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Environmental and Social Assessment Report Kerala Local Government Service Delivery Project
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EEEXXXEEECCCUUUTTTIIIVVVEEE SSSUUUMMMMMMAAARRRYYY
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
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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
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• 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
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• 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
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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 7.50)
X
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
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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
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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
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• 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
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• 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
[Type text] Page 9
CCChhhaaapppttteeerrr 111
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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
also 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
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.
TT
Chapter 2 Policy, Legislation and Regulation
95
222...222...111... PPPooollliiiccciiieeesss
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
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The Local Governments in Kerala, in
general, are not making use of the
provisions contained in the policy,
even in the forest fringe Panchayats.
However, there are new initiatives
being taken through the convergence
of NREGS and management plans of
Forest Department. The ESMF
proposed will enable the
identification of permissible
activities and encourage conservation
measures
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.
• Stopping further encroachment into forest
areas.
• Reversing localized environmental degradation
such as seasonal water shortage and soil
erosion resulting from deforestation in
watersheds/catchments.
The PFM institutions can undertake Village
Development Programmes (Eco-development
Programmes) keep in view their commitment to the
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
95
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
26
Since Kerala has brought out its own Water Policy which brought out state specific priority and action areas in consonance with the regional natural resource scenario, the National policy may not be of direct relevance to the ESMF
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
development which are relatively less water
demanding should be encouraged;
• A national information system on water resources
should be established with a net-work of data
banks and data bases integrating and strengthening
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
95
Kerala’s achievements in Pubic health
sector have been remarkable, and
decentralization and involvement of
Local Self governments in public
health sector interventions have so
far been largely positive. The
national policy, as a whole brings in
convergence with the local
governance and hence influences the
ESMF.
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.
With regard to role of LSGIs in Health Sector, the
policy points out that some States have adopted a
policy of devolving programmes and funds in the
health sector through different levels of the
Panchayati Raj Institutions. Generally, the experience
has been an encouraging one. The adoption of such an
organizational structure has enabled need-based
allocation of resources and closer supervision through
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 bio-
diversity;
• 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,
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The policy provides an overall
framework for planning food security
activities. However, the platform of
actions envisaged in the policy is very
broad. As such it is not very
responsive to local environmental
scenario and hence may not influence
the ESMF.
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
calamities are recognized as main factor for
imparting instability to condition of farmers. NAP
suggests Agriculture Insurance Scheme covering all
farmers and all crops throughout the country with
built in provision for insulating farmers from
financial distress. Other measures suggested under
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
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The policy statement is too generic.
It also fails to address the current
focus on issues of climate change and
global warming and their implications
on production sector. However, it
strengthen the relevance of ESMF as
the regulatory frameworks are mostly
linked to this policy statements
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
efficient use of environmental resources in the sense
of reduction in their use per unit of economic output,
to minimize adverse environmental impacts.
vi. Environmental Governance: To 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.
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.
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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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The ESMF proposed for the project
will enable the achievement of one of
the important objectives of the
project such as ‘Devising adequate
safeguards for promoting a healthy
environment with special emphasis on
‘green lungs’ of the city in terms of
parks, botanical gardens and social
forestry as well as green belts around
cities/towns’.
• 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
estates along with appropriate labour housing colonies
serviced by necessary basic services.
ix) Incorporate provisions of model building bye-laws
prepared by Town & Country Planning Organization
(TCPO) and National Building Code in their respective
building bye-laws. Make suitable provisions in the
Building Bye-laws for innovative energy conservation
practices and mandatory rain water harvesting for
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.
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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.
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95
The implementation 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.
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
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
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The proposed ESMF provides an
opportunity to mobilize support for
the State PCB for attaining improved
compliance. In addition, the ESMF
ensures that the LSGs obtain consent
for discharge of sewage and sullage,
draw up & implement plans for
sewage collection and treatment, as
envisaged in the Act.
• 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 State Pollution Control Board has been
constituted and over the years, it has established its
offices and laboratories in all the districts with a
Central Laboratory at Kochi. The Kerala State PCB has
issued circulars to all the LSGs to issue license to an
industry or commercial establishment only after
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
Chapter 2 Policy, Legislation and Regulation
95
In Kerala, about 600 industries are brought 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.
