DECENTRALISATION

A DECADE OF KERALA
EXPERIENCE

by
S.M.VIJAYANAND IAS
PRINCIPAL SECRETARY(LOCAL SELF GOVERNMENT)
GOVERNMENT OF KERALA
APPROACH
 Decentralization as humanizing State and
not rolling back State
 “Big Bang”
• Massive transfer of functions, functionaries and
funds in a space of ten months
 Reversals
• Giving responsibilities and then building
capacity
• Giving powers and then setting up systems
• Transferring resources and then putting in
place accountability arrangements
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APPROACH (Contd..)
 Learning by doing
• Capacity cannot be created ‘in vacuo’

 Campaign to set the agenda and instil enthusiasm

 Planning as entry point
Methodology developed after field trials in Kalliasseri

 Continuous refining
 Activist facilitation
• Learning from mistakes
• Adhoc systems
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APPROACH (Contd..)
 Fast track response system

 Phases of experimentation, correction,

stabilization and institutionalization

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FIRST STEPS

A. RESPONSIBILITIES TRANSFERRED

 Principles adopted
• Subsidiarity
• Service area
• Level of technical complexity
• Level of capacity
• Potential for participation and responsiveness

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A. RESPONSIBILITIES TRANSFERRED (Contd…)
 Roads
• Village Roads and other District Roads
(District Panchayat)
• Roads connecting two villages
(Block Panchayat)
• Minor Local roads (Village Panchayat)
 Irrigation (about 75%)– all tiers
 Water supply (about 50%) all tiers
 Electrification – all tiers
 Street lighting – Village Panchayats
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A. RESPONSIBILITIES TRANSFERRED (Contd…)
 Human Development
• Education
o Primary Education – Village Panchayats
o Secondary Education- District Panchayats

• Health
o Primary Health – Village Panchayats
o First referral unit – Block Panchayat
o Secondary Health – District Panchayats
• ICDS – Village Panchayats
• Welfare Pensions – Village Panchayats
• Women & Child Development(90%) – All tiers
• SCP (2/3rd) – All tiers (60-20-20)
• TSP (50%) – All tiers (50-20-30) 7
A. RESPONSIBILITIES TRANSFERRED
(Contd…)
 Economic Development
• Agriculture & allied sectors (75%) – All tiers (75 – 15 – 15)
• Traditional & local industries (50%)–All tiers (75 – 15 – 15)
• Poverty reduction (90%) – All tiers

 Absolute clarity in respect of infrastructure –

good degree of clarity in respect of services and

overlaps and blurring in respect of economic
development (except poverty reduction)

 Responsibilities indicated in the Panchayat Raj Act itself

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 B. TRANSFER OF STAFF
 No net addition to staff due to
decentralization
 Principle of “work and worker going
together”

 Cadres undisturbed – a compromise

 Recruitment by Public Service Commission

 Salaries by Government
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B. TRANSFER OF STAFF (contd..)
 Placement by Departments
 Functional and disciplinary control (up to minor
punishment) by PRIs
• Assigning work
• Reporting requirements
• Review/inspections
• Financial relationship
 Dual control
 Deployment of surplus staff
• Ministerial
• Engineering
 LSGD Engineering Wing
 Towards LSGD Ministerial and Executive Cadre
Issue of CEO
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PEOPLE’s CAMPAIGN
 Mobilization of stakeholders, elected members,
officials, political parties, employees organizations
and trade unions, academic and R & D institutions,
Civil Society groups, religious leaders, media

 Mobilization of Volunteer Technical Corps from

professionals - through individual letters written by
Late Shri E.M. S. Namboodiripad

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PEOPLE’s CAMPAIGN (Contd..)
 High Level Guidance Committee
 Resource persons – about 600 Key Resource persons at State
level, 1,400 District Resource persons and 1,00,000 Local
Resource persons at Village Panchayat level
 Interactive sessions with PRI leaders by Minister, Planning
Board Members and Secretary
 Full page press features on essential principles and procedures
• Non-propagandist
 State Planning Board given the nodal role assisted by a Cell of
committed individuals from different walks of life

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STEPS IN THE PLANNING PROCESS
 Needs Assessment
• Through Stakeholder consultations
• Through Grama Sabhas
o Publicity through Kudumbashree network and
Schools
o Facilitators
o Semi-structured questionnaire
o Breakout groups
o Recording of discussions
o Electing convener for each Grama Sabha
o Official as co-ordinator
• Grama Sabha equivalent for Block & District Panchayats
o Consisting of elected members of lower tiers 13
STEPS IN THE PLANNING PROCESS (contd..)
 Situation analysis through Development Reports
prepared once in five years
• Instructions on preparation
Available data provided through KILA
• Data sources intimated
• PRA undertaken
• Drafting Committees for each Panchayat
• Support team at District level

 Strategy setting through Development Seminars

• Consisting of various stakeholders (about 200 to 500 in

number)
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STEPS IN THE PLANNING PROCESS (contd..)
 Priority setting and Resource allocation- By elected bodies

 Projectisation - By multi-disciplinary Working Groups

• Headed by elected Members

• Convened by official concerned
• An expert as an expert Vice Chairman
• Expert members drawn from civil society, primary
stakeholders and professionals in the sector
• At least 14 Working Groups for each PRI
• Project Forms centrally prescribed – to be computerised in
the XIth Plan and electronic copies given 15
STEPS IN THE PLANNING PROCESS (contd..)

