official pdf , 201 pages

ENVIRONMENTAL AND SOCIAL

ASSESSMENT REPORT

KERALA LOCAL GOVERNMENT

AND

SERVICE DELIVERY PROJECT

Prepared by:

Suchitwa Mission, Thiruvananthapuram

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WB370910Typewritten TextE2582 v. 2

WB370910Typewritten Text

EXECUTIVE SUMMARY

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 and 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.

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 PRls 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.

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 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 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 (lEe) 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 LSGls 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 1ST development, sports and cultural affairs, PDS, natural calamities relief, and cooperation. Some of these functions include interventions on ecosystem resources, and hence have environmental implications. 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 subproject activities to be taken up by Local Self Government Institutions (LSGls) 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 subproject 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 I functionaries involved at various levels of the LSG institutional set-up vis-a-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

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 subprojects 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 Technical Advisory Group (TAG) and final approval will be granted by the District Planning Committee (OPe).

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.

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

Monitoring of environmental and social performance wi" be undertaken through two Technical and Service Delivery evaluations conducteq 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 LSGls 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.

Before project appraisal, the ESA report has been disclosed in public two consultation workshops organized by the GoK on 18th and 19th June 2009 in Thiruvananthapuram and Kozhikode and in a disclosure workshop organized on 11 November 2010 which was attended by the Secretary, LSGD in addition to several other attendees from various Government Departments. The report has also been disclosed on the websites of the Department of Local Self Government of the Government of Kerala and the Bank infoshop. An Executive Summary of the report will also be translated into the native language and disseminated in all the district libraries prior to project effectiveness.

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 a" activities taken up by the LSG institutions irrespective of the source of funds.

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TABLE OF CONTENTS

Chapter I Title ~tion

1 Introduction -~

1.1 J:Je~~on_ inKeral a :

1.2 Environment related functions and responsIbilities of local governments 1.3 Natural Resources Managem~~t andLocal Governments

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1.4 Environmental Capacity Building of Local Governments in Kerala - Previous Attempts

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1.5 . Kerala Local Governme-"~~~~ Service D~I~very Project (KLGSP) - an Overview

1~6 ~n~xt o_Lthe ESA Policy, Legislation and Re~lJlation2

2.1_. I Introduction 2.2 Governme~ of Ind ia Policy, Legis@ti~a~ Re~la!l2n_

2 3 Government of Kerala: Policy, Leg'~'''''V' and Regulation 2.4 World Bank Safeguard Policies 2.5 Implications on Local Gov~m~!!.!s 2.6 List of_Er1Vi!()n"1en~II'y Sensitive Areas I No Intervention Areas

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. 3 Responsibilities, Functions and Development Paradigm of Local Governments 3.1 Sectoral R"'fJum,vilities of Local Governm~nts

"3.2~ Departmental Development Activities Convergent a_t Local Level Existing Approval Process

Environmental Baseline and Implications of Development Interventions at the Local Level

3}

t-4.1 Introduction

1----4.2 Environmental Baseline 4.3 Functions of Local Governments and their_En'-'!ronmental impJi~on~ 4.4. Environmental Analysis of Development interventions of Other D

_

Kerala Local Government Strengthening Projecr

EXECUTIVE SUMMARY

..... " .... ,..,. .. -, Introduction

Chapter 1 Introduction

I. ?'erala embarked on a trajectory of rapid de.centralization sin~e October 1995: !~~ State . has moved ahead at good pace by transfernng not only functIons and responslblhtles but

r . .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 mandatory condition for any World Bank funding.

K

The Kerala Panchayat Raj Act, was brought into effect in 1994. This Act was basically a

mixture of the provisions of the old Kerala Panchayat Act and the provisions of the Constitution. The significant feature was the provision that the Government shall, after the commencement of the Act, transfer to PRls all institutions, schemes, buildings and other properties connected with the subjects listed in the respective schedules dealing with these functions. A detailed account of Kerala's decentralization is given in Annexure I.

