Local Governments. The policy also seeks to stimulate partnerships of different stakeholders, i.e. public agencies, local communities, academic and scientific institutions, the investment community, and international development partners, in harnessing their respective resources and strengths for environmental management. The dominant theme of this policy is that while conservation of environmental resources is necessary to secure livelihoods and well-being of all, the most secure basis for conservation is to ensure that people dependent on particular resources obtain better livelihoods from the fact of conservation, than from degradation of the resource.

The principal Objectives of this policy are enumerated below. i. Conservation of Critical Environmental Resources : To protect and conserve critical ecological systems and resources, and invaluable natural and man-made heritage, which are essential for life support, livelihoods, economic growth, and a broad conception of human well-being. ii. Intra-generational Equity: Livelihood Security for the Poor: To ensure equitable access to environmental resources and quality for all sections of society, and in particular, to ensure that poor communities, which are most dependent on environmental resources for their livelihoods, are assured secure access to these resources. iii. Inter-generational Equity: To ensure judicious use of environmental resources to meet the needs and aspirations of the present and future generations. iv. Integration of Environmental Concerns in Economic and Social Development: To integrate environmental concerns into policies, plans, programmes, and projects for economic and social development. v. Efficiency in Environmental Resource Use: To ensure The policy statement is too generic. efficient use of environmental resources in the sense It also fails to address the current of reduction in their use per unit of economic output, focus on issues of climate change and to minimize adverse environmental impacts. global warming and their implications vi. Environmental Governance: To apply the principles on production sector. However, it of good governance (transparency, rationality, strengthen the relevance of ESMF as accountability, reduction in time and costs, the regulatory frameworks are mostly participation, and regulatory independence) to the linked to this policy statements management and regulation of use of environmental resources. vii. Enhancement of Resources for Environmental Conservation: To ensure higher resource flows, comprising finance, technology, management skills, traditional knowledge, and social capital, for environmental conservation through mutually beneficial multi-stakeholder partnerships between local communities, public agencies, the academic and research community, investors, and multilateral and bilateral development partners.

Environmental and Social Assessment Report Kerala Local Government Service Delivery Project

2.2.1.6. National Urban Housing and Habitat Policy 2007 This policy intends to promote sustainable development of habitat in the country with a view to ensuring equitable supply of land, shelter and services at affordable prices to all sections of society. Given the magnitude of the housing shortage and budgetary constraints of both the Central and State Governments, it is amply clear that Public Sector efforts will not suffice in fulfilling the housing demand. In view of this scenario, the National Urban Housing and Habitat Policy, 2007 focuses the spotlight on multiple stake-holders namely, the Private Sector, Cooperative Sector and Industrial Sector for labour housing and the Services/Institutional Sector for employee housing. In this manner, the Policy seeks to promote various types of public-private partnerships for realizing the goal of Affordable Housing For All.

The National Urban Housing and Habitat Policy, 2007 seeks to use the perspective of Regional Planning as brought out in the 74th Amendment Act in terms of preparation of District Plans by District Planning Committees (DPCs) and Metropolitan Plans by Metropolitan Planning Committees (MPCs) as a vital determinant of systematic urban planning. The policy seeks to promote a symbiotic development of rural and urban areas. In this regard, the policy seeks to ensure refinement of Town and Country Planning Acts (wherever required) and their effective implementation.

The focus areas of the policy are: • Provision of “Affordable Housing For All” with special emphasis on vulnerable sections of society such as Scheduled Castes/Scheduled Tribes, Backward Classes, Minorities and the urban poor. • The substantive gap between demand and supply both for housing and basic services. The policy seeks to assist the poorest of poor who cannot afford to pay the entire price of a house by providing them access to reasonably good housing on rental and ownership basis with suitable subsidization. The policy seeks to enhance the supply of houses especially for the disadvantaged, duly supplemented by basic services. • To develop innovative financial instruments like development of Mortgage Backed Securitization Market (RMBS) and Secondary Mortgage Market. It also seeks to attract Foreign Direct Investment (FDI) in areas like integrated development of housing and new township development. • To draw from innovations in the area of housing and infrastructure in India and elsewhere. It also gives a menu of actionable points which inter-alia includes Public-Private- Partnerships, conservation of natural resources and formulation of regulations & bye-laws that are environment friendly, investment-friendly and revenue-generating. • To emphasize appropriate fiscal concessions for housing and infrastructure. • To accelerate construction activities for giving a boost to employment for vulnerable sections of society. • To promote development of cost-effective, quality approved building materials and technologies with a view to bringing down the cost of EWS/LIG houses. • To complement poverty alleviation and employment generation programmes for achieving the overall objective of “Affordable Housing For or All” with sustainable development. • The roles of various stakeholders and specific action required pertaining to Land, Finance, Legal and Regulatory Reforms as well as Technology Support and Transfer.

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• To accelerate the development of small and medium towns which can serve as a generator of economic momentum with the objective of reducing the rate of migration to large cities. • The special emphasis on the development of North-Eastern States on account of the fragile ecology of the North-Eastern Region as well as the need to accelerate the pace of its socio- economic progress. In this manner, the Policy seeks to improve accessibility to the North- Eastern Region.

Role of Urban Local Bodies: The policy envisages that The Urban Local Bodies/Development Authorities/Housing Boards in consultation with all stakeholders: • Create a Supportive Environment i) Develop capacity building at the local level to design and take up inner-city development scheme, in-situ slum upgradation projects and slum relocation projects through suitable training programme. ii) Implement Central and State sector schemes pertaining to housing and infrastructure sector at the city level with appropriate provision for EWS and LIG beneficiaries in the Master Plan as well as Zonal Plans. iii) Enforce regulatory measures for planned development in an effective manner. iv) Check the growth of unauthorized colonies, new slums, unauthorized constructions, extensions of existing properties and commercialization of residential areas. • Take up Urban Planning v) Ensure that Development Plans/Master Plans as well as Zonal Plans and Local Area Plans are made and updated regularly so that adequate provision is made for the homeless as well as slum dwellers. vi)Prepare Master Plan and Metropolitan Plans in consonance with the concerned District Plan and the State Regional Plan. vii) Identify city specific housing shortages and prepare city level Urban Housing & Habitat Action Plans for time bound implementation. Wherever necessary and feasible, ULBs as well as other parastatal would provide viability gap funding especially for EWS/LIG housing and supporting infrastructure so as to ensure better affordability by the poor and financial viability of slum upgradation projects. viii) Promote planning and development of industrial The ESMF proposed for the project estates along with appropriate labour housing colonies will enable the achievement of one of serviced by necessary basic services. the important objectives of the ix) Incorporate provisions of model building bye-laws project such as ‘Devising adequate prepared by Town & Country Planning Organization safeguards for promoting a healthy (TCPO) and National Building Code in their respective environment with special emphasis on building bye-laws. Make suitable provisions in the ‘green lungs’ of the city in terms of Building Bye-laws for innovative energy conservation parks, botanical gardens and social forestry as well as green belts around practices and mandatory rain water harvesting for cities/towns’. specified owners of buildings. x) Devise capacity building programmes at the local level. • Promote Public-Private Partnerships xi) Promote participatory planning and funding based on potential of local level stakeholders.

Environmental and Social Assessment Report Kerala Local Government Service Delivery Project xii) Develop suitable models for private sector’s assembly of land and its development for housing in accordance with the Master Plan. xiii) Promote Residents’ Welfare Associations (RWAs) for specified operation and maintenance of services within the boundaries of given colonies as well as utilize their assistance in developing an early warning system relating to encroachments. xiv) Involve RWAs/CBOs in collaboration with conservancy organizations at the local level for effective cleaning of streets/lanes and solid waste disposal at the colony level. • Take up Special Programmes for Disadvantaged Sections xv) Devise innovative housing programmes for meeting the housing shortage with special focus on vulnerable groups. • Ensure Security & Safety xvi) Ensure Safety & Security in residential and institutional areas which may include construction of boundary walls around housing colonies as well as installation of security systems.

2.2.1.7. National Urban Sanitation Policy, 2008 The National Urban Sanitation Policy announced by the Ministry of Urban Development, Government of India on 12 November 2008 was a land mark policy statement, incorporating important goals and strategies, including: • All the cities and towns to be fully sanitized, healthy and livable, with focus on the poor and women. • All human excreta and liquid wastes to be disposed of safely. • Promoting proper functioning of network-based sewerage systems and ensuring connections of households to them wherever possible; • Promoting recycle and reuse of treated waste water for non potable applications wherever possible will be encouraged • Promoting proper disposal and treatment of sludge from on-site installations (septic tanks, pit latrines, etc.); • Ensuring that all the human wastes are collected safely confined and disposed of after treatment so as not to cause any hazard to public health or the environment. • States will be encouraged to prepare State Level Sanitation Strategies within a period of 2 years. Chapter on Draft Framework for Developing State Sanitation Strategies gives an outline of the strategy (Annexure I); • Identified cities will be urged to prepare model City Sanitation Plans within a period of 2 years. Chapter on Draft Framework for a City Sanitation Plan gives an outline of the plan (Annexure II); • Providing assistance for the preparation of Detailed Project Report (DPR) as per city sanitation plan as soon as requests for funding are received.

The National Policy lays out a vision for urban sanitation in India. It instructs States to come up with their own detailed state-level urban sanitation strategies and City Sanitation Plans. It moots the idea of totally sanitised and open-defecation-free cities as a target and the setting up of a multi-stakeholder City Sanitation Task Force to achieve this. Environmental considerations, public health implications and reaching the unserved and urban poor are given significant emphasis in the policy. 32

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Funding options are laid out including direct central and state support including through existing schemes, public-private partnerships, and external funding agencies. It directs that at least 20% of the funds should be earmarked towards servicing the urban poor. The Centre also plans to institute awards to the best performing cities, reminiscent of the Nirmal Gram Puraskar awards for villages.

The Millennium Development Goals (MDGs) enjoin upon the signatory nations to extend access to improved sanitation to at least half the urban population by 2015, and 100% access by 2025. This implies extending coverage to households without improved sanitation, and providing proper sanitation facilities in public places to make cities open-defecation free.

Overall, the policy focus on promoting newer technology initiatives will have a positive impact. Other policy suggestions on benchmarking, preparation of City sanitation plans and concepts of grading of urban areas are also expected to give an impetus to improving sanitation conditions in Urban areas. The i mplement ation of action plans, evolved from the national policy , in Kerala poses various constraints and challenges, such as: • High density of population and environmental vulnerability • Attitudinal change required to be brought in for community managed common sanitation facilities as envisaged in the national sanitation policy especially for slums and dense areas • Aquifer contamination and consequent threat for health and environmental safety calling for innovative strategies and technologies, especially in Kerala’s long coastal belt with high density of population and high water table • Land area constraints for safe disposal of wastes including human excreta • Proper restructuring of networking of drainages The ESMF proposed will address the above constraints and challenges.

22...22...22... AAccttss aanndd RReegguulllaattiiioonnss 2.2.2.1. Water (Prevention and Control of Pollution) Act 1974 The Water (Prevention and Control of Pollution) Act was introduced on 23rd March 1974 for maintaining and restoring the wholesomeness of water through the prevention and control of water pollution. The salient features of the Act are: • Constitution of Central and State Pollution Control Boards (PCBs). • Description on the powers of the State PCBs to advise the State government, plan comprehensive programmes, disseminate information, conduct investigations, research and training, establish or recognize laboratories, inspect installations, lay down standards, evolve methods for treatment, utilization and disposal of effluents, advise on locating industries and perform functions entrusted by Central PCB with respect to prevention, control or abatement of discharge of waste or effluent to streams, wells or land. • Empowerment of Central Government to direct Central PCB and Central and State Government to direct State PCBs • Empowerment of the State government to restrict the application to certain areas • Empowerment of the State PCB to obtain information on sewage or trade effluents or on establishments producing or proposing to produce effluents based on stipulated procedures

Environmental and Social Assessment Report Kerala Local Government Service Delivery Project

• Provision on prohibiting the disposal of polluting matter to streams or wells, restricting new outlets and discharges, acting on existing discharge of sewage and trade effluents, refusing or withdrawing consent and entertain appeal of aggrieved. • Requirement of the occupier of existing discharges at the time of introduction of the Act to apply for consent on or before such date as may be specified by the State Government by notification in the official gazette. • Requirement of the LSGs discharging sewage and sullage from their jurisdiction into various water bodies to take consent from the State PCB. • Requirement of the LSGs to draw up and implement programmes for collection and treatment of sewage • Requirement to specify the quality, quantity and location of discharge of sewage • Requirement of a new industry to obtain consent to establish from the State PCB • Prohibition of disposal of poisonous, noxious or polluting matters into any stream or well • Empowerment of the State PCB to carryout pollution prevention measures, if the person holding the consent fails to do so. • Empowerment of the State PCB to take emergency measures, in case any poisonous, noxious or polluting matter is present or entered into any stream or well. • Moving court intervention for restraining apprehended pollution of water in stream or wells • Rendering of help and assistance and furnishing of information for inspection and examination of records, maps, plans and other documents by the Local authorities to the State PCB for the discharge of its functions • Description of the penalty clauses and procedures therein including enhanced penalty after previous conviction The proposed ESMF provides an

opportunity to mobilize support for The State Pollution Control Board has been the State PCB for attaining improved constituted and over the years, it has established its compliance. In addition, the ESMF offices and laboratories in all the districts with a ensures that the LSGs obtain consent Central Laboratory at Kochi. The Kerala State PCB has for discharge of sewage and sullage, issued circulars to all the LSGs to issue license to an draw up & implement plans for sewage collection and treatment, as industry or commercial establishment only after envisaged in the Act. producing the ‘consent to establish’ and renew the license only after producing ‘consent to operate’ from the PCB under the Water Act 1974 and Air Act, 1981 except in the case of exempted category numbering about 57.

As a result of the enforcement, monitoring and dissemination efforts, all most all the major and medium industries, numbering around 600, have established Effluent Treatment Plants (ETP). However, there are issues of non-operation, mal-functions and inefficiency of ETPs and requirement of improving the monitoring aspects. In order to strengthen the monitoring mechanism, the PCB now proposes to carry out the collection and analysis of samples by themselves by collecting the required fee from the industry for those with capital investment more than Rs. 50 lakh. The PCB is also considering the possibility of initiating system studies on the ETPs in order to assess the system efficiency and recommend corrective steps. Though the enforcement actions have achieved almost total coverage in the case of major polluters in terms of establishment of ETPs, there is inadequacy in the monitoring of ETP performances. In the case of small polluters, the reach of PCB is negligible. There are about 2.5 lakh small scale 34

Chapter 2 Policy, Legislation and Regulation industrial units, and only about 10% of these are brought under the consent regime of PCB. There are various complaints of pollution from the SSI units which are dealt on a case to case to basis and priority set on an adhoc manner. Therefore, in the case of small scale industries, the enforcement of the act can be better achieved through the LSGs, provided they generate technical support locally. In the case of major and medium industries, there is requirement of enhanced measures and monitoring, wherein the role of LSGs as a watchdog is very significant.

2.2.2.2. Water (Prevention and Control of Pollution) Cess Act, 1977 The Water (Prevention and Control of Water Pollution) Cess Act was introduced on 7th December 1977 to augment the resources of the Central and State Pollution Control Boards and to encourage the industries and local bodies to reduce the consumption by imposing a charge on the water consumed for various purposes. The salient features of the Act are: • Levy and collection of a cess on water consumed by an industry (listed in Schedule 1 of the Act) and supplied by a local authority entrusted with the duty of supplying water • Affixing of meters for the purpose of measuring and recording the quantity of water consumed or supplied • Furnishing of monthly water cess return to the State PCB in the prescribed form • Assessment of cess and responsibility of the State Government for collection and payment to the Central government and recovery clauses as in the case of land revenue • Rebate of 25% to the complying industries and local authorities • Empowerment of official to enter any premises for testing of correctness of meters affixed. • Exemption of water cess by Central Government to certain industries • Evoking penalty clauses only after giving ample opportunity to be heard • Imposing interest of 2% on arrear cess, penalty up to 100% of the arrear cess and imprisonment and fine on default • Rate of cess applicable based on the purpose and quantity of water consumed.

The act was amended in the year 2003 by incorporating the following clauses: • "Industry" includes any operation or process, or treatment and disposal system, which consumes water or gives rise to sewage effluent or trade effluent, but does not include any hydel power unit • Empowerment of Central government to exempt the levy of water cess based on conditions pertaining to manufacturing process, effluent, water source, effluent receiving body, unit water consumption, location of industry etc. • Revision of cess for consumption of water for different purposes In Kerala, about 600 industries are bro ught under this Act and the Cess is being collected by the PCB. The responsibility of supply of drinking water in the State has been entrusted with the Kerala Water Authority (KWA), except in Trichur City Corporation. The Cess collection from KWA could be realized only to the extent of about 18%. More community water supply schemes are envisaged wherein the role of LSGs will be significant. Therefore, ESMF, in a way, will enable improved compliance of the provisions of this Act.

Environmental and Social Assessment Report Kerala Local Government Service Delivery Project

2.2.2.3. Forest (Conservation) Act 1980 Forest Conservation Act- 1980 -an Act to provide for the conservation of forests and for matters connected therewith or ancillary or incidental thereto- is intended to safeguard forest lands from unauthorized diversions. The act states that no State Government or other authority shall make, except with the prior approval of the Central Government, any order directing- (i) that any reserved forest (within the meaning of the expression "reserved forest" in any law for the time being in force in that State) or any portion Only the Central Government is thereof, shall cease to be reserved; authorized to permit diversion of (ii) that any forest land or any portion thereof may be forest land for non forestry purposes. used for any non-forest purpose; Therefore, the LSGs will have no role (iii) that any forest land or any portion thereof may be except in assisting forest assigned by way of lease or otherwise to any private conservation activities through person or to any authority, corporation, agency or any schemes like the NREGA and enhancement of forest productivity other organization not owned, managed or controlled activities through stipulated by Government; stakeholder groups. The provisions of (iv) that any forest land or any portion thereof may be the acts fall under negative list as far cleared of trees which have grown naturally in that as the proposed ESMF is concerned. land or portion, for the purpose of using it for reforestation.

The Central Government may constitute a Committee consisting of such number of persons as it may deem fit to advice that Government with regard to the grant of approval for the above and any other matter connected with the conservation of forests which may be referred to it by the Central Government.

2.2.2.4. Air (Prevention and Control of Pollution) Act, 1981 The primary objective of the Air (Prevention and Control of Pollution) Act, 1981 is to provide for the prevention Control and abatement of air pollution. As the LSGIs at present does not have expertise in assessment, monitoring and enforcement capability, they rely on the services of Kerala State Pollution Control Board (KSPCB) in this aspect.

• As per section 448 of the Municipal Act, license for establishment of factory/ workshop shall be issued provided that if a declaration is given by the applicant recommended by the officer in the Industries Department or the Kerala State PCB authorized for this behalf to the effect that no pollution is involved. LSGI normally issues license to industry / establishment including residential flats, hotels and resorts only after producing consent to establish or consent to operate under the Water The proposed ESMF shall ensure Act and Air Act from the KSPCB. improved compliance of the • If the industry/establishment violate the conditions provisions of the Act informally due of the consent issued by the KSPCB, as per the to the environmental sensitivity build up within the LSG through Water Act and Air Act, punitive actions is being Environmental Assessment and such taken by way of issual of closure activities. order/suspension/cancellation of licenses issued. LSGIs usually suspend their license to the

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noncompliant industrial unit on receipt of recommendations from the KSPCB suggesting cancellation of license issued by LSGI. • LSGI have a role in formulating pollution control policies in the State under the Water Act and Air Act by serving as members of the State Pollution Control Board. As per Section 4(2) of the Water Act; 5 persons are to be nominated by the State Government from amongst the members of LSGIs functioning within the State to serve as members of the KSPCB.

2.2.2.5. Environment Protection Act 1986 The Government of India introduced a comprehensive law on environment called “The Environment (Protection) Act, 1986 on 23rd May 1986”. The Act empowers the Central Government to take measures to protect and improve environment including the prevention of hazards to human beings, other living creatures, plants and property. The salient aspects of the act are: • Empowerment of the Central Government to take all measures for the purpose of protecting and improving the quality of the environment and preventing, controlling and abating environmental pollution. • Co-ordination of actions by the State Governments, officers, and other authorities. • Planning and execution of nation-wide programme for the prevention, control and abatement of environmental pollution. • Laying down standards for the quality of environment. • Laying down standards for the quality of environment and emission or discharge of environmental pollutants. • Restrictions on locating industries, operations or processes or class of industries, operations or processes. • Laying down procedures and safeguards for the prevention of accidents which may cause environmental pollution. • Laying down procedures and safeguards for the handling of hazardous substances. • Inspection of any premises, plant, equipment, machinery etc and examination of manufacturing processes, materials or substances that are likely to cause environmental pollution and issue directions to take ameliorative steps. • Carrying out and sponsoring investigations and research relating to the problems of environmental pollution. • Preparation of manuals, codes or guides relating to This is an umbrella act under which a number of notifications have come up the prevention, control and abatement of in respect of coastal protection, pollution. environmental impact assessment, • Establishment and recognition of environmental biomedical waste management, solid laboratories institutions. waste management etc. The proposed • Collection and dissemination of information ESMF necessitates the compliance to relating to environmental pollution. various provisions of these • Constitution of authorities and appointment of notifications. officers, if necessary, for the purpose of exercising and performing the powers and functions conferred on it vide the act.

Environmental and Social Assessment Report Kerala Local Government Service Delivery Project

• Issuance of directions in writing to any person, officer, or any authority directing them closure, prohibition or regulation of any industry, operation or process or stoppage or regulation of the supply of water, electricity or any other service. • Directions on the penalty for contravention of the provisions of the act and rules such as imprisonment for a term extending up to 5 years and fine extending up to Rs. 5 lakh or both and additional fine of Rs. 5000/- per day if failure or contravention continues after the conviction. • Formulation of rules in respect of all or any of the matters referred above.

2.2.2.6. Coastal Regulation Zone Notification 1991 The Government of India issued the Coastal Regulation Zone Notification on 19th February 1991 under sections 3 (1) and 3 (2) (1) of the Environment (Protection) Act 1986 with objectives to protect our coastlines and to regulate the activities there. This rule applies to the coastal stretches of seas, estuaries, creeks, rivers and back waters which are influenced by the tidal action, up to 500m towards landward side from High Tide Line and land between the High Tide Line (HTL) and Low Tide Line (LTL). The distance from the HTL in the case of rivers, creeks, estuaries and backwaters shall apply to both sides and shall not be less than 100m or width of the river, creek, or backwaters whichever is less. The salient features of the notification are: • Provisions for prohibiting certain activities detrimental to environmental protection and regulating all other activities in the CRZ by classifying the coastal stretches into different zones namely CRZ I, II, III and IV and specifying development restrictions. • Preparation of Coastal Zone Management Plan (CZMP) for the state by identifying and classifying the CRZ areas in accordance with the guidelines provided to regulate the development and activities • Constitution of authorities at the State and Central level for monitoring and enforcement of the provisions, thereby certain activities notified in the rules are regulated with the clearance from the appropriate authority. • Specifications/guidelines for development of Beach Resorts/Hotels.

There are provisions for exemptions in the case of strategic installation, traditional livelihood activities and conventional/manual processes/interventions. The regulation of activities within the CRZ has been entrusted with the State and Central Coastal Zone Management Authorities based on the status report on the location of HTL The proposed ESMF shall enable the prepared by any of the six authorized agencies by the implementation of the regulations as Ministry of Environment and Forests, Government of the projects will be screened for India. The Centre for Earth Science Studies, permissible activities under the Thiruvananthapuram is an authorized agency in this notification. regard. Though the State has an approved Coastal Zone Management Plan (CZMP), demarcating different classes of CRZ, it requires modifications with respect to certain general and special conditions as stipulated by the Central Government. As such, lack of proper monitoring and enforcement mechanism has led to various violations, and the compliance status, in general, is poor.

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The Government of Kerala, in the Directorate of Panchayat issued a circular No. C3/21688/96 on 17/07/1996, directing the LSGs to permit constructions or any activities within the coastal regulation zones in accordance with the restrictions imposed by the CRZ Notification, 1991. The State Government also directed the LSGs to inspect the coastal areas and report the violations of the notifications to the State government for initiating legal proceedings against the violators. Within the provisions of the rule, regulation of certain activities like house construction, livelihood linked development activities etc can be done by the LSGs, provided they are equipped with database, especially cadastral maps enabling the delineation of the HTL.

2.2.2.7. Environmental Impact Assessment Notification 1994 In exercise of the powers conferred by sub-section (1) and clause (v) of sub-section (2) of section 3 of the Environment (Protection) Act, 1986, read with clause (d) of sub-rule (3) of rule 5 of the Environment (Protection) Rules, 1986 and in supersession of the notification number S.O. 60 (E) dated the 27 th January, 1994, except in respect of things done or omitted to be done before such supersession, the Central Government directed that construction of new projects or activities or the expansion or modernization of existing projects or activities falling under 39 types of projects under 8 categories entailing capacity addition with change in process and or technology shall be undertaken in any part of India only after the prior environmental clearance from the Central Government or as the case may be, by the State Level Environment Impact Assessment Authority (SEIAA), duly constituted by the Central Government under sub-section (3) of section 3 of the said Act, in accordance with the procedure specified in this notification. The Notification provides for: • Categorization of projects and activities to Category ‘A’ and Category ‘B’ based on the spatial extent of potential impacts and potential impacts on human health and natural and manmade resources • Constitution of State Level Environment Impact Assessment Authority (SEIAA) • Requirement of prior Environmental Clearance (EC) from the Central Government in the Ministry of Environment and Forests for projects and activities falling under Category ‘A’ and the SEIAA for projects and activities falling under Category ‘B’, before any construction work, or preparation of land by the project management except for securing the land, is started • Constitution of Screening, Scoping and Appraisal Committees at the Central and State or the Union territory level Government (EAC and SEACs) to screen, scope and appraise projects or activities in Category ‘A’ and Category ‘B’ respectively. • Process of prior EC after four stages of evaluation namely, Screening (Only for Category ‘B’ projects and activities), Scoping, Public Consultation and Appraisal • Period of validity of Environmental Clearance (EC) as 10 years in the case of River Valley projects, 30 years for mining projects and 5 years in the case of all other projects and activities with The notification covers only major a provision for extension for a maximum period of projects and the local bodies have no 5 years by the regulatory authority direct role in the enforcement of its provisions. However, the • Post EC Monitoring and submission of half-yearly representatives of the LSGs play a compliance reports in respect of the terms and major role in public consultation process. The projects which are outside the ambit of this notification95 only fall under the purview of the

proposed ESMF. Environmental and Social Assessment Report Kerala Local Government Service Delivery Project

conditions stipulated while providing prior environmental clearance • Treating any project or activity specified in Category ‘B’ as Category A, if located in whole or in part within 10 km from the boundary of: (i) Protected Areas notified under the Wild Life (Protection) Act, 1972, (ii) Critically Polluted areas as notified by the Central Pollution Control Board from time to time, (iii) Notified Eco-sensitive areas, (iv) inter-State boundaries and international boundaries. • Exemption from prior EC if any Industrial Estate/Complex/Export Processing Zones /Special Economic Zones/Biotech Parks/Leather Complex with homogeneous type of industries or those Industrial estates with pre –defined set of activities (not necessarily homogeneous, individual industries including proposed industrial housing within such estates /complexes), so long as the Terms and Conditions of prior environmental clearance for the industrial estate/complex are complied with.

2.2.2.8. Bio-Medical Wastes (Management and Handling) Rules, 1998 The Bio Medical Wastes (Management and Handling) Rules was introduced by the Government of India on 20th July 1998 under section 5, 8 and 25 of the Environment (Protection) Act, 1986 with an objective to regulate the management and handling of Bio- medical wastes. The rules apply to all persons who generate, collect, receive, store, transport, treat, dispose or handle biomedical waste (BMW) in any form. The salient aspects of the rules are: • Responsibility for handling BMW, without any adverse impact to the human health and environment, has been vested with the occupier of the institution generating such wastes • All hospital, nursing home, clinic, dispensary, veterinary institution, animal house, pathological laboratory, blood bank by whatever name they are called have been covered • Necessitates treatment and disposal in compliance with the standards specified and setting up of own treatment facility or linking it with a common facility • Classify BMW into 10 categories and prescribe specific Projects for facilitating the disposal mode implementation of this rule • Mixing of BMW with other wastes banned. in hospitals transferred to • Segregation of BMW to be ensured at the point of generation the LSGs shall come under • Ensuring storage as per colour coding and not beyond 48 the purview of the proposed ESMF. hours without permission. • Restricting transportation of untreated BMW only in authorized vehicles • Time limit prescribed for adoption of various handling and disposal facilities. • Responsibility to LSGs to set up common disposal sites for BMW.

The compliance to BMW (Management & Handling) can be assessed based on six components namely segregation, packaging, transportation, storage, treatment and disposal. If all these components are considered in strict terms, the overall compliance of the BMW rules in the state may not be more than 20%. The state has a total bed strength of about 1.10 lakh and only about 25000 beds are covered under the Rule through a common facility established by the Indian Medical Association (IMA) at Palakkad. It ensures transportation of segregated and labeled waste, their treatment and disposal. There is significant improvement in segregation of biomedical wastes in major government hospitals like district and general hospitals and private hospitals with bed strength more than 50. About 70-80% of such hospitals now practices

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segregation BMW. About 40-50% of the private hospitals have set up their own BMW treatment and disposal facility. The awareness on the various provisions of the rule is only moderate. Especially, the compliance by nursing homes, clinics, dispensaries, veterinary institutions, pathological laboratories, blood banks etc is poor.

2.2.2.9. Plastics Manufacture, Sale and Usage Rules, 1999 In order to regulate the manufacture and usage of recycled plastics, carry bags and containers, the government of India introduced a set of new rules under the provisions of section 3(2) and 25 of the Environment (Protection) Act 1986 on 2nd September 1999. The salient features of the rules are: • Restrictions on manufacture, sale, distribution and use of virgin and recycled plastic carry bags and plastic containers • Prohibition on manufacturing, stocking, distribution or selling of carry bags with thickness less than 20 micron. • Prohibition on storing, carrying, dispensing or packaging of foodstuffs in carry bags made of recycled plastics. • Stipulation of maintaining natural shade or white colour for carry bags and containers made of virgin plastics. • Usage of pigment colourants for carry bags and containers made of recycled plastics. • Provision for grant or renewal of registration for plastic recycling unit • Enforcement of the provisions contained in the notification by the Kerala State Pollution Control Board.

The powers to check the use, collection, segregation, transportation and disposal of carry bags or containers, use of recycled plastics for carrying foodstuffs etc has been delegated to the District Collector by the State Government.

The Government of Kerala, State Pollution Control Board and LSGs have initiated various measures for enforcement of the provisions contained in the rule. The State PCB has prohibited the manufacture, transport, storage, sale and use of plastic carry bags of thickness less than 30 microns. As per the order, the Secretaries of different LSGIs, Station House Officer of the concerned Police Station and the District Collector/Dy Superintendent of Police are made responsible for enforcement, prevention of violation of the order and overall responsibility of preventing violations respectively. In addition, some of the LSGs are pursuing projects for recycling of plastic discards and such projects will have to be brought under the proposed ESMF

2.2.2.10. Municipal Solid Waste (Management and Handling) Rules, 2000 The Municipal Solid Wastes (Management and Handling) Rules, 2000 was introduced on 25th September 2000 under section 3, 6 and 25 of the Environment (Protection) Act, 1986. The rule is applicable to every Municipal authority and makes them responsible for collection, segregation, storage, transportation, processing and disposal of municipal solid wastes (MSW). The salient features of the rules are:

• Requirement of the Municipality to obtain authorization from the State PCB to set up waste processing and disposal facility including landfills

Environmental and Social Assessment Report Kerala Local Government Service Delivery Project

• Obligation of the Municipality to submit annual reports to the Secretary, LSGD (Urban) in the case of metropolitan city or to the District Collector in the case of all other towns and cities with a copy to the State PCB before 30th of June every year. • Responsibility of the State Government for overall enforcement of the rules through the Secretary, LSGD (Urban) or District Collectors • Responsibility of the State PCB to grant authorization based on stipulated timeframe and conditions and monitor compliance of the standards pertaining to groundwater, ambient air, leachate and compost quality and incineration. • Responsibility of the Central PCB to coordinate with the State PCBs for implementation and review of standards and guidelines and compilation of monitoring data • Specific procedure and compliance criteria for managing and handling MSW • Responsibility of the State PCB to prepare and submit an annual report to Central PCB regarding implementation by 15th of September. • Responsibility of the municipality to report any accident linked to MSW management to the Secretary, LSGD (Urban) in the case of Metropolitan cities and to the District Collector in all other cases.

The notification also specifies the compliance criteria with respect to different parameters, such as collection, segregation, storage, transportation, processing and disposal. It requires: • Prohibition of littering of MSW in cities, towns and in urban areas • Organizing house-to-house collection by adopting appropriate methods • Devising collection of MSW from slums and squatter areas or localities including hotels, restaurants, office complexes and commercial areas. • Usage of wastes from slaughterhouses, meat and fish market, fruit and vegetable market those are biodegradable. • Prevention of mixing of biomedical and industrial wastes with municipal solid wastes • Prohibition on burning of wastes • Prevention of stray animals from moving around waste storage facilities • Transferring of waste collected from residential areas to bins/containers/vehicles • Collection and disposal of horticultural, construction or demolition waste or debris • Promotion of waste segregation, recycling and reuse of segregated wastes • Awareness building and meetings for ensuring community participation • Establishment of hygienic and sanitary storage facility • Prohibition of manual handling of waste • Ensuring transportation of wastes in covered vehicles and preventing their scattering • Adoption of suitable technology or combination such technologies for processing of wastes so as to minimize burden on landfill • Restriction of land filling to non-biodegradable, inert or other wastes that are unsuitable for recycling or biological processing • Specifications for landfill sites including site selection, site facilities, land filling, pollution prevention, water and air quality monitoring, site plantations, closure and post-care of sites, provisions for hilly areas etc. • Specifications of standards for composting, treated leachates and incineration

Chapter 2 Policy, Legislation and Regulation

In order to enable the LSGs to decide on adoption of suitable technologies for processing of municipal solid wastes, a reference manual has been published by the Central Pollution Control Board in September 2002. The manual details all the technologies including composting, anaerobic digestion to recover bio-gas and electricity, conversion to refuse derived fuel and pyrolysis. It suggests that the selection of technology for a given city or town should be done only after initially evaluating the environmental safeguards, operation and maintenance, economic aspects, land availability and trained personal support.

The compliance to the rules in the State with respect to primary collection, segregation, primary and secondary storage, street sweeping, transportation, processing and disposal has been evaluated based on information from six municipalities. The status of compliance (as in the year 2005) compared to the National level has been given in the Table below. Unit Important components of MSW Management Overall Score Primary Primary Collection Segregation Primary Storage Secondary Storage Sweeping Transport Processing Disposal Malappuram 50 15 60 0 50 55 55 0 36 Chalakkudi 45 0 50 0 40 65 65 0 33 N.Parur 30 0 35 0 40 50 50 0 26 Alappuzha 55 20 60 20 50 65 25 0 37 Kayamkulam 25 0 25 0 30 35 0 0 14 Kottayam 50 0 50 20 50 60 0 0 29 Overall 43 6 47 7 43 55 33 0 29 Na tional 38 33 41 29 72 52 9 1.4 34

Considering the unsatisfactory level of compliance, the state have taken concerted measures for stepping up the compliance by the Municipalities. The collection, sweeping and transportation are being improved by As such, the integrated projects of this types fall appropriate scheduling, providing under the EIA Notification, 2006. However, the protective measures and enforcing its habitation practices in Kerala, characterized by use, covering the transportation individual house in separate parcel of land, enable the vehicles etc. The segregation of waste generator of waste to dispose it off in their own at source, the most important aspects premises; biodegradable as manure with or without for environmental upgradation and composting and non-biodegradable for recycling. The improvement of processing and disposal proposed ESMF will be relevant to such projects. efficiency is being attended to through consistent campaigns and facilitation. The secondary storage system, poorly and inadequately managed system, is being phased out through improved primary collection system. Many of the Municipalities have installed processing plants, using composting technology, and their requirement of upgradation and streamlining are being addressed. The lack of engineered landfill site in any Municipality is a serious concern as it has lead to open dumping in thickly populated and environmentally fragile regions causing considerable problems due to pollution. The reasons for the inadequacy or absence of engineered landfill, the lack of technical support, land availability and

Environmental and Social Assessment Report Kerala Local Government Service Delivery Project environmental monitoring of the processing and dumping sites, are being examined. The poor level of compliance is also due to poor coordination between the administrative, engineering and health wings and initiatives of the elected representatives.

2.2.2.11. The Noise Pollution (Regulation and Control) Rules, 2000 The increasing ambient noise level in public places from various sources such as industrial activity, construction activity, generator sets, loud speakers, public address systems, vehicular horns and other mechanical devices have adverse effect on the human health and the psychological well being of the people. Therefore, the Government of India introduced “The Noise pollution (Regulation and Control) Rules” on 14th February 2000 to regulate and control noise producing and generating sources with the objective of maintaining the ambient air quality standards in respect of noise. The salient features of the rules are: • Zonation of areas by the State government into industrial, commercial, residential or silence zones for implementation of noise standards for daytime and nighttime • Consideration of all aspects of noise pollution as a parameter of quality of life by the development authorities and local bodies to avoid noise menace and maintain ambient air quality standards in respect of noise • Declaration of area comprising not less than 100m around hospitals, educational institutions and courts as silence zones • Restrictions on the use of loud speakers/public address systems without written permission from the authority • Prohibition on the use of loud speakers/public address systems at night between 10 pm and 6 am, except in closed premises for communication within auditoria, conference rooms, community halls and banquet halls In general, the compliance level is • Provision to take actions if the sound level exceeds high as the enforcement agency has the standards by 10 dBA. reach up to the local level. The • Stipulation of air quality standard in respect of proposed ESMF is not relevant to the noise for different zones. provisions of this rule. o Industrial zone- 75 & 70 dBA Leq during daytime and nighttime respectively o Commercial zone- 65 & 55 dBA Leq during daytime & nighttime respectively o Residential zone- 55 & 45 dBA Leq during daytime and nighttime respectively o Silence zone 50 & 40 dBA Leq during daytime and nighttime respectively

2.2.2.12. The Biological Diversity Act, 2002 The term ‘biodiversity’, in a general perspective, is ‘the variety of life’, and it includes all the living forms in earth. Convention on Biological Diversity (CBD) states that: ‘biological diversity’ means the variability among living organisms from all sources including, inter alia , terrestrial, marine and other aquatic ecosystems and the ecological complexes of which they are part; this includes diversity within species, between species and of ecosystem. The Biological Diversity Act, enacted by the Govt. of India in 2002 is the Indian response to the CBD, with the main objectives of conservation of biological diversity, sustainable use of its components, and fair and equitable sharing of benefits arising out of utilization of genetic resources. The Biological Diversity Rules promulgated under this act came in force on 15 th of April 2004. For the conservation and regulation of access to the biological resources, the Act

Chapter 2 Policy, Legislation and Regulation envisages a three-tier structure comprising of a National Biodiversity Authority (NBA), State Biodiversity Boards (SBB) and Biodiversity Management Committees (BMC) at the local level.

The major role of BMCs is the documentation of the biodiversity in the local area with the participation of local people and preparation of People’s Biodiversity Register (PBR). Even though it is difficult to formulate a rigid methodology for collecting information for PBR, it may involve a series of components/steps such as: (i) creating awareness to local communities about the importance of BDA and PBR to ensure the involvement of the local people; (ii) setting up BMCs; (iii) delineation of user groups and identification of knowledgeable individuals such as local healers ( vaidyas ), fishermen, farmers, etc.; (iv) constitution of a broad based study team involving teachers, students, and local community members; (v) obtaining consent (prior informed consent) from the local people for sharing information; (vi) individual as well as group discussions members representing different user groups as well as local people and village assembly; (vii) participatory mapping of the landscape of the study area; (viii) preparing an inventory of locally known life forms; (ix) documentation of local geographic, social and economic setting; (x) identification of focal issues related to biodiversity in the study area; (xi) documentation of traditional knowledge related to biodiversity, ecosystems, agriculture, medicines, etc.; (xii) validation of data; (xiii) preparation of a database (PBR); (xiv) documentation of current and desired patterns of management of habitats and focal species; and (xv) preparation of a biodiversity management plan

The PBRs, if properly planned and prepared, would become authentic natural resource data base of every local body, as it envisages listing and mapping of all the ecosystems and biodiversity. Further, PBR also envisages preparation of action plans for the management of biodiversity and ecosystems at the grass root level, with the involvement of stakeholders at the grass roots. The citizen-scientist partnerships play an important role not only in documenting and validating data collected on biodiversity, but also in utilizing the bioresources sustainably. PBRs could be used as a tool for promoting this, as the data in PBRs will be validated by technical support groups. These citizen-scientist partnerships share two characteristics that make them central to developing biodiversity infrastructure. They provide data on spatial and temporal scales that are impossible to document using other methods. Second, they involve the public and students in local efforts that build community understanding and support for biodiversity issues. Further, this will also help commercialisation of products out of the TK of communities and sharing of benefits.

Environmental and Social Assessment Report Kerala Local Government Service Delivery Project

Section 37 of the Act provides for designating heritage sites. The purpose is not to cover the already designated protected areas such as national parks and wildlife sanctuaries but to cover The Kerala Biological Diversity R ules was enacted by the Government of Kerala in 2008. At state level, various approach papers and model bio-diversity registers have already been prepared. The Kerala State Biodiversity Board (KSBB) is in the processes of setting up BMCs at all the local bodies in Kerala. The BMCs, as and environmental knowledge group at the LSG level will strengthen the operationalization of the proposed ESMF sites rich in biodiversity, wild relatives of crops, or areas, which lie outside protected area network. The State government has to designate such areas in consultation with the LSGs, and to frame rules for conservation and management of such heritage sites. This would facilitate management of biodiversity hotspots in the state, which now remains outside the protected area network.

2.2.2.13. National Rural Employment Guarantee Act, 2005 NREGA guarantees at least hundred days of wage employment in every financial year to every household whose adult members volunteer to do unskilled manual work. Its auxiliary objectives are to (i) regenerate natural resource base of rural livelihoods (ii) strengthen grass root process of democracy and (iii) infuse transparency and accountability in local governance. The distinguishing features of the Act are (i) focus on rights based frame – work (ii) demand- based approach (iii) focus on accountability, transparency and social audit.

It makes Government legally accountable for providing wage employment for those who seek it. The choice of works suggested in the Act has predominant focus on natural resource management and therefore addresses causes of chronic poverty.

Central Government shall meet the cost towards the payment of wage, 3/4 of material cost and certain percentage of administrative cost. State Government shall meet the cost towards unemployed allowance, 1/4 of material cost and administrative cost of State council. Adult members of rural households submit their name, age and address with photo to the Gram Panchayat. The Gram panchayat registers households after making enquiry and issues a job card. The job card contains the details of adult member enrolled and his /her photo. Registered person can submit an application for work in writing (for at least fourteen days of continuous work) either to panchayat or to Programme Officer. The panchayat/programme officer will accept the valid application and issue dated receipt of application, letter providing work will be sent to the applicant and also displayed at panchayat office. The employment will be provided within a radius of 5 km: if it is above 5 km, extra wage will be paid. If employment under the scheme is not provided within fifteen days of receipt of the application, daily unemployment allowance will be paid to the applicant.

Chapter 2 Policy, Legislation and Regulation

In Kerala, Local Governments have been given a central place in the planning and implementation of NREGA. Compared to the earlier wage employment programmes there have been significant achievements under NREGS. They are:

(i) A combination of transparent processes and procedures, local action and constant vigilance and totally corruption free implementation The contributing factors being: • A clear policy decision to implement the scheme strictly according to the letter and spirit of the Act involving the Panchayats. • The firm rejection of the opinion for implementing the scheme merely for public works and as an asset focused programme • Ignoring the arguments that the demand for unskilled labour is very limited in Kerala and as the wages are much higher than the statutory minimum wages in more than 90% of the State • Organization of work through the Kudumbasree system and the poor have a stake in the work right at the beginning • Making the technocratic power to accord Technical Sanction, measure works and recommend payments more spread out and accountable through the Committee system and in case of difference of opinion the appellate system • Motivating a lot of social activists to keep constant vigil as a kind of continuous concurrent social audit • Giving special emphasis to the rights of workers and their awareness of entitlements. In a state where workers are fairly well organized this has resulted in their jealous guarding of their privileges. • Ensuring all the payments only through individual bank accounts of workers

(ii) Implementation of NREGA has contributed to very high levels of women empowerment, particularly in the following aspects. • The gender perspective gets built in automatically, as the work is organized by women’s groups • Nearly 80% of the workers have been women, as they are comfortable working along with their neighbors • Equal wages, for the first time, are paid which boosted the earnings of women. • As the wages are paid into Bank accounts the habit of thrift, already inculcated through the Kudumbasree activities, has been strengthened significantly • The intra-household status of the woman has improved commensurately as she controls substantial cash resources and withdrawal from the increasing Bank deposits on her own decision

(iii) NREGS has given rise to a new work culture. Hitherto workers were controlled by contractors and their middlemen who knew how to extract work. When NREGS began the out-turn was very poor as the workers could not be supervised properly. But soon the workers themselves realized that they would be losing collectively and a new internal dynamics evolved with peer pressure forcing workers to put in their maximum effort. At the same time a kind of social responsibility also became evident as more

Environmental and Social Assessment Report Kerala Local Government Service Delivery Project

capable workers became more than willing to put in extra effort to make up for those who genuinely could not do hard work beyond a point, like the women and the elderly.

(iv) Public works have gained respectability. Hitherto they were seen as highjacked either by a contractor or a local leader. Now the workers see it as their right. They tend to distinguish between wages provided by a contractor and wages directly given by the Panchayat. The latter is almost equated with a salary. This has motivated a large section of people who were hitherto unwilling to work and join the work force.

(v) NREGS has suddenly increased purchasing power of the poor and there is visible local economic development. This is particularly true of Wayanad which was ridden with farmer suicides. The peasants have managed to get substantial relief from NREGS by getting over their inhibition in working as labourers in richer farmer’s lands by moving on to the now-respectable public works.

(vi) NREGA has a niche for people who are willing to do physical labour and for whom an additional annual income of Rs.12,500/- obtained from the Scheme would be a substantial boost in income and purchasing power. Therefore right at the beginning a policy decision was taken to target the eligible families, visualizing NREGS as the nucleus of a concerted and convergent anti-poverty initiative.

(vii) Experience of the last three years of NREGA implementation reveal that in a State like Kerala with proven track record in participatory planning and with strong Panchayati Raj Institution, NREGA could dramatically increase levels of empowerment. The visible results include: • With trained facilitators to assist Grama Sabha, there has been a perceptible improvement in the quality of deliberations of Grama Sabha. NREGA has also strengthened the sub Grama Sabha fora of workers Grama Sabha and Neighborhood Groups (NHG) of women as they have been given clear role and responsibilities in Labour Budget preparation. • The planning capacity of Panchayats has increased in response to the challenge of planning for NREGA as it has multiple dimensions of space and time in relation to human and financial resources. • Panchayats are moving on to more complex areas of planning related to natural resource management. • NREGA has improved the capacities of panchayats for organizing works without a middleman and keeping a well designed set of records. • Panchayats have been able to forge a closer relationship with the working poor. • Natural Resource Management has been given policy priority. This has brought the Panchayat into closer interaction with the small and marginal farmers. Now with the accent on watershed management and food security, this relationship is expected to strengthen further. • Successful Village Panchayats have shown that they can bring about local economic development as well as provide social security through NREGA.

Chapter 2 Policy, Legislation and Regulation

• E-Governance has received a big boost. The entire Local Governments have moved on to online MIS under NREGA. • A social audit system has been put in place and accountability, both formal and informal has improved tremendously.

It is expected that once NREGS is in full steam, flow of funds to village panchayats could match the already high flow under peoples plan. The proposed ESMF will facilitate improved The most important lesson from NREGA environmental management of local areas experience is that just as People’s Plan was the through the LSG projects integrated with motive force which pushed decentralization in NREGS components the state, NREGA could be used for further empowering the panchayat raj system. It is as much an instrument for empowerment of Panchayat raj Institutions as an instrument for poverty reduction.

22...22...33... PPrrooggrraammmmeess 2.2.3.1. Drinking Water Supply Programmes Drinking Water Supply is a State subject and funds have been provided in the State budgets for drinking water supply right from the first Five Year Plan. A national water supply and sanitation programme was introduced in the social welfare sector in the year 1954 to augment the efforts of states. The Accelerated Rural Water Supply Programme (ARWSP), introduced in 1972-73 to assist the States and the Union Territories with 100% grants-in-aid, is one such scheme. The entire programme was given a Mission approach as part of the five Technology Missions launched in 1986. It was named as National Drinking Water Mission (NDWM), as one of the five Societal Missions and renamed in 1991 as as Rajiv Gandhi National Drinking Water Mission (RGNDWM). The Mission has the following programmes: a) Accelerated Rural Water Supply Programme(ARWSP) for supplementing the efforts of State Governments in providing access to safe drinking water to all rural habitations of the country. b) Sector reform programme for institutionalizing community participation in capital cost sharing, Operation & Maintenance and Water Quality Monitoring & Surveillance in identified pilot districts. c) Sub Missions, five in number, on problems of water quality and sources drying up needing construction of water conservation and recharge structures and other measures with the States planning and approving them on their own. d) Human Resource Development(HRD). e) Research & Development(R&D). f) Information, Education and Communication(IEC). g) Management Information System(MIS). h) Provision of water supply in rural schools. i) Monitoring & Investigation Units, Purchase of Rigs, Water Quality Monitoring & Surveillance, Monitoring &Evaluation Activity, Solar Voltaic Pumps and innovative projects.

The implementing agencies for the programme in the State is Kerala Water Authority (KWA) and it is envisaged to involve LSGs for the implementation of schemes, particularly in selecting

Environmental and Social Assessment Report Kerala Local Government Service Delivery Project the location of standpost, spot sources, operation and maintenance, fixing of cess/water tariff, etc.

