Prologue : Recent CIC order regarding putting political parties under RTI has sparked a controversy and public debate with political parties opposing CIC order and are ready with an amendment to RTI Act, 2005. Arguments of various players are provided in dialogue format below.
CIC : Major Political parties are substantially funded by central government, thus these are public authorities under section 2(4) of RTI act and thus they should come under RTI Act. This funding comes in the form of tax exceptions, buildings and residences provided to political parties & their MPs etc. Last 5 year Tax exemption values are, BJP = 270 crore; congress = 540 crore; BSP = 149 crore etc.
Political Parties : 1. What additional information can anyone get from political parties which is not available right now?
2. RTI Act is for government bodies and it is absurd to bring political parties under it because political parties are voluntary organizations.
3. Political parties are responsible to Election Commission (EC) which is having all the details of our funding. Go and ask EC using RTI.
4. People who have extra time will keep on filing RTIs and will harass parties.
RTI Activists : (Response to above points)
1. Additional information which we want to know is:
1. about internal functioning of Political parties
1. How office bearers are chosen
2. How a candidate is selected for giving ticket
3. How & Who maintains parties electoral rolls
6. Bullshit ! (RTI Act defines something known as Public Authority, and any organization having substantial funding from govt. should be under RTI. Even Tirupati Temple is under ambit of RTI)
7. Election commission has no information on funding which are less than 20,000 rs each & internal functioning (1 above)
8. Bullshit ! You put all information and public domain.
Other Points :
9. Even if Political parties are of the opinion that CIC has erred in his decision, they should have challenged CIC order in high court, what is the haste in bringing amendment?
10. How does Transparency hurt anybody?
11. Transparency = basic element of democracy & RTI act will bring Transparency
Dinesh
Reference : Rajya Sabha TV Debates
Showing posts with label RTI. Show all posts
Showing posts with label RTI. Show all posts
Monday, January 13, 2014
2nd Report Unlocking Human Capital (Entitlements and Governance)
* Preface:-
* NREGA 2005- signals a paradigm shift to legal entitlements, public accountability coupled with community rights, and responsive and participative management.
* Earlier wage employment programs had various problems:-
* Low coverage, <50% beneficiaries from most needs groups.
* Beneficiaries not from locals, actual wage < prescribed wages, gender bias, <30 days of work per year per worker, poor quality of assets, forged muster roll.
* Various schemes but poor impact on poverty, poor is caught in social captivity.
* Areas with extremism, or which are inaccessible - employment schemes are fully in the hands of contractors and middlemen.
* Empowerment of the poor through breaking the barriers of unemployment, illiteracy backwardness, ill health, debilitating (weakening) social inequality then form participation in gov = growth process and inclusive growth.
* NREGA promoting democracy through its accountability mechanism (social auditing) -which is demolishing the traditional hierarchy of power.
* Poor administration, public delivery systems affected the poor = corruption.
* Extremism Naxalism Areas with high concentration of poverty, poor governance systems, weak infrastructure, unequal power structure. Pachayat are non-existent, non functional, NREGA can promote democracy there.
* Institutional, administrative, financial management system of NREGA
* Contents:-
2. Review of public employment programs -Wage employment in the past Employee Guarantee Scheme Lessons.
3. NREGA- Implementation and Challenges Shift towards universalization funding execution centrality of local government Administration and institution arrangements.
4. Special challenges of backward areas.
5. Issues and Recoms
* Applicability to other programs
* Change towards universe entitlements
* Guaranteeing reach and outcomes
* Ensuring convergence
* Expanding the scheme
* Union funding and state execution
* Accountability mechanisms
* Fixing wages rates
* Financial Management System
* Preparing estimates for work
* Maintaining labour-material ratio
* Mechanisms for procurement
* Administration and institution arrangement
* Strengthening local government
* Selection and maintenance of works
* Block Resource Centre
* Entrepreneurship institutions for the Rural poor areas
* Monitoring Systems
* Curbing corruption and leakages
* Transparency and RTI
* Use of IT
* NREGA in 9th and 6th Schedule areas
* NREGA in areas affected by natural disasters
* Records
* Coordination mechanism
1. Introduction
* Shift in govts approach to development. Shit is towards universalization and entitlements. That means instead of just concentrating on the GDP growth to inc the living standards of citizens, now the approach is to recognize minimum levels of education, health, employment, nutrition as basic entitlement and static role in providing them to all.
* Emphasis on balanced regional development - problems in backward areas. Greater resources them.
* Fundamental change in funding and execution of government programs
* Increasingly key programs are being funded by the Union and executed by State this ensures no resources constraints and regular funds are available to Panchayat -> ensures peoples participation, initiative and supervision.
* Flagship programs SSA, NRHM, ICDS, NREGA, Bharat Nirman, Drinking water mission, total sanitation campaign these signal the shift towards universalization and entitlements.
* Challenges Maintaining regularity of fund flow and ensuring accountability.
* Common objective of flagship programs delivering entitlements universally. So need for their convergence at grass root level. Their planning systems should be integrated harmoniously for common implementation frame work for all schemes.
* Administration and institution (for financial management) arrangements for implementation and monitoring multi tier structures - Requires both vertical coordination of diff tiers and horizontal coordination across departments for execution through the local govt.
1. Review of Public Employment Programs
* Wage Employment programs in the past:
* Rural Manpower Program 1960-69 (RMP) employment to 2.5 m people in areas affected by seasonal employment.
* Crash Scheme for Rural Employment (CSRE) 1971-74 350 districts. Labour intensive works. Creation of durable Community assets.
* Drought Prone Areas Program (DPAP) 1971-73 to mitigate severity of drought condition.
* Areas Development Program (ADP) - do-
* Food for Work Program (FWP) 1977-80 creating employment to raise income levels and so nutritional levels. Strengthening rural infrastructure = high production and better living standard utilize surplus foodgrains of HRD
* National Rural Employment Program (NREP) 1980-89 generate additional employment (rest same as FWP)
* Rural landless Employment Guarantee Program (RLEGP) 1983-89 provide 100 days of employment to at least oen member of a landless household.
* Jawahar Rozgar Yojana (JRY) 1989-99 almost same as FWP.
* Food for Work program II (FWP) 2000-02 food security through wage employment in drought affected rural areas.
* Employment Assurance Scheme (EAS) 1993 99 100 days of employment to a person in 1752 backward blocks during lean agriculture period.
* Jawahar Gram Samridhi Yojana (JGSY) 1999-2001 creation of village infrastructure, generation of supplementary employment for unemployed poor (BPL) in rural area.
* Sampoorna Grameen Rozgar Yojana (SGRY) 2001 Provide wage/employment, food security, create durable assets . (This scheme was formed by merging Employment Assurance Scheme and Jawahar Gram Samridhi Yojana)
* Evaluation of these programs:-
1. Funds were not utilized in full, Reasons lack of planning; untimely release of funds, both from union govt to Dist. Rural Development Agencies (DRDA) , and from the DRDAs to blocks; inability of states to generate matching resources.
2. Low coverage of villages and target groups (non-poor beneficiaries)
3. Less labour intensive activities, more capital intensive activities. Normative capital labour ratio was not adhered to.
4. <30 days of wage employment in a year.
5. Bogus reporting on actual achievement
6. Poor quality of the assets created. Non durable.
7. Corruption at political and administration levels.
8. Manipulation of muster rolls and measurement books.
9. Very low participation of women.
10. Schemes explicitly forbade involvement of contractors and use of machinery.
* Employment Guarantee Schemes (EGS) - Early 1970, Maharastra. Unskilled manual work on piece rate basis - Self targeting EGS is still continuing > but little impact on reduction of poverty and unemployment, distress migration of workers continues, poor quality of assets created and their maintenance is not satisfactory, failure to adopt a local development policy to promote overall development.
* Reasons:
* Inadequate planning for assets, serious flaws in project selection. So hostile development plan is required which is integrated with the implementation of other development schemes.
* Lack of peoples participation in planning, implementation. Domination of bureaucracy resulted in technocratic and top-down approach.
* Limited role of Panchayat s in planning and implementation
* Lack of capability No training given to elected Panchayat Chiefs and others. Training of officials/representatives of Panchayats is the key to the success.
* Focus on physical work - It resembles the famine relief works of colonial period, our knowledge based rural economy was destroyed during the colonial period - Need to redefine employment programs to use knowledge and skills in the works will result in self-sufficient rural economy. Reduces rural-urban divide.
* Leakage: Fudging of muster rolls and measurement books. Contractors were involved.
1. NREGA Implementation Challenges
* Salient Features of the Act
* Paradigm Shift Employment is now a right which is enforceable Objectives are same as before, viz to provide livelihood security. Durable assets created through employments productive infrastructure for poverty alleviation on a sustained basis.
* Challenges: be arise because of 1. Shift towards universalization and entitlements, 2. Funding by the Union and Execution by State 3. Centrality of Local Govt. 4. Administrative and institutional arrangements 5. Problems in the backward areas.
* Shift towards universalization and entitlement:-
* Guaranteeing Reach - Legal guarantee of work, enforced within a specified timeframe. So creating work opportunity is a major challenge for the states. So there in need for in depth understanding of region specific demand and its seasonality to meet the demand the demand for work, otherwise unnecessary burden of compensation on states.
* Guaranteeing Outcome:- Creation of infrastructure which is sustainably generated employment for poverty alleviation and should be durable and productive. So proper planning is required for assets designing and construction. Monitoring mechanism should be created by strengthening institutional structure at local government level, for optimal use of resources.
* Ensuring Convergence:- Integration of implementation of flagship programs. Requires preparation of holistic integrated development plan at the local level and includes works to be identified, and undertaken systematically are part of long term strategy for rural development.
* Method of Expansion:- Already expanded.
* Gender balance :- in implementation.
* Union Funding and Execution by State Governments
* Fund Flows: depends on demand for work. A clear mechanism for flow needs to be evolved rather than through normal bureaucratic procedure.
* Accountability: makes it difficult for holding accountable because of duality of funding and executing agencies. So accountability mechanism should be clear.
* Moral Hazards and Distorted Incentives: Likelihood of wastage in the use of resources as executing agency is diff from funding agency.
* Centrality of Local Governances: PRIs execute the scheme. Responsible for identification, execution, supervision of projects as per recoms of Gram Sabha and Ward Sabha.
Gram Sabha chooses the projects for implementation.
-Ensures accountability. Conducts regular social audits
So capacity building is necessary.
* Administrative and Institutional Arrangements
* Technology: NREGP is a large scale program and complex. So technology should be used to facilitate its implementation. Efficiency, expediency, accountability, transparency, prevention of leakages etc.
* Corruption and leakages: Simultaneous monitoring by Gram Sabhas, SHG, Local Monitoring Committees , NGOs. Monitoring should be institutionalized by defining clear charter of roles, responsibility through activity mapping, capacity building of all monitoring agencies.
* Transparency in selection of beneficiaries, identification of works, preparation of estimates. Muster rolls should be freely available for inspection. Payments to workers should be made public on pre-announced dates. Panchayat has to discharge all obligation stipulated under the RTI.
* Community Participation a planning, implementing, supervising, monitoring of the schemes. Community decision making on the choice of works.
* Special Challenge of Backward Areas. Weak governance structure, low organizational capacity and highly stratified (divided castes) social and economic power structure. Difficult terrain. Poor accessibility. Poor infrastructure.
1. Special Problems of Backward Districts
* Extremism - Naxalism, Insurgence, Scheduled Areas, Tribal Area
* Non-functionality of PRIs. Widespread poverty. Mostly in arid and semi arid regions. No connectivity, low spread of banks and post offices.
* Socioeconomic indicators mostly below national average. Literacy, female literacy etc. %age of SC, ST population is high.
* Primarily agricultural society - Large %age of Agriculture Labors More than 33% of national average.
* Large scale prevalence of landlessness.
* PESA - Panchayats Extension to Scheduled Area Act 1996
* Powers and responsibilities of PRIs, Gram Sabhas in PESA is different from other areas. Gram Sabhas approves plans, projects, before they are taken up for implementation by the Panchayat at the village level. Gram Sabha identifies the beneficiaries, certify utilization of funds by Panchayat.
* No Uniformity in sizes of population and areas in villages and districts. And no uniformity in the norms for administrative staffing, service delivery
* Very poor mechanisms. Understaffing = overburdened, leakages, lack of motivation and professional competence. So, administrative apparatus should be strengthened.
* Gender Gaps
1. Issues and Recoms
* 5.2 Change towards universalization and Entitlements
* Guaranteeing Reach Creating awareness (through programs) among the people to register for work. Registration should be transparent and objective. Inherent prejudices in the rural society due to case class, religion and thus some cases are not registered. Social boycott, exclusion. So effective monitoring mechanisms involving civil society organisms should be created Recom
* Guaranteeing Outcomes Socio-economic impact evaluation should be conducted regularly. Impact on livelihood security, etc. Evaluation helps in policy corrections.
* Parameters poverty, nutrition, sustainability of income from assets created, the extent of unemployment, magnitude of migration, and access to different essential services, average annual income, and average market wage for agricultural laborers these should be determined with pre-define threshold level so as to meet the objectives of NREGA substantially.
* Districts should be ranked according to their performance. Parameters durability of assts, %age of people employed, involvement of Gram Sabhas, accountability, transparent, timeliness etc.
* Ensuring Convergence NREGA; objective livelihood security. It requires not just employment but also health services, education, housing, food security, social security, etc.
* Recoms- Convergence with other service delivery systems is required.
* Convergence with other infrastructure/asset creating programs. Convergence of funds of both, i.e. emerging the labour component of NREGA with the capital component of another program. This may create serious accounting problems.
* Convergence in planning. Currently, all major schemes have their own prescribed mythology of preparing a plan. 73rd Amendment Act There should be one integrated area plan for economic development and all sectoral/schemes wise plans should be developed from the plan. Synergy can be achieved.
* Convergence in machinery and infrastructure and monitoring - At present, different implementation machinery often working vertical silos. This leads to wastage of resources, leakages, duplication of administrative staff and infrastructure like buildings, computer, and equipment. So all rural development programs should be transferred to PRIs. They should be adequately funded and provided with well trained officials.
* Convergence with Bharat Nirman:- Central scheme for rural infrastructure in partnership with states and PRIs. (2005-09). Bharat Nirman has some targets set in creating rural infrastructure electricity, all weather roads, drinking waters, telephone connectivity, housing, irrigation. It needs large manual labours.
* Expanding the Schemes already expanded.
* 5.3 Union funding and state execution
* Accountability Mechanisms - Maturing federalism. States are increasingly empowered to determine their own policies and programs. Role of union is expanding in new ways.
* Education, healthcare, rural and urban development, social security largely under state jurisdiction. And yet, these services are increasingly driven by union govt. policies and funds.
* Reasons Paucity of resources at state level, need for standardization of services, equitable balanced development, imperatives of achieving challenges of growing economy; Different execution and funding agencies erodes accountability.
* Union govt funds bears entire cost of wages of unskilled manual workers; 75% of cost of materials and cost of wages of skilled & semi skilled workers; administrative expenses.
* States - 25% ; unemployment allowance incase work cant be provided.
* A distorted incentive system is created because of the funding pattern.
(Because in some cases of works like earthworks where no material component is required, states contribution is nil)
(Wherein inc in the central funds doesnt inc the matching funds of the states)
Thus states may run the schemes on a larger scale or for longer time than is actually required.
* Similarly, a Panchayat which prevents misuse of funds would in long run end up getting lesser funds than a Panchayat which is not so meticulous is ensuring proper use of funds under the schemes.
* So need for strong accountability mechanisms. (monitoring and evaluation), independent agencies, IT.
* Fixing wage rates - (minimum wages act)
* Variations in notified min wages for agricultural labors in different states.
* Min wages are generally fixed on time rate basis (per day etc) where as works are executed on piece rate basis (wage for piece of work)
* Reconciliation between the two is a challenge.
* Recoms: A detailed study about min wages should be made before fixing min wage.
* Financial Management System
* Essential elements of a system:
1. Adequate availability of funds
2. Smooth flow of funds from GOI to districts to Gram Panchayat, to workers.
3. Smooth flow of financial info from Panchayats to district, states, union.
4. Reliable accounting system.
5. Timely detection of financial violation
6. Transparency and accountability
Operational guidelines for fund flows as of now
* National Employment Guarantee Fund to State Employment Guarantee Fund (EGF) to District EGF to Panchayat EGF
* Release of funds to districts
* Cost and time both increase when funds flow through unnecessary intermediate levels. Experience shows that when centrally sponsors schemes (CSS) are routed through state govts, there are substantial delays in receipt of funds at lowest level.
* Argument for routing through states is that plans and budgets can be prepared, implemented and monitored more effectively only when state is the recipient and disbursal authority. However, this can be achieved by only giving info about the flow of funds to the states.
* Recoms Transfer funds directly to districts, which are closer to the points of utilization. Districts should be made nodal points for funds and Information.
* Pre-requisites for release of funds-
* In all Centrally Sponsors Schemes, the backlog in utilization of funds is huge.
* Recoms If a state doesnt make its contribution, it may be deducted from its central Assistance for State Plans.
* Proactive not reactive fund flows- to avoid delays in payment (for workers and employment schemes)
* Earlier (reactive fund flow), centre used to transfer funds to states (for CSS) only after states completely utilized the earlier funds. (utilization certificates) not appropriate for demand based schemes.
* Delays results in wastage of money in the form of employment allowance.
* Recoms: Delays can be avoided if certain minimum amount is always maintained in the Panchayat Employment Guarantee Funds.
* System of releasing funds based on utilization certificates should be replaces with a system of concurrent monitoring and audit through an independent agency.
* Panchayat Accounts with banks funds are transferred to them Replenished periodically.
* Emphasis on outputs and outcomes
* Recoms: PRIs have to ensure the quality and nature of assets created. Info and evidence on these aspects would have to be compiled and made available to all. Mandatory periodic social audits.
* Checks and Balances-
* Current mechanisms or ensuring proper utilization of funds are utilization certificates and audits. UC is a self certification document issued by a public authority (District program coordinator or someone else) certifying that the funds utilized by it have been expended as per the rules. It is expected that the public authority has carried out necessary verifications.
* UCs doesnt guarantee proper utilization of funds as verifications are seldom carried out.
* UCs delays in payments Audits are very irregular, generally.
* Concurrent Monitoring and Audit System: verification of accounts of all the implementing agencies (3 tier PRIs). Verification of works carried out too. By independent external agency. Every month. It will point out the discrepancies. Monitors the compliance of earlier observations.
* Recoms PRIs should be educated about new computerized accounting systems, funds flow management etc. Misappropriated money should be recovered from the responsible Panchayat or persons.
* Financial Information System:
* Recoms Gram Panchayat forwards all financial info to block Panchayat. aggregate all the info and forward to District Panchayat (nodal agency). Computerization of all blocks so easy availability of info Standardized formats - A uniform financial info system for the entire country.
* Mode of payment to workers- Through banks and post offices. But bank is very limited. Most of the Panchayat do not have a branch of a nationalized bank. Payment through banks and post-offices though are the surest way to ascertain the amount but they poses administrative and accessibility problems.
* Recoms: Choice of the mode of payment should be left to the workers; payment in cash may be the preferred option. The agency preparing the muster rolls must be different from the agency making payment to the workers. In drought prone areas, a part of the wages may be distributed in terms of food grains.
* Role of banks and post offices in funds flow-
* Large no. of zero balance accounts have to be opened. Transactional costs of the post-offices have to be borne by govt as they cant cover their cost if the account has low amount of money.
* Other issues guidance for rural poor in their banking operations So procedures need to be simplified.
* Preparing Estimates for Works:
* Time rate vs Piece rate-
* Time rate basis payment is proportional to the time (regardless of the actual work) spent by the worker at the work place. It is good for women, elderly people etc.
* Disadvantages low productivity, quality of assets
* Piece rate basis amount of work done. = measurement of work is necessary. Possibility of misuse of funds is very less.
* Being used in Rajasthan from 2006. Many other states too.
* Physical work is converted into monetary terms using the Schedule of Rates Prescribed by PWD in the state. Variation across the states. Rates are not updated. Prevalent market wages are high.
* Recoms States should evolve a more realistic rural schedule of rates for each district with certain min wage prescribed. District technical resources support group will supervise it.
* For elderly people, women, their normal productivity should be taken into account while preparing schedules.
* Centre should coordinate the nationalizing of schedule rate across the states.
* Maintaining Labor Material Ratio:-
* 60:40 in terms of cost of the work maintained at all levels of PRIs. May be misused for balancing of certain works.
* Eg 3 works undertaken by Gram Panchayat in a year. 2 have 80:20 and 3rd may have 20:80 to balance it out generate no employment.
* Recoms Ratio should be adhered in each work. If it is not possible at every level, atleast at Gram/Block levels it should be maintained.
* Mechanism for Procurement:-
* Procurement of material. 40% of total funds.
* Recoms Need for evolving transparent procurement procedures. (by the states)
* 5.4 Administrative and Institutional Arrangement
* Strengthening Local Govt (LSGs)
* Building Intuitions :-
* Gram Sabha (GS), Gram Panchayat (GP), Intermediate Panchayat (IP), District Panchayat (DP) all have role in planning and implementation of NREGA
* GS monitoring, social audit.
* GP (recruited by GS) identification, execution of works.
* PRI are not sufficiently empowered to implement large schemes. Collector often supervises the implementation of NREGA.
* Recoms: PRIs should be empowered Transfer all development schemes which are better managed locally. Transfer administration machinery to implement them. PRIs should evolve into institution which can plan, execute develop programs.
* District Rural Development Agencies (DRDA) should be included in the District Panchayat.
* Capability building:-
* PRIs understaffed. Officials posted in difficult areas do not reside there and prefer to function far from their place of work = Program suffers.
* Solutions 1) Appoint from local people 2) Appointment to a particular post rather than to a service cadre 3) contractual appointments 4) relaxation of some qualification if local persons with requisite qualifications are not available make up capability building programs 5) services of proven NGOs
* Gram Panchayat level administrative staff performs administrative functions, technical staff gives technical advice, prepares estimates, supervise the execution of work, measures the work, quantify the value of the work.
* Theres acute shortage of technical staff not enough engineers.
* Recoms: - a panel of non-govt engineers may be engaged at the block level. local educated youth can be trained to prepare (under non-govt engineers) estimates for work
* Areas affected by extremism officials often work through remote control. They should be motivated to work directly through special incentives liberal life insurance cover, hardship allowance, govt accommodation for family outside that place etc.
* Training should be a continuous process.
* Subjects in training of PRI Concept of poverty; NREGA; RTI; associated laws of NREGA like min wages Act etc.
* Distance learning technology should be used in remote areas. NGOs, SHGs, should be used to impart trainings. Evaluation of training activities through independent organization.
* Selection and Maintenance of Works:-
* Block Panchayat (BP) approves block level plan. Forwards it to District Panchayat (D.P.)
* DP approves block-wise shelf of projects.
* District planning committee consolidates Panchayat and municipal plans in the district and prepare by a draft development plan for the district as a whole.
* Recoms All individual works should be in harmony with District Development Plan be watershed development in the area.
* Most works relate to drought proofing, irrigation, land treating. Boundaries of watersheds mostly transcends the boundaries of GP or BP. So BP and DP should coordinate the work in that case/
* NREGA Provision atleast 50% of the works (in terms of cost) should be implemented at GP level. Bp take up work only in case of inter-Panchayat works or where GPs have not been able to meet the demand for employment.
* Block Resource Centre (BRC):-
* Technical experts planners, water resource experts, agricultural scientists they are essential at all levels.
* RBC should be constituted at the block levels under the guidance of District Technical Resource Support Center. (DTRSC)
* Currently TRSC, at central, state, district levels only.
* Recoms: Setup BRC
* Entrepreneurship Institution for the rural poor-
* Necessary to equip the beneficiaries under NREGA with knowledge based skills so that they dont have to do manual labour for livelihood.
* RUDSET program in Karnataka (Rural Development & Self Employment Training) Trained 1 Lac+ persons Public-Pvt-Partnetship - 70% of those trained setup their own enterprises.
* Recoms- Entrepreneurship training institutes should be setup in every block to make people seek self-employment.
* Monitoring Systems
* Ministry of Rural Development developing a comprehensive Monitoring and Information System (MIS). A notional online monitoring system for key performance indicators will be evolved.
* Recoms- Evaluation based on many parameters, not just the reports of 1) Employment generation, 2) Financial progress, 3) Physical progress of works.
* Independent monitoring and auditing agencies to carry out concurrent monitoring and audit. They should visit Panchayat every month, check all the records.
* Curbing Corruption and Leakage:
* Shift from allocation based approach to entitlement based Allocation based approach has built in checks against leakages (although to a limited extent). In these schemes, resources are limited, so implementing agencies are forced by the society, to use resources properly.
NREGP no limits on funds demand driven misused.
* Earthworks less durable so difficult for verification.
* Inflation of estimated cost of the works.
* Pronged approach:-
1. Templates of estimates at block level of general works should be prepare showing the inputs of labor and material required. This can act as an aid for preparation of estimates.
2. Documentation of all works and payments should be made perfect.
3. Very strong community control an audit mechanism should be put in place.
4. Independent monitors should carry verification of all records and assets
* An effective grievances redressal mechanism.
* Developing standardized and simplified procedures for preparation of estimates makes the work of PRIs and civil society easy.
* Muster roll and Measurement books (measurement of work done) -> (these are most imp records) -> maintained by PRIs
* Recoms: - Muster roll and Measurement books should incorporate the physical dimensions of works backed by photographs of the work executed at different stages.
* Community control and racial audit of all works:-
* The act has a provision for setting up of a local vigilance and monitoring committee to monitor the progress and quality of work. Gram Sabha elects member to this committee and ensures adequate representation of SC/STs
* Gram Sabha regular social audits of all works.
Social audit is a process in which, details of the resource, both financial and one-financial, used by public agencies for department initiatives are shared with the community, often through a public platform -Enforcing accountability and transparency- Prescribed a continuous audit and a mandatory social audit forum one in 6 months.
* Social Audits Pre-requisite proper records, expertise to conduct audit, awareness among Gram Sabha members about their rights.
* Independent rectification of Records and Works Independent field monitoring system carry out concurrent monitoring and auditing so that corrective steps could be taken imm.
* Grievances Redressal Mechanism (GRM) Programme Officer at the block level is designated as the Grievance Redressal Officer and the District Programme Coordinator is designated as Grievance Redressal Officer at the district level.
* Recoms: - GRM should be proactive in reaching out to the people to redress their grievances. Take up cases Suo Moto.
* Transparency and RTI:
* Recoms- awareness generation about NREGA and RTI.
Awareness campaigns. Outsourcing generation tasks to NGOs and SHGs (Self Help Groups)
Emphasis on suo-moto disclosure of info and not only through web because theres a limited access to web.
NGOs have reach even in remote areas. They should be involved in implementing too.
* Use of IT:-
* Efficiency, accountability, flexibility objectives.
* Recoms:- Blocks as nodal, fully-electronic points Blocks (or villages, depending on internet connectivity) must be nodal levels of govt at which all info is electronic.
- Any info collected in non-electronic form at this or lower level of govt must be digitalized at
block level.
- Minimum and common set of national standard for data, collection, storage, retrieval.
- Assessment
- UID (Unique Identification) to each individual (being implemented)
- Earlier UID to each household.
- Computerisation of records at Gram Panchayat level.
- Periodic reviews
- (Voluntary) Suo-Moto disclosures
* GIS (Geographic Information System) for visualization of data on map spaces must be developed. Analysis solely from databases (without visualization) is very difficult. Visualization required to identify strengths and weakness in geographic terms.
* Unique Identification
Unambiguously establish identity of each beneficiary. Process of setting up of such a database Start from a database which is error free (like govt employees database) and keeps on adding other database. (like PAN, passport, driving license, LPG connection etc). Keep on eliminating errors, duplicates. PAN, passport, driving license etc covers mostly non-rural areas.- So NREGA database will be very useful Mutually Synergistic.
* IT system for financial Management Technology to keep costs under control by providing effective monitoring platform for expenditures, by allowing bypassing (by direct transfers of financial info flow) of unnecessary levels of financial administration.
Facilitates responsiveness and monitoring
* IT system for monitoring and evaluation of efficiency, effectiveness
Analysis of data reported by various implementing governments- Inspections (detecting errors) during operations correcting systematic inefficiencies and adopt the best practices.
- Recoms Prepare list of parameters for evaluation Automatic alerts in the IT system in case
of certain measurable violations.
- Ranks for all blocks in the country should be generated through IT based performance.
- GIS by IT.
* RTI in NREGA, use of IT:- Storing, processing of data, easy retrieval of data in intelligible form. Most of the raw information should be disclosed voluntarily. IT should be able to integrate the data disclose to generate suo-moto reports automatically.
* Smart Cards:- A plastic card roughly of the size of a credit card with a microchip embedded. This microchip cold be a mere data storage device and in advanced versions this may also incorporate a microprocessor. The storage device can store details of individuals and their transactions with govt. Details including biometric to confirm the identity of holders.
* Used like credit cards, access control, public transport ticketing.
* Use of smartcards requires infrastructure which includes access facilities like kiosks equipped with card reading and writing devices, card issuing and updating systems, data management systems etc.
* Same cards should be used for multiple purposes and not just NREGA.
* Implementation of NREGA in 5th and 6th Schedule Areas
* Relief employment at present given by revenue dept of states 10-12 days of relief employment every month to a beneficiary Wages in form of Cash and Food Grains can live for one month (rural household)
* Relief employment financed from relief funds Calamity Relief Fund (CRF)
* NCCF national calamity contingency fund in case of need for additional funds.
* Recoms:- In times of calamities in an area, employment should be given under NREGA. Relief Employment only for those persons who exhausted their entitlement under NREGA. (Parallel running of both leaks to wastage, corruption, administration problems)
* List of permissible works: Most of the works listed are suitable to drought prone and dry areas. Need to expand it with works suitable to local (climate and topography) requirements in different season Listed works are not suitable in high rainfall areas, J&K -> in winters.
- Watershed development, drought proofing, afforestation, land development.
- Expand watershed land development in private lands too (marginal and small farmers, SC/STs)
* Records:- Jobcards given to each household keeps track of the entitlement of the household (they are only such doc.) Details of the households, wages paid, work done, no. of days for which employment is provided etc.
Recoms:- Jobcards ledger should be maintained by PRIs to prevent tampering of jobcads.
* Coordination Mechanism:-
Various agencies are setup now.
Central Employment Guarantee Council (CEGC) Setup by Centre. CEGC advices GOI on
Implementation of the act, establishing and evaluating the monitoring system, preparation of annual
reports to be laid before parliament.
State EGC (Employment Guarantee Council) These roles + deciding on the preferred works
Similar institutions for other flagship programmes + Bharat Nirman are setup.
* Recoms:- Similar Committees at state and district levels
A common inter-ministerial, empowered steering committee for NREGA, and other flagship programs, Bharat Nirman may be set up with the Cabinet Secretary as the chairman and secretaries of concerned dept/ministries as members.
Their powers:-
1. Oversee the work of sectoral ministerial committees in order to remove differences, bottlenecks, and lack of synergy and issue directions to bring about an integrated approach.
2. Takes timely and appropriate decisions for effective and accountable implementation of the concerned programs.
3. Bring about better coordination in implementation.
4. Ensure the centrality of local govts.
* Conclusion:-
* Will strengthen PRI, enable participatory planning at grass roots level, empower women, harbinger of rural transformation, bridge gender gaps, bring decentralization, energies administration and institutions structures, leading to good governance, dismantle unequal power structure.
by Shrey Rawat
Sources
1. Amarkeshs Hand-Written Notes available at https://drive.google.com/folderview?id=0BzuxVwOA4U0YRjcwOWRjTXRJX2s&usp=sharing
2. Original ARC Reports.
* I have used Amarkeshs hand-written ARC Reports Notes to prepare this summary notes and also took
* Reference from the original ARC Reports whenever there was a requirement to add further details.
* So here you have the Summary of one of the ARC reports > much properly formatted spelling errors free
* more detailed and editable, Enjoy.
* Ill share the summaries of rest of the reports too, once theyll get finished. (Except 7th and 14th Reports)
* *Requesting*: Someone please prepare and share a summary, similarly formatted, of the 7th and the 14th Reports.
* NREGA 2005- signals a paradigm shift to legal entitlements, public accountability coupled with community rights, and responsive and participative management.
* Earlier wage employment programs had various problems:-
* Low coverage, <50% beneficiaries from most needs groups.
* Beneficiaries not from locals, actual wage < prescribed wages, gender bias, <30 days of work per year per worker, poor quality of assets, forged muster roll.
* Various schemes but poor impact on poverty, poor is caught in social captivity.
* Areas with extremism, or which are inaccessible - employment schemes are fully in the hands of contractors and middlemen.
* Empowerment of the poor through breaking the barriers of unemployment, illiteracy backwardness, ill health, debilitating (weakening) social inequality then form participation in gov = growth process and inclusive growth.
* NREGA promoting democracy through its accountability mechanism (social auditing) -which is demolishing the traditional hierarchy of power.
* Poor administration, public delivery systems affected the poor = corruption.
* Extremism Naxalism Areas with high concentration of poverty, poor governance systems, weak infrastructure, unequal power structure. Pachayat are non-existent, non functional, NREGA can promote democracy there.
* Institutional, administrative, financial management system of NREGA
* Contents:-
2. Review of public employment programs -Wage employment in the past Employee Guarantee Scheme Lessons.
3. NREGA- Implementation and Challenges Shift towards universalization funding execution centrality of local government Administration and institution arrangements.
4. Special challenges of backward areas.
5. Issues and Recoms
* Applicability to other programs
* Change towards universe entitlements
* Guaranteeing reach and outcomes
* Ensuring convergence
* Expanding the scheme
* Union funding and state execution
* Accountability mechanisms
* Fixing wages rates
* Financial Management System
* Preparing estimates for work
* Maintaining labour-material ratio
* Mechanisms for procurement
* Administration and institution arrangement
* Strengthening local government
* Selection and maintenance of works
* Block Resource Centre
* Entrepreneurship institutions for the Rural poor areas
* Monitoring Systems
* Curbing corruption and leakages
* Transparency and RTI
* Use of IT
* NREGA in 9th and 6th Schedule areas
* NREGA in areas affected by natural disasters
* Records
* Coordination mechanism
1. Introduction
* Shift in govts approach to development. Shit is towards universalization and entitlements. That means instead of just concentrating on the GDP growth to inc the living standards of citizens, now the approach is to recognize minimum levels of education, health, employment, nutrition as basic entitlement and static role in providing them to all.
* Emphasis on balanced regional development - problems in backward areas. Greater resources them.
* Fundamental change in funding and execution of government programs
* Increasingly key programs are being funded by the Union and executed by State this ensures no resources constraints and regular funds are available to Panchayat -> ensures peoples participation, initiative and supervision.
* Flagship programs SSA, NRHM, ICDS, NREGA, Bharat Nirman, Drinking water mission, total sanitation campaign these signal the shift towards universalization and entitlements.
* Challenges Maintaining regularity of fund flow and ensuring accountability.
* Common objective of flagship programs delivering entitlements universally. So need for their convergence at grass root level. Their planning systems should be integrated harmoniously for common implementation frame work for all schemes.
* Administration and institution (for financial management) arrangements for implementation and monitoring multi tier structures - Requires both vertical coordination of diff tiers and horizontal coordination across departments for execution through the local govt.
1. Review of Public Employment Programs
* Wage Employment programs in the past:
* Rural Manpower Program 1960-69 (RMP) employment to 2.5 m people in areas affected by seasonal employment.
* Crash Scheme for Rural Employment (CSRE) 1971-74 350 districts. Labour intensive works. Creation of durable Community assets.
* Drought Prone Areas Program (DPAP) 1971-73 to mitigate severity of drought condition.
* Areas Development Program (ADP) - do-
* Food for Work Program (FWP) 1977-80 creating employment to raise income levels and so nutritional levels. Strengthening rural infrastructure = high production and better living standard utilize surplus foodgrains of HRD
* National Rural Employment Program (NREP) 1980-89 generate additional employment (rest same as FWP)
* Rural landless Employment Guarantee Program (RLEGP) 1983-89 provide 100 days of employment to at least oen member of a landless household.
* Jawahar Rozgar Yojana (JRY) 1989-99 almost same as FWP.
* Food for Work program II (FWP) 2000-02 food security through wage employment in drought affected rural areas.
* Employment Assurance Scheme (EAS) 1993 99 100 days of employment to a person in 1752 backward blocks during lean agriculture period.
* Jawahar Gram Samridhi Yojana (JGSY) 1999-2001 creation of village infrastructure, generation of supplementary employment for unemployed poor (BPL) in rural area.
* Sampoorna Grameen Rozgar Yojana (SGRY) 2001 Provide wage/employment, food security, create durable assets . (This scheme was formed by merging Employment Assurance Scheme and Jawahar Gram Samridhi Yojana)
* Evaluation of these programs:-
1. Funds were not utilized in full, Reasons lack of planning; untimely release of funds, both from union govt to Dist. Rural Development Agencies (DRDA) , and from the DRDAs to blocks; inability of states to generate matching resources.
2. Low coverage of villages and target groups (non-poor beneficiaries)
3. Less labour intensive activities, more capital intensive activities. Normative capital labour ratio was not adhered to.
4. <30 days of wage employment in a year.
5. Bogus reporting on actual achievement
6. Poor quality of the assets created. Non durable.
7. Corruption at political and administration levels.
8. Manipulation of muster rolls and measurement books.
9. Very low participation of women.
10. Schemes explicitly forbade involvement of contractors and use of machinery.
* Employment Guarantee Schemes (EGS) - Early 1970, Maharastra. Unskilled manual work on piece rate basis - Self targeting EGS is still continuing > but little impact on reduction of poverty and unemployment, distress migration of workers continues, poor quality of assets created and their maintenance is not satisfactory, failure to adopt a local development policy to promote overall development.
* Reasons:
* Inadequate planning for assets, serious flaws in project selection. So hostile development plan is required which is integrated with the implementation of other development schemes.
* Lack of peoples participation in planning, implementation. Domination of bureaucracy resulted in technocratic and top-down approach.
* Limited role of Panchayat s in planning and implementation
* Lack of capability No training given to elected Panchayat Chiefs and others. Training of officials/representatives of Panchayats is the key to the success.
* Focus on physical work - It resembles the famine relief works of colonial period, our knowledge based rural economy was destroyed during the colonial period - Need to redefine employment programs to use knowledge and skills in the works will result in self-sufficient rural economy. Reduces rural-urban divide.
* Leakage: Fudging of muster rolls and measurement books. Contractors were involved.
1. NREGA Implementation Challenges
* Salient Features of the Act
* Paradigm Shift Employment is now a right which is enforceable Objectives are same as before, viz to provide livelihood security. Durable assets created through employments productive infrastructure for poverty alleviation on a sustained basis.
* Challenges: be arise because of 1. Shift towards universalization and entitlements, 2. Funding by the Union and Execution by State 3. Centrality of Local Govt. 4. Administrative and institutional arrangements 5. Problems in the backward areas.
* Shift towards universalization and entitlement:-
* Guaranteeing Reach - Legal guarantee of work, enforced within a specified timeframe. So creating work opportunity is a major challenge for the states. So there in need for in depth understanding of region specific demand and its seasonality to meet the demand the demand for work, otherwise unnecessary burden of compensation on states.
* Guaranteeing Outcome:- Creation of infrastructure which is sustainably generated employment for poverty alleviation and should be durable and productive. So proper planning is required for assets designing and construction. Monitoring mechanism should be created by strengthening institutional structure at local government level, for optimal use of resources.
* Ensuring Convergence:- Integration of implementation of flagship programs. Requires preparation of holistic integrated development plan at the local level and includes works to be identified, and undertaken systematically are part of long term strategy for rural development.
* Method of Expansion:- Already expanded.
* Gender balance :- in implementation.
* Union Funding and Execution by State Governments
* Fund Flows: depends on demand for work. A clear mechanism for flow needs to be evolved rather than through normal bureaucratic procedure.
* Accountability: makes it difficult for holding accountable because of duality of funding and executing agencies. So accountability mechanism should be clear.
* Moral Hazards and Distorted Incentives: Likelihood of wastage in the use of resources as executing agency is diff from funding agency.
* Centrality of Local Governances: PRIs execute the scheme. Responsible for identification, execution, supervision of projects as per recoms of Gram Sabha and Ward Sabha.
Gram Sabha chooses the projects for implementation.
-Ensures accountability. Conducts regular social audits
So capacity building is necessary.
* Administrative and Institutional Arrangements
* Technology: NREGP is a large scale program and complex. So technology should be used to facilitate its implementation. Efficiency, expediency, accountability, transparency, prevention of leakages etc.
* Corruption and leakages: Simultaneous monitoring by Gram Sabhas, SHG, Local Monitoring Committees , NGOs. Monitoring should be institutionalized by defining clear charter of roles, responsibility through activity mapping, capacity building of all monitoring agencies.
* Transparency in selection of beneficiaries, identification of works, preparation of estimates. Muster rolls should be freely available for inspection. Payments to workers should be made public on pre-announced dates. Panchayat has to discharge all obligation stipulated under the RTI.
* Community Participation a planning, implementing, supervising, monitoring of the schemes. Community decision making on the choice of works.
* Special Challenge of Backward Areas. Weak governance structure, low organizational capacity and highly stratified (divided castes) social and economic power structure. Difficult terrain. Poor accessibility. Poor infrastructure.
1. Special Problems of Backward Districts
* Extremism - Naxalism, Insurgence, Scheduled Areas, Tribal Area
* Non-functionality of PRIs. Widespread poverty. Mostly in arid and semi arid regions. No connectivity, low spread of banks and post offices.
* Socioeconomic indicators mostly below national average. Literacy, female literacy etc. %age of SC, ST population is high.
* Primarily agricultural society - Large %age of Agriculture Labors More than 33% of national average.
* Large scale prevalence of landlessness.
* PESA - Panchayats Extension to Scheduled Area Act 1996
* Powers and responsibilities of PRIs, Gram Sabhas in PESA is different from other areas. Gram Sabhas approves plans, projects, before they are taken up for implementation by the Panchayat at the village level. Gram Sabha identifies the beneficiaries, certify utilization of funds by Panchayat.
* No Uniformity in sizes of population and areas in villages and districts. And no uniformity in the norms for administrative staffing, service delivery
* Very poor mechanisms. Understaffing = overburdened, leakages, lack of motivation and professional competence. So, administrative apparatus should be strengthened.
* Gender Gaps
1. Issues and Recoms
* 5.2 Change towards universalization and Entitlements
* Guaranteeing Reach Creating awareness (through programs) among the people to register for work. Registration should be transparent and objective. Inherent prejudices in the rural society due to case class, religion and thus some cases are not registered. Social boycott, exclusion. So effective monitoring mechanisms involving civil society organisms should be created Recom
* Guaranteeing Outcomes Socio-economic impact evaluation should be conducted regularly. Impact on livelihood security, etc. Evaluation helps in policy corrections.
* Parameters poverty, nutrition, sustainability of income from assets created, the extent of unemployment, magnitude of migration, and access to different essential services, average annual income, and average market wage for agricultural laborers these should be determined with pre-define threshold level so as to meet the objectives of NREGA substantially.
* Districts should be ranked according to their performance. Parameters durability of assts, %age of people employed, involvement of Gram Sabhas, accountability, transparent, timeliness etc.
* Ensuring Convergence NREGA; objective livelihood security. It requires not just employment but also health services, education, housing, food security, social security, etc.
* Recoms- Convergence with other service delivery systems is required.
* Convergence with other infrastructure/asset creating programs. Convergence of funds of both, i.e. emerging the labour component of NREGA with the capital component of another program. This may create serious accounting problems.
* Convergence in planning. Currently, all major schemes have their own prescribed mythology of preparing a plan. 73rd Amendment Act There should be one integrated area plan for economic development and all sectoral/schemes wise plans should be developed from the plan. Synergy can be achieved.
* Convergence in machinery and infrastructure and monitoring - At present, different implementation machinery often working vertical silos. This leads to wastage of resources, leakages, duplication of administrative staff and infrastructure like buildings, computer, and equipment. So all rural development programs should be transferred to PRIs. They should be adequately funded and provided with well trained officials.
* Convergence with Bharat Nirman:- Central scheme for rural infrastructure in partnership with states and PRIs. (2005-09). Bharat Nirman has some targets set in creating rural infrastructure electricity, all weather roads, drinking waters, telephone connectivity, housing, irrigation. It needs large manual labours.
* Expanding the Schemes already expanded.
* 5.3 Union funding and state execution
* Accountability Mechanisms - Maturing federalism. States are increasingly empowered to determine their own policies and programs. Role of union is expanding in new ways.
* Education, healthcare, rural and urban development, social security largely under state jurisdiction. And yet, these services are increasingly driven by union govt. policies and funds.
* Reasons Paucity of resources at state level, need for standardization of services, equitable balanced development, imperatives of achieving challenges of growing economy; Different execution and funding agencies erodes accountability.
* Union govt funds bears entire cost of wages of unskilled manual workers; 75% of cost of materials and cost of wages of skilled & semi skilled workers; administrative expenses.
* States - 25% ; unemployment allowance incase work cant be provided.
* A distorted incentive system is created because of the funding pattern.
(Because in some cases of works like earthworks where no material component is required, states contribution is nil)
(Wherein inc in the central funds doesnt inc the matching funds of the states)
Thus states may run the schemes on a larger scale or for longer time than is actually required.
* Similarly, a Panchayat which prevents misuse of funds would in long run end up getting lesser funds than a Panchayat which is not so meticulous is ensuring proper use of funds under the schemes.
* So need for strong accountability mechanisms. (monitoring and evaluation), independent agencies, IT.
* Fixing wage rates - (minimum wages act)
* Variations in notified min wages for agricultural labors in different states.
* Min wages are generally fixed on time rate basis (per day etc) where as works are executed on piece rate basis (wage for piece of work)
* Reconciliation between the two is a challenge.
* Recoms: A detailed study about min wages should be made before fixing min wage.
* Financial Management System
* Essential elements of a system:
1. Adequate availability of funds
2. Smooth flow of funds from GOI to districts to Gram Panchayat, to workers.
3. Smooth flow of financial info from Panchayats to district, states, union.
4. Reliable accounting system.
5. Timely detection of financial violation
6. Transparency and accountability
Operational guidelines for fund flows as of now
* National Employment Guarantee Fund to State Employment Guarantee Fund (EGF) to District EGF to Panchayat EGF
* Release of funds to districts
* Cost and time both increase when funds flow through unnecessary intermediate levels. Experience shows that when centrally sponsors schemes (CSS) are routed through state govts, there are substantial delays in receipt of funds at lowest level.
* Argument for routing through states is that plans and budgets can be prepared, implemented and monitored more effectively only when state is the recipient and disbursal authority. However, this can be achieved by only giving info about the flow of funds to the states.
* Recoms Transfer funds directly to districts, which are closer to the points of utilization. Districts should be made nodal points for funds and Information.
* Pre-requisites for release of funds-
* In all Centrally Sponsors Schemes, the backlog in utilization of funds is huge.
* Recoms If a state doesnt make its contribution, it may be deducted from its central Assistance for State Plans.
* Proactive not reactive fund flows- to avoid delays in payment (for workers and employment schemes)
* Earlier (reactive fund flow), centre used to transfer funds to states (for CSS) only after states completely utilized the earlier funds. (utilization certificates) not appropriate for demand based schemes.
* Delays results in wastage of money in the form of employment allowance.
* Recoms: Delays can be avoided if certain minimum amount is always maintained in the Panchayat Employment Guarantee Funds.
* System of releasing funds based on utilization certificates should be replaces with a system of concurrent monitoring and audit through an independent agency.
* Panchayat Accounts with banks funds are transferred to them Replenished periodically.
* Emphasis on outputs and outcomes
* Recoms: PRIs have to ensure the quality and nature of assets created. Info and evidence on these aspects would have to be compiled and made available to all. Mandatory periodic social audits.
* Checks and Balances-
* Current mechanisms or ensuring proper utilization of funds are utilization certificates and audits. UC is a self certification document issued by a public authority (District program coordinator or someone else) certifying that the funds utilized by it have been expended as per the rules. It is expected that the public authority has carried out necessary verifications.
* UCs doesnt guarantee proper utilization of funds as verifications are seldom carried out.
* UCs delays in payments Audits are very irregular, generally.
* Concurrent Monitoring and Audit System: verification of accounts of all the implementing agencies (3 tier PRIs). Verification of works carried out too. By independent external agency. Every month. It will point out the discrepancies. Monitors the compliance of earlier observations.
* Recoms PRIs should be educated about new computerized accounting systems, funds flow management etc. Misappropriated money should be recovered from the responsible Panchayat or persons.
* Financial Information System:
* Recoms Gram Panchayat forwards all financial info to block Panchayat. aggregate all the info and forward to District Panchayat (nodal agency). Computerization of all blocks so easy availability of info Standardized formats - A uniform financial info system for the entire country.
* Mode of payment to workers- Through banks and post offices. But bank is very limited. Most of the Panchayat do not have a branch of a nationalized bank. Payment through banks and post-offices though are the surest way to ascertain the amount but they poses administrative and accessibility problems.
* Recoms: Choice of the mode of payment should be left to the workers; payment in cash may be the preferred option. The agency preparing the muster rolls must be different from the agency making payment to the workers. In drought prone areas, a part of the wages may be distributed in terms of food grains.
* Role of banks and post offices in funds flow-
* Large no. of zero balance accounts have to be opened. Transactional costs of the post-offices have to be borne by govt as they cant cover their cost if the account has low amount of money.
* Other issues guidance for rural poor in their banking operations So procedures need to be simplified.
* Preparing Estimates for Works:
* Time rate vs Piece rate-
* Time rate basis payment is proportional to the time (regardless of the actual work) spent by the worker at the work place. It is good for women, elderly people etc.
* Disadvantages low productivity, quality of assets
* Piece rate basis amount of work done. = measurement of work is necessary. Possibility of misuse of funds is very less.
* Being used in Rajasthan from 2006. Many other states too.
* Physical work is converted into monetary terms using the Schedule of Rates Prescribed by PWD in the state. Variation across the states. Rates are not updated. Prevalent market wages are high.
* Recoms States should evolve a more realistic rural schedule of rates for each district with certain min wage prescribed. District technical resources support group will supervise it.
* For elderly people, women, their normal productivity should be taken into account while preparing schedules.
* Centre should coordinate the nationalizing of schedule rate across the states.
* Maintaining Labor Material Ratio:-
* 60:40 in terms of cost of the work maintained at all levels of PRIs. May be misused for balancing of certain works.
* Eg 3 works undertaken by Gram Panchayat in a year. 2 have 80:20 and 3rd may have 20:80 to balance it out generate no employment.
* Recoms Ratio should be adhered in each work. If it is not possible at every level, atleast at Gram/Block levels it should be maintained.
* Mechanism for Procurement:-
* Procurement of material. 40% of total funds.
* Recoms Need for evolving transparent procurement procedures. (by the states)
* 5.4 Administrative and Institutional Arrangement
* Strengthening Local Govt (LSGs)
* Building Intuitions :-
* Gram Sabha (GS), Gram Panchayat (GP), Intermediate Panchayat (IP), District Panchayat (DP) all have role in planning and implementation of NREGA
* GS monitoring, social audit.
* GP (recruited by GS) identification, execution of works.
* PRI are not sufficiently empowered to implement large schemes. Collector often supervises the implementation of NREGA.
* Recoms: PRIs should be empowered Transfer all development schemes which are better managed locally. Transfer administration machinery to implement them. PRIs should evolve into institution which can plan, execute develop programs.
* District Rural Development Agencies (DRDA) should be included in the District Panchayat.
* Capability building:-
* PRIs understaffed. Officials posted in difficult areas do not reside there and prefer to function far from their place of work = Program suffers.
* Solutions 1) Appoint from local people 2) Appointment to a particular post rather than to a service cadre 3) contractual appointments 4) relaxation of some qualification if local persons with requisite qualifications are not available make up capability building programs 5) services of proven NGOs
* Gram Panchayat level administrative staff performs administrative functions, technical staff gives technical advice, prepares estimates, supervise the execution of work, measures the work, quantify the value of the work.
* Theres acute shortage of technical staff not enough engineers.
* Recoms: - a panel of non-govt engineers may be engaged at the block level. local educated youth can be trained to prepare (under non-govt engineers) estimates for work
* Areas affected by extremism officials often work through remote control. They should be motivated to work directly through special incentives liberal life insurance cover, hardship allowance, govt accommodation for family outside that place etc.
* Training should be a continuous process.
* Subjects in training of PRI Concept of poverty; NREGA; RTI; associated laws of NREGA like min wages Act etc.
* Distance learning technology should be used in remote areas. NGOs, SHGs, should be used to impart trainings. Evaluation of training activities through independent organization.
* Selection and Maintenance of Works:-
* Block Panchayat (BP) approves block level plan. Forwards it to District Panchayat (D.P.)
* DP approves block-wise shelf of projects.
* District planning committee consolidates Panchayat and municipal plans in the district and prepare by a draft development plan for the district as a whole.
* Recoms All individual works should be in harmony with District Development Plan be watershed development in the area.
* Most works relate to drought proofing, irrigation, land treating. Boundaries of watersheds mostly transcends the boundaries of GP or BP. So BP and DP should coordinate the work in that case/
* NREGA Provision atleast 50% of the works (in terms of cost) should be implemented at GP level. Bp take up work only in case of inter-Panchayat works or where GPs have not been able to meet the demand for employment.
* Block Resource Centre (BRC):-
* Technical experts planners, water resource experts, agricultural scientists they are essential at all levels.
* RBC should be constituted at the block levels under the guidance of District Technical Resource Support Center. (DTRSC)
* Currently TRSC, at central, state, district levels only.
* Recoms: Setup BRC
* Entrepreneurship Institution for the rural poor-
* Necessary to equip the beneficiaries under NREGA with knowledge based skills so that they dont have to do manual labour for livelihood.
* RUDSET program in Karnataka (Rural Development & Self Employment Training) Trained 1 Lac+ persons Public-Pvt-Partnetship - 70% of those trained setup their own enterprises.
* Recoms- Entrepreneurship training institutes should be setup in every block to make people seek self-employment.
* Monitoring Systems
* Ministry of Rural Development developing a comprehensive Monitoring and Information System (MIS). A notional online monitoring system for key performance indicators will be evolved.
* Recoms- Evaluation based on many parameters, not just the reports of 1) Employment generation, 2) Financial progress, 3) Physical progress of works.
* Independent monitoring and auditing agencies to carry out concurrent monitoring and audit. They should visit Panchayat every month, check all the records.
* Curbing Corruption and Leakage:
* Shift from allocation based approach to entitlement based Allocation based approach has built in checks against leakages (although to a limited extent). In these schemes, resources are limited, so implementing agencies are forced by the society, to use resources properly.
NREGP no limits on funds demand driven misused.
* Earthworks less durable so difficult for verification.
* Inflation of estimated cost of the works.
* Pronged approach:-
1. Templates of estimates at block level of general works should be prepare showing the inputs of labor and material required. This can act as an aid for preparation of estimates.
2. Documentation of all works and payments should be made perfect.
3. Very strong community control an audit mechanism should be put in place.
4. Independent monitors should carry verification of all records and assets
* An effective grievances redressal mechanism.
* Developing standardized and simplified procedures for preparation of estimates makes the work of PRIs and civil society easy.
* Muster roll and Measurement books (measurement of work done) -> (these are most imp records) -> maintained by PRIs
* Recoms: - Muster roll and Measurement books should incorporate the physical dimensions of works backed by photographs of the work executed at different stages.
* Community control and racial audit of all works:-
* The act has a provision for setting up of a local vigilance and monitoring committee to monitor the progress and quality of work. Gram Sabha elects member to this committee and ensures adequate representation of SC/STs
* Gram Sabha regular social audits of all works.
Social audit is a process in which, details of the resource, both financial and one-financial, used by public agencies for department initiatives are shared with the community, often through a public platform -Enforcing accountability and transparency- Prescribed a continuous audit and a mandatory social audit forum one in 6 months.
* Social Audits Pre-requisite proper records, expertise to conduct audit, awareness among Gram Sabha members about their rights.
* Independent rectification of Records and Works Independent field monitoring system carry out concurrent monitoring and auditing so that corrective steps could be taken imm.
* Grievances Redressal Mechanism (GRM) Programme Officer at the block level is designated as the Grievance Redressal Officer and the District Programme Coordinator is designated as Grievance Redressal Officer at the district level.
* Recoms: - GRM should be proactive in reaching out to the people to