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
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Only the Central Government is
authorized to permit diversion of
forest land for non forestry purposes.
Therefore, the LSGs will have no role
except in assisting forest
conservation activities through
schemes like the NREGA and
enhancement of forest productivity
activities through stipulated
stakeholder groups. The provisions of
the acts fall under negative list as far
as the proposed ESMF is concerned.
The proposed ESMF shall ensure improved compliance of the provisions of the Act informally due to the environmental sensitivity build up within the LSG through Environmental Assessment and such activities.
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
thereof, shall cease to be reserved;
(ii) that any forest land or any portion thereof may be
used for any non-forest purpose;
(iii) that any forest land or any portion thereof may be
assigned by way of lease or otherwise to any private
person or to any authority, corporation, agency or any
other organization not owned, managed or controlled
by Government;
(iv) that any forest land or any portion thereof may be
cleared of trees which have grown naturally in that
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
Act and Air Act from the KSPCB.
• If the industry/establishment violate the conditions
of the consent issued by the KSPCB, as per the
Water Act and Air Act, punitive actions is being
taken by way of issual of closure
order/suspension/cancellation of licenses issued. LSGIs usually suspend their license to the
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95
This is an umbrella act under which a
number of notifications have come up
in respect of coastal protection,
environmental impact assessment,
biomedical waste management, solid
waste management etc. The proposed
ESMF necessitates the compliance to
various provisions of these
notifications.
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
the prevention, control and abatement of
pollution.
• Establishment and recognition of environmental
laboratories institutions.
• Collection and dissemination of information
relating to environmental pollution.
• Constitution of authorities and appointment of
officers, if necessary, for the purpose of exercising and performing the powers and
functions conferred on it vide the act.
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The proposed ESMF shall enable the
implementation of the regulations as
the projects will be screened for
permissible activities under the
notification.
• 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
prepared by any of the six authorized agencies by the
Ministry of Environment and Forests, Government of
India. The Centre for Earth Science Studies,
Thiruvananthapuram is an authorized agency in this
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.
Chapter 2 Policy, Legislation and Regulation
95
The notification covers only major
projects and the local bodies have no
direct role in the enforcement of its
provisions. However, the
representatives of the LSGs play a
major role in public consultation
process. The projects which are
outside the ambit of this notification
only fall under the purview of the
proposed ESMF.
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
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
� 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
� 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
95
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
� 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
� 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
� 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.
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90
NOT TRIGGERED
� 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
� Safeguard
Policy Physical Cultural Resources (OP 4.11)
Description 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
� 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
95
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
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
92
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
95
In short, a very strong IEC on laws related to environmental protection and conservation, strengthening of manpower and infrastructure of LSGs and adequate fund and provision for continued technical support are the immediate needs of LSGs in Kerala. In addition, a frame work for ensuring protection and conservation of environment will enable them to stride towards persistent environmental upgradation. The Environmental Assessment (EA) and Environmental Management Framework (ESMF) shall provide the right tool for LSGs in this regard
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,
Central Pollution Control Board, State Pollution
Control Board, State Environment Department and
other international agencies, which extend
programme or project based financial assistance to
LGs for environmental protection and conservation.
Unfortunately, information regarding such
programmes or projects or scope of such financial
schemes are not reaching to the level of LGs or
they are not capable of preparing scheme to suit
the requirements of the funding agencies and
availing these opportunities. There is necessity of
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
As mentioned earlier, the procedures for securing E&S Clearance have been developed in a
manner that they fit the standard approval procedures followed by the LSGs.
We first describe the standard approval procedures followed by GPs in Kerala in the normal
course. These are as follows:
• Subproject ideas are taken up by the Sectoral Working Groups (SWGs) (in the local body)
from the activities already listed in the 5 year Development Report1 for the respective GP.
• The GP has a number of Working Groups, each of which is in-charge of a specific LSG
function such as sanitation, roads, buildings, agriculture, water works, poverty reduction,
etc. The proposals taken up by the SWGs are submitted to the Gram Sabha for
prioritization of works/activities.
