CHAPTER 6

SOCIAL MANAGEMENT PLAN SAFEGUARD

COMPLIANCE DURING SUB PROJECT PLANNING, PREPARATION AND IMPLEMENTATION

(Activity 4 of ToR)
6.1 Data Collection on Baseline Social Scenario
6.1.1 Objective
To Support the ULBs in data gathering generating to make SMP
To ensure data bank; anticipating 20 to 30 years for public health issues focusing solid waste
managementawareness and collaboration during the preparation of 5-year SWM plan to comply
with TDF-SMF
To address the marginalized by ensuring the Tribal Development Framework (TDF) and the
Resettlement Policy Framework (RPF) of WB
To develop Social Management Plan (SMP), Labor Management Plan (LMP), Livelihood Action
Plan (LAP), Gender Action Plan (GAP)
To be referred by scholars and researchers and administrators to redefine and innovate the
strategy to improve SMP for Solid Waste

6.1.2 Approach and Methodology

Social Impact Assessment (SIA) is an tool instrument that helps to assess and determine the social
impacts of implication of the project. SIA prevents / mitigates minimises the risk involved in
displacement, rehabilitation and , compensation and settlement.
 TSC will collect information on profile of the project areas, socio-cultural and economic
aspects of affected people, gender issues, marginalised groups and social impacts
perceived by the community.
 Baseline data will be collected through field visit, preparing questionnaires/ checklist for
social surveys, participatory appraisal, transect walk, formal and informal Focus Group
Discussions (FGDs), and stakeholder consultations.
 Risk identification, and formulation of te mitigating strategies as they related to with
social exclusion and, social inclusion, gender issues, livelihood issues, communication
strategies (IEC/SBCC), Grievance Redressal Mechanism (GRM), and Labour
Management Plan (LMP).
 SIA also helps in to social mobilisation, awareness generation creation and sensitization
of the community and key stakeholders about the project.
  SIA also facilitates peoples’ participation and community ownership in project planning,
prioritising, preparing, implementing, monitoring and evaluation. of the proposed sub-
projects.

Magnitude of Social Impact of Project Affected Families and Areas

 TSC will measure the magnitude of social impact of all project affected families and areas
by developing indicators.
 Indicators will be developed in various fields including health, education, livelihood,
water, agriculture, soil quality, availability of government schemes, sanitation etc.

Social Management Plan (SMP)

TSC will prepare SMP which includes the following:
 Identification of social risk and assess the impacts.
 Mitigative measures for social impacts
 Mitigative measures on direct and indirect livelihood losses
 Mitigativeon measures for socio-cultural impacts
 Mitigation measures for social inclusion
 Analysis of alternative sites
 Measures for enhancing the standard of living and livelihood
 Estimated budgets including land cost, rehabilitation and resettlement cost, institutional
cost and utility cost, which would be added to the project cost
 Approach/methodology for disclosure as per Labour Act and allied Laws
 Ensure transparency, accountability and cost effectiveness
 Grievance Redressal Mechanism
Consent and Public Hearing as part of SIA
TSC will assist KSWMP/PMC to conduct public hearing in project areas; in order to address;
 Social Audit ???
 Consensus of ULBs, stakeholders and affected community
 Incorporating suggestions of public hearing in SIMP
Development of IEC/SBCC Tools
The TSC will develop media strategy and IEC/SBCC tools for each ULBs considering the local
specific socio- cultural and political environment prevailing in the area. The following activities
are suggested for tackling the existing challenges.
 Conducting opinion survey
 Development of ULB specific innovative strategies for IEC tools focussing all age
group, socio-cultural and gender specific, covering all sections of benefitted/affected
community.
 Selection of appropriate media and approaches for effective delivery of the
communication tools developed and implementation of innovative awareness
programs
6.2 Public Awareness and collaboration in during SWM plan
6.2.1 Objectives
i. To support the ULBs in conducting public awareness and community participation in
decision making, work sharing and monitoring.
ii. To ensure social collaboration for inclusive waste management.

6.2.2 Approach and Methodology

Implementation of Social and Behavioural Change Ccommunication Pplan

The State of Kerala shows socio economic peculiarities, of a rural-urban continuum with a spread
of development, and highly dense coastal strip and midlands have resulted in the unavailability of
appropriate land for public services. Lack of a robust solid waste management system has resulted
in negative externalities on its environment, biodiversity, and society at large. It is hence important
to devise sustainable solid waste management options well suited to Kerala and to improve
institutional capacities to devise, plan, and manage these.