From the financial year 1999-2000 onwards, incentives in the form of additional funds are given to the States which initiate steps for institutionalising community participation in the rural water supply programme. Sate Governments will implement the following broader elements:

• adoption of a demand-driven approach based on empowerment of villagers to ensure their full participation in the project through a decision making role in the choice of scheme design and management arrangement; • focus on village level capacity building (Village Water and Sanitation Committees); • ensure an integrated service delivery mechanism by streamlining the functions of the agencies involved in project implementation and; • 10% (at least) capital cost sharing and 100% sharing of O&M cost by users. The proportion of capital cost shared should increase proportionately with increasing service demand. This contribution can be in the form of cash or kind (labour, land or material) • Taking up of conservation measures for sustained supply of water through rainwater harvesting and ground water recharge structures.

The project envisages Constitution of Water and Sanitation Mission (WSM) at the State and District Level. The District Water and Sanitation Mission (DWSM) shall be a registered society to function under the supervision, control and guidance of Zilla Parishad. Wherever LSGs are firmly in place and are ready and willing to take up the responsibility of effective implementation of Sector Reform Project, they may be allowed to implement the project in those districts instead of the DWSM. In such districts constitution of DWSM may not be mandatory.

The guidelines also envisage the setting up of Village Water and Sanitation Committees (VWSCs) in each Gram Panchayat for implementation of Water Supply Scheme of their own choice with active participation of villagers. The composition and functions of the VWSCs can be regulated by a set of by-laws under the State Panchayati Raj Acts. The role of VWSC are: • ensure that GPs take up the issues related to this programme in each Gram Sabha meeting • ensure community participation and decision making in all scheme activities • arrange community contributions to capital costs, both in cash and kind (land, labour, materials) Such schemes proposed for the • open and manage bank accounts for depositing LSG will be subjected to the community cash contributions and for management of proposed ESMF procedure to ensure the required project funds that may be solely channelled through environmental management them; signing on behalf of the community, planning of needs so as to improve the water and sanitation activities sustainability aspects of the • procure construction materials/goods and selection of scheme contractors for construction activities related to RWS and Sanitation sectors

Chapter 2 Policy, Legislation and Regulation

• supervise the construction activities related to RWS and sanitation sectors • sign off on all completed works and community development activities • commission and eventual takeover of completed water supply and sanitation works through a joint inspection with DWSM, creating hygiene awareness, collection of funds through a tariff system for O&M of water supply and sanitation works • manage and finance O&M services, on a sustainable basis • empower women of the villages for O&M and day to day affairs of the scheme • involve in HRD and IEC activities of other villages after completion of own scheme

2.2.3.2. Total Sanitation Campaign “Total Sanitation Campaign (TSC)” emphasizes more on Information, Education and Communication (IEC), Human Resource Development, Capacity Development activities to increase awareness among the rural people and generation of demand for sanitary facilities. This will also enhance people’s capacity to choose appropriate options through alternate delivery mechanisms as per their economic condition. The programme is being implemented with focus on community-led and people centered initiatives. Children play an effective role in absorbing and popularizing new ideas and concepts and this programme intends to tap their potential as the most persuasive advocates of good sanitation practices in their own households and in schools. The main objectives of the TSC are to: • Bring about an improvement in the general quality of life in the rural areas. • Accelerate sanitation coverage in rural areas to access to toilets to all by 2012. • Motivate communities and Panchayati Raj Institutions promoting sustainable sanitation facilities through awareness creation and health education. • Achieve total sanitation coverage in schools by March 2008 and Anganwadis by March 2009 • Promote hygiene education and sanitary habits among students • Encourage cost effective and appropriate technologies for ecologically safe and sustainable sanitation • Develop community managed environmental sanitation systems focusing on solid & liquid waste management The LSGs have a key role in ensuring that

safety standards are met with all The programme has the following components: components of TSC e.g. the distance (a) Start-Up Activities between water source and a latrine– (b) IEC Activities adhering to the minimum distance for (c) Rural Sanitary Marts and Production Centers IHHL, school and AW toilets and (d) Provision of Revolving Fund in the District community sanitary complexes; regulating (e) Construction of Individual Household Latrines pit-depth, pit lining to prevent pollution, collapse of pit etc. The same will apply to (f) Community Sanitary Complex key hygiene behaviour such as keeping the (g) Institutional Toilets for schools & Anganwadi environment around hand pumps /water (h) Solid and Liquid Waste Management. sources clear and tidy and free of human and animal excreta. These can be ensured As per the Constitution 73rd Amendment Act, through the proposed ESMF 1992, Sanitation is included in the 11th Schedule. Accordingly, the TSC is being implemented by the LSGs. The Block and District level PRIs are to regularly monitor the implementation.

Environmental and Social Assessment Report Kerala Local Government Service Delivery Project

The incentive scheme, Nirmal Gram Puraskar (NGP) was launched by Govt of India in 2003 to give a fillip to the TSC by recognizing the efforts of PRIs and institutions who have contributed significantly towards ensuring full sanitation coverage in the areas of operation. The main objectives of NGP are to: a. bring the topic of sanitation to the forefront of social and political development discourse in rural India b. develop open defecation free and clean villages which will act as models for others to emulate c. give incentives to PRIs to sustain the initiatives taken by them to eliminate the practice of open defecation from their respective geographic area by way of full sanitation coverage d. increase social mobilization in TSC implementation , by recognizing the catalytic role played by organizations in attaining universal sanitation coverage.

Incentive amounts to PRIs are decided based on population criterion and it is to be used for improving and managing the sanitation facilities in their respective areas.

In Kerala, almost 97% of the Grama Panchayats , 83% of Block Panchayats and 57% of the District Panchayats are declared open defecation free and awarded Nirmal Puraskar. Altogether, the incentive amount is around Rs.77 crore. The State Government and the LSGs also set apart adequate fund for improving the sanitation through establishing systems for solid and liquid waste management, water quality surveillance, hygiene education, environmental upgradation in addition to human excreta management.

2.2.3.3. Watershed Development Programme The Department of Land Resources in the Ministry of Rural Development is administering the area-based watershed programmes for development of wastelands/degraded lands namely Drought Prone Areas Programmes (DPAP), Desert Development Programme (DDP) and Integrated Wastelands Development Programme (IWDP) and currently the Hariyali scheme to check the diminishing productivity of wasteland and loss of natural resources. The state was earlier covered under the IWDP and currently under Hariyali programme. The process have not yet trickled Under the Hariyali initiative, Gram Panchayats shall down fully and hence the implement projects under overall supervision and implementation of watershed guidance of Project Implementation Agencies (PIAs). programme is not very effective. An intermediate panchayat may be the PIA for all the Moreover, the guidelines are projects sanctioned to a particular Block/Taluka. In inadequate to address the case, these Panchayats are not adequately requirements of different eco- empowered, then the Zilla Panchayat can either act as regions. The issues with respect to water logged areas are left PIA itself or may appoint a suitable Line Department unaddressed. Also, the modality for like Agriculture, Forestry /Social Forestry, Soil convergence of ongoing schemes has Conservation, etc., or an Agency of the State not been highlighted in the Government/ University/Institute as PIA. Failing these guidelines. The proposed ESMF may options, the ZP/DRDA may consider appointing a facilitate the integration. reputed Non-Government Organization (NGO) in the

Chapter 2 Policy, Legislation and Regulation district with adequate experience and expertise in the implementation of watershed projects or related area development works as the PIA after thoroughly examining their credentials. The PIA facilitates the Gram Panchayat for preparation of watershed development plans through Participatory Rural Appraisal (PRA), undertake community organisation and training for the village communities, supervise watershed development activities, inspect and authenticate project accounts.

2.2.3.4. Joint Forest Management Programme After the National JFM guidelines were issued in 1990, 22 States are now implementing the programme. The JFM programme has evolved to different levels across these States. While West Bengal, Haryana and Orissa have completed two decades of JFM initiation, others like Assam, Sikkim and Mizoram have issued enabling orders in 1998 and accordingly the issues for which they are seeking solutions are different. The 1990 guidelines have paved the way for JFM across the country and 22 states have issued enabling orders till date. The major provisions of the National Resolution are: • Providing an enabling mechanism for participation of local communities and a platform for NGO participation, • Facilitating institution building and allowed flexibility in their formation, • Eliminating the involvement of commercial interests and the middlemen in the benefit sharing mechanism, • Providing forest usufruct benefits to participating communities, • Providing for wage employment to local communities for some forest related work, • Allowing for plantation of indigenous, multi-purpose species of trees and even grasses, shrubs and medicinal herbs, • Ensuring that the FD only harvests in accordance with a working scheme prepared in consultation with local communities.

2.2.3.5. Poverty Alleviation Programmes Swarnjayanti Gram Swarozgar Yojana (SGSY) The SGSY is a self-employment programme launched in 1999 with emphasis on the following: • Focused approach to poverty alleviation. • Capitalizing advantages of group lending. • Overcoming the problems associated with multiplicity of programmes. It is conceived as a holistic programme of micro enterprises covering all aspects of self employment viz. organization of the rural poor into self help groups (SHGs) and their capacity building, planning of activity clusters, infrastructure build up, technology, credit and marketing. The programme envisages to take the existing poor families above the poverty line.

The programme involves assistance to the BPL households, identified through BPL census, duly approved by the Gram Sabha. The beneficiaries could be individuals or groups. While the identification of individual beneficiaries is made through a participatory approach, the programme lays emphasis on organization of poor into SHGs and their capacity building. The SHG may consist of 10 to 20 persons. In case of minor irrigation, and in case of the disabled, the minimum is 5 persons. Under the scheme, progressively, majority of the funding would be

Environmental and Social Assessment Report Kerala Local Government Service Delivery Project for SHGs. Group activities stand a better chance of success because it is easier to provide back-up support and marketing linkages for group activities. Involvement of women members in each SHG is encouraged and at the block level it is stipulated that, at least half of the groups will be exclusively women’s groups. For providing a revolving fund to the SHGs, the DRDAs could use 10 per cent of the allocation under SGSY.

The SGSY is a credit-cum-subsidy programme, with credit as the critical component and subsidy as a minor and enabling element. Accordingly, the SGSY envisages greater involvement of banks and promotion of multiple credit rather than a one-time credit injection. The emphasis of SGSY is to identify four to five key activities are to be identified in each block based on the resource endowments, occupational skills of the people and availability of markets and these activities may be implemented preferably in clusters so that backward and forward linkages can be effectively established. The key activities are to be selected with the approval of the Panchayat Samiti at the block level and DRDAs/Zila Parishad at the district level. SGSY adopts a project approach with project reports being prepared for each key activity in association with banks and financial institutions. It is envisaged that a major share of SGSY assistance would be in activity clusters.

Swarna Jayanti Shahari Rojgar Yojana (SJSRY) The Swarna Jayanti Shahari Rojgar Yojana (SJSRY) is a unified Centrally Sponsored Scheme launched afresh in lieu of the erstwhile Urban Poverty Alleviation Programmes viz., Nehru Rojgar Yojana (NRY), Prime Minister's Integrated Urban Poverty Eradication Programme (PMIUPEP) and Urban Basic Services for the Poor (UBSP). The objectives of the programme include: • Gainful Employment to Urban Poor, Unemployed and Underemployed. • Setting up self Employment ventures and provision of wage-employment. • Community Empowerment through creation of suitable community structures on UBSP pattern. • Capability Building, Women's Group for small enterprises, Women's Thrift-cum-Credit Societies.

The pattern of Centre and State in 75:25 basis. The Scheme envisages in two key components:

1. The Urban Self Employment Programme (USEP) • Assistance to individual urban poor beneficiaries for setting up gainful self employment ventures. • Assistance to groups of urban poor women for setting up gainful self employment ventures. This sub-scheme is called "The Scheme for Development of Women and Children in the Urban Areas (DWCUA)". • Training of beneficiaries, potential beneficiaries and other persons associated with the urban employment programme for up gradation and acquisition of vocational and entrepreneurial skills. 2. The Urban Wage Employment Programme (UWEP) The basic objective of the scheme is to provide wage employment to those people below poverty line who are in need of such income, particularly during the lean season. While

Chapter 2 Policy, Legislation and Regulation

providing employment, durable community assets which are of continuing and direct benefit to the poor should be taken up. Only the basic needs infrastructure identified under the poverty alleviation sub-plan shall be taken up. The Material-Labour Ratio for the works taken up under the Programme shall be maintained at 60:40. However, if durable assets require a higher material component, it may be provided using Municipality's resources. The Urban Wage Employment Programme shall be dovetailed into State Sector Slum Development Programmes as well as National Slum Development Programmes. The work shall be implemented using rates fixed under the Public Works Rules applicable to Municipalities from time to time.

National Rural Employment Guarantee Scheme: A detailed discussion of this flagship scheme is provided earlier in this Chapter, section 2.2.2.13.

2.2.3.6. Housing Programmes Indira Awaas Yojana (IAY) The objective of IAY is primarily to help construction of dwelling units for people below poverty line living in rural areas belonging to SC/ST, freed bonded laborers and non SC/ST categories. Since 1999-2000, 80% of total allocated funds is earmarked for construction of new houses and 20% for upgradation of Kachha unserviceable houses. As per the guidelines, 60% of assistance should go in favour of Scheduled Castes beneficiaries. The f unding of IAY is shared between the Centre & State in the ratio of 75:25.

The selection of the beneficiaries is through the Gram Sabha and the beneficiaries have complete freedom as to the manner of construction of the house. No contractor is to be engaged for construction of the houses under IAY. The financial assistance provided for new construction is Rs.35,000/- per unit in plain areas & Rs.38,500/- in hilly/difficult areas. The assistance for upgradation of unserviceable kutcha house to pucca/semi pucca house is Rs.15,000/- for all areas. The assistance for credit-cum-subsidy scheme is also Rs.12,500/- per unit. Maximum of 20% of IAY allocation can be utilized for upgradation or/& credit-cum- subsidy scheme. Sanitary latrines and smokeless chullahs are an integral part of the IAY houses. The allotment of dwelling units under the scheme are in the name of the female member of the beneficiary household and male members are allotted houses only if there is no female member in the family.

2.2.3.7. Jawaharlal Nehru National Urban Renewal Mission (JNNURM) JNNURM supports 63 cities (7 mega cities, 28 metro cities and 28 capital cities and towns of historical/religious importance) across the country in terms of perspective plans called City Development Plans (CDPs) for overcoming the infrastructure gaps relating to water, sanitation, In Kerala, Thiruvananth apuram and sewerage, drainage and roads on the one hand and Kochi are covered under the scheme. Here, all the projects other than deficiencies in housing and basic services on the other those requiring environmental hand. The Mission approach is reform based with clearance from the Centre or State releases being made subject to implementation of agencies will be brought under the specified reform agenda. JNNURM encourages private proposed ESMF. sector participation with the Government providing

Environmental and Social Assessment Report Kerala Local Government Service Delivery Project viability gap funding through the Mission for large projects where the open tendering process shows specific shortage in economic viability.

2.2.3.8. Urban Infrastructure Development Scheme for Small and Medium Towns Urban infrastructure Development Scheme for Small & Medium Towns (UIDSSMT) aims to improve the urban infrastructure in a planned manner. The objectives are to: a. Improve infrastructural facilities and help create durable public assets and quality oriented services in cities & towns b. Enhance public-private-partnership in infrastructural development and c. Promote planned integrated development of towns and cities.

The duration of the Scheme is seven years from 2005-06 and it covers all cities/towns as per 2001 census, except that covered under JNNURM. Allocation of funds among states will be on the basis of the state’s urban population to the total urban population in the country (excluding cities covered under JNNURM). The components for assistance under the scheme will include all urban infrastructure development projects including water supply and sewerage. Land cost will not be financed except for acquisition of private land for schemes/ projects in the North Eastern States & hilly States viz. Himachal Pradesh, Uttaranchal and Jammu & Kashmir.

The outcomes envisaged for the scheme are: • Modern and transparent budgeting, accounting, financial management systems, designed and adopted for all urban services and governance functions • City-wide framework for planning and governance • Access to basic level of urban services for all urban residents • Financially self-sustaining agencies for urban governance and service delivery through reforms to major revenue instruments • Transparent and accountable local services and governance to citizens • Reduced cost and time of service delivery processes through e-Governance applications in core functions of ULBs/para-statals.

2.2.3.9. Integrated Low Cost Sanitation Programme The objective of the Scheme is to convert/ construct low cost sanitation units through sanitary two pit pour flush latrines with superstructures and In the State, there is a shortage of appropriate variations to suit local conditions (area around 89000 toilets in the Urban specific latrines) and construct new latrines where areas. The Government of Kerala has EWS household have no latrines and follow the entrusted Suchitwa Mission to inhuman practice of defecating in the open. This function as the nodal agency for would improve overall sanitation in the urban areas. coordinating the programme and so The scheme covers all the EWS households, which have far schemes for 8 Municipalities have dry latrines or having no latrines. The scheme been approved. These projects will be screened under the ESMF for envisages 75% Central Subsidy, 15% State Subsidy and ensuring incorporation of mitigation 10% beneficiary share and the upper ceiling cost of Rs. plans, if any, required. 10000/- for a complete unit of two pit pour flush

Chapter 2 Policy, Legislation and Regulation individual latrine with superstructure. In States falling in the category of difficult and hilly areas, the upper ceiling cost will be Rs. 12,500/- for one complete LCS Unit.

22..33.. GGoovveerrnnmmeenntt ooff KKeerraalllaa:: PPoollliiiccyy,, LLeeggiiisslllaattiiioonn aanndd RReegguulllaattiiioonn 22...33...11... PPoollliiicciiieess 2.3.1.1. Environmental Policy, 2007 The principal objectives of this policy are listed below. 1. Ensure conservation of natural resources, including species, ecosystem and genetic wealth. 2. Ensure equitable access to environmental resources to all the sections of the society, particularly the poor, whose survival depends on the availability of natural resources, and to ensure sustainable and equitable use of environmental resources for meeting their basic needs of present as well as future generations. 3. Ensure efficient use of environmental resources in the sense of reduction in their use per unit of economic output, to minimize adverse environmental impacts. 4. Mitigate the damage already caused to the environment and the ecosystems by suitable restoration/ameliorative measures, and prevent and control further deterioration of land, biomass, water and air which constitute our basic life-support systems. 5. Ensure that development projects are correctly translated and implemented so as to minimize their adverse environmental consequences and to integrate environmental concerns into policies, plans, programmes, and projects for economic and social development. 6. Apply the principles of good governance (transparency, rationality, accountability, reduction in time and costs, participation, and regulatory independence) to the management and regulation of use of environmental resources. 7. Ensure higher resource flows, comprising finance, technology, management skills, traditional knowledge, and social capital, for environmental conservation through mutually beneficial multi-stakeholder partnerships between local communities, public agencies, academic and research community, investors, and multilateral and bilateral development partners.

The policy is to strengthen Panchayats to the maximum extent, and gradually pass on to them the control and governance of those things that matter most to the people. The policy foregrounds people, and their participatory involvement.

2.3.1.2. Kerala State Water Policy 2007 The ownership of water resides with the State as a publicly owned resource with entitlement for individuals, communities and service providers to use water without owning it. In order to conserve and manage water, micro-watershed has been considered as a basic unit and river basin, as an integrated unit of micro-watersheds, shall define water rights and regulate water use. This will facilitate a resource-based approach, user participation and a sustainable and equitable water resource management.

The major objectives of this Policy are to:

Environmental and Social Assessment Report Kerala Local Government Service Delivery Project

• Adopt integrated and multi-sectoral approach for planning, development and management of water resources • Consider micro watersheds as the basic unit for the conservation and optimal utilization of water resources for achieving resource sustainability • Integrate the problems and prospects of water resource systems by considering river basin as the basic unit • Emphasize the importance of comprehensive watershed conservation and management plan, water quality management plan, long-term sub-basin and river basin operation and monitoring plan and State water resource plan • Enable appropriate institutional mechanism and legal measures for sustainable water resource development and management.

The policy envisages the following parameters and initiatives • The State shall follow the following priority for allocating water among the various categories of users- Domestic use being the first priority followed by Agricultural use, Power generation, Agro-based industrial use, Industrial and commercial use, All other uses. Government shall prioritize the availability of water to vulnerable groups and take steps for the sustainable management and development of each river basin. • The State shall establish a well-defined transparent system for water entitlements according to the guidelines and prescriptions made and accepted by the public at large. Government shall be guided by the realization that water as a community resource shall be primarily utilized for public benefit and individual’s interest shall not be allowed to take precedence over public interest. The commercial exploitation, use and transactions of water by private individuals and establishments shall be regulated. • In order to analyze and improve the performance of all water resource projects, benchmarking exercise shall be undertaken and completed in a time bound manner. In all irrigation projects, Participatory Irrigation Management (PIM) shall be implemented. Water audit shall be made compulsory for all the projects. • A state-level master plan for water resource development and management shall be prepared by compiling the status and action plans in each micro watersheds, sub basins and river basins in a hierarchical form. • Rainwater harvesting shall be given priority and promoted especially in the coastal and high range regions. Special incentives and support shall be extended to Local Self Governments and institutions for popularizing rainwater harvesting structures. • There shall be specific plan of actions for implementing location specific sewerage system in all urban areas and appropriate sanitation systems in all rural areas. • The effectiveness of existing regulatory measures brought about for controlling sand mining may be reviewed and made more effective and participatory in nature. • The implementation of projects for mitigating the problem of coastal erosion shall be undertaken based on detailed coastal zone management plan and in consultation with the respective Local Self Governments. • The existing institutions for governing water resources shall be reviewed with a view to attending to water resources on the basis of river basins and watersheds so as to ensure responsibility for protection, conservation, development and management of the resources of rivers. The reconstitution shall be done in such a manner that it facilitates technical 58

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support to Local Self Governments in water sector. Water Users Association /Group and such other informal organizational mechanisms shall be considered for facilitating sustainable and equitable distribution of water resources. • The Panchayati Raj institutions shall be capacitated for fulfilling their responsibilities in water and sanitation sector as envisaged in the Constitutional amendments. • The water charges for various uses shall be fixed in such a way that they cover at least the operation and maintenance charges for providing the service. The subsidy on water rates to the disadvantaged and poorer sections of the society shall be continued.

The policy also envisages new enactments to include the aspects of the water rights, prioritization of water use, groundwater exploitation, bulk supply, water harvesting, transfer of irrigation systems to users, use of irrigation water for drinking purpose, water pricing and subsidy norms, water conservation and harvesting, reconstitution of institutional mechanism etc. In the context of Local Governments, Micro-watershed as a planning unit is one of the key recommendation of this policy, which could be adopted for mainstreaming natural resource considerations into development planning.

2.3.1.3. Kerala Biotechnology Policy It is designed to catalyze the development and application of BT, taking advantage of the State’s resources and emphasizing its specific needs while meeting global requirements. The policy is aimed to ensure rapid exploitation of pipeline technologies and opportunities available in the State to products and processes and to promote the sustained build-up of an elite knowledge cadre and knowledge base through the strengthening and creation of educational and R&D institutions, establishing infrastructure and putting in place administrative, regulatory, legal and financial framework conducive for investment and growth of BT enterprises, for the economic development and human welfare.

The specific objectives and goals are : • Create a biotech knowledge base and human resources by establishing world-class centres of education and R&D in biotechnology by upgrading existing institutions and/or organizing new entities in the public and private sectors • Apply biotechnology tools to: (1) enhance the value with adequate assurance of quality in the State’s export-oriented resources such as spices and related plantation crops, sea foods and marine resources; (2) upgrade productivity and evolve new application in rubber, coconut, tuber crops and develop novel internationally competitive products; (3) ensure the sustainable and eco-friendly exploitation of the State’s forest, animal and marine wealth; (4) boost the State’s renowned health care practices of Ayurveda by synergising traditional knowledge with the scientific validation and technical product profiling and clinical data base and by evolving means to conserve and substantially use one of world’s most-valued biodiversity treasures located in the State. (5) promote traditional tribal and ethnic knowledge in medicine and other areas of human welfare by scientific validation and facilitating intellectual property rights.

Environmental and Social Assessment Report Kerala Local Government Service Delivery Project

(6) develop recombinant DNA and other modern technologies to combat the major health hazards of the State such as cancer, diabetes and cardio-vascular and other physiological disorders; to develop diagnostics and vaccines for overall healthcare as well as to protect the State’s agriculture, spice, plantation and forest crops, from biotic and abiotic stresses. (7) enhance the quality of the environment and promote sustainable development; (8) create, coordinate and disseminate a data base encompassing the above cited areas; (9) provide an ambience with a package of guidelines for financial support and incentives, legal and labour reforms as well as institutional autonomies needed for the healthy, efficient and competitive growth of biotechnology knowledge base and industry.

2.3.1.4. The Kerala Urban Policy The urban sector in Kerala comprise of five Municipal Corporations and 53 Municipalities. 25.97% of the population live in urban areas. The dispersed settlement pattern, as a result of historical trends, liking for homestead type development, comparatively developed infrastructure in urban and rural areas, availability of subsoil water etc can be considered as both a prospect and a problem. The urban spread demands more investment in infrastructure development and may result in depletion of agricultural areas. This trend may also increase transportation costs and energy consumption. The dispersed settlement system prevent primate city development and metropolitan city development and the problems connected there with. The rural to urban migration which accentuates urban problems and urban poverty is marginal in the state. The important aspects of the policy are the following:

• Acknowledges the poor resource generation capabilities of the ULBs • Government to perform the regulatory tasks • Feasibility of outsourcing of service, privatization, Public Private Participation (PPP) involvement of co-operatives and NGOs • Constitution of an Urban Regulatory Authority (URA), entrusted with the responsibility to ensure private sector participation in municipal services, prevent monopolies in municipal services, maintain quality of services, ensure reasonable cost of public services • Statutory powers to URA • Unified legislation on Town and Country Planning with wider provisions for preparation of State Spatial Development Plans, Regional Development Plans, District Development Plans, Urban Development Plans and Special Area Development Plans • Reservation of the right to designate critical land for its best use to government • Regulation of indiscriminate conversion of low lying urban areas using policies arrived at based on scientific studies • Levying development charges on every land transaction, new construction, and new commercial ventures that are coming up in any project area • Permission to high rise-high density developments only in areas where the infrastructure is well developed and/or the infrastructure capacity could be augmented without creating imbalance • Conservation of rich heritage structures and areas • Development of parks and open spaces including those of specialized nature such as amusement parks, recreational walkways etc.,

Chapter 2 Policy, Legislation and Regulation

• Approval for major development projects linked to their Environmental Impact Assessment (EIA) statements • Judicious land use planning adopting poly nodal planning approach • Feasibility of private sector participation for projects in transport sector • Highlights the role of ULBs in water supply, drainage and hygiene • Changeover of the accounting system in ULBs and conversion to double entry book keeping system as a priority area • Greater autonomy to Urban Local Bodies in the fixation of taxes, rates, user charges etc while removing chances of misuse, arbitrariness etc. • Augmentation of Municipal finance through floating of Municipal bonds • Review of the existing organizational structure under urban administration • Review and bring in required modifications in terms of professional capability and technical competence

2.3.1.5. The Kerala Energy Policy This policy is directed towards a greater thrust on overall development and promotion of renewable energy technologies and applications. “Renewable Energy” or “non-conventional energy” refers to energy from sun (thermal and photovoltaic), biomass (direct burning, gasification or methanation, including municipal solid waste) small hydel power plants upto 25 MW station capacity, wind, tide, wave, geo-thermal etc. The objectives of the policy are: o Development, propagation and promotion of Non-conventional Energy sources. o Exploitation of Natural resources to avail cheaper power. o Acceleration of identification, development and implementation of new projects with the long-term objective of substituting all non-renewable sources. o Development of Eco-friendly Projects. o Provision of “single window” service for technical consultation, sources of finance and project clearance. o Decentralised and microlevel power generation through renewable energy sources to reduce expenditure on transmission lines and transmission and distribution losses. o Self-sufficiency in Power in the near future. o Creation of suitable environment for private participation in Power Generation sectors. o Publicity of Renewable Energy through various media.

The policy envisages to equip the Local Self-Governments for developing wind, water and wave energy resources and designate ANERT as the State Nodal Agency for coordinating all activities relating to Renewable Energy Development. It also identifies all power producers, generating grid-grade electricity (quality of power produced should be equal or above the quality of power in the grid) including power producers from ‘stand alone projects’ using Non- conventional Energy Sources, are ‘eligible producers’. Companies, co-operative, partnerships, Local Self Governments, registered societies, NGOs, individuals etc. would also be eligible producers.

Energy conservation is a cheaper way to produce power. To this end, o Fluorescent and Compact Fluorescent Lamps (CFL) are made mandatory in all new Hospitals, Hotels, Government Offices and offices of Public Sector undertakings. In the 95

Environmental and Social Assessment Report Kerala Local Government Service Delivery Project

case of existing Hospitals, Hotels, Government Offices and Offices of Public Sector undertakings, where incandescent lamps are used at present, the same should be replaced by Fluorescent and Compact Fluorescent Lamps of prescribed quality within a period of 2 years from the date this policy comes into force. ANERT should ensure this with the help of Local Self-Governments and other Governmental organizations. o Solar Water Heating Systems are made mandatory in all Lodges and Hotels having 10 or more rooms and in hospitals with 20 beds or more. o Energy efficient devices such as, Improved Community Chulhas, gasifiers, etc. are made mandatory in all Hotels, Hostels and Schools with noon meal scheme and in all industries where firewood is used as a fuel.

Choice of Green Pricing is given to interested customers, who choose to pay extra for the energy generated from Renewable Energy Sources (Green Energy).

2.3.1.6. Kerala Fisheries Policy Kerala with a total terrestrial area of 38000 km 2 has a coastal line of 590 km. The coastal sea, which has the same area as that of the terrestrial area, is one of the most productive areas as far as fishing is concerned. The major share of exports from India in this sector is from Kerala. More than a million people belonging to the fishing communities live in 222 fishing villages in the State. The traditional skill in fishing, courage and sense of adventure are their assets. About 2 lakh people live on ancillary activities like processing of prawns and fish and marketing of fish for a living in Kerala. Some of the salient features of the policy are outlined below:

• Ban on trawling during the monsoons during which mechanised country boats with outboard engines and inboard engines above a specified horse power shall not be permitted to fish. • Registration with the Kerala State Fisheries Department shall be compulsory for all boats fishing in the seas near the coast of Kerala State. • Enforcement of controls on boats utilising the ring-seine regulating the size of the boats, and weight and size of the nets. • Ban on mini-trawling as well as pair trawling by utilising country boats in areas where traditional country boats operate. • Proposal for a Coastal Development Authority which provide maximum benefits to the fisher men operating in coastal areas and inland waters. • Steps for regulating the excess number of boats in the Kerala seas in consultation with experts, sectoral leaders and people’s representatives. • Ensure inclusion of only actual fishermen in the annual list of fishermen prepared by the Fishermen’s Welfare Fund Board. • Supply of identification cards with photographs to all fishermen, ensuring that ineligible people do not get the benefits meant for fishermen. • Time-bound-program to provide houses to actual fishermen with assistance from Central Fishermen’s Welfare Board, Hudco and other housing finance agencies. • Provide sanitation facilities in all fishing villages and installation of solar lamps in fishing villages where electricity is yet to reach. • Setting up of Matsyabhavans in coastal panchayats as agencies/ single window system for satisfying the various needs of the fishing communities. 62

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• Entrust the responsibility of scrutinising and approving fisheries related projects of the Local Governments to the officers of the Fisheries Department, Matsyafed or Adak considering them as Technical Experts. • Treat fish production, aquaculture and related activities as agricultural occupations for all practical purposes and extend the benefits given to farmers for electricity, water and other basic amenities to fisheries sector also. • Preparation of map of water bodies suitable for aquaculture with the help of Local Governments and Research institutions. • Persuade Fish and Prawn farmers for group farming and provide them technical assistance. • Formulate special programs for the conservation and development of fish and prawns under the threat of extinction. • Protect common water sources from the threat of pollution through legislation. • Introduce Group Insurance facilities in the field of aquaculture. • Formulate projects for developing fisheries wealth in the hither-to unexploited fields like integrated fish farming in inland waters, game fisheries etc. • Construct artificial reefs in the sea and lakes, sawing fish seed in public water bodies etc for preventing extinction of fish wealth and ensuring growth on a large scale. • Amend the existing acts and rules relating to land use to promote integrated farming of paddy-fish, paddy-prawn combinations. Organize awareness programs through ADAK to ward off any fears of harm to the paddy cultivation and employment loss. • Impose restrictions and controls on importing fish/prawn seed from hatcheries outside the state to check disease to prawns and fish and enforce licensing system for hatcheries. • Prepare a unified Inland Fisheries Act, modifying the Travancore-Cochin Fishing Act and Indian Fishing Act suitably and incorporating the provisions for development of inland fisheries. • Steps for obtaining licence from the National Aquaculture Agency for cultivation of prawn in areas under CRZ. • Promote aquaculture maintaining the ecological balance as per the guidelines of the National Aquaculture Agency. • Stipulate the handing over of inland waters under their administrative control of Panchayats, Municipalities, and Corporations only to the FFDA, for short term lease, five to seven years, and for long term lease, fifteen years or more. • Undertake fish farming in natural water bodies through fish farmers groups with training and organizational support of the FFDAs. • Assess and re-register fixed nets and Chinese nets under the proposed Inland Fisheries Act considering the importance of maintaining ecological balance of the estuaries. • Remove all the existing unlicensed nets in phases within the next five years, without taking into account the nature of ownership. However, those nets that have been operated for more than ten years and licensed to Welfare Organisations will be protected. • Launch Fisheries Tourism utilizing the potential of reservoirs, lakes, ponds, rivers and rivulets etc. The reservoirs in the high ranges are suitable for angling of Mahasir fish. Hatcheries will be established for the development of such fish wealth here. Steps will be taken to attract foreign tourist to such areas with the help of angling associations.

Environmental and Social Assessment Report Kerala Local Government Service Delivery Project

• Conduct seminars and exhibitions for awareness building on the potential of development of ornamental fisheries. • Develop mangroves on the beaches of lakes to conserve the genetic diversity of fish which is facing the threat of extinction. • Promote aquaculture including cultivation of prawns, crabs etc. in the lakes (Kerala has about 20000 hectares of lakes suitable for aquaculture development) with the assistance of Brackish Water Fish Farmers Agency. • Strengthen the activities of Matsyafed, a producer co-operative, in the field of marketing. • Set up clean fish markets with all modern amenities by Matsyafed with the help of Local Governments. • Organize small self help groups of unemployed women among the fishing communities and impart job-oriented training to them. • Launch a special literacy program concentrating on fishing villages and provide assistance to women’s associations of the community for activities on empowerment of women. • Launch special projects for providing safe drinking water in fishing villages including projects to harvest rain water, incentives for the education of the children of the fishing folk covering vocational courses in self-financing institutions also, steps to bring down the rate of drop-outs in schools with the help of voluntary organisations, child care centres in the fishermen’s villages to enable the girls who are compelled to stop education and act as baby sitters where both the parents have to go to work.

2.3.1.7. The Kerala Industrial and Commercial Policy 2007 The policy spells out the thrust areas, methods of intervention and strategy for the promotion and development of industrial and commercial activities in the State. The Policy does not assign any specific role to the Local Governments in the promotion and development of Industry and trade in the State, except promotion of micro and small enterprises using the funds and unused land of Local Governments. It also mentions about sourcing of a reputed consultant to identify the areas for utilising the entrepreneurship opportunities in the Government/Quasi Government/Local Self Government/ Private Sector. The policy recognizes the powers vested with Local Governments for establishment of infrastructural facilities and other common facilities to enable the developments of Industries to enhance local economic activities. In order to create and sustain an entrepreneurial environment at local level, interventions are identified in the following areas of activity. 1. Infrastructure facilities at reasonable cost to entrepreneurs after providing training. 2. Training to workers based on the requirement of the units to be established. 3. Promotion of household units and small business. 4. Handholding of the units till the activities is streamlined. 5. Establishment of common facility centres including testing facilities 6. Facilitation centres for assisting entrepreneurs to identify appropriate products and services 7. Formulation of viable project proposals complying the formalities with the Governmental agencies during the preliminary stages, sourcing of raw material, management of accounting function, marketing support, enabling institutional finance. 8. Facilitation for technical and technological support.

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The Local Governments has a lead role of facilitator in creating and sustaining entrepreneurial environment with in the overall frame work of the Policy, focussing on the development of household units, micro and small enterprises, and small business.

2.3.1.6. The Kerala Housing and Habitat Policy 2007 The Kerala Housing and Habitat Policy aims to: • Create adequate and affordable housing stock on ownership and rental basis. • Facilitate accelerated supply of serviced land and housing with particular focus to EWS and LIG categories and taking into account the need for development of supporting infrastructure and basic services to all categories. • Facilitate upgradation of existing decaying housing stock and deficient infrastructure of villages, towns and cities and comparable to the needs of the times. • Ensure easy accessibility of sanitation facilities and drinking water to all dwelling units. • Promote larger flow of funds to meet the revenue requirements of housing and infrastructure using innovative tools. • Provide quality and cost effective housing and shelter options to the citizens, especially the vulnerable group and the poor. • Use cost effective technologies for modernizing the housing sector to increase efficiency, productivity, energy efficiency and quality. • Harness technology particularly to meet the housing needs of the poor and also specific requirements of `green’ and sustainable housing. • Guide urban and rural settlements so that a planned and balanced growth is achieved with the help of innovative methods such as provision of urban amenities in rural areas (PURA) leading to in-situ urbanisation. • Develop cities, towns and villages in a manner which provide for a healthy environment, increased use of renewable energy sources and pollution free atmosphere with a concern for solid waste disposal, drainage, etc. • Use the housing sector to generate more employment and achieve skill upgradation in housing and building activity, which continue to depend on unskilled and low wage employment to a large extent. • Remove legal, financial and administrative barriers for facilitating access to tenure, land, finance and technology. • Continue the full subsidy based housing scheme for deserving poorest of poor, a progressive shift to part cost recovery-cum-subsidy scheme for housing needs of others, through a proactive financing policy including micro-financing, self-help group programmes. • Facilitate restructuring and empowering the institutions at state and local governments to mobilize land and planning and financing for housing and basic amenities. • Forge partnerships between private, public and cooperative sectors to enhance the capacity of construction industry to participate in every sphere of housing and urban infrastructure. • Meet the special needs of SC/ST/disabled/freed bonded labourers/ slum dwellers, elderly, women, street vendors and other weaker and vulnerable sections of the society. • Involve disabled, vulnerable sections of society, women and weaker sections in formulation, design and implementation of the housing schemes.

Environmental and Social Assessment Report Kerala Local Government Service Delivery Project

• Provide disaster resistant housing & habitat development from natural calamities like cyclone, flooding, landslide, tsunami and earthquake. • Encourage small scale production units for building materials and components. • Protect and promote cultural heritage, architecture, and traditional skills. • Establish a Management Information System in the housing sector to strengthen monitoring of building activity in the state through the office of the Housing Commissioner. • Restructure and strengthen the Kerala State Housing Board and KESNIK and network of Nirmithi Kendras. • Strengthen initiatives for creation of scientific and periodic data base on socio-economic and technological aspects on Housing Sector in Kerala and strengthening the office of the Housing Commissioner. • Ensure that the Housing Department and its agencies will take up a responsible role in the accomplishment of State initiated “EMS Sampoorna Parpida Padhathi”. • Remove bottlenecks and impediments related to legal, regulatory framework and revamping the existing laws and regulations to provide facilitating environment for housing initiatives.

The policy outlines the role of Local Self Government Institutions as to: • identify specific housing shortages and prepare local level Housing Action Plans. • devise programmes to meet housing shortages and augment supply of land for housing, particularly for the vulnerable group • support public/private/NGO/CBO sector participation in direct procurement of land for EWS groups. • plan expansion and creation of infrastructure services like network of roads for safe and swift commuting, adequate & safe water supply, efficient waste treatment and disposal, convenient public transport, adequate power supply, a clean & healthy environment, amenities consisting of educational and recreational facilities, medical facilities, rain water harvesting, etc. through direct efforts and incentivising the private/voluntary sector. • plan housing complexes and industrial estates which include a provision for hostel accommodation for working women, crèches and day-care centres. • Implement central and state sector schemes and programmes pertaining to housing and infrastructure sector. • enforce effectively regulatory measures for planned development. • Promote participatory planning and funding based on potential of local level stakeholders. • devise capacity building programmes at the local level

22...33...22... AAccttss aanndd RReegguulllaattiiioonnss 2.3.2.1. Kerala Panchayati Raj Act 1994 The Kerala Panchayat Raj Act introduced in 1994 gives vast powers to the Local Self Governments (LSGs) for the protection of environment. The salient features of the Act are given below: • All water bodies including rivers, lakes, water bodies, thodu, and canal, irrigation drainage, well, ponds etc and its banks are vested with the LSGs and their protection is the responsibility of the LSG.

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• LSG shall, as per section 219A, make arrangements for the o Removal of solid wastes generated in their area. o Sweeping and cleaning and keeping the streets, roads etc neat and tidy. o Collection and removal of solid wastes daily from private property. o Removal of solid wastes from bins and storage facilities on daily basis. o Providing storage facilities or bin for collection of wastes. o Providing covered transportation facilities for removal of wastes. o Avoiding nuisance from the water handling facilities. o Providing facilities for final disposal directly or through operators o Providing specified storage facilities for the solid wastes generated and collecting the wastes therein. o Keeping the storage facilities neat and disposing the waste as per the notice of the Secretary of respective LSGs. o Segregating and storing the waste as per the instructions of the Secretary for convenience of the waste collector. o Delivering the waste so collected to the persons notified by the LSG or to community storage facilities. o Entering into with persons /establishment by the LSGs for removal of wastes from their property as per the agreed terms and conditions. o Providing house-to-house collection system by the LSGs o Owning the solid waste generated as the property of the LSGs. o Notifying and acquiring suitable land for final disposal of solid wastes taking into account the environmental suitability o Providing facilities for the conversion of waste into fertilizer and its sale o Disposing wastes unsuitable for conversion to fertilizer in secured landfill. o Incinerating the bio-medical wastes generated in specified hospitals and hazardous wastes generated except from industries o Providing recycling, treating and disposal facilities by the LSGs through public- private participation. o Remove the solid wastes from premises other than residential area. o Prohibiting storage of solid waste more than 24 hours. o Prohibition of discharge of effluent or water into public places. o Restriction of storing skins and hides. o Prohibition on the transportation wastes in vehicles without covering. o Prohibition of creation of nuisance by open defection. o Restriction on disposal of wastes by the Local Self Government staff in places other than notified for the purpose.

There are provisions in the Act for • Punishment with a penalty not less than Rs.50 and not more than Rs.250 for violation of the provisions • Insisting industrial establishments for taking remedial measures to remove sound pollution, vibration, air pollution etc. • Empowering the LSGs to engage agencies at the cost of industrial establishment for obtaining expert opinion on the nuisance caused

Environmental and Social Assessment Report Kerala Local Government Service Delivery Project

• Obtaining report from the District Medical Officer in case of industries which may cause pollution. • LSGs to take charge of water supply and drainage and be responsible for planning and implementation of scheme for the same. • Block Panchayats to undertake regional schemes for water and drainage. • LSGs to impose and collect water charges and service charges from users. The LSGs, in g eneral, lack motivation and initiatives for taking measures to protect environment and prevent pollution. Irrespective of various measures, the environmental actions required to be initiated at the grass-root level are not in the priority list of LSGs. This is because of the lack of information and education on the implications of poor environmental upkeep. The level of technical support and dissemination of appropriate technology for environmental solutions are also not commensurable with the requirement. Therefore, there is no considered demand or initiatives by the LSGs for addressing environmental issues. The proposed ESMF shall change the scenario

2.3.2.2. Kerala Municipalities Act 1994 The sections 315 to 492 of the Municipalities Act 1994 provide adequate powers and functions to the Municipalities for the prevention and control of environmental pollution. These provisions are similar to that of Kerala Panchayat Raj Act 1994. The Kerala Municipalities Act provides powers on the Municipality and requires the public to do certain activities with utmost care without damaging the environment. The salient aspects of the Kerala Municipalities (Act) 1994 are given below. Accordingly, the Municipalities are: • Vested with the services of water supply and sewerage • Empowered to prepare& implement water supply and sewerage schemes • Required to provide public latrines at convenient places and the same cleaned and kept in proper order on a daily basis. • Authorized to direct the owner of the building, market, bus stand etc to provide latrine and maintain them properly. • Required to arrange for the removal of rubbish solid wastes and filth. • Require the owners and occupants for the storage and disposal of rubbish and solid wastes. The Municipality has been empowered to: o Contract with an owner or occupier for removal of rubbish or filth. o Introduce house to house collection of solid wastes and rubbish. o Provide final disposal of solid wastes considering that the rubbish and solid wastes are the property of municipality o Provide provision for processing of wastes. o Collect contribution from those responsible for the places of pilgrimage etc for the facilities provided. o Remove the solid wastes, rubbish etc from non –residential premises. o Prohibit improper disposal of carcasses, rubbish or filth. o Prohibit premises from keeping filth, disposal of skin etc. o Prohibit outflow of sewage or filth. o Prohibit littering. o Prohibit the employees of the municipality from disposing the waste at the public places other than specified.

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o Punish for the offences with a fine not less than Rs.50 and not exceeding Rs.250.

The Municipalities are also to: • Do the watering of the streets • Regulate the operation of quarrying. • Regulate certain kind of cultivation. • Clean unsanitary private tank or well which is used for drinking. • Regulate bathing of animals, or cloth, or fishing in public watercourses, tanks etc. • Remove the filth or nuisance or wild vegetation. • Regulate the establishment and operation of burial grounds. • Provide opinion on establishing industrial estate or industrial development area when Government or its agency consult the municipality • Obtain report from the District Medical Officer before granting /refusing license to industries likely to cause pollution.

2.3.2.3. Kerala Panchayat Raj (Issue of License to Dangerous & Offensive Trades & Factories) Rules, 1996 The Kerala Panchayat Raj (Issue of License to Dangerous and Offensive Trades and Factories) Rules notified as S.R.O.No. 76/ 96 on 1996 as per sections 232, 233 and 234 of the Kerala Panchayat Act 1994 imposes certain restrictions for establishment and operation of certain types of industries and trades which are offensive or dangerous or nuisance to public health. The prominent aspects of the rules are: • 159 industries/trades are listed as offensive or dangerous trades/factories • The industries/trades in its Schedule require license of the LSGs • LSGs to refer application for license in certain cases to the Factories & Boiler Dept. • LSGs to refer the application for license to certain industries/trades to the Divisional Fire Officer for ensuring precautionary measures against outbreak of any fire • LSGs to refer the application for license to certain industries/trades to the Health department for its clearance, in order to examine the likelihood of any problems of liquid, solid or gaseous pollution and to avoid the same • Empower the LSGs to issue necessary direction for the abatement of nuisance caused by the operation of dangerous and offensive trades and factories. The power includes direction for abatement of vibration, for prohibition of use of a particular fuel, for restriction of operation of noise producing machinery or factory between 9.30 p.m. and 5.30.a.m. • Licensee shall comply with the instructions for disposing the wastes generated safely and for treating and disposing the liquid wastes without causing nuisance to the neighbors. • Ensure that the work place is clean at the end of every working day. • Ensure that the rubbish or animal remains or other substances generated are collected and disposed of to the satisfaction of the Secretary.

The system of issuing license has not been backed up with technical know-how or awareness on implications of the project implementation. The referral system to obtain the opinion of various specialized department is often not working smoothly, as there is significant delay and

Environmental and Social Assessment Report Kerala Local Government Service Delivery Project lack of coordination. The LSGs lack expertise even to integrate the opinions of different departments and arrive at a comprehensive understanding on the implications of the decisions, if implemented. The rule necessitates obtaining opinion on possible pollution from the Department of Health, but they lack information and knowledge on these aspects. The Pollution Control Board, who has expertise at the district level to make opinion on pollution level, has not been incorporated into the referral system, thus foreclosing the possibility for predicting the pollution potential. Therefore, either a single window approach at the district level under the District Panchayat or an Expert Committee at the district level to seek advice and suggestions for the LSGs to arrive at a decision is necessary.

2.3.2.4. The Kerala Municipality Building Rules, 1999 The Kerala Municipality Building Rules 1999 lay down certain restrictions on construction of buildings for the protection and conservation of environment. The salient features of the rules are: • Necessity of permit system for development and construction of building. • Requirement for the removal of all rubbish, refuse and debris from any plot or plots immediately on completion of the development or construction. • Prohibition of the development or construction at places of deposits of solid wastes, excreta, or other offensive matters. • Restriction on land development and construction in any area notified by Government of India as Costal Regulation Zone under the Environment (Protection) Act 1986 • Prohibition of development or construction in a plot liable to be flooded or located on a slope forming an angle more than 45 degree. • Keeping sufficient land unpaved or sufficient opening/ditches in the land to allow percolation of rainwater in the plot itself. • Providing 10% of the total area for recreational space and a minimum of not less than 2 acre of open space as a single piece, while developing a plot more than 50 acres • Providing sanitation facilities for various types of buildings as specified in the rule • Requiring prior approval of the State PCB for discharge of industrial effluents and sewage • Requiring clearance from the State PCB for occupying hazardous materials • Curb on allowing leach pit, soak pit, earth closet or septic tank within a distance of 7.5 m radius from existing well or 1.2 m from the plot boundary. • Requiring making roof top rainwater harvesting arrangement as an integral part of all new building or extension.