• Upon prioritization by the Gram Sabhas, the respective Working Groups prepare draft
subproject plans and submit to the GP Committee
• The GP Committee discloses and discusses these proposal in a Development Seminar
participated by experts, professionals, representatives of Gram Sabha and local people.
Based on discussions and feedback obtained at the Development Seminar and after
incorporating recommendations a final sub-project plan is arrived at.
• Subsequently, GPC concurs with and approves the final subproject plan discussed and
disclosed in the Development Seminar.
• Thereafter, the respective Working Groups prepare the Detailed Project Reports (DPRs)
through the GP 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 12th 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
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Figure 1.1: Environmental and Social Clearance and Compliance Verification Procedure for GPs
E&S Clearance and Compliance Verification Procedure for GPs
Project ideas from approved and disclosed Final Sub-project
Plan obtained from GP Committee
WORKING GROUP Prepares DPR and undertakes ESMF
screening with help of GP Implementing Department
Referred to GP Committee for forwarding to Implementing
Officer
No
Yes
Has any permission / sanction been
accorded that enables this regulatory list
entry to be taken up for implementation?
Yes
Level 1 activity
Revise DPR incorporating
mitigation plan from given mitigation guidelines and revising cost if
required
Revise DPR by conducting LESA#,
incorporating suggested mitigation plan and revising cost
if applicable
Level 2 activity
GP Implementing Officer
- Prepares DPR - Implements work
after DPC approval
No
Yes
� NOT
APPROVED
No
Block Level Clearance
Examination of DPR by Supervisory
Officers for accuracy and acceptability of
mitigation plan
DPC** Approval
Yes
PROJECT DEFERRED OR DPR SENT BACK
FOR REVISION
APPROVED
REGULATORY LIST SCREENING
Does any part of the Regulatory list apply the
proposed activity?
PROJECT PROPOSAL / DPR
No
No
DPR READY
CONTROL LIST SCREENING This list has two parts:
Level 1: low impact Level 2 medium impact
Does any entry in one of these lists apply to the proposed
activity?
DPR PREPARATION BY IMPLEMENTATION OFFICER
Interim compliance verification during works execution, wherever applicable
ESMF compliance filing by works contractor on completion of works
execution
COMPLIANCE VERIFICATION Only for activities requiring Mitigation Plans as per ESMF
Verification of ESMF compliance by GP Implementing Officer and Chairman,
Monitoring Committee before approval of final installment of payment to works
contractor.
ESMF COMPLIANCE VERIFICATION BY IMPLEMENTATION OFFICER WITH FACILITATION FROM BLOCK LEVEL OFFICER
Block Level Officer Facilitates ESMF at all
stages
ESMF SCREENING DURING DPR PREPARATION WORK
** DPC: District Planning Committee # LESA: Limited Environmental and
Social Appraisal
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Kerala Local Government Service Delivery Project
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It is at the DPR preparation stage that the first stage of E&S Clearance will come into play.
This would be done by screening of the proposal for environmental and social implications.
Since the DPR preparation work is undertaken by the Working Groups along with the GP
technical staff, it is best if the E&S screening and mitigation planning is also done by them. In
spite of this, it is important for the GP Committee members, 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.,
There is a difference between the organizational structure of GPs and Municipalities. Even
though the approval procedures are principally the same, there is a variation in the approval
authorities and stages. In the normal course, subproject ideas are taken up by the Sectoral
Working Groups (SWGs) (in the local body) from the activities already listed in the 5 year
Development Report3 for the respective Municipality. The Municipality has a number of
Working Groups, each of which is in-charge of a specific LSG function such as sanitation, roads,
Buildings, agriculture, water works, poverty reduction, etc. Following is the procedure:
• The proposals taken up by the SWGs are submitted to the Ward Sabha for prioritization
of works/activities.
• 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 12th 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
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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
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)
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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
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accordance with the provisions of the Scheduled Tribes and other Traditional Forest
Dwellers (Recognition of Forest Rights) Act, 2006.
