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GOVERNMENT OF KERALA

No. RKI1/1/2020-PLGEA Planning and Economic Affairs (RKI) Department,

Thiruvananthapuram,
Dated:24/03/2020.

CIRCULAR

Sub: - Rebuild Kerala Initiative (RKI)- Project Appraisal Guidelines- issue of- reg.

Ref: - 1. G.O. (P) No.16/2018/P&EA dated 09/11/2018.

2. Minutes of the 8th HLEC meeting dated 29/01/2020.

Government have formed the Rebuild Kerala Initiative (RKI) for the green and
resilient rebuilding of the state on the backdrop of the devastating floods of 2018.
The RKI is the dedicated State-level institutional modality for formulating and
coordinating the implementation of a resilient Kerala, and is mandated to develop,
coordinate, facilitate and monitor the Rebuild Kerala Development Programme
(RKDP). RKDP envisages a sector-based as well as cross-cutting approach in
policy formulation, institutional arrangements, prioritized projects etc. for an effective
and efficient rebuilding of the state. It also offers the design blueprint for a new
development thinking for our State, one that is embedded in the principles of
sustainability, equity, inclusiveness and effectiveness.
For the projects which have to facilitated through the RKI, the departments
must submit a project proposal to the RKI-Implementation Committee (RKI-IC) for its
review and subsequent submission to the High-Level Empowered Committee
(HLEC) for its approval. In line with the principles underlying RKDP, the RKI has
formulated a detailed 'Project Appraisal Guidelines of RKI' for evaluating the
projects that are placed before its consideration. These guidelines emphasize on the
adherence to the operational strategies and core principles of RKI, the expected
contents of the project proposals submitted to RKI-IC, the requirement for a DPR,
and a checklist which is required to be appended with the proposals.
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All departments concerned are hereby requested that project proposals that
are to be submitted to the RKI may henceforth be in consonance with the Project
Appraisal Guidelines, as annexed to this circular.
K. SUNIL KUMAR
JOINT SECRETARY
To:
All Additional Chief Secretaries/ Principal Secretaries/ Secretaries.
All Heads of Departments.
All Departments in Government Secretariat.
I&PR (Web & New Media) Department (for publishing in Government website.)

Forwarded / By order,

Section Officer
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Project Appraisal Guidelines

THE REBUILD KERALA INITIATIVE (RKI)

Following the floods of 2018, the Government of Kerala identified the need to go beyond traditional
approaches to recovery and reconstruction, to not only recover fully from the floods but also to build
resilience to future disasters. The Rebuild Kerala Initiative (RKI) was established to drive the State
towards resilience and risk-informed disaster preparedness. The RKI is the dedicated State-level
institutional modality for formulating and coordinating the implementation of a resilient Kerala, and is
mandated to develop, coordinate, facilitate and monitor the Rebuild Kerala Development Programme
through a participatory and inclusive process.
The Rebuild Kerala Development Program (RKDP) outlines a roadmap for realizing a Nava Keralam
that is more resilient, green, inclusive and vibrant. The RKDP offers a paradigm shift in the approach to
towards post-disaster recovery, rebuilding and resilience. It also offers the design blueprint for a new
development thinking for our State, one that is embedded in the principles of sustainability, equity,
inclusiveness and effectiveness.

For the projects which have to facilitated through the RKI, the nodal implementation agency must submit
a project proposal to the RKI-IC for its review and subsequent submission to the High Level Empowered
Committee (HLEC) for its approval. The following sections describe the guidelines for appraisal of
projects by the RKI.

Section 1 – Consideration of the operational strategies and guiding

principles of the Rebuild Kerala Initiative (RKI)

1.1. The Government of Kerala is of the resolve that it is not enough that the State merely undertakes
a rehabilitation and restoration plan in the aftermath of the floods, and there should be consistent
and collaborative efforts to rebuild the State to ensure better standards of living for all sections of
the society. In this context, operational strategies and guiding principles have been established to
ensure sustained comprehensive efforts of the RKI to develop a disaster-resilient State which is
better-prepared to face future disasters.