2.3.2.5.The Kerala Protection of River Banks & Regulation of Removal of Sand Act, 2001 The Kerala Protection of River Banks and Regulation of Removal of Sand Act, 2001 was introduced to protect the river banks and river beds from large scale dredging of river sand and to protect their biophysical environment system and to regulate the removal of river sand. This is consequent to the large scale sliding of river banks, lowering of river beds and loss of property and biophysical productivity. The salient features of the Act are:

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• Constitution and composition of District Expert Committee (DEC) with District Collector as Chairman, Executive Engineer of Irrigation Dept as Convener and elected representatives of LSGs, officials of line depts. and environmentalists as members • Constitution and composition of Kadavu Committee with the President/ Chairman/ Mayor of the concerned LSG as the Chairman/Chairperson, Secretary of the concerned LSG as Convener, concerned elected members of the LSG representing the area, officials of line departments and environmentalists as members • Prescribes the powers and functions of the District Expert Committee which includes: o Identifying a Kadavu or river in which sand removal may be permitted o Fixing the quantity of sand that can be removed from a Kadavu or river bank based on the guidelines of expert agencies like CESS and CWRDM o Controlling the transportation of sand from kadavu or river bank o Closing a Kadavu or river bank for sand removal o Ensuring protection of river banks and preventing encroachment o Ensuring the performance of Kadavu Committee o Advising the government on measures to protect the biophysical environment of rivers o Recommending ban on sand removal from any Kadavu during any season o Carrying out directions of the government • Convening the meeting of the DEC at least once in three months • Stipulating the quorum for DEC meeting as one-third of the total strength of the DEC • Prescribes the powers and functions of the Kadavu Committee which includes: o Supervising and monitoring all activities of sand removal o Recommending to the DEC on the following matters namely: o Suitability of the Kadavu or river bank for sand removal o Quantity of sand that may be removed from a particular Kadavu o Additional measures to be taken for the protection of Kadavu o Necessity to ban sand removal during any season o Recommend to the LSGs for publication of list of country boats used and laborers engaged in sand removal o Carry out the instruction issued by the government and the DEC

The general conditions of the Act include: • Obtaining passes from the Geology dept based on stipulated conditions • Restricting sand removal operation between 6 am and 3 pm. • Arranging sand removal operations by the LSGs • Prohibiting sand removal operation within 10 m of the river bank and up to 500m from any bridge or irrigation project • Prohibiting the parking of lorries within 25m of the river bank • Restricting sand removal within the quantity fixed by DEC • Preventing the use of certain pole scooping and mechanized method for sand removal • Avoiding sand removal from areas where saline water intrusion possibility exists • Preparing a River Bank Development Plan by the DEC and obtaining government approval for the same

Environmental and Social Assessment Report Kerala Local Government Service Delivery Project

• Maintaining a River Management Fund by the District Collector with contributions from the LSGs to the tune of 50% of the amount collected from the sale of sand • Entrusting Mining & Geology Dept for issuing passes and conditions thereupon. • Penalty for contravention to the tune of imprisonment for a period extending up to 2 years or fine extending up to Rs.25,000/- or both with additional fine extending to Rs.1,000/- for every day during which the contravention continues • Penalty for abetment of offences and confiscation of vehicles for transporting sand without compliance • Stipulating powers of the government to make rules, conduct inspection, periodical measurement of the sand available for removal

2.3.2.6. The Kerala Groundwater (Control & Regulation) Act 2002 The Kerala Groundwater (Control & Regulation) Act 2002 came into existence on 16-03-2004 vide G.P.(P)No. 17/2004/WRD to provide for the conservation of groundwater and for the regulation and control of its extraction and use in the State of Kerala. It is also for regulating the tendency of indiscriminate extraction of groundwater which result in undesired environmental problems in such areas.

The Act provides for notifying areas for the control and regulation of groundwater development. Accordingly out of 152 blocks in the State, 5 blocks have been categorized as overexploited. They are Athiyannur, Kodungalloor, Chittoor, Kozhikode and Kasargod. The categorization is based on the norms prepared by the Central Groundwater Board (CGWB) according to the state of development. State of development is the percentage of total draft for all uses in MCM divided by the net groundwater availability in MCM. Fifteen blocks are declared as 'critical' and thirty blocks comes under 'semi critical' category. This indicates the grave necessity to control and conserve available groundwater resources.

The Act provides the Government may if satisfied on the recommendation of the authority, that it is necessary in the public interest to regulate the extraction or use of groundwater of any area, declare by notification in the Gazette such area as notified area, with effect from such date as may be specified therein.

Any person desiring to dig a well or convert the existing well into a pumping well, for his own or social purpose in the notified area, shall submit an application before the authority for the grant of a permit for the purpose and shall not proceed with any activity connected with such digging or conversion unless a permit has been granted by the authority. The Act also provides for the registration of the existing wells in the notified area in the State. The Act also provides for the registration of user of groundwater For this purpose all open wells fitted with 1. 5 HP or more and all bore wells with 3 HP or more are to be registered under the authority.

The powers of the Groundwater Authority are as follows: (i) the authority shall have the power to enter any property and to measure the quantity of water located on the surface of earth or under the earth. (ii) To inspect any well which is dug or being dug and the soil and other materials excavated there from.

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(iii) To take samples of such soil or other materials or water extracted from such wells. (iv) To require by order in writing the persons digging a well to keep and preserve in such manner as may be prescribed the samples of soil or materials extracted from there. (v) To examine and take copies of the relevant records (vi) To require the user of groundwater to install water measuring instrument in any water supply machinery. (vii) To seize the equipments and instruments used for unauthorized digging and to destroy partially or completely the work done. (viii) To require any user of groundwater who does not comply with the provisions of this act and the rules made thereunder to stop any water supply or to destroy any hydraulic work which is found unauthorized.

All the above provisions can be effectively carried out with the participation of Local Bodies, since they are the grass root level implementation agencies of most of the small and medium projects. There is also requirement of permission from Local Governments even for small scale projects and hence, they have an important role to play in the Kerala Groundwater Act.

The Kerala Groundwater (Regulation & Control) Act gives the authority full powers in all water related matters. The provisions contained in the constitution seventy-third and seventy-fourth amendments bills 1992, gives the Local Bodies to take appropriate action in matters related to drinking water, water supply for domestic, industrial and commercial purposes, minor irrigation, water management and water shed development.

The Kerala Groundwater Act is silent on the role local government in implementing the various provisions of the Act. Now all powers are vested with the Groundwater Authority. This is against the spirit of decentralization. Hence, the Kerala Groundwater (Control & Regulation) Act may be modified to an extent that the Local Governments also have the powers in matters related to drinking water, water supply for domestic, industrial and commercial purposes, minor irrigation, water management and water shed developments.

2.3.2.7. Kerala Irrigation & Water Conservation Act 2003 Local self Governments and water resources department of the State now control the management of water resources in Kerala. Panchayati raj Act and Kerala Irrigation & Water Conservation Act 2003 are the legislations empowering these institutions. Government intervention in the water resources sector can be broadly classified into two sectors: 1. Controlled distribution of water for agriculture 2. Water resources preservation & development

Water resources department has storage and distribution of water for agriculture as one of its main functions. The department also undertakes works related to the preservation of water bodies and river training works. Inland navigation and coastal protection are other areas being attended to by the Water Resources Department. As irrigation plays an important role in the growth of agricultural income of the State, planned development of irrigation that started in the early fifties focused mainly on large irrigation projects. Of late, 14 to 17 percentage of the investment under irrigation is being utilized for Minor Irrigation Schemes. As per the

Environmental and Social Assessment Report Kerala Local Government Service Delivery Project

Panchayati raj Act, most of these Minor Irrigation schemes are under local self Government. Kerala Irrigation and Water Conservation Act acknowledges the powers vested with the local Governments as per Panchayat raj Act, 1994. However, local self Governments seem reluctant to plan major investments for revival of agriculture, resulting in paddy fields getting filled up or put to other uses. Technical expertise at the disposal of local Governments is also limited to plan large schemes for irrigation.

Present day challenges in the water sector include prioritization of water usage, riparian rights, prevention of pollution, preservation and development of resources. So far, we were considering rivers and water bodies as easily exploitable resources. Kerala Irrigation and Water Conservation Act has strong provisions against encroachment of water bodies, unauthorized drawal of water from water sources and pollution of water bodies. However, as per the Panchayat raj Act local Governments have control over these natural water sources. Integration of the activities of these institutions is essential to bring about desired changes in the water sector of the State.

Management of water resources should start at the micro watershed level. Managing a river is essentially management of the basin. Most of the river basins are destabilized and degraded. Restoration of the basins should be our priority rather than further exploitation. Attitudes and procedures need thorough revision. Kerala Irrigation and Water Conservation Act envisage formation of basin organizations. How these organizations can be set up integrating the functions of Water Resources Department and Local Governments should be thought of. A model would be to have 44 River Organizations, 4 Basin Organizations and one apex body at State level. Representatives of all the Panchayats through which a river flows shall be members of the river organization. All the water bodies in the basin can come under the river organizations. Agriculture, fisheries, Animal husbandry, pollution control and industries can be part of the river organizations. Availability of water, permission for usage of water to new applicants, riparian rights etc shall be discussed and decisions taken at river organizations. Fresh water bodies, ponds, lakes etc shall come under the respective basins. Expertise in water management available with Water Resources Department shall be thus integrated to make it available for the local bodies. Problems associated with the life of rivers such as maintaining minimum flow, prevention of unauthorized sand mining and such other issues can be better addressed with the formation of the river organizations where the stake holders are well represented through the Local governments.

The National Hydrology Project has generated a huge database on water resources of Kerala. This can be effectively used to manage the water resources for each Panchayat in the State. Kerala is already into Participatory Irrigation Management (PIM) associated with major irrigation projects. This can also be integrated at Panchayat level through the River Organisations.

2.3.2.8. The Kerala Bio-diversity Rules, 2008 This has been formed consequent to the Biological Diversity Act, 2002 (Central Act 18 of 2003) which provide constitution of National Biodiversity Authority and establishment of state Biodiversity Boards. The salient features of the rule are given below:

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• Define and detail the functions of the State Biodiversity Board including documentation, studies, research, programming and state biodiversity fund • Define the procedures for utilization of biological resources and their equitable sharing, establishment of heritage sites, and management committees at various levels • Provision for Biodiversity Management Committee at the Grama Sabha, Grama panchayat, Janpad Panchayat, Zilla Panchayat as well as Municipality and Corporation levels. • Provide detailed procedure for operationalization of the Biodiversity Management committees as well as Biodiversity Register database and utilization of Local Biodiversity Fund

2.3.2.9. The Kerala Conservation of Paddy Land and Wetland Act, 2008 The Kerala Conservation of Paddy Land and Wetland Act, 2008 is intended to conserve the paddy land and wetlands and restrict their conversion or reclamation, with an aim to promote growth in the agriculture sector and sustain the ecological balance. The salient aspect of the Act is that it adequately empowers the Gram panchayat/Municipality/Corporation to protect the alarmingly reclaimed/converted paddy land and wetlands.

The Act envisages functioning of a Local Level Monitoring Committee in each gram panchayat/municipality/corporation with President or Chairperson/Mayor of Gram Panchayat or the Municipality/Corporation, Agriculture Officer of the Krishibhavan in the Gram Panchayat/Municipality/Corporation, Village Officers having jurisdiction in the area, and three representatives of farmers nominated. The Chairperson of the Committee is the President/Chairperson/Mayor of Gram Panchayat/Municipality/ Corporation and the Convener is the Agriculture Officer. The Committee examines the reason for keeping the paddy land fallow and to suggest remedial measures for cultivation in the land. They prepare a data bank with details of the paddy land and wetland, for formulating detailed guidelines for protection of paddy lands/wetlands, and collecting the details of paddy land reclaimed in contravention of the provision of the Act. They also recommends to the State Level Committee or District Level Authorized Committee for the reclamation of paddy land for public purpose or for construction of residential building for the owner of the paddy land.

The District Level Authorized Committee, with Revenue Divisional Officer, Principal Agriculture Officer and three nominated paddy cultivators, is constituted for considering the applications for reclamation of paddy land for the construction of residential building to the owner, and the State Level Committee, with Agriculture Production Commissioner, Commissioner of Land Revenue, and a Scientist in the field of paddy cultivation, is constituted for considering the applications for filling up or reclamation of paddy land for public purpose. As per the Act, the Local Level Monitoring Committee is responsible for ensuring that the conversion/reclamation shall not adversely affect the ecological condition or the cultivation in the adjoining paddy land, and that the application is genuine. The Act has clearly points out that no exemption shall be granted by the Government for conversion or reclamation of paddy land for public purpose unless the Local Level Monitoring Committee has recommended the conversion or reclamation.

Environmental and Social Assessment Report Kerala Local Government Service Delivery Project

In addition to safeguarding the valuable paddy land and wetlands, the Local Level Monitoring Committee is authorized by the Act to direct the holder of any paddy land which is uncultivated and left fallow to cultivate it by himself or through any other person of his choice, with paddy or any other intermediary crops. If the holder of the paddy land grants permission to cultivate the said paddy land, the Local Level Monitoring Committee may execute an agreement between the panchayat and the holder of paddy land entrusting the paddy land to the Panchayat either to cultivate or to get it cultivated for a fixed period. It is the duty of the Gram Panchayat/Municipality/ Corporation to entrust the right to cultivate by auction or otherwise to padasekhara samitis, Self Help Groups, Kudumbasree Units, or others. However, the Act does not permit the Local Authority to grant any license or permit for carrying out any activity or construction in a paddy land or a wetland converted or reclaimed in contravention to the Act.

2.3.2.10. Draft Public Health Act for Kerala 2009 The act envisages a State/District Health Board as a supervisory authority for monitoring the implementation of the Public Health Act at the State/District level respectively. It also envisages constitution of State Public Health Committee and District Public Health Committee, chaired by the District Panchayat President and District Collector, with advisory functions. Every Grama Panchayat and City Corporation shall have a Health Officer. According to the act, the local authority shall manage health institutions transferred to it by the Government. The Government may issue direction to the local authority on maters relating to health policy, planning for health facilities, standards to be maintained, mode of administration and it shall be the duty of the local authority to carry them out.

The Act makes the provision of drinking water and water for other domestic and no domestic purposes as the obligation of local government. It also enables the local authority to levy any tax which may be necessary for providing water supply in such area. The responsibilities of local authority includes providing and maintaining sufficient and satisfactory system of public drains for the effectual draining of its local area and prohibition on letting out sullage or sewage into drain or streets, discharge of Injurious refuse into public drains and pollution of water courses. The act necessitates every local authority to provide and maintain sufficient number of sanitary conveniences for the use of the public in proper and convenient places. It makes mandatory for every local authority to carry out such measures pertaining to National and State Health Programmes and maternity and child welfare as may be prescribed.

The local authorities are also made responsible to take steps to eliminate places where insects are breeding or likely to breed and to control or destroy insects, to prevent spread of contagious diseases. As per provision, no person shall establish or maintain a market or other food handling institutions or halt without a license from the local authority. There are also provision for regulating fair or festival.

22...33...33... PPrrooggrraammmmeess 2.3.3.1. Food Security Mission During Eleventh Plan a major thrust was provided for the revival of the agrarian economy of the State through augmenting production of food crops as well as milk and egg production in 76

Chapter 2 Policy, Legislation and Regulation the state. A major project was launched during 2008-09 for the implementation through a convergence approach. In order to further support the project by exploiting the regional potential during 2009-10 it is proposed to support location specific sub projects. A detailed project report has to be prepared for approval of the State Planning Board. The ongoing schemes on Rice Development, support from macromangement, national food security mission, vegetable development, interest subsidy and other food security related projects including lift irrigation would be linked with the project. A separate provision for the rehabilitation of lift irrigation schemes for irrigating paddy has been provided under irrigation. The additional support is provided to fill the critical gaps. The project has to be integrated with food security projects under Animal husbandry, Dairy development and Fisheries. Appropriate mechanisms would be introduced to link with the schemes of local governments in food security.

2.3.3.2. Malinya Mukta Kerala Action Plan The “Malinya Mukta Keralam” (Waste-free Kerala) Campaign was launched on Gandhi Jayanthi day in 2006. The important activities taken up under the Campaign include: - • Intensive cleaning of public institutions like schools, hospitals and anganwadis, public places like colonies, markets etc, removal of stagnant water, awareness building among Self-Help Groups, students and elected local government representatives etc. • Extensive surveys on waste generation from different sources in all the 999 Panchayats. • Compilation of village sanitation vision document in meetings of key stakeholders, about 150 to 250 persons, for preparation of an Approach Papers on Sanitation. • Special Grama Sabhas to discuss the Approach Paper on sanitation and adopt them It is estimated that 1.6 million people took part in these special Grama Sabhas on sanitation. • Formation of Technical Support Groups (TSGs) in all the fourteen districts to guide the Local Governments to move on from the Approach Paper to an Action Pl an. Altogether 420 experts are functioning, with each district having a team of 20 to 35 members. • Health Promotion Teams (HPTs) in each of the Village Panchayats drawing one male and one female volunteer from each ward, capable of working as barefoot sanitation experts. • Popular committees are being set up in every ward of the Village Panchayats and also at the level of the Village Panchayat. • Elaborate capacity building effort. • Ban on plastic carry bags up to 50 microns in thickness which was made effective for articles with thickness up to 30 microns, based on a High Court direction. • Elaborate consultations with all stakeholders and Local Government leaders to make the ban effective. • Priority to solid waste management and sewerage in mega projects under the ADB assisted Kerala Sustainable Urban Development Project and the Government of India assisted JNNURM and UIDSSMT. • Projects under Total Sanitation Campaign (TSG) have been restructured to include a solid waste management component.

Malinya Mukta Keralam Campaign has succeeded in creating the right environment for a Mission mode Action Plan to achieve the goal of Clean Kerala, which was launched on 1st November 2007. The activities outlined in this Action Plan as part of Suchitwa Mission include

Environmental and Social Assessment Report Kerala Local Government Service Delivery Project implementation of programmes for solid waste management, liguid waste management, provision of Sanitation facilities in pubic places and social amenities and awareness campaigns. The objective of the action plan are: o Sanitary toilets in all houses, schools, anganwadies o Setting up and upgradation of solid waste management facility o Remediation for solid waste processing & disposal facility o Incorporating waste management measures for slaughter houses o Mitigation of special waste management issues o Establishment of Regional Engineered Land Fill o Liquid waste management systems for institutions o Liquid waste management systems for colonies o Public sanitation facilities o Incentives for local governments and institutions for improved performance in santiation o Awareness campaigns

2.2.3.3. Animal Husbandary Commercial Dairy and Milkshed Development Programme: The Eleventh Plan target of milk production is set at 35 lakh tonnes, compared to the achievement of 2005-06, a 70 per cent increase in milk production is targeted in Eleventh Plan. A transition from subsistence dairy farming to viable commercial diary farming, with technology support is imperative for enhancing production and productivity. Support of technological and marketing interventions will be given focus in Eleventh Plan. The scheme was one of the components of the State Food Security Project launched during 2007-08, the first year of the Eleventh Plan. This outlay for 2009-10 will be utilized for extending the promotion of commercial dairy units to more selected milk shed and other potential areas. A portion of the outlay is set apart for providing milking machines to dairy farmers.

2.3.3.4. Plantation Development Improving productivity of plantations: The objective of the scheme is to enhance the productivity of existing plantations, to promote forest activities and practices by combining with agriculture, so that the pressure on forest eco-system due to the increased social needs is gradually reduced. About 2.20 lakh ha of forests are under plantations of various species, the main species being teak cover an extent of approximately 75000 ha. It is proposed to cultivate indigenous pulpwood species with multiple uses utilising certified seeds, clonal technology, root trainer technology and following appropriate silviculture techniques to ensure optimum productivity. • Hardwood Plantation: This component is for raising and maintaining long duration hardwood species like rose wood, kambakam, vellakil and other hardwood plantations. It is proposed to raise 100 ha new plantations and maintenance of 900 ha plantations. The expenditure on re-plantation of teak would be met from the teak revolving fund. The outlay will be used for the replantation and maintenance of other hardwood species. • Industrial raw material Plantation: The harvested areas of eucalyptus, acacia, manjium and other forest growing species which supply industrial raw materials will be replanted and maintained under the programme. The provision is for raising and maintenance of 1200 ha of pulpwood plantations and for raising other industrial raw material species. The outlay

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will also be utilised for the maintenance of the five central nurseries, and production of seedlings.

2.3.3.5. Housing Schemes Reconstruction of One Lakh Housing Scheme (MN LAKSHAM VEEDU PUNARNIRMANA PADHATHI): One lakh housing scheme was launched in 1972. The present condition of most of the houses so constructed is very pathetic mainly because of three decades of ageing without routine repairs and maintenance. The estimated cost of renovation of one house amounts to Rs1 lakh. The pattern of financing of one house is: Government subsidy Rs 50 000/- (for ST category), Rs 37500/- (for SC category), Rs 25000/- (for General category). The balance amount shall be met by the Local Bodies/voluntary organizations/ philanthropic individuals.

Suraksha Housing Scheme: Under this scheme, assistance will be given to houseless persons owning at least 2 cents of land to construct a house by themselves. The voluntary organizations/NGOs shall give assistance to the beneficiary to build the structure up to roof level and the government subsidy shall be disbursed on completion of the roof. The financial pattern of the scheme is as follows: Share of beneficiary Rs 25000/-; Share of voluntary organization Rs 50000/-; Government subsidy Rs 25000/-

2.3.3.6. Wetland Eco-restoration Programmes Wetland conservation has been a programme in the list of central plan schemes since more than two decades now. With increasing environmental awareness and realization about the role of wetlands in regulation of ground water regimes, flood regulation and environmental amelioration due to inherent vibrant biotic activities apart from livelihood issues, their status as the important environmental natural resources in the scheme of development planning is needed to be recognised. It is now time that wetlands are considered among the important infrastructures for development as rivers, forests, roads, education and health institutions.

For a better understanding of the issues critical for any sustainable use strategy for wetlands, a few basic facts need to be appreciated. The following paragraph from the preamble of the National Environment Policy 2006 (NEP) depicts the spirit of conservation of environmental resources.

“The dominant theme of this policy is that while conservation of environmental resources is necessary to secure livelihoods and well - being of all, the most secure basis for conservation is to ensure that people dependent on particular resources obtain better livelihoods from the fact of conservation, than from degradation of the resources.”

The statement indicates that conservation efforts are to be a part and parcel of its sustainable use practice, necessitating reciprocal commitment of the users for conservation. The policy also recognises that wetlands are natural alternatives for waste management due to their inherent capacity of self assimilation and cleaning with the help of biological activities within. However, it can be done only to the extent till the pollution load is within their assimilative capacity.

Environmental and Social Assessment Report Kerala Local Government Service Delivery Project

The conservation efforts therefore have to take into account sustainable use which implies, understanding the capacity and restricting the pressures within that. The role of the local governments in wetland management basically rests on this premise. The ongoing programmes on wetland include: • Centrally sponsored schemes on management of wetlands based on the management action plans submitted to MoEF by KSCSTE (Sasthankota, Astamudi, Kottuli) • State plan programme on ecorestoration of Sasthamkotta wetland- Sanitation programme in the catchments through Suchitwa Mission • A management action plan for Vellayani wetlands through the KSCSTE

MoEF is considering bringing in a statute for regulating the management of wetlands in the country under the Environment (Protection) Act 1986, which will envisage categorization of wetlands based on a few criteria, mostly related to location and conservation values; a centralized mechanism for management planning for their conservation and regulation of activities according to ecological importance. The authorized agencies will be created at national, state and district levels. However, for implementation of the management action plans and integration of these into general development planning, the role of LSGs will be critical.

Water management and land management are the constitutional mandates of the local self governments. Kerala Panchayat Raj Act 1994 specifically provides for environment, sewerage/sanitation and the local water resource management functions with the local self governments. The eleventh schedule under article 243 G of the Constitution provides for entrusting the mandate of maintenance of community assets with these institutions. Customary village common lands and properties also are vested for management and administration with the Panchayats.

Wetlands are the local water resources, intricately connected with not only the life processes, but also several potentially important enterprise functions at the local level. These may include coconut fibre processing, fishing aquaculture and other water based cottage industries, tourism and related activities and overall hydrological regimes which influence the primary production such as the agricultural regimes. Conservation of wetlands enhances the ground water recharge measures that facilitate supply of potable water for the nearby populations if managed sustainably. In such circumstances, the most critical role of local governments would include creating an enabling environment for any effort which contributes to the sustainability of these resources, and regulating any activity which impinges on the wetland environment. Thus the local governance and development planning in the area of influence for the wetland environment should take into account need of sustaining efforts to keep these ecosystems in best of natural state.

All the global conservation conventions and national policies favour local participation in assessment, planning and management of common property resources. LSGs will have a critical role in according due recognition to the community level organizations by integrating their activities in the grass root level plans and providing funds accordingly. The programmes

Chapter 2 Policy, Legislation and Regulation and regulations have been known to fail because of the lack of implementation mechanisms. LSGs have a specific role on decision making and organizing implementation mechanisms with mutual linkage between government and civil society.

Specific subjects/tasks that can be taken up by LSGs • Recognize “wetland” as one of the non-negotiable land uses and “Common property resource” and resolve not to put these into any non wetland use by reclamation or diversion. It is constitutionally possible by listing it under the item “common assets”. • Among the standing Committees of LSGs, allocate the subject of wetland conservation specifically to a relevant committee as part of the community assets of environmental, sanitation, or water resources significance. The objective should be to ensure sustained status of the wetlands on the parameters of water spread area, pollution critieria, growth of aquatic weeds, regulation of fishing, use of commercial activities and most importantly, regulating use as well as participation of the polluter agencies in mitigating pollution. • Evaluation of wetlands for their potential of contributing to the economic well being of the people in the vicinity. Non invasive economic activities can be tourism within the carrying capacity, fishing and aquaculture, use of weeds for fiber based cottage industries, coir retting after assigning areas with suitable measures to mitigate the bad impact etc. This however, would require scientific back up for which competent agencies are available in Kerala. • Among the sectors devolved to LSGs, allocate specifically the management of wetlands to a functionally competent line department. Among the existing ones include social forestry, minor irrigation (with qualification to the civil engineering), sanitation (environmental wing may be created) or welfare. • Demarcation of wetland boundaries on scientific basis to work on the areas which must be preserved apart for ensuring the wetland environment intact. Any reclamation or diversion of such areas for any permanent development should not be planned. • Provide for plan outlays for wetland eco-restoration. For this purpose, the management action plans can be coordinated by Department of Environment in consultation with the KSCSTE/civil society. Feasibility of a state plan sponsored LSG level scheme may also be considered to ensure fruitful partnership between the state government and LSGs for ecorestoration of wetlands. • Wetlands have been considered equally important for biodiversity and conservation values as unique habitats for birds especially migratory species. Much of the scientific work on this aspect has actually been responsible for the famous Ramsar Convention and centrally sponsored scheme on wetlands conservation initially. Considering these facts, it is very essential that any management planning takes into account the conservation value of these ecosystems while providing for their sustainable use. To ensure this, a strong interface of empowered institutions (LSGs) will be required with the scientific institutions and civil society organizations. Kerala specially has rich repositories of information and knowledge on wetland resource conservation and economic valuations. This can be organised through the department of environment. • Conservation/management action plans by individual LSGIs are usually not feasible because wetlands are often spread within the political area of several LSGIs and may have the watershed extended over others. Therefore, a comprehensive plan with basin approach is

Environmental and Social Assessment Report Kerala Local Government Service Delivery Project

required for sustainability. This can be achieved through the coordinated effort/action plan of LSGIs coming under the watershed and/or command area of a wetland. For this, appropriate state level agency will be needed for holistic planning and coordinating with the participating LSGIs based on actual requirements and also by assisting LSGIs to find suitable implementation agencies/supporting organizations.

2.3.3.7.Rural Water Supply Schemes Rural Water Supply Schemes- Improvements to the Existing Schemes : Most of the rural water supply schemes commissioned years ago need replacement of pipelines, pumps and motors, electrical installations etc. To improve the quality of water supplied, replacement of filter media of intake/treatment plants are required. Similarly many of the civil structures such as components of treatment plants and OH reservoirs need repair and rehabilitation. Due to the staleness of the pipes and lack of preventive maintenance, distribution loss of about 40 percent of water produced is estimated. Hence more thrust would be given to rehabilitation of all old rural water supply schemes to reduce distribution loss to the minimum and to improve performance.

Matching Assistance for LIC Assisted Rural Water Supply Schemes: Out of the 57 LIC aided RWSS, four schemes were completed, 14 schemes were taken up under other Central / State assisted programmes, three schemes were dropped and 33 schemes were posed under the SPAN – RIDF XIV of NABARD. Remaining ongoing RWSS under this category is only three. Of these schemes, two schemes could not be taken up due to various reasons and the other scheme, viz. RWSS to Perinad & Panayam is functioning well. Two more schemes, WSS to Ayippuzha Kalampara area and WSS to Parakkamala have been sanctioned under the same head during 2008-09.

Total Sanitation Campaign (25% State Share) : The allocation based Restructured Central Rural Sanitation Programme was replaced fully by the Total Sanitation Campaign (TSC) from 2002-03 onwards. TSC Project has been sanctioned in 14 districts of Kerala and these projects are at various stages of implementation. The implementation of TSC is on project mode and the main components are individual household latrines, institutional (school) latrines, anganwadi toilets, community complexes for women, Rural Sanitary Marts (RSM), solid and liquid waste management etc. Kerala is top among the states with respect to the achievements of TSC targets. As part of this succesfull campaign, almost 97% of the panchayat areas have achieved open defecation free status.

Completion of World Bank aided Kerala Rural Water Supply Project – Jalanidhi : Even though the external assistance was terminated with effect from 30.09.2008, all the targeted works were not yet completed. Two comprehensive Water Supply schemes and the Chavara – Panmana Tsunami Water Supply Projects are the works to be carried out during 2009- 10. Since the external assistance was terminated, an amount of Rs.100.00 lakh is proposed from the State sector allocation of Annual Plan 2009-10 for completing the Jalanidhi Project.

Water Supply Schemes to Rural Schools (50% State Share): As per guidelines issued from Government of India, drinking water has to be provided to all rural schools. Expenditure for

Chapter 2 Policy, Legislation and Regulation this purpose is to be shared between Central and the State Governments in the ratio 50:50. KWA had taken up various schemes for providing protected water supply to schools/Anganwadis in rural areas. Since 2000, KWA had provided water supply facilities to 1647 schools / Anganwadies. Works of 599 schemes are in progress.

NABARD Assisted Rural Water Supply Schemes : Eight rural water supply schemes are taken up for implementation with NABARD assistance under RIDF IX.

Completion of Rural Water Supply Schemes other than ARWSP Schemes: There are 10 ongoing rural water supply schemes which are in various stages of execution.

Accelerated Rural Water Supply Project (ARWSP) (50% State Share) : Government of India has changed the funding pattern of the 100% Centrally Sponsored ARWSP such that the total project cost of the ongoing/ new schemes under ARWSP approved by the State Level Steering Committee (SLSC) is to be shared in the ratio 50:50 between the centre and the state Government. There are 92 ongoing ARWSP schemes, of which, 25 schemes are targeted for commissioning during 2008-09. The remaining schemes are targeted for 2009-10. Besides, 12 RWSS under LIC category are approved in the SLSC and now implementing under ARWSP.

Add on Project of Jalanidhi - World Bank aided Scheme : Government of Kerala has sanctioned the implementation of the Jalanidhi Add-on Project in 400 Grama Panchayath covering six lakh households in a time span of six years with a total estimated project cost of Rs.1200.00 crore. Planning phase activities in 185 Panchayats for 3650 schemes are targeted for implementation during 2009-10.

Improvements of RWSS to Cheriyanadu in Alappuzha Panchayath: RWSS to Cheriyanadu is a single Panchayat Water Supply Scheme maintained by KWA and identified as one among the 1050 scheme for transfer to local body, but not taken up by the local body till date. To address the acute water scarcity and water quality problem in the area, it is proposed to construct a full-fledged Treatment Plant and to adopt efficient disinfection method instead of chlorination by adding bleaching powder.

Scaling up of Rain Water Harvesting and Ground Water Recharge Programme : The main objective of the programme is to sustain the Rain Water Harvesting activities in the State implementing by Jalanidhi. The components included in the programme are construction of Rain Water Harvesting structures having capacities 10000 litres and 25000 litres, renovation of existing ponds, well recharge and training programmes on RWH/GWR etc.

2.3.3.8. Social Forestry Programmes National Forest Policy 1988 stipulates that 1/3rd of the total geographical shall be covered with trees. To achieve this objective, massive tree planting programmes outside the forest area is essential. In order to encourage homestead and agro-forestry practices, it is proposed to undertake a massive tree planting programme outside the forest area with the involvement of people including school children. Urban forestry activities will be encouraged. The successfully launched programme during 2008-09 namely Endemaram, Nammude maram,

Environmental and Social Assessment Report Kerala Local Government Service Delivery Project

Vazhiyorathannal and Harithatheeram will be expanded and continued during 2009-10. Greening Kerala Programme including Awareness Programme, developing 14 District Forest Extension and Information Centres (DFEICs), strengthening of Forest Information Bureau (FIB) by providing necessary infrastructure facilities, participatory greening programme and biodiversity conservation, environmental awareness campaigns, are envisaged in the scheme. It is proposed to undertake a massive tree planting programme outside the forests with the cooperation of the Local Self Governments named as ‘ Gramma Vanam Programme’ . An extent of 1000 ha is proposed to plant and to distribute about one crore seedlings. The NREGS funds would also be utilised wherever possible by the panchayat for raising the seedlings and undertaking the planting in the public areas of the panchayats. Forest Department will provide the technical support and undertake the extension work. A DPR for the scheme would be prepared by dovetailing funds from various sources. The scheme on Panchayat Vana Yojana would also be integrated with this scheme. A portion of the outlay will be utilised for developing monitoring mechanism and for establishing institutional mechanism for sustainability of the scheme in collaboration with PRIS. Planting bamboo in riversides with the involvement of local bodies will be initiated. Conservation and consolidation of the river and stream bank with the participation of local people are envisaged. The cost of raising nurseries for distribution of seedlings, replanting of road side areas, compact areas of public lands will also be undertaken.

2.3.3.9. State Poverty Eradication Mission The State Poverty Eradication Mission implements the programme by creating community based structures of women below poverty line with focus on self help, demand-led convergence of available services and resources under the leadership of the local governments. Kudumbashree the State Poverty Eradication Mission (SPEM) was launched by Government of Kerala in 1998 with the active support of Government of India and NABARD for wiping out absolute poverty within a period of 10 years. The project is implemented through Local Self Governments empowered by the 73rd and 74th Constitutional amendments. The slogan of the Mission is “Reaching out to families through Women and reaching out to community through Families”. Kudumbashree is a holistic, participatory, women oriented innovative overarching poverty reduction approach.

The biggest promise for poverty reduction is the initiative to develop a network of self help groups of families below the poverty line (BPL), each represented by a woman. Essentially, it is based on a community based identification of BPL families on non monetary indicators which are transparent and which are reflective of social perceptions of poverty. Identified families are organised into Neighbourhood Groups (NHGs) of 20 - 25 members who are federated into an organization called Area Development Society (ADS) at the Panchayat Ward/Grama Sabha level and further networked into a registered NGO of poor women called the Community Development Society (CDS) at the level of the Village Panchayat.

The achievements of kudumbashree thus far are outlined below: o Kudumbashree Programme covers all the 999 Gram panchyats, 53 Municipalities and 5 Corporations. o 180660 NHGs comprising of women from 37,77,783 Families have been formed

Chapter 2 Policy, Legislation and Regulation o Thrift of Rs 844.37 Cr o Internal lending amounting to Rs.2139.07 Cr o 82,760 NHGs linked with banks under linkage banking Scheme and assessed funds worth Rs. 437.73 Cr o 656348 Children have been grouped into 37005 Balasabhas o 28707 loans have been sanctioned under the Bhavanashree microhousing scheme amounting to Rs 159.71 Cr o 44638 acres of land brought under cultivation with the involvement of 2,34,812 families in 820 Grama panchayats through lease land farming. o 2552 Group and 972 Individual enterprises started under Rural Micro enterprises (RME) Programme; Grant worth Rs. 13.48 Cr given. o 845 Group and 240 individual innovative enterprises started under Yuvashree (50K) programme for youth in 18-35 age group, grants worth Rs. 2.07 Cr o Asraya - Destitute identification, Rehabilitation and monitoring (DIRM) Programme launched in 604 Grama Panchayaths and 16 Municipalities o Launched self sufficient, Self-reliant and sustainable CDS Programme (S3 CDS) for model building in 227 Grama panchayats o SJSRY - under USEP (Urban Self Employment Programme), 22,801 individual and 1,565 group enterprises were setup benefiting 34,304 people. o 27,467 houses have been sanctioned under the VAMBAY(Valmiki Ambedkar Awas Yojana) to poor families in 54 ULBs across the state o 155 Clean Kerala Business units for solid waste management have been setup. o 1406 Women from the Kudumbashree CBOs elected to the Local Self Government Institutions in the recent Elections o SAMAGRA-Kudumbashree has started the extensive programme “Samagra-” Local Production Marketing Network which aims at high income generation. Projects in 7 districts are on the anvil.

In terms of poverty reduction, decentralisation has certain definite advantages which are evident from practice. They are - 1. Resources have flowed into every nook and corner with earmarking of funds for the disadvantaged groups 2. The outreach of developmental services has improved a lot. 3. There is less of sectoralism in decentralised programmes. Greater convergence has contributed to reducing the ratchet effect of poverty. Local Governments particularly Village Panchayats, tend to view problems holistically. 4. There is great realism in tackling problems of poverty. The problem of poverty is perceived in its stark reality. 5. The innumerable opportunities for participation which has been structured into Kerala's decentralisation process has helped the poor in gaining confidence and in moving from lower levels of participation into higher forms of direct social action like management of facilities, creation of demand for services and so on. 6. The participation of people has definitely improved accountability. Decentralisation affords opportunities to the poor to grow in strength by continuous participation, constant observation

Environmental and Social Assessment Report Kerala Local Government Service Delivery Project of the exercise of power and accessing more information. As barriers are weaker in the local situation, the poor can hope to break them with some effort.

There have also been certain problems, which are enumerated below: 1. The outliers like Scheduled Tribes are still to gain from decentralisation. 2. The poorest among the poor need social safety nets particularly for food and health emergencies. This cannot be provided by local governments. 3. The management of services particularly health and education has not been more efficient than before and these services have direct implications for poverty reduction. 4. The flow of bank credit into local schemes for poverty reduction has been rather limited resulting more from bankers' reluctance to deal with local governments than from inadequacies of project formulation. This has resulted in higher subsidies. 5. In a State like Kerala where the number of educated poor is very high there is an inherent limitation in local government action against it. Linkage with job markets through skill upgradation or identification of self employment opportunities or small scale production activities with assured markets are all functions which can be done better at higher levels. Thus the problem of vertical integration of anti poverty programmes is a crucial one. Anti- poverty initiatives at the local level seem to be characterized by incrementalism and there is a clear need for a long range vision to reduce poverty.

2.3.3.10. Watershed Development Programmes Attappady Environmental Conservation and Wasteland Development Project : Attappady Hills Area Development Society (AHADS) is implementing this project. The JBIC assisted External Aided Project was extended up to 2010 based on the Rationalized Final Implementation Plan (RFIP). This project aims at: Afforestation, Production of Seedlings, Production of fencing posts, Conservation of Forest land, Conservation of Check Dams, Construction of Contour bunds, Construction of drainage canals, Construction of Pits & Structures, and Employment Generation.

Integrated Wasteland Development Programme (IWDP)/HARIYALI (State Share 8.33%): The schemes aim at empowering the Panchayat Raj institutions, both financially and administratively, in the implementation of watershed development programmes. Main objectives of this scheme are the following. • Harvesting every drop of rainwater for drinking water supply, irrigation, pasture development, fisheries, plantations including horticulture and floriculture, etc. • Employment generation, poverty alleviation, community empowerment and development of human and biological resources of the rural areas. • Mitigating the adverse effects of extreme climatic conditions, such as, drought and desertification on crops, human and livestock population, etc. • Restoring ecological balance by harnessing, conserving and developing natural resources, i.e., land, water, vegetative cover especially plantations. • Encouraging village community towards sustained community action for the operation and maintenance of assets created and further development of the potential of the natural resources in the watershed.

Chapter 2 Policy, Legislation and Regulation

Grama Panchayats will implement the projects as per GO I Guidelines, under the overall supervision and guidance of Project Implementation Agencies (PIAs). The Block Panchayat is the PIA for all the projects.

2.3.3.11. Fisheries Development Programme Modernisation of Craft and Popularisation of New Crafts - Conversion of OBMs to LPG: The objective of the scheme is to assist replacement of OBMs of already motorised crafts. Fifty percent of the cost of the Out Board Motor subject to a maximum of Rs.10, 000 will be provided as one time subsidy for the replacement of OBMs below 10 HP by the traditional fishermen. It is proposed to provide subsidy for 150 OBMs during 2009-10. The scheme is implemented through Matsyafed.

Distribution of suitable complements of Fishing Gear(SS 50%): The objective of the scheme is to give assistance @ Rs.6000/- per craft fitted with OBM below 10 H.P for the purchase of suitable complements of fishing gear. The assistance will be given only once to a beneficiary who owns a craft. The scheme is implemented through Matsyafed. The outlay is for meeting the subsidy portion.

Development of Deep Sea Fishing : The marine fish production of Kerala is more or less stagnant in around 5.6 lakh tones. Almost all commercially important groups of the inshore water are facing over exploitation. Any future increase in marine fish production is possible by intensifying the exploitation of oceanic species such as tunas, bill fishes, cephalopods, etc. The resource potential of oceanic tunas is estimated to be around 2.5 lakh tonnes; however, the present level of exploitation is less than 10% of the potential. The other commercially important untapped groups are the oceanic squids and cuttle fishes, high quality perches, white baits etc. The project aims at increasing fish production from untapped deep sea areas by diversification of excess number of mechanised fishing fleet operating in the traditional fishing grounds. This will enable to reduce fishing pressure in the inshore areas and increase fish production from deep-sea particularly of commercially important oceanic tunas and cephalopods. It is proposed to restructure mechanised vessels for tuna fishing operations in the offshore areas. Dory fishing in the traditional sector will also be encouraged under the programme. The outlay is provided for the programme for implementation on project mode. The components included are conversion of fishing vessels for deep sea fishing and training to fishermen for deep sea fishing.

Matsyakeralam: ‘Matsya Keralam’ is an integrated project for the development of inland fisheries and aquaculture with the support of Local Self Governments. The project envisages to bring a total of 3750 ha freshwater pond area and 2250 ha padasekharams under the fold of freshwater aquaculture and 3700 ha under shrimp farming in brackish water over a period of three years. The total project cost is Rs.71.16 crores of which Rs.2.95 crore each is expected for 2009-10 and 2010-11 from State Government and Local Self Governments. The major components are diversification of freshwater aquaculture, diversification of brackish water aquaculture, development of infrastructure in inland fisheries, extension and training and marketing support

Environmental and Social Assessment Report Kerala Local Government Service Delivery Project

NFWF Assisted Housing(SS 50%) : The programme is meant for providing housing to fishermen under the Model Village Development Programme. The unit cost per house is Rs. 40,000/-. The NFWF and State Government share the cost equally as full subsidy. The outlay provided is the state share for the programme.

22..44.. WWoorrllldd BBaannkk SSaaffeegguuaarrdd PPoollliiicciiieess The World Bank's environmental and social safeguard policies are a cornerstone of its support to sustainable poverty reduction. The objective of these policies is to prevent and mitigate undue harm to people and their environment in the development process. Given below is an assessment of which Safeguard Policies of The World Bank are applicable to the Kerala Local Government and Service Delivery Project.

TRIGGERED X Safeguard Policy Environmental Assessment (OP/BP 4.01) Description The Bank requires environmental assessment (EA) of projects proposed for Bank financing to help ensure that they are environmentally sound and sustainable, and thus to improve decision making. Reason The proposed project places a finite amount of funds in the form of an untied block grant at the disposal of LSG institutions in the state. The amount is to be used by the LSG institutions at their discretion for meeting the costs of any developmental or maintenance activity in line with their functional mandate and obligations.

While certain activities undertaken by the LSGs may have no adverse impact whatsoever on the environment, certain others such as development of infrastructure, minor irrigation, maintenance of ponds / lakes, sanitation, solid waste disposal, facilitation of agricultural inputs, etc. might lead to small and localized adverse impacts. Hence the policy is triggered. As a consequence of this poliSuch impacts will be identified and addressed through an Environmental Management Framework developed through an Environmental Assessment of the project concept.

TRIGGERED X Safeguard Policy Natural Habitats (OP 4.04) Description The policy strictly limits the circumstances under which any Bank-supported project can damage natural habitats (land and water areas where most of the native plant and animal species are still present). Specifically, the policy prohibits Bank support for projects which would lead to the significant loss or degradation of any Critical Natural Habitats, whose definition includes those natural habitats, which are either: legally protected, officially proposed for protection, or unprotected but of known to be of high conservation value.

Even in case of other (non-critical) natural habitats, the Bank will support projects that seemingly cause significant loss or degradation only when (a) there are no feasible alternatives to the project's overall net benefits; and (b) acceptable mitigation measures, such as compensatory protected areas, are included within the scope of the project. Reason Kerala has about 32 designated natural habitats and they are protected by National and State regulations. These include 2 Biosphere reserves, 6 National Parks, 14 Wildlife / Bird Sanctuaries, 1 Reserve forest, 1 Tiger Reserve and 8 Mangrove sites. In terms of geographical area, the size of the state is relatively small and due to this, there is a high concentration of

Chapter 2 Policy, Legislation and Regulation

Natural Habitats over a small area. To minimize the possibility of any specific interventions causing any adverse impact on these Natural Habitats, this policy is triggered. Also, in exceptional cases involving LSG interventions in habitations of indigenous people that might be located in the proximity of these areas, the EMF prepared under OP/BP 4.01 will address any likely adverse impacts.

TRIGGERED X Safeguard Policy Forests (OP 4.36) Description The Bank does not finance projects that would involve significant conversion or degradation of critical forest areas or related critical natural habitats. The policy aims to reduce deforestation, enhance the environmental contribution of forested areas, promote afforestation, reduce poverty, and encourage economic development. Reason Kerala is endowed with a sizeable forest cover. Almost 30% of the state is under forest cover, mainly confined to about five districts situated away from the coast. There is likelihood, particularly in case of GPs / Municipalities located adjacent to these areas, of a few specific activities taken up under this project having an adverse impact of limited nature on the forest ecosystem in the state or a part thereof. It is important to keep in focus, the need for protection and sustenance of this natural resource. Hence, this policy is triggered.

NOT TRIGGERED W Safeguard Policy Pest Management (OP 4.09) Description The Bank does not finance projects that would involve significant use of pesticides. If pesticides have to be used in crop protection or in the fight against vector borne disease, the Bank- funded project should include a Pest Management Plan (PMP). Reason Certain LSG functions with respect to agricultural inputs may, on rare occasions may lead to dealing with chemicals. However, it is felt that provisions under OP/BP 4.01 will suitably address the possibility of (a) any banned chemical from being used and (b) chemicals being used in a manner that is detrimental to the environment. Hence the policy is not triggered.

NOT TRIGGERED W Safeguard Policy Safety of Dams (OP 4.37) Description This policy is applicable only to projects that involve construction of dams. Since the consequences of failure of a dam can be significant in terms of damage to the environment as well as on human life, this policy aims to safeguard against such eventualities by focusing on incorporating safety features in the design as well as maintenance of the dams. Reason Construction of any dams that are significantly large I size is not part of panchayat activities. If undertaken at all, the activities could include village ponds, low embankment tanks, and local silt retention dams. In such cases generic dam safety measures designed by qualified engineers are adequate. Hence the policy is not triggered.

Environmental and Social Assessment Report Kerala Local Government Service Delivery Project

NOT TRIGGERED W Safeguard Policy International Waterways (OP 7.50) Description The OP 7.50 – Projects on International Waterways applies to the following types of projects: hydroelectric, irrigation, flood control, navigation, drainage, water and sewerage, industrial, and similar projects that involve the use or potential pollution of international waterways (international waterways refer to any river, canal, lake, or similar body of water that forms a boundary between, or that flows through, two or more states – it also applies to tributaries/components of such waterways). Reason Since Kerala has no international waterways, the policy does not apply.

TRIGGERED X Safeguard Policy Physical Cultural Resources (OP 4.11) Descript ion The Bank avoids or mitigates any adverse impacts on physical cultural resources (which are defined as movable or immovable objects, sites, structures, groups of structures, and natural features and landscapes that have archaeological, paleontological, historical, architectural, religious, aesthetic, or other cultural significance) from the Bank’s financed development projects. It is also triggered where civil works of any size are involved and there are any possibilities of a chance finds. Reason Though GP activities do not involve damage or alteration to any existing cultural property, however given the historical significance of the region any chance find while excavation for any civil structures such as pond, building etc. cannot be ruled out. The EMF prepared under OP/BP 4.01 is expected to have provisions for preventing modification of any existing site of cultural or archaeological importance or address any eventuality pertaining to encountering chance finds. Hence the policy is triggered.

TRIGGERED X Safeguard Policy Indigenous Peoples (OP/BP 4.10) Description This policy contributes to the Bank's mission of poverty reduction and sustainable development by ensuring that the development process fully respects the dignity, human rights, economies, and cultures of Indigenous Peoples. For all projects that are proposed for Bank financing and affect Indigenous Peoples (Tribals), the Bank requires the borrower to engage in a process of free, prior, and informed consultation. The Bank provides project financing only where free, prior, and informed consultation results in broad community support to the project by the affected Indigenous Peoples. Such Bank-financed projects include measures to (a) avoid potentially adverse effects on the Indigenous Peoples’ communities; or (b) when avoidance is not feasible, minimize, mitigate, or compensate for such effects. Bank-financed projects are also designed to ensure that the Indigenous Peoples receive social and economic benefits that are culturally appropriate and gender and intergenerationally inclusive. Reason The policy is applicable when tribal populations are present in the project area. While the present project may not adversely affect Tribals, the project offers an opportunity for Tribals to receive social and economic benefits that are culturally appropriate and gender and intergenerationally inclusive.

Chapter 2 Policy, Legislation and Regulation

The Kerala Local Government Strengthening Project essentially envisages to improve the service delivery in the sectors pertaining especially to natural resource management, primary production, basic services such drinking water supply, health and sanitation, education, poverty eradication etc. The sustainability of environmental systems by ensuring its protection with respect to set standards is basic to uphold the local governance functions. This can be ensured only be assessing the environmental worthiness of a region by understanding the supportive capacity of resources and assimilative capacity of environment there. Thereby, any enhancement/limiting of activities/services get linked to upgradation and conservation of resources, on the one hand, and monitoring and maintenance of environmental standards, on the other. Therefore, the Operational Policy 4.01 pertaining to Environmental Assessment will have to be triggered for the project. It enables the assessment and understanding of the environmental systems and provides a safeguard mechanism from environmental degradation through a designed environmental management framework.