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


Kerala Local Government Strengthening Project

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

1.1.1 Features of Panchayati Raj in Kerala There are certain peculiar Socio-political features with respect to the Panchayati Raj in Kerala. ~ Large size of the Grama Panchayats (999 Nos) providing the natural "right size" for several

development services, especially viable service areas for PHCs, Veterinary Hospitals, Krishi Bhavans and so on.

~ Large size limiting the direct participation. by people only at the ward LeveL, i.e., the constituency of a Grama Panchayat Member.

~ Difficulty of earmarking exclusive functions for Block Panchayats (152 Nos.) which they alone can perform better than others due to the large Grama Panchayats and relatively compact Districts (14 Nos) .

.,. Rural-urban continuum, existing in the settlement pattern in Kerala .

.,. Influence of the political milieu, leading to elections on party basis and polarization in the political composition of local governments. This had led to the policy decision to treat PRls as non-hierarchical, i.e., the District Panchayat has no control over Block or Village Panchayats.

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

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

with the defined areas.

uwpcer I Introduction

1. 1.2 Empowering of Local Governments The transfer of functions and powers to the lSGls and their exercise by them are governed by the following basic principles:

i. Autonomy, basically functional, financial and administrative autonomy i1. Subsidiarity, transferring functions and powers from the level of the Grama Sabhas and

Wards Committees and go to the higher level up to the Union Government. iii. Role clarity, calling for clear perception of role in the developmental process with

unity of vision and diversity of means. iv. Complimentarity, related to the principle of role-clarity, consistent with local needs

and priorities and convergence into an integrated local plan. v. Uniformity, implying the norms and criteria for selection of beneficiaries and sites or

prioritization of activities and pattern of assistance within a given lSGI vi. People's participation, involving the people fully by empowering them to take their own

decisions after analyzing the situation. vii. Accountability, to the people within their jurisdiction and in certain respects, to the

whole nation to be ensured through social audit of the performance of the lSGls and objective audit both concurrent and post-facto.

viii. Transparency, ensuring decisions based on norms and criteria evolved on the basis of social consensus and rationale of the decision

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

1. To improve the quality of investment by allocating resources for priorities fixed by the local people.

2. To facilitate emergence of local solutions to developmental problems through improved planning, better implementation, use of traditional knowledge and appropriate technology.

3. To exploit local production possibilities. 4. To enable people's participation leading to better vigil in execution of schemes followed up

with better upkeep. of assets. 5. To provide the enabling environment for people to make contributions in kind and cash for

development programmes identified by them for priority action. 6. To bring about a convergence of resources and services to tackle development problems

with greater vigour. 7. To unleash public action resulting in a demand led improvement in the delivery of

developmental and welfare services.

1. 1.4 Institutions of Local Government The Kerala Panchayat Raj Act particularly through the amendments brought about in 1999 has several innovative features laying a strong legal foundation for building up strong local self government institutions. The salient features are described below:

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

A


r:.llvuVlu,,"" ...._- .

Kerala Local Government Stren!lthening Project

r Standing Committee System,every elected Member of the Local Government gets a chance to function in one Standing Committee or the other.

> Control by Government, limiting to general guidelines and intervention only through a process and in consultation with the Ombudsman or Appellate Tribunal

>- Setting up of independent institutions, to reduce governmental control and foster the concept of self government such as

The State Election Commission.

The Finance Commission.

Ombudsman for Local Governments

Appellate Tribunals

Audit Commission State Development Council

The powers and responsibilities of the Grama Sabha as defined in the Act are given in Annexure II.

1. 1.5 Decentralised planning Process The decentralised local level planning has been used as the engine for harnessing public action in favour of decentralisation. In order to shake the system and force the process, a campaign approach has been followed. This campaign has succeeded in setting the agenda for decentralised development. The salient features of the campaign methodology are described in Annexure III, stage by stage.

