Lok Sabha Question No. 38 (STARRED), answered on 2019-06-24
Subject: Tribal Sub-Plan
Ministry: TRIBAL AFFAIRS
Asked by: Ashok Mahadeorao Nete

## GOVERNMENT OF INDIA MINISTRY OF TRIBAL AFFAIRS LOK SABHA STARRED QUESTION No.*38 TO BE ANSWERED ON 24.06.2019

## Tribal Sub-Plan

## +*38. SHRI ASHOK MAHADEORAO NETE:

Will the Minister of TRIBAL AFFAIRS be pleased to state:

- (a) whether any guidelines have been issued to the Central Ministries and the State Governments to prepare Tribal Sub-Plan and to ensure allocation of fund in proportion to the percentage of population and to check diversion of fund as well as utilisation of fund as per requirement; and
- (b) if = the details thereof? SO,

## MINISTER OF TRIBAL AFFAIRS (SHRI ARJUN MUNDA)

- (a) & (b): A Statement is laid on the Table of the House.

********

## ANSWER

Statement  referred to in reply to Lok Sabha Starred Question No.*38 for answer on 24.06.2019

(a) & (b): Tribal Sub Plan (TSP) envisages channelizing the flow of outlays & benefits from various sectors of development to ST through  various schemes programmes of Central Ministries and the State Governments. NITI Aayog has been   issuing concerned Central Ministries Departments and State Governments. A copy guidelines from time to time to of Guidelines for Central Ministries during 2010 for Central TSP is at Annexure 1. As State TSP, the Guidelines issued by erstwhile Planning Commission in 2014 is at Annexure 2. population regards

F No.

## Government of India NITI Aayog

(Social Justice and Empowerment Division)

Room No 346, NITI Aayog Bhavan Parliament Street; New Delhi-11OOO]

## OFFICE MEMORANDUM

Date: 25-01-2019

The development of Scheduled Castes and Scheduled Tribes is Constitutional Mandate and also National   Priority of the Government: Allocation oi Business Rules (AoBR) of NITI Aayog empower NITI Aayog to Pay special attention to the sections of our society that may be at risk 0 not benefiting adequately from economic progress and has to actively monitor and evaluate the implementation of programmes and initiatives, including the identilication of the needed resourceg probability of success and scope of delivery" (Rule III 1 () e & k of AoBR of NITI Aayog): "To

- 2 In respect of implementation of the Scheduled Castes Sub-Plan (SCSP) & Tribal Sub-Plan (TSP), NITI Aayog has the mandate to design a framework and mechanism for monitoring Of the Scheduled Castes Sub-Plan and Tribal Sub-Plan; and to evaluate the Scheduled Castes Sub-Plan and Tribal SubPlan '(Rule III 1 (i) n (A) & (B)\_
- As envisaged above; NITI Aayog has developed new frame work/new guidelines (Copy attached at Annexure-I) obligating 4] Central Ministries Departments Or allocation of resources, formulation and implementation of specific schemes to reduce remove development disparities between the population in general and SCs and STs. However , while   reviewing the performance of somc of the   obligatory Ministries / Departments, it was noticed that some Ministries have deviated the guidelines. In this regard a meeting was held on 16-11-2018 in NITI Aayog;\_ with the Department of Economic Affairs and Department of Expenditure and modalities measures to be taken by the obligated Ministries Departments was communicated (Copy attached at Annexure-II)
- 4 Meanwhile the Department of Economic Affairs vide office memorandum No\_ 2(33)-B(P&A / 2018 dated 22 January, 2019 (Copy Attached at Annexure-III) has directed such deviating ministries/ departments to strictly adhere to the guidelines of NITI Aayog:
- 5 obligated Ministries Departments are requested to take appropriate action as mandatedl in the guidlelines and actions suggested in Annexure-II of this OM Lo fulfill the constitutional mandate and ensure empowerment of Scheduled Castes and Scheduled Tribes at par with the society.

(Dr. Muniraju, Deputy Adviser 23042343

M~~~

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|     | The Secretary, Department of Agriculture, Cooperation and Farmer Wellare Krishi Bhawan, Dr. Rajendra Prasad Road,                       | 2   | Thc Secretary (ADF) , D/o Animal Husbandry, Dairying & Fisheries, Krishi Bhawan,                                                    |
|-----|-----------------------------------------------------------------------------------------------------------------------------------------|-----|-------------------------------------------------------------------------------------------------------------------------------------|
|     | The Secretary & D.G. (ICAR) of Agriculturc Research Department and Education Krishi Bhawan, Dr. Rajendra Prasad Road, New Delhi-11OOO1_ |     | The Secretary Ministry of AYUSH Ayush Bhawan, B Block; GPO Complex, INA, New Delhi 110023                                           |
| 5   | The Secretary, Department of Commerce; Ministry of Commerce and Industry, Udyog Bhawan, New Delhi 110011.                               |     | The Secretary Ministry of Coal Shastri Bhavan New Delhi -110001.                                                                    |
|     | The Secretary Department of Consumer Affairs Krishi Bhavan                                                                              |     | The Secretary Ministry of Culture Bhavan Shastri New Delhi-11OOO1                                                                   |
| 9   | The Secretary, Department of Development of North Eastern Region Vigyan Bhawan Annexc New Delhi-11O011                                  | 10  | The Secretary M/o Drinking Water and Sanitation Pandit Deendayal Antyodaya Bhawan, CGO Complex Lodhi Road, New Delhi 110003         |
| 11  | The Secretary Ministry of Electronics & Information Technology Electronics Niketan C.G.O. Complex New Delhi -110003.                    | 12  | The Secretary Ministry of Environment; Forests and Climate Change, Paryavaran Bhavan C.G.O. Complex, Lodhi Road, New Delhi -110003. |
| 13  | The Secretary Department of Empowerment of Persons with Disabilities Deendayal Antyoday Bhavan CGO Complex Lodhi Road, New Delhi-110003 |     | The Secretary Dcpartment of Food and Public Distribution Krishi Bhavan New Delhi -110001                                            |
| 15_ | Thc Secrctary Ministry of Food Processing Industries Panchasheel Bhavan Khel Gaon New Delhi                                             | 16  | The Secrctary Dcpartment of Fertilizers Shastri Bhavan New Delhi -01.                                                               |

| 17,   | The Secretary Department of Health & Family Welfare Nirman Bhavan Ncw Delhi -110011-                     |   18 | The Secretary Ministry of Housing and Urban Poverty Alleviation Nirman Bhavan New Delhi -110011.                             |
|-------|----------------------------------------------------------------------------------------------------------|------|------------------------------------------------------------------------------------------------------------------------------|
| 19    | The Secretary Department of School Education & Literacy Shastri Bhavan New Delhi - 110001                |   20 | The Secretary, Department of Higher Education, 127-C, Shastri Bhawan, Dr. Rajendra Prasad Road, New Delhi:                   |
| 21    | Thc Secretary Ministry of Labour and Employment Shram Shakti Bhavan New Delhi -110001_                   |   22 | Thc Secretary Ministry of Micro, Small and Medium Enterprises Udyog Bhavan, New Delhi -11OOOl_                               |
| 23.   | The Secretary Ministry of Mincs Shastri Bhavan New Delhi -110001 _                                       |   24 | The Secretary Ministry of New and Renewable Energy C.G.O. Complex, Lodhi Road New Delhi -110003.                             |
| 25_   | The Secretary Ministry of Panchayati Raj Krishi Bhavan New Delhi -110001.                                |   26 | The Secrctary Ministry of Petroleum & Natural Gas Shastri Bhavan New Delhi -110001_                                          |
| 27    | Thc Sccrctary, Department of Pharmaceuticals, Room No. 304 'B' Janpath Bhawan, New Delhi-110001_ Wing;   |   28 | The Secretary Ministry of Power Shram Shakti Bhavan New Delhi -110001                                                        |
| 29_   | The Secretary Department of Rural Development Krishi Bhavan New Delhi-11OOOl_                            |   30 | The Secretary Department of Land Resources NB.O. Hall, Nirman Bhavan                                                         |
| 31    | The Secretary Department of Science & Technology, Technology Bhavan, New Mehrauli Road, New Delhi 110016 |   32 | The Secretary Ministry of Textiles Udyog Bhavan Ncw Delhi                                                                    |
| 33_   | The Secretary Ministry of Tribal Affairs Shastri Bhawan Ncw Delhi -110001.                               |   34 | The Secretary Ministry of Skill Development & 2nd Floor , Shaheed Bhagat Singh Marg; Near Connaught Place, New Delhi 110001_ |

| 35 $   | The Secretary D/o Social Justice & Empowerment Shastri Bhavan New Delhi.                                               | 36   | The Secretary Department of Sports Ministry of Youth Affairs and   Sports Shastri Bhavan New Delhi 110001                               |
|--------|------------------------------------------------------------------------------------------------------------------------|------|-----------------------------------------------------------------------------------------------------------------------------------------|
|        | The Secretary Ministry of Urban Development Nirman Bhavan New Delhi-110011                                             | 38,  | The Secretary Department of Telecommunications Sanchar Bhavan New Delhi-11OOO1_                                                         |
| 39     | The Secretary Ministry of Tourism RNo 109, Transport Bhawan, 1 Parliament Street, New Delhi -110001_                   | 40   | The Secretary, Ministry of Water Resources, River Development and Ganga Rejuvenation, Shram Shakti Bhawan, Rafi Marg; New Delhi 110001_ |
| 41_    | The Secretary Ministry of Women and Child Development Shastri Bhavan New Delhi                                         | 42   | The Secretary Department of Youth Affairs Shastri Bhavan New Delhi                                                                      |
| 43_    | The Secretary Department of Economic Affairs Ministry of Finance North Block New Delhi -01_                            | 44   | The Secretary Department of Expenditure Ministry of Finance North Block New Delhi -01.                                                  |
| 45_    | The Secretary National Commission for Scheduled Castes (NCSC) Sth Floor, Lok Nayak Bhawan Khan Market New Delhi-110003 | 46   | The Secretary National Commission for Scheduled Tribes 6th Floor, Lok Nayak Bhavan Khan Market, New Delhi-110003                        |