Land is one of the most limiting resources in Kerala. Consequently, natural habitats are on constant threat of invasion. The hesitation to accept and honour the local wisdom as well as the growing disrespect to environmental functions and costs of ecological systems are threatening the environmental integrity at the micro and macro level. The strengthening of local governance can facilitate integration of development interventions and environmental protection and intactness of natural habitats will be a good indicator of development- conservation interface. The protection of sacred groves and mangrove patches, natural water bodies, landscape, hillocks etc will benefit from this policy. Therefore, the Operational Policy 4.04 on Natural Habitats will have to be triggered for the project. Almost in the same lines, the Operational Policy 4.11 on Physical Cultural Resources will also be triggered for the project to ensure the protection of local cultural interests.

One of the thrust areas of local governments is the primary production sector and invariably pest management is a concern. Though the awareness on harmful pesticides is on the increase, the concept and practice of Integrated Pest Management (IPM) techniques have not been tricked down adequately. There are serious efforts for building awareness in IPM. Considering that the chemical pesticides are largely being discouraged in the state and that an organic agriculture policy has already been drafted and is in the process of adoption, the IPM can be adequately addressed through triggering Operational Policy 4.01 on Environmental assessment.

22..55.. IIImmppllliiiccaattiiioonnss oonn LLooccaalll GGoovveerrnnmmeennttss The review of the existing acts, rules, guidelines, notifications and circulars indicates that lot of powers and functions are vested with the Local Governments for the protection and conservation of the environment. Apart from these, there are many other environmental regulations and statutes, which indirectly requiring the Local Government to act upon. It can be seen that The Kerala Panchayat Raj Act 1994 and the Kerala Municipalities Act 1994 gives ample power to the Local Governments in the matter of environmental protection. A brief review of the applicability of these Acts, rules, regulations etc are summarized in Annexure IV.

Environmental and Social Assessment Report Kerala Local Government Service Delivery Project

The Ministry of Environment and Forests (MoEF) in Government of India has brought out various acts, rules, notifications and guidelines on environmental protection and conservation with a view to have uniform legislation and regulations for the country as a whole. Despite the fact that the environmental issues differ from place to place as well as from state to state, these statutes empower the State Governments or its concerned agencies to evolve stringent measures for the protection of environment, but restrain them from relaxing the measures. In other words, the environmental regulations brought out by the MoEF stipulate the minimum standards and measures that are required to protect our environment.

The various environmental laws and regulations, discussed in earlier chapter, give lot of powers and functions to the LGs. These powers and functions have overriding effects on all other laws. The review of the Kerala Panchayat Raj Act, 1994 and the Kerala Municipalities Act, 1994 indicates that vast powers and functions are included in these Acts for the protection and conservation of environment. Most of these provisions are identical to that provided in the Central acts, rules and regulations. But certain provisions in the Panchayat Raj and Municipalities acts are inconsistent with the Central Statutes. In such circumstances, the provisions in Central Statutes prevail over the other acts due to the overriding effect and the LGs should act in conformity with the Central statutes.

The review of implementation status of Central Statutes indicates that the awareness of LGs on the various provisions of the statutes is meager. There is lack of clarity on the precise role of LGs in the enforcement of these statues. Even the powers and functions to protect and conserve the environment entrusted with the LGs, as provided in the Acts under which they are constituted, are either least known or neglected by them. Apart from these, the State Government also delegate or entrust some of the powers and functions under the Central Statutes to the LGs. But, they are generally not attended to in the absence of clarity and follow up. Therefore, there is an urgent need for a broad based campaign among the public and intensive Information, Education and Communication (IEC) campaign among the officials and other functionaries of LGs to bring in more clarity for utilizing the provisions of various regulations on environmental protection.

It has been found that the technical expertise and staff available with LGs are inadequate to handle local environmental issues and enforcement provisions in the environmental statutes effectively. Infrastructure facilities such as monitoring equipments, trained manpower for operating the equipments, transportation, etc are mostly unavailable with the LGs. Multiplicity of statutes and reporting authorities also create confusion and uncertainty. In the circumstance, a comprehensive legislation has to be made or the Panchayat Raj Act and Municipalities Act amended by incorporating the various tasks and functions under the other Statutes and removing the anomalies. In addition, there is a need to strengthen the infrastructure and man power of the LGs to enhance their capabilities for enforcement and tackling local environmental issues.

The LGs in Kerala are in the process of institutionalization; and rapid transformation is taking place within them to perform the role of government rather than a project implementing agency. At this juncture, there is urgent necessity for extending necessary guidance, technical

Chapter 2 Policy, Legislation and Regulation

support, motivation etc. This is more so in the case of governance in the field of environment. In order to provide adequate technical support to the LGs and to facilitate and enable them in matters related to environmental protection, there is a need for an Environmental Cell or Mission under the LG Department. This is to provide technical, management, promotional, philosophical and enforcement support to different tiers of LGs. Though there are issue based missions, their interventions have been limited mostly to facilitation. Though these missions have been conceived for technical support and enabling the LGs to achieve or rapidly move towards environmental upgradation, their efficiency and performance level have been found poor or at the most moderate. Therefore, target based missions have to be integrated into a mission for achieving the goal of environmental upgradation. This necessitates the formation of an Environmental Cell or Mission in the LG Department with an overall goal of environmental upgradation of the State through LGs by integrating target orientated missions. Such a Cell or Mission should be strengthened with additional powers and infrastructure to give technical support to the LGs in all matters related to environmental protection and conservation and to review the progress of implementation of the measures taken by them. It should also be given powers to take stringent action on erring LGs.

Considering the developmental needs, the LGs are not in a position to allocate adequate fund for the protection and conservation of environment. There are various central and state agencies and departments like the Ministry of Urban Developments, Ministry of Rural Developments, Ministry of Non-Conventional Energy, Ministry of Environment and Forests, Ministry of Agriculture, Ministry of Industries, In short, a very strong IEC on laws Central Pollution Control Board, State Pollution related to environmental protection and Control Board, State Environment Department and conservation, strengthening of manpower other international agencies, which extend and infrastructure of LSGs and adequate fund and provision for continued programme or project based financial assistance to technical support are the immediate LGs for environmental protection and conservation. needs of LSGs in Kerala. In addition, a Unfortunately, information regarding such frame work for ensuring protection and conservation of environment will enable programmes or projects or scope of such financial them to stride towards persistent schemes are not reaching to the level of LGs or environmental upgradation. The they are not capable of preparing scheme to suit Environmental Assessment (EA) and Environmental Management Framework the requirements of the funding agencies and (ESMF) shall provide the right tool for availing these opportunities. There is necessity of LSGs in this regard Data Banks of such schemes and financial assistance to be created and made available to the Directorate of Municipalities and Directorate of Panchayat or attached with the proposed Environment Cell/Mission. The LGs should also be enabled to make use of such opportunities in tune with their policy and action plan they set for environmental upgradation and facilitate them to do the follow up with concerned agencies. A list of projects requiring prior environmental approval is given in Annexure 8.

Environmental and Social Assessment Report Kerala Local Government Service Delivery Project

22..66.. LLiiisstt ooff EEnnvviiirroonnmmeennttaallllllyy SSeennssiiittiiivvee AArreeaass // NNoo IIInntteerrvveennttiiioonn AArreeaass 2.6.1. Ramsar sites in Kerala • Ashtamudi Wetland in Kollam District of Kerala, India, is the second largest (614 sq km)and deepest wetland ecosystem, next only to the Vembanad estuary ecosystem of the state. • Sasthamkotta Lake(3.73 sq km), is the largest fresh water lake in Kerala, • Vembanad-Kol Wetland ( 1512.5 sq km)

2.6.2. CRZ 1 (No intervention areas) This includes areas delineated as CRZ 1 in the Coastal Zone Management Plan of the state.

2.6.3. Biosphere reserves • Nilgiri Biosphere Reserve (5,520 km²) established in 1986, includes parts of Wynad, Nagarhole, Bandipur and Mudumalai, Nilambur, Silent Valley and Siruvani Hills in Tamil Nadu, Kerala and Karnataka. • Agasthyamalai Biosphere Reserve (3,500 km²) established in 2001, covers parts of Thiruvananthapuram, Kollam and Pathanamthitta Districts in Kerala and Tirunelveli and Kanyakumari Districts in Tamil Nadu.

2.6.4. National parks • 1978 Eravikulam National Park, Idukki District, 97 km² • 1982 Periyar National Park, Idukki District, 350 km² • 1984 Silent Valley National Park, Palakkad District, 89.52 km² • 2003 Mathikettan Shola National Park, Idukki District, 12.82 km² • 2003 Anamudi Shola National Park in Idukki District is composed of Mannavan shola, Idivara shola and Pullardi shola, covering a total area of 7.5 km². • 2003 Pambadum Shola National Park Idukki District, 1.318 km² • Proposed Karimpuzha National Park, 230 km²

2.6.5. Wildlife sanctuaries • 1950 Periyar Wildlife Sanctuary, Idukki District, 427 km² • 1973 Wynad Wildlife Sanctuary Wayanad District, 344.44 km² (Elephant, Tiger) • 1973 Parambikulam Wildlife Sanctuary Palakkad District, 285 km² ( Nilgiri Tahr, Lion Tailed Macaque, Gaur & Elephant) • 1958 Neyyar Wildlife Sanctuary Thiruvananthapuram District, 128 km², ( Lion Tailed Macaque, Elephant, Nilgiri Langur, Crocodile, Shola birds. More than 150 endemics.) • 1958 Peechi Vazhani Wildlife Sanctuary Thrissur District, 125 km² • 1984 Chimony Wildlife Sanctuary 85 km² Thrissur District, (Elephant, Tiger) • 1984 Shenduruny Wildlife Sanctuary Kollam District, 171 km² (Tiger, Lion Tailed Macaque, Shola birds & lesser predators. Gluta Travancorica (tree)) • 1984 Chinnar Wildlife Sanctuary Idukki District, 90.44 km²(Nilgiri Tahr, Elephant, Dry habitat species of animals & birds)

Chapter 2 Policy, Legislation and Regulation

• 1976 Idukki Wildlife Sanctuary Idukki District, 70.0 km² (Elephant, Sambar) • 1984 Aralam Wildlife Sanctuary Kannur District, 55 km² Kannur District (Gaur, Sambar, Nilgiri Langur,) • 1983 Peppara Wildlife Sanctuary Thiruvananthapuram District, 53 km² ( Lion Tailed Macaque, Elephant, Shola birds) • 1983 Thattekadu Bird Sanctuary Idukki District, 25.16 km² ( Birds) • 2004 Mangalavanam Bird Sanctuary Ernakulam District, 0.0274 km², Almost at Sea level • 2006 Kurinjimala Sanctuary Idukki District, 32 km² (approx.) (Neelakurinji plant) • 2007 The Proposed Ranipuram Wildlife sanctuary in kasaragod district. Apprx 80 km2. (shola forests, Elephants, leopards, wild dogs, various species of birds, malabar civet cats, slender loris, macaque.etc) part of Brahmagiri biosphere

2.6.6.Tiger reserves 1978 Periyar Tiger Reserve 777.54 km² Idukki District 1950. (Tiger, Lion Tailed Macaque, Black Panther, Elephant, smaller mammals)

2.6.7. Reserve forests Attappadi - The 249 km² Attappadi Reserve Forest is an informal buffer zone conjoining Silent Valley National Park to the West. 81 km² of this forest was separated to become most of the new 94 km² Bhavani Forest Range which is part of the 147.22 km² Silent Valley Buffer Zone.

2.6.8. Mangrove sites in Kerala coast • Ernakulam& Mattancheri Channels(Thoppinpadi-Murukkumpadam) in Ernakulam District (1.69 km2) • Ernakulam& Mattancheri Channels in Ernakulam District (0.08 km2 ) • Chittari Puzha & Anela Puzha (Mangad-Kollam) in Kozhikode District (0.34) • Dharmadam-Edakkad in kannur District (0.26 sq km) • Dharmadam Puzha& Anjrakandi Puzha in Kannur District (2.46sq km) • Valapattanam estuary (Valapattanam-Narat) in kannur District (0.99 sq km) • Ramapuram Puzha (Pazhayangadi-Thekkumpad) in Kannur district (1.14 sq km) • Pazhayangadi estuary (PattavamKuppam) in Kannur Distrct (4.62 sq km )

A detailed list is given in Annexure 10.

Environmental and Social Assessment Report Kerala Local Government Service Delivery Project CChhaapptteerr 33 RReessppoonnssiibbiilliittiieess,, FFuunnccttiioonnss aanndd DDeevveellooppmmeenntt PPaarraaddiiggmm ooff LLooccaall GGoovveerrnnmmeennttss

33..11.. SSeeccttoorraalll RReessppoonnssiiibbiiillliiittiiieess ooff LLooccaalll GGoovveerrnnmmeennttss

Kerala has attempted to define the functions of the Local Governments as precisely as possible. The Act classifies the functions of various tiers of Local Governments as mandatory functions, general functions and sector wise functions. The following section outlines the functions of Grama Panchayats, Block Panchayat, District Panchayats and Municipalities.

33...11...11... GGrraammaa PPaanncchhaayyaatt A. Mandatory Functions 1. Regulating building construction. 2. Protection of public lands against encroachment. 3. Maintenance of traditional drinking water sources. 4. Preservation of ponds and other water tanks. 5. Maintenance of waterways and canals under the control of Village Panchayats. 6. Collection and disposal of solid waste and regulation of liquid waste disposal. 7. Storm water drainage. 8. Maintenance of environmental hygiene. 9. Management of public markets. 10.Vector Control. 11.Regulation of slaughtering of animals and sale of meat, fish and other easily perishable food stuffs etc. 12. Control of eating places. 13. Prevention of food adulteration. 14. Protection of roads and other public properties. 15. Street lighting and its maintenance. 16. Adopt immunisation programmes. 17.Effective implementation of National and State Level strategies and programmes for prevention and control of diseases. 18. Establishment and maintenance of burial and burning grounds. 19. Issue of licenses to dangerous and offensive trades. 20. Registration of births and deaths. 21. Providing bathing and washing ghats. 22. Provision for ferries. 23. Provision for parking spaces for vehicles. 24. Construction of waiting sheds for travelers. 25. Provision for toilet facilities and bathing ghats at public places.

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26. Regulate the conduct of fairs and festivals. 27. Issue license to domestic dogs and to destroy stray dogs.

B. General Functions 1. Collection and updating of essential statistics 2. Organise voluntary workers and make them participate in collective activities. 3. Organise campaigns for thrift. 4. Awareness building against social evils like drinking, consumption of narcotics, dowry, abuse of women and children. 5. Ensuing maximum peoples participation at all stages of development. 6. Organise relief activities during natural calamities. 7. Inculcating environmental awareness and motivating local action for environmental up gradation. 8. Promotion of co-operative sector. 9. Enhancing communal harmony. 10. Mobilisation of local resources in cash or in kind including free surrender of land for developmental purposes. 11. Campaign on legal awareness among weaker sections. 12. Campaign against economic offences. 13. Organising neighborhood groups and self-help groups focusing on the poor. 14. Awareness building on civic duties.

C. Sector-wise functions I. Agriculture 1. Cultivate waste lands and marginal lands. 2. Ensure optimum utilisation of land. 3. Soil protection. 4. Production of organic manure. 5. Establishment of nurseries. 6. Encourage the system co-operative group farming. 7. Organise self help groups among farmers 8. Encourage horticulture and vegetable cultivation. 9. Fodder development. 10. Plant production. 11. Seed Protection. 12. Farm mechanisation. 13. Management of Krishi Bhavans

II. Animal Husbandry and Diary farming 1. Cattle Development Programmes. 2. Diary farming. 3. Poultry farming, bee keeping, piggery development, goat rearing, rabbit rearing etc. 4. Running of veterinary hospitals. 5. Running of ICDP sub-centres. 6. Preventive Health Programmes for animals.

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7. Prevention of cruelty to animals. 8. Implementation of fertility improvement programmes. 9. Control of diseases of animal origin.

III. Minor Irrigation 1. Maintenance and implementation of all minor irrigation projects within the area of a village Panchayat. 2. Implementation and maintenance of all micro irrigation projects. 3. Put into practice water conservation.

IV. Fishing 1. Development of fisheries in ponds, pisci-culture in fresh water and brackish water and mariculture. 2. Improvement of fish seed production and distribution of off springs. 3. Distribution of fishing implements. 4. Provide assistance for fish marketing. 5. Provide minimum basic facilities for fishermen families. 6. Implementation of fishermen Welfare Schemes.

V. Social Forestry 1. Growing trees for cattle feed, fire wood and growing of fruit trees. 2. Organise campaigns for planting of trees and to build environmental awareness. 3. Afforestation of waste land.

VI. Small scale Industries 1. Promotion of cottage-village industries. 2. Promotion of handicrafts. 3. Promotion of traditional and mini industries.

VII. Housing 1. Identification of the homeless people and the puramboke dwellers and provide them with lands for house construction and with houses. 2. Implementation of rural housing programmes. 3. Implementation of shelter upgradation programmes.

VIII. Water supply 1. Management of water supply schemes within a village panchayat 2. Setting up of water supply schemes within a village panchayat.

IX. Electricity and Energy 1. Installation and maintenance of street lights. 2. Encourage the consumption of bio-gas.

X. Education 1. Management of Government Pre-primary Schools and Primary Schools.

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2. Implementation of literacy programmes. 3. Management and promotion of reading rooms and libraries.

XI. Public Works 1. Construction and maintenance of village roads within a village panchayat. 2. Construction of buildings for institutions including those transferred from the Government.

XII. Public Health and Sanitation 1. Running of dispensaries, Primary Health Centres and sub-centres (with all systems of medicines.) 2. Management of maternity and Child Welfare Centres. 3. Carry out immunisation and other preventive measures. 4. Implementation of family welfare programme. 5. Implementation of sanitation programmes.

XIII. Social Welfare 1. Running of Anganwadis. 2. Sanctioning and distribution of pension to destitute, widows handicapped and agricultural labourers. 3. Sanctioning and distribution of unemployment wages. 4. Sanctioning of financial assistance for the marriage of the daughters of widows. 5. Implementation of Group Insurance Scheme for the poor.

XIV. Poverty Alleviation 1. Identifying the poor. 2. Implementation of self employment and Group Employment Schemes for the poor especially for women. 3. Providing community assets of continuing benefits to the poor.

XV. Scheduled Caste-Scheduled Tribe Development 1. Implementation of beneficiary oriented schemes under S.C.P, T.S.P. 2. Running of nursery schools for Scheduled Caste-Scheduled Tribes. 3. Arrange basic facilities in Scheduled Caste-Scheduled Tribe Colonies. 4. Provide assistance to Scheduled Caste-Scheduled Tribe Students. 5. Provide discretionary assistance to Scheduled Caste-Scheduled Tribe when necessary.

XVI. Sports and Cultural Affairs 1. Construction of playgrounds. 2. Establishment of Cultural Centres

XVII. Public Distribution System 1. Examining the complaints against the Public Distribution System and find out and implement remedial measures. 2. Organise campaigns against offences relating to weights and measures.

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3. General supervision and guidance of Ration Shops, Maveli Stores, Neethi Stores and other public distribution systems and start new public distribution centres, if necessary.

XVIII. Natural Calamities Relief 1. Protection of Relief Centres. 2. Conduct works relating to natural calamity. The work to compensate damages caused to the assets should be done by the respective panchayats.

XIX. Co-operation 1. Organise Co-operative societies within the boundaries of village panchayat. 2. Strengthen [the existing co-operative institutions].

33...11...22... BBllloocckk PPaanncchhaayyaatt

(A) General Functions a) Utilise Governmental-non-Governmental technical expertise at block level. b) Provide technical assistance to Village Panchayats. c) Prepare schemes taking into consideration the schemes of village panchayats in order to avoid duplication and to provide backward, forward linkage.

(B) Sector-wise functions i. Agriculture (1) Farmers training programmes for the implementation at the village level. (2) Arrange agricultural inputs required for schemes at the village level. (3) Conduct of agricultural exhibitions. (4) Management of watersheds falling within the Block Panchayat area. (5) Mobilise agricultural loans. (6) Encouragement of Sericulture. ii. Animal Husbandry and Dairy Farming 1. Running of veterinary poly clinics and zonal artificial insemination centres. 2. Provide speciality services in animal husbandry. 3. Conducting of cattle and poultry shows. iii. Minor Irrigation Implementation and maintenance of all Lift Irrigation Schemes and Minor Irrigation Schemes, covering more than one village panchayat. iv. Fisheries Development of traditional landing centres. v. Small Scale Industries 1. Establishment of mini industrial estates. 2. Promotion of industries with investment limit of one third of S.S.I. 3. Formulation of self employment schemes in Industrial sector.

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VI. Housing 1. Popularisation of low cost housing. 2. Promotion of housing co-operative societies.

VII. Electricity and Energy Development of conventional energy sources

VIII. Education Management of Government Industrial Training Institutions.

IX. Public Works 1. Maintenance of Village roads connecting more than one village panchayat with the Block Panchayat and other roads vested in block panchayat. 2. Construction of buildings for institutions transferred from Government.

X. Public Health and Sanitation Running of community health enters and Taluk Hospitals with all systems of medicine within the Block Panchayat.

XI. Social Welfare Management of I.C.D.S.

XII. Poverty Alleviation 1. Planning and implementation of employment assurance schemes in coordination with the Village Panchayat. 2. Skill upgradation of poor for self employment and giving wage employment for people below poverty line.

XIII. Scheduled Caste/Scheduled Tribe Development 1. Management of pre-metric hostels. 2. Promotion of Co-operative Societies meant for Scheduled Caste/Scheduled Tribes.

XIV. Co-operation 1. Organising co-operatives within the jurisdiction of block panchayat. 2. Strengthening of co-operative institutions

33...11...33... DDiiissttrriiicctt ppaanncchhaayyaatt

(A) General Functions 1. Mobilisation of the technical expertise available from Government-non-Government institutions. 2. Provide technical assistance to Block Panchayats, Village Panchayats and Municipalities.

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3. Prepare schemes after taking into account the schemes of the Village Panchayat and the Block Panchayat to avoid duplication and to provide forward-backward linkage

(B) Sector-wise Functions I. Agriculture 1. Running of agriculture farms other than regional farms and research centers. 2. Integrated water-shed management in water-sheds covering more than one Block Panchayat area. 3. Provide for agricultural inputs. 4. Soil testing. 5. Pest control. 6. Marketing of agricultural products. 7. Cultivation of ornamental plants. 8. Promotion of agricultural co-operatives. 9. Promotion of commercial crops. 10. Application of bio-technology. 11. Popularization of innovative field trials and pilot projects. 12. Conduct of locally appropriate research and development.

II. Animal Husbandry and Dairy Farming 1. Running of district level veterinary hospitals and laboratories. 2. Running of dairy extension units. 3. Promotion of Milk co-operative societies. 4. Running of farms other than regional farms, breeding farms and research centers. 5. Implementation of district level training. 6. Implementation of disease prevention programmes. 7. Propagating new methods of field trials and pilot projects. 8. Locally relevant research and development.

III. Minor Irrigation 1. Development of ground water resources. 2. Construction and maintenance of minor irrigation schemes covering more than one Block Panchayat Command area development.

IV. Fisheries 1. Arrangements for Fish marketing. 2. Management of fish farm development agency. 3. Management of district level pisciculture centres, net making units, fish markets, feed mills, ice plants and cold storages. 4. Management of fisheries schools. 5. Introduction of new technologies. 6. Provide implements required for fishermen Promotion of fishermen's co-operative societies.

V. Small Scale Industries 1. Management of district industries centers.

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2. Promotion of small scale industries. 3. Setting up of industrial estates. 4. Organising exhibitions for sale of products. 5. Conduct of entrepreneur development programme. 6. Marketing of products. 7. Imparting training. 8. Create input service and common facility centers. 9. Implementation of industries development credit schemes.

VI. Housing 1. Implementation of housing complex and infrastructure development Mobilisation of housing finance.

VII. Water Supply 1. Implementation of water supply schemes covering more than one Village Panchayat. 2. Taking over of water supply schemes covering more than one Village Panchayat.

VIII. Electricity & Energy 1. Taking over of micro-hydal projects. 2. Determining priority areas for extension of electricity.

IX. Education 1. Management of Government high schools (including Lower and Upper Primary Schools attached to high schools). 2. Management of Government Higher Secondary Schools. 3. Management of Government Technical Schools. 4. Management of Government Vocational Training Centres and Ploytechnics. 5. Management of Government Vocational Higher Secondary Schools. 6. Management of District Institute for Educational and Training Co-ordination of centrally and State sponsored programmes related to education.

X. Public Works 1. Construction and maintenance of all district roads vested within the District Panchayat other than major district roads. 2. Construction of building for institutions transferred.

XI. Public Health & Sanitations 1. Management of district hospitals with all systems of medicines. 2. Setting up of centres for the care of special categories of handicapped and mentally disabled people. 3. Co-ordination of centrally and State sponsored programmes at district level.

XII. Social Welfare 1. Provide grants to orphanages. 2. Establishment of welfare centres for the handicapped and destitute.

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XIII. Poverty Alleviation 1. Providing infrastructure facilities for self employment programme.

XIV. Development of Scheduled Caste-Scheduled Tribe 1. Management of post metric hostels. 2. Management of vocational training cetnres for the Scheduled Caste/Scheduled Tribes.

XV. Sports and Cultural Affairs 1. Construction of stadium.

XVI. Co-operation 1. Organisation of co-operatives within the limits of District Panchayat. 2. Strengthening of the Co-operative institutions.

33...11...44... MMuunniiicciiippaallliiittyy

A. Mandatory Functions 1. Regulating building construction. 2. Protection of public land from encroachment. 3. Conservation of traditional drinking water sources. 4. Preservation of ponds and other water tanks. 5. Maintenance of waterways and canals under the control of the Municipality. 7. Stream water drainage. 8. Maintenance of environmental hygiene. 9. Management of public markets. 10. Vector control. 11. Regulation of slaughtering of animals and sale of meat, fish and other easily perishable food stuffs etc. 12. Control of eating-houses. 13. Prevention of food adulteration. 14. Maintenance of roads and other public properties. 15. Street lighting and its maintenance. 16. Adopt immunisation measures. 17. Effective implementation of National arid State level strategies and programmes for prevention and control of diseases. 18. Establishment and maintenance of burial and burning grounds. 19. Issue of licences to dangerous and offensive trades and industries. 20. Registration of births and deaths. 21. Providing bathing and washing ghats. 22. Arranging ferries. 23. Providing parking spaces for vehicles. 24. Construction of waiting sheds for travellers. 25. Providing toilet facilities and bathing ghats at public places.

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26. Regulating the conduct of fairs and festivals. 27. Issue licence to domestic dogs and destroy stray dogs. 28. Providing basic facilities in slum areas. 29. Amenities including foot path and road crossing facilities for pedestrians. 30. Preparation of detailed town planning and Action plan for implementation in a phased manner.

B. General functions 1. Collection and updating of essential statistics. 2. Organising voluntary workers and make them participate in collective activities. 3. Organise campaign for thrift. 4. Awareness building against social evils like drinking, consumption of narcotics, dowry and abuse of women and children. 5. Ensuring maximum people's participation in all stages of development. 6. Organise relief activities during natural calamities. 7. Inculcating environmental awareness and motivating local action for its upgradation. 8. Development of Co-operative Sector. 9. Promoting communal harmony. 10. Mobilising local resources in cash or in kind including free surrender of Land for developmental purposes. 11. Propagating legal awareness among the weaker sections. 12. Campaign against economic offences. 13. Organising neighbourhood groups and self-help groups with focus on the poor. 14. Awareness building on civil duties.

C. Sector-wise distribution of functions I. Agriculture 1. Bring into cultivation barren land and surrounding land. 2. Ensure optimum utilisation of land. 3. Soil conservation. 4. Production of organic manure. 5. Establishment of nurseries. 6. Promotion of co-operative-group farming. 7. Organising self-help groups among farmers. 8. Promotion of horticulture and vegetable cultivation. 9. Implementation of fodder crop development. 10. Encourage plant protection activities. 11. Development of seed production. 12. Implementation of farm mechanisation. 13. Running of Krishi Bhavans. 14. Organise Agricultural exhibitions.

II. Animal Husbandry and Dairy Farming 1. Implementation of cattle improvement programmes. 2. Increase the production of milk.

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3. Poultry farming, bee keeping, piggery development, goat rearing and rabbit rearing. 4. Running of veterinary hospitals. 5. Running of I.C.D.P. sub-centres. 6. Formulation and implementation of preventive-health programme for animals. 7. Prevention of cruelty to animals. 8. Implementation of fertility improvement programmes. 9. Control of animal origin disease. 10. Running of veterinary poly-clinics and Regional Artificial Insemination Centres. 11. Providing of speciality services in animal husbandry. 12. Conduct cattle-poultry shows.

III. Minor Irrigation: 1. Implementation and maintenance of all minor and lift irrigation projects within the Municipal areas. 2. Implementation and Maintenance of all micro-irrigation projects. 3. Carry out conservation of water. 4. Implementation of ground water resources development.

IV. Fisheries: 1. Implementation of Pisi-culture in ponds, fresh water and brackish in water, and development of marine products. 2. Promotion offish-seed production and distribution. 3. Distribution of fishing implements. 4. Providing assistance for fish marketing. 5. Providing of minimum basic services for fishermen families. 6. Implementation of fishermen welfare scheme. 7. Development of traditional landing centres. 8. Administrative control of fisheries schools.

V. Social Forestry: 1. Growing of trees for fodder or fuel and growing of fruit trees. 2. Organise campaign for planting of trees and environmental awareness. 3. Afforestation of waste land.

VI. Small Scale Industries: 1. Promotion of cottage-village industries. 2. Promotion of handicrafts. 3. Promotion of traditional and mini industries. 4. Establishment of Mini Industrial Estates. 5. Encourage the industries with investment of one-third of S.S.I. limit. 6. Formulate and implement self-employment schemes in Industrial Sector. 7. Promotion of small scale Industries. 9. Implementation of the entrepreneur development programmes.

VII. Housing:

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1. Identify the homeless and purampoke dwellers and to provide house sites and houses. 2. Implementing housing programmes. 3. Implementing the shelter rejuvenation programmes. 4. Popularising the low-cost housing. 5. Encourage housing co-operative societies. 6. Implement the development of housing complex and infrastructure. 7. Mobilise fund necessary for housing.

VIII. Water Supply: 1. Maintain water supply schemes within the respective Municipal area. 2. Arrange water supply schemes within the respective Municipalities.

IX. Electricity and Energy: 1. Install street lights. 2. Encourage the consumption of bio-gas. 3. Promote the non-conventional energy sources.

X. Education: 1. Run the Government pre-primary schools, primary schools and High schools. 2. Implement literary programmes. 3. Run the Government Industrial Training Centres in the Municipal area. 4. Run the Government Higher Secondary Schools in the Municipal area. 5. Run the Government Technical Schools in the Municipal area. 6. Run the Government Vocational Training Centres and Polytechnics in the Municipal area. 7. Run the Government Vocational Higher Secondary Schools in Municipal area.

XI. Public Works: 1. Construct and maintain the roads except National Highways, State Highways and major District roads within the Municipality. 2. Construction of building for institutions including those were transferred from Government.

XII. Public Health and Sanitation: 1. Run Dispensaries, Primary Health Centres and sub centres under all systems of medicines. 2. Conduct child welfare centres and mother care homes. 3. Organise remedial and other preventive measures against disease. 4. Implement family welfare programmes. 5. Implement sanitation programmes. 6. Run Public Health Centres and Taluk hospitals under all system of medicine, in Municipal area.

XIII. Social Welfare: 1. Run Anganvadis. 2. Sanction and distribute pension to destitute, widows, handicapped and agricultural labourers. 3. Sanction and distribute unemployment wages.

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4. Sanction financial assistance for the marriage of the daughters of widows. 5. Implement Group Insurance Scheme to the poor sectors. 6. Provide grant to orphanages. 7. Start institutions for the welfare of handicapped, destitute etc.

XIV. Eradication of poverty: 1. Identify the poor. 2. Implement self employment and group employment schemes for the poor, especially for women. 3. Create community assets to get continuing benefit to the poor. 4. Develop the skills of those below poverty line to do self- employment and for remunerative employment. 5. Provide basic facilities for self-employment schemes.

XV. Development of the Scheduled Caste/Scheduled Tribe: 1. Implementation of beneficiary oriented schemes under Special Component Plan (SCP) and Tribal Sub Plan (TSP). 2. Run Nursery schools for the Scheduled Caste/Scheduled Tribe. 3. Provide basic facilities in the residential centres for the Scheduled Caste/ Scheduled Tribe. 4. Provide financial assistance for the Scheduled Caste/Scheduled Tribe Students. 5. Provide assistance discretionally to the Scheduled Caste and the Scheduled Tribes who deserve. 6. Run Pre-rnetric hostels in Municipal area. 7. Develop Scheduled Caste/Scheduled Tribe Co-operative Societies. 8. Run post-metric hostels in Municipal area. 9. Run Vocational Training Centres for the Scheduled Caste/Scheduled Tribe in Municipal area.

XVI. Sports and Cultural Affairs: I. Construct playgrounds and studios.

XVII. Public Distribution system: 1. Examine Complaints against Public distribution system and to find out and implement remedial measures. 2. Organise campaigns against offences relating to weights and measures. 3. General Supervision of Ration shops, Maveli Stores, Neethi Stores and other public- distribution systems and to provide guidance, and start new public distribution centres if necessary.

XVIII. Natural Calamity relief: 1. Maintain relief centres. 2. Organise relief activities.

XIX. Co-operation: 1. Organise Co-operative Societies within the Municipal area. 2. Distribute Government grants and subsidies.

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33..22.. DDeeppaarrttmmeennttaalll DDeevveelllooppmmeenntt AAccttiiivviiittiiieess CCoonnvveerrggeenntt aatt LLooccaalll LLeevveelll A few of the major development interventions taken up as part of the Annual Plan are listed below. This is not an exhaustive list and the projects listed here are those that are convergent at Local level and/or those which have a bearing on the environment. A detailed description of these projects is provided in Annexure III.

33...22...11... AAggrriiiccuulllttuurree aanndd AAlllllliiieedd AAccttiiivviiittiiieess A. Crop Husbandry 1. Sustainable Development of Rice Based Farming System (Outlay INR 2300 lakh) 2. Coconut Development (Outlay INR 1525 lakh) 3. Development of Kuttanad Wetland Eco System (Outlay INR 83 lakh)

B. Soil and water conservation 1. Soil and Water Conservation on Water Shed Basis(Nabard Assisted RIDF Scheme) (Outlay INR 2500 lakh)

C. Animal husbandry 1. Commercial Dairy and Milkshed Development Programme (Outlay INR 600 lakh)

D. Fisheries Development 1. Modernisation of Craft and Popularisation of New Crafts - Conversion of OBMs to LPG (Outlay INR 15 lakh) 2. Distribution of suitable complements of Fishing Gear (SS 50%) (Outlay INR 10 lakh) 3. Development of Deep Sea Fishing (Outlay INR 25 lakh) 4. Matsyakeralam(New scheme) (Outlay INR 150 lakh) 5. NFWF Assisted Housing(SS 50%) (Outlay INR 350 lakh)

E. Other projects 1. Food Security Project(New Scheme) (Outlay INR 3600 lakh) 2. Rashtriya Krishy Vikas Yojana(RKVY) (Outlay INR 6011 lakh)

33...22...22... RRuurraalll DDeevveelllooppmmeenntt A. Rural Development 1. Swarnajayanthi Gram Swarozgar Yojana (SGSY) (Outlay INR 800 lakh) 2. SGSY (Special projects) (Outlay INR 433 lakh) 3. Indira Awaz Yojana - IAY (General) (Outlay INR 1451 lakh) 4. NREGP (Outlay INR 4000 lakh) 5. Attappady Environmental Conservation and Wasteland Development Project (Outlay INR 5600 lakh) 6. Integrated Wasteland Development Programme (IWDP)/HARIYALI (State Share 8.33%) (Outlay INR 100 lakh) 7. Clean Kerala Mission (Outlay INR 700 lakh)

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B. Community development and panchayat 1. Kudumbasree (Outlay INR 3000 lakh) 2. Special Development Fund for MLA – Area Development (Outlay INR 10575 lakh) 3. Burial ground (Outlay INR 170 lakh) 4. Setting up of slaughter House (Outlay INR 225 lakh)

33...22...33... SSppeecciiiaalll AArreeaa DDeevveelllooppmmeenntt PPrrooggrraammmmeess 1. Special Area Development – WGDP (Outlay INR 3235 lakh) 2. Special Area Development - Integrated Coastal Area Development Project (Outlay INR 1000 lakh) 3. Backward Region Grant Fund (Outlay INR 3427 lakh)

33...22...44... IIIrrrriiiggaattiiioonn aanndd FFllloooodd CCoonnttrroolll A. Major & Medium irrigation Karapuzha Irrigation Project (Outlay Rs.2090.00 lakh), Idamalayar Irrigation Project (Outlay Rs. 800.00 lakh) ,Banasurasagar Irrigation Project (Outlay Rs.700.00 lakh), Construction of Regulator – Cum- Bridge at Chamravattom (Outlay Rs.4000.00 lakh) ,Accelerated Irrigation Benefit Programme (AIBP) for rehabilitation Package (Outlay Rs. 4000.00 lakh) , Muvattupuzha Valley Irrigation Project (Outlay Rs.1200 .00 lakh).

B. Minor irrigation • Ground Water Development : Investigation and Development of Groundwater Resources (Outlay Rs. 400.00 lakh); Conservation of Ground Water and Artificial Recharge (Outlay Rs.30.00 lakh) ; Scheme for Control and Regulation of Ground Water Exploitation (Outlay Rs. 20 .00 lakh ) ; Rajiv Gandhi National Drinking Water Mission Scheme (S.S. 50%) (Outlay Rs. 55.00 lakh) • Surface Water Development: Lift Irrigation (Outlay Rs.740.00 lakh) ;Minor Irrigation Class – I (Outlay Rs.175.00 lakh) ;Minor Irrigation Class II (Outlay Rs. 100.00 lakh) ;Repairs and Maintenance of Minor Irrigation Structures (Outlay Rs.207 .00 lakh) ;Rural Infrastructure Development Fund Assistance (Outlay Rs. 4800 .00 lakh)

C. Command Area Development 1. Command Area Development Programme (SS 50%) (Outlay INR 220 lakh) 2. Restoration of water bodies (SS 25%) (Outlay INR 5 lakh) 3. Implementation of Participatory Irrigation Management (Outlay INR 2 lakh) 4. Local Level Water Resources Development and Management (Outlay INR 25 lakh) 5. Rural Infrastructure Development Fund assistance (Outlay INR 200 lakh)

D. Flood Control (including anti-sea erosion) 1. Pamba Action Plan (SS 30%) (Outlay INR 1 lakh) 2. Coastal Zone Management (Outlay INR 25 lakh) 3. Critical Anti Sea Erosion works in coastal and other than Ganga basin States (State share 25%)(Outlay INR 10 lakh) 4. Twelfth Finance Commission Award for Coastal Zone Management (Outlay INR 4375 lakh) Kerala Local Government Service Delivery Project

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33...22...55... EEnneerrggyy A. Power Development 1. Hydel projects: ongoing , completed and new schemes, Survey, Investigation And Environmental Studies , Research And Development Works, Transmission-Normal, Renovation And Modernisation Of Hydro Stations, Distribution normal 2. Rajiv Gandhi Grameen Vaidyuteekaran Yojana (RGGVY) Scheme (Outlay Rs. 3000.00 Lakh) 3. Accelerated Power Development & Reforms Programme (APDRP) (City scheme) Other ACA Scheme (Outlay Rs. 2250.00 Lakh) 4. Capital City Development (Outlay Rs. 40.00 Lakh) 5. Non-Conventional Source Of Energy & Wind Schemes –To Be Implemented By KSEB: Ramakkalmedu Wind Farm (5 MW / 11.6 MU) (Outlay Rs. 1000.00 Lakh) 6. Improvement Of Quality Power Supply In Municipalities And Corporations (Outlay Rs. 50.00 Lakh) 7. Rehabilitation Of Panniar Power House (Outlay Rs. 600.00 Lakh) 8. Coal Based Power Project (Outlay Rs. 2000.00 Lakh)

B. Non Conventional And Renewable Sources Of Energy 1. ‘Programmes of ANERT integrated with TESM and other Departments –Renewable Energy and Energy Management (Outlay INR 450 lakh) 2. Flagship Project On Rural Energy (TESM) (Outlay INR 1095 lakh) 3. RIDF-Scheme For Small Hydro Generation (Outlay INR 500 lakh)

33...22...66... IIInndduussttrryy aanndd MMiiinneerraalllss A. Village & Small Industries 1. Seed Capital loan to Small Scale Entrepreneurs (Outlay INR 350 lakh) 2. Industrial Co-operative Societies (Outlay INR 15 lakh) 3. Infrastructure Development (Outlay INR 324 lakh) 4. State Investment Subsidy (Outlay INR 800 lakh) 5. Kerala State Small Industries Development Corporation (SIDCO) (Outlay INR 20 lakh) 6. Agro based and Food Processing Industries (Outlay INR 100 lakh) 7. Promotion of Production of Ancillaries for Industrial Enterprises (Flagship Programme) 8. Small Industry Cluster Development Programme (Outlay INR 200 lakh) 9. Scheme for Women Entrepreneurs to set up Industrial Units 10. Construction of multistoried industrial estate ( One time ACA scheme) (Outlay INR 450 lakh) 11. Modernization and development of Industrial Estates at Kanjikode(Palakkad) and at Aroor(Alleppy) (One time ACA scheme)

B. Handicrafts 1. Entrepreneur Assistance Scheme in Handicrafts/Artisan Sector (Outlay INR 50 lakh) 2. Establishment of Common Facility Service Centres for Handicrafts (Flagship Programme)

C. Handloom and Power loom Industries 1. Upgradation to Powerloom/Modernisation of Factory Type Societies (Outlay INR 40 lakh)

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2. Establishment of Mini – Pre-loom Process Centres (warping and sizing units) (Outlay INR 100 lakh) 3. Technology Upgradation and Transfer of new Technologies to Handloom weavers/workers 4. Promotion of Master Weavers to set up Production Units 5. Partial Mechanisation of Preloom Processing 6. Establishment of Hank Yarn Production Centres at Kollam 7. Revitalisation of spinning mills under TEXFED (Outlay INR 300 lakh) 8. Integrated Handloom Development Scheme (IHDS) (CSS)

C. Coir Industry 1. Margin Money Loan to Entrepreneurs (Outlay INR 10 lakh) 2. Regulated Mechanization of Coir Industry (Outlay INR 500 lakh) 3. Production and Marketing Incentive (Outlay INR 100 lakh) 4. Mahila coir yojana (Outlay INR 25 lakh) 5. Establishment of New Factory for the Production of Jute-Coir Blended Yarn (Flagship Programme) 6. Establishment of New Factory for Manufacture of Coir Composite Boards (Flagship Programme) 7. Establishment of Defibering Mills (Outlay INR 1900 lakh) 8. Cluster development programme in Coir sector (New scheme) 9. Kerala Industrial Infrastructure Development Corporation (KINFRA) (Outlay INR 1500 lakh)

33...22...77... TTrraannssppoorrtt aanndd CCoommmmuunniiiccaattiiioonn A. Port and Light Houses Port department : Capital Dredging at Minor Ports (Outlay Rs. 101.00 lakh) ; Capital Repairs and Major Additions to Floating Crafts (Outlay Rs. 70.00 lakh) ; Land Acquisition for Providing Road / Rail connection and Development of Backup Areas in Selected Ports. Outlay Rs. 7.00 lakh); Development of Ports (Outlay Rs. 15.00 lakh) ; Beypore Harbour (Outlay Rs. 45.00 lakh) ; Vizhinjam Cargo Harbour (Outlay Rs. 17.00 lakh) ;Thangassery Cargo Harbour (Outlay Rs. 120.00 lakh) ; Development of Alappuzha Port (Outlay Rs . 25.00 lakh; Azhikkal Port (Outlay Rs. 300.00 lakh; Vizhinjam Deep Water International Container Transhipment Terminal (Outlay Rs.2500.00 lakh.

B. Roads and Bridges • PWD (National Highways): Roads of Economic Importance (50% CSS ) (Outlay Rs.484.00 lakh) ; Development of Urban links in NH (Outlay Rs. 10.00 lakh); • PWD State Highways : Development and Improvement (SH) (Outlay Rs. 300.00 lakh) ; Bridges and Culverts(SH) (Outlay Rs. 100.00 lakh). • Major district roads: Development and Improvement(MDR) (Outlay Rs. 515.00 lakh); Bridges and Culverts(MDR) (Outlay Rs. 251.00 lakh); Roads in Thiruvananthapuram, Kochi, Kozhikode, Kollam and Thrissur cities. (Outlay Rs. 100.00 lakh) ; Railway Safety Works (Outlay Rs.100.00 lakh; Road Safety Works (Outlay Rs.25.00 lakh); Kerala State Transport Project (KSTP) (Outlay Rs. 35000.00 lakh); Construction and Improvement of Bridges – NABARD assisted work (Outlay Rs. 7000.00 lakh) ; Construction and Improvement of Roads – NABARD assisted work (Outlay Rs.7700.00 lakh) ; Sabarimala Road Project (Outlay Rs.

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600.00 lakh); Rolling Heavy Maintenance Programme for the State Highways (Outlay Rs. 600.00 lakh).

C. Road transport • Establishment of Vehicle Testing Station (Outlay INR 125 lakh) • Driver Testing Yards (Outlay INR 42 lakh)

D. Inland water transport • State Water Transport Department : Land, Building and Terminal Facilities (Outlay Rs.50.00 lakh) ; • Acquisition of Fleet and Augmentation of Ferry services (Outlay Rs. 250.00 lakh; Workshop Facilities (Outlay Rs.100.00 lakh) ; Purchase of New Engine and Reconstruction of Old Boats (Outlay Rs.100.00 lakh) • Kerala Shipping and Inland Navigation Corporation Ltd. • Coastal Shipping and Inland Navigation Department : Inland Canal Scheme - (State sector) (Outlay Rs.200.00 lakh) ; Twelfth Finance Commission Award Scheme ( Grant – in Aid) (Outlay Rs.5625.00 lakh); RIDF Schemes (Outlay Rs.4000.00 lakh • Other transport services: Metro Rail System in Kochi City (Outlay Rs 50.00 lakh) ; Rail Coach Factory at Palakkad (Outlay Rs.50.00 lakh)

33...22...88... SScciiieennccee ,,, TTeecchhnnoolllooggyy aanndd EEnnvviiirroonnmmeenntt Information Technology • Kerala State Information Technology Infrastructure Company (Outlay INR 1000 lakh) • Land Acquisition and Infrastructure Development Under IT-Techno Park, Info Park and Cyber Park (Outlay INR 4000 lakh) • IT park at Ambalapuzha

Forestry and Wild life • Management of Natural Forests : Consolidation of forests (Outlay Rs.175.00 lakh) ; Forest Protection (Outlay Rs. 1070.00 lakh) ; Regeneration of Degraded (Denuded) Forests (OutlayRs.200.00 lakh) • Improving productivity of plantations: Hardwood Plantation (Outlay Rs.40.00 lakh) ; Industrial raw material Plantation (Outlay Rs 400.00 lakh) • Infrastructure (Outlay INR 260 lakh) • Bio-diversity Conservation and Protected Area Management : Conservation of Bio-diversity (Outlay Rs. 110.00 lakh); Management of Sanctuaries and National Parks (50% CSS) – State Share (Outlay Rs. 762.00 lakh); Eco-Development Programme (Outlay Rs.25.00 lakh); Integrated Forest Protection Schemes – (State Share - 25%) (Outlay Rs. 150.00 lakh); Eco Tourism (Outlay Rs. 100.00 lakh) • Extension Forestry (Outlay INR 300 lakh) • Management of Non-wood Forest Products (Outlay INR 160 lakh) • Rural Infrastructure Development Fund (Outlay INR 500 lakh) • Twelfth Finance Commission Award (Outlay INR 500 lakh)

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Ecology and Environment • Eco Restoration of Wet lands (Outlay INR 120 lakh) • River Action Plan (Outlay INR 500 lakh) • Protection of catchments of reservoirs of Water Supply Schemes (Outlay INR 20 lakh) • Air and Water Quality Monitoring (Outlay INR 10 lakh)

33...22...99... GGeenneerraalll EEccoonnoommiiicc SSeerrvviiicceess Secretariat Economic Services • Plan Monitoring, Administrative Reforms, Sectoral Reforms and Good Governance under State Planning Board (Outlay INR 246.75 lakh) • Assistance for Project Preparation (Outlay INR 40 lakh) • Tsunami Rehabilitation Programme (other ACA) (Outlay INR 24700 lakh)

Tourism • Tourist Resort (Kerala) Ltd • Development of Bekal Beach Resorts • Up-gradation and Creation of Infrastructure at Tourist Centre and Development of Innovative Tourism Products (Outlay INR 1300 lakh) • Development of Eco tourism products (Outlay INR 150 lakh) • Incentives for Creation of Infra Structure Facilities and Tourism Products in Private sector • RIDF Schemes (Outlay INR 1500 lakh)

Social Services • Medical and Public Health : Disease Surveillance programme (50% State share) (Outlay INR 160 lakh); Surveillance and control of communicable diseases. (Outlay INR 125 lakh); Hospital Waste management (Outlay INR 20 lakh); Hospital Waste Management in medical colleges and hospitals (Outlay INR 50 lakh); • Water Supply and Sanitation : Sewerage Schemes (Outlay INR 250 lakh); Water Supply Schemes to Medical College Hospitals; Urban Water Supply Schemes- Improvement and Rehabilitation of Existing Schemes (Outlay INR 300 lakh); Rural Water Supply Schemes- Improvements to the Existing Schemes (Outlay INR 250 lakh); JBIC Assisted Kerala Water Supply Project (Outlay INR 90000 lakh); Matching Assistance for LIC Assisted Rural Water Supply Schemes (Outlay INR 100 lakh); Restructured Central Rural Sanitation Programme (Total Sanitation Campaign) (25% State Share) (Outlay INR 600 lakh); Completion of World Bank aided Kerala Rural Water Supply Project – Jalanidhi ; Water Supply Schemes to Rural Schools (50% State Share) (Outlay INR 100 lakh); Completion of Rural Water Supply Schemes other than ARWSP Schemes.; NABARD Assisted Rural Water Supply Schemes (Outlay INR 3700 lakh); Guruvayoor Drainage Scheme; Water Supply Scheme to Guruvayoor and Adjoining Areas ; Accelerated Rural Water Supply Project (ARWSP) (50% State Share) (Outlay INR 500 lakh); Special Package for completing the Urban Water Supply Schemes (Outlay INR 2000 lakh); Add on Project of Jalanidhi - World Bank aided Scheme (Outlay INR

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3100 lakh); Improvements of RWSS to Cheriyanadu in Alappuzha Panchayath; Scaling up of Rain Water Harvesting and Ground Water Recharge Programme • Housing : Reconstruction of One Lakh Housing Scheme (MN LAKSHAM VEEDU PUNARNIRMANA PADHATHI); Suraksha Housing Scheme (Outlay INR 200 lakh) • Urban Development: Urban Infrastructure Development Scheme for Small and Medium Towns (UIDSSMT) (Outlay INR 3696 lakh); Provision of Urban amenities in Rural Areas (PURA); Scheme for preparing Master Plans and Detailed Town Plans (Outlay INR 250 lakh); Swarna Jayanthi Shahari Rozgar Yojana (25% SS) (Outlay INR 320 lakh); Integrated Housing and Slum Development Programme (IHSDP) (Outlay INR 12800 lakh); Basic Services to the Urban Poor (BSUP) (Outlay INR 20000 lakh); Jawaharlal Nehru National Urban Renewal Mission (JNNURM) (Outlay INR 24865 lakh); Kerala Sustainable Urban Development Project (Externally Aided Project) (Outlay INR 22091 lakh) • Welfare Of Scheduled Castes, Scheduled Tribes And Other Backward Classes : House to Houseless (Outlay INR 5000 lakh); Land to landless (Outlay INR 3000 lakh); Purchase of land to landless SCs for construction of houses (One time ACA); Rural Development Schemes; Housing Programme for ST (Outlay INR 500 lakh); Extension of Kudumbashree to Tribal Areas (Outlay INR 50 lakh); Resettlement of Landless Tribals (Outlay INR 2500 lakh); Support to the Tribal Mission for Resettlement of Landless Tribals (ACA); Enhancement of Facilities in Tribal Areas (Second phase) (One Time ACA) (Outlay INR 200 lakh); Drinking Water Supply to Tribal areas of Idukki District (ACA) (Outlay INR 30 lakh); Drinking Water • supply to Tribal Areas of Wayanad (ACA); Rural Development Schemes- Indira Awaz Yojana – TSP (25% State Share) (Outlay Rs 336.00 lakh) and Swarnjayanthi Gram Swarozgar Yojana – TSP (25% State Share) (Outlay Rs 580.00 lakh)

33..33.. EExxiiissttiiinngg AApppprroovvaalll PPrroocceessss Detailed guidelines for preparation of Annual Plans and Five Year Plans are issued by the state government from time to time. The guidelines issued for X1th five year plan seeks to consolidate the gains of decentralized planning , address issues and challenges emerging from the experience of the last ten years and achieve proper institutionalization of decentralization in the State.