 Plan Finalization - By elected bodies

 Plan document preparation
• Consisting of following chapters

1. Development scenario of the local government

2. Efforts during the past ten years
3. Success and failures
4. Physical and Financial achievements and outcomes in
the Ninth and Tenth Plan
5. Strategic vision of the local government
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STEPS IN THE PLANNING PROCESS (contd..)

6. Summary of possible projects sector wise within each sector

giving the existing scenario, the intended scenario, size of
the gap and the intended phases of filling up of the gaps
with monitorable targets - separately for Plan and
Maintenance plan

7. Allocation of resources sub-sector-wise

a. From Development Fund
b. From Maintenance Fund
c. From Own Revenue and General Purpose Fund
d. From credit
e. From people's contribution

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STEPS IN THE PLANNING PROCESS (contd..)

8. Write up on Anti-poverty Sub Plan and Destitute Plan, Women

Component Plan, Plan for Special Groups and Special Component
Plan and Governance Plan - only very brief summaries
9. Maintenance Plan (summary only)
10. Write up on credit linkages
11. Write up on integration
12. Write up on monitoring arrangements intended

• The Anti Poverty Sub Plan, Governance Plan,

Maintenance Plan and wherever applicable, the Tribal
Sub Plan are separate documents where full details
would be presented.
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STEPS IN THE PLANNING PROCESS (contd..)

 Vetting of Plans
By multi-disciplinary Technical Advisory
Groups with expert members drawn from
within and outside government

 Approval by DPC
Issue of PRI-wise proceedings

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SPECIAL FEATURES
 Specifications on sectoral allocations
• 40% for productive sector
• Not more than 20% for infrastructure
 Social justice allocations
• 10% for women
• 5% for children, aged and disabled
 Anti-poverty sub plan
• Local plan on family-based needs by Neighbourhood
Groups of poor women.
• Ward level plan for basic minimum needs by Area
Development Societies – (ADSs) (federation of NHGs)
• Village Panchayat level plan adding human and
economic development proposals by Community
Development Society (CDS) – (a network of ADSs) 20
 SPECIAL FEATURES (contd..)

 Asraya for the destitutes (1 ½ to 2% of

the population)

• Criteria based identification

• Preparation of plans for each family
• Convergence of services and resources

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SPECIAL FEATURES (contd..)
 Special Component Plan
• Based on survey of every SC habitat
• Involvement of social animators from the community
 Tribal Sub Plan
• Hamlet based data base
• Full powers to hamlet assembly
• Involvement of social animators from the community
 Gender Plan
• Conduct of “Status of Women” studies
 Plan for special groups – children, aged, disabled
• Conduct of status studies
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SPECIAL FEATURES (contd..)
 Sectoral Plans
• Health
• Education
• ICDS
• Water Supply
• Energy
• Sanitation
 Infrastructure Plans
• Connectivity
• Sports
 Asset Management Plans
• For maintenance of assets
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SPECIAL FEATURES (contd..)
 Governance Plan
• Improving account keeping and office management
• Service Delivery Plans
o Human Development Services
 Health, Education & Child development
o Civic Services
 Water, Sanitation, Lighting
o Welfare Services
 Pensions
• Governance Services
o Certificates
o Licenses

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DISTRICT PLANNING
 Multi-level, iterative process
eg. Health
 Spatial Plan
• Connectivity network
• Play grounds
• Service area and utilities
• Economic development patterns
 Visioning
• Consultation right from Village Panchayats
 Preparation of District Development Report

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 DISTRICT PLANNING (contd..)
 Approach
• Gap filling for infrastructure and facilities
• Problem solving in social and service sectors
• Realising potential in productive sectors
 Local freedom within consensual district level
approach
 Expert institutional support for identifying key
issues
• R&D institutions
• Academic institutions
 Universities, Medical Colleges, Technical Institutions
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COMPONENTS OF THE DISTRICT PLAN

 Local Plans for Development Funds

 Local Plans for CSS
 Plan for Maintenance Funds
 Reckoning and positioning of State Plan Schemes
 Suggestions for future State Plan Schemes

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SUPPORT SYSTEMS

 Working Group
• Multi-disciplinary
o Elected leader – Chairperson
o Official – Convener
o Beneficiary
o Professional
o Activists

• Multiple perspectives
“Quin-angulation”

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SUPPORT SYSTEMS (contd..)

 Working Group (contd.)

•Draft discussion paper by Convenor
•Evaluation of experience so far
•Consultation with stakeholders
•Analysis of data
•Determination of gaps,shortcomings, problems and
potential
•Listing of strategic options
•Listing of project options and suggesting priorities
•Projectisation after clearance by elected body.