1.2. The projects proposed to be facilitated through the RKI, must consider the operational strategies of
RKI1, especially the following:-
• Adoption of higher standards of infrastructure in repair and reconstruction
• Building ecological safeguards and standards into structures that will be constructed to equip
new and restored assets to better withstand the onslaught of future disasters
• Redesigning infrastructure from the point of view of resilience and sustainability
• Substitution of conventional methods and technologies with alternate methods which are more
cost-effective, less resource-intensive and give greater value for money

1.3. The projects proposed to be facilitated through the RKI, must consider the following core principles 2
which are the basis of planning and implementing the various packages under the RKI:-

1
For additional details on the operational strategies of the RKI, the G.O.(P) No. 16/2018/P&EA may be referred to.
2
For additional details on the core principles underlying the RKI, the G.O.(P) No. 16/2018/P&EA may be referred to.
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• Fast, efficient and inclusive

• Improving resilience
• Build-back-better philosophy
• Innovative and modern technologies
• Fair and equitable rehabilitation practices
• Capacity building
• Building asset management frameworks
• Simplification of processes and procedures
The core principles underlying the RKI have been detailed out in Annex-1A

Section 2 – Submission of Project Proposal

2.1. For the projects which have to facilitated through the RKI, the nodal implementation agency must
submit a project proposal to the RKI-IC for review and subsequent submission to the High-Level
Empowered Committee (HLEC) for its approval

2.2. The project proposal must be appended with a duly filled Project Appraisal Form (template enclosed
as Annex – 2A)

2.3. The project proposal should capture all the details required to support the RKI to confirm the
alignment of the proposed project to the principles of the RKI as well as to recommend the project
for HLEC’s approval. A suggestive (inclusive and not exhaustive) list of contents is as follows:-
• Details of all the agencies involved in project implementation and their roles and responsibilities
• Project location(s) and target beneficiaries
• The intended outputs and impact of the project
• Detailed plan for implementation of the various interventions under the project
• Plan for convergence with other Departments, agencies and/or schemes to optimise benefits
and subsidies
• Details of national and international best practices adopted
• Detailed cost estimates for the different interventions, components and/or activities planned
under the project, with a clear indication of the proportion of costs to be incurred by RKI and
the proportion of expenses to be met from other sources
• A revenue model with clear indication of the revenue streams and year-on-year revenue
generation
• A SWOT analysis of the strengths, weaknesses, opportunities and threats of the project
• Analysis of environmental impact of the proposed project, with clear indication of the
environment safeguards which will be put in place
• Analysis of the technology requirements and risks
• Analysis of legal issues, if any, which are relevant to the implementation of the proposed project
• A plan for sustainability and continued operation beyond the project period
• Industry analysis and trends, if applicable
• Strategies for appropriate positioning, promotion, pricing and marketing of products/services, if
applicable
• Manpower requirements (full-time/part-time) and strategies for training and capacity building, if
applicable
• Alternate proposal(s)/ implementation modalities considered to establish value for money, to
justify that other implementation options have been considered to ensure that the
implementation model of the proposed project generates the maximum value for the funds
invested.
• Any other relevant details specific to the project
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2.4. The prospects for utilization of existing infrastructure should be carefully studied and examined,
prior to proposing the establishment of new infrastructure in the project.

2.5. A review of the requirement for and status of technical studies and assessments (for eg:-
hydrological studies) and/or establishment of databases and MIS must be conducted to enable a
critical alignment of the timelines of the various interventions of the proposed project, to ensure
evidence-based planning and decision-making.

2.6. If the proposed project involves augmentation of an ongoing project/scheme/intervention with

specific features or components which shall enhance disaster resilience, the project proposal
should make special mention of such components as well as the funding support expected to be
availed under the RKI for incorporation of such components

2.7. If the proposed project was earlier proposed for funding by the State Planning Board and not
approved, the reasons provided for non-approval should be provided. Similarly, if the project was
proposed for funding by any other Department and/or for budgetary support under any alternate
projects/schemes or any other sources, the project proposal should mention these sources and
also the outcomes of such consideration, as well as the remarks/comments of the agency which
was responsible for review, approval and/or consideration of the project.

2.8. In order to facilitate a detailed review of project proposals by the RKI-IC prior to placing before the
HLEC for its approval, it should be ensured that project proposals are submitted to RKI atleast 7
working days in advance to the HLEC meeting. Any proposal which is not submitted within this
timeline will be taken up for consideration in the next/subsequent HLEC.