33...33...11... GGuuiiiddeellliiinneess ffoorr LLooccaalll GGoovveerrnnmmeennttss The core objectives of People’s Plan would be revitalization of agriculture and promotion of local economic development along with improvement of public services with focus on the poor. The methodology aims at improving the quality of planning and preparing District Plans, with enhanced participation of the people and support of professionals.

The core of the new methodology would be the preparation of integrated Watershed Management plans, following the principles of iterative, multi-level planning, with local watershed plans being prepared with a full understanding of the River Basin issues and being organically merged to form a River Basin Management plan. This process will be highly participatory, involving agricultural workers, farmers, all those dependant on natural resources and farm produce for their livelihood, and officials, professionals and activists concerned. The outputs would be implementable action plans for increasing production and productivity in

Kerala Local Government Service Delivery Project Chapter 3 121 Responsibilities, Functions and Development Paradigm of Local Governments agriculture and other allied sectors. The outcomes are expected to be progressive restoration of water - land - biomass balance and improved livelihood opportunities based on sustainable natural resources management.

33...33...22... WWoorrkkiiinngg GGrroouuppss Working Groups are mandatory for the following sectors for the Eleventh Five Year Plan.

(1) Watershed Management including Environment, Agriculture, Irrigation, Animal Husbandry, Dairying, Fisheries and related sectors. (2) Local Economic Development other than agriculture including local industries, promotion of private and community investment and mobilization of credit. (3) Poverty Reduction including housing (4) Development of Scheduled Castes (5) Development of Women and Children (6) Health (7) Water Supply and Sanitation including Solid Waste Management (8) Education, Culture, Sports and Youth (9) Infrastructure (10) Social Security including care of the aged and disabled (11) Energy (12) Governance Plan

In addition, for all Local Governments having allocation under Tribal Sub Plan, a separate Working Group for Development of Scheduled Tribes should be set up. In Urban Local Governments, the Working Group on Poverty Reduction would look after Slum Development.

Each Working Group, should be headed by an elected member and a leading expert in the sector concerned should be nominated as the Vice- Chairman of the Working Group. The Convener of the Working Group should be the senior most official transferred to the local government in that sector. Other professional officials shall be its members. Members of a Working Group should be experts capable of contributing to it, specially invited by the Local Government. At least one member of the Kudumbashree CDS should be included in all the Working Groups and in the case of Working Groups on Poverty Reduction, Development of Women and Children, Development of Scheduled Castes at least two members of the CDS have to be included. SC Promoters should be nominated to all Groups.

The Working Groups have to prepare the following in respect of each sector: • A comprehensive review of the schemes implemented in Ninth and Tenth Five Year Plans by Local Governments. List out major schemes implemented in the sector by Government and other agencies within the Local Government. The database, relevant to the sector, shall be prepared from all available secondary sources. If required quick surveys and studies may be taken up to fill up gaps. • Note on issues in the planning, implementation and monitoring aspects in the last ten years.

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• Preparation of problem matrix for the sector and note on key issues facing the sector, existing gaps, local potential for development in the sector, strategies for addressing the issues and achieving the potential for development. • Prepare the list of potential projects - for Plan and Maintenance Plan

For these tasks, the Working Group may verify records, conduct field visits, discuss with a sample of beneficiaries of the scheme, discuss with key stakeholders and conduct surveys and studies.

33...33...33... GGrraamm SSaabbhhaa // WWaarrdd CCoommmmiiitttteeeess Pre-Grama Sabha/Ward Sabha consultations with key stakeholders, held for preparation of Annual Plan, will be relied on for the preparation of Five Year Plan. Grama Sabhas / Ward Sabhas would be held after sufficient environment creation and information dissemination through the media as well as specifically through educational institutions, people’s organizations, work places and the Kudumbashree network. Six facilitators should be trained for each Grama Sabha/ Ward Sabha. The agenda should be semi-structured, through a questionnaire covering key development issues within the Local Government as a whole, rather than local issues. Detailed thematic discussions are to be held in break-out groups.

In the case of Block Panchayats, Grama Sabha like sessions would be held with all elected members of Village, Block and District Panchayats within their jurisdiction; in the case of District Panchayats this exercise would be limited to Standing Committee Chairpersons of Grama Panchayats and elected members of Block Panchayats and the District Panchayat.

33...33...44... PPrreeppaarraattiiioonn ooff DDeevveelllooppmmeenntt RReeppoorrtt aanndd VViiissiiioonn ddooccuummeenntt::: For preparation of the Development Report and Vision Document, each Local Government should nominate a team consisting of officials and resource persons. The District Panchayats would not have a separate Development Report and Vision Document. The District Planning Committee would prepare the Development Report and Vision Document for the whole district. The development Reports and Vision Documents of Urban Local Governments would be prepared as City Development Plans incorporating the points laid down by the Jawaharlal Nehru National Urban Renewal Mission (JNNURM) as well.

Development Report would primarily analyze the development situation in the Local Government in respect of different sectors and also present an overall assessment of development. It will use all data available locally and also collect additional data required specially for the purpose. Development Report would summarise the strategies followed in the Ninth and Tenth Plans, the key project interventions and their outcomes as assessed by the Working Groups as well as the beneficiaries. The Vision Document, which would be added to the Development Reports, would go beyond five years and give the vision of overall development of the Local Government, as well as development in different sectors.

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33...33...55... PPrreeppaarraattiiioonn ooff DDrraafftt PPlllaann aatt LLooccaalll GGoovveerrnnmmeenntt LLeevveelll Each Local Government would decide the broad allocations for different sectors and call a meeting of Working Groups and arrive at a consensus on key strategies and priority schemes. This meeting should finalize the Discussion Paper containing the draft Plan proposals. The Anti Poverty Sub Plan, Governance Plan, Maintenance Plan and wherever applicable, the Tribal Sub Plan should be separate documents where full details would be presented.

33...33...66... DDeevveelllooppmmeenntt SSeemmiiinnaarr Development Seminars would be held with the participation of key representatives from different walks of life and professionals, including two representatives nominated by each Grama Sabha/Ward Sabha, one male and one female. The Draft Plan and Maintenance Plan would be discussed in these seminars through group discussions. The gist of the Development Report and Vision Document would be circulated. The Development Seminar would thus fine- tune the specific strategies to be followed and fix the priorities. Each Local Government should have a key development theme for the Plan as a whole or for each of the five years related to the broad themes for the district developed by the DPC.

The elected Councils of local governments would meet along with key members of Working Groups and consider the suggestions and recommendations of the development seminar and make suitable modifications of priorities, strategies and allocations.

The Working Groups would then prepare detailed project reports within their allocation in the formats to be prescribed. The working group shall be responsible for proper technical assessment in matters like suitable type of irrigation projects, mix of measures in watershed management, source sustainability in water supply programmes, technological and managerial soundness in sanitation projects etc. The Working Groups should give accurate assessment of cost as well as environmental implications of projects having such implications.

Plan finalization would be done by the Local government and all relevant documents shall be submitted to the District planning committee for approval.

33...33...77... TTeecchhnniiiccaalll AAddvviiissoorryy GGrroouupp (((TTAAGG))) Technical Advisory Groups (TAGs) are constituted at the district level for Block Panchayats and District Panchayat, at the Block level for Village Panchayats and at the Municipality/Corporation level for Municipalities /Corporation. The members of TAG will be experts from departments, professional colleges, academic institutions, public/private sector organizations, NGOs, Bankers and from among retired personnel and practitioners. The District Collector would be the Chairman and District Planning Officer the Convener and Secretary of district level TAG. The Secretary concerned, would be the Convener and Secretary of other TAGs. The TAGs should have sub groups for different sectors.

The functions of the TAGs are: (1) Ensuring that local government plans are in accordance with the mandatory guidelines issued by Government, particularly in relation to investment ceilings for the broad sectors,

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124 Environmental and Social Assessment Report Kerala Local Government Service Delivery Project subsidy limits, sectoral guidelines, priorities to various groups, ineligible categories for assistance etc. (2) Ensuring that the plans are in accordance with prevailing technical guidelines. (3) Verifying whether the costing is appropriate and the phasing is reasonable. (4) Giving suggestions for innovative plans and integrated projects, which Local Governments may accept if they so desire.

The TAG sub groups should go through every project in detail, visit sites if required and make suitable recommendations to the DPC. In case the TAG identifies any problem with Local Government projects it should hold discussions with the elected head and the implementing officer concerned of the Local Government and sort out matters across the table. No plan, which does not have the required allocation for the mandatory schemes, should be forwarded to DPC.

The draft Plan of District Panchayats and Corporations should be submitted to a State Level Technical Group after vetting by TAG.

33...33...88... DDiiissttrriiicctt PPlllaannnniiinngg CCoommmmiiitttteeee The projects vetted by the Technical Advisory Groups should be considered in detail by the District Planning Committees (DPCs). Technical Advisory Groups may be asked to present their assessments before the DPC and a considered decision taken. DPCs should go beyond ensuring adherence with guidelines, to verifying whether the plans of local governments match the priorities outlined in their vision documents as well as the district vision. Also DPCs should not give ad-hoc clearances or conditional clearances. If DPCs feel that modification of a Local Government plan is necessary, discussions should be held with key representatives of the Local Government including the elected head. If there is a dispute that cannot be sorted out locally, the matter may be referred to the Co-ordination Committee at the State level.

The DPC would coordinate the preparation of decentralized plans and also integrate them into a District Plan. The DPC would take the lead in the preparation of the following plans with special methodologies: (i) Watershed management and local economic development plan (ii) Health plan (iii) Education plan (iv) Total sanitation plan (v) Water Supply Plan (vi) Energy plan (vii) Connectivity Plan (viii) Special Component Plan (ix) Tribal Sub Plan (x) Anti-poverty Sub Plan (xi) Women Component plan (xii) Plan for children (including ICDS), aged and the disabled (xiii) Governance Plan (xiv) Plan for Sports. The DPC would integrate all the plans into a District Plan with a spatial platform.

Kerala Local Government Service Delivery Project Environmental and Social Assessment Report Kerala Local Government Service Delivery Project

Chapter 4 Environmental Baseline and Implications of Development Interventions at the Local Level

4.1. Introduction

his chapter looks at the environmental baseline pertaining to the state of Kerala vis-à-vis TTaspects relevant to the proposed local government strengthening project. The physical and biological environment in the state has been discussed in addition to sectors such as agriculture, irrigation, fishery, industry, water& sanitation, pulic works, housing etc. To illustrate typical local environmental issues in context of specific Local Governments, a discussion on the State of the Environment (SoE) report 2005, of sample gram panchayaths and municipalities has been included. These reports delineate typical environmental issues, their implications and the LSG’s / community’s response at the local level.

The Panchayati Raj Act of Kerala defines a host of mandatory functions, general functions and sectoral functions to be performed by three tier local self government institutional set-up. The long list of functions mentioned in the act, encompass a diverse spectrum of sectors and services. Consequently, the nature of environmental and social (E&S) implications resulting from the performance of these varied functions also spans an equally wide range. While the E&S impacts in respect of certain functions could be of substantially adverse nature, impacts in respect of certain other functions could be, on the other hand, outright beneficial, which is exactly opposite of the former. Further, certain other act functions may be completely neutral in terms of E&S impacts.

In addition to the above, an attempt has been made to develop an in-depth understanding of adverse E&S impacts that can be caused by sectoral programmes and interventions by development departments under state and central schemes by including them as well in the environmental and socal analysis carried out as above, using the same activity-impact matrix method.

Subsequently, to get a first hand feel of the development paradigm and environmental concerns of local bodies, structured focus groups discussions were organized in selected three tier Panchayats and Urban Local Bodies. This Chapter summarises the environmental baseline, findings of the the activity-impact matrix analyisis and the highlights of the Focus Group Discussions conducted in selected local bodies.

4.2 Environmental Baseline The state of Kerala is situated at the western edge of the tip of the Indian peninsula. The topography in this region is unique in the sense that the land mass rises from 5m below sea level in the west to the towering heights of 2695 m above mean sea level in the east within a relatively short span of 120 km. The state has a geographical area of 38863 sq. km with a base length of 560 km along the coast and width ranging from 11km to 124 km. Physiographically, there are three natural regions namely, lowlands, midlands and the highlands which have very different climates and ecology. The three regions are shown in the map given in Fig 4.1.

Kerala Local Government Service Delivery Project 130 Environmental and Social Assessment Report Kerala Local Government Service Delivery Project

Figure 4. 1: Topograpical regions in Kerala (source www.prokerla.com)

Geologically, there are four major rock formations namely, crystallines, sedimentaries, laterites and recent and sub recent sediments. Though Kerala has a variety of mineral deposits, they are not plenteous. The sandy beaches of Kerala contain ilmenite, the main ore of titanium, and rutile (titanium oxide).

There are extensive deposits 1 of white clay and commercially valuable deposits of graphite, lignite (brown coal), limestone, and mica in Kerala. Iron ore has been found at Calicut. Kerala's monazite, magnetite, sillimanite, and zircon deposits are largely undeveloped. Apart from this the beach sand of Kerala is rich in radioactive elements. Although it has been proved that there are deposits of gold at some places of Wayanad, Kozhikode and Malappuram districts, mining is yet to start. Neendakara, Chavara and Kayamkulam regions have ample deposits of illuminate, magnetite, zircon etc. Following are some other mineral deposits found in Kerala:

• White Clay: Various places of Thiruvananthapuram district have rich deposits of white clay. Apart from this Kundara and Chattannur of Kollam district are famous for their plenteous deposits of China clay. This china clay is extensively used for the production of ceramic wares and materials such as electric fuses.

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131 Chapter 4 Environmental Analysis of Developmental Interventions at Local Level

• Graphite: Thiruvananthapuram and Kollam districts of the state have abundant deposits of graphite. Being a multipurpose mineral, graphite is used in making a variety of products.

• Silica sand: This is the main constituent of glass and therefore the major raw material of glass industry. Silica is found in various part of Alappuzha district like Cherthalai, Panavalli, Pallippuram etc.

• Iron ore: Deposits of Iron ore has been found at various places surrounding Kozhikode.

• Bauxite: Fairly large deposits of bauxite have been found at various places of the Kollam district like Shooranadu, Adichanelloore etc.

4.2.1 Demography Kerala's population as per Census 2001 was 318.41 lakh, 3.1% of that of the country. Among the districts in Kerala, Malappuram has the highest population of 36.3 lakh while Wayanad has the lowest at 7.87 lakh. The population density of the state is about 819 people per square kilometres, three times the national average. Kerala is one of the densest States in the country. The district wise population figures for the state are given in Table 4.1.

Table 4.1: Kerala Districtwise Population Among the districts of Kerala, District Population Males Females Alappuzha has the highest density 2 Thiruvananthapuram 32 ,34 ,356 15 ,69 ,917 16 ,64 ,439 of population with 1489/Km and 2 Kollam 25 ,85 ,208 12 ,49 ,621 13 ,35 ,587 Idukki has the lowest with 252/Km . The decadal growth rate had been Alappuzha 21 ,09 ,160 10 ,14 ,529 10 ,94 ,631 at higher rate from 1941 to 1971 Pathanamthitta 12 ,34 ,016 5,89 ,398 6,44 ,618 and since then the growth rate has Kottayam 19 ,53 ,646 9,64 ,926 9,88 ,720 been declining. The state recorded Idukki 11 ,29 ,221 5,66 ,682 5,62 ,539 a decadal population growth of + Ernakulam 31 ,05 ,798 15 ,38 ,397 15 ,67 ,401 9.42% (1991-2001). Among the Thrissur 29 ,74 ,232 14 ,22 ,052 15 ,52 ,180 districts, Pathanamthitta had the Palakkad 26 ,17 ,482 12 ,66 ,985 13 ,50 ,497 lowest decadal growth rate of Kozhikode 28 ,79 ,131 13 ,99 ,358 14 ,79 ,773 population of 3.72% and Malappuram, the highest growth Wayanad 7,80 ,619 3,91 ,273 3,89 ,346 rate of 17.22%. Kerala, with a sex- Malappuram 36 ,25 ,471 17 ,54 ,576 18 ,70 ,895 ratio (females per 1000 males) of Kannur 24 ,08 ,956 11 ,52 ,817 12 ,56 ,139 1058, is the only state in India with Kasargod 12 ,04 ,078 5,88 ,083 6,15 ,995 a positive figure. This indicates very Total 3,1 8,41,374 1,5 4,68,614 1,6 3,72,760 high potential for economic growth. Source : Census India 2001 The proportion of people in the working age group is 63.4% in Kerala as against 55.6% in India. As per 2001 Census, the total number of old age persons was 33.36 lakh, with highest percentage of old age population in Alappuzha district. 74% of the population lives in rural areas. The population growth and decadal growth rate of Kerala are

132 Environmental and Social Assessment Report Kerala Local Government Service Delivery Project depicted in Figure 4.2. In the human development and related indices Kerala occupies prime position among the Indian States.

Figure 4.2: Trends in population growth in Kerala

30 350 POPULATION- DECADAL GROWTH RATE POPULATION GROWTH- KERALA 300 25 Rural 250 Urban 20 200 Total 15 150 100 10 Growth rate (%) rate Growth Population in lakhs 50 5 0

1 1 1 1 0 5 6 7 8 91 9 9 9 1901 1911 1921 1931 1941 19 19 1 1 1 2001 1901 1911 1921 1931 1941 1951 1961 1971 1981 1991 2001

4.2.1 Land use The landscape of Kerala is a result of marine, fluvio-marine/estuarine, fluvial, denudational cum depositional and denudational processes. As a result, the low land is characterized by beaches, coastal plains, river terraces, marshes and lagoons. The midland consists of dissected peneplains with numerous flood plains, terraces, valley fills and colluviums. The high ranges run parallel to the coast from south to north with a break at the Palghat gap region. The denudation process with ever active tectonics resulted in 44 river basins, 1750 sub basins and 4452 mini watersheds. The increased pressure on land for more resources and accelerated human interventions in the form of mining, quarrying, filling of low lands along with all the ingredients like high rainfall, undulating topography etc has led to significant land modifications influencing the biophysical system and adversely affecting the ecological security and environmental stability. The major environmental issues confronting land environment are land use change, mining, soil erosion and soil quality deterioration. There are various initiatives to mitigate/manage these issues, in order to upgrade the overall environmental systems.

Figure 4. 3: Land use distribution in Kerala Source : http://www.kerenvis.nic.in/pdftables/land1.pdf Figure 4.3 shows the land use pattern in Kerala. It can be seen from the figure that about 55% of the land is under cultivation. 28% of the state is covered by forests. The amount of land under non-agricultural uses is about 11%. These are the main three categories accounting for more than three-fourths if the total area of the state. The rest of the land uses such as barren / uncultivated land, land

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133 Chapter 4 Environmental Analysis of Developmental Interventions at Local Level under miscellaneous tree crops, permanent pastures and grazing land and cultivable waste land account for very small portions of the overall land share.

Table 4.2 : District wise Land Use for Kerala for the year ending 2007- 08 (in Hectares)

Not Available For Cutivation Other Uncultivated Land Excluding Fallow Land Fallow Land

Permane Area Fallow Area Barren nt Misc Tree For Lands Total Under and Pastures Crops and Culturable Net District Land Other Current Cropped Forests Non Un Total and Groves not Waste Total Total Area Sown Utilisation than Fallow Area Agricultural Culturable Other Included in Land Statistics Current Uses Land Grazing Net Area Fallows Lands

ALAPPUZHA 141011 0 33178 149 33327 0 153 13956 14109 4462 4634 9096 84479 109455 ERNAKULAM 305826 70617 51734 405 52139 1 131 8182 8314 53 08 9749 15057 159699 184773 IDUKKI 436328 198413 23077 2615 25692 171 248 1517 1936 892 1032 1924 208363 295783 KANNUR 297112 48734 32940 3513 36453 0 185 6008 6193 1993 4946 6939 198793 218606 KASARGOD 199166 5625 28630 8842 37472 15 2260 12415 1469 0 2590 2470 5060 136319 145083 KOLLAM (QUILON) 248788 81438 31345 228 31573 0 115 958 1073 1716 4646 6362 128342 170901 KOTTAYAM 220442 8141 29636 1805 31441 0 160 6577 6737 3372 3885 7257 166866 215902 KOZHIKODE 234641 41386 31017 1084 32101 0 188 1364 1552 714 2522 3236 156366 211576 MALAPPURAM 355446 103417 43212 2614 45826 8 427 5221 5656 4637 10749 15386 185161 247031 PALAKKAD 447584 136257 57506 2902 60408 0 1822 26037 27859 9131 17142 26273 196787 322171 PATHANAMTHITT 265277 155214 17863 381 18244 0 118 2911 3029 3571 3050 6621 82169 106706 THIRUVANTRUM 218781 4986 1 24393 318 24711 8 60 474 542 329 2457 2786 140881 158827 TRISSUR 302919 103619 42380 424 42804 7 382 6090 6479 60 50 14617 20667 129350 174221 WYNAD 212966 78787 15767 247 16014 6 148 1054 1208 449 1054 1503 115454 200059 State Total 3886287 1081509 462678 25527 488205 216 6397 92764 99377 45214 82953 128167 2089029 2761094 Source : www.dacnet.com

Table 4.2 (above) gives the district wise land use figures for the entire state. It can be seen that the land under non-agricultural uses is quite significant.

4.2.1.2 E&S Impacts of Land-use Land use changes are manifested, generally, as change in cropping pattern, quarrying, slope modification, soil excavation, conversion of paddy lands and swampy areas and filling of wetlands etc. Such changes affect the environment adversely by way of intense soil erosion, water logging, water scarcity, mono cropping and loss of biodiversity. Terrain modifications, generally effected as a prelude to land use changes, at times, lead to catastrophic incidences such as landslides, increased recurrence of earth tremors and land subsidence. Population growth, migration, urbanization, industrialization and globalization are the major factors that led to significant land use change in the State. The land use changes over the years were instrumental in changing the landscape ecology, which had far-reaching environmental consequences. The conservation, development and management of land resources based on agro-ecological and social parameters are vital and it requires resource based land use planning for agricultural and non-agricultural uses with special consideration for fragile ecosystems such as paddy fields, high lands etc.

Mining of natural resources involves extreme disturbance to biological life systems, in general, and violation of the rights of local communities in particular. The major mining activity in the State is confined to the bleaching clay and china clay deposits. There are also unorganized mining activities, especially with respect to tile and brick clay, alluvial sands, crystalline rocks, soils etc. Many of the mineral occurrences are in very fragile physical, biological and social environments and therefore, the pressure exerted and the impacts are high in terms of magnitude and intensity and mostly permanent in nature. Though the Central and State Governments have introduced various regulations to minimize the environmental repercussions due to mining activity, there are serious shortcomings in its implementation.

134 Environmental and Social Assessment Report Kerala Local Government Service Delivery Project

Soil erosion results not only in the loss of soil materials, but also in the loss of soil nutrients, and soil bio-resources. Loss of soil causes decrease of soil volume over the bedrock that is available for storage of water and hence will reduce effective water availability for growth of plants as well as recharge of ground water. Soil flora and fauna that is abundant in the surface soil and responsible for the fertility and productivity of soil, also get washed off along with top soil. In Kerala, the soil erosion is mainly due to flowing water and is catalyzed by peculiar land form, soil types, climate and landuse. The quantum of eroded soil or debris gets transported over land or deposited in ponds, rivers, reservoirs and lakes or washed down to the sea. There is continued effort on effective implementation of watershed based development programmes with thrust on agronomic measures.

Intensive cultivation, often with incorrect crop and soil management practices, give rise to heavy loss in soil quality. The neglect of organic or green manure application, excessive or imbalanced application of chemical fertilizers, indiscriminate use of insecticides, fungicides, herbicides etc gave rise to alterations in soil structure, which in turn led to changes in all other soil quality attributes. The poor performance in industrial and municipal waste management further aggravated the scenario. The enhanced land and water pollution has its manifestations not only in agricultural productivity but also in increasing disease burden. The drive for organic cultivation and effective pollution control is yet to catch up with the necessity.

The land is mostly subjected to undesirable practices and hence subjected to serious degradation in Kerala. In order to overcome this and to have a comprehensive action plan for conservation and management of limited land that the State has, it is appropriate to evolve a detailed Land Use Policy, integrated action plans and statutory regulations and appropriate institutional mechanisms for their effective implementation. Preventive and curative measures against pollution and contamination of soil and land may receive high priority for years to come, and technological measures to prevent the ill effects on human health will get priority in short term.

4.2.2 Water resources The normal rainfall of the State is estimated to be 2903 mm, however, the spatial and temporal distribution pattern is mainly responsible for the frequent floods and droughts in Kerala. The average annual rainfall in the lowland of Kerala ranges from 900 mm in the south to 3500 mm in the north. In the midland, annual rainfall ranges from 1400 mm in the south to 4000 mm in the north. In the highlands, annual rainfall varies from 2500 mm in the south to about 6000 mm in the north. About 60 % of this rainfall is received during Southwest monsoon period (June- August), 30 % during North- East monsoon and the remaining 10 % during the rest of the year. There are certain pockets such as Attappady in Palakkad district where the average annual rainfall is only 600 mm.

The seasonality in precipitation and inflow leads to considerable variation in water availability and demand in Kerala. It is estimated that only about 15% of the surface flow is available for

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135 Chapter 4 Environmental Analysis of Developmental Interventions at Local Level six months from December to May. But the requirement of fresh water during this period is almost about 70-75% of the annual requirement. The supply and demand situation of fresh water from various sources annually and during summer season is given in Table 4.1 and Table 4.2.

Table 4.1. Annual and summer season water availability Water resource potential (Mm 3) No Item Total Utilisable annually Utilisable during summer 1 Surface water 77,900 42,700 6,405 2 Groundwater 7,900 5,135 5,135 3 Surface storage in 5,500 5,500 5,500 reservoirs Total 91 ,300 53,335 17,040

Table 4.2. Annual and summer water demand for the year 2001 Water demand (Mm 3) No Item Annual requirement Summer requirement 1 Domestic use 1,226 809 2 Birds and animals 438 203 3 Industry 6,400 3,200 4 Soil toxicity removal 5,000 3,500 5 Irrigation 13,665 13,665 Total 26 ,729 21 ,377 (Source )

The State has 44 rivers, but as per the national norms, not even a single one is major. Except the four medium rivers, the remaining 40 rivers are minor ones and the combined discharge of them is only about onethird of that of Godavari. Monsoon flows contribute to almost 90% of the annual yield, leaving only about 10% during the lean flow period. The fresh water structures of the state also include 995 tanks and ponds having more than 15000 Mm3 summer storage and numerous perennial springs. Dug wells are the major extraction structures for the groundwater resources with a density of over 200 wells per square km. The extraction of groundwater using borewells in the hard rock terrain and filter-point wells and tube wells in the soft rock terrains are also the increase.

The overall supply-demand situation indicates a deficit of about 4000 Mm 3 of fresh water. The major interventions in water resources sector, such as damming the rivers, industrial intake and outflow, construction of deep canals, irrigation, sinking of wells and pumping, river sand mining etc. have caused serious environmental impacts. The drought and flood situation in Kerala is often severe. The drought in Kerala is reflected as water scarcity in summer, when the rivers dry up and groundwater table lowers. Examination of the summer monsoon rainfall series of Kerala for the period 1871 – 1990 indicated 20 deficient rainfall years, but the severity of drought was reflected only since 1983. During recent drought years in Kerala, more

136 Environmental and Social Assessment Report Kerala Local Government Service Delivery Project than 25% of the homestead open wells in the midland and highland dried up, yield of surface water sources diminished with upstream portions of rivers dried out, rice crop, plantation and spice crops perished and hydroelectric power production reduced, affecting more than 3 million people. Two of the major reasons for the drought are the loss of water retention provinces such as forest regions and erosion of porous soil horizons. The flood in Kerala is attributed to increased magnitude or intensity of rainfall and the indiscriminate reclamation of wet lands and paddy fields. About 40% of the total area of wetlands and paddy fields in the State (5700 km 2) has already been reclaimed according to 1999 data and this turn adversely affected the drainage courses and flood cushion, worsening the flood situation. The loss of forest has also contributed significantly to both flood and drought alike. In the beginning of the 20 th century, the state had 43% of its land area covered by thick forest which declined to about 10% badly affecting the retention and gradual release of rain water.

Irrigation From Table 4.2, it can be seen that almost two thirds of the total water demand in the state is for irrigation. Table 4.3 (below) gives the trends in source wise irrigated area over the years.

Table 4.3

Economic Review 2008 It can be seen from the above table that wells and other sources have a significant share in the irrigation of the state. Also, it seems over the past few years, the irrigation scenario has mostly remained static. A look at the crop wise irrigated area in table 4.4 (below) also reinforces the same observation. Even in this case, except for a few crops, the irrigated area under most other crops has mostly remained at the same level.

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Table 4. 4

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Groundwater In Kerala, groundwater occurs under phreatic, semi-confined and confined conditions. The groundwater resources are largely concentrated in the sedimentary aquifers of the coastal regions. The groundwater resources are tapped mainly for drinking and irrigation purposes. The ground water potential of Kerala is very low as compared to that of many other States in the country. The state has a replenishable groundwater resource of 6841 million cubic meters. The net groundwater availability is 6229 million cubic meters. The gross groundwater draft is 2920 million cubic meters and the net groundwater available for future use is 3221 million cubic meters.

A district-wise analysis of ground water resources of Kerala shows that Palakkad has the higher potential for ground water recharge (12%) followed by Thrissur (11%), Ernakulam (9%), Kannur (8%), Kottayam (7%) and Alleppey (6.8%). Thiruvananthapuram has the lowest (4%) potential for ground water recharge. The stage of development of groundwater is the highest in Kasargod district (79%) and the lowest is in Wayanad (25%). The overall stage of development in the State is 47% which is greater than the national level.

The district wise ground water balance sheet for Kerala as on 31.3.2004 is given in Table 4.5. It shows that at a macro level, Kerala has abundant groundwater resources and adequate potential to take care of any further development in the forthcoming decades. However, at the micro level, there are instances where overexploitation of ground water has been noticed and documented. This is discussed in the following paragraphs.

138 Environmental and Social Assessment Report Kerala Local Government Service Delivery Project Table 4.5

, Economic Review 2008

Ground water development is calculated in percentages and blocks are categorized into four categories. The new nomenclature for the categorization of blocks is as follows:

a) Safe (White) : The Stage of ground water development less than 70%. b) Semi-critical (Grey):The Stage of ground water development between 70 and 90%. c) Critical(Dark) : The stage of ground water development between 90 and 100% and ground water levels show long term declining trends. d) Over exploited: The stage of ground water development more than 100% and ground water levels show declining trends during pre and post monsoon periods.

Out of 151 blocks, 5 blocks are categorized as over-exploited, 15 as critical, 30 as semi critical and 101 as safe. The over exploited blocks, have been notified by the State Ground Water Authority vide its Extra Ordinary Gazette Notification as ‘Notified Areas’ and they are listed below:

Name of the Block Name of the District Athiyannur Thiruvananthapuram Kodungallur Thrissur Chittoor Palakkad Kozhikode Kozhikode Kasaragod Kasaragod

In the Notified areas, no individual and/or agency, is expected to undertake any ground water based activity, which will entail additional ground water draft. Institutional Credit for financing of Drip and sprinkler sets, underground pipelines and replacement of pump sets (without increasing the H.P) only are allowed. Any fresh ground water structures such as open well, filter point, bore well, tube well, etc, cannot be financed. Increase in HP of the pumpsets or the change in type of Pumpsets under the programme of replacement, deepening of existing wells or replacement of defunct wells cannot be allowed. In case, any such activity Kerala Local Government Service Delivery Project

139 Chapter 4 Environmental Analysis of Developmental Interventions at Local Level is proposed, the necessary written permission from the State Ground water Authority is required.

Groundwater Quality Groundwater quality is also a very important parameter from the environmental and health points of view. The state of Kerala has some patches wherein quality of groundwater is of concern. These are compiled in Table 4.6 below:

Table 4.6: Blocks in Kerala having groundwater quality issues Parameter Blocks Salinity: EC> 3000 Palakkad µS/cm Floride>1 .5 Palakkad mg/litre Iron> 1 mg/litre Alappuzha, Ernakulam, Idukki, Kannur, Kasaragod, Kollam, Kottayam, Kozhikode, Malappuram, Palakkad, Pathanamthitta, Thiruvananthapuram, Thrissur, Wayanad Nitrate>45 Alappuzha, Idukki, Kollam, Kottayam, Kozhikode, Malappuram, mg/litre Palakkad, Pathanamthitta, Thiruvananthapuram, Thrissur, Wayanad Source: CGWB 2010 , Economic Review 2008

Drinking water Drinking water systems in Kerala can be broadly classified into two categories:

a) Schemes owned and operated by the state government through the Kerala Water Authority and local governments and b) Family managed drinking water supply wherein individual families create their own drinking water sources by constructing wells on their own premises and managing the water supply by themselves. Family managed drinking water supply systems in Kerala play a substantial role in the water supply scenario especially in rural areas.

The provision of piped water supply in rural areas is the responsibility of the State Government and funds have been provided in the state budgets right from the commencement of first Five Year Plan. The National Water Supply and Sanitation programme was introduced in the social welfare sector in 1954. The states gradually built up the Public Health Engineering Departments to address the problems of water Supply and sanitation. In 1972 - 73, the Government of India introduced Accelerated Rural Water Supply Programme to assist the states and Union Territories with 100 percent grants in aid to implement schemes in problem villages. Under this programme more than 450-piped rural systems were launched in Kerala. During 1980s, as part of the National Drinking Water supply and Sanitation Decade Programme, several projects were implemented with financial support of bilateral and multilateral agencies.

140 Environmental and Social Assessment Report Kerala Local Government Service Delivery Project Over the years, the organizational set up for the implementation and management of water supply schemes had undergone several changes. The Kerala Water Authority (KWA) came into existence on 1st April 1984 in the place of the erstwhile Public Health Engineering Department of the Government of Kerala. KWA is one of the main agencies responsible for the design, construction, operation and maintenance of water supply and sewerage schemes in the whole state. KWA has been implementing piped water supply schemes based on surface and groundwater sources. It also executes multilateral and bilateral funded projects and accelerated rural water supply schemes on behalf of the Government of India.

Presently, the major implementing agencies of drinking water supply schemes in the State are Kerala Water Authority (KWA), Kerala Rural Water Supply and Sanitation Agency (KRWSA) and Local Self Government Institutions (LSGIs). KRWSA and LSGIs are ensuring community participation in the implementation of water supply schemes by sharing the financial costs and taking responsibility for management, operation and maintenance to some extent.

In Kerala, 71.77 per cent of the total population has access to drinking water as at the end of March 2009. 69.35 per cent of the total population covered is from rural areas. Total number of rural people having access to drinking water is 158.47 lakh, which constitutes 67.77 per cent of the total rural population.

The increase in the number of citizens covered by water supply schemes during 2008-09 is 226240. Of this increase, 215868 are in the rural area and 10372 are in the urban area. During 2008-09, Ernakulam District had the highest rural water supply coverage (97.83%) and Kozhikkode District had the lowest coverage (38.69%). In the case of total population covered, Ernakulam District had the highest coverage (96.19%) and Kozhikkode District had the lowest coverage (52.75%) of water supply in Kerala during 2008-09. District wise details of various schemes in the state Table 4.7.

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Table 4.7

(Economic Review 2008 )

E&S impacts connected with water resources The major environment problems associated with water resources are flood, drought, land slides, salinity intrusion, water logging and pollution. The hydrologic modification of welands and over exploitation of groundwater also pose challenges in many parts of the state. The major water quality problem associated with rivers and open wells is bacteriological pollution. The dumping of solid waste, bathing and discharge of effluents also create problems. Low pH, high iron etc., are common in well waters in the laterite covered midland areas. High concentrations of fluoride over the permissible levels have been reported from certain parts of Palakkad and Alleppey districts.

When the fresh water flow reduces during the summer, the flushing of the river system weakens and salinity propagates more into the river interiors. It causes severe problems to irrigation, drinking, and industrial water supply. It has been reported that saline water intrusion in River Chaliyar during summer extends up to 24 km from the river mouth during summer. More number of rivers is now subjected to saline intrusion during summer months. The saline water intrusion into coastal groundwater aquifers is also a major problem, as about

142 Environmental and Social Assessment Report Kerala Local Government Service Delivery Project 70% of the population there depends on well water. The localised saline water intrusion also occurs as a result of excessive pumping from wells.

A number of industries situated on the banks of rivers and backwaters empty their effluents into the water bodies. As a result, several estuarine and river systems in Kerala are now hotspots of heavy metal pollution. For example, the effluent discharge from ten major industries to Kochi estuary is about 57000 m 3 per day. The quantum of pollution caused by the discharge of untreated sewage into wetland system is also alarming. A major source of pollution of Vembanad Lake is the domestic sewage generated in the urban areas of Alappuzha and Kochi. About 10,000 people are added every year to the urban population of the city of Kochi alone. Kochi city generates about 2550 million litres per day of wastewater that enters the lake directly through major canals. The pollution load of Kochi Corporation is reported to be 1,96,000 kg/day of BOD. The total dissolved solid content near a sewage discharge site in Kochi estuary was as high as 54000 mg/l. It has been reported that the Vembanad estuary annually receives residues of about 25000 tones of fertilizers and 500 tones of highly toxic pesticides from Kuttanad region alone (Anon, 1989). The presence of DDT in Pampa river (4000 ng/l), lindane in Thanneermukkam (6000 ng/l) and endosulphan in Vembanad lake (122 ng/l) and Manimala river (1114 ng/l) are also of serious concern. High content of particulate and dissolved mercury concentrations, presence of lead, cadmium, zinc etc are reported from water and sediment samples of Kochi and Veli.

Coconut husk retting is considered an important source of organic pollution in the water bodies of Kerala. As a result of retting, large quantities of organic substances like pectin, petosan, fat and tannin are librated into the water by the activity of bacteria and fungi. Decomposition of pectin results in the production of sulphides, characterized by hydrogen sulphide with strong foul smell. The polyphenols released from coconut husk during the process of retting interferes with microbial activity. Anoxic conditions, excess hydrogen sulphide and increased turbidity drastically reduce the primary productivity of the lake. Investigations of the retting zones show high organic content, high BOD (513.7 mg/l), low oxygen values (0.05ml/l) and high sulphides (4.97 mg/l)m which converts productive portion of the lakes to non-productive anoxic areas leading to devastation of bottom fauna. The retting yards also act as breeding grounds for the mosquitoes, which act as a vector for filariasis.

When excess nutrients are available in water bodies through various sources and due to over fertilization, exorbitant growth of aquatic plants takes place, which the system is not in a position to support. Thus, it exceeds the supporting capacity of the environment and consequently, problems of various types will creep in. Dead plants settle down and lead to siltation and shallowing of the water body. For the bacterial decomposition of plant debris, oxygen will be extracted from the medium resulting in depletion of oxygen in the system. Many of the lake systems of Kerala are facing intense weed growth resulting out of high degree of eutrophication, leading to slow death of such water bodies. .

The groundwater gets contaminated by overflow/seepage of sewage/infiltration of human excreta from latrine pits, especially in coastal plains where the density of wells and toilet pits

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143 Chapter 4 Environmental Analysis of Developmental Interventions at Local Level are very high and located close to each other. The number of dug wells in the State is projected to be about 40,00,000 and about 95% of the 6.59 million households have toilets. The possibility of cross contamination of wells from the toilet pits is very high. It is found that inconsiderate pumping from dug wells depletes the groundwater level and yield leading to drying up of the wells over the years. It is more pronounced in lateritic terrain covering over 60% of the total land area of the state. The wells located on the banks of rivers subjected indiscriminate sand mining or deep cut irrigation canals are also subjected to such adverse effects.

The high rate of soil erosion, debris flows and sedimentation in water bodies is a major problem especially for tanks and reservoirs. The storage loss of reservoirs in Kerala, on an annual basis, varies from 0.25% to 1.32%. Though this is lower compared to the major dams in India (0.14% to 1.79%) and China (0.55% to 3.82%), it is a major concern considering the natural vegetation in catchments. Indiscriminate mining of river sand has led to severe degradation of the riverine ecosystem of almost all rivers of Kerala. It was indicated that about 20,000 lorry loads of river sand was being mined per day from all rivers of Kerala. It is reported that the extraction rate of river sand from the seven rivers debouching into the Vembanad lake is about 6 Mm 3 against a replenishment rate of 0.09 Mm 3 per year. Over exploitation of river sand depletes the porous sand layer by 5 to 15 cm per year. Consequently, most of the rivers got deepened by about 2 to 3 m over the last 15 to 20 years.

A unit land of Kerala receives about 2.5 times more rainfall compared to the national average, but the same unit of land supports 3.6 times more population, on an average. Therefore, for self-sufficiency, a unit land of Kerala has to produce 3.6 times more food, water and biomass compared to the national average. It calls for intensive efforts for the conservation of land and water on the basis of watersheds as vegetation has a major role in controlling floods and sediment yield from the catchments and mitigating drought by maintaining soil moisture and groundwater level.

4.2.3 Forest and Natural Habitats The forest cover of Kerala, as per Forest Survey of India (2009) data is 44.58% of the total geographical area which is categorized under very dense (8%), moderately dense (55%) and open forest (37%). But as per the land use data of the state, only about 22% of the land is under forest and forest plantation. Some 23% of the total forest area falls in Idukki district. But the relative forest coverage is maximum in Wayanad (83%) and minimum in Alappuzha (2.7%). The major forest types and their extent are Tropical wet evergreen (26%), Semi-evergreen (23%), Tropical moist deciduous (18%), Tropical dry deciduous (2.4%), Mountain subtropical temporate shoal (0.5%), Grasslands (0.1%) and plantations (30%). In addition, the coastal stretch has mangrove forest area of about 420 ha. In general, 62% of the forests in the state is under degraded condition (SoE Report-2005). The degradation of natural forests is due to factors such as unregulated/ illegal harvest, forest fire, weeds, diversion for non-forest purposes, soil erosion, harmful effects of management and poor regeneration. In addition, the loss in continuity of forest patches, patch size and their crown density also causes degradation. The major forest produce in the state include timber, reeds, bamboo, sandal wood and fire

144 Environmental and Social Assessment Report Kerala Local Government Service Delivery Project wood. The quantity of timber production in 2008-09 was 50300.79 cum (round log). The number of bamboos and reeds produced were 18.98 lakh and 186.80 lakh respectively. The sandal wood production was 30808.6 kg.

Figure 4.4 shows the various kinds of forest cover present in Kerala: Figure 4.4

Source: State of Forests Report 2007

It is evident from the figure that most of the forest in Kerala is open forest or moderately dense forest. Coverage under dense forest is very low at around less than 4%. The district wise forest cover for Kerala is given in Table 4.8

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145 Chapter 4 Environmental Analysis of Developmental Interventions at Local Level

4.8

There are 16 wild life sanctuaries, 5 National parks, one community Reserve, four elephant reserves and two biosphere reserves in the State. The total area under the protected area network comes to about 24 % of the total forest area of the State. It is higher than the national average. The Periyar Tiger Reserve in Kerala is one of the best managed tiger reserve in the country, with the forest dwellers on its fringes actively assisting the official machinery in the conservation efforts. The state has also taken various initiatives in the recent past such as declaration of a buffer zone of area 148 km 2 around the Silent Valley National Park, adding 148 km2 of reserve forest from Ranni Forest Division to Periyar Tiger Reserve as critical tiger habitat, declaring Parambikulam Wild Life Sanctuary as a Tiger Reserve, notifying an area of 110 km2 area in Kozhikode District as Malabar Sanctuary and declaring a special sanctuary for national bird, peacock at Choolannur in Thrissur district. In addition, an area of 150 ha at Kadalundi in Kozhikkode district was declared as community reserve for supporting mangroves. There has been large-scale deforestation and conversion of forest area in certain regions. The topographical maps available since 1900 and LANDSAT images (1973 and 1983) indicate a substantial decline in forest vegetation cover over the years (Chattopadhyay, 1985). In 1905, the forest vegetation was 44.4% of the total area which declined to 27.7% by 1965, to 17.1% by 1973, and to 14.7% by 1983. However, the actual forest area that sustains forest biodiversity and functions of forest ecosystem is only less than 8% of the total area (Satishchandran, 2002).

A comprehensive state forest policy to address the specific problems and issues related to the conservation of forests and biodiversity of the state as well as the livelihood needs of the forest development communities has been formulated during 2007. The Forest Management Policy of the state encompasses technology improvement, bio-diversity conservation and development of partnership with the forest dependent communities and fringe dwellers. Special thrust is also given for protecting species of plants and animals.

146 Environmental and Social Assessment Report Kerala Local Government Service Delivery Project

The Westem Ghat region is one of the 25 biodiversity hotspots in the whole world.The state contains more than 4500 species of flowering plants of which 1500 taxa are endemic in nature. There is also rich faunal wealth in the state. The wealth of genetic diversity of the state in the form of domesticated crops or breeds of animals together with their wild relatives is not fully documented. But it is considered to be very rich as more than 74% of the land area is under various crops protected under distinct micro-watershed boundaries. However, they are under severe stress due to the degradation of native agri-ecosystems, large conversion of agricultural land, introduction of exotic crops, mechanised farming etc causing major loss of indigenous agriculture and domesticated biodiversity. There are 102 species of mammals, 476 species of birds, 169 species of reptiles, 89 species of amphibians and 202 species of fresh water fishes, reported from Kerala. Among the mammals, 12 taxa are endemic to western ghats of which 6 are vulnerable, 3 are endangered and 1 is critically endangered. A unique and huge diversity of bird fauna is also found in the state. Nearly, 25% of the Indian avifauna is recorded from the state, of which nearly 150 species are located in the coastal stretches. The avifauna of the state includes resident species (228 nos), winter visitors (94 nos), resident and local migrants (14 nos), accidental and exceptional stragglers (4 nos) and uncertain identifications (136 nos). Of the known species of birds in Kerala, 18 are endemic to the Western Ghats. Of the 169 reptile species of Kerala, 59 are endmic to western ghats and 9 are endemic to Kerala. Among these, 26 species are vulnerable, 22 are endangered, 1 is critically endangered and one is extinct (saltwater crocodile). Among the 89 species of amphibians reported from Kerala, 57 are endemic to the western ghats and 9 to Kerala. Among these, 35 are under vulnerable category and 11 are endangered. Out of the 202 species of fresh water fishes recorded from Kerala, 79 are endemic to western ghats and 42 are restricted to Kerala waters. Among these, 24 species are threatened and 10 are most threatened. It is also important to note that among the 42 endemic species of Kerala, 13 are reported to be critically endangered. There are roughly 6000 species of insects of which 20% is endemic to the state. The coastal waters of Kerala is also characterized by rich marine faunal diversity. The high density of population with limited natural resources excerts significant pressure on the environment of the State. When it is combined with the numerous pockets of ecologically fragile areas and biodiversity hot spots, it assumes greater significance.