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

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

1 . 1.7 Performance Assessment

Decentralization has had several positive spin-offs. They are summarized below:

1. The formula based devolution of funds has ensured that funds have flowed to every nook

and corner of the State including the hitherto outlying and backward areas, facilitating

public investment.

i

1..,1J(lp(er I

Introduction !

2. The cornerstone of Kerala's decentralization has been people's participation. The processes have been designed to facilitate intervention by the interested citizen at all stages of the development process right from generation of developmental ideas through project planning, project implementation, up to monitoring.

3. Decentralization has resulted in better targeting especially in the case of individual benefits by insisting on a due process in the selection of beneficiaries. The quality of identification has certainly improved.

4. Decentralization has opened up opportunities for wide ranging reforms. Already right to information, prescription of dire process in giving of benefits, outsourcing of technical services, community management of assets and simplification of procedures have taken place. More reforms in the form of independent regulatory institutions, improved management systems both financial and administrative, enhanced accountability mechanisms etc., are in the offing.

S. Evolved an organic relationship between transferred departments and local governments and bring in role clarity.

6. Launched a comprehensive capacity building programme going beyond plan formulation and implementation and stressing management, governance and long term development issues

7. In development matters local governments have significant achievements. The important ones are:

As is evident from the performance, local governments have done well in provision of minimum needs infrastructure both to households as well as to communities. This is particularly true of housing, sanitation, water supply, infrastructure of hospitals and schools and connectivity.

The introduction of the mandatory Women Component Plan has been a path breaker. Local governments have gradually matured in their planning for gender sensitive schemes. Earmarking of 10% of the plan outlay for women has helped considerably the disadvantaged groups among women like widows, and has improved the provision of services which are of direct benefit to women. The local governments have to be further guided to improve the quality of planning to engender it fully.

Local government plans have shown a strong anti-poverty bias. More funds have flown to families below poverty line through local governments than would normally have been.

Local governments have evolved good models in water supply, improvement of quality of education, improving agriculture productivity, etc. They have generally shown a preference for affordable technologies and appropriate solutions. There have been some positive steps in areas like integrated natural resource management

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


Kera/a Local Government Strengthening Project

o Analysis of the development sector(s)/area(s) assigned to it. o Evaluation of the performance during the last five years. o Identification of existing problems, gaps, needs, possibilities. o Generation of a shared vision on the development of the sector(s)/area(s) o Suggesting an action plan to realize the vision with priorities and reasons for the

priority. o Preparation of draft projects to implement the action plan. o Identiflcation of spillover projects. o Updation of development reports. o Monitoring of projects every quarter. o Any other task assigned by the DPC or local government

1,1 enw..ent ..-t_ted Functtons U\d ~t\tM of lQt_' (lo'4VM\."

Conservation and protection of the environment have been an inseparable part of Indian

heritage and culture. Realizing its importance, necessary amendments have been made in the Indian Constitution. from time to time. The incorporation of the Part IX and IX A in the Constitution of India, made through 73rd and 74th Amendment in 1992, enabled the Grama Panchayats and Municipalities to perform functions related to environmental management. Therefore, the Grama Panchayats are assigned with functions as much as 29 subjects, in the Eleventh Schedule of the Constitution. Among the 29 subjects, the following are related to environment management.

1. Agriculture including agriculture extension. 2. Land improvement, implementation of land reforms, land consolidation and soil

conservation. 3. Minor irrigation, water management and watershed development. 6. Social forestry and farm forestry 11. Drinking water 15. Non-conventional energy sources 23. Health and sanitation, including hospitals, primary health centers and dispensaries.

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

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

Introduction

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

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

The Panchayat Level Resource Mapping Programme, as a tool for environmental appraisal of resources and natural resource based planning at the village level and for realizing the goal of spatial planning.

The state wide campaign of preparing Watershed based Development Master Plan at the Block Panchayat Level (1990, 1998), as a tool for institutionalizing decentralized planning based on geohydrological unit.

The Kerala Total Sanitation and Health Mission (1999) for coordinating sanitation campaign in the state leading to almost 97% of the villages achieving Open Defecation Free status, a success story of the Total Sanitation Campaign of Government of India.