To

Thc Secretary M/o Finance for information to; Copy

The Secretary Department of Expendilure\_ Ministry ol Finance North Block, New Delhi

## F Goverment of Indle NITI Aayog (soctal Justlce and Empowerment Dtvision)

## OFFICE MEMORANDUM

Ministry of Finance Department of Economic Afairs vide Lheir D.O. letter No. 2 (21)-B(Cdn) 2016, dated 31.12.2016 had earlier requested NITI Aayog to review Minisbry keeping in view the changes, since the last  cartnarking Was done by the Planning Commisbion.

- 2 The issues Wcre considered in NITI Aayog in consultation with verious stakcholders conccred Central Ministries/ Departments, State Governmcnts, National Commissions Ior SCs and STs and Samavesh Forum of suggestions that emerged from the consultations and internal rcvicw the guidclincs new arangements [or carmarking o funda and implementation of schemcs for SCs and STs have bcen prepared:
- 3 The Guidelines are cnclosed for consideration by the Ministry of Finance for thc upcoming Union Budget 2018-19.

This issuc8 with the approval of Vicc Chairman, NITI Aayog

(Srikara Naik) Adviacr (SJE} Ph\_ 23096595 Email: srikare@gov.in

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Uggeat

Datc; 20.11.2017

## NITI Aayog (Social Justice & Empowerment Division)

## of funds for Development Action Plan for &Cs Guidelines for earmarking STs (DAPSC & DAPST) and

has been discontinued and there has with effect from 2017-18 been merger of plan and non-plan the changed system ol budgeting\_there issc and STs in their budgets by for carmarking of fnds for SCs arrangement the concerned Central Ministries/Deparlments

- of budgeting; NITI Aayog was entrusted with thi 3\_ In vicw of new for earmarking of by the Senior funds for SCs and The matter was considered on 24.04.2017. Committee (SMC) of NITI Aayog in its mecting\_ NITI Management Ratan P\_ Watal, Principal Adviser, Social Sector; Thc SMC desired , Shri recommendations stated in these Aayog t0 SMC on the matter. Thc (2017) under the guidelines are outcome of consultation process the earmarking Chairmanship of  Principal while going carlier Task Force on the recommendations the beyond enrichment\_ Some other issues considered 2010, signifying continuity with earmarking of funds, were as follows: regarding system task guide
- of funds for SCs and STs were done by the 2 \_ Earlier earmarking their Plan allocation  under the concerned Ministries/ Departments Su-Plan (SCSP) and Tribal Sub-Plan broad strategies of Scheduled Cases Forcc, 2010. Earmarked (TSP) as per the criteria recommended by theeTask; the respective allocation was also shown Ministry/ the Union Budget document The Task Force earmarking i,e\_ Planning   Commission had   recommended kept out of thcir outlay: Non-Plan  component of thc outlays 26 Ministries} purview of the Sub-Plans. The Task Force for SCSP and 32 for TSP obligated to implement against against plan as
- of the schemes for wellare ol SCs (i) Whether stralcgy for implementation and STs shall continue as per existing guidelines?
- (ii} national level institution to work &9 think-lank (iii) Need or otherwise O a for SCs and STs.
- Decision regarding 'No-Obligation Ministries/ Deparuments:
- (iv) Necd 4 Central Legiglation {t) ensutc non-divertibility and/or non-lapsabilty of allocation and to guide planning 85 implcmentation\_
- (vi) How to enhance Icreate institutional capacity at national/ state / districl and local levels [or ensuring a voicc and social inclusion of the most vulncrable community groups?
- (v) How to ensure mainstreaming most vulnerable community groups in addition to carmarked allocations and specific schemes ?
- (vii) How to create a framework for Social Sector Outcome Monitoring; that addresses multiple vulncrability and is responsive to thc mosl vulnerable?
- 4\_ The issues were considered in NITI Aayog in consultation with various stakeholders i.e concerned Central Ministries/ Departnents, State Governments, National Commissions [or SCs and STs and Samavesh Forum of NITI Aayog: in addition to internal examination and review of the issues in NITI Aayog:
- On the basis of suggestions thal cmerged from the consultations and internal review of the issues, the recommendations made regarding the new arrangements for earmarking funds and other issues regarding implementation of  schemes for SCs and STs havc been detailed in the following paragraphs

## Continuation and Enrichment of stretegy and Guldelines {or Implementation

- 6 So far as promoting socio-economic intcrest of SCs and STs is a constitutional mandate\_ It is also arca of priority and  commitment for the present government to promote lhe socio-economic empowerment and inclusivc developmcnt the STs . The commitment to ensure inclusive development al the most vulnerable and   deprived community groups SCs STs has been further reaflirmed by the call for New the 751 Year of India's Independence , This calls for an India India By free (rom poverty, dirt, corruption , terrorism, casteism and communalism\_ other features Thc for an Antyodaya approach to rcach among of the and the most deprived has also been highlighted: The poorest therelore will conlinue to be implemented in the schemes and programmes, broader contours of the earlicr sub-plans In the new system of budgeting be renamed Development Actton Plan for SCs SCSP and TSP may (DAPSC) and Development Action Plan for STs (DAPST} an and need poor as

## Earmarking "gainst overall allocation of CSSs and CSs and not agalnst total budget of the Ministries / Departments

- 7 Earmarking should be against the overall allocation for-schemes o the Ministries/ Departments and not the budget of thc the schemes\_ Howevcr the Ministries/ Departments will have lexibility lo allocate lunds [or SCs and STs [or specific aclivities within their overall their existing schemes are not amenable to or do not have budget, in case the scope for any such activities for SCs and STs against

## Recommendations

- 8 The following are thc guidelincs recommended regarding identilication ol Ministries/ Departments and earmarking of funds of DAPSC and DAPST and also to strengthen the existing guidelines in planning stage: post

## Identification of Ministries and Earmarking of Funds

- The   earmarking   should be done urder specific schemes of the Overall earmarking of the Ministry ( Department: should be calculated the total allocation However , some flexibility may be provided in Ministry / Department: deemed necessary, and in case of nonspecilic instances wherever utilization under one scheme, the budget  should be ulilized under the other schcmes of the departmenl, but for DAPSC DAPST, as the case may with approval ol the Ministry and Financial Adviser: against be,
- the Ministries /Departments which fall in thc catcgory Il (Idetllilied (iii) Al ie earmarking of funds in the range of 0-15% [or by the Task Force} SCSP and 0-7.5% (or TSP should earmark at least minimum of 8.3% for DAPSC and 4.3% for DAPST (as per 2011 Census)
- of   earmarking should not bc lcss than 50% of the (ii) Percentage or decided by the Task Force; or actuals population  proportion allocating funds for SCs whichever is higher. Ministry/ Department and STs at higher percentages shall maintain existing percentages
- Ministrics/ Departments which arc carmarking [unds only for SCs at (iv) should also carmark funds for STs and vice Lersa excepl the pocant Ministries. For example, D{o Animal Husbandry and Commerce should also earmark for DAPST. D/o Agriculture Telecommunication, Water Rcsources, etc which are Research, Coal, there in DAPST should carmark for DAPSC. Minimum percentage of earmarking should be as indicalcd in para (i) and (iii) above-