4.2.4. Agriculture The climate and topography in Kerala is conducive to varying crop types, such as, coconut and rice in the sultry lowlands, rice, tapioca, banana, arecanut, coconut, pepper, cashew and rubber in hot humid midlands and tea, coffee and cardamom in the cool subtropic highlands. Agriculture is practiced in over 55% of the geographical area. The micro ecosystems are such that the valleys with near waterlogged conditions for most part of the year are seen juxtaposed with dry hilltops decked with densely canopied trees. Figure 4.2 5 25 Share of Agriculture & allied The agricultural income in Kerala during 2007- sector in GSDP (%) 08 indicated a decline of 5.70 per cent in 20 growth. The share of agriculture and allied

15 Kerala Local Government Service Delivery Project

147 Chapter 4 Environmental Analysis of Developmental Interventions at Local Level sectors in GSDP indicated a continuous decline in the state (see Figure 4.2). The share was only 11.90 per cent during 2008-09. Kerala has a diverse land use and cropping pattern. The land reforms introduced in the State brought in radical and comprehensive institutional changes leading to drastic transformation in the land holding pattern. This has resulted in shift in the land use pattern.

Considering the characteristics of soil, drainage/wetness, erosion, runoff etc., Kerala has 18 land capability subclass associations of five broad land capability classes, namely Good cultivable land, Moderately good cultivable land, Fairly good cultivable lands, Well suited for forestry or grazing and Land suited only for wildlife and recreation (KSLUB, 1995 and 2002). Only about 37% of the area of Kerala is suitable for irrigation with certain limitations.

There has been significant change in land use over the years. The State conceived and implemented a progressive Land Reforms Act with an objective of sustainable use of all productive land through the involvement of the entire population by distributing land to the landless. Over the last two decades, there is a decline in agricultural land use. Land use changes are manifested, generally, as change in cropping pattern. The changes in crop area and production of some of the important crops grown in Kerala are shown in Table 4.9.

Out of a gross cropped area of 27.02 lakh ha. in 2008-09, food crops comprising rice, pulses, minor millets and tapioca occupy only 12.05 per cent. Kerala state which had a low base in food production is facing serious challenges in retaining even this meager area. Kerala agricultural economy is undergoing structural transformation from the mid seventies by switching over a large proportion of its traditional crop area which was devoted to subsistence crops like rice and tapioca to more remunerative crops like coconut and rubber. The area under rice has been declining consistently over the last several years, but the pattern appears to be reversing (see tables 4.9 and 4.10). The area under commercial plantation crops in general and rubber in particular has increased considerably during the last two decades (see table 4.11). The index of food grain production declined by 10.7 points and non-food grains declined by 6.84 points. Even though there was a decline of index of non-food grain area, index of area under plantation crops increased by 1.83 points in 2008-09.

Table 4.9. Changes in crop area and production, Kerala, 1961-62 & 2008-09

Sl Crop Area (ha) Production (Tonnes) 1961 -62 2005 -06 % 1961 -62 2005 -06 % variation No variation 1 Rice 7,53 ,009 2,34 ,265 -69 9,88 ,150 5,90 ,241 -40 2 Tapioca 2,36 ,776 87 ,278 -63 16 ,18 ,713 27 ,10 ,934 67

148 Environmental and Social Assessment Report Kerala Local Government Service Delivery Project 3 Coconut 5,05 ,035 7,80 ,500 55 3,247mn 5,763mn 77 4 Pepper 99 ,887 1,75 ,808 76 26 ,550 40 ,641 53 5 Cashew 55 ,051 52 ,875 -4 84 ,449 42 ,274 -50 6 Rubber 1,33 ,133 5,17 ,475 289 24 ,589 7,83 ,485 3086 7 Pulses 43 ,546 3,943 -91 16 ,889 2,982 -82 8 Ginger 12 ,050 5,578 -54 11 ,185 23 ,380 109 9 Turmeric 4,847 2,754 -43 4,267 6,292 47 10 Banana 42 ,693 53 ,516 25 55 ,443 4,27 ,604 671 11 Coffee 18 ,807 84 ,696 350 8,145 57 ,200 602 12 Tea 37 ,426 36 ,557 -2 37 ,428 51 ,726 38 (Source : Dept. of Economics and Statistics, 2007; State Planning Board, 2010)

Table 4.10

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Table 4.11

Several initiatives have been taken by the Government in recent years for promotion of cultivation, in general, and rice, in particular linking the agriculture department, local governments and Kudumbasree units of the State Poverty Eradication Mission. It includes Padasekharam based action plans linking credit facility, input support, water management, insurance, procurement and supplementary income sources. ‘Harithashree’, the lease land farming promoted by the State Poverty Eradication Mission, Kerala, through ‘Kudumbasree’, has helped women farmers to stay on in agriculture for their livelihood. The major crop cultivated by the Kudumbashree group is Paddy (29% of area) followed by Plantain (25% of area), vegetables (15% of area) and Tapioca (15% of area) during 2008-09 under the lease land farming. A total area of 27,269 Ha have been brought under lease land farming as per the data available for 2008-09. The State has also developed a strong network for supplies and services which include Krishi Bhavans in all the Grama panchayats for transfer of technology and organising agricultural services. Planting material delivery system has been developed which includes 33 state seed farms, 10 district farms, 10 special farms and 8 coconut nurseries. The paddy seed farms and the District Agricultural Farms are under the control of the District Panchayats for facilitating appropriate seed planning at the grass root level. There has also been increased effort for promoting organic agriculture including preparation of an organic agriculture policy. This will improve the production of organic tea, rice, vegetables, pepper etc which are done in a small scale at present.

4.2.5 Animal husbandry Livestock sector in Kerala is extremely livelihood intensive and a major contributor to the agricultural GSDP of Kerala to the tune of 40%. Cattle population in Kerala which was 33.96

150 Environmental and Social Assessment Report Kerala Local Government Service Delivery Project lakh in 1996, 21.22 lakh in 2003 (see Table 4.12) and 17.19 lakh in 2006. The crossbred cattle population was 67% during 1996, 82% in 2003 and 93% in 2006 of the total cattle population. Contribution of Kerala to national milk production was 2.4 percent during 2003-04 declined to 2.1 per cent in 2008-09. The gap between the production and requirement of egg is also increasing at an alarming rate. Concerted efforts of the State to increase the egg production have begun to show signs of improvement. Egg production which was 1199 M.Nos in 2007 increased to 1379 M.Nos in 2008 and to 1507 M.Nos. in 2009; an increase of 26 percent over 2007. Though meat production is increasing over the years, it cannot cater to the demand fully.

Table 4.12

In Kerala there are 3445 dairy co-operatives including 2646 Anand pattern societies. The newly registered Societies during 2008-09 is 122. Of the 22 dairies functioning in the State 12 are in the Co-operative Sector (Milma) and handles 9.90 lakh litres of milk/day, 14 chilling plants, two cattle feed plants, a milk powder plant, an established training centre and 5000 distribution outlets. MILMA represents more than 8.11 lakh dairy farmers who have organised 2646 Anand Pattern Cooperative Societies. The remaining 10 are run by private/charitable societies which handle 64000MT milk per annum. There are also about 25 small dairies which are not registered and they handle 10000 litres of milk/day.

The per capita availability of egg is very low at 41 eggs/year and poultry meat is 0.9 kg/year against the world average of 147 eggs and 11 kg poultry meat/year in the country. Government of India has set a target for achieving production of over 52 billion eggs by 2011-12, at a growth rate of 4.3 per cent. The poultry rearing on commercial lines is largely confined to broiler production. In Kerala, the egg production which reached 2054 million in 1999-2000 continuously declined till 2005-06, but began to increase in 2006-07 and that trend is maintained in succeeding years. Backyard poultry system has good potential in the state. Around 8-10 lakh chicks are being introduced every year in the state.

India is endowed with more than 11 per cent of worlds’ livestock population comprising a variety of meat animals such as buffaloes, goat, sheep, pigs, cattle and poultry. The per capita animal protein availability is about 10g against world average of 25g. The minimum

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151 Chapter 4 Environmental Analysis of Developmental Interventions at Local Level requirement targeted is 20g per capita/day of animal protein of which 4g will come from meat. The estimated demand for meat would be 7.7 million tonnes against the present production of 5.7 million tonnes. Meat production in Kerala comprises of beef, mutton, pork and broiler chicken. Out of this, beef is almost entirely from the culled animals brought from the neighbouring states. The rearing of goat and pig is concentrated in selected pockets. As in the case of poultry, meat production under stall-fed condition in general is not economical in Kerala. However, there is scope for fostering this activity in selected areas largely by utilising the bio wastes available. The annual production of poultry meat shows a continuous decline from 32704 tonne (2004-05) to 19268 tonne (2008-09) whereas the non-poultry meat shows an increase from 162567 tonne (2004-05) to 181103 tonne (2008-09).

There is no authentic data regarding the number of cattle and poultry slaughtered in the State and hence the total value and quantity of meat produced in the state not accessible. As per survey conducted by the Dept. of Economics and Statistics in 2006, there are 4904 slaughter houses in Kerala of which the authorised slaughter houses were only 1490 (30.38%. Also of the total 6489 poultry stalls registered were only 2124 (32%). A wide gap is existing between the requirement and production of animal products. A comprehensive strategy needs to be put in place to augment production of major livestock products in the state.

In order to reduce morbidity and mortality, better health care efforts are being taken through a network for veterinary health care now in the State comprising 210 Veterinary hospitals, 883 veterinary dispensaries, 47 veterinary poly clinics, 14 District Veterinary Centres, 9 mobile hospitals/dispensaries at district level, 13 district level clinical labs, four diagnostic labs and other related health care institutions. The state is implementing programme for Foot and Mouth disease control. Brucellosis, Helminthiasis, worms and other internal parasites are also threat to the livestock wealth of the State. The reports of minor attacks of major diseases like Anthrax, and Hemorrhagic Septicemia are also reported. The State has eradicated the dreadful disease of Rinderpest and no outbreak was reported after 1994. Among the other diseases the major one affecting cattle, buffaloe, goat, pig and poultry are digestive system disorders (34% of the total cases), parasitism (40%), reproductory disorders (5%) etc. According to report on Animal Disease Surveillance Scheme, 2006 the economic loss due to various diseases arrived at Rs.620.94 Cr. i.e., 23% of total worth of Livestock population in State. Of the total loss, 66% is for cattle.

4.2.6 Fisheries India has been a major contributor to the world marine fish production and second largest producer of inland fish. The west coast was the highest contributor among regions and Kerala among states (21%) followed by Gujarat (19%). Presently, fisheries and aquaculture contribute 1.07% to the national GDP and 5.3% to agriculture and allied activities. Fisheries sector contribute 3% of the economy of Kerala State. The fishing Industry occupies an important position in the economy of Kerala and its share in the national marine fish production is about 20-25%. The water resources of this state comprise of a coastline of 590 km length having a continental shelf area of the sea adjoining the state. The Inland water bodies of Kerala comprising of 44 rivers (85000 ha) 53 reservoirs (44289 ha) and 53 back waters and other

152 Environmental and Social Assessment Report Kerala Local Government Service Delivery Project brakish water bodies (65213 ha) also play a major role in the fishery sector. The polders of Kuttanadu having a water spread of 35000 ha and 17000 ha of kole lands of Thrissur are also very ideal for various aquaculture development activities. The estimated fisher folk population of Kerala during 2008-09 is about 11.33 lakh, of which 77% dwells in the coastal area and the rest in the inland sector.

Kerala is a coastal state and is bordered on the West by the marine flora and fauna rich Arabian sea. The Kerala Marine Fisheries Regulation Act was enacted with a view to enforce strict regulatory measures following the induction of more number of crafts and consequent increase in the level of unrestricted fishing. According to this Act, the inshore area coming within the depth range of 50 meters has been demarcated for fishing by the traditional fishermen using country crafts and the area beyond the limit in the economic zones can be utilised by motorized boats and large vessels. As this restriction is not being strictly followed, monsoon trawling has been banned as a preventive measure. The ban on monsoon trawling has been in force from 1980 onwards.

Marine fish landing in the state during 2008-09 was 5.83 lakh tonnes and showed an increase of 8% over the previous year. The maximum sustainable yield was estimated about 6.99 lakh tonnes. The fish catches from the Kerala coast include more than 300 different species, the commercially important number is about 40 only. The high value species among the fish catches are still few; prominent among them are Seer fish, Prawn, Ribbon fish and Mackerel. High value fish like coastal tuna and oceanic tuna registered a growth of 23% and 39% respectively. During 2008-09 the catch of Ribbon fish was 16118 metric tonnes and penaeid prawn was 49351 metric tonnes. The quality of these high value species in the total catch ultimately decides the income of the fishermen. Oil sardine accounted for the major share of landings (71%), heavy landing of juvenile oil sardine in ring seine was also recorded. The catch of Oil sardine was 156511 MT during 2008-09, the most important variety consumed mainly by the poorer sections of the society exceeded the potential in recent years. The marine fishery resources of the state have almost attained the optimum level of production. The inland fish production reached peak share of 13% of the total fish production of the state during 2000-01 and thereafter declined slightly. During 2008-09, the share of inland fish production to the total fish production of the state was 12.59%. The current level of Inland fish production is about 0.83 lakh tonnes/year

District wise data for marine fish landings in Kerala for the year 1998 are given in Table 4.13. More recent but aggregated data for the whole state for marine fish ladings as well as inland fish landings is provided subsequently in Tables 4.14 and 4.15.

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153 Chapter 4 Environmental Analysis of Developmental Interventions at Local Level Table 4.13

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Table 4.14 Species wise composition of Marine fish landings in Kerala (2004-2005 to 2006-2007) (Tonnes)

Sl.No Species 2004 -05 2005 -06 2006 -07 1 Elasmobranchs 3,044 3,159 3,074 2 Eels 148 168 3 Cat Fish 154 168 4 Chirocenrtrus 258 265 5. a Oil Sardine 1,72,754 1,49,949 b Lesser Sardine 98,303 65,268 2,14,773 c Amchorilla 35,312 30,167 33,853 d Trissocles 2,308 3,175 e Other Clupeids 12,791 15,533 6 Saurida&Saurus 5,916 5,551 6,158 7 Hemirhamphus&Belone 642 691 8 Perches 30,437 30,400 32,971 9 Red Mullets 1,616 1,676 10 Polynrmides 21 67 11 Sciaenides 8,992 9,887 8,232 13 a Caranx 25,419 26,987 25,258 b Chornemus 1,049 985 c Othetr Carangids 24,171 20,766 14 Leiognathus 5,136 5,306 15 Lactrious 3,907 3,525 16 Pomfrets 1,393 1,501 17 Mackerel 43,017 44,202 45,904 18 Seerfish 2,371 2,475 2,648 19 Tunnies 11,208 11,923 12,248 20 Sphyraena 1,582 2,094 21 Mugil 29 42 22 Soles 8,061 13,951 23 a Penaeid Prawn 53,402 48,006 b Non Penaeid Prawn 3,315 1,738 56,779 c Lobsters 0 398 d Crabs 3,418 4,515 e Stomatopods 332 9,547 24 Cephalapoods 15,939 14,203 25 Miscellanious 6,761 14,948 100,988 TOTAL 6,01 ,863 5,58 ,913 5,61 ,028 Source: Directorate of Fisheries

Table 4.15 Species-wise Inland Fish Production in Kerala (2003-04 to 2006-07)

Sl.No Species 2003 -04 2004 -05 2005 -06 2006 -07 Production % Production % Production % Production % 1 Prawns 16,136 21 16,334 21 14,812 19 16,226 20 2 Etroplus 4,510 6 4,458 6 4,626 6 4,452 6 3 Murrels 3,657 5 4,133 5 4,287 6 4,081 5 4 Tilapia 7,739 10 7,490 10 7,965 10 7,555 10 5 Catfish 4,359 6 4,740 6 4,922 6 4,484 6 6 Jew Fish 2,795 4 2,765 4 2,871 4 2,745 3 7 Others 37,083 48 36,531 48 38,497 49 39,564 50 Total 76 ,279 100 76 ,451 100 77 ,980 100 79 ,110 100 Source: Directorate of Fisheries

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The Tsunami of 2004 caused extensive damage in Southern regions of India affecting a total of 2260 km of coastline. In Kerala, Fisherfolk were affected along 250 km of coastline. The disaster had damaged the infrastructure, assets, outputs, and services and disrupted the economic activity in the coast of Kerala. In order to rehabilitate and reconstruct public and community based infrastructure and restore the livelihood of the affected population Government of Kerala with the support of Government of India have formulated Tsunami Emergency Assistance Project (TEAP) and Tsunami Rehabilitation Programme (TRP). The livelihood programme has contributed a lot in the social empowerment to the coastal people especially the fisherwomen of coastal Kerala and this will remain as a strong basement blocks by a sustainable livelihood development programme for the coastal Kerala.

There are 9 completed fishing harbours in the state and the works of other 10 harbours are progressing. The completed fishing harbours are Thangassery, Neendakara, Kayamkulam, Munambam, Beypore, Puthiyappa, Chombal, Moplabay, Azheekal. There are 38 fish landing centres in the coastal zone of Kerala. Out of this 15 landing centres are for traditional fisheries.

4.2.9 Sanitation & Waste management Kerala raised to the need of community sanitation efforts through its basic strength of social capital. Kerala achieved the distinction of being the first State to fully do away with the dehumanizing practice of scavenging as a culmination of people’s movement for basic human dignity. The history of sanitation in Kerala stride out from 1920 when the Maharaja of Travancore initiated a move for sanitation with simple squat pits without running water in selected pockets of his kingdom. From the late 50’s, Kerala led the nation in the provision of household toilets through the Environmental Sanitation Programme (ESP). In the initial days, through successful campaign, single leach pit latrines with water seal bowls known as ESP latrines were constructed on an extensive scale. Later under the Central Rural Sanitation Programme launched in 1986 and People’s Plan launched in 1996, the coverage increased manifold reaching 96% as per the latest estimate (NFHS- 3rd round: 2005), the highest in the country and far above the national average of 44.5%. It is also significant to note that the coverage is more or less same in urban areas (98.3%) and rural areas (94.9%), showing the equitable spread. Correspondingly, there has been substantial improvement in personal cleanliness, home sanitation, food hygiene, safety of drinking water, solid and liquid waste management and overall environmental scenario. Thus, 869 out of the 999 Village Panchayats in the State have won the prestigious national award of Nirmal Grama Puraskar. It highlights the fact that at least 87% of the province is free from open defecation, the schools and balwadis are provided with toilet facilities and an overall cleanliness prevail in the area.

Historically, Kerala has been ahead of others in providing toilet facilities to schools and balwadis. The state is also the acknowledged leader in the country in reduction of water borne diseases and sanitation-related vector-borne diseases like malaria and filaria. These successes have contributed to the high human development of the State. Though the rich natural resource diversity and natural resources have contributed to the achievement, the dynamism has been achieved mainly through the literacy, public action, responsive state Government and

156 Environmental and Social Assessment Report Kerala Local Government Service Delivery Project vibrant Local Governments. In general, the population has a natural instinct for maintaining cleanliness. The homestead habitation practice, rich vegetation surrounding the residences, secured drinking water and sanitation facilities, etc can be seen as reflections of societal instinct for cleanliness in Kerala. During the 80s and beginning of 90s, Kerala experienced very massive campaigns for total literacy. This has opened up various avenues of learning and inspired self-confidence and wisdom and lead to intensive interventions in sectors like sanitation by pooling resources. The initial phase of decentralization, especially the coordinating efforts of District Panchayats, enabled significant progress. Since then, sanitation has been a priority sector for local governments. Thus, by the time the Total Sanitation Campaign (TSC) was launched in the country, the state had precise target, strategy and approach in the sector. Towards the nineties, the issue of solid waste has come up appreciably in the major urban centres of the State. Some of the cities like Thiruvananthapuram and Kozhikkode initiated action for collection and disposal of wayside accumulation of solid wastes. By the end of the decade, both these cities initiated actions for establishing composting plants as a strategy for managing biodegradable municipal wastes.

In order to push sanitation as an important agenda in the development discourse of the State, sustained local action through the local governments involving citizens, elected leaders, officials, professionals, activists and students was the strategy adopted. In order to implement the strategy, a mission approach was adopted in the beginning of 2000. Accordingly, the Kerala Total Sanitation and Health Mission was formed to focus on rural areas and Clean Kerala Mission was formed to attend the solid waste management requirements. These missions were essentially conceived as enablers to the local governments especially for providing technical and monitoring support. As a result, there has been significant coverage in various sanitation components. The temporal progress in toilet coverage since 1991 is given in Table 4.16. Similar progress has also been achieved in providing toilet facilities in Schools and Balwadis (Table 4.17). The implementation of TSC since 2001 has further improved the coverage. The target and achievement of various components envisaged in TSC is given in Table 4.18.

Table 4.16. Household latrine coverage: Access to Sanitation facilities Time Line 1991 (1) 1995 (2) 2001 (3) 2005 (4) Rural households with toilet (%) 44 73.4 81.3 94.9 Urban households with toilets (%) 73 90.0 92.0 98.3 Source – (1) Census of India, 1991, (2) NSSO 1995 (3) Census of India 2001 (4) NFHS 3 rd round - 2005

Table 4.17. School toilet coverage (2005) Item LP UP HS Total Number of Govt. schools 2565 960 986 4511 Number of schools having toilets 1785 759 790 3334 Percentage of schools having toilets 69.59 79.06 80.12 73.90

Table 4.18. Progress of TSC- Target and Achievement (2010) Kerala Local Government Service Delivery Project

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No Components Target Achievement Percentage 1 Individual House Hold Latrines 1073742 1098320 100 2 School Toilets 3600 3570 99 3 Anganwadi Toilets 4957 4464 90 4 Community Sanitary Complex 1090 872 80

In the coastal areas, particularly, it is estimated that about one million m 3 sewage is generated per day and about 30000 m 3 of this reaches the surface water bodies in the coastal areas in the State. This quantity of sewage contributes about 7000 kg of BOD load into the coastal water bodies (KSPCB, 2002). This estimate by the Kerala State Pollution Control Board is based on 1991 census updated to 2002 using the average decennial population growth rate of 10 %. On an average, 33% of the households in the coastal area are without any sanitary facilities and it is estimated that 10% of the sewage generation from those reaches the coastal water bodies (KSPCB, 2002). District wise data on sewage generation in the coastal areas of Kerala are given in Table 4.19.

The Municipal Solid Waste (MSW) management got a fillip in the state through the setting up of Clean Kerala Mission in 2003. This was to enable, primarily the Urban Local Governments (ULGs) and secondarily the rural local governments (RLGs), to tackle the increasing solid waste

158 Environmental and Social Assessment Report Kerala Local Government Service Delivery Project accumulation in compliance to the Municipal Solid Waste (Management & Handling) Rules, 2000 as well as the provisions in Municipal and Panchayati Raj Acts. Consequently, appreciable progress was achieved in the MSW management sector (Table 4.8). There are also certain best practices developed in the sector.

Table 4.18 Progress in municipal solid waste management sector No Item Total % 1 No of ULGs having land for MSW management 55 95 2 No. of ULGs with MSW management system in place 38 66 3 No. of ULGs where MSW management system is being developed 20 34 4 No. of RLGs with MSW management system 103 10 5 No. of RLGs where MSW management system is being developed 125 13

Though the state could address effectively the first generation issues with respect to human excreta disposal, there are serious second generation issues of water pollution. The high density of population in 720000 250 homestead type of habitation poses 700000 technological issues. The 200 basic standard of living in 680000 the state is relatively high 150 and therefore, the level of 660000 Cases Death solid and liquid waste Death Diseases 640000 generation is high even in 100 rural areas. The magnitude 620000 of land, water and air 50 pollution is high leading to 600000 dwindling environmental 580000 0 assimilative capacity. 1999 2000 2001 2002 2003 2004 2005 Consequently, the disease Figure 4. 1: Disease Burden burden in increasing as can be understood from Figure 4.4. Therefore, there is an immediate necessity of upgrading the environmental management systems especially for waste generation hotspots. These include solid waste management facilities, improved slaughter houses, facilities for treating septage and common engineered landfills.

The state has developed specific action plans for tackling the issues in sanitation sector and placed an institutional framework with professional competence.

A sectoral status study on MSW management in Kerala indicates that the total MSW generation in the state is about 8300 tpd (Table 4.20). These studies indicated that 70-80% of the total waste generated is biodegradable in nature and these putrescible waste needs to be managed within 24 hours. 13% of the waste is generated by the five City Corporations, 23% by the 53 Municipalities and the rest by the 999 Gram Panchayats. Though nominal facilities are provided Kerala Local Government Service Delivery Project

159 Chapter 4 Environmental Analysis of Developmental Interventions at Local Level in 38 Municipalities, there are gross inadequacy in terms of capacity and abatement of pollution. There are also issues with respect to plastic discards, e-waste and engineered landfill. The management of plastic discards and e-waste are proposed to be handled by establishing Resource Recovery Centres for disposing the reusable, and outsourcing the disposal of the hazardous part.

Table 4.20. Waste Generation in Kerala Waste generation Per capita per day Local Governments Population 2001 waste 2001 2006 generation (g) (tpd) (tpd) 5 City Corporations 24 ,56 ,618 400 983 1,091 53 Municipalities 58 ,10 ,307 300 1,743 1,935 999 Grama Panchayats 2,35 ,74 ,449 200 4,715 5,312 Total 7,441 8,338

In the coastal areas of Kerala including panchayats, municipalities and corporations it is estimated that about 1,677 tonnes of solid waste is generated per day assuming 300 gram per capita in major cities and 200 gram elsewhere. This estimate is based on the 1991 census updated to 2002 using the decennial population growth of 10%. The biodegradable solid waste is estimated to be about 553 tonnes per day assuming that 1kg of waste contains 0.3 kg of biodegradable waste. BOD load of solid waste reaching the coastal waters of Kerala is estimated to be about 91 kg/ day assuming that 20% of the biodegradable solid wastes get carried in to the inland water bodies and 10% of that reaches the coastal waters. District wise details on solid waste and BOD load reaching the marine coastal waters are presented in Table 4.21.

160 Environmental and Social Assessment Report Kerala Local Government Service Delivery Project 21

Consumption of Fertilizers and Pesticides Annual consumption of fertilizers in Kerala is about 210,596 tonnes. Breakup of this is as follows: N = 87,016 tonnes, P = 43,107 tonnes, K= 80,473tonnes. It is presumed that 1% of the fertilizers applied on land reaches the coastal waters (KSPCB, 2002). About 1340 tonnes of different types of pesticides is used for agricultural purpose in Kerala per year. An account of various pesticides used in the State is given in Table 4.22. As in the case of fertilizers, it is presumed that 1%of this reaches the coastal waters.

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The MSW (Management & Handling) Rules, 2000 makes the disposal of final rejects from the waste treatment plant in an engineered landfill (ELF) a mandatory requirement. If each Municipality ventures to establish an ELF separately, it would require large tract of land having no environmental constraints. Therefore, Regional ELF is suggested for tackling the requirement. A comparative study on the land and cost requirement of individual ULB-based ELF and Regional ELF are given in Table 4.23. Accordingly, six regional ELF are proposed for the 14 districts according to the possible generation of waste rejects.

The Committee appointed by the Hon’ble Supreme Court estimated that yearly, about 4 lakh tone of mutton and 6 lakh tone of beef are produced in Kerala by slaughtering 26.5 million goat and sheep and 3 million cattle in the State. Apart from this, pig meat is also consumed in the state about which no estimate is available. The Committee observed that the 44 slaughter houses available in the state are inadequate, unhygienic and not equipped with adequate facilities as per norms for modern abattoirs. There are also issues of waste produced from about 5.5 lakh tone of chicken being sold every year in the State. The percentage of waste generation in slaughter house is quite high of the order of 27.5% for bovines, 17% for goat/sheep and 4% for pig. The waste generation in chicken stall is also reported to be high of the order of 25%. The facilities for effluent treatment as well as solid waste processing are also almost absent in these slaughter houses. Considering the population and meat requirement, there is a minimum requirement of 7 large abattoirs, 22 medium abattoirs and at least 225 small abattoirs.

162 Environmental and Social Assessment Report Kerala Local Government Service Delivery Project Table 4.23 Individual ELF Vs Regional ELF Facility No Item Individual ELF for Regional ELF each UBS 1 Land requirement (Ha) 2316 957 2 Cost of land (Rs. per Ha) 0.40 Crore 0.18 Crore 3 Savings on land cost (Rs) 754 Crore 4 O&M cost per ton (Rs) 555 388 5 Savings per annum on O&M (Rs) 13 Crore

The coverage of sewerage facilities, even in the City Corporations, is extremely low of the order of 30% in Thiruvananthapuram and 5% in Kochi Corporation areas, probably one of the lowest in the country. Even in this system, the provision for treating the black liquor is almost absent. Rest of the Municipal and rural areas do not have even such a facility. Due to land constraints the septic tanks have volume constraints and due to high water table scenario, the leach pits overflows, especially during rainy season which extend up to about 150 days in a year. Therefore, there is a requirement of clearance and removal of septage, the facilities for which are not available anywhere in the state. The practice now is to collect the septage using vacuum suction into tankers which are then emptied into open spaces and even water bodies, one of the most dangerous practices. Therefore, there is an immediate necessity of installing Sewage Treatment Plants, at least for treating the septage collected from septic tanks and leach pits.

Considerinng these issues, the Government of Kerala formulated and launched a comprehensive action plan namely ‘Malinya Mukta Keralam (Waste-free Kerala)’ action plan in 2007 envisaging the following output to be achieved during the current plan period.

• Total coverage of household sanitary latrines • Total coverage of latrines in public institutions like Anganwadis, Schools and Hospitals • Putting in place household and institutional waste treatment systems • Segregation of household and institutional waste • Developing decentralized common treatment facilities • Development of common sanitary land-fill sites for inert waste as required • Making Colonies clean and neat • Introducing litter-free public places • Plan for liquid waste management • Extending sewerage facilities

These action plans are being implemented in a time-bound manner.

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4.3 Functions of Local Governmets and their Environmental implications The Kerala Panchatayi Raj Act and the Kerala Municipalites Act, outlines the functions of various tiers of Local Government in detail. The functions are classified as mandatory functions, general functions and sectoral functions. The sectoral functions include agriculture, fisheries, animal husbandry, dairy development, minor irrigation, social forestry, small industries, housing, waters supply, electricity and energy, education, public works, public health and sanitation, social welfare, poverty alleviation, SC /ST development , sports and cultural affairs , PDS, natural calamities relief, and Cooperation.

Some of these functions include interventions on ecosystem resources, and hence have environmental implications. For instance, the activities associated with the mandatory function ‘regulating building construction’ can cause adverse environmental impact due to resource consumption and waste generation. There are many functions which have beneficial impacts if appropriate protocols are observed. An example for this is the the secoral responsibility of ‘putting into practice water conservation’. In many such cases, poor implementation or service delivery can also cause adverse environmtal impact.

The environmental impacts of functions of Local Governmetns has been analysed using an activity-impact matrix. For analysis in matrix method, causative factors or activites associated with the function are listed. The environmental impact can be either due to the activites related to the function per se, or poor service delivery in performing the function. In some cases, the environmental impact of the function is not clear at this stage as it will be subjective and depends on the boundary conditions, scale, type and duration of the activity etc. Futher, the adverse effects due to the causative factors or activites related to the function are enumerated. It examines whether a particular function, has no environmental impact, or has beneficial environmental impact or has adverse environmental impact. It also tries to qualify the level of adverse impact as High, Medium, Low or Insignificant. The following notations are used to denote the impact type and magnitude: H for High Adverse Impact, M for Medium Adverse Impact, L for Low Adverse Impact, I for Insignificant Impact, N for No Impact, B for Beneficial Impact and S, if the impact is Subjective. The matrix also outines the mitigation measures for adverse impacts or measures for positive enhamcement of beneficial impacts wherever applicable.

The detailed activity-impact matrices for all the madatory, general and sectoral functions of Grama panchayats, Block panchayats, District Panchayats and Municipalites is presented in Annexure V. The projects dealing with Infrastructure, industries, intensive landuses, high magnitude resource consumption and some of the service sectors like sanitation are found to be the causing adverse impacts of high magnitude and intensity. This is mainly due to inadequate compliance to the stipulated protocols and poor environmental management measures.

The outcomes of the activity impact matrix anayisis has been incorporated into the Environmental and Social Management Framework in Chapter 5. Based on the level and type of impact, functions requiring environmental regulation have been classified under a Control List,

164 Environmental and Social Assessment Report Kerala Local Government Service Delivery Project which indicates those activities having high or medium adverse impacts, or the impact is subjective/unclear and hence should be subjected to a detailed environmental assessment. This list form the basis for environmental screening of development projects, proposed under the Environmetnal and Social Management Framework.

4.4. Environmental Analysis of Development interventions of Other Departments Convergent at Local Level

Several of the State and Central government projects are convergent at the local level- these are either implemted by the Local Governments, or supported by the Local Governmets, or are implemted within the jurisdiction of the Local Government. Hence it is imperative to examine the environmental implications of these development projects that are convergent at local level. The activity-impact matrix method is used for environmental impact of these projects as well. The findings from the matrix analysis have been incorporated into the ESMF outlined in Chapter 5. A few sample SOE reports are given in Annexure VI.

4.5. Summary of Findings from the Focus Group Discussions Conducted in LSGIs

To understand the development paradigm and environmental concerns of local bodies at various levels, structured focus groups discussions were organized in selected three tier Panchayats and Urban Local Bodies. The discussions also helped in identifying gaps in the existing systems, processes and tools adopted for development planning and in identifying capacity building need for the local bodies.

In order to facilitate the Structured Focus Group Discussions, a questionnaire was prepared. Refer to Annexure VII for the sample questionnaire. The questionnaire served as an indicative list for collection of primary information from the local bodies. General information about the local body was also collected to understand the profile of the local body.

The following eleven local bodies were surveyed to get a perspective of the developmental and environmental issues of local self governments.

List of LSGIs where FGDs were conducted Type of LSGI Location District

Grama Panchayat Tanalur Malappuram Thalikulam Thrissur Kumbalanghi Ernakulam Elor Ernalulam Vengola Ernakulam Block Panchayat Perambra Kozhikode Mullassery Thrissur District Panchayat Wynad Wynad

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Municipality Koilandy Kozhikode Perinthalmanna Malappuram Nedumangad Thiruvananthapuram

Five Grama Panchayats, two Block Panchayats, one District Panchayat and three Municipalities were included in the sample. Local bodies from coastal plain areas, mid land and high land stretches of the state were part of the sample. The surveys were conducted during April- May 2009.

The focus group discussions were attended by elected representatives as well as staff from LSGI or other government departments who are associated with the development planning process. More than fifty elected representatives were consulted through these discussions and approximately 26% of them were women. One district panchayat, one block panchayat and one grama panchayat were led by women representatives. In addition, more than 20 government staff involved in planning and implementation of development projects participated in the survey.

Detailed minutes of the surveys in various LSGIs is provided in Annexure VII. The findings from the field surveys is summarised in the following section.

4.5.1. Summary of Findings 4.5.1.1. Developmental activities undertaken by the LSGI The following table summarizes the development projects undertaken by the LSGI. This is an indicative list of activities based on the inferences from the field survey.

166 Environmental and Social Assessment Report Kerala Local Government Service Delivery Project Related to functions of LSGI Sta te / central/ line department projects

Permission for building construction Housing schemes: IAY, Solid waste management VAMBAY, Special Health and sanitation Schemes for SC/ST Soil and water conservation Employment Schemes: Drinking water supply SGSY, SGSY Special Market places Projects. NREGP, Burning and burial Grounds Kudumbasree Various Licenses, certificates, tax Watershed and Soil and Collection of statistics water conservation: Poverty alleviation and employment- Kudumbasree IWDP/ Hariyali Promotion of cultivation in waste/fallow/marginal lands WASH: Clean Kerala Diary development Mission, TSP Fisheries sector development Energy conservation: Implementation of housing schemes ANERT Electrification Promotion of bio-gas

Improvement of amenities and quality of education in Schools Construction and maintenance of Panchayat roads Construction and maintenance of govt buildings Management of health centres, ICDS centres Construction of Play grounds and cultural centres Grama Panchayat Grama Coordination with Grama Panchayats Employment Schemes: Solid waste management SGSY, SGSY Special Soil and water conservation, Watershed projects Projects, NREGP, Drinking water supply Kudumbasree Market places Watershed and Soil and Burning and burial Grounds water conservation: Promotion of cultivation in waste/fallow/marginal lands IWDP/ Hariyali Fisheries sector development WASH: Clean Kerala Skill development training, local enterprise development Mission, TSP Improvement of amenities in schools and hospitals Energy conservation: Road construction and maintenance ANERT Lift irrigation schemes Energy conservation Panchayat Panchayat Implementation of employment schemes Implementation of housing schemes for SC/ST population Block Block

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Coordination with Block, Grama panchayats Promotion of agriculture hayat Construction and maintenance of district roads Education Health SC/ST welfare District District Panc Permission for building construction Employment Schemes: Solid waste management SGSY, SGSY Special Health and sanitation Projects, NREGP, Soil and water conservation Kudumbasree Drinking water supply Watershed and Soil and Storm water drainage and sewerage networks water conservation: Market places, bus stands, cultural centres, libraries, town IWDP/ Hariyali halls WASH: Clean Kerala Burning and burial Grounds Mission, TSP Various Licenses, certificates and tax collection Energy conservation: Collection of statistics ANERT Poverty alleviation and employment- Kudumbasree UIDSMT Skills development training and promotion of enterprises/ JNURM industries Promotion of cultivation in waste/fallow/marginal lands Diary development Fisheries sector development Implementation of housing schemes Electrification , energy conservation Promotion of bio-gas Improvement of amenities in schools and hospitals Construction and maintenance of roads Construction and maintenance of govt buildings Management of health centres, ICDS centres, hospitals and schools Municipality

4.5.1.2. Innovative approach/ projects

This section highlights a few of the initiatives from the aforementioned LSGIs which are noteworthy for their innovativeness and could be replicated and up-scaled.

IT and Governance

Citizen Charter, Perinthalmanna Municipality: A commendable governance initiative is the “citizen charter” prepared by the Perinthalmanna Municipality. The citizen charter document outlines the procedure for availing a list of thirty nine services offered by the municipality. The document also specifies the time limit for processing applications for these services. If the service is not delivered with in the specified

168 Environmental and Social Assessment Report Kerala Local Government Service Delivery Project time limit, the applicant can bring it to the notice of Municipal Secretary and Chairman. The citizen charter booklet was provided to all households in the municipality.

Computerisation and Governance reforms, Tanalur Grama Panchayat: Computerisation of Tanalur Grama Panchayat was supplemented by several other initiatives to improve the service delivery of the Grama Panchayat. The Pachayat conducted a detailed socio economic survey , where in details of each land parcel(with details of land use, type and use of buildings), household (details of members, occupation, asset ownership, amenities, details of agriculture, animal husbandry, details of water supply and sanitation facilities, income sources, birth and death in last one year, health status, details of earning members who are working abroad, participation in Grama Sabha, details of govt schemes from which the household has benefited) and commercial establishments/ enterprises (type , asset ownership, details of licenses, employees etc) were collected and collated to a database. Computerisation and automation of certain business processes was another initiative. Any citizen, who submits a grievance or application for availing a specific service offered by the Grama Panchayat, receives a receipt which will specify the application number and time limit for processing the application. The status of the application and details of officials responsible for addressing the grievance can be tracked by entering the application number in information kiosk.

Private Sector Partnerships

Investors meet, Mullassery Block Panchayat: In the case of Mullassery Block panchayat in Thrissur district, majority of the households have at least one earning member who is employed abroad. The Block panchayat organized an investor’s meet to mobilize their support for promoting small and medium enterprises in the Block panchayat. 30 small enterprises were started with support mobilised through this event.

Partnership with NRIs and local NGO (Vikas Trust), Thalikulam Grama Panchayat : The Panchayat has been able to successfully mobilize financial support from an NRI businessman who hail from this Panchayat for various development interventions. Vikas trust, an NGO floated by one of them is also complementing and supporting these interventions. The Panchayat conducted an employability survey in the Panchayat and found that there are at least three thousand people who need a job. The Panchayat organized job oriented training programmes for them and 2000 beneficiaries have been employed so far. The panchayat also mobilized additional financial resources from the trust for implementing housing schemes.

Drinking water supply by Industries, Elor Grama Panchayat: Elor Panchayat faced severe drinking water shortage due to the pollution of ground water caused by four industries in the Panchayat. 2144 families in 6 wards of the Panchyat are provided with free drinking water supply by pooling in financial resources from the four industries. The FACT’s water treatment plant supplies treated potable water to these areas. The fixed cost on establishing the water supply network and the recurring cost on pumping, treating and supplying are met by these industries.

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Cataract camps, Perinthalmanna Municipality: The Perinthalmanna municipality successfully organized a campaign to identify and support the treatment of those affected by Cataract. The project was implemented with the support of Kudumbasree members (who facilitated the initial screening of beneficiaries),Aalsalam hospital, (a private ophthalmic hospital in Perinthalmanna who facilitated the detailed check- up and operations), and Rotary Club (who provided financial support for the entire programme). 2000 people benefited from this scheme.

Resource Mobilization Construction of bus stand cum shopping complex, Koilandy Municipality: The bus stand cum shopping complex was constructed at a total cost of INR 6.65 crores. The entire cost of the project was moblised by renting out the 79 shop rooms in the shopping complex for office/ commercial spaces in advance and collecting the caution deposit. The Municipality has constructed a public market as well. The LSG now owns approximately 6000 sq m of built up area, which is a major source of recurring income. In the year 2007-08 , the income from assets (rent on land and buildings, markets and comfort station, sand auction) owned by the Municipality was INR 3,51,40,000, which is roughly 30% of the total municipal budget.

Chairman’s relief fund, Perinthalmanna Municipality: When ever a major development activitey is implemented, for instance a major road, or bye pass road, industrial park etc- the land vale in the fringe areas of the project generally appreciates. So the Municipality is proposing to levy a one time ‘Development tax’ on beneficiaries of major projects. The money will be used for other development activities through the Chairman’s Relief fund.

Carbon Trading, Perinthalmanna Municipality: As part of the Total Sanitation Project, the municipality implemented the Integrated Low Cost Sanitation project where in approximately 800 toilets which are attached to bio gas plants, were constructed. It is proposed to trade the carbon saving from this initiative.

Housing Scheme in Tanalur Grama Panchayat: The project was conceptualized when the Panchayat received more applications for housing schemes than it could possibility fund through the annual plan. The Panchayat obtained special sanction for mobilizing additional resources through bank loan. 470 houses were constructed in the last five years through this scheme. The Panchayat is presently repaying the principal through annual installments from their development fund and the general purpose fund. The interest on the loan is borne by the beneficiaries. This project was a precursor of the ambitious EMS housing scheme mooted by state govt this year

Mobilising Technical Support

Inadequacy of technical support is an excuse oft-quoted for delay in development and implementation of various development projects. But on the contrary, several of the LSGIs

170 Environmental and Social Assessment Report Kerala Local Government Service Delivery Project mobilized technical support from with in the LSGI or from various departments or from resource institutions of repute. To quote a few: • Indian Institute of Management, Kozhikode developed the business plan for Subhiksha, the Women’s cooperative movement implemented by Perambra Block Panchayat. • Integrated Rural Technology Centre (IRTC) Palakkad provided technical support for development of watershed master plan for Perambra Block. • IRTC Palakkad provided technical supported to several LSGIs for implementation of the Solid Waste management projects • Mythri is providing technical support for the drainage and sewerage network design for Koilandy Municipality • The inland fisheries related initiatives of Kumbalangi Grama Panchayat are supported by ADAC.

Livelihood Enhancement and Diversification

Local Employment Directory, Perinthalmanna Municipality: The Municipality conducted a survey to identify the local employment opportunities in the region. For instance, the Municipality has 20 private hospitals, which can provide employment for local population. It was found that approximately 1000 jobs are available locally. Based for the survey, the municipality facilitated skill development programmes for gainful employment in these sectors. 330 women have been already employed through this initiative.

Subhiksha Project, Perambra Block panchayat: Subhiksha, is a Women Cooperative Producing Value Added Coconut Products. The project was developed and implemented by Perambra Block Panchayat with technical support from Indian Institute of Management, Kozhikode. The project was supported under the SGSY scheme and had a funding of central and state contribution of INR 8 crore, INR 4 crore mobilized through bank loans, besides the beneficiary contribution. The project has successfully established more than 500 small units benefiting around 7000 women below poverty line. The units are engaged in production and marketing 41 value added items based on coconut. The production chain and activities of these units are interconnected. 23 units procure coconut directly from farmers. Husk is taken to units dealing in mechanized fibre production and the coir pith from these units are used for producing manure through composting. Coconut is taken to copra drier unit. The coconut water is given to units producing squash, vinegar etc. Dried copra is handed over to coconut oil producing units. Shell is given to units specializing in charcoal production. In addition to selling coconut oil, a part of it is used for producing soap. Parallel to this, there are unit which produce value added food products from coconut, like coconut pickle, jam, candy, tender coconut cake, hair oil, wholesome tender coconut as a snowball etc. Subhiksha has entered into an agreement with Rubco to extract virgin oil from undried coconut. In addition, one of the units produces coconut saplings. The women’s collectives take up door to door marketing of these value added products.

Community Participation

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Aarogya Sena, Koilandy Municipality: Koilandy Municipality has trained a group of Community Health Volunteers or Aarogya Sena’s at ward level. The volunteers are involved in monitoring of preparedness level against health hazards as well as in awareness generation programmes related to water, sanitation and hygiene.

Jana Maithri Suraksha , Perinthalmanna Municipality: This state level community policing initiative is being implemented in Perinthalmanna Municipality. The project envisages the formation of people’s committees comprising of elected representatives and heads of educational institutions at the police station level for implementing the scheme. The committees would help law enforcers devise location-specific policing strategies. Beats comprising 500 to 1,000 households with a police officer of either head-constable or assistant sub-inspector rank interacting with the members have been formed. Any citizen can contact the beat officer for help, round the clock. There has been considerable reduction in the crime rate in the Municipal area post implementation of this project.

Water Supply, Sanitation and Hygiene

Kudumbasree in Solid Waste Management: Solid waste collection enterprise initiated by Kudumbashree is highly beneficial not only to solve the problem of environmental pollution, but also as a means of livelihood to the urban/rural poor especially women, and without any additional financial burden to the urban local bodies. For collecting waste from the households, the entrepreneurs charge Rs 30/- per month from each household. The women entrepreneurs engaged in solid waste collection are earning Rs 3,000 to Rs 5,000 per month. Now 155 Kudumbashree solid waste management groups are in operation in 18 urban local bodies in the State. In addition to door to door collection in Urban/ semi urban areas, units which handle waste from market places and from meat/chicken stalls are also coming up.

Natural Resource Management

Watershed Master Plan, Perambra Block panchayat: To operationalise the government guideline for preparation of an integrated watershed master plan, the Perambra Block Panchayat got in touch with IRTC for technical hand holding. IRTC conducted a ToT programme for 101 master trainers from different walks of life like farmers, activists, politicians, students, professionals, officials and elected representatives for 4 days. The master trainers in turn facilitated the preparation of the map delineating 46 micro watersheds and training of selected persons from each watershed at the local level. Two survey teams of seven persons each were formed for each micro watershed. A Watershed Committee as formed at the level of the Village Panchayat. Community moblisation for watershed planning was facilitated by these filed level volunteers. This included a special Grama Sabhas, discussion in school assemblies, banners and posters, conduct of Jala Jatha etc. Special surveys of gullies and streams and transect walks were conducted. Intensive meetings

172 Environmental and Social Assessment Report Kerala Local Government Service Delivery Project of Neighbourhood Groups of farmers were organized and Watershed Mahasabha constituted in each micro watershed. Action plans for watershed based interventions were prepared. With expert interventions in respect of agriculture, fisheries, soil conservation and special problems, the watershed master plan was finalized. The whole exercise took 16 1/2 months. In order to plan and implement the programmes, farmers’ group called Karshaka Koottaima has been formed. The plans are to be implemented converging funds from the local governments, State Government and Central Government.

Jala Samrithi Nagaram Campaign, Koilandy Municipality: The municipality organized “Jala samrithi nagaram” campaign for promoting water conservation. One lakh mazhakuzhi (water recharge structures) as well as several tadayana (check dam) were constructed. Based on the request from municipality, 11 private ponds were handed over to LSGI to be converted to rainwater harvesting structures. Cleaning up of canals and streams were also taken up as a priority activity. Social forestry initiatives were also campaigned for. The concept of “jaiva veli”- compound wall with local plant varieties -was promoted. Several other campaigns - Mazha utsavam, tiruvatira njattuvelaye swikarikkuka , kaliyane sweekarikkuka were orgnised to soil and water conservation practices. Studies show that there is a 4% increase in ground water level post implementation of the water conservation initiatives.

4.5.1.3. Environmental issues The major environmental issues identified by the LSGIs during the survey are listed below.

Issue Root cause Water logging Filling up of canals, ponds and wetlands affecting the natural drainage pattern. Siltation in canals and water bodies. Absence of storm water drainage network Wetland conversion Construction of roads, houses and other buildings Solid waste management Littering in public places Dumping of solid waste into water bodies Problems in identifying solid waste management sites Inadequate capacity and efficiency of collection No facilities or inadequate capacity for processing bio degradable waste from market places, slaughter houses, meat and chicken stalls etc No facility for handling plastic waste, construction debris No facility for handing bio-medical waste Shortage of drinking Salinity intrusion in coastal areas water Ground water contamination from polluting industries Depletion of ground water sources Depletion and contamination of surface water sources Inadequacy or absence of water supply network Use of pesticides contaminating water sources Kerala Local Government Service Delivery Project

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Discharge of industrial and urban waste into water bodies Erosion Coastal erosion Bank erosion in rivers, streams, rivulets and canals Top soil erosion due to deforestation Mi ning and quarrying Sand mining from rivers Mining of granite and laterite Mining of hillocks for soil

4.5.1.4. Planning and implementation of developmental activities Development interventions are identified through needs assessments done at Grama Sabhas. Most of the approved projects emanated from the needs articulated at the Grama Sabhas. In general, most of the LSGIs were able to organize Grama Sabhas at the stipulated intervals. Ten to fifteen percent participation was reported. Inadequate capacity of the Grama Sabhas and working groups to address technical queries related to sector interventions is a lacuna.

4.5.1.5. Reasons for deviations in plan implementation The following are the typical reasons for deviations in project implementation.