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SUPPORT SYSTEMS (contd..)
 Technical Advisory Group
• Multi-disciplinary
• Set up by DPC
• Vetting of Plans
 District Planning Committees
• District Panchayat President is head District Collector as
Member Secretary and respected expert is government
nominee. All district level officers are Joint Secretaries.
• Technical Secretariat consisting of Planning, Statistical
and Town & Country Planning Departments
• Plan Coordination group under nominated expert
member
• Sectoral Resource Groups
• Resource Team for preparation of Development report
• Technical Advisory Groups for vetting of plans. 30
SUPPORT SYSTEMS (contd..)
 District Planning Committee
 Preparation of position papers especially on Local Economic
Development, Special Component Plan, Tribal Sub Plan,
Health and Education
 Facilitating integration and convergence

• Integration of services
• Integration of resources
Decentralized plan
Credit plan
People’s plan
• Sectoral integration
• Cross-sectoral integration
• Horizontal integration
• Vertical Integration
• Spatial integration

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SUPPORT SYSTEMS (contd..)
 Co-ordinators at Block and District levels
 Coordination Committee
• Headed by M (LSG) with M(Fin), Principal Secretary
(LSG), Principal Secretary (Fin), Secretary (Plg.)
and key HODs as members for fast track online
response and trouble shooting
 State level Guidance Cell
 Local Government Associations
• For policy consultation
• For collective action

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CAPACITY BUILDING

 Detailed plan guidelines

 Direct explanation to elected heads and key
officials by Minister, Principal Secretary and
Planning Board Members
 Freedom to access capacity
• From non-government experts and civil society
activists
• From institutions
• From accredited NGOs

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 CAPACITY BUILDING (contd..)
 Key role of KILA
• District outreach centres
• Trainers on call in all districts
• Training Advisory Council under DPC
• Training as per clear action plan
• Handbooks on all development sectors
• Design of Plan formats
• Help desk
• Tool kits
o Preparation of working group reports
o Conduct of Grama Sabhas
o Conduct of Development Seminar
o Preparation of development report
o Preparation of district plan
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ROLE OF SHG NETWORK IN DECENTRALIZATION
 Provides participation in Grama Sabhas and protects
interests of the poor
 Facilitates participatory planning of Anti Poverty programmes
 Serves as an extension mechanism
 Facilitates improved access to public services
 Allows community contracting
 Enhances capabilities for accessing economic development
opportunities
 Enables community based monitoring
 Contributes to local government leadership

IF CONSCIOUSLY STRUCTURED SHGS OF THE POOR CAN FURTHER

DEMOCRATISE DECENTRALISATION AND STRENGTHEN LOCAL GOVERNMENTS
INSTEAD OF WEAKENING THEM AS PARALLEL BODIES.

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ASSESSMENT OF PERFORMANCE
 Equitable flow of funds to all regions
 Pro-poor expenditure
• Impressive creation of minimum needs infrastructure
 Substantial improvement in public service infrastructure
• Anganwadis, Schools, Hospitals
But management of professionals needs to improve

 Good practices in most development sectors

 Impressive mobilisation of contribution from the community

• Free surrender of land
• Cost sharing (10% for water supply and irrigation)
• Full responsibility of O & M
but tax collection not impressive

 Enhanced public participation

but participation of better off people quite weak
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ASSESSMENT OF PERFORMANCE (contd..)

 Improved targetting
• yet the destitutes did not gain proportionately
 Improved capacity of elected leaders
• but official capacity still weak
 Enhanced transparency
• but corruption still prevalent though at reduced levels
 Good response to developmental needs
• but thin spread of resources
 Delay in setting up appropriate support systems
• Public Works execution
• Procurement
• Accounting and reporting
• Monitoring
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LESSONS FROM KERALA EXPERIENCE
 Rapid decentralization has several advantages
• Speed of the operation diminishes opposition
• Once given responsibilities Local Governments are forced to
perform
• Pressure on Government to ensure that decentralization
succeeds
 Decentralization is not a one-off action
• Requires continuous effort by Government
 Need for transferring untied resources in a fair, transparent and
equitable manner
 Lessons related to planning
• To start with, plans emerging out of negotiated priorities and
then to data-based analysis
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LESSONS FROM KERALA EXPERIENCE (Contd..)
 Lessons related to planning (contd..)

• Plan for assured resources

• Development Reports and Vision Documents are useful
• Go in for Local Governments’ plans consolidated into District Plans –
mechanically in the beginning then organically on gaining experience
and finally to District Planning
• Multi-disciplinary, multi-stakeholder teams can assist in plan
preparation
• Give representation to Village and Intermediate Panchayats in DPCs as
invitees
• President of District Panchayat as head of DPC, expert as Government
nominee, District Collector as Member Secretary and District-level
officer as Joint Secretary – a viable combination
• Move from annual plans to five year plans
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LESSONS FROM KERALA EXPERIENCE (Contd..)

 Potential for development reforms, fiscal reforms

and governance reforms through decentralisation
 Empowerment of weaker sections possible
through a right mix of policies and strategies
 Once decentralization stabilizes elected
representatives become a powerful force capable
of preventing roll back

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THANK
YOU
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