� Any activity that involves cutting of grass or grazing of livestock in a forest area without
permission from the Forest Department (except in accordance with the provisions of
the Scheduled Tribes and other Traditional Forest Dwellers (Recognition of Forest
Rights) Act, 2006).
� Any activity that involves cutting of any tree or trees except in accordance with the
provisions of the Kerala Preservation Of Trees Act (1986)
� Activities involving destruction / exploitation of any kind of wildlife.
Physical and cultural resources
� Activities likely to cause damage to objects, sites, structures, groups of structures, and
natural features and landscapes that have archaeological, paleontological, historical,
architectural, religious, aesthetic, or other cultural significance
� Any subproject involving construction 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
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� 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
Furnishings � Buildings - New Construction and Expansion
� Roads / Bridges / Culverts - Repair and
Maintenance � Roads/Bridges/Culverts - New Construction
� Waiting Sheds, Parking Yards, Bathing Ghats -
Construction, Operation and Maintenance �
Sanitation & Waste Management :
Collection and Management of Solid &
Liquid Waste, Electronic Waste, and
Biomedical Waste
�
Public Markets, Crematoriums, Burial
Grounds, Public Toilets, Slaughter Houses,
Waste Management Installations, Stadiums,
Play grounds, Swimming Pools - Operation,
Maintenance and Repair
�
Public Markets, Crematoriums, Burial
Grounds, Public Toilets, Slaughter Houses,
Stadiums, Play grounds, Swimming Pools -
Construction and Expansion
� Micro Irrigation - Construction and
Maintenance, Check Dams – Construction and
Maintenance, Minor Irrigation - Maintenance
� Minor Irrigation - Construction and
Expansion
� Drinking Water Supply - Operation,
Maintenance and Repair �
Drinking Water Supply - Construction and
Expansion
� Storm Water Drains - Repair and Maintenance � Storm Water Drains - Construction
� Agriculture / Horticulture / Social Forestry -
Management and extension �
Animal Husbandry & Dairy Farming -
Construction & Expansion of facilities
� Meat & Fish Production and Marketing -
Repair and Maintenance of facilities �
Meat & Fish production and Marketing -
Construction and Expansion of facilities
� Ponds/Tanks/Wells/ Canals - Cleaning and
Desilting � Ponds/Tanks/Wells/ Canals – Construction
� Ferries - Operation and Maintenance � Tiny and Small Industries - Establishment
and Expansion
� Electrical & Electronic items - Purchase,
Installation, Operation and Maintenance � Mining & Quarrying
� 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.
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Proforma C E&S Clearance and Compliance Format for GPs
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
Village: GP: Taluk: District: Title of Proposed Activity:
Proposed date of commencement of work:
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Proforma D
E&S Clearance and Compliance Format for Municipalities
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’
Village: MN: Taluk: District: Title of Proposed Activity: Proposed date of commencement of work:
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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, particulate matter, smoke and fumes)
• Sprinkling of water during construction • Ensure timely maintenance of machineries
Disruption in services/ Utilities
• Advanced planning with concerned Department / Authority and obtain sanctions / NOC for uninterrupted supply of services (traffic, water, electricity, cable etc.)