The Technical Consultant shall support ULB in Implementation of Social Behaviour Change
Communication (SBCC) plan in each stage of the project as shown below

Stakeholder Project Information

Identification Disclosure

Project cycle Feedback - active and

consultations responsive Reporting and
(participatory and Grievance addressal continual engageent
inclusive) mechanism
 Stages of Stakeholder Mapping and Citizen Engagement
Source: KSWMP Environmental and Social Management
Framework Volume II (A)

The SBCC plan emphasis as follows:

1. Social Level: emphasize on leadership, community customs and cultural values,
gender norms, media and technology, guidance and protocols, income equity,
policy and regulations
2. Community Level: motivate leadership, provide access to information, provide
social capital and collective efficacy
3. Family Level: promote interpersonal communication among family members to
support the sub-projects
4. Individual Level: Inspire intrapersonal communication, promote knowledge
transfer to support SBCC, skill building, imparting benefits, recognising values
and norms.

Community Mobilization for Creating Awareness and Responsiveness Towards the Project

There are 4.7 million people across 93 municipalities in Kerala. 52 percent are women, 7 percent
are Scheduled Castes, 0.5 percent are Scheduled Tribes, 14 percent are Christian minorities. The
population in Kerala is well informed and responsive due to 100% literacy status. Despite literacy,
decentralization, political representation, awareness, mobilization, and social welfare
measures, breaking out of traditional stratification or access to social mobility remains
difficult due to intersectional vulnerabilities.

The TSC shall support ULB in Community mobilization for creating awareness and
responsiveness towards the project via stakeholder meetings, community gatherings, newspapers,
and social networking platforms and internet. HKS/Kudumbashree women and other SHGs can be
trained for community mobilization in local languages.

Sensitizing the key stakeholders on the project design and the components

The TSC shall identify the key stakeholders and support ULB in sensitizing them on the project
design and the components. The key stakeholders are mainly as shown in the figure. The SWM
Rules, 2016 direct ULBs to create public awareness through information, education, and
communication (IEC) campaigns and educate the waste generators to minimize waste and prohibit
littering. Municipal authorities shall organize awareness
generation programmes promoting segregation of waste and
recycling or reuse of segregated waste. The communities
shall be educated, informed, andtrained on waste
segregation. ULBs shall sensitize citizens to associated
environment and health hazards of improper waste
management. Further, the citizens shall be made aware of
the need to pay user fees or charges for ensuring
sustainability of the MSWM services.

Undertake free prior informed consultation in tribal hamlets

Free, Prior and Informed Consent (FPIC) is a specific right that pertains to indigenous peoples
like Tribal Hamlets and is recognized in the United Nations Declaration on the Rights of
Indigenous Peoples (UNDRIP). It allows the tribes to give or withhold consent to a project that
may affect them or their territories. Once they have given their consent, they can withdraw it at
any stage. Furthermore, FPIC enables them to negotiate the conditions under which the project
will be designed, implemented, monitored and evaluated. This is also embedded within the
universal right to self-determination. To obtain such consent from tribal hamlets, TSC shall
support ULB in undertaking consultation with tribal hamlets.
Facilitating peoples' participation in preparation of SWMP
The stakeholders are likely to include those affected by land acquisition and the host community
who will be close to the landfill sites. The Social Impact Assessment and consultation shall be
carried out for each sub-project to facilitate the peoples' participation in preparation of SWMP.
The Consultations shall be undertaken in each ULB with community through Ward Sabhas.
Household interviews and Focus Group Discussions with affected families, and formal meetings
with officials concerned shall be carried out in structured manner.

Build Consensus Among the Communities for Finalizing the 5-Year SWMP
SWM has a direct relation with the community and other waste generators. Due to the number of
institutions and stakeholders involved in SWM, it is important that the SWM plan, which aims to
bridge the gaps or improve the level of service, is developed through a consultative process.
Stakeholders' views, including their willingness to participate and get engaged for the service,
should be considered.

Public consultation for consensus building is typically a four-stage process of:

Discussions and surveys shall be conducted by TSC as required to prepare and finalize of the 5-
year SWMP.

Disclosing the SWMP in Public Places

The TSC shall support ULB in disclosing the SWMP in public places like bus stops, cinema
halls, restaurants, malls etc. by preparing posters as shown below and displaying on the walls or
placing placards at suitable places.