Section 3 – Submission of Detailed Project Report (DPR)

3.1. If additional information is required in support of the proposal by the RKI-IC to submit its review
comments to the HLEC, the RKI-IC may request for the submission of a DPR which shall
comprehensively capture details of the proposed interventions, management and organizational
structures, activities and resources, project economics, feasibility and sustainability. The DPR shall
serve as a blue print for the execution and eventual operation of the project.
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Annex – 1A: The Core Principles of RKI

Sl. The Core Key Elements

No Principles of
RKI
1 Fast, Efficient, • Reconstruction needs to be strong, so that assets and livelihoods
and Inclusive become less vulnerable to future shocks; efficient, so that both men and
women can get back to their normal life fast; and inclusive, so that all
citizens, including members of disadvantaged communities, participate
fully in the efforts and are not left behind anyway

2 Improving • RKI will focus on building assets that are more resilient to natural
Resilience calamities like floods, approaches in this direction will comprise of
elevating flood-prone road sections, drainage improvement, slope
stabilization, landslide protection, and bioengineering techniques,
incorporating cost effective disaster- resilient principles will improve the
long-term sustainability of the reconstructed critical public infrastructure.
The efforts under RKI for rehabilitation will be based upon structural
assessments, geological and hydrological surveys and a range of
improved technical measures. Modifications to current designs and
structures will be encouraged if these lead to enhanced resilience and
durability. Efforts will be made to use methodologies based on organic
architecture to foster harmony between human habitation being settled
and the natural world

3 Build-back- • The RKI will adopt a ‘build-back-better’ approach, backed by sound

better engineering designs, adequate drainage, and greening approaches to
philosophy enhance resilience. Build- back-better principles will be in general,
include improvement designs, sizing, siting, and orientation, with due
recognition of affordability and technical viability constraints. Where
relevant, poor existing geometrics of roads and canals must be
improved, and new/ additional cross-drainage structures as well as
arrangements for surface drainage and wider waterways are selected
vulnerable locations must be provided.

4 Innovative and • The RKI should be used as an opportunity to adopt or switch to practices
modern that are more efficient, less resource intense and more environment
Technologies friendly. For instance, road rehabilitation should choose between a
variety of pavement designs. RKI will have to weigh between several
available options in arrange of alternative surfacing and paving
technologies based on availability of local resources, geography (floods
and landslide risk, steep terrain) and traffic volumes. Some of these
options may have a higher initial investment cost, but over the whole life
cycle of the road, they will prove more durable and will need less
maintenance and repair. Resilience will be potentially improved through
innovative technologies which will extend road durability and reduce life
cycle coasts
• Adoption of new/latest technology shall be a key driver of the process
and this will ensure that new projects undertaken are state -of-the-art.
The implementation of smart technologies in utilities, early warning
systems, setting up predictive tools in disaster management, improved
technology solutions for relief work, designing evacuation plans etc., will
improve the overall responsiveness of the state to tackle any such
disaster in future and improve the efficiency of delivery of civic service
during such catastrophes
• Special focus should be given for building vast depositaries of data both
local, regional relating to weather, rainwater analysis, soil data for
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designing robust and sustainable systems for disaster management. Use

of data analytics in systems planning and implementation and induction
of modern technologies (e.g. IoT) will be a common thread in the
establishing improved disaster management and surveillance
mechanisms

5 Fair and • Resettlement and Rehabilitation plans should be based on the best fair
Equitable practices. In each case where resettlement/rehabilitation must be done,
Rehabilitation a Resettlement and Rehabilitation plan must be drawn up for the Project
Practices Affected People (PAP) and the Project Affected Household (PAH) after
assessing the category of impacts together with socioeconomic
conditions on the PAP and PAH and host communities, estimated cost
of resettlement and draw up a time -bound action for implementation