Process related: • Changes in projected number of beneficiaries – if a scheme doesn’t attract enough number of beneficiaries or more number of people apply for a scheme. • Delays in approval of the plan by TAG/ DPC • Inconsistency in recommendations/ guidelines/ executive orders and their suitability for local conditions • Delays in finalization of departmental projects and fund allocation. This is extremely important in sectors like agriculture, aquaculture etc were activities are seasonal and timeliness of intervention is crucial. • Need for flexible guidelines while implementing pilot innovative projects and local specific projects • Need for more devolution of power in deciding sectoral priorities and fund allocation • Lack of coordination in cases of projects implemented by other departments like Revenue, Tourism & Irrigation departments, as well as lack of coordination between interventions of three tier panchayats. • Too many audits and trivial audit objections • Code of conduct after the declaration of elections (national, state or local elections) or bye-elections cause delay in implementation

Resource related • Lack of funds • Changes in subsidy norms

Capacity related: • Inadequacy of technical support for sectoral interventions.

174 Environmental and Social Assessment Report Kerala Local Government Service Delivery Project • Dearth of adequately qualified/ trained staff has been a common grievance in both ULBs and three tier panchayats (ex: sharing of agricultural officers/engineers/other technical staff between Panchayats, posting of engineers from irrigation department on deputation in village Panchayats, lack of staff with expertise in Town Planning in Municipalities, frequent staff changes).

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Environmental and Social Assessment Report Kerala Local Government Service Delivery Project

CChhaapptteerr 55 EEnnvviirroonnmmeennttaall aanndd SSoocciiaall MMaannaaggeemmeenntt FFrraammeewwoorrkk

55..11 IIInnttrroodduuccttiiioonn he Kerala Local Government Service Delivery Project (KLGSDP) provides discretionary TTperformance based grant to be made available to LSGs. The grant is to be used for creation as well as maintenance of capital assets used in service delivery. As per well established policy and precedent, the World Bank ensures that none of the activities undertaken through the use of its funds lead, directly or indirectly, to any kind of adverse environmental or social impact. It is in this context that this environmental and social assessment exercise has been conducted on the proposed project concept and an appropriate Environmental and Social Management Framework (ESMF) developed to suitably address the implications identified during the assessment. The ESMF is discussed in detail and provides guidance on its correct implementation. Needless to say, application of the ESMF is mandatory for all expenditures incurred under Component 1: “Performance Grants” of the project. However in the future, the Local Self Government Department of the Government of Kerala could consider the option to apply it to all activities taken up by the LSG institutions irrespective of the source of funds.

This project has been classified as Category ‘B’ in World Bank’s safeguards categorization meaning thereby that low to medium level Environmental and Social impacts are expected. Looking at the long and extensive list of LSG functions, it is quite apparent that all the functions listed therein would not necessarily lead to environmental and social impacts. It is only activities pertaining to certain specific sectors such as sanitation, infrastructure, agriculture, tiny or small-scale industries, etc. that could plausibly lead to environmental and/or social implications of low to medium magnitude. Most other LSG functions (such as promoting education, welfare of scheduled castes, etc.), would tend to remain rather benign when examined from the environmental and social safeguards angle. It follows that the ESMF would apply only to those activities that lead to any kind of significant adverse environmental and/or social impacts.

55..11..11 SSaallliiieenntt ffeeaattuurreess ooff tthhee EESSMMFF A simple ESMF for use of the Local Governments is suggested. The ESMF will enable the LSGs to examine proposed activity plans for possible adverse environmental or social implications. If any such implications are, in fact, anticipated and identified, then the ESMF will provide requisite guidance to the LSGs, enabling them to incorporate appropriate counter-measures into their activity implementation plans so that these impacts could be either prevented from occurring or at least, their severity reduced to manageable or permissible limits.

The main feature of the ESMF is a simple screening procedure that would enable LSGs to predict, identify and estimate the scale of the likely environmental and social (E&S) impacts

Kerala Local Government Service Delivery Project Environmental and Social Assessment Report Kerala Local Government Service Delivery Project

associated with the activities planned to be taken up by them, if any. It further features a set of mitigation guidelines that enable the LSGs to build in appropriate provisions in the respective activity plans that help prevent, mitigate or offset the identified E&S impacts, if any. Successful (or unsuccessful) application of screening procedures and mitigation guidelines will lead to grant (or denial) of environmental approval to the proposed activity. The ESMF also lays down simple but effective procedures for verifying the correctness of implementation and documenting compliance status vis-à-vis mitigation measures, when implementation takes place.

The entire process described above is known as the E&S Clearance and Compliance Verification Procedure and comprises the primary component of the ESMF. Care has been taken during designing of this procedure to ensure that it is user friendly and simple enough to be understood and implemented by LSG functionaries or associated personnel. In addition, there are three components of the ESMF that play a supportive role in ensuring accurate and successful application of the E&S clearance and compliance verification procedure. These are discussed in the next section.

55..11..22 CCoommppoonneennttss ooff EESSMMFF Following are the components of this ESMF:

1. E&S Clearance and compliance verification procedures a. Screening for E&S safeguard requirements b. Impact assessment and mitigation planning (for activities requiring safeguards) c. E&S approval d. Compliance verification 2. Institutional framework 3. Capacity building plan 4. Implementation monitoring plan 5. Budget

The LSGs are expected to follow their standard procedures for approval of proposed activities that are to be funded through the Block Grant facility mooted under Component 1 of the project. The E&S clearance and compliance procedure, listed at No. 1 above, consists of a few easy additional process steps that have been superimposed on the existing procedures so that E&S clearance also becomes a part of the routine approval process. The add-on procedures described herein also contain a built-in provision that enables LSGs to integrate appropriate mitigation measures into the activity implementation plan itself and subsequently verify whether they have been adequately complied with during work execution.

The Institutional Framework, listed a, allocates exact functions, roles and responsibilities to different players at various levels of hierarchy in the management set-up along the LSG organizational structure leading to the grant of E&S clearance as well as verification of compliance post implementation. Again, care has been taken to maintain close consistency with the prevailing lines of authority / reporting protocols in the existing LSG structure.

Environmental and Social Assessment Report Kerala Local Government Strengthening Project

Even though the E&S clearance procedures developed herein are simple, non-expert based and user friendly, they will be new and relatively unfamiliar to various associated players who are expected to make use of these procedures while discharging their respective roles and responsibilities. Consequently, they will not be able to apply these procedures effectively unless they are completely familiar with their application and have the necessary background knowledge and information to successfully implement them. The Capacity Building Plan has been included in the ESMF precisely intention of addressing this specific requirement. It suggests detailed training curriculum and training schedules that will ultimately lead to the familiarization of all involved with the E&S clearance and compliance procedures. The trainings suggested in this plan will be integrated with the overall training / capacity building plan of the project under Component 2, to be implemented by the Kerala Institute of Local Administration (KILA) and the State Institute of Rural Development (SIRD).

The fourth and last component, namely implementation monitoring, will help the Project Management in assessing the quality of ESMF implementation and enable them to take up corrective measures wherever required. This activity will have interface with the overall project monitoring proposed under Component 4 of the project. Another monitoring activity undertaken in the project will comprise of Annual Performance Assessments proposed as a basis of disbursal of Performance Grants to qualifying LSGs under Component 1.

55..22 EE&&SS CCllleeaarraannccee aanndd CCoommppllliiiaannccee This section elaborately discusses the E&S Clearance and Compliance Verification procedures developed as the operational part of the ESMF. There is a slight difference between the procedures suggested for Grama Panchayats and Municipalities due to difference in organizational structure. Suggested procedures for both are discussed separately in forthcoming sections.

Broadly, the procedure can broadly be divided into two distinct components, namely:

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

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

Environmental and Social Assessment Report Kerala Local Government Service Delivery Project

55..22..11 EE&&SS CCllleeaarraannccee aanndd CCoommppllliiiaannccee PPrroocceedduurreess ffoorr GGrraammaa PPaanncchhaayyaattss As mentioned earlier, the procedures for securing E&S Clearance have been developed in a manner that they fit the standard approval procedures followed by the LSGs.

We first describe the standard approval procedures followed by GPs in Kerala in the normal course. These are as follows: • Subproject ideas are taken up by the Sectoral Working Groups (SWGs) (in the local body) from the activities already listed in the 5 year Development Report 1 for the respective GP. • The GP has a number of Working Groups, each of which is in-charge of a specific LSG function such as sanitation, roads, buildings, agriculture, water works, poverty reduction, etc. The proposals taken up by the SWGs are submitted to the Gram Sabha for prioritization of works/activities. • Upon prioritization by the Gram Sabhas, the respective Working Groups prepare draft subproject plans and submit to the GP Committee • The GP Committee discloses and discusses these proposal in a Development Seminar participated by experts, professionals, representatives of Gram Sabha and local people. Based on discussions and feedback obtained at the Development Seminar and after incorporating recommendations a final sub-project plan is arrived at. • Subsequently, GPC concurs with and approves the final subproject plan discussed and disclosed in the Development Seminar. • Thereafter, the respective Working Groups prepare the Detailed Project Reports (DPRs) through the GP Implementing Officers (Assistant Engineer/Secretary/Headmaster/Medical Officer/ICDS Supervisor, as the case may be) and other technical staff • * The DPRs are submitted to the Officer in the next higher tier in the Block level (Block Engineer/Assistant Director of Panchayats/Deputy Director of Education/District Medical Officer/Community Development Program Officer, as the case may be) at the block level for vetting the subproject proposals with respect to compliance to procedures/norms laid down by Government, technical feasibility, financial viability, etc. • Upon vetting the proposals, the Block Level officer (Block Engineer/Assistant Director of Panchayats/Deputy Director of Education/District Medical Officer/ Community Development Program Officer, as the case may be) forwards the same back to concerned Implementing Officers for submitting the same to District Planning Committee (DPC) for the latter’s approval of subproject and annual plan for the respective GP. • The implementation of subprojects is carried out by the Implementation Officer who is also the convenor of the Working Groups. The day-to-day monitoring of implementation is carried out by the members of the working groups. A depiction of the process flow for granting environmental clearance and subsequent verification of compliance for Grama Panchayats as superimposed on the above standard approval process is given in Figure 1.1.

1 Every 5 year a special consultation process for needs assessments at the ward levels are conducted and respective ward requirements are consolidated and tabled in the Gram Panchayat Committte for concurrence and incorporation in the Development Report for the respective Panchayat/Local Body . *From 12 th Plan onwards, Technical Advisory Group (TAG) has been dispensed with and the responsibility of giving the Technical Sanction and was assigned to the Officer in the next higher tier in the concerned sector. 3

Environmental and Social Assessment Report Kerala Local Government Strengthening Project

E&S Clearance and Compliance Verification Procedure for GPs

Project ideas fr om approved PROJECT PROPOSAL / DPR and disclosed Final Sub-project Plan obtained from GP Committee NOT APPROVED REGULATOR Y LIST WORKING GROUP SCREENING Prepares DPR and undertakes ESMF Yes Does any part of the screening with help of GP Implementing Regulatory list apply the Department proposed activity? GP Implementing PROJECT DEFERRED Officer Has any permission / OR DPR SENT BACK sanction been - Prepares DPR accorded that enables Yes No FOR REVISION - Implements work No this regulatory list after DPC approval entry to be taken up for implementation ?

Block Level CONTROL LIST SCREENING Clearance This list has two parts: No Examination of DPR Level 1: low impact No by Supervisory Level 2 medium impact Officers for accuracy Does any entry in one of these and acceptability of lists apply to the proposed mitigation plan activity ?

ESMF SCREENING DURING DPR PREPARATION WORK Yes Block Level Officer Facilitates ESMF at all stages Level 1 activity Level 2 activity

No Yes DPC ** Revise DPR Revise DPR by incorporating conducting LESA#, Approval mitigation plan from incorporating given mitigation suggested mitigation guidelines and plan and revising cost revising cost if if applicable required

 DPR READY APPROVED

DPR PREPARATION BY IMPLEMENTATION OFFICER

Referred to GP Committee for ** DPC: District Planning forwarding to Implementing Committee Officer # LESA: Limited Environmental and Social Appraisal

COMPLIANCE VERIFICATION Only for activities requiring Mitigation Plans as per ESMF

Interim c ompliance verification during ESMF compliance filing by works Verification of ESMF compliance by GP works execution, wherever applicable contractor on completion of works Implementing Officer and Chairman, execution Monitoring Committee before approval of final installment of payment to works contractor.

ESMF COMPLIANCE VERIFICATION BY IMPLEMENTATION OFFICER WITH FACILITATION FROM BLOCK LEVEL OFFICER

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

Environmental and Social Assessment Report Kerala Local Government Service Delivery Project

It is at the DPR preparation stage that the first stage of E&S Clearance will come into play. This would be done by screening of the proposal for environmental and social implications. Since the DPR preparation work is undertaken by the Working Groups along with the GP technical staff, it is best if the E&S screening and mitigation planning is also done by them. In spite of this, it is important for the GP Committee members, concerned Block Level approving authorities (Assistant Executive Engineer/Assistant Director of Panchayats/Deputy Director of Education/District Medical Officer/Community Development Program Officer, as the case may be) and District Planning Committee members to be familiar with the entire screening process so that they understand the environmental and budgetary implications.

The section below describes the procedures for the first step in grant of E&S Clearance, viz., E&S screening and mitigation planning.

55..22..11..11 SSccrreeeenniiinngg ffoorr EE&&SS iiimmppllliiiccaattiiioonnss The E&S screening and mitigation planning is proposed to be done in two consecutive stages. While the Engineers will be doing the screening, guidance will be provided by the Higher Level Officer in the next tier of planning process. Following are the two stages in screening:

First Stage Screening : This stage of screening is intended for weeding out activities that are prohibited by prevailing applicable regulations 2 or allowed in only very special circumstances. A screening tool known as the ‘Regulatory List’ has been prepared for use in the first stage of screening. The Regulatory List (see Proforma A, section 1.2.3 ‘E&S Clearance Toolkit’) is a list of given activities prohibited by regulations or a set of conditions or circumstances under which no activity is allowed by law, with conditional clearance in case of certain very specific situations, if any. If any type of activity or condition listed in the Regulatory List happens to correspond or apply to the proposed activity, it cannot be granted E&S clearance unless the requisite permissions / provisions listed therein, if any, are obtained / met. The Regulatory List is very useful and effective in weeding out activities that may be contravening any prevailing environmental or social legislation.

Second Stage Screening : The second stage of screening is meant for proposals which have cleared the first stage. The tool used here is known as the ‘Control List’. The Control List (See Proforma B; section 1.2.3 ‘E&S Clearance Toolkit’) consists of two separate components: that of activities classified as Level 1 and that of activities classified as Level 2. Level 1 activities are expected to have relatively low magnitude E&S impacts while Level 2 activities could lead to slightly higher, i.e., medium level E&S impacts.

In case of Level 1 activities, the ESMF recommends a set of simple pre-determined mitigation measures which are provided as E&S Guidelines (See E&S Guidelines; section 1.2.3 ‘E&S Clearance Toolkit’). The concerned authority has to ensure that these mitigation measures are included and integrated with the overall activity proposal and cost implications, if any, are also added to the activity budget.

2 This includes National and State regulations as well as World Bank Safeguard Policies. 5

Environmental and Social Assessment Report Kerala Local Government Strengthening Project

In case of Level 2 activities, the ESMF proposes that a Limited Environmental and Social Appraisal (LESA) be undertaken. The LESA could be done internally by the Engineer or outsourced to an external expert. Whatever the route taken, the LESA is expected to analyze the risks as well as alternative intervention scenarios to arrive at a feasible mitigation plan. Again, as in the earlier case, the concerned authority has to ensure that these mitigation measures are included and integrated with the overall activity proposal and the associated cost figures are suitably updated to reflect the additional cost, if any, of implementing the mitigation measures.

Once the mitigation measures are built into the activity plan, the project can be sent for further stages of approval as per the standard existing process described in later sections. At every stage, the ESMF related mitigation plan will be separately discussed and approved.

In case the proposed activity does not match any of the activities listed under Level 1 as well as Level 2 of the Control List, it can be forwarded directly to the next step of approval because, in such cases, no E&S clearance or subsequent compliance verification is necessary. Therefore, in effect, the ESMF linked screening and approval requirements in case of activities to which the Control list does not apply, are bypassed and further processing of these proposals as well as implementation can take place as per normal routine without further ESMF related obligations or requirement.

55..22..11..22 VVeerriiiffiiiccaattiiioonn aatt BBllloocckk LLeevveelll Once the DPR is prepared by the Working Group, it is forwarded to the concerned Block Level Officer (Assistant Executive Engineer/Assistant Director of Panchayats/Deputy Director of Education/District Medical Officer/Community Development Program Officer, as the case may be) for vetting of the technical aspects such as compliance to procedures/norms lay down by Government, technical feasibility, financial viability, etc. If the Block Level officer takes a view that the proposal requires further modifications, it can send it back to the Working Group / Implementing Officer for revision.

The ESMF related function of reviewing the validity of the E&S screening and appropriateness of the mitigation measures included in the proposal has been added to the Block Level Officer’s list of responsibilities, considering that this fits in well with its prevalent function. In this case also, the Block Level Officers will provide guidance, support and facilitation to the project implementation.

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

55..22..11..33 AApppprroovvaalll bbyy DDPPCC Subsequent to clearance by the Block Level Officer, as per standard procedure, the proposal is forwarded to the District Planning Committee for final approval. DPC reviews the DPRs and comments/recommendations/suggestions of Block Level Officers before due consideration and 6

Environmental and Social Assessment Report Kerala Local Government Service Delivery Project

approval. It is envisioned that the DPC’s approval will also encompass the E&S Clearance, which will be nested in its overall approval of the project. Subsequent to DPC approval of the project, the DPR is sent again to the GP. The approved subprojects are tendered/implemented (as applicable) by the Implementation Officers in the respective SWGs. For engineering works, Technical Sanction will be issued by Block Engineers before implementation.

55..22..11..44 CCoommppllliiiaannccee vveerriiiffiiiccaattiiioonn Once work execution of the project starts, it is the Implementation Officers responsibility to ensure that the work plan is properly implemented. It is strongly recommended that the respective Implementation Officers should undertake interim review of the ESMF related mitigation measures while work is in progress and provide appropriate guidance should any be required. Further, before release of the final installment, it is recommended that the Block Level Officer should verify and submit a report confirming the correct implementation of all recommended mitigation measures. The Implementation Officer should release final installment of payment duly verifying compliance to all recommended mitigation measures. The Implementation Officer is free to make use of the Block Level Officer for any guidance, facilitation or support that may be required during the compliance verification process.

Proforma C provided in the E&S Compliance Toolkit (see section 5.2.3) is to be attached to the project file / DPR and used for recording E&S Clearance and Compliance.

55..22..22 EE&&SS CCllleeaarraannccee aanndd CCoommppllliiiaannccee PPrroocceedduurreess ffoorr MMuunniiicciiippaallliiittiiieess There is a difference between the organizational structure of GPs and Municipalities. Even though the approval procedures are principally the same, there is a variation in the approval authorities and stages. In the normal course, subproject ideas are taken up by the Sectoral Working Groups (SWGs) (in the local body) from the activities already listed in the 5 year Development Report 3 for the respective Municipality. The Municipality has a number of Working Groups, each of which is in-charge of a specific LSG function such as sanitation, roads, Buildings, agriculture, water works, poverty reduction, etc. Following is the procedure:

• The proposals taken up by the SWGs are submitted to the Ward Sabha for prioritization of works/activities. • Upon prioritization by the Ward Sabhas, the respective Working Group prepares the draft subproject plans and submits to the respective Municipal Council • The Municipal Council discloses and discusses these proposals in a Development Seminar participated by experts, professionals, representatives of Ward Sabha and local people.

3 Every 5 year a special consultation process for needs assessments at the ward levels are conducted and respective ward requirements are consolidated and tabled in the Gram Panchayat Committte for concurrence and incorporation in the Development Report for the respective Panchayat/Local Body . *From 12 th Plan onwards, Technical Advisory Group (TAG) has been dispensed with and the responsibility of giving the Technical Sanction and was assigned to the Officer in the next higher tier in the concerned sector.

Environmental and Social Assessment Report Kerala Local Government Strengthening Project

Based on discussions, feedback and after incorporating recommendations, a final subproject plan is arrived at, discussed and disclosed in the Development Seminar • Subsequently, the respective Municipal Standing Committees and Municipal Council concurs with the final subproject plan. • Thereafter, the technical staff of the respective Working Groups prepares the Detailed Project Reports (DPRs) through the Municipal Implementing Officers (Municipal Engineer/Secretary/Headmaster or Principal/Medical Officer/ICDS Supervisor, as the case may be) and other technical staff • The DPRs are submitted to the Officer in the next higher tier (Assistant Executive Engineer / Executive Engineer / Superintendent Engineer located at the District level/Chief Engineer, as the case may be) for vetting the subproject proposals pertaining to compliance to procedures/norms laid down by Government, technical feasibility, financial viability, etc. • Higher Tier Officer upon vetting the proposals submits it to District Planning Committee (DPC) for the latter’s approval of subproject and annual plan for the respective Municipality. • Upon receipt of DPC approval by Municipality, technical sanction for engineering works will be accorded by Municipal Engineer, while others will proceed for implementation. • The implementation of subprojects will be carried out by the Implementation Officers who is also the convener of the Working Groups. • The day-to-day monitoring of implementation is carried out by the members of the SWGs.

It is at the DPR preparation stage that the procedure of E&S Clearance will come into play. This would be done by screening of the proposed activities for environmental and social implications as described in section 1.2.1.1. Since the sectoral Working Group Members and Engineers/officers in the SWGs will be preparing the Subproject plan and DPRs, it is best if the E&S screening and mitigation planning is also done by them. In spite of this, it is important for the Municipal Council members, Block Level Supervisory Officers and District Planning Committee members to be familiar with the entire screening process so that they understand the environmental and budgetary implications.

As in the case of GPs, in case of Municipalities also, care has been taken to adhere as closely as possible to the existing processes and procedures and integrating the E&S Clearance within the same. In this section we discuss the equivalent E&S Clearance and Compliance Procedures for Municipalities. A diagrammatic representation of the same is given in figure 1.2. The sections below describe the procedures for the first step in grant of E&S Clearance, viz., E&S screening and mitigation planning.

55..22..22..11 SSccrreeeenniiinngg ffoorr EE&&SS iiimmppllliiiccaattiiioonnss ((MMuunniiicciiippaallliiittiiieess)) The procedure for E&S screening and mitigation planning is the very same as proposed for Grama Panchayats including screening tools used: the Regulatory and Control Lists, mitigation guidelines or LESA procedures. In subsequent sections, we discuss the steps leading to grant of E&S Clearance in case of municipalities.

Environmental and Social Assessment Report Kerala Local Government Service Delivery Project

55..22..22..22 VVeerriiiffiiiccaattiiioonn aatt HHiiigghheerr LLeevveelll Once the subproject plan or proposal is cleared by the Municipal Council, it is forwarded to the Higher Tier Officers (Assistant Executive Engineer / Executive Engineer / Superintendent Engineer located at the District level/Chief Engineer, as the case may be) for vetting of the subproject proposals pertaining to compliance to procedures/norms laid down by Government, technical feasibility, financial viability, etc.

The ESMF related function of reviewing the validity of the E&S screening and appropriateness of the mitigation measures included in the proposal has been added to the Higher Tier Officer’s list of responsibilities, considering that this fits in well with its prevalent function. In this case also, the Higher Tier Officer will provide guidance, support and facilitation to the Implementing Officers in these matters.

55..22..22..33 AApppprroovvaalll bbyy MMuunniiicciiippaalll CCoouunncciiilll During the approval process of subproject proposals, if the Municipality at any stage feels that the subproject plan or DPRs or portions therein are deficient in some ways or need to be improved, or if the budget is higher than the amount sanctioned while granting ‘in principle’ approval, it may send them back to the Working Group / Engineer for revision. Alternatively, it may undertake steps to revise the sanctioned amount. The approval of the Municipal Council is usually given from the utility and financial angle. Technical aspects of the proposal are normally examined by the Higher Tier Officers.

55..22..22..44 AApppprroovvaalll bbyy DDPPCC Subsequent to clearance by the Higher Tier Officers, as per standard procedure, the proposal is forwarded to the District Planning Committee for final approval. DPC reviews the DPRs and comments/recommendations/suggestions of Higher Tier Officers before the DPRs are discussed and approved. It is envisioned that the DPC’s approval will also encompass the E&S Clearance, which will be nested in its overall approval of the project. Subsequent to DPC approval of the project, the DPR is sent again to the Municipality. The approved subprojects are tendered/implemented (as applicable) by the Implementation Officers in the respective SWGs. For engineering works, Technical Sanction will be issued by Higher Tier Officers before implementation.

Environmental and Social Assessment Report Kerala Local Government Strengthening Project

E&S Clearance and Compliance Verification Procedure for Municipalities Project ideas fr om approved PROJECT PROPOSAL / DPR and disclosed Final Sub-project Plan obtained from Municipal Committee NOT APPROVED REGULATORY LIST WORKING GROUP SCREENING Yes Does any part of the Prepares DPR and undertakes ESMF screening with Regulatory list apply the help of Municipal Implementing Department proposed activity? Municipal PROJECT DEFERRED Implementing Has any permission / OR DPR SENT BACK sanction been Officer accorded that enables Yes No FOR REVISION - Prepares DPR No this regulatory list - Implements work entry to be taken up for implementation ? after DPC approval Higher Level Clearance CONTROL LIST SCREENING This list has two parts: Examination of DPR No Level 1: low impact by sub-group for No Level 2 medium impact accuracy and Does any entry in one of these acceptability of lists apply to the proposed mitigation plan activity ?

ESMF SCREENING DURING Yes DPR PREPARATION WORK Higher Tier Officer Yes Facilitates ESMF at all stages

Level 1 activity Level 2 activity DPC ** No Approval

Revise DPR Revise DPR by incorporating conducting LESA#, Yes mitigation plan from incorporating given mitigation suggested mitigation guidelines and plan and revising cost revising cost if if applicable  required APPROVED

DPR READY

Referred to Municipal Committee for forwarding to Implementing Officer DPR PREPARATION BY IMPLEMENTING OFFICER

** DPC: District Planning Committee # LESA: Limited Environmental and Social Appraisal COMPLI ANCE VERIFICATION Only for activities requiring Mitigation Plans as per ESMF

Verification of ESMF compliance by Municipal Implementing Officer and Interim c ompliance verification during ESMF compliance filing by works Chairman, Monitoring Committee before works execution, wherever applicable contractor on completion of works approval of final installment of payment to execution works contractor.

ESMF COMPLIANCE VERIFICATION BY IMPLEMENTATION OFFICER WITH FACILITATION FROM HIGHER TIER OFFICER

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

Environmental and Social Assessment Report Kerala Local Government Service Delivery Project

55..22..22..55 CCoommppllliiiaannccee vveerriiiffiiiccaattiiioonn Once work execution of the project starts, it is the Municipal Engineer’s responsibility to ensure that the work plan is properly implemented. It is strongly recommended that the respective Implementation Officers should undertake interim review of the ESMF related mitigation measures while work is in progress and provide appropriate guidance should any be required. Further, the approving authority should release of the final installment, only after verifying the correct implementation of all recommended mitigation measures. Wherever necessary, the Higher Tier Engineer will be available for support, guidance and facilitation.

Proforma D provided in the E&S Compliance Toolkit (see section 1.2.3) is to be attached to the project file / DPR in Municipalities and used for recording E&S Clearance and Compliance.

55..22..33 EE&&SS CCllleeaarraannccee TToooolllkkiiitt Given below are the screening tools and guidelines developed for use of concerned LSG functionaries / officials for according E&S Clearance to proposed activities and subsequently verifying compliance. They comprise the E&S Toolkit for use of those concerned. The contents include:

1. The Regulatory List Screening Tool (Proforma A) 2. The Control List Screening Tool (Proforma B) 3. E&S Clearance and Compliance Format for GPs (Proforma C) 4. E&S Clearance and Compliance Format for Municipalities (Proforma D) 5. E&S Mitigation Guidelines for Level-1 activities (Proforma E) 6. Format for Conduction of LESA for Level-2 activities (Proforma F) 7. E&S Mitigation Guidelines for Level-2 activities (Proforma G) 8. Social Screening Compliance Format for Subprojects involving Land Acquisition (Proforma H)

Environmental and Social Assessment Report Kerala Local Government Strengthening Project

Proforma A- Regulatory List

List of Prohibited activities under various regulations

Involuntary land acquisition Activities involving involuntary land acquisition (The Kerala Land Acquisition Act, 2013)

Child Labour Activities involving use of child labour (The Child Labour (Prohibition and Regulation) Act, 1986) CRZ areas Activities involving discharge of untreated wastes and effluents Activities involving harvesting or drawal of ground water in the CRZ using mechanical pumps unless when done manually through ordinary wells for drinking water or domestic purposes only. These activities should be in compliance with the Coastal Management Plan and Costal Zone Regulation procedures as applicable (Coastal Regulation Zone Notification, 2011) Activities involving land reclamation, bunding or disturbing the natural course of sea water except those required for control of coastal erosion and maintenance or clearing of water ways, channels or for prevention of sandbars or for tidal regulators, storm water drains or for structures for prevention of salinity ingress and sweet water recharge Activities involving mining of sands, rocks and other substrata materials Any construction activity between the Low Tide Line and High Tide Line in the CRZ-I and III without permission from the Kerala State Coastal Zone Management Authority. 4

Forests, Natural Habitats and Trees Activities likely to cause significant damage to forests, mangroves, nesting grounds or any other kind of identified / designated natural habitat. Activities in forest areas and inside designated Protected Areas (e.g. National Parks, Wild Life Sanctuaries, Tiger Reserves, etc. without permission from the Forest Department. Any activity that involves extraction of timber or any non-timber forest produce from a forest area or its transport without permission from the Forest Department, except in

4 CRZ I: Includes (i) Areas that are ecologically sensitive and important, such as national parks/marine parks, sanctuaries, reserve forests, wildlife habitats, mangroves, corals/coral reefs, areas close to breeding and spawning grounds of fish and other marine life, areas of outstanding natural beauty/historically/heritage areas, areas rich in genetic diversity (ii) Area between Low Tide Line and the high Tide Line; CRZ II: includes areas that have been already developed upto or close to shoreline CRZ III: Areas that are relatively undisturbed and include coastal zone in the rural areas (developed and undeveloped). CRZ IV: Includes coastal stretches in the Anadaman and Nicobar, Lakshadweep and small islands except those designated as CRZ I, II or III.

Environmental and Social Assessment Report Kerala Local Government Service Delivery Project

accordance with the provisions of the Scheduled Tribes and other Traditional Forest Dwellers (Recognition of Forest Rights) Act, 2006. Any activity that involves cutting of grass or grazing of livestock in a forest area without permission from the Forest Department (except in accordance with the provisions of the Scheduled Tribes and other Traditional Forest Dwellers (Recognition of Forest Rights) Act, 2006). Any activity that involves cutting of any tree or trees except in accordance with the provisions of the Kerala Preservation Of Trees Act (1986) Activities involving destruction / exploitation of any kind of wildlife.

Physical and cultural resources Activities likely to cause damage to objects, sites, structures, groups of structures, and natural features and landscapes that have archaeological, paleontological, historical, architectural, religious, aesthetic, or other cultural significance Any subproject involving construction adjacent to historical monuments, railways, highways etc. infringing the distance prescribed by the Town Planning Department of Government of Kerala

Air, land and water resources Activities pertaining to construction of any reservoir or anicut or weir or any other permanent structure in or across any water course for the purpose of diverting water Activities involving abstraction of water from a water course by a mechanical device of high horse power/capacity. Abstraction and pumping should be restricted to the safe yield of the source of water as per the certification of the Ground Water Department. Activities connected with quarrying of sand in any area in a water course within a distance of five hundred metres from any dam, check dam, reservoir or any other structure or construction on or across such watercourse, owned or controlled or maintained by Government for the purpose of irrigation Digging of a tube-well or well from which water is extracted without permission of the State Ground Water Authority in notified areas or in areas classified as Critical / Over Exploited Zones Any activity involving promotion, use, storage and distribution of pesticides, weedicides and such others that are banned by the Government of India, Government of Kerala or are included in classes Ia, Ib and II of the WHO classification (Refer to Annexure IX on WHO classification of pesticides) Any industrial and mining activity without obtaining necessary permits (compliance with siting restrictions, Consent to Establish, Consent to Operate) from the Kerala State Pollution Control Board Any activity involving conversion or reclamation of paddy land or wetland

Environmental and Social Assessment Report Kerala Local Government Strengthening Project

Any activity involving discharge of effluent or water into public places or water bodies without permission from the State Pollution Control Board Any construction activity involving locating of the leach pit, soak pit, earth closet or septic tank as per the existing guidelines of Kerala Municipal Building Rule (KMBR) & Kerala Panchayat Building Rule (KPBR) Any activity involving littering and burning of Municipal Solid Waste in cities, towns and in urban areas Activities involving new drinking water supply without testing of water quality to ensure that it is safe for human consumption and effective water treatment measures Activities involving pollution of the air from any industrial activity without consent from the State Pollution Control Board Activities involving mining & quarrying not in accordance with the existing clearance procedures. Construction activities in the ecologically sensitive areas as notified by the Government Construction of activities in the surveyed lands earmarked by the Government for any other development activities.

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

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

Environmental and Social Assessment Report Kerala Local Government Service Delivery Project

Proforma B- Control list* (Tick One Box) Level -1 (Low Impact) Activities Level -2 (Medium Impact) Activities Buildings - Repair , Maintenance and Buildings - New Construction and Expansion Furnishings Roads / Bridges / Culverts - Repair and Roads/Bridges/Culverts - New Construction Maintenance Sanitation & Waste Management : Waiting Sheds, Parking Yards, Bathing Ghats - Collection and Management of Solid & Construction, Operation and Maintenance Liquid Waste, Electronic Waste, and Biomedical Waste Public Markets, Crematoriums, Burial Public Markets, Crematoriums, Burial Grounds, Public Toilets, Slaughter Houses, Grounds, Public Toilets, Slaughter Houses, Waste Management Installations, Stadiums, Stadiums, Play grounds, Swimming Pools - Play grounds, Swimming Pools - Operation, Construction and Expansion Maintenance and Repair Micro Irrigation - Construction and Minor Irrigation - Construction and Maintenance, Check Dams – Construction and Expansion Maintenance, Minor Irrigation - Maintenance Drinking Water Supply - Operation, Drinking Water Supply - Construction and Maintenance and Repair Expansion Storm Water Drains - Repair and Maintenance Storm Water D rains - Construction Agriculture / Horticulture / Social Forestry - Animal Husbandry & Dairy F arming - Management and extension Construction & Expansion of facilities Meat & F ish Product ion and Marketing - Meat & F ish product ion and Marketing - Repair and Maintenance of facilities Construction and Expansion of facilities Ponds/Tanks/Wells / Canals - Cleaning and Ponds/Tanks/Wells/ Canals – Construction Desilting Tiny and Small Industries - Establishment Ferries - Operation and Maintenance and Expansion Electrical & Electronic items - Purchase, Mining & Quarrying Installation, Operation and Maintenance Pisci-culture - Development and Extension Fairs and Festivals - Organization and Management

*Note: If any of the above activities irrespective of the level they are classified under, involve Land acquisition, it should be done only as per process described in the note entitled “ Land acquisition process requirements ”. This note has been provided at the end of Proforma E: Mitigation Guidelines as well as in the “Notes” section of Proforma F: the LESA format.

Further, both the above proformas also contain a short section on “Guiding Principles for maximizing benefits to Vulnerable Groups”. LSGs are encouraged to examine the project idea closely to see if these features can be suitably built into the same in order to enhance its benefits to vulnerable groups.

Environmental and Social Assessment Report Kerala Local Government Strengthening Project

Proforma C E&S Clearance and Compliance Format for GPs

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

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

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

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

4. Does any item in Level 2 of Control List apply? Yes No

MITIGATION PLAN

Likely Environmental and Social Risks Mitigation Measures to be adopted

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

Filed by: Implementing Officer (Signature) Working Group Chairman (Signature)

APPROVALS

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

Cleared Not cleared Block Level Officer in the next higher tier (Signature & Comments)

Cleared Not cleared Chairperson DPC (Signature & Comments)

COMPLIANCE VERIFICATION

Verified that all mitigation measures proposed have been implemented / not implemented as per the mitigation plan mentioned above.

Additional comments, if any:

Signatures: GP Implementing Officer Chairman, Monitoring Committee Block Level Officer

Environmental and Social Assessment Report Kerala Local Government Service Delivery Project

Proforma D E&S Clearance and Compliance Format for Municipalities

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

1. Does any item in the Regulatory list apply to the proposed activity? Yes No 2. If yes, have necessary permissions been obtained? Yes No NA 3. Does any item in Level 1 of Control List apply? Yes No 4. Does any item in Level 2 of Control List apply? Yes No MITIGATION PLAN

Likely Environmental and Social Risks Mitigation Measures to be adopted

Filed by: Implementing Officer (Signature) Ward Committee Chairman (Signature)

APPROVALS

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

Cleared Not cleared Block Level Officer (Signature & Comments)

Cleared Not cleared Chairperson, Municipal Council (Signature & Comments)

Cleared Not cleared Chairperson DPC (Signature & Comments)

COMPLIANCE VERIFICATION

Verified that all mitigation measures proposed have been implemented / not implemented as per the mitigation plan mentioned above. Additional comments, if any:

Signatures: MN Implementing Officer Chairman, Monitoring Committee Block Level Officer

Environmental and Social Assessment Report Kerala Local Government Strengthening Project

Proforma E E&S Mitigation Guidelines for Level-1 activities

Buildings- Repair, Maintenance and Furnishings Adverse Impact Mitigation Guidelines / Best Practices Natural resource depletion • Optimize use of construction material • To the extent possible, minimize the use of wood • Adhere to the regulatory list during selection of water source for construction. • Use eco-friendly construction material, such as fly-ash bricks, bamboo reinforcement etc. to the extent possible. • Use efficient technology for internal systems such as lighting, cooling/space heating, cooking, refrigeration, etc. Waste generation • Plan and adopt solid and liquid waste management system including re-use of relevant waste material, wherever possible. Safety of the Workers • Ensure the use of appropriate safety gadgets • Ensure the availability of the first aids

Roads / Bridges /Culverts – Repair & Maintenance Adverse Impact Mitigation Guidelines / Best Practices Natural resource depletion • Optimize use of construction material • Do not use soil from agricultural lands for construction • Adhere to the regulatory list during selection of water source for construction. Waste generation • Plan and adopt solid and liquid waste management system including re-use of relevant waste material, wherever possible (Example: Use of waste plastic materials along with Bitumen for the road tarring) Fugitive Emissions (dust, • Sprinkling of water during construction particulate matter, smoke • Ensure timely maintenance of machineries and fumes) Disruption in services/ • Advanced planning with concerned Department / Authority and obtain sanctions / NOC Utilities for uninterrupted supply of services (traffic, water, electricity, cable etc.) Break or interference in • Adopt alternative / by-pass systems to maintain natural flow natural drainage & water • Ensure proper covering for the drains to avoid accidents and waste dumping logging • Have the plan approved by a qualified civil engineer Safety of the Residents & • Maintain adequate and appropriate sign boards Workers • Ensure the use of appropriate safety gadgets • Ensure the availability of the first aids

Waiting Sheds, Parking Yards, Bathing Ghats: Construction, Operation and Maintenance Adverse Impact Mitigation Guidelines / Best Practices Loss of land, congestion & • Optimize land use through appropriate design and plan loss of open space • Seek clearance on design and plan by qualified civil engineer • Obtain permission from concerned authorities at the time of project formulation itself Depletion of natural • Optimize use of construction material resources • To the extent possible, minimize the use of wood • Do not use soil from agricultural lands for construction • Adhere to the regulatory list during selection of water source for construction. • Use eco-friendly construction material, such as fly-ash bricks and bamboo reinf orcement, if possible. Littering & poor aesthetics • Placement of waste bins and display boards • Ensure timely and regular collection and appropriate disposal of waste • Develop green-belt using local species of plants & trees Solid waste generation • Ensure appropriate collection, segregation and management of solid waste Water stagnation • Ensure adequate provision of drainage duly maintained on a periodic basis. Contamination of water • Prevent discharge of waste water into water bodies. bodies • Ensure separate spaces for cleaning vehicles, livestock etc. if the bathing ghat is used for such purposes also • Obtain necessary permits from competent authorities wherever applicable. Nuisance to residential • Maintain distance norms, comply with noise pollution regulations and ensure social houses safeguards

Environmental and Social Assessment Report Kerala Local Government Service Delivery Project

Tree felling • Obtain permit for tree felling from the State Forest Department and include compensatory planting with at least twice the number of trees felled as a component in the construction plan

Public Markets, Crematoriums, Burial Grounds, Public Toilets, Slaughter Houses, Waste Management Installations, Stadiums, Play Grounds, Swimming Pools: Repair and Maintenance Adverse Impact Mitigation Guidelines / Best Practices Accumulation of domestic waste • Facilitate segregation, storage and management Inadequacy of toilet facilities & • Ensure sufficient number of toilets, adequate water supply maintenance Water stagnation & unhygienic • Plan and implement proper drainage facilities, soak pits and periodic cleaning premises • Ensure proper hygiene and water treatment mechanisms for the swimming pools Depletion of natural resources • Optimize use of construction material • To the extent possible, minimize the use of wood • Do not use soil from agricultural lands for construction • Adhere to the regulatory list during selection of water source for construction. • Use eco-friendly construction material, such as fly-ash bricks and bamboo reinforcement, if possible. • Use efficient technology for internal systems such as lighting. Littering & poor aesthetics • Placement of waste bins and display boards • Ensure timely and regular collection and appropriate disposal Solid waste generation • Ensure collection, segregation, management and appropriate disposal of solid waste Contamination of water bodies • Prevent discharge of waste water into water bodies without adequate treatment. • Obtain necessary permits from competent authorities wherever applicable. Fugitive emission • Develop green-belt using local species of plants & trees • Ensure timely maintenance of machineries Socio-economic impacts • Maintain distance norms, comply with noise pollution regulations to avoid nuisance to residential houses • Proper awareness on the general and specific social safeguard and hygiene measures for both genders, in the case of swimming pool projects

Micro-irrigation: Construction and Maintenance & Maintenance of Minor irrigation Projects: Adverse Impact Mitigation Guidelines / Best Practices Break in natural drainage Adopt alternative / by-pass systems to maintain natural flow • Have the plan approved by a qualified civil engineer Super saturation of soil, reduced • Provide for appropriate regulation of water distribution, preferably through aeration & poor operational Participatory Irrigation Management efficiency Poor upkeep, siltation and water • Ensure periodic maintenance and desiltation stagnation Natural Resource depletion • Comply with applicable regulations and norms, obtain necessary permits and control natural resource extraction and supply domains

Drinking Water Supply : Operation, Maintenance & Repair: Adverse Impact Mitigation Guidelines / Best Practices Water source depletion • Comply with applicable regulations and norms, obtain necessary permits and control natural resource extraction and supply domains • Regulate abstraction of water using pumps within the safe yield of the source Community conflicts • Consensus building Water quality deterioration • Periodical monitoring of water • Adoption of corrective measures to ensure water quality

Storm Water Drains: Maintenance & Repair Adverse Impact Mitigation Guidelines / Best Practices Poor upkeep, siltation, water • Plan and implement proper drainage facilities, soak pits stagnation & unhygienic • Ensure periodic maintenance and desiltation premises Natural Resource depletion • Comply with applicable regulations and norms, obtain necessary permits and control natural resource extraction and supply domains Community conflicts • Consensus building

Environmental and Social Assessment Report Kerala Local Government Strengthening Project

Accumulation of de-silted • Segregation of materials and appropriate reuse material Contamination of water bodies • Prevent discharge of waste water into water bodies without adequate treatment. • Obtain necessary permits from competent authorities wherever applicable. • Provide necessary silt traps to prevent clogging Agriculture/Horticulture/Social Forestry: management and extension Adverse Impact Mitigation Guidelines / Best Practices Soil erosion and soil quality • Ensure soil conservation measures and use of organic soil nutrients/manures deterioration Loss/reduction of species • Ensure species diversity and prevent introduction of alien species Indiscriminate use of water • Promote group farming and participatory irrigation Sale and use of banned/non • Adhere to the regulatory list of use of banned pesticides (WHO Class 1a, 1b and II) permitted pesticides Unsafe handling of pesticides • Maintain proper storage facilities for pesticides • Stock and promote sale of safety gadgets to be used while handling pesticides Ecosystem imbalance due to • Promote only locally adaptable species & integrated pest management practices spread of invasive alien crops & • Provide soil testing, fertilizer recommendation, pesticide safety services to member improper pest management farmers • Do not use fertilizers without ISI mark certification

Meat & Fish Production and Marketing : Repair & Maintenance of facilities Adverse Impact Mitigation Guidelines / Best Practices Natural resource depletion • Optimize use of construction material • To the extent possible, minimize the use of wood • Adhere to the regulatory list during selection of water source for construction. • Use eco-friendly construction material, such as fly-ash bricks, bamboo reinforcement etc. to the extent possible. • Use efficient technology for internal systems such as lighting, cooling/space heating, cooking, refrigeration, etc. Waste generation • Plan and adopt solid and liquid waste disposal system including re-use of relevant waste material, wherever possible. Water quality deterioration • Periodical monitoring of water bodies • Adoption of corrective measures to ensure water quality

Ponds/Tanks/Wells/Canals: Cleaning and De-silting, Adverse Impact Mitigation Guidelines / Best Practices Loss/wastage of land • Selection of the most appropriate location with respect to the watershed • Prepare detailed lay-out plan for main and subsidiary activities Land clearance • Confine the clearance according to the lay-out plan • Amend the lay-out plan, if necessary, to protect critical trees and landforms Tree felling • Obtain permit for tree felling, as per rule • Include compensatory planting with at least twice the number of trees felled as a component in the construction plan Loss of top-soil • Collect, conserve and re-use appropriately on barren / wastelands Bank failure/caving in • Reinforcement / protection of side walls Accumulation of excavated • Collect and re-use appropriately material Community conflicts • Consensus building Resource Depletion • Ensure water recharge measures periodically

Ferries: Operation and Maintenance Adverse Impact Mitigation Guidelines / Best Practices Littering & pollution of water • Awareness building and regulation of the use of mechanized boats bodies Risk of accidents • Enforce traffic regulation & ensure compliance of preventive measures for safety of humans and goods.

Electrical & Electronic Goods: Purchase, Operation & Maintenance Adverse Impact Mitigation Guidelines / Best Practices

Environmental and Social Assessment Report Kerala Local Government Service Delivery Project

Possibility of Risk • Ensure the procurement of items with BIS certification • Engage Licensed persons for installation/wiring • Place proper warning sign boards • Adopt guidelines of electrical inspectorate wherever applicable • Ensure AMC for goods and services Possibility of accidents • Ensure availability of First-aid,Maintain work site clean and tidy • Ensure proper installation of fire-fighting measures in the building, • Train staffs to use fire extinguishers. • Regular checking of fire extinguishers for working condition and expiry date. E-waste accumulation • Adopt Government policy and practices for the proper management of the e-waste.

Pisci-culture: Construction, Operation & Maintenance of facilities Adverse Impact Mitigation Guidelines / Best Practices Loss of land, congestion & loss • Optimize land use through appropriate design and plan of open space Depletion of natural resources • Optimize use of construction material • Use eco-friendly construction materials Contamination of water bodies • Prevent discharge of waste water into water bodies. • Conduct periodical water quality monitoring and adopt corrective and precautionary measures Conflict of interest • Consensus building

Fairs and Festivals: Organization and Management Adverse Impact Mitigation Guidelines / Best Practices Littering & waste accumulation • Placement of appropriate and adequate waste bins • Cleaning and removal of waste Deterioration of hygiene • Ensure provision of adequate numbers of toilets and regular cleaning Ensure adequate drinking water supply Dust & noise pollution • Control dust by water sprinkling • Enforce noise level stipulations Risks, accidents & hazards • Ensure proper lighting,Maintenance of exit routes and placement of exit-display boards • Publicize emergency preparedness plans • Ensure fire extinguishers and first aid provisions • Enforce regulatory stipulations during fireworks and pageants involving animals The mitigation measures evolved for potential environmental impacts, risks and accidents shall be incorporated into the Project proposal by the Working Group with the help of the LSG Engineer / Implementing Officer.

Environmental and Social Assessment Report Kerala Local Government Strengthening Project

Proforma F Format for execution of Limited Environmental and Social Assessment (LESA) for Level-2 activities

Name of the Project In Malayalam: In English:

Project Code

Municipality / GP Name: District: Location of the Project Place Name Ward No……. Outlay & Duration Outlay-Rs. Duration: ...... Months

Evaluation of the Project

Objectives Components Resource requirements Technology

1 1 Project activities critical to environment 2 2 Mitigation me asures inherent in the project, 1 1 if any 2 2

Environmental Impact Scenario (Tick ( √) in boxes if applicable)

√ Mitigation proposed Cost IMPACTS ON AIR Dust and particulate matter in the air Smoke and fumes Erosion of land due to air velocity IMPACTS ON WATER Increased siltation in water bodies Reduced availability of water Erosion of soil/ land due to run off Depletion of groundwater Depletion of water in surface water bodies Reduction on groundwater recharge capacity Discharge solid and liquid waste or other pollutants into water bodies IMPACTS ON LAND Disfiguration of landscape due to land modification or soil erosion Disruption in services/ Utilities Break or interference in natural drainage Interference with existing drainage pathways leading to water logging Dumping of waste or littering in open areas Solid or liquid waste discharge Loss of open space Loss of top soil and soil quality deterioration IMPACTS ON HEALTH AND SAFETY Accumulation of domestic waste Accumulation of bio-medical waste Inadequate maintenance of public toilet facilities Risk of accidents and hazards Hazard of vector borne diseases

Environmental and Social Assessment Report Kerala Local Government Service Delivery Project

Hazard of communicable diseases Absence or inadequate use of occupational safety equipment Fugitive Emissions IMPACTS ON BIO-DIVERSITY Tree Felling Threat to endangered or endemic species Obstruction to path of migratory bird species Obstruction to natural foraging pathway of any wild animal species Obstruction or damage to natural breeding or roosting sites of any wild species Threat from invasive alien species Threat from pests or improper pest management IMPACTS ON COMMUNITY AND SOCIETY Nuisance due to excessive noise to residential areas or schools/ hospitals Accumulation of bio-medical waste Inadequate maintenance of public toilet facilities Possibility of resource conflict Displacement of any indigenous community or vulnerable group ANY OTHER IMPACTS NOT INDICATED ABOVE:

Analysis of Alternatives

Environmental mitigation Environmental implications Alternatives, if any – only if significantly measures required more attractive 1 1

2 2 Overall Recommended Mitigation Plan Overall cost, if any, of implementing recommended mitigation measures

Prepared by Signature Name Designation Date

Notes on LESA:

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

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

Identification of the project activities / components that could have critical environmental and social implications Identify the impacts of these activities on various environmental components such as land, surface and groundwater, air quality, noise level, flora and fauna and social development and their aspects Examine whether any in-built mitigation measures happen to be present in the project Identify possible risks and accidents, due to project activities and suggest ways and means to preventing the same Consider alternatives to the project, if any, especially in respect of project location and technology and compare the risks associated with the alternatives Suggest appropriate mitigation measures for reducing/offsetting the environmental effects of the project Determine the cost involved for implementing mitigation measures, if any

Environmental and Social Assessment Report Kerala Local Government Strengthening Project

Proforma G

E&S Mitigation Guidelines for Level-2 activities

Buildings- New Construction & Expansion

Adverse Impact Mitigation Guidelines / Best Practices

Loss of land & open space • Identification and use of land for construction should be in compliance with the provisions given in the regulatory list • Optimize land use through appropriate design and plan • Seek clearance on design and plan by qualified civil engineer Natural resource depletion • Optimize use of construction material • To the extent possible, minimize the use of wood • Do not use soil from agricultural lands for construction • Adhere to the regulatory list during selection of water source for construction. • Use eco-friendly construction material, such as fly-ash bricks, bamboo reinforcement etc. to the extent possible. • Use efficient technology for internal systems such as lighting, cooling/space heating, cooking, refrigeration, etc. • Maintain and encourage biodiversity and greenery in the building premises Tree felling • Obtain permit for tree felling as per rule • Include compensatory planting with at least twice the number of trees felled as a component in the construction plan Waste generation • Plan and adopt solid and liquid waste disposal system including re-use of relevant waste material, wherever possible.