The Clean Kerala Mission (2003) for enabling the urban and rural local bodies to establish integrated municipal solid waste management system.

The Suchitwa (Sanitation) Mission (2003) for proving advisory support to the state government and handholding support to the local governments in the form of enabler in all respects (capacity building, project formulation, regulatory advice, top-up grant, technology provider etc) for achieving improved output in all sanitation components and sustainable outcome in the health and environmental aspects.

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

1,1 ~t\l'.' l\~fft$~t \d loc.' 60'4."_'-' Natural Resources like land, water and biomass are fundamental factors that have a bearing

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

Government of Kerala have decided that core objectives of the PeopLe's Plan component of Eleventh Plan would be revitalization of agriculture and promotion of local economic


L.IIVIIVltll ......... _ ... -__ ~


development along with improvement of public services with focus on the poor. The methodology aims at improving the quality of planning and preparing District Plans, with enhanced participation of the people and support of professionals. The core of the new methodology would be preparation of integrated Watershed Management plans, following the principles of iterative, multilevel planning, with local watershed plans being prepared with a full understanding of the River Basin issues and being organically merged to form a River Basin Management plan. This process will be highly participatory, involving agricultural workers, farmers, all those dependant on natural resources and farm produce for their livelihood, and officials, prqfessionals and activists concerned. The outputs would be implementable action plans for increasing production and productivity in agriculture and other allied sectors. The outcomes are expected to be progressive restoration of water- land- biomass balance and improved livelihood opportunities based on sustainable natural resources management. In order to make this happen conservation activities like afforestation, biomass development, soil and water conservation, water resource development and promotion of sustainable income generation activities would have to be attempted through community based organizations, ensuring micro watershed based governance of resources.

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

Experience of decentralization shows that it is easier to sensitize Local Governments to the subtle links that exist between natural resources within a natural boundary called watershed. Local Governments have greater potential than line departments to push integrated natural resource management approach because of their effectiveness in:

a) Empowering stakeholders b) Resolving conflicting interests of stakeholders c) Fostering adaptive management capacity d) Adopting inter-disciplinary solutions to developmental issues e) People's participation

The Local Governments have specific role, especially in the areas of sustainable management of resources, land use, conservation of water, waste management, health and sanitation and environment protection. At present the Local Governments are in general utilizing the expertise and services available in various state Govt. agencies for the delivery of those functioning. The Local Governments have been so far successful in addressing some specific areas of environment management like solid waste management, slaughter house, public health and sanitation including managing of hospitals, using their own resources or mobilizing

....... w,t-< ..... ,

Introduction

external support. Only very limited service are being rendered by Local Governments in the areas of water conservation and environmental protection. Strengthening of activities in the areas of land use, agriculture and social forestry, drinking water etc. is also crucial.

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

1,4 n~'~d\f 8t.aU_ of l.., Gowmm.nts tn K...t. "P...~.~

Democratic decentralization and participatory planning initiated in Kerala during the last one

and a half decade has been made significant efforts to bring the issue of natural resource and environment management in the development politics of the state. The People's Planning Campaign realized the importance of natural resources and environment management for sustainable development of the state and for strengthening the primary production sectors and promoting livelihood of the poor and the deprived sections of the society. In order to facilitate this, massive efforts was taken for capacity building of different local government functionaries. The training programmes for local pLan formulation included:

Need Identification Phase (Grama Sabha) Prioritization Phase (DeveLopment Seminar)

Projectization Phase (Working Groups)

Plan Formulation Phase (Elected Council)

Plan Appraisal Phase (Technical Advisory Group) Plan Approval Phase (District Planning Committee)

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

As a resuLt of the massive capacity building exercise during the People's Plan Campaign, massive awareness to the different functionaries of local governments was created in the

following subject areas:


Kerala Local Government Strengthening Project ! !