6 Capacity • Durability and resilience can be increased only if technical and

Building operational capacity of implementing agencies is adequate. Under RKI
planned programs will be undertaken to enhance capacity of institutions
and agencies under Government through training and support of
technical laboratories and quality control. based on adoption of
international good practice.
7 Building Asset • Ensuring the sustainability of public investment through sound public
Maintenance asset maintenance practice is challenging across countries. Road
Frameworks maintenance is a common challenge for most governments because of
limited resources, the possibility of creating local responsibility for asset
maintenance, by adopting a community-based approach to routine
maintenance of public assets which has been successfully implemented
in other countries, will be explored.
8 Simplification • A rebuilding exercise of this magnitude requires nimbleness in decision
of Processes making. At the same checks and balances are to be in place to ensure
and transparency and prudence in spending. The clearances and
Procedures permissions that are required for the project may be given at the
appropriate levels as explained in the institutional arrangements
discussed below in this proposal.
• Improved practices may be incorporated into the procurement guidelines
in RKI. Reconstruction of infrastructure systems, consequent to disasters
and post war like situations needs strategies different from conventional
public work execution methodologies. In such circumstances, it may be
difficult to wait for the completion of entire planning and design for
initiating the actual construction activities considering the limited time
frame available for completion of such projects. Mode of procurement
and contracting systems are also to be suitably modified to meet the
specific requirements like faster construction, least disturbance to the
damaged environment, and efficient utilization of natural resources,
while ensuring transparency and efficiency.
• Integrated Concurrent Engineering (ICE) and Execution methodologies
as being followed by EPC organizations are among various options to
meet the above objective. The agencies awarded with such works shall
be permitted to adopt techniques and methodologies in planning and
design based on acceptable national/international
standards/specifications suited to Kerala conditions. They may choose
appropriate designs, technologies and practices from basket of
acceptable options (which may be short listed with the help of experts in
related fields)
• Eventually as the RKI progresses, good models will evolve and be a
legacy for improving the process of governance specially for
infrastructure construction and disaster management. Processes and
Procedures which have been tried out successfully under RKI can be
subsequently incorporated into Government practices, rules and
procedures
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Annex – 2A: The Project Appraisal Form of RKI

Project Appraisal Form

THE REBUILD KERALA INITIATIVE (RKI)

Section A – General Information

A1. Title of the Project :

A2. Nodal agency for :
project implementation
A3. Project Geography :
A4. Project Duration :
A5. Expected outcomes :
of the project
A6. Total Project Cost :
A7. Project Cost to be :
incurred by RKI
A8. Number of Project :
Beneficiaries

[Note: If the number of

project beneficiaries cannot
be directly quantified,
please provide details of
any other relevant units
and/or parameters which
can be quantified]

Section B – Alignment to RKDP sectors

B1. Select the RKDP sector(s) to Integrated Water Forestry
which the proposed project is Resource
aligned to? Management
Water Supply Agriculture

Sanitation Animal Husbandry

and Dairy
Development
Urban Fisheries

Roads and Bridges Livelihoods

Transportation Land

Others

If ‘Others’, please specify _______________________

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B2. Select the RKDP cross-cutting Disaster Risk Strengthening

foundational elements to which Management and Institutional
the proposed project is aligned Resilience Efficiency and
to? Resilience
Environment and Open Data
Climate Changes

Section C – Alignment to Core Principles of RKI

Note: Please utilize this section to justify the alignment of the proposed project to the core principles of
the RKI. Please mention ‘Not Applicable’ or ‘N/A’ if a core principle is not relevant and/or not applicable
to the proposed project.

C1. Core Principle 1: Fast, Efficient, and Inclusive

C1.1 Please explain how the assets
and livelihoods created and/or
strengthened within the proposed
project will be less vulnerable to
future shocks and calamities.

C1.2 Please explain how the proposed

project will support the affected
people to get back to their normal
life fast

C1.3 Please explain how the proposed

project will be inclusive i.e. it
contributes to the upliftment of
disadvantaged groups, vulnerable
sections, and backward and
marginalized communities

C2. Core Principle 2: Improving Resilience

C2.1 Please explain how the proposed
project will build assets that are
more resilient to natural
calamities. What are the
approaches which will be adopted
to ensure greater disaster
resilience of assets?

[Select examples of approaches

which can be adopted for disaster
resilience – (i) geological and
hydrological studies, (ii) technical
and/or structural assessments, (iii)
elevating flood-prone road sections,
(iv) drainage improvement, (v) slope
stabilization, (vi) landslide protection,
(vii) bioengineering techniques, (viii)
structural assessments, improvement
in design, etc]
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C3. Core Principle 3: Build-back-better philosophy

C3.1 The RKI aims to ‘Build Back
Better’ to ensure that the post-
disaster reconstruction and
recovery efforts include new
ideas, technologies and methods
to improve on pre-disaster
conditions. Please explain how
the proposed project will improve
on pre-disaster conditions and
support to ‘build back better’.

[Select examples of approaches

which can be adopted for ‘building
back better’ – (i) sound engineering
designs, (ii) adequate drainage, (iii)
greening approaches to enhance
resilience, (iv) improvement designs,
sizing, siting, and orientation, (v)
improvement in poor existing
geometrics of roads and canals, (vi)
new/ additional cross-drainage
structures and arrangements for
surface drainage and wider
waterways, etc]

C3.2 Please provide details of the

constraints and limitations which
have been considered in the
Build-Back-Better approaches
mentioned in your response to
C3.1.