Roads/Bridges/Culverts: New Construction

Adverse Impact Mitigation Guidelines / Best Practices

Loss of land & open space • Identification and use of land for construction should be in compliance with the provisions given in the regulatory list • Optimize land use through appropriate design and plan • Proper erosion control measures are taken care of with adequate drainage plans in the engineering design • Sufficient number of drainage structures are included in the engineering design to prevent flooding and water logging • Seek clearance on design and plan by qualified civil engineer Natural resource depletion • Optimize use of construction material • Do not use soil from agricultural lands for construction • Adhere to the regulatory list during selection of water source for construction. • Use eco-friendly construction material and recycled materials to the extent possible. Tree felling • Obtain permit for tree felling as per rule • Include compensatory planting with at least twice the number of trees felled as a component in the construction plan Waste generation • Plan and adopt solid and liquid waste disposal system including re-use of relevant waste material, wherever possible.

Environmental and Social Assessment Report Kerala Local Government Service Delivery Project

Socio-economic impacts • Ensure, proposed alignment selected is with minimum socio-economic impact • Information dissemination and required community consultations have been undertaken. • Alignments are adjusted to minimize impact on religious and cultural properties • Cultural properties along the alignment have been identified and proposed to relocate prior consultation and approval of local community • All community utilities such as stand posts, bore wells, wells, ponds, water supply lines, toilets, sewerage lines, drainage systems, optical fibre cables, electric power supply lines, transformers, irrigation pump houses, telephone and television cables have been identified for relocation. • Costs of shifting the public utilities are included in the project cost. • Existing bus stops, if any, have been suitably relocated or integrated to the design and bus waiting shed, parking facilities for taxi, autorikshaw and tempo designs have been provided. • Accident prone areas in the road stretches are identified and necessary design measures like improvement of road geometry, improvement of junctions etc. are adopted to ensure road safety. • Sign boards, street lights and pedestrian facilities are proposed for the entire stretch. • Safety audits are undertaken and corrective measures incorporated in the engineering plan. • Proper Environmental Awareness and Environmental Legislation Training are provided to the Contractors / Beneficiary Committee members executing the road construction.

Sanitation & Waste Management: Collection and Management of Solid & Liquid Waste, E waste, Biomedical Waste

Adverse Impact Mitigation Guidelines / Best Practices

Accumulation of bio- • Facilitate segregation, storage, management and safe disposal medical waste • Obtain necessary permits and install appropriate facilities such as incinerators, if required Accumulation of domestic • Facilitate segregation, storage and management waste • Obtain necessary permits for proper waste disposal

Inadequacy of toilet • Ensure sufficient number of toilets, adequate water supply and effective facilities & maintenance periodic maintenance

Water stagnation & • Construction of soak pits and periodic cleaning of premises unhygienic premises

Socio-economic impacts • Ensure, proposed collection and management of wastes is with minimum socio-economic impact • Information dissemination and required community consultations have been undertaken. • Safety audits are undertaken and corrective measures incorporated • Proper Environmental Awareness and Environmental Legislation Training are provided to the waste collectors and processors.

Environmental and Social Assessment Report Kerala Local Government Strengthening Project

Public Markets, Crematorium, Burial Grounds, Public Toilets, Slaughter Houses, Stadiums, Play Grounds, Swimming Pools: Construction and Expansion

Adverse Impact Mitigation Guidelines / Best Practices

Loss of land & open space • Identification and use of land for construction should be in compliance with the provisions given in the regulatory list • Optimize land use through appropriate design and plan • Seek clearance on design and plan by qualified civil engineer Natural resource depletion • Optimize use of construction material • To the extent possible, minimize the use of wood • Do not use soil for construction from agricultural lands • Adhere to the regulatory list during selection of water source for construction. • Use eco-friendly construction material, such as fly-ash bricks, bamboo reinforcement etc. to the extent possible. • Use efficient technology for internal systems such as lighting, cooling/space heating, cooking, refrigeration, etc. • Maintain and encourage biodiversity and greenery in the premises Tree felling • Obtain permit for tree felling, as per rule • Include compensatory planting with at least twice the number of trees felled as a component in the construction plan Waste generation • Plan and adopt solid and liquid waste disposal system including re-use of relevant waste material, where possible. Socio-economic impacts • Ensure, proposed construction is with minimum socio-economic impact • Projects like construction of Crematorium, Burial Grounds, Slaughter Houses etc. maintain ample distances away from Schools, Early Childhood Centers, Hospitals etc. • Information dissemination and required community consultations have been undertaken. • Constructions are adjusted to minimize impact on religious and cultural properties • Proper signage have been given wherever necessary

Minor Irrigation: Construction and Expansion

Adverse Impact Mitigation Guidelines / Best Practices

Poor upkeep, siltation and • Ensure periodic maintenance and desiltation water stagnation

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

Environmental and Social Assessment Report Kerala Local Government Service Delivery Project

Drinking Water Supply: Construction and Expansion

Adverse Impact Mitigation Guidelines / Best Practices

Loss of land & open space • Identification and use of land for construction should be in compliance with the provisions given in the regulatory list • Optimize land use through appropriate design and plan • Seek clearance on design and plan by qualified civil engineer Natural resource depletion • Optimize use of construction material • Do not use soil for construction from agricultural lands • Adhere to the regulatory list during selection of water source for construction. • Proper management of land for minimizing soil erosion, siltation and sedimentation. Tree felling • Obtain permit for tree felling, as per rule • Include compensatory planting with at least twice the number of trees felled as a component in the construction plan Waste generation • Plan and adopt solid and liquid waste disposal system including re-use of relevant waste material, wherever possible. Socio-economic impacts • Ensure, proposed construction is with minimum socio-economic impact • Information dissemination and required community consultations have been undertaken. • Transmission lines are not creating any degradation for the adjacent lands, irrigation canals and adjacent infrastructures.

Storm Water Drains: Construction

Adverse Impact Mitigation Guidelines / Best Practices

Break in natural drainage • Make appropriate provisions in drainage plan to compensate for the break in natural drainage • Have the plan approved by a qualified civil engineer • Ensure, flooding and water logging problems are avoided and preventative responses are properly included in the design and construction plan Waste Management • Control of solid waste to avoid blockages and reduction in hydraulic capacity of the drainage system. • Proper installation of slits and sieves to segregate solid wastes from storm water running through the lines Pollution Reduction • Reduction in the discharge of pollutants into the storm water drainage system

Socio-economic impacts • Ensure, proposed construction is with minimum socio-economic impact • Information dissemination and required community consultations have been undertaken. • Ensure, drainage lines are not creating any degradation for the adjacent houses, wells, lands, irrigation canals and other infrastructures. Vector control • Improved practices to reduce vector transmission of diseases related to urban drainage and flooding

Animal Husbandry & Dairy Farming: Construction and Expansion of facilities

Adverse Impact Mitigation Guidelines / Best Practices

Environmental and Social Assessment Report Kerala Local Government Strengthening Project

Resource Depletion • Use farm inputs such as water and nutrients efficiently and sustainably • Identification and use of land for construction should be in compliance with the provisions given in the regulatory list • Optimize land use through appropriate design and plan • Seek clearance on design and plan by qualified civil engineer • Select and use energy resources appropriately • Maintain and encourage biodiversity and greenery in the farm premises Accumulation of domestic • Proper management of dairy runoff from the farm by appropriate waste segregation, storage and management • Obtain necessary permits for proper waste disposal • Implement practices to reduce, reuse or recycle farm waste as appropriate like biogas, composting etc. Inadequacy of facilities & • Ensure sufficient number of toilets, adequate water supply and effective maintenance for farm periodic maintenance labourers • Implement sustainable work practices • Manage human resources effectively, ensuring that their working conditions comply with applicable laws and regulations • Ensure the farm working environment complies with relevant occupational health and safety requirements Water stagnation & • Construction of soak pits and periodic cleaning of premises unhygienic premises

Meat & Fish production: Construction and Expansion of facilities

Adverse Impact Mitigation Guidelines / Best Practices

Resource Depletion • Identification and use of land for construction should be in compliance with the provisions given in the regulatory list • Optimize land use through appropriate design and plan • Seek clearance on design and plan by qualified civil engineer • Select and use energy resources appropriately • Maintain and encourage biodiversity and greenery in the farm premises Accumulation of domestic • Proper management of meat and fish production runoff from the source by waste appropriate segregation, storage and management • Obtain necessary permits for proper waste disposal • Implement practices to reduce, reuse or recycle farm waste as appropriate like biogas, composting etc. Inadequacy of toilet • Ensure sufficient number of toilets, adequate water supply and effective facilities & maint enance periodic maintenance for labourers

Water stagnation & • Construction of soak pits and periodic cleaning of premises unhygienic premises

Environmental and Social Assessment Report Kerala Local Government Service Delivery Project

Ponds/Tanks/Wells/Canals - New Construction & Expansion

Adverse Impact Mitigation Guidelines / Best Practices

Loss of land & open space • Identification and use of land for construction should be in compliance with the provisions given in the regulatory list • Optimize land use through appropriate design and plan • Seek clearance on design and plan by qualified civil engineer Break in natural drainage • Make appropriate provisions in drainage plan to compensate for the break in natural drainage • Have the plan approved by a qualified civil engineer • Ensure, flooding and water logging problems are avoided and preventative responses are properly included in the design and construction plan Tree felling • Obtain permit for tree felling, as per rule • Include compensatory planting with at least twice the number of trees felled as a component in the construction plan Waste generation • Plan and adopt solid and liquid waste disposal system including re-use of relevant waste material, where possible. Socio-economic impacts • Ensure, proposed construction is with minimum socio-economic impact • Information dissemination and required community consultations have been undertaken. • Ensure, drainage lines are not creating any degradation for the adjacent houses, wells, lands, irrigation canals and other infrastructures.

Tiny and Small Industries: Establishment and Expansion

Adverse Impact Mitigation Guidelines / Best Practices

Loss of land & open space • Identification and use of land for construction should be in compliance with the provisions given in the regulatory list • Optimize land use through appropriate design and plan • Seek clearance on design and plan by qualified civil engineer Natural resource depletion • Optimize use of construction material • To the extent possible, minimize the use of wood • Do not use soil for construction from agricultural lands • Adhere to the regulatory list during selection of water source for construction. • Use eco-friendly construction material, such as fly-ash bricks, bamboo reinforcement etc. to the extent possible. • Use efficient technology for internal systems such as lighting, cooling/space heating, cooking, refrigeration, etc. Tree felling • Obtain permit for tree felling, as per rule • Include compensatory planting with at least twice the number of trees felled as a component in the construction plan Waste generation • Plan and adopt solid and liquid waste disposal system including re-use of relevant waste material, where possible. Socio-economic impacts • Ensure, proposed construction is with minimum socio-economic impact • Information dissemination and required community consultations have been undertaken. • Ensure, drainage lines are not creating any degradation for the adjacent houses, wells, lands, irrigation canals and other infrastructures.

Environmental and Social Assessment Report Kerala Local Government Strengthening Project

Mining & Quarrying

Adverse Impact Mitigation Guidelines / Best Practices

Water Pollution • Ensure proper drainage mechanism for pumping out the mine water • Ensure proper effluent treatment mechanism from preparation and beneficiation plants • Proper management of lechates / wash offs from waste/ trailing dumps Land Degradation • Proper management of mine waste and trailing dumps

Air pollution • Proper mechanism for dust extraction and dust suppression • Proper management of fumes and other emissions Loss of Biodiversity • Avoid fragmentation of forest land and obtain required permission from Forest Department for forest clearance, if any • Avoid diminishing of green cover to the extent possible Noise Pollution • Reduce noise to the maximum due to blasting, drilling, underground mining equipments, ventilation fans, heavy earth moving machinery, drills, dumpers, crushing and cleaning equipments Socio-economic impacts • Ensure, proposed construction is with minimum socio-economic impact • Information dissemination and required community consultations have been undertaken. • Constructions are adjusted to minimize impact on religious and cultural properties • Proper signage have been given wherever necessary • Proper Environmental Awareness and Environmental Legislation Training are provided to all stakeholders including the Contractors involved with the mining and quarrying process

The mitigation measures evolved for potential environmental impacts, risks and accidents shall be incorporated into the Project proposal by the Working Group with the help of the LSG Engineer / Implementing Officer.

Further, in case the sub-project involves any kind of land acquisition, land acquisition process requirements detailed below is to be adhered to:

Environmental and Social Assessment Report Kerala Local Government Service Delivery Project

Land Acquisition Process Requirements: The project will not use In-voluntary land acquisition in sub-projects using the Project Funds, in strict compliance with the Bank Policy of Involuntary Resettlement (OP 4.12). Land requirements are expected to be small for sub-projects. Land requirements, if any, will be met through: • location of facilities on appropriate public lands; • direct market purchase (willing seller and willing buyer) 5; • innovative benefit sharing arrangements where feasible; and • Voluntary land donations of unencumbered lands where the willingness of the contributor is documented and verifiable.

Project will follow due procedures and documentation processes for all land acquisitions. The details of the land acquisition should be discussed in an open forum and compensatory measures if any shared with the local community. Due diligence as part of the ESMF will be exercised to avoid economic displacement as a result of sub-project activities (even when there is no land acquisition). In order to effectively monitor land acquisition, project GPs will: (i) maintain details of all lands acquired for the project; (ii) ensure proper registration and legal transfer of title deeds of procured/donated lands; (iii) Wherever the land is donated by the community, complete documentation will be carried out for the title transfer of the land. For any land donated, there will be an agreement – properly witnessed – where by the donor will state that the land is donated voluntarily giving up all rights; (iv) The land donation process should be recorded in a Grama Sabha meeting in the presence of the donor Voluntary land donations 6: The project will discourage land donation by poor families and vulnerable groups. The guidelines to be followed for voluntary land donations would include the following principles: (i) Impacts are minor (loss of land less than 10% of holdings), (ii) No physical re-location; (iii) The sub project is not site specific; (iv) The land required to meet technical project criteria must be identified by the affected community, not by line agencies or project authorities (nonetheless, technical authorities can help ensure that the land is appropriate for project purposes and that the project will produce no health or environmental safety hazards); (v) The land in question must be free of other claims or encumbrances; (vi) Grievance mechanisms must be available; (vii) Verification (for example, witnessed statements) of the voluntary nature of land donations must be obtained from each person donating land.

Guiding principles for maximizing benefits to vulnerable groups • Sub Project design should ensure that maximum number of vulnerable groups benefit (STs, SCs, Women, BPL families etc.) • To the best extent possible employment opportunities emerging out of sub projects should benefit local communities and particularly vulnerable groups in the locality

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

Environmental and Social Assessment Report Kerala Local Government Strengthening Project

Proforma H Social Screening Proforma for Subprojects involving Land Acquisition:

Probable Involuntary Resettlement Impacts Yes No Not Details Known 1. Will the intervention include new physical construction work? 2. Does the intervention include upgrading or rehabilitation of existing physical facilities? 3. Is the intervention likely to cause any permanent damage to or lo ss of housing, other assets, resource use? 4. Is the site chosen for this work free from encumbrances and is in possession of the Public/government/community land? 5. Is this sub project intervention requiring private land acquisitions? 6. If the s ite is privately owned, can this land be purchased through negotiated settlement? (Willing Buyer – Willing Seller) 7. If the land parcel has to be acquired, is the actual plot size and ownership status known? 8. Are these land owners willing to volun tarily donate the required land for this sub -project? 9. Whether the affected land owners likely to lose more than 10% of their land/structure area because of donation? 10 . Is land for material mobilization or transport for the civil work available with in the existing plot/ Right of Way? 11 . Are there any non -titled people who are living/doing business on the proposed site/project locations that use for civil work? 12 . Is any temporary impact likely? 13 . Is there any possibility to move out, close of business/commercial/livelihood activities of persons during constructions? 14 . Is there any physical displacement of persons due to constructions? 15 . Does this project involve resettlement of any persons? If yes, give details. 16 . Will there be loss of /damage to agricultural lands, standing crops, trees? 17 . Will there be loss of incomes and livelihoods? 18 . Will people permanently or temporarily lose access to facilities, services, or natural resources? 19 . Are there any previous land acquisitions happened and the identified land has been already acquired? 20 . Are any I ndigenous People /Marginalized groups living in proposed locations or affected/benefitted by the project intervention?

Environmental and Social Assessment Report Kerala Local Government Service Delivery Project

55..33 IIInnssttiiittuuttiiioonnaalll ffrraammeewwoorrkk

As discussed earlier, the institutional framework in the project for effective implementation of the ESMF will be almost the same as the existing pattern. The few marginal changes that have been made have more to do with providing facilitation and mentoring support as well capacity building. The actual implementation of the ESMF will be affected through the existing organizational structure as discussed in the earlier section also.

Project Management Unit for KLGSDP : Overall coordination and monitoring support will be provided through the Project Management Unit (PMU). The PMU will comprise an Environment and Social Management Specialist whose mandate is to ensure correct and effective implementation of the ESMF. Further, at Block level, the LSGD will depute Engineers who will work closely with the GPs and Municipalities in their jurisdiction and provide hands on mentoring support in implementing the ESMF. At District level, PMU will entrust Coordinators to facilitate the ESMF activities with Local Bodies and report back to PMU for further follow- ups. The E&S specialist will also monitor the implementation of the ESMF and will provide additional support to areas where the effectiveness of implementation is found to be lacking. The E&S Specialist will also supervise the ESMF related capacity building activities designed by KILA/SIRD and provide them with relevant technical information. Given below in table 5.1 is a snapshot of the various players involved in implementation of the ESMF in the case of GPs and Municipalities, respectively.

On completion of the Project, in the event of applying ESMF to all activities to be taken up by Local Bodies irrespective of funding source, Government has to formulate an institutional arrangement, preferably at the LSG Engineering division itself comprising adequate number of Environmental Engineers / Environmental Specialists at Block / District level to facilitate, implement and monitor ESMF applications at Local Body level. A proposal to this effect shall be provided by KLGSDP before completion of the project period, so that a consistent mechanism would be in place for implementation of ESMF on a regular basis in the planning process.

Table 1.1 : Institutional Structure for ESMF Implementation for GPs Institution Current roles in development Responsibilities with respect to EMF planning implementation KLGS DP State PMU Project Implementation • Provide technical support to development of capacity having 1 Overall Management building modules Environmental and Monitoring • Coordinate Capacity building activities on ESMF Social Expert (On Reporting and documentation • Institutionalize ESMF process institutionalization • Ensure correct implementation of ESMF at later stage, for • Review & update ESMF procedures, if required ESMF to be made • Compile annual report on ESMF implementation and applicable to all compliance with highlights of environmental gains LB activities, this would appropriately be replaced with designated Environmental Engineer/ Environmental Specialist placed at Block/District

Environmental and Social Assessment Report Kerala Local Government Strengthening Project level ) Ward/Grama • Conceive & raise the local needs • Raise E&S issues with respect to proposed project, if Sabha & issues any • Review earlier development pursuits. • Prioritizes subproject proposals Working Group • Prepares project proposals based • Raise E&S issues with respect to proposed project, if on inputs from Ward/Grama Sabha any • Prepares DPR • Undertakes screening and mitigation plan preparation GP Committee • Conducts Development Seminar • Cross -verifies ESMF implementation and prepares final subproject plan GP Engineer / • Oversees all technical work and • Prepares DPR Implementation works execution • Screens project and prepares mitigation plan Officer • Provides technical guidance to GP • Forwards DPR to GP Committee for onward processing • Prepares DPRs • Oversees and supervises work in progress including ESMF compliance and manages contractors • Verifies ESMF compliance Block Level Officer • Ensure s compliance to mandatory • Ensure s ESMF compliance in the next higher guidelines • Examines the accuracy of impact assessment & tier of • Ensures compliance to technical adequacy of mitigation measures Implementing guidelines and ESMF • Addresses inter-sectoral environmental conflicts, if any Officer • Verifies costing & phasing of • Recommend E&S clearance to the project projects • Extend support as resource persons for capacity • Suggests innovation & integration building on ESMF possibilities • Sub-group Gives technical sanction to projects District Planning Project approval • Issue E &S clearance along with Project approval Committee (DPC) Plan integration • Conduct annual review • Suggest modifications, if any, in EMP .

Table 1.2: KLGSDP Institutional Structure for ESMF Implementation for Municipalities Institution Current roles in development Responsibilities with respect to EMF planning implementation KLGS DP S tate PMU Project Implementation • Provide technical support to development of capacity having 1 Overall Management building modules Environmental and Monitoring • Coordinate Capacity building activities on ESMF Social Expert (On Reporting and documentation • Institutionalize ESMF process institutionalization • Ensure correct implementation of ESMF at later stage , for • Review & update ESMF procedures, if required ESMF to be made • Compile annual report on ESMF implementation and applicable to all compliance with highlights of environmental gains LB activities, th is would appropriately be replaced with designated Environmental Engineer/ Environmental Specialist placed at District / State level) Ward Sabha • Conceive & raise the local needs • Raise E&S issues with respect to proposed project, if & issues any • Review earlier development pursuits. • Prioritizes subproject plans Ward Committee • Prepares project proposals based • Raise E&S issues with respect to proposed project, if on inputs from Ward/Grama any Sabha Standing • Conducts Development Seminar • Cross -verifies ESMF implementation Committee and prepares final subproject 34

Environmental and Social Assessment Report Kerala Local Government Service Delivery Project

plan Municipal Council • Conducts Development Seminar • Cross -verifies ESMF implementation and prepares final subproject plan Municipal Engineer • Ensure s compliance to • Ensure s ESMF compliance / Implementing mandatory guidelines • Examines the accuracy of impact assessment & Officer • Ensures compliance to technical adequacy of mitigation measures guidelines and ESMF • Addresses inter-sectoral environmental conflicts, if • Verifies costing & phasing of any projects • Recommend E&S clearance to the project • Suggests innovation & • Extend support as resource persons for capacity integration possibilities building on ESMF • Sub-group Gives technical sanction to projects Assist ant • Oversees all technical work and • Prepares DPR including mitigation plan if applicable Executive works execution • Forwards DPR to Standing Committee for onward Engineer/ • Provides technical guidance to processing Executive the SC/MC/DPC • Oversees and supervises work in progress including Engineer / Chief • Prepares DPRs ESMF compliance and manages contractors Engineer • Verifies ESMF compliance District Planning Project approval • Issue Environmental clearance along with Projec t Committee (DPC) Plan integration approval • Conduct annual review with respect to environmental gains, in general, District level ESMF Compliance Report, in particular • Suggest modifications, if any, in EMP

55..44 CCaappaacciiittyy BBuuiiilllddiiinngg PPlllaann Considering that there will be several players associated with the task of ESMF implementation, it is important to ensure that all concerned have adequate capacity to discharge their respective roles effectively. Accordingly, a capacity building plan has been developed to achieve this objective. All capacity building activities under the project will be conducted as part of Component 2 and will be implemented by KILA and SIRD. Given below are the major ESMF related trainings suggested under the project:

The indicative training module as part of Capacity Building Plan is given hereunder: Module Key participants Themes Schedule ESMF -1 • Ward members • What is environment Block level training General • Elected LSG members • Environmental and Social issues in Kerala every year orientation on • GP/Municipality Officials • Major prevailing E&S issues Environmental • DPC Members • Typical E&S impacts of village activities issues • Municipal Council • How can we safeguard against E&S Members impacts Half day • How the project seeks to address environmental and social issues ESMF -2 • Elected members • Overview of regulations pertaining to Block level training in Orientation on • GP/Municipality officials E&S issues relevant to LGs. Year-1 followed by ESMF • DPC Members • Role of LGs in the context of refresher training • Block Engineers management of E&S impacts once in two years 1 day • Block Level Officers in the • Overview of E&S assessment during the project next higher tier of • Overview of E&S mitigation planning period Implementing Officer • Overview of ESMF ESMF -3 • Working Group members • E&S regulations Block level training in Specialized • LSG Engineers • Overview of ESMF Year-1 followed by

Environmental and Social Assessment Report Kerala Local Government Strengthening Project training on EMF • Block Engineers • E&S screening refresher training in • GP/Standing Committee • E&S mitigation planning year-3 during the 2 days members • Conduction of LESA project period • Block Level Officer in the • Preparation of E&S mitigation plans next higher tier of • Integration of costs in mitigation plans Implementing Officer • Compliance verification procedures • Monitoring of E&S implementation ESMF -4 • Relevant LSGD Officials • Overview of E&S assessment State level training in Orientation on • Introduction to ESMF procedures Year-1 followed by EMF • Overview of environmental mitigation refresher training in Half day planning Year-3 • Monitoring of ESMF implementation

As mentioned earlier, the training activity shall be undertaken through the Kerala Institute of Local Administration, a premier training organizations under the Local Self Government Department (LSGD), Kerala. The State Institute of Rural Development (SIRD) and its three Extension Training Centres (ETC) under the LSGD, could also play a major role in extending the training to the entire state. KILA and SIRD will prepare training and capacity building modules including ESMF related materials in local language. For KLGSDP, the E&S specialist in the PMU will oversee the preparation of documentation as well as conduct of safeguards related trainings. Once the ESMF is made applicable to all Local Body activities, concerned Environmental Engineer/ Environmental Specialist placed at Block / District level will take over these activities.

KILA and SIRD at present do not have any faculty in the field of environment and social issues. Therefore, they will have to outsource to suitable external experts or firms, the task of preparing the training modules and training of trainers. The Environment and Social Safeguards Specialist from the state PMU will provide all the necessary support and assistance to KILA and SIRD in procuring services of a good expert or firm. The budget pertaining to implementation of the capacity has been included in section 5.6.

55..55.. MMoonniiittoorriiinngg ooff EESSMMFF An appropriate monitoring mechanism is necessary to ensure the following: • To verify and confirm whether ESMF related capacity building is taking place and is effective • To confirm that the ESMF is implemented satisfactorily; • To ensure that compliance to mitigation measures is taking place • To learn from experience in order to improve the EMF process and practice. • To provide relevant ESMF implementation related information to the Annual Performance Assessment • To verify whether adherence to ESMF is actually translating to benefits to the Environment in the field • To generate relevant information that feeds into the project’s Results Framework (for KLGSDP). On completion of the project, for the relevant monitoring systems institutionalised by the Government

Environmental and Social Assessment Report Kerala Local Government Service Delivery Project

Following are the main components of monitoring mechanism proposed under this project: • Surveillance and supervision – to oversee adherence to and implementation of ESMF, particularly the following aspects: o Capacity Building activities o Extent of usage of ESMF procedures by the LSGs o Extent of compliance with ESMF recommendations in LSG works • Annual Performance Assessments • Mid-term and End-of-Project Technical and Service Delivery Evaluations

We discuss these in detail below.

55..55..11.. SSuurrvveeiiillllllaannccee aanndd SSuuppeerrvviiissiiioonn Surveillance and supervision of all ESMF implementation and compliance related activities will be undertaken by the Environment and Social Safeguards specialist in the PMU for KLGSDP. Some of the work undertaken in these respects will include:

• Maintaining a record of number of ESMF related trainings taking place, number of persons trained and number of certificates issued. Information on the quality of trainings and effectiveness of the trainings on participants will also be collected through one to one interactions on a feasible sample of trainees from each of the trainings conducted. • Review from time to time, on a sample basis, whether Proformas C and D are being filed correctly or not. If not, take appropriate remedial action. The recommended sample size is to cover at least 5% of the number of GPs / Municipalities on a quarterly basis, to whom Block Grants are disbursed from Year 3 onwards subject to a minimum of 10.

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

On completion of the project, the Annual Compliance Report on ESMF will be filed by the Environmental Engineer / Environmental Specialist in the Block / District designated for the purpose and will submit to the Government for review.

55..55..22 AAnnnnuuaalll PPeerrffoorrmmaannccee AAsssseessssmmeenntt Adherence and compliance to ESMF has been made one of the criteria that contribute to deciding any LSG’s eligibility for receiving performance grants as assessed by the Annual Performance Assessment (APA). The objectives of the ESMF related portion of the Annual Performance Assessment will be as follows:

1. To determine the extent of effectiveness achieved by the concerned LSG in respect of ESMF implementation and compliance, with specific reference to: a. Assimilation of ESMF related knowledge and skills by relevant LSG functionaries and officials

Environmental and Social Assessment Report Kerala Local Government Strengthening Project

b. Extent of accuracy in application of ESMF procedures in routine project approval process c. Extent of correct application of compliance verification procedures 2. To assess if this has translated into any significant results on the ground 3. To allocate a numerical rating to the concerned LSG that suitably captures its degree of adherence and compliance to ESMF Since the annual performance assessment will apply to all LSGs, an assessment methodology that can be applied uniformly will be developed. Possible that would reflect performance of the LSGs with respect to ESMF implementation. These are:

1. Number of DPRs prepared in which screening and mitigation planning procedures described in the ESMF have been fully applied 2. Number of LSG functionaries who have undergone training in ESMF 3. Number of approved DPRs in context of which the works executed are in full compliance with the specified mitigation measures

55..55..33 TTeecchhnniiiccaalll EEvvaallluuaattiiioonn ooff SSeerrvviiiccee DDeellliiivveerryy In any project involving ESMF it is important to obtain an overall picture of the performance and effectiveness of its implementation, particularly with respect to lessons learned for purposes of improving effectiveness of implementation as well as for use in similar future projects.

The Annual Performance Assessments, described in the earlier section, will apply individually to a single LSG at a time. They will provide a numerical score based on its performance vis-à- vis the ESMF, which will help in deciding allocation of the performance grant to various LSGs. However, the APAs will not be able to provide an overview of the status of ESMF implementation in the entire project. Even though the APAs will evaluate several aspects pertaining to ESMF implementation, the results will be applicable only to the LSG level. In order to build a macro level picture vis-à-vis ESMF implementation for the project, findings of several APAs may have to be compiled, collated and analyzed to get the macro-level picture. This may have to be further corroborated by additional primary information collected through various means.

In view of this, two Technical Evaluations of Service Delivery of the project with special focus on effectiveness of ESMF implementation, by an independent external agency are recommended: one after mid-term and the other at the end of the project period. The mid- term evaluation will focus on correctness of application of procedures. It will depend on a random sample of LSGs (GPs as well as Municipalities) across the state and on information generated from APA exercises. This is because the implementation of the ESMF would only have been newly introduced and effects in the field, if any, would not be significantly visible by that time. However, there would be useful information on deficiencies, if any, in the ESMF procedures or implementation. Given below are some important points that could be its purview: • Knowledge, capacity and skill level of concerned LSG functionaries, officials and technical personnel with respect to ESMF

Environmental and Social Assessment Report Kerala Local Government Service Delivery Project

• Number of activities to which the ESMF was applied • Whether the Screening procedure (including LESA, if applicable) was correctly followed • Correctness or aptness of the mitigation measures recommended • Whether deficiencies, if any, in screening or mitigation planning were identified at TAG or other levels and pointed out at later stages of the environmental clearance process • Whether compliance verification procedures were correctly followed • Degree of compliance with recommended mitigation measures during works execution • Recommendations for improving effectiveness of ESMF and its implementation

Some indicators on which data / information are to be compiled for overall assessment of ESMF implementation and preparation of Results Framework of KLGSDP are as follows:

• Module –wise number of ESMF trainings organized • Number of persons trained in ESMF implementation categorized by (i) Elected representatives, (ii) Officials, (iii) Technical Personnel,(iv) Independent members • Number of LSGs rated as good in ESMF implementation by APAs • Number of LSGs rated as good in ESMF compliance by APAs • Number of cases wherein projects were not approved due to Regulatory considerations • Number of LESAs conducted

The recommendations of the mid-term evaluation will be useful in improving the effectiveness of the ESMF over the balance period of the project. The second and final technical and service delivery evaluation will focus on results achieved and benefits accrued. It will assess:

• Effect, if any, of the improved procedures implemented post mid-term Environmental Audit • Estimate of quantum of harm from which the Environment has been safeguarded based on a random sample of selected LSGs. • Examination of best practices in environmental and social impact mitigation. • Recommendations for further improvement in ESMF systems and procedures for future projects

55..66 BBuuddggeett ffoorr EESSMMFF iiimmppllleemmeennttaattiiioonn The budget for ESMF implementation has the following components:

1. For KLGSDP, PMU Component consisting of salary and operational expenses of Environmental and Social Safeguards Specialist. On completion of the Project, this component will be applicable to the designated Environmental Engineer/ Environmental Specialist placed at Block / District level. 2. Capacity Building component to be mainly provided to KILA/SIRD under Component 2 of the project. This will have the following sub-components: a. Cost of hiring an Environmental Specialist in KILA/SIRD on a regular basis, to oversee development of training modules and training schedules

Environmental and Social Assessment Report Kerala Local Government Strengthening Project

b. Cost of developing training modules (to be outsourced to specialist agency) and training material including translation c. Cost of printing training material d. Training Costs: these will be part of KILA’s normal training budget and hence no funds are expected from the project for KLGSDP. 3. Cost of mid-term and end-of-project Environmental Audit for KLGSDP. 4. Once, ESMF is institutionalized and mainstreamed for all Local Government activities, a regular mechanism for Environmental Audit shall be envisaged as part of the Annual Performance Audit conducted by the State Performance Audit team.

The overall budget for KLGSDP will be as follows: Sl. No. Training Component Sub -component Amount INR Remarks E&S Specialist for 5 @INR 45,000 per month for 5 27,00,000 years years @ INR 50,000 per month for 5 1. PMU Component ESMF Surveillance costs 30,00,000 years @ INR 10,000 per LSG, for APA Costs 3,15,90,000 1053 LSGs for 3 years Supervision of training 6 months @INR 35.000/ - per 2,10,000 material preparation month Training module & 2. Capacity Building 10,00,000 4 month contract material preparation Training material 2,00,000 Work order printing 3. Environmental Audit s Midterm audit 20,00,000 4 month contract End -of -project audit 20, 00,000 4 month contract TOTAL 4,27,00,000

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

This budget will be revised and customized accordingly, when ESMF is mainstreamed and institutionalized for implementation under all Local Body activities under Local Self Government Department (LSGD). A regular mechanism for Environmental Audit is envisaged as part of the Annual Performance Audit conducted by the State Performance Audit team. For the Capacity Building component, it is recommended to have a one-time large expense in preparing the training modules on environment. The training modules and materials already prepared by KLGSDP with proper customization to suit all LSG activities could be adopted on completion of the project as well to serve this purpose. It is also recommended to have an yearly allocation for updating training materials, modules and conducting trainings at KILA/SIRD on a regular basis as envisaged in the Capacity Building component. A customized training shall also be planned for the State Performance Auditors for including Environmental Audit findings in the Annual Performance Assessment tool as well.

Environmental and Social Assessment Report Kerala Local Government Service Delivery Project

55..77 MMooddiiiffiiiccaattiiioonn aanndd IIImmpprroovveemmeenntt ooff EESSMMFF bbyy KKLLGGSSDDPP

The Environmental Assessment Report of KLGSDP was prepared and validated after proper consultations by Government prior to the rolling out of the Project and the document has been published in the LSGD website and KLGSDP website for use by Local Body functionaries. In compliance with the Project Development Objective and implementation policy, ESMF was made an integral and mandatory part of KLGSDP and had been implemented in all Subprojects under Performance Grant during the Project cycle. ESMF made applicable in all stages of Performance Grant plan process – formulation, approval, implementation & post- implementation. The integration and implementation of ESMF has been strictly coordinated, monitored and evaluated for its compliance by KLGSDP during the completed project period. For the integration and compliance of ESMF, envisaged Capacity Building Trainings have been conducted by KLGSDP and tool kits developed for the integration of KLGSDP in plan process have been evaluated and ensured with the plan softwares of IKM. Regular monitoring and Technical evaluations have been carried out by KLGSDP for the compliance verification and due diligence of ESMF on a regular basis as per the Project mandate.

On the basis of ESMF implementation experience at grass root level and also based on the findings of Environmental Audit carried out by KLGSDP during its Mid Term Evaluation, it has been observed that, for the due diligent compliance of ESMF, certain revisions/modifications are required in the existing ESMF document. Accordingly, a series of Consultation Workshops have been carried out by KLGSDP participating Subject Experts in the field, World Bank Representatives, LB Elected Representatives and LB Implementing Officers. The outcomes of the consultation workshops were consolidated and integrated appropriately in the ESMF document and shared to World Bank for clearance. This exercise has been carried out based on the long term vision of the Project that, in future, ESMF is to be mandatorily applied to all the Subprojects to be taken up by LBs irrespective of funding source.

Environmental and Social Assessment Report Kerala Local Government Service Delivery Project CChhaapptteerr 66 SSoocciiaall SSaaffeegguuaarrddss Vulnerable Groups Development Framework (VGDF)

6.1 Introduction

6.1.1 The Kerala Local Governments Strengthening Project will operate throughout the State of Kerala dealing with all local government bodies (save and except large Municipal Corporations).

6.1.2 Bank operational policy (OP 4.10) on tribals is applicable due to presence of tribal groups in the project areas. While the present project may not adversely affect Tribals, the project offers an opportunity for Tribals to receive social and economic benefits that are culturally appropriate and gender and intergenerationally inclusive. Bank policy requires the preparation of a Tribal Development Plan/ Framework. In view of the robust policies already in existence in Kerala, it has been decided to adopt local State systems instead of preparing an independent framework. Also it has been decided to broaden this into a wider vulnerable group development agenda. (See Annex 14 for a detailed back ground note).

6.1.3 The security of life and sustainable livelihood is one of the resurfacing issues in the development discourse. This issue is rising because certain groups in the society – termed Vulnerable Groups (VGs) - are deprived of basic needs and lacks to fully enjoy the wide range of human rights. VGs are disadvantaged as compared to others mainly on account of their reduced access to habitat, health, sanitation, education, livelihood opportunities, political participation, etc. The premise is that the chances of sustainable livelihood and social security must not be unfairly disadvantaged because of sex, class, religion, caste, sexual orientation, ethnic identity, disability, health status, civil, political, social or other statuses. In Indian context, there are multiple socio-economic disadvantages that members of particular groups experience which limits their access to livelihood options and secured life. This document looks into the decentralization initiatives in Kerala for the vulnerable groups.

6.1.4 The 73rd and 74th Amendments to Indian Constitution has brought enormous opportunities for the hitherto excluded poor and marginalized sections of the population through building democratic structures at the grass roots level (e.g. Village Assembly), and reservation of seats for women, SC, and ST. The Amendments also mandated Local Self Government Institutions (LSGIs) to plan for local economic development and social justice. The very purpose of social justice can be attained only through the inclusion of excluded; the vulnerable groups. The decentralization of power or planning from below would benefit the vulnerable groups whose voice were not heard earlier and denied opportunities. By conceiving this in letter and spirit, Kerala has launched the decentralization specifically targeting the vulnerable groups.

6.2 Targeting the Vulnerable Groups through Decentralisation

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152 Environmental and Social Assessment Report Kerala Local Government Service Delivery Project

6. 2.1 Following the Constitutional Amendments, the Government of Kerala made legal, fiscal, and administrative reform on decentralization. With the legal backing for decentralization, launched a massive participatory programme during the 9th plan period under the banner ‘People’s Plan Campaign’ (PPC). The methodology evolved through PPC has been successfully followed even now as an effective mechanism to deliver basic services to the poor and addressing the issues of vulnerable groups. The policy and systems have been spiraled over the period targeting the Vulnerable Groups intensively. One of the priorities of 11th five year plan (2007-2012) for LSGIs is social security, which states that: “While attempting to bring about economic development, social justice would be the overarching concern. The direct attack on poverty would be intensified, moving on to inclusion of the socially and economically marginalized and excluded groups”. (Govt. of Kerala, 2007). The initiatives to address the issues of the vulnerable groups directly through LSGIs under the peoples planning process are:

• Tribal sub Plan (TSP) for tribal groups • Special Component plan (SCP) for scheduled castes • Women component Plan (WCP) earmarking 10% of plan funds to meet specific needs of women • Aashraya – for rehabilitation of destitutes • Anti poverty sub plan (APSP) for provision of sites to landless families • Disadvantaged groups (reserving 5% of budget) for physically challenged and elderly

6.2.2 Special Component Plan (SCP) and Tribal Sub-Plan (TSP)

6.2.2.1 The SCP and TSP are the two major programmes that seek to address the problems of Scheduled Castes (SCs) and Scheduled Tribes (STs) respectively. The SCP and TSP were introduced way back in 1975 with the objective of formulating a plan appropriate to the scheduled communities. Following the Constitutional Amendments, Kerala took a crucial step forward at the time of ninth five-year plan by transferring to the LSGIs the responsibilities of formulation and implementation of SCP and TSP. Accordingly two-third of the allocations for SCP and TSP were earmarked for the LSGIs under successive annual plans. The LSGIs began formulating and implementing SCP and TSP with people’s participation. The SCP and TSP follow a separate methodology by preparing plans for each family and habitat on the basis of primary survey and habitat mapping. The plans would be prepared for providing minimum needs of households like housing, sanitation, electricity, water supply, street lights, and other common facilities.

6.2.2.2 TSP represents funds earmarked exclusively for tribals (with contribution from State and central funds). Kerala is the only State in the country where substantial parts of the Tribal sub plan (TSP) are directly1 implemented by Local Self Governments (LSG). Robust and detailed institutional/process guidelines have already been prepared by Govt. of Kerala (GOK) for TSP. Hence there is a good opportunity to strengthen access of Tribal groups to these funds

1 In all other states, these funds are generally under the control of the line departments.

Kerala Local Government Service Delivery Project

Environmental and Social Assessment Report153 Kerala Local Government Service Delivery Project by linking TSP performance to the proposed performance assessment system (PAS)2 of the project. The TSP performance is will be measured based on (i) Existence of annual Tribal Sub Plans; (ii) Quality of plan preparation process and (iii) actual implementation results.

6.2.3 Women Component Plan (WCP) 6.2.3.1 A special aspect of decentralized planning in Kerala has been WCP that includes projects aimed at meeting the specific needs of women and raising their status in the society. Apart from providing special consideration for women in general projects, a minimum of 10% of the Plan funds must be earmarked for projects on women development. This would ensure gender equality and social justice.

6.2.4 ASHRAYA 6.2.4.1 Ashraya – an extraordinary programme for rehabilitation of destitutes has been developed by Kudumbashree. It targets absolute destitutes covering about one to two percent of the population who need continuous handholding for their very survival. The destitute are identified using the criteria developed by Kudumbashree. The Village Panchayats, Municipalities, and Corporations may in addition to the existing programmes for the poor, prepare a Package of Care Services for the destitute families under Ashraya viz. • Food • Health Care • Assistance to Physically and Mentally Challenged (Disabled) • House Sites • Housing • Water • Education • Social Deprivation

6.2.5 Anti-poverty Sub Plan (APSP)

6.2.5.1 It aims at providing landless person with house site and site within the first two years of the 11th Five Year Plan. Preparation of APSP is mandatory for all Local Governments. As part of this Sub Plan, a prioritized list of families should be prepared from the new BPL list for providing shelter to all of them. This should be in two parts: Provision of house sites and houses, and Provision only for houses.

6.2.6 Plans for Disadvantaged Groups

6.2.6.1 Creation of conditions conducive for the sustenance of disadvantaged groups – children, aged, physically and mentally challenged persons – is a fundamental aspect of development. In view of this, a mandatory minimum allocation of 5% of total plan allocation of LSGIs is prescribed by the Government.

2 Project will implement an independent performance assessment system for participating LSGs. LSGs meeting overall performance standards (including VGDF) will be eligible to receive the performance grant.

Kerala Local Government Service Delivery Project

154 Environmental and Social Assessment Report Kerala Local Government Service Delivery Project

6.2.7 Fisher People 6.2.7.1 Responding to the concerns on alienation of traditional fish workers from the customary rights, equity, and sustainability, attempts have been made in decentralization process to address their issues. Appointing a Taskforce on Livelihood Security of Fishing Community during 9th plan had been a modest attempt in this direction. The 11th plan guideline also state: “Traditional Fishermen and other groups facing vulnerability also would get special attention”. (Govt. of Kerala, 2007).

6.3 Equity Oriented Devolution of Funds 6.3.1 The devolution of fund is formula-based with zero discretion. The formula is equity oriented with the result that backward Local Governments with a naturally higher proportion of socially disadvantaged groups get larger allocations irrespective of their location or clout. As mentioned elsewhere, 2/3rd of the funds under SCP and half of the funds under TSP are devolved to Local Governments on the basis of SC and ST population.

6.4 Deploying Functionaries 6.4.1 Cutting edge level officials up to the district level from the departments of SC Development, ST Development, Social Welfare and Rural Development have all been transferred to Local Governments.

6.5 Proposed Vulnerable groups development Frame work (VGDF) 6.5.1 As can be seen from the above, robust policies and planning systems are already in place in Kerala for vulnerable groups. However, much needs to be done to achieve the desired outcomes in the field. Some of the key constraints observed relate to:

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

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

6.6 Objectives of VGDF 6.6.1 The objective of the VGDF under the proposed project is to incentivize operationalisation of existing policy framework for vulnerable groups (VG) in general and for Scheduled Tribes (STs), Scheduled Castes (SCs) and Women in particular. This will be achieved through • Capacity building support • Measurement and monitoring of performance, and • Linking access of LSGIs to performance grants in relation to their overall performance including performance on VGDF.

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Environmental and Social Assessment Report155 Kerala Local Government Service Delivery Project

6.7 Activities under VGDF 6.7.1 The main activities under VGDF would be:

• Capacity building activities o to familiarize LSGI functionaries with VGDF o focused training on short comings in the present planning & implementation processes vis-a-vis guidelines o sensitise them on their importance and relationship of VGDF in the context of the performance grant system • Independent measurement of process and outcomes through specific parameters o Planning : ° Is there a plan? ° Plan vs. Entitlement (Have the LSGI tried to access all available resources for VGs?) ° Is the quality of planning process satisfactory? o Implementation ° Implementation Vs Plan - Have all planned activities actually implemented for VGs? ° Is the Implementation process satisfactory o Post- Implementation ° Social Audit (Have the outcomes been achieved for VGs?) o Transparency & Accountability ° Display of citizens charter ° GP report for citizens

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

6.8 Implementation arrangements:

6.8.1 The VGDF will be implemented as per the existing planning process guidelines issued by Government of Kerala.

TSP planning, implementation & monitoring guidelines for TSP

S No Stage Action Res ponsibility 1 Preparatory Constitution of working group Chairman of LSGI 2 Training & sensitisation KILA 3 Environment creation/IEC VG Promoters 4 Situation Analysis presentation/ VG Promoters discussion with VGs 5 Planning Hamlet/Oorukoottam meeting Officer assigned by LSGI/VG promoter

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6 Draft Plan preparation Chairman of LSGI/Chairman of standing committee 7 Projectisation Working group 8 Draft Plan finalization (for ZP & TP only) 9 Development Seminar DPC 10 Plan finalisation LSGI - Board 11 Vetting of Plans TAG 12 Plan Approval DPC 13 Plan Publicity (dissemination) Working Group/VG promoter 14 Implementation Plan Implementation Accredited agency/ CBO/ SHG 15 Monitoring Social Audit – by community State planning Board/LSGD (through its designated agency) DPC monitoring teams

• Methodology for Inclusion of Excluded o Participatory budgeting, following an elaborate methodology which ensures transparency, visibility, inclusiveness, and accountability. o Special features have been built into the planning process in respect of sectors related to social justice. These include community consultations over and above the Grama Sabha, mandatory inclusion of representative socially disadvantaged groups in the Working Groups. Another feature is compulsory preparation of social maps for infrastructure schemes under SCP and TSP showing distinctly benefited SC or ST families and other families.

• Support Systems o A range of support systems which are particularly sensitive to the issues related to socially disadvantaged groups has been put in place for the planning process. o 1183 social animators from among SCs and 1000 social animators from among STs for extension activities support community organization and development. o NHG network through Kudumbashree

• Vigilance System o The Vigilance Committees (Jagrata Samitis) at the LSGI level have been constituted to redress issues related to gender discrimination and atrocities against women. o ST hamlets are given the full power to decide their needs in the Hamlet Assembly (Ooru Koottam; Ooru meaning hamlet and Koottam meaning Assembly) – a platform specifically accorded for Tribals. o Social Auditors from among persons of integrity and commitment to the cause of tribal development is also ensured.

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Environmental and Social Assessment Report157 Kerala Local Government Service Delivery Project

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

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

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

Kerala Local Government Service Delivery Project