6.3 Development of Social Safeguard System

6.3.1 Objectives
To support the ULBs in:

(a) Pre-planning,
(b). Determining the scope of SIA as per screening of the sub-projects to prepare social risk
management plans such as Gender Aaction Pplan (GAP), Tribal dDevelopment Plan (TDP),
lLivelihood Aaction Pplan (LAP), Llabour Mmanagement Pplan (LMP) for each sub-project (if
required) in accordance with the Ccitizen Eengagement Pplan CEP) included in the TDF-SMF
for integration into Sub-Project DPR,

(c). Undertake Ssocial Mobilization for planning of sub-projects.

(d). Mobilize the host community to build consensus for the proposed sub-projects.

6.3.2 Approach and Methodology

ULBs in Kerala are home to groups like the poor and or slum dwellers, scheduled castes and
scheduled tribes, intra and inter-state migrants, unorganized labour, people with disabilities, and
elderly whose risk being left out of the project benefits. Despite decentralization, political
representation, awareness, mobilization, and social welfare measures, abjection continues to
acquire layer after layer because traditional structures and access to mobility are difficult to
break despite the emergence of a vibrant civil society. There are risks of exclusion from
accessing project information, exclusion from the planning process, exclusion from SWM
Services, exclusion form livelihood opportunities, exclusion from grievance mechanism

a. Pre - Planning Support

The TSC shall support ULB in baseline assessment, policy and institutional reforms, technical
aspects in plan and design of SWM sub-projects, developing organizational set up, engaging
stakeholders, development of Covid 19 SWM guidelines etc. These pre-planning aspects help
ULB in devising an efficient SWM.

b. Preparation of Social Risk Management Plans

The TSC will support ULBs in determining the scope of SIA as per screening of the sub-
projects to prepare social risk management plans.

c. Social Mobilisation

Social Mobilization is one of the key activities of the planning and implementation of sub-
projects. Support ULBs to undertake Ssocial Mobilization for planning of sub-projects.
Mobilization and awareness of stakeholders, local communities is necessary to mitigate ensure
that the environmental concerns of air, water and soil pollution can be handled effectively.

d. Host Community Mobilisation

Kerala has seen closure of many SWM projects due to public protests. In order to cease shall
efforts from the public, host communities where the sub-projects shall be established have
to be mobilized towards greater public interests and needs. The Technical Support
Consultant shall support ULBs to mobilize the host community to build consensus for the
proposed sub-projects.

6.4 Preparation of Social Impact Assessment Report (SIAR)

6.4.1 Objectives
i. To prepare the social impact assessment reportSIAR and the other relevant safeguard
instruments as per the TDF-SMF of KSWMP and based on the outcome of the social
screening of the sub-projects.
ii. To conduct Free Prior Informed Consultations with Tribals as per the Ccitizen
Eengagement Pplan (CEP) included in TDF-SMF.
iii. To prepare TDP-SMP (including Gender Action Plan, Livelihood Pplan, Labour
Management Plan,) as informed by SIA, as per TDF-SMF.
iv. To guide the DPMU and ULBs to produce disclose the Draft SIA and TDP-SMP to
consult with stakeholders before finalisation and re-disclosure.
v. To develop and link informal workers like ragpickers, HKS, Kudumbasree members, etc.
to in livelihood programs, so that ragpickers, HKS, Kudumbasree members, etc. they
have access to high-return entrepreneurial and income generation opportunities
beyondafar segregation and recycling.
vi. To coordinate with the revenue department for conducing SIA and preparation of RAP
for the sub-projects which involve land acquisition.

6.4.2 Approach and Methodology

Social Impact Assessment Report

Social assessment report shall be prepared as the sub-project is expected to

• Provide overall wellbeing of the population in the ULBs

• Enhance the value chain of SWM by selling best quality compost, RDF, biogas and
 lead to improved livelihood opportunities for service providers;
• Improve working conditions for service providers by providing PPEs and health care
systems
• Promote responsible behaviour in waste generators (households, hotels, institutions,
industries etc) to reduce the quantum of waste generated at the source
• Reduce the land required to process BDW and NBDW through decentralized
practices for waste minimization and diversion.