- (v) Ministries/ Departments like M/o Development of North Eastern Region, DONER, M/o Skill Development and Entrepreneurship, and Empowerment of Persons with Disabilitics (DPwD) have earmarked funds under STs in 2017-18 ie @ 27.18%, 8.14% and 10.17% respectively. Thcsc Ministries/ Department have bccn implementing mostly beneficiary oricnted schemcs and therelore should be brought in the 'obligatory' category.
- (vi) Ministries/ Departments which have direct or indirect bearing on the welfare of SCs and 8Ts in the country, but remain outside the purview o[ DAPSC & DAPST ie\_ a) Dcpartment o Fertilizers, (b) Department of Pharmaccutical8, (c) Ministry of Food processing industries, Id) Department of Consumer Allairs, (e} Ministry of Urban Development and Ministry of Petroleum and Natural Gas These Ministries/ Departments   should earark funds the extent a1 least So% of populetion proportion o 8Cs and STs
- (vii) Ministries / Departments which arc carmarking funds in proportion to the population o SCs or STs 2001 Census Or clogcr to thal should earmark fund in proportion to population of SCs or STs per 2011 Census. per
- concerned, the present level of earmarking of 72.5% ol funde by the However, over and abovc this, Scheduled Caste communitics should also benefit from schemes implemented for other vulnerable sections likc senior citizens,  transgender, destitutes, drug addicts, etc. The issues of multiple vulnerebility should also bc addressed appropriately.
- State-wise distribution allocation under various Centrally Sponsored Schemes by Central Ministries/ Departments, especially under beneficiary orienled schemes should be done in proportion to population for SCs &nd STs in the respective States/UTs
- Some Ministries/ Departments like Fertilizers, Dfo Telecommunications, M/o Coal, M/o Mincg, M/o Culture, etc  which do not have any scheme for SCs and/or STs; should sct aside the earmarked allocation, evolve new and focuscd intervenuons and use the same appropriate schemes/activities in consultation with the Nodal Ministy of Social Justice and Empowcrment Tribal Affairs  Thc Nodal Ministries should coordinate as to how to use
- of cash-based budgeting is followed: In view of (xi) In India the system The this it i8 not fcasible to follow the practice of non-lapsability; is  aready inbuilt in the  system due to ibsue allocation of funds on the basis of budget head' . However diverailication of fund within thc budget head shal} be allowed subject to conditions mentioned in para (iij above. Any further clarification, in this may be looked into by the Department o Expenditure: regard
- A National level Institute each for SC8 and STs, on the pattern of (xii) Rural Development should be set up to work &8 National Institute for and Resource Centre each for SCs and STs For SCs; the Think Tank International Centre or its infrastructure mey b Ambcdkar considered to be utilized a8 the National Institute For STs, National Inatitute of Labour Economics Rescarch and Development (NILERD} converted or infrastructure o[ NEILRD could be utilized or could be the same.
- Linked to the National Inatitutes , States should elso be encoureged t0 (xiii) such institutes at the State Jevel and progressively at diatrict level institutes may specifcally work fr District levels: The inputs for formulation of suitable projects/ providing Jevel in the interest of SCs and STs  This is achemes At the ground relevant in the context of enhanced devolution of resources to Btates, the implementation of the Fourteenth Finance Commission recommendatione\_ specifc

## Enabling Provkeions

- Ministries conccrned and States/ UTs may enable and promote (xv) institutional capacity at different levels to ensurc improved utilization, ebectiveness, efficiency and outcomes of allocations carmarked for   SC/ STs. This   includes  enabling   representation in institutional mechanismg etc\_
- Ministries concerned and States/ UTs must ensurc mainstreaming 0 under the National Development Agenda, as reflected in development ouccomee in addition to carmarked allocations and specilic schemes

- (xvi} The  perormance Districts on may progressively be recognized and inccntivized:
- (xviii) Ministries concerned and States/UTS may be encouraged to design new interventions based on programme implementation expcrience, with innovative ideas for Ministrie8 which wcre carlier congidered to be non obligatory-
- Ixvii) Ministries concerned and States/ UTs must address multiple vulncrability through   convergent  interventions that may be multi sectoral in nature, specific to lhe State / district conLextl:
- (xix) Monitoring of the DAPSC DAPST should be necessarily a priority area. Monitoring should b both output and outcome based and through dashboard. The nodal Ministries i.e. Ministry of Social Justice and Empowerment and Ministry of Tribal Affairs will be responsible for the monitoring a8 per amendment to Allocation of Business Rule January, 2017 . and
- (xxi) The social sector monitoring framework adopted at the central level under DAPSC and DAPST should also (orward to be implemented at the State and District levels for outcome monitoring ol thc initiatives for SCs and STs.
- (xx) on people with multiple vulnerability such as SC /ST widows or women Or men with disabilities; Particularly Vulnerable Tribal Groups (PVTGs); destitute SC/ST children etc.
- (xxii} The social sector monitoring framework should include integration ol concerns rclated to inclugion of SC/STs in the existing Common Review Missions of major programmes by concerned Ministries and National Commissions as a complementary approach (or field   based outcome  monitoring;  (Ministries as MHFW MHRD , MWCD 6 MRD are   using Common Revict: Miseions for Development Programmes | such
- 9\_ DAPST by respcctive Ministries/ Departments may be seen at Annexure-[

## 11.

- (i) While the Nadal Ministries should also be responsible for coordination with fund with
- NITI Aayog SVE and MoTA and thc concerned Centrai The nodal Ministries, should also undertake evalualion of their Ministries/ Deparlments schemes as per the overall stratcgies of DAPSC and DAPST:

Annexure-[ Minietry Department exdsting earmarking and proposed percentege Of earmarking

| S.No.   | Ministries/ Departments                      |   percentage 0f eamarkdng | Actual earmarking % In 2017- 18   | Proposed % carmarking to DAPSC *   |
|---------|----------------------------------------------|---------------------------|-----------------------------------|------------------------------------|
|         | Agriculture & Cooperation                    |                      16.2 | 16.13                             | 16.60                              |
| 2       | Animal Husbandry, Dairying and Fisheries     |                      16.2 | 16.18                             | 16.60                              |
| 3       | AYUSH                                        |                       5   | 14.02                             | 8.30                               |
|         | Commerce                                     |                       4.5 | 1.07                              | 8.30                               |
| 5       | Development of North East Region;            |                       2   | 2.01                              | 8.30                               |
| 6       | Drinking Water Supply                        |                      22   | 22.00                             | 22.00                              |
| 7       | Information Technology                       |                       2   | 1.39                              | 8.30                               |
| 8       | Environment & Forest                         |                       2.2 | 2.01                              | 8.30                               |
| 9       | Health and Family Welfare                    |                      15.2 | 15.90                             | 16.60                              |
| 10      | Housing and Urban Poverty Alleviation        |                      22.5 | 22.42                             | 22.50                              |
| 11      | School Education & Litcracy                  |                      20   | 21.74                             | 20.00                              |
| 12      | Higher Education                             |                      15   | 53.44                             | 16.60                              |
| 13      | Labour_and Employment                        |                      16.2 | 16.45                             | 16.60                              |
| 14      | Micro, Small and Medium Enterprises          |                      12   | 11.39                             | 16.60                              |
| 15      | New and Rencwable Energv                     |                       3.5 | 3.48                              | 8.30                               |
| 16      | Panchayati Rgj                               |                      16.2 | 15.78                             | 16.60                              |
| 17      | Ministry of Power                            |                       8.3 | 9.29                              | 16.60                              |
| 18      | Rural Development                            |                      25   | 8.07                              | 25.00                              |
| 19      | Land Resourccs                               |                      16.2 | 15.44                             | 16.60                              |
| 20      | Science & Tcchnology                         |                       2.5 | 4.35                              | 8.30                               |
| 21      | Department of Social Justice and Empowerment |                      72.5 | 79.27                             | 72 50                              |
| 22      | Textiles                                     |                       5   | 2.80                              | 16.60                              |
| 23      | Woman and Child Development                  |                      20   | 16.91                             | 20.00                              |
| 24      | Youth Affairs and_Sports                     |                      16.2 |                                   | 16.60                              |

## DAPST (2041 Census]

| 0.No.   |                                                   | Elting % of carmarking   | Actual earmarking % in 2017- 18   |   Proposed % for earmarking to DAPST* |
|---------|---------------------------------------------------|--------------------------|-----------------------------------|---------------------------------------|
|         | Agriculture & Cooperation                         |                          | 7,.97                             |                                   8.6 |
| 2       | Department of Agriculture Research and Education  | 3.60                     | 3.46                              |                                   4.3 |
| 3       | AYUSH                                             | 2.00                     | 4.03                              |                                   4.3 |
| 4       | Ministry of Coal                                  | 8.20                     | 4.49                              |                                   8.6 |
| 5       | Departrcnt of Telecommunication                   | 0.25                     | 0.26                              |                                   4.3 |
| 6       | Departrent of food and Public Distibution         | 1.40                     | 0.90                              |                                   4.3 |
|         |                                                   | 2.00                     | 4.80                              |                                   4.3 |
| 8       | Miniatry 0f Drinking Watcr and Sanitation         | 10.00                    | 10.00                             |                                  10   |
| 9       | Minsitry of Eletronics and Inlormation Technology | 6.70                     | 4.67                              |                                   6.7 |
| 10      | Health and Family Welfare                         | 8.20                     | 8.58                              |                                   8.6 |
| 1       | Housing and Urban Poverty Allevation              | 2.40                     | 2.39                              |                                   4.3 |
| 12      | Schoo] Education & Literecy                       | 10.70                    | 12.49                             |                                  10.7 |
| 13      | Higher Education                                  |                          | 26.73                             |                                   8.6 |
| 14      | Labour and Employment                             | 8.20                     | 8.33                              |                                   8.6 |
| 15      | Micro , Sraall and Medium Enterprises             | 8.20                     | 7.73                              |                                   8.6 |
| 16      | Ministry o Mines                                  | 4.0o                     | 0 0o                              |                                   4.3 |
| 17      | Raj Panchayati                                    | 8.20                     | 8.09                              |                                   8.6 |
| 18      | Ministry of road Transport and Highways           | 3.50                     | 0.62                              |                                   4.3 |
| 19      | Rural Development                                 | 17.50                    | 5.63                              |                                  17.5 |
| 20      | Land Resources                                    | 10.00                    | 9.78                              |                                  10   |
| 21      | Science & Technology                              | 2.50                     | 4.35                              |                                   4.3 |
| 22      | Textiles.                                         | 1.20                     | 1.04                              |                                   8.6 |
| 23      | Ministry of Tourism                               | 2.50                     | 2.54                              |                                   4.3 |
| 24      | Ministry of tribel Alfairs                        | 100.00                   | 139.47                            |                                 100   |

|   8.No. | Minlstrles / Departments    |   Eadstlng % of earmarking |   Actual earmarking % in 2017 - 18 |   Proposed % for carmarking to DAPST" |
|---------|-----------------------------|----------------------------|------------------------------------|---------------------------------------|
|      25 | Ministry of WR, RD and GR   |                       0.73 |                               0.83 |                                   8.6 |
|      26 | Woman and Child Development |                       8.2  |                               6.5  |                                   8.6 |
|      27 | Youth Aflairs and Sports    |                       8.2  |                              13.26 |                                   8.6 |

## 2017-18

## DAPSC

| 8.No.   | Ministries / Departments                               |   Existing % of earmarking for DAPSC |   Actual earmarking % in 2017 - 18 |   Proposed % for earmarking to DAPSC |
|---------|--------------------------------------------------------|--------------------------------------|------------------------------------|--------------------------------------|
|         | Department of Empowerment ol persons with Disabititics |                                    0 |                              20.25 |                                 16.6 |
|         | Skill Development and Entregreneurship                 |                                    0 |                              16.09 |                                 16.6 |

## DARSI

| 8.No.   |                                                        | of for DAPBT   |   Actual earmarklng 18 |   Proposed % for carmarking to DAPST |
|---------|--------------------------------------------------------|----------------|------------------------|--------------------------------------|
|         | of North Development East Region;                      | 0.00           |                  27.18 |                                  8.6 |
| 2       | Environment & Eorest                                   |                |                   0.29 |                                  8.6 |
| 3       | New and Renewablc Energy                               | 0.00           |                   1.74 |                                  8.6 |
|         | and Skill Development Entrepreneurship                 | 0.0o           |                   8.14 |                                  8.6 |
| 5       | ol Departmenl Empowerment ol pcrsons with Disabilities | 0.00           |                  10.17 |                                  8.6 |

DAPSC\_oL DAPSI

## Mlnbtrles/ Departments whlch are earmarking for DAPST should elso earmark {Or DAPBC

| 8.No.   |                                                  | Exlsting % of earmarking for DAPST   |   earmarking to DAPSC* |
|---------|--------------------------------------------------|--------------------------------------|------------------------|
|         | Department of Agriculture Research and Education | 3.46                                 |                    8.3 |
| 2       | Ministry ol Coal                                 | 4.49                                 |                    8.3 |
| 3       | Department of Telecommunication                  | 0.26                                 |                    8.3 |
|         | Department of lood and Public Distribution       | 0.0u                                 |                    8.3 |
| 5       | Ministry of Culture                              | 4.30                                 |                    8.3 |
| 6       | Ministry of Minee                                | 0.00                                 |                    8.3 |
|         | Ministry of road Transport and Highways          | 0.62                                 |                    8.3 |
| 8       | Ministy of Tourism                               | 2.54                                 |                    8.3 |
| 9       | Ministry of WR, RD and GR                        | 0.83                                 |                    8.3 |

## earmark for DAPST

| 8.No.   | MInletrles/Departmente                  |   Existing % of earmarking for DAPSC | Proposed % of earmarking for DAPST   |
|---------|-----------------------------------------|--------------------------------------|--------------------------------------|
|         | Animal Husbandry; Dairyng and Fisheries |                                16.18 | 8.60#                                |
| 2       | Commerce                                |                                 1.07 |                                      |
| 3       | Ministry of Power                       |                                 9.29 | 8.60#                                |

#These Ministries implement direct beneliciary oriented programme, they are obligated in proportion to population (ST-8.60%)

New Mtletrles Departments obllgated for earmarking and

|   No. | Minkstrles/ Departments              |    |   Proposed % for DAPSC * |   Proposed DAPST" |
|-------|--------------------------------------|----|--------------------------|-------------------|
|     1 | Department ol Fertilizers            | 00 |                      8.3 |             430   |
|     2 | Deeartment of Phamaccuticals         |    |                      8.3 |               4.3 |
|     3 | Department ol Consumer_Affairs       |    |                      8.3 |             430   |
|     4 | Ministry o Food Processing Industres |    |                      8.3 |               4.3 |
|     5 | Ministry of Petroleum and Natural    |    |                      8.3 |               4.3 |
|     6 | Ministry ol urban Development        |    |                      8.3 |               4.3 |

"At least 5O% of population proportion (8.30%)

To

As-per list

## M-11011/15/2018-SJE Government of India

## NITI Aayog

Room No.346, NITI Aayog Bhavan Parliament Street; New Delhi

(Social Justice & Empowerment Division)

## OFFICE MEMORANDUM

Subject: Record of Discussion held on 16th November, 2018 for implementation of Scheduled Castes Sub-Plan (SCSP) and Tribal Sub-Plan (TSP) with the Secretary , Department of Expenditure and Joint Secretary (Budget), Department of Economic Affairs, Ministry of Finance\_

The undersigned is directed to invite  your kind attention on the subject  mentioned above and cnclosc herewith a copy of the Record of Discussion (RoD) held on November, 2018 with the Secretary, Department of Expenditure and Joint  Secretary (Budget), Department of Economic Affairs, Ministry of Finance in NITI Aayog regarding implementation of Scheduled Castes Sub-Plan (SCSP) and Tribal Sub-Plan (TSP)

- 2 It is requested take appropriate action and arrange to  furnish Action Taken Report (ATR) at the earliest:
- 3 This issues with the approval of the competent authority-

(Dr. Muniraju, S.B) Deputy Adviser Email: nraju sb@govin

Ph:011-23042343,

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14-1-2019

| 1   | The Secretary , Department of Agriculture, Cooperation and Farmer Welfare Krishi Bhawan, Dr. Rajendra Prasad Road, New Delhi-110001_ Phone: 23386004 _ Email: secy-agri@nicin      |   2 | The Secretary (ADF), D/o Animal Husbandry, Dairying & Fisheries, Krishi Bhawan, New Delhi-l1OOO1 23382608, 23388006 Fax) Email secyahd@nic.in                                                                 |
|-----|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-----|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|
| 3   | The Secretary & D.G. (ICAR) Department of Agriculture Research and Education Krishi Bhawan  Dr. Rajendra Prasad Road, New Delhi-11OOO1. Phone: 23386711, 23382629 (Fax) 23384773 . |   4 | The Secretary Ministry of AYUSH Ayush Bhawan, B Block, GPO Complex, INA , New Delhi 110023 Ph. 24651950 Fax-24651937 secy-ayush@nic in                                                                        |
| 5_  | The Secretary, Department of Commerce, Ministry of Commerce and Industry, Udyog Bhawan, New Delhi 110 107_ Email: csoffice@nicin Tele. 91 11 23063664, 23063617                    |   6 | The Secretary Ministry of Coal Shastri Bhavan New Delhi Ph _ 011-23384884 Fax. 011-23381678 secy.moc@nicin                                                                                                    |
|     | The Secretary Department of Consumer Affairs Krishi Bhavan New Delhi: secy-ca@nicin Phone: 91 11 23782807 , +91 11 23070121. 11 23384716                                           |   8 | The Secretary Ministry of Culture Shastri Bhavan New Delhi. Email secy-culture@nicin Phone: 91 11 23386995.                                                                                                   |
| 9   | The Secretary, Department of Development of North Eastern Region Vigyan Bhawan Annexe New Delhi: Phone 91 11 23022020_ 23022037 _ Email secydoner@nic in                           |  10 | The Secretary Ministry of Drinking Water and Sanitation Govt. of India, C 4th Floor , Pandit Deendayal Antyodaya Bhawan , CGO Complex Lodhi Road, New Delhi 110003 Phone-01 1-24361672 Fax-011-24361669 Wing, |

| 11   | The Secretary Ministry of Electronics & Information Technology Electronics Niketan C.G.O. Complex New Delhi secretary@meity gov.in 24364041(Of0) 24363134(Fax)                            | 12_   | The Secretary Ministry of Environment, Forests and Climate Change, Paryavaran Bhavan C.G.O_ Complex, Lodhi Road, New Delhi Ph. 24695262, 24695265 Fax. 24695270 Email. secy-moef@nic in   |
|------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|
| 13   | The Secretary Department of Empowerment of Persons with Disabilities Deendayal Antyoday Bhavan CGO Complex Lodhi Road, New Delhi-110003 Phone 24369055(Off.) Email secretaryda-msje@nicin | 14_   | The Secretary Department of Food and Public Distribution Krishi Bhavan New Delhi secy-food@nicin 23382349,23097018 Off:) 23386052 (Fax)                                                   |
| 15   | The Secretary Ministry of Food Processing Industries Panchasheel Bhavan Khel Gaon New Delhi secy mofpi@nic in 26493225(0ff.) 26493012(Fax)                                                | 16    | The Secretary Department of Fertilizers Shastri Bhavan New Delhi Ph. 23381275, 23383695 Fax. 23387965 Email fertsec@nic.in                                                                |
| 17 , | The Secretary Department of Health & Family Welfare Nirman Bhavan New Delhi secyhfw@nic.in Ph. 23061863,23063221                                                                          | 18_   | The Secretary Ministry of Housing and Urban Poverty Alleviation Nirman Bhavan New Delhi secy-mhupa@nic in 23061444                                                                        |
| 19   | Thc Secrctary Department of School Education & Literacy Shastri Bhavan New Delhi Email: secy.sel@nic.in Phone: 23382587 , 23381104 Fax: 23387859                                          | 20_   | The Secretary, Department of Higher Education, 127-C, Shastri Bhawan, Dr. Rajendra Prasad Road, New Delhi: Email secy dhe@nic.in Phone 0] 1-23386451, 23382698.                           |

| 21_   | The Secretary Ministry of Labour and Employment Shram Shakti Bhavan New Delhi secy-labour@nic.in 23710265                                    |     | The Secretary Ministry of Micro, Small and Medium Enterprises Udyog Bhavan New Delhi secretary-msme@nic in 23062107,23061023 23063045   |
|-------|----------------------------------------------------------------------------------------------------------------------------------------------|-----|-----------------------------------------------------------------------------------------------------------------------------------------|
| 23_   | The Secretary Ministry of Mines Shastri Bhavan New Delhi Ph_ 23382614 (O) 23384682 F-23385173, Email. secy-mines@nicin                       | 24  | The Secretary Ministry of New and Renewable Energy C.G.O. Complex New Delhi secy-mnre@nic in 24362772 , 24361481 24367329               |
| 25.   | The Secretary Ministry of Panchayati Raj Krishi Bhavan New Delhi secy-mopr@nic in 23074309,23389008 23389028                                 |     | The Secretary Ministry of Petroleum & Natural Gas Shastri Bhavan New Delhi Ph_ 23383501/23383562 Fax. 23075006 Email Sec-png@nic.in     |
| 27    | The Secretary, Department of Pharmaceuticals, Room No. 304 'B' Janpath Bhawan, New Delhi: Email : jaipriye@nic in Phone 011- 23381573, Wing; | 28_ | The Secretary Ministry of Power Shram Shakti Bhavan New Delhi secy-power@nicin 23710271,23711316                                        |
| 29_   | The Secretary Department of Rural Development Krishi Bhavan New Delhi secyrd@nic in, sinhaaS@nic in 23382230,23384467 23382408               | 30_ | The Secretary Department of Land Resources NB.O. Hall, Nirman Bhavan New Delhi: secylr@nicin 23063927,23063183 23062541                 |

| 31_   | The Secretary Department of Science & Technology, Technology Bhavan, New Mehrauli Road, New Delhi 110016. Email dstsec@nic.in Phone 011-26590412, 26511439_   | 32_   | The Secretary Ministry of Textiles Udyog Bhavan New Delhi Phone 011-23061769 Email secy-textiles@nic in                                                                                                      |
|-------|---------------------------------------------------------------------------------------------------------------------------------------------------------------|-------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|
| 33_   | The Secretary Ministry of Tribal Affairs Shastri Bhavan New Delhi secy-tribal@nicin 23381652 23073160                                                         | 34 _  | The Secretary Ministry of Skill Development & Entrepreneurship, 2nd Floor , Shivaji Stadium Annexe, Shaheed Bhagat Singh Marg, Near Connaught Place, New Delhi 110001. Email secy-msde@nic in Phone 23450839 |
| 35.   | The Secretary D/o Social Justice & Empowerment Shastri Bhavan New Delhi: 23382683, 23389184 , 23385180 (Fax) Email: secywel@nic in                            | 36.   | The Secretary Department of Sports Ministry of Youth Affairs and Sports Shastri Bhavan New Delhi 110001 Telephone No: 011-23388623 E-mail secy-sports@nic in                                                 |
| 37 .  | The Secretary Ministry of Urban Development Nirman Bhavan New Delhi secyurban@nicin 23062377 23061459                                                         |       | The Secretary Department of Telecommunications Sanchar Bhavan New Delhi secy-dot@nic in 23719898 23711514                                                                                                    |
| 39_   | The Secretary Ministry of Tourism RNo 109, Transport Bhawan; 1 Parliament Street, New Delhi 23711792,011, 23321395 23717890 sectour@nicin                     | 40_   | The Secretary, Ministry of Water Resources, River and Ganga Development Shram New Delhi 110001 _ Email secy-mowr@nic in Phone 011- 14 23715919, 23710305                                                     |

| 41   | The Secretary Ministry of Women and Child Development Shastri Bhavan New Delhi                                                                        |   42_ | The Secretary Department of Youth Affairs Shastri Bhavan New Delhi secy-ya@nicin 23382897 23383163                                             |
|------|-------------------------------------------------------------------------------------------------------------------------------------------------------|-------|------------------------------------------------------------------------------------------------------------------------------------------------|
| 43_  | The Secretary Department of Economic Affairs Ministry of Finance North Block New Delhi Ph. 011-23092611, 23092555 Fax-23094075 Email secy-dea@nic.in: |    44 | The Secretary Department of Expenditure Ministry of Finance North Block New Delhi Phone 01123092929,23092663 Fax 23092546 Email secyexp@nic in |
| 45_  | The Secretary National Commission for Scheduled Castes Sth Floor, Lok Nayak Bhavan Khan Market New Delhi-1 10003 Email: secretary-ncsc@nic.in,        |    46 | The Secretary National Commission for Scheduled Tribes 6th Floor, Lok Nayak Bhavan Phone: 24635625, 24624190                                   |

## NITI Aayog (Social Justice & Empowerment Division)

A meeling was held on I6th November, 2018 with the Secretary, Department of Expenditure Shri Ajay Narayan Jha, and Shri Aravind Srivastava, Joint Secretary (Budget), Department of Economic Affairs, Ministry of Finance under the Chairmanship of Shri Ratan P. Watal, Principal Adviser (Social Sector), NITI Aayog:

- 2 Initating the meeting; Principal Adviser, elaborated that merger of plan and non-plan classification of expenditure, NITI Aayog convened a meeting with Central Ministries Departments and some selected States As mandated under Allocation of Business Rules, a framework (new guidelines) was developed by the NITI Aayog in consultation with Ministries/ Departments and States to rcaffirm priority to vulnerable community groups for allocation, formulation and implementation schemes/ programs for welfare 0f Scheduled Castes &nd Scheduled Tribes.
3. The new guidelines emphasis on 41 obligated Ministries Departments which should earmark and their obligated percentage of funds for wclfarc of SCs and STs and in-casc find it difficult under existing schemes can formulate new schemes or innovative interventions. The new guidelines go beyond Dr\_ Narender Jhadhav Task Force Guidelines implemented since 2011-12\_ lay spend they they
- 4 Somc Ministries like Ministry of Road Transport and Highways, Department of Food and Public Distribution, Ministry of Labour and Employment; Ministry of Culture etc. have expressed their perceptive and the need [or developing innovative ways the priority to vulnerable community groups into resources and interventions: However, were insisted upon by the NITL   Aayog to scrupulously follow the guidelines and capture data of SC&ST beneliciaries they
- 4\_ The Secretary, Expenditure and JS Budget DEA expresscd that it be usclul to reitcrate and/or clarify to some Ministries/ Departments regarding earmarking out of thc total schemcs' budget or only from specific schemes budget: It was clarified that total CSS and CS schemes budgel of the obligated Ministries should be taken for consideration and earmarking should be donc only for such schemes which provide direct and quantifiable benelits t0 target groups by the line Ministries Departments. may
- 5 The Joint Secretary, NITI Aayog suggested that Ministries/ Departments should work out a mechanism to spend allocaled funds to benelit SCs and STs and if this is not possible under existing schemes, should formulate new schemes or new interventions If that is also not possible then we can consider for innovative measures for better utilization of SCSP & TSP funds. they

## Meeting concluded with the following decisions:

- Ministry of Social Justice & Empowerment, Ministry of Tribal Affairs and obligated Ministries / Departments in consultation with NITL Aayog should identify specific schemes which provide benefits to SCs and STs and ensurc allocation only for such schemes instead of notional allocation for all schemes (CSS&CS)\_

(Action: NITI Aayog, Department of Social Justice & Empowerment & Ministry of Tribal Affairs and obligated Ministries)

- ii. Ministry of Social Justice & Empowerment, Ministry of Tribal Affairs and obligated Ministries in consultation with NITI Aayog should come up with innovative responses or new interventions/new schemes for inclusive development of SCs and STs, in case of difficulties to allocate and or incur expenditure under existing schemes

## (Action: NITI Aayog, Department of Social Justice & Empowerment 6 Ministry of Tribal Affairs and obligated Ministries / Departments)

- for SCSP&TSP the obligated Ministries/ Dcpartments, dccision be taken by the Nodal Ministries i.e. Ministry of Social Justice & Empowerment for SCSP and Ministry of Tribal Affairs for TSP with the approval of their Ministers. by may

(Action: Ministry of Social Justice & Empowerment & Ministry of Tribal Affairs and obligated Ministries/ Departments)

- iv The criticality of reaffirming priority to vulnerable community groups needs to be reflected through continued support for and reiteration of the guidelines evolved by NITI Aayog: The allocation for SCSP & TSP in the Union Budget 2019.20 should not be le3s than the allocation made in the Union Budget 2018-19.

(Ministry of Finance, Department of Economic Affairs)

- V Ministry of Finance may also highlight to States, the   criticality of rcaflirming priority to vulnerable community groups through adcquate allocation of State resources for  SCs, STs, cffective utilization and

## (Ministry of Finance, Department of Economic Affairs)

## List of Participants

- Shri Ratan P. Watal, Principal Adviser, NITI Aayog
- 3 Shri M.C. Jauhari, Joint Secretary, NITI Aayog
- Shri Ajay Narayan Jha, Secretary, Department of Expenditure
- 4\_ Shri Aravind Srivastava, Joint Secretary (Budget), Department of Economic Affairs,
5. Dr. Muniraju, S.B, Deputy Adviser (SJE), NITI Aayog:

## to: Copy

- M/o Social Justice & Empowerment (Concerned Joint Secretary)
- iii . NITI Aayog (Dr. Muniraju. S. Dy. Adviser)

FNo. 2(33)-B (P&4)/2018 Government of India Ministry of Financc Department of Economic Affairs Budget Division

## OFHCEMEMORANDUMM

## Sub: Allocation of fund9 in Budget (2019-20) for Welfare of SCSP & STP.

The undersigned is directed to state that some of the Ministries/Departments hare either not kept anyprovision under SCSP and TSP or the provision kept is below the level stipulated by NITI Aayog vide its O.M. datcd 20.11.2017. List of such deviating Ministries/ Department is attached.

- 2 Para 6 (iii) of the MoM ibid stipulates that regarding the request for exemption/modification fOr earmarking Or incurring expenditure for SCSP & TSP by the obligated  Ministries/Departments, decision will be taken by the Nodal Ministries; ie Ministry of Social Justice and Empowerment for SCSP and Ministry of Tribal Affairs for TSP. Such exemptions, ifany obtained, may be intimated to this Ministry.
3. In case no such exemption has been granted by' the Nodal Ministries, the deviating Ministries/Departments are requested to look into the matter and take corrective action immediately, not later than 24.01.2019, to avoid delay in printing of the document. This may be treated aS most urgent;
- M/o Tribal Affairs (Concerned ,loint Secretary)

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(Gautam Palit) Under Secretary to the Govt: of India Tele: No. 23095083

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SECRET IMMEDIATE

Dated: 22 January, 2019

## Name of the Minlstries/Departments which have not earmarked funds for SCSP /TSP

- 1 Department of Fertilizer (SC and ST)
- Ministry of Petroleum & Natural Gas (SC and ST)
- Department of Pharmaceuticals (SC and ST)
- iv. Ministry of Road Transport and Highway (SC)
- vi Ministry of Tourism (SC)
- Department of Food and Public Distribution (SC and ST)
- Ministry of Water Resources (SC)

## 2\_ Name of the Ministrles/Departments whlch have earmarked less allocatdon for SCSP [TSP

- 1) D/o Agriculture Research Education (SC)
- 2) D/o Commerce (SC & ST)
3. M/o Culture (SC)
4. D/o Health & Family Welfare (SC) 3 M/o Housing and Urban Affairs (SC & ST) M/o Rural Development (SC & ST)
5. M/o Environment; Forests & Cimate Change (SC & ST)
- 8) M/o Power (ST)
- 10) M/o Textile (SC & ST)
- 9) M/o Road Transport & Hlghways (ST)
- 11) Mfo Water Resources, River Dev. & Ganga Rejuvenation (ST)
- 12) M/o Women & Chlld Development (SC & ST)

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Copy to

()

Yojana Bhavan, Sansad New Dclhi, Dated the 18lh June; 2014

## Ofice Mcinorandun

Subject: Revised Guidelines for Implemcntation of SCSPITSP by the StatesiUTs

Planning Commission set up an Inter-Ministerial Commitlee under the Chairpersonship Secrelary, Plenning Commissiou; effeclively implcmnent SCSPI TSP an essential   instrument for   accomplishing   inclusive   growth' Thc Commitlee after detailed deliberations with the slakeholder; including State Goverments, has revised the guidelines for implementation of Scheduled Caste SubPlan (SCSP) and Tribal Sub-Plan (STSP) by the StatesITs. These guidelines arc in from time to time including guidelines dated 31" October, 2005. A copy of each of the proposed revised guidelines is enclosed for informalion &d suitable implementation by

2. This issues with the approval of competent authority.

Chief Secretaries of all StatesIUTs.

Secretary, Ministry of Social Juslice & Empowerment; Shastri Bhavan, New Delhi:

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()   Secretary, Ministry of Tribal Affairs, Shastri Bhavan, New Delhi:

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(Madan Mohan) Adviser (SJeE) Tel. No. 23096723

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## 1.1 Objective:

The objective of the Tribal Sub-Plan (TSP) is to bridge the gap between Scheduled Tribe (ST) population and others by accelerating the development of STs by securing to them:

- Human Tesource development by enhancing their access to education &nd health services;
- Sobsiagtial reduction in poverty and unemployment; creation of productive assets and (iii) income generating opportunities
- V) Protection exploitation and oppression: against
- rights and  entitlements and improved (iv) Enhanced capacity to avail opportunities; facilities at par with other areas, and gain

## 12 Role of Nodal Department

of the Nodal department will be Member-Secretary of the Executive Committee cbaired by for inclusion in Annual TSP. The EC shall well as of the TSP schemes of different departments Minister of the Nodal also be responsible for the monitoring and evaluation of the TSPi Pland ili bee Vice-chainan f the Apex Level CommitteelTribal Advisory Council, chaired Department by Chief Minister that will approve the Annual Tribal Sub-Plan

At the State level the Tribal Welfare Department must be the nodal department authorized tothead The nodal department will work in close coordination with all the process of TSP development: must be made binding on relevant line departments. Directions of the Tribal Welfare Department the line departments.

## The Nodal Department shall:

- 1 identified  socioii. Conduct a critical gap analysis to assess the deprivation of STs on economic parameters
- deficits of ST population Identify socio economic indicators to highlight development
- iii. Identify priority-areas under TSP in consultation with line departments:
- allocations and suggest new Examine schemes on the basis 0f assessment and discussions with the concemed Iine Departments
- perspective TSP and Prepare Annual TSP documents taking into iv\_ Prepare & comprehensive account various sources of funding
- vi: strategic measures; set target-oriented' specific   socio-economic  indicators for
- vii: Grant approval for introduction of new schemes:
- another after viii Grant approval for re-appropriation of TSP funds from one department t0 mid-year review.

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## No.M-11012/03/2013-SJ&Sw Planning Commission (SJ & E Division)

## NoM-11012/03/2013-SJ&SW Pianning Commission (SJ & E Division)

- ix Undertake  scrutiny of the schemeslprogrammes submitted by the line departments to proportion to their departmental schemes are established and adhered t0
- xi. Design a comprehensive monitoring framework with well-defined indicators
- Submit such proposals, with their evaluation; to the Executive Committee for appraisal.
- Co-ordinate progress of various schemes/ programmes
- xiv. Conductcevaluation to access the impact of schemes implemented under TSP, on the socioeconomic conditions of STs on basis. regular
- formations   under xiii: Device a intiation t0 District Headquarters, instead of being routed through District Headquarters, by enforcing on them a system of accountability for effective utilization ofthe funds
- Enue the follow up of the schemes implemented and maintenance of proper records o Xv\_ assets created under TSP in District Block etc
- and accountability at all levels in the implementation of TSP schemes xvii. Ensure transparency and dissemination of information electronically relating to schemes/programmes; allocationeand expenditure along with physical targets and achievements in respect of each department and placing this information in domain: public
- Ensure that service delivery is standardized and adhered to in time-bound manner;
- viii. Epsure ethat all the institutional mechanisms are established at various levels; i.e State, District, Block, Gram Sabha etc,, as laid down in the guidelines.
- Ensure that   time  bound action is   initiated by various   departments to meet the XXrequirements of these guidelines.
- Ensure that the gaps still remaining under the TSP financing are highlighted ITDPs/ITDAs/MADACluster/State level at the time of TSP  financial for each facilitate   the  synchronization of the gap  filling role of the allocations SO as to Ministry's scheme SCA to TSP with the gaps identified in TSP; pattem

## 1.3 Perspective Document and Annual Plans

a comprehensive perspective TSP documentE taking intablccontsp The States[UTs shall prepare implementation: Funds available for TSP available sources of funding; to serve as a road map for and Central Plans Central Sector and Centrally Sponsored Schemes as well as State Plans under shall be pooled for the purposes of planning for TSP

This perspective document shall, inter-alia, reflect on:

- and deficits  in terms of relevant schemes ,taking into 1\_ Strategy to address the gaps allocation of funds, fixing consideration the strengths of the tribal'$ community; linequalities in their sociotargets to address inter-tribal and inter-habitation variancef Particularly  Vulnerable economic status and equity approach: The needs of the and   special be accorded  priority with   focused  approach physical based

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## NoM-110I2/03/2013-Jesw Planning Commission (SJ & E Division}

attention to improve their   conditions of food  security, health and education for mainstreaming these sections.

- iii Likely flow of benefits, in financial as well as physical terms, and specific steps required for accessing benefits by the tribals from each of the national (and State) level Flagship Schemes:
- The strategy should define priorities for the TSP with & focus on long-term sustained gains in relation to area development:
- iv Role and contribution of NSTFDC and State level STFDC and TRIFED etc.
- vi; Mechanismslsurveillance system to ensure utilization of funds meant for the intended purpose:
- Critical evaluation to assess whether the   ongoing schemes/ programmes have the potential to accelerate the pace of development of STs and result in bridging the gap in development in & time-bound manner:
- vii: Evaluation &s to how TSP has and is likely to help the STs in respeet of the following areas conceming STs: key
- 6) Access and control over forest and effective implementation of FRA ad PESA, wherever applicable
- a) Prevention of land alienation and indebtedness
- Involuntary displacement due to development projects, proper rehabilitation

The StatesIUTs shall break Up the Perspective Plan into doable annual Plans and accordingly prepare annual plan documents taking into account all available funds during the year, including Centrally Sponsored Schemes:

- viii: effectiveness of schemes/programmes:

## Selection of scbemes/programmes

The TSP should include only such existing schemes (including additional components to existing schemes) or new proposed schemes, which full-fill following criterion:

- Provide clearly defined direct and quantifiable benefits to ST individuals or Scheduled Tribe households or Tribal areas the benefit provided to the STs along-with other people at a particular time may not be treated as direct benefit under TSP.
- C The focus of such schemes should be on education; income generation, improving access to irrigated land, entrepreneurship, employment and skill development projects and access to basic amenities:
- b Create the potential to accelerate the pace of the development of STs and to bridge the gaps in socio-economic development indicators between STs and other sections of the society
- d\_ Have in-built mechanisms/surveiliance system to ensure utilization of funds meant for the intended purpose.

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## No.M-I1012/03/2013-SJ&SW Planning Commission (SJ & E Division)

## 1.5 Earmarkingl Allocation of funds

Nodal Departments shall ensure that concerned departments are providing for STs in their budget the same extent as is available to other populations,  in proportion to their requirement:

Approval of Planning Commission may not be   accorded to are not earmarked under TSP, in proportion to the population of STs in State

State governments should ensure that TSP funds are placed under the control of the Nodal Department

Funds shall be earmarked/ allocated to the TSP subject to the following conditions:

- The expenditure under TSP is meant only for filling the development deficit; as an additional financial support over and above the normal provisions which should be available to STs, like others, in various schemes, including in flagship programmes.
- The funds should be   earmarked well in advance, at least six months, to commencement of the financial year: The size of the TSP fund thus earmarked shall be communicated t0 all departments for commencing process of preparation of TSP of each department prior
- ii. The funds  under  TSP are earmarked from the total plan outlays (not excluding the investments under externally aided Projects-EAPs and any other scheme), not less than the population proportion of STs in State as per 2011 Census and in tune with problem share of the ST population.
- iv. There shall not be any notional   allocations, that don t have flows/schemes   directly benefiting STs
- Due to physical remoteness and difficult terrain of tribal habitations, financial norms may need to be higher in tribal areas as compared to general areas This should be ensured so that service standards in ST areas are not compromised.
- V. Special attention shall be to allocate more funds to STs residing in the Scheduled Areas: paid
- vii, Every StatelUT shall undertake skill mapping and allocate funds under TSP for skill development of tribal and set targets in the light of the monitorable targets under poverty and employment in the 1Zth Five Year Plan: The target under I2th Five Year Plan is to generate 50 million new work opportunities through skill development youth
- ix The   departments, in  consultation with   Nodal Department,  shall  prepare the TSP to promote equity in development among various social groups within STs:
- viii: The synergy of inter-sectoral programmes and an integrated approach/convergence with other schemes/programmes are ensured for efficient utilization of resources
- X. To ensure non-divertibility, funds under TSP  shall be earmarked under a separate Minor Head below the functional major Head/Sub-Major Heads
- xii: To ensure effective and optimum use of resources; the re ~appropriation of TSP funds from one Department to another Department should be facilitated after mid-year review.
- xi The TSP funds, under Minor Head shall   comprise   sector-wise and   scheme-wise allocations and actual expenditures incurred

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## No.M-11012/03/2013-SJeSW Planning Commission (SJ & E Division)

Appropriation of TSP funds from one Departmient to another Department shall be with the approval of the Nodal Department

- xiii. The State govemment may device a mechanism for speedy transfer f funds directly to field   formations   under   intimation to District  Headquarters, instead of routed through   District  Headquarters, by  enforcing on them a of accountability for effective utilization of the funds: being system

## 1.6 Norms for allocation

There should be no division of the total Plan outlay into so-called divisible ad non-divisible components, with the TSP being confined to the divisible outlays alone Norms to be followed for allocation of the cost ofa scheme to the Tribal Sub-Plan are given in table below\_

Table Norms for allocation of cost of a scheme to TSP

| SI No   | Type of Scheme                                                                 | Cost to be allocated and accounted for under TSP                                      |
|---------|--------------------------------------------------------------------------------|---------------------------------------------------------------------------------------|
|         | Exclusively for ST individuals Or ST households,                               |                                                                                       |
| 2       | For Scheduled Tribes habitations                                               |                                                                                       |
| 3_      | Benefiting mixed habitations                                                   | In proportion of the population of the STs in the habitation.                         |
|         | General schemes benefiting ST individuals or ST households, along with others  | In proportion to the Scheduled Tribe beneficiaries actually covered:                  |
| 5       | non-divisible infrastructure works                                             | estimates of likely benefits that may flow to STs may be shown as likely flow to TSP. |
| 6       | For area based development projectslactivities                                 | 25% in   respect of the StatesMUTs having upto ]O% ST population:                     |
| 7_      | Reimbursement of fee for higher education in self Sinanced private institution | To be fully met from TSP fund                                                         |

The  schemes that follow other norms shall be recommended by concemed agency in the departments and   aggregated for   placing   before the Minister, Tribal  Welfare Department of State for consideration and approval as a pre-budget process

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## Planning Commission (SJ & E Division)

## 1.7 Establishing Standards for Service Delivery

For the TSP to succeed in its avowed objective of filling critical gaps in the development of STs within a defined time frame, it is necessary that minimum acceptable standards of service delivery in each are established and enforced across sectors, across geographies. At present the rigor and quality of existing service delivery varies greatly from State to State and also within States; between districts/ ITDPs etc. The Nodal department must ensure that all line departments establish these standards of service delivery and strictly monitor their enforcement: The Nodal Department, in standard of service delivery is maintained at all levels for activities undertaken through TSP. For example, in case of education at elementary level the minimum standards a stipulated under the RTE Act should be the benchmark. For Secondary level and above; the State specific norms are to be followed. The efforts should be made to improve upon the existing standards through innovative exemplar practices The standards are to be maintained in infrastructure development; teacher training, Meals, support to students and support to teachers.

Similarly, for health sector, it must be ensured that the services being delivered through the TSP are meeting standard requirement and not inferior to similar services provided to other categories lt is also emphasised that the children in Ashram Schools and Hostels are provided with adequately diverse diet rich in essential nutrients with the appropriate frequency to ensure their optimal physical growth and cognitive development: A periodic health check-up of these children in conducted as per the guidelines ofRBSK, NRHM being robust monitoring system to monitor the standards of service delivery is therefore, a nonnegotiable   requirement   States/UTs must put in   place a system for  regular  monitoring of standards of service delivery.

## 1.8 Formulation of TSP

The State, after estimating the gaps in the development of Scheduled Tribes, will prioritize their development needs through a consultative process, and shall formulate the TSP schemes and prepare the TSP within the State Annual Plan and Five Year Plan:

In the formulation of TSP, the States/UTs shall proceed as follows:

- TSP should be formulated at the District level by the District Planning and Monitoring Committee (DPMC)
- The annual plan must be approved by the District Planning Committee so that it has the approval of the highest PRI.
- ii The DPMC must reflect o the actual demand for the schemes/programmes that are to benefit   STs, giving   priority to  equity aspect of their local aspirations and socio-economic backwardness.
- iv. In case of area-oriented schemes, a Block level approach should be adopted So as to facilitate the inclusion of ST habitations which remain uncovered under District level approach.
- The TSP at ITDPI ITDAJ District level should form the basis for the State TSP formulation and   implementation. The requirement  of funds across

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## Planning Commission (SJ & E Division)

DPMC proposals together would generate demand for TSP requirement at the State level: put

- vii. To prepare a realistic budget,  matching   sectoral priorities and   actual budgetary flow, the Nodal department  should consult all related Departments to
2. vi; In the States having Scheduled Areas, the Gram Sabhas should undertake an exercise to identify the areas needing priority attention in villages   These priority activities may form TSP at clusterMMADA/ ITDPIITDA level ,
3. a identify priority-areas under TSP
4. b\_ examine various on-going schemes and their budgetary allocations and
5. C suggest new schemes
- ix. Service   delivery should be  standardized  and  adhered to in  time-bound manner.
7. viii: The approval of the Nodal Department is mandatory for introduction of new schemes:
8. X To facilitate the synchronization of the gap filling role of SCA to TSP, gaps still remaining under the TSP financing must be highlighted for each [TDPs/ITDAs/MADACluster/State level at the time of TSP financial allocations. pattem

## 1.9 Appraisal and Approval

appraisal process and only those plans/programmes that pass this appraisal should be included in the Annual TSP of the StatelUT: The following steps shal; be adopted in the appraisal and approval process:

- Schemeslprogrammes submitted by line departments will be scrutinized by the Nodal Department to ensure that () only those schemelprogrammes, which   full-fill the criteria  of securing  direct  benefits to ST individuals, households and localities and are aligned to the strategic objectives of TSP are processed/cleared; (i) service delivery standards  under all  concemed schemes are established for all levels of delivery
- 2, The Nodal Department will submit such proposals, with their evaluation; to the Executive Committee for appraisal.
- a. Extent of gaps and extent to which the proposed schemes will bridge
- 3 The Executive Committee shall undertake   appraisal  of the   perspective document and the TSP schemes submitted by the departments for inclusion in Annual TSP. Appraisal shall involve a critical analysis of the following;
- b Are the benefits quantifiable?
- C. Whether the Departments have the institutional capability for

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## NoM-11012/03/2013-SJ&SW Planning Commission (SJ & E Division)

effective   implementation of  TSP have a plan to create such institutional capabilities.

- Whether the required monitoring/tracking and outcome evaluation mechanism has been established:
- d\_ Whether  the Departments have institutionalized  control over Iocal plans and resources for TSP in the Gram Sabhas in the Scheduled Areas.
- 4\_ The Appraisal Report of the Executive Committee will be considered by the Apex Level Committee (ALC) for approval;

## 1.10 TSP Monitoring

The Nodal Department will co-ordinate progress of various schemes/ programmes and design & comprehensive  monitoring   framework with service delivery standards as well as outcomes.

The concerned line departments will specifically monitor TSP progress and performance within their regular monitoring mechanisms at all levels Nodal department will monitor progress for review by the Executive Committee.

The quarterly Perfomance Review report of the State TSP should be communicated to the TSP Unit Planning Commission as well &s Ministry of Tribal Affairs through onlinele-mail system

## Institutional Arrangements

To effectively discharge its mandate, the Nodal Department will be adequately strengthened through technical support group,  knowledge   leadership   analytical   functioning in areas pertaining to schemes/programmes and collection of related data for evidence-based planning ad decision percentage of TSP allocation towards evaluation and monitoring activities, after utilization of their existing resources, including manpower. optimal

The States/ UTs shall establish the following institutional structures and mechanism for effective

- Apex Level Committee (ALC) or & Tribal Advisory Council with the Chief Minister as Chairperson and Minister of the Nodal Department as Vice-chairman.

## functions: Key

- 2 To formulate  policies relating to TSP
- C. To suggest measures for proper planning and implementation of the schemes by the departments

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- b To approve perspective TSP document and Annual TSP Plans

## No.M-11012/03/2013-SJESW Planning Commission (SJ & E Division}

To monitor progress of TSP s as to take timely corrective measures for improving performance of the departments

The APCITAC will meet once in six-months

- Executive Committee with the following composition:

Chief Secretary- Chairperson

Secretaries of all line departments Members

Secretary of Nodal department Member-Secretary,

## functions: Key

- b. Monitoring implementation of Annual TSP Plans
2. a Appraisal of the perspective TSP document and Annual Tribal Sub-Plan
3. Evaluation of implementation of Annual TSP Plans:
- C. issues to The Executive Committee shall submit its report on the above matters emerging the ALCITAC and

The Executive Committee will hold its meetings every three months

## District Level

District Planning and Monitoring Committee (DPMC) with following composition:

Dy. Commissioner [istrict Collector- Chairperson

Project Officers of ITDPITDA Secretary

District level officers- Members

The DPMC shall also have representation   from local   legislative  and parliamentary constituencies:

## functions: Key

- Forulate TSP at the District level.
- Review the implementation of Tribal Sub-plan every month;:
- b Get it approved by the District Planning Committee.
- C. d. Cevnenunicate the quarterly Performance Review Report to the Executive Committee

Gram Panchayat shall review the implementation %f TSPIMADAlcluster progvatemes in the villages oca aonthly basis and forward the report to the DPMC through on-line system

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## NoM-11012/03/2013-SJ&SW Planning Commission (SJ & E Division)

Gram Sabha shall also review the implementation of TSPMMADAlcluster programmes in the villages in the Scheduled Area at periodic intervals.

## Sociel Audit

The States/UTs shall set up its own Social Audit Programme with the involvement of elected representatives, beneficiaries and reputed voluntary organizations/NGOs/CSOs Even within the geographical boundaries of the Gram Sabha, as tribal habitations are scattered at large distancese States/UTs shall design social audit programmes such that these are undertaken at the level of the ST cluster or habitation; States/UTs shall undertake to develop adequate capacities amongst the inhabitants of the clusterhabitations.

## 1.12 Transparency and Accountability

The States/UTs shall make their Nodal departments responsible for ensuring transparency and accountability at all levels in the implementation of TSP schemes and for placing in the public domain information Telating to schemes/programmes, allocation, expenditure, physical targets and achievements in respect of each department

Further; the following measures shall be taken:

- a Each department of the Statel UT shall host relevant documents, as decided by the nodal department in the public domain:
- C. States may device some parameters indicating performance in implementation of TSP for field functionaries, key
- b Nodal   Department may ensure the follow up of the schemes   implemented  and maintenance of proper records on assets created under TSP in DistrictBlock etc; The
- establish a web enabled MIS with software engineered data to make all TThe States/UTs shall information regarding release of funds and expenditure each schemelprogrammes; domain and for faster infonmation exchange between the various stakeholders through the network against public

## 1.13 Outcome Evaluation

The following measures will be taken for effective evaluation of schemes under TSP:

- The Tribal Research Institutions should be   involved in The State consultation with the civil society organizations may also be exercised
- A Bench Mark Survey (BMS) shall be undertaken at grass root level in each State/UTto of benefits   under TSP reach STs: It zhould reflect benefits ensure that the delivery availability of basic already drawn, socio-economic status of STs, occupational category. as amenities etc: be conducted on a continuing   basis to reflect the impact measurable indications of socio-economic upliftment and change:
- C. of funds   under TSP but   also the   evaluation of the and   monitoring  of utilization their impact on the upliftment of socioprogrammes/schemes under TSP and ultimately economic conditions of the tribals

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## No.M-11012/03/2013-SJ&Sw Planning Commission (SJ & E Division)

- The State Commissions for Scheduled Tribes will be strengthened &nd mandated to get independent evaluations of TSP conducted at the State/District Project level.

## 1. Manpower Planning; Training and Orientation

The States/UTs shall strengthen their Nodal and implementing   departments in the field to effectively discharge their mandate with regard to implementation, monitoring and evaluation of the TSP.

States/UTs shall establish Technical TSP Research Cells at Nodal departments as well as in line departments: The function will be to assist the nodal and line impact of schemes/programmes and collection of reliable data for evidence-based planning and decision making: key

The capacity building of the personnel at all levels shall also be taken up on priority for yielding the desired outcomes under TSP. Training and orientation should involve strategic planning and project   management of view are addressed in the formulation and implementation of TSP. point

States/UTs shall   provide a field  manual in  regional  languages  for use by field officers to facilitate effective implementation and monitoring of various schemeslprogrammes:

## 2. Creation of general awareness of TSP schemes

State Govemments shall take initiatives to generate awareness among the general public about the schemes to be implemented/being implemented for the development of STs by the different departments of the State Goverments through electronic and media. print

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