Break or interference in natural drainage & water logging
• Adopt alternative / by-pass systems to maintain natural flow • Ensure proper covering for the drains to avoid accidents and waste dumping • Have the plan approved by a qualified civil engineer
Safety of the Residents & Workers
• Maintain adequate and appropriate sign boards • 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 & loss of open space
• Optimize land use through appropriate design and plan • 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 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. 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 bodies
• Prevent discharge of waste water into water 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 houses
• Maintain distance norms, comply with noise pollution regulations and ensure social safeguards
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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 & maintenance
• Ensure sufficient number of toilets, adequate water supply
Water stagnation & unhygienic premises
• Plan and implement proper drainage facilities, soak pits and periodic cleaning • 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 & Ma intenance 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 aeration & poor operational efficiency
• Provide for appropriate regulation of water distribution, preferably through Participatory Irrigation Management
Poor upkeep, siltation and water stagnation
• Ensure periodic maintenance and desiltation
Natural Resource depletion • Comply with applicable regulations and norms, obtain necessary permits and control natural resource extraction and supply domains
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 stagnation & unhygienic premises
• Plan and implement proper drainage facilities, soak pits • Ensure periodic maintenance and desiltation
Natural Resource depletion • Comply with applicable regulations and norms, obtain necessary permits and control natural resource extraction and supply domains
Community conflicts • Consensus building
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Accumulation of de-silted material
• Segregation of materials and appropriate reuse
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 deterioration
• Ensure soil conservation measures and use of organic soil nutrients/manures
Loss/reduction of species • Ensure species diversity and prevent introduction of alien species Indiscriminate use of water • Promote group farming and participatory irrigation Sale and use of banned/non permitted pesticides
• Adhere to the regulatory list of use of banned pesticides (WHO Class 1a, 1b and II)
Unsafe handling of pesticides • Maintain proper storage facilities for pesticides • Stock and promote sale of safety gadgets to be used while handling pesticides
Ecosystem imbalance due to spread of invasive alien crops & improper pest management
• Promote only locally adaptable species & integrated pest management practices • Provide soil testing, fertilizer recommendation, pesticide safety services to member
farmers • Do not use fertilizers without ISI mark certification
Meat & Fish Production and Marketing : Repair & Mai ntenance 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 material
• Collect and re-use appropriately
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 bodies
• Awareness building and regulation of the use of mechanized boats
Risk of accidents • Enforce traffic regulation & ensure compliance of preventive measures for safety of humans and goods.
Adverse Impact Mitigation Guidelines / Best Practices
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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 of open space
• Optimize land use through appropriate design and plan
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.
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Proforma F Format for execution of Limited Environmental and Social Assessment (LESA)
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
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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.
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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-medical waste
• Facilitate segregation, storage, management and safe disposal
• Obtain necessary permits and install appropriate facilities such as incinerators, if required
Accumulation of domestic waste
• Facilitate segregation, storage and management • Obtain necessary permits for proper waste disposal
Inadequacy of toilet facilities & maintenance
• Ensure sufficient number of toilets, adequate water supply and effective periodic maintenance
Water stagnation & unhygienic premises
• Construction of soak pits and periodic cleaning of premises
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.
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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
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 Super saturation of soil, reduced aeration & poor operational efficiency
• Provide for appropriate regulation of water distribution, preferably through Participatory Irrigation Management
Poor upkeep, siltation and water stagnation
• Ensure periodic maintenance and desiltation
Natural Resource depletion • Comply with applicable regulations and norms, obtain necessary permits and control natural resource extraction and supply domains
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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
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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 waste
• Proper management of dairy runoff from the farm by 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 facilities & maintenance for farm labourers
• Ensure sufficient number of toilets, adequate water supply and effective periodic maintenance
• 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 & unhygienic premises
• Construction of soak pits and periodic cleaning of premises
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. 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 waste
• Proper management of meat and fish production runoff from the source by 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 facilities & maintenance for labourers
• Ensure sufficient number of toilets, adequate water supply and effective periodic maintenance
Water stagnation & unhygienic premises
• Construction of soak pits and periodic cleaning of premises
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.
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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.
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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:
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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 donations6: The project will discourage land donation by poor families and
vulnerable groups. The guidelines to be followed for voluntary land donations would include
the following principles: (i) Impacts are minor (loss of land less than 10% of holdings), (ii) No
physical re-location; (iii) The sub project is not site specific; (iv) The land required to meet
technical project criteria must be identified by the affected community, not by line agencies
or project authorities (nonetheless, technical authorities can help ensure that the land is
appropriate for project purposes and that the project will produce no health or environmental
safety hazards); (v) The land in question must be free of 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.
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Proforma H Social Screening Proforma for Subprojects involving Land Acquisition:
Probable Involuntary Resettlement Impacts Yes No Not
Known Details
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 loss 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 site 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 voluntarily 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 within 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 Indigenous People/Marginalized groups living in proposed locations or affected/benefitted by the project intervention?
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
planning Responsibilities with respect to EMF
implementation
KLGSDP State PMU having 1 Environmental and Social Expert (On institutionalization at later stage, for ESMF to be made applicable to all LB activities, this would appropriately be replaced with designated Environmental Engineer/ Environmental Specialist placed at Block/District
• Provide technical support to development of capacity building modules
• Coordinate Capacity building activities on ESMF • Institutionalize ESMF process • Ensure correct implementation of ESMF • Review & update ESMF procedures, if required • Compile annual report on ESMF implementation and
compliance with highlights of environmental gains
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level) Ward/Grama Sabha
• Conceive & raise the local needs & issues
• Review earlier development pursuits.
• Prioritizes subproject proposals
• Raise E&S issues with respect to proposed project, if any
Working Group • Prepares project proposals based on inputs from Ward/Grama Sabha
• Prepares DPR
• Raise E&S issues with respect to proposed project, if any
• Undertakes screening and mitigation plan preparation GP Committee • Conducts Development Seminar
and prepares final subproject plan • Cross-verifies ESMF implementation
GP Engineer / Implementation Officer
• Oversees all technical work and works execution
• Provides technical guidance to GP • Prepares DPRs
• Prepares DPR • Screens project and prepares mitigation plan • Forwards DPR to GP Committee for onward processing • Oversees and supervises work in progress including
ESMF compliance and manages contractors • Verifies ESMF compliance
Block Level Officer in the next higher tier of Implementing Officer
• Ensures compliance to mandatory guidelines
• Ensures compliance to technical guidelines and ESMF
• Verifies costing & phasing of projects
• Suggests innovation & integration possibilities
• Sub-group Gives technical sanction to projects
• Ensures ESMF compliance • Examines the accuracy of impact assessment &
adequacy of mitigation measures • Addresses inter-sectoral environmental conflicts, if any • Recommend E&S clearance to the project • Extend support as resource persons for capacity
building on ESMF
District Planning Committee (DPC)
� Project approval � Plan integration
• Issue E&S clearance along with Project approval • Conduct annual review • Suggest modifications, if any, in EMP
.
Table 1.2: KLGSDP Institutional Structure for ESMF Implementation for Municipalities Institution Current roles in development
planning Responsibilities with respect to EMF
implementation
KLGSDP State PMU having 1 Environmental and Social Expert (On institutionalization at later stage, for ESMF to be made applicable to all LB activities, this would appropriately be replaced with designated Environmental Engineer/ Environmental Specialist placed at District / State level)
• Provide technical support to development of capacity building modules
• Coordinate Capacity building activities on ESMF • Institutionalize ESMF process • Ensure correct implementation of ESMF • Review & update ESMF procedures, if required • Compile annual report on ESMF implementation and
compliance with highlights of environmental gains
Ward Sabha • Conceive & raise the local needs & issues
• Review earlier development pursuits.
• Prioritizes subproject plans
• Raise E&S issues with respect to proposed project, if any
Ward Committee • Prepares project proposals based on inputs from Ward/Grama Sabha
• Raise E&S issues with respect to proposed project, if any
Standing Committee
• Conducts Development Seminar and prepares final subproject
• Cross-verifies ESMF implementation
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plan Municipal Council • Conducts Development Seminar
and prepares final subproject plan
• Cross-verifies ESMF implementation
Municipal Engineer / Implementing Officer
• Ensures compliance to mandatory guidelines
• Ensures compliance to technical guidelines and ESMF
• Verifies costing & phasing of projects
• Suggests innovation & integration possibilities
• Sub-group Gives technical sanction to projects
• Ensures ESMF compliance • Examines the accuracy of impact assessment &
adequacy of mitigation measures • Addresses inter-sectoral environmental conflicts, if
any • Recommend E&S clearance to the project • Extend support as resource persons for capacity
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.
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CCChhhaaapppttteeerrr 666
SSSoooccciiiaaalll SSSaaafffeeeggguuuaaarrrdddsss 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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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.
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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.
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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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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 Responsibility
1 Preparatory Constitution of working group Chairman of LSGI
2 Training & sensitisation KILA
3 Environment creation/IEC VG Promoters
4 Situation Analysis presentation/
discussion with VGs
VG Promoters
5 Planning Hamlet/Oorukoottam meeting Officer assigned by LSGI/VG
promoter
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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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• 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.