Sustainable Development and Environment Management

Agriculture Development and Enhancing Food Production

Sanitation and Solid Waste Management Sanitation and Water Management Watershed Development and Strengthening Rural Livelihood

Environment Impact Assessment and Formulati(;>n of Development Projects

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

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

Basic concept of watershed development and natural resource management

Identification and delineation of micro watersheds PRA Techniques for assessing the watershed development and natural resources

management issues Preparation of Baseline report on natural resources and environment

Preparation of Watersh~d Status Report: Structure and Methodology

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

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

below:

Introduction

Lack of policy and legal framework for intervention of local government in natural resources and environment management

Capacity gaps of elected representatives and officials of local governments was not scientifically assessed and training was not properly designed

Scope and importance of sustainable development was not explicitly incorporated in the training modules

No separate working group at the local level for watershed development and natural resources management

Lack of comprehension on the concept and methodology of integration of different development sectors with an overall objective of sustainable development

Lack of capacity of the plan appraisal team to assess the environmental impact of different development projects and effective tools and techniques for doing environmental assessment

Inadequacy of appropriate Environmental Management Framework.

1,5 Kt. l04:.' Go'MNMat .nd ~~I)t~ Project (KlGSP) ... n~m.w

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

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

Component 1: Performance Grants. This component will phase in an annual, performancebased 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:

(i) Development and improvement of administrative systems used by LSGs;

(ii) Strengthening of capacities of LSGs personnel using these systems;

(iii) Mentoring directed at human resource capacity improvement and supplementation; and

(iv) Strengthening of the overall institutional capacities of the key organizations responsible for delivering LSG training in Kerala.



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.

1..6 CQI\tct.t Qf th. $A The project has been classified under category B as per World Bank norms. This mandates the preparation of an Environmental and Social Management Framework (ESMF) as a necessary

'procedural requirement for project appraisal and adherence / compliance to the ESMF during project implementation, a vital performance criterion.

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

Given the inherent nature of the project goals, there are no concrete or physically welt defined interventions proposed, which could be examined or assessed for likeLy environmental and sociaL (EfrS) impacts in order to deveLop an ESMF. However, many of the known functions and activities normally undertaken by the PRls as a matter of routine can be examined.

The ESA and ESMF developed for this project shall have 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;

"-r -_ ..

introduction

An ESMF that identifies I recognizes possible EaS impacts of typical local government functions or interventions, recognizes the likely impacts and enables the users to take decisions that appropriately mitigate the same.

An Institutional Plan that specifies roles and responsibilities various players along the LSG hierarchy have to perform I bear with respect to grant of EaS approval to any proposed LSG activity.

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

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


Chapter 2 Policy, Legislation and Reaulation

l.--he indiscriminate development in the State has led to various environmental issues; 1 some of them are irreversible and catastrophic. These issue are linked to the present

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

2..2.. Go~.M\4tnt: Qf In

Policy, Legis/ation and Regulation

2...2... t ... PGftct. 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 1. work through identifiable stakeholder groups for bringing about 1/3rd of the area under

forest/tree cover in ordinary areas and 213rd 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.

i1. 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


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 Parichayat 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)

22

- .. -r'~-. -

Policy, legislation and Regulation

2.2.1.2. National Water Policy 2002 The earlier National Water Policy was adopted in September 1987 and a revised policy has been adopted by the National Water Resources Council in April 2002. Recognizing water as a precious national asset, the National Water Policy embodies the Nation's resolve that planning and development of water resources should be governed by the national perspective. The policy recognizes drainage basin as the basic unit of planning for development of water resources and calls for appropriate measures to optimize utilization of this resource not only for the benefit of the people living in the basin, but also for transfer of surplus water to meet the requirements of areas which have shortage of water. The principal elements of the policy are;

Water is a precious national resource and its development should be governed by the national perspectives;

The available resources, both surface and ground water, should be made utilizable to the maximum extent;

Planning for water resources to be on the basis of the hydrological unit such as a drainage basin or sub-basin. Appropriate organizations should be established for the planned development and management of the river basins as a whole;