[Select examples of constraints are

(i) affordability, (ii) technical viability,
(iii) operational difficulties, etc]

C4. Core Principle 4: Innovative and modern Technologies

C4.1 Please explain how the proposed
project uses new, innovative and
modern technology to ensure
greater efficiency, lesser
resource-intensiveness, improved
resilience, improved
environmental friendliness, and
better durability.

C4.2 Please provide details of the

constraints and limitations which
have been considered in the use
of technologies mentioned in your
response to C4.1.

[Select examples of constraints are

(i) affordability, (ii) technical viability,
(iii) operational difficulties, etc]

C4.3 Please explain how the proposed

project will build databases
and/or a repository of data, and
will use data analytics for
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ensuring evidence-based
planning and decision-making
regarding disaster resilience and
surveillance mechanisms

C5. Core Principle 5: Fair and Equitable Rehabilitation Practices

C5.1 If the proposed project involves
resettlement and rehabilitation,
please explain how national and
international best practices have
been considered in preparing the
resettlement and rehabilitation
plans.

C5.2 If the proposed project involves

resettlement and rehabilitation,
please list the key considerations
which have been made while
drafting the Resettlement and
Rehabilitation Plan for the Project
Affected People (PAP) and the
Project Affected Household
(PAH).

[Select examples for considerations

which are to be made while preparing
Resettlement and Rehabilitation
Plans – (i) Socioeconomic conditions
of PAP and PAH, (ii) Impact of
resettlement, (iii) Estimated costs of
resettlement, (iv) Activities and
timelines]
C6. Core Principle 6: Capacity Building
C6.1 Please provide information on the
adequacy of the technical and
operational capacities of the
implementing agencies of the
proposed project. What are the
training and capacity building
programs planned to be
undertaken for the associated
personnel to ensure that they
have the capacity to effectively
and efficiently implement the
proposed project?

C7. Core Principle 7: Building Asset Maintenance Frameworks

C7.1 Please provide details of how the
proposed project proposes the
establishment of frameworks,
guidelines and/or systems for
maintenance of assets, so as to
ensure the sustainability of public
investment which has been made
on these assets.
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C7.2 Please explain the year-on-year

practices and frameworks which
will be used to ensure sustainable
maintenance of assets.

C8. Core Principle 8: Simplification of Processes and Procedures

C8.1 Please explain how the proposed
project will utilize simplified
processes and procedures for
procurement, without
compromising on transparency
and efficiency, as well as
prudence in spending

Section D – Convergence

D1. Was the project proposal examined from the Yes No

perspective of the prospects for
convergence with other agencies and/or
schemes?
[If answer is No, skip to D3]

D2. Which are the agencies and/or schemes

with which the prospects for convergence is
present? What are their specific roles in the
project?

D3. If no, please explain why convergence has

not been addressed.

Section E – Project Feasibility and Sustainability

E1. Does the proposal for the proposed project Yes No

include a detailed Implementation Plan for
the various interventions/components under
the project?

E2. Were alternate implementation modalities Yes No

considered to establish the Value for Money
(VFM) proposition of the proposed project?
In other words, have other implementation
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options been considered to check if the

implementation model of the proposed
project generates the maximum value for
the funds expected to be spent on the
proposed project?

E3. Does the project proposal include detailed Yes No

cost estimates for the different interventions
planned under the project?

E4. Does the project have prospects for revenue Yes No

generation?

[If answer is No, skip to E6]

E5. Does the project proposal include a revenue Yes No

model with clear indication of the revenue
streams and year-on-year revenue
generation?

E6. Does the project proposal include a SWOC Yes No

analysis of the strengths, weaknesses,
opportunities and challenges?

E7. Does the project proposal include a Yes No

sustainability plan for continued operation
beyond the project period?

E8. Can the proposed project avail funds under Yes No

any Plan budget?
[If answer is No, skip to E10]

E9. What are the reasons for availing support

under RKI, inspite of availability of funds
under Plan budget?

E10. Has the proposed project been earlier Yes No

considered for funding and/or any support
under any other
project/scheme/initiative/agency?

[If answer is No, skip to Section F]

E11. Please provide details of the

project/scheme/initiative/agency which was
considered for funding and/or any support of
the proposed project, and also provide
information of the status.

Section F – Incorporation of Best Practices

F1. Are international and/or national best Yes No

practices considered under the proposed
interventions?
[If answer is No, skip to F3]
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F2. Please provide details of the best practices

which have been considered

F3. If no, please explain why best practices

have not been considered.