Conduct Free Prior Informed Consultations with Tribals indigenous peoples as per the CEP
citizen engagement plan

Tribals Indigenous peoples will largely benefit from the project; provided but it would be
important to ensure that they are ethnically included in the planning and implementation process
through culturally appropriate communication and engagement tools. On the negative side, there
is a risk of sites close to the tribal groups so the TDP will provide a negative list for safeguards.
Based on the impact on land and livelihood, the Operational Policy on Involuntary Resettlement
(4.12) is triggered. To assess such risks TSC shall support ULB toin Conduct Free Prior
Informed Consultations with Tribals - indigenous peoples as per the citizen engagement plan
CEP

Preparation of TDP-SMP

TDF-SMF will include the following aspects

• Project screening to identify social risks and impacts including sub-project specific risks
and impacts on tribals, indigenous peoples and EWS
• Social Impact Assessment based on identified risks and impacts and for preparation of
SMP/ TDP/ RAP,
• Citizen Engagement and stakeholder engagement plan to carry out Free Prior Informed
Consultation (FPIC) with indigenous peoples and EWStribals
• Awareness for social mobilization and , behaviour change communication (SBCC)
• Participatory planning, and monitoring,
• Strengthening local governance, accountability, transparency, and
• Efficient grievance management.
Guidance in disclosures

The TSC shall provide guidance to the DPMU and ULBs on ways and methods for disclosing the
Draft SIA and TDP-SMP in consultation with stakeholders

Linkage of informal workers

Informal workers that include rag pickers play an important, but usually unrecognised role in the
waste management system of ULBs. They collect garbage in search of recyclable items that can be
sold to scrap merchant like paper, plastic, tin etc. This activity requires no skills and is a source of
income for a growing number of urban poor people. The TSC shall help ULB in development and
linking informal workers into the SWM system and involve livelihood programs.

Revenue Department Co-ordination

The TSC shall coordinate with the revenue department for collecting information on the following
for conducing SIA and preparation of RAP:

• Census and baseline socio-economic survey of the potentially affected population

• Standard of living of Project Affected Persons (PAPs)

• Identify land for resettlement and the preferences of the PAPs for their relocation

6.5 Implementation of plans to comply with TDF-SMF

6.5.1 Objectives
To support in implementation of Social and Behaviour Change Communication Plan, Livelihood
Action Plan, Citizen Engagement Plan, Gender Action plan, preventive Gender Base Violence
Action plan, Tribal Development Plan, Capacity Building plan to comply with TDF-SMF and
based on the requirement as identified in the screening of the sub-project using the Social and
Tribal Screening Format (STSF) undertaken as part of sub activity 4.2.

6.5.2 Approach and Methodology

TSC will provide assistance to ULB in implementation of following plans to comply with TDF-
SMF and based on the requirement as identified in the screening of the sub-project:

 Social and Behavior Change Communication Plan

  Livelihood Action Plan

 Citizen Engagement Plan

 Gender Action plan

 Gender Base Violence Action plan

 Tribal Development Plan

 Capacity Building plan

Necessary field work, data collection, stake holder consultation and discussion with authorities will
be done and necessary reports for the above will be provided at appropriate times.

6.6 Support the Revenue Department in Implementation of RAP

6.6.1 Objectives
a. Jointly with Revenue Department, verify the project affected persons and update the database of the
eligible Project Affected Persons(PAPs).

b. Take into consideration the Social Impact Assessment database and RAP, prepared by District
Magistrate empanelled SIA consultants, and update the same with the verified information and data.

c. Support revenue department in consultation processes for negotiated purchase of land, disbursement
of compensation and entitlements.

d. Develop and implement livelihood plan for those dependent on land and may lose livelihood due to
land acquisition.

e. Identify resource persons/ training institutions to provide hands-on training to the PAPs on the
chosen livelihoods

f. Assist the PAPs to establish linkage with financial institutions for facilitating credit

g. Assist the PAPs to establish linkages with government departments, district administration to ensure
they have access to the on-going development programs.

6.6.2 Approach and Methodology

TSC shall support ULB in the following ways during project implementation phase.

The TSC shall identify and verify jointly with Revenue Department on the socio-economic
conditions of the Project Affected Persons (PAPs) in order to minimize negative impact due to the
sub-project and provide mitigate measures. The collected information shall be updated to the
project database.

Since the displacement is indispensable, rehabilitation need to be shall be done in such a manner
so that the standard of living of PAPs is restored.

Identification of Project Effected Persons (PAPs)

TSC shall support ULB in the following ways during project implementation phase.

The TSC shall identify and verify jointly with Revenue Department on the socio-economic
conditions of the Project Affected Persons (PAPs) in order to minimize negative impact due to the
sub-project and provide mitigate measures. The collected information shall be updated to the
project database.

Since the displacement is indispensable, rehabilitation need to be shall be done in such a manner so
that the standard of living of PAPs is restored.

Updation of SIA and RAP considerations

The TSC shall include appropriate considerations in the Social Impact Assessment database and
RAP. These may include rehabilitation measures to be taken up so that the standard of living of
PAPs is restored. Such considerations shall be updated to the project database.

Consultation Process

The TSC shall support in consultation processes with revenue department by emphazing the need
for information on the land records, socio-economic status of the population, natural habitat and
forest information.

Develop and Implement Livelihood Plan

Land parcels identified for SWM sub-project may adversely affect livelihood of the population that
dependent on that land. Hence the ULB is obligated to develop and implement alternative
livelihood plan such as basket making, toys making etc.
Identification of PAPs Training Resources

The TSC shall identify resource persons/ training institutions in providing hands-on training to the PAPs on
the chosen livelihood. This shall be done in consultation with ULB, HKS and Kudumbashree organizations
Identify resource persons/ training institutions to provide

Support in Review and Monitoring Project Implementation Phase

TSC shall support ULB in review and monitor of the following during project implementation phase

6.7 Contractor’s Environmental and Social Management Plan (CESMP)

6.7.1 Objectives
i. To review the Contractor’s Environmental and Social Management Plan (CESMP)
including it specific labour management plan prepared by the contractor and approved
by the SPMU/ DPMU.
ii. To monitor the implementation of labor laws, the compliance with the Labor laws
particularly in activities related to implementation of the sub-project.
iii. To assess the impacts of labor influx on the host community and monitor implementation
of mitigation action plan.
iv. To monitor the contractor’s implementation of GAP, GBV Plan and grievance redress for
the labor.
v. Monitor compliance complying with the Covid-19guidelines (if applicable)

6.7.2 Methods
The TSC shall review the approved CESMP periodically and update it to the project database in
a timely manner, as required. The review process shall that it the CESMP contains measures
appropriate to the sub-project works activities to be undertaken which typically include:

• Construction activities like excavation, earth works, SWM facility structure works, brick work,
and concrete batching etc
• Management Activities which include contractor management plan, labour management plan,
Operational Health and Safety measures etc.

• Monitoring activities which include monthly environmental monitoring and project

performance activities

Labor Laws

The TSC shall support ULB in review and monitor the implementation of applicable labor laws
to ensure:

• Harassment-free work environment to the labor

• No discrimination will be practiced in any form

• Fulfilment of all applicable legal EHS requirements

• Timely payment to the employees at least the minimum wage and applicable overtime wages as
defined by national laws or any applicable collective agreements

Labor Influx

Labor influx means rapid migration to and settlement of workers in the project area in
circumstances where labor/ skills required for a project are not available locally. The host
community is likely to be affected by the influx on labor during construction and implementation
of the SWM sub-projects. Some of the key impacts include:

• Environmental

• Economic and livelihood strategies

• Pressure on infrastructure, services and utilites

• Health

• Social and community well being

The TSC shall assess and provide careful consideration in every case to understand the drivers
that influence influx on the host community and suggest appropriate measures.
Covid-19 Guidelines

The TSC shall support ULB in monitoring the implementation of project in compliance with the
Covid19 guidelines. These include:

 Timely vaccination and periodic health check-up

• Wearing masks

• Maintaining social distancing

• Washing hands frequently Hand washing scientifically

• Observing respiratory etiquette

• Sanitizing the workplaces frequently

6.8 Data requirements and Data Collected

The secondary data available in the reliable sources; not limited to the published documents
of GoI, GoK, WB or ………..entities. adding to the verdicts, policies, enforcement and instructions
by the Magisterial end

6.9 Capacity Building

6.10Links with other tasks

6.11 Contribution to Project deliverables

Deliverable: D-9 Submission of Social Impact Assessment Report

Deliverable: D-10 Submission of Resettlement Action Plan

Deliverable: D-11 Submission of Gender Action Plan

Deliverable: D-12 Submission of Livelihood Plan

6.12 Detailed work plan