Water should be made available to areas where there is a shortage by transfer from other areas including transfers from one river basin to another, after taking into account the requirements of the basins;

Project planning for development of water resources should, as far as possible, be for multiple benefits based on an integrated and multidisciplinary approach having regard to human and ecological aspects and special needs of disadvantaged sections of the society;

In the allocation of water, ordinarily first priority should be for drinking water, with irrigation, hydro-power, industrial and other uses following in that order

The ground water potential should be periodically reassessed and its exploitation regulated with reference to recharge possibilities and consideration of social equity;

Due care should be taken right from the project planning stage to promote conjunctive use of surface and groundwater;

Maintenance, modernization and safety of structures should be ensured through proper organizational arrangements;

There should be close integration of water use and land use policies and distribution of water should be with due regard to equity and social justice;

Efficiency of utilization should be improved in all the diverse uses of water and conservation consciousness promoted through education, regulation, incentives and disincentives;

Water rates should be such as to foster the motivation for economy in water use and should adequately cover the annual maintenance and operational charges and a part of the fixed cost;

Farmers should be progressively involved in the management of irrigation system;

There should be a Master Plan for flood control and management for each flood prone . basin. In flood control and management, the strategy should be to reduce the intensity of floods by sound watershed management and provision of adequate flood cushion in water


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 soilmoisture 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 forthe 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

24

Policy, Legislation and Regulation

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

With regard to role of LSGls 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,

Kera/a Local Government Strengthening Project

roots and tubers, plantation crops, aromatic and medicinal plants, bee-keeping and sericulture, for augmenting food supply, exports and generating employment in the rural areas. Development of animal husbandry, poultry, dairying and aqua-culture will receive a high priority in the efforts for diversifying agriculture, increasing animal protein availability in the food basket and for generating exportable surpluses. An integrated approach to marine and inland fisheries, designed to promote sustainable aquaculture practices, will be adopted.

Generation and transfer of technology:. NAP calls for according very high priority to evolving location specific and economically viable improved varieties of agricultural and horticultural crops, livestock species and aquaculture. There is added emphasis on regionalization of agricultural research based on identified agro climatic zones.

Inputs management: Adequate and timely supply of quality inputs such as seeds, fertilizers, plant protection chemicals, bio-pesticides, agricultural machinery and credit at reasonable rates to farmers will be the endeavour of the Government.

Incentive for agriculture: Agricultural policy repeats the policy concerns echoed in the beginning of green revolution to provide favourable economic environment for promoting farm investments through (1) removal of distortions in the incentives (2) improvement in terms of trade with manufacturing (3) external and domestic market reforms.

Investment 'in agriculture: Public investment for narrowing regional imbalances, accelerating development of supportive infrastructure for agriculture and rural development particularly rural connectivity will be stepped up.

Institutional structure: NAP advocates land reforms by focusing on consolidation of holdings, redistribution of surplus/waste land among landless, tenancy reforms, development of lease market and recognition of women's rights in land. Other areas listed for policy attention are private sector participation through contract farming, assured markets for crops especially for oilseeds, cotton and horticultural crops, increased flow of institutional credit, strengthening and revamping of cooperative credit system. The policy states that the rural poor will be increasingly involved in the implementation of land reforms with the help of Panchayati Raj Institutions, Voluntary Groups, Social Activists and Community Leaders.

Risk management: Price fluctuation and natural 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

responsiy~ .. scen(ir;a'bHd

,.."i:h~ESMF);; , - -, '.'.' '. ,-~ - ,

26


crop/area/target group specific intervenbons, 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. 1. 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 abroad 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, traditicmal 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.


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 focu,ses 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 Hous'ing 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 hous'ing 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-PrivatePartnerships, 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/UG 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.

28

... " .... y .. "'" .....


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 socioeconomic progress. In this manner, the Policy seeks to improve accessibility to the NorthEastern 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 r~location 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 LlG 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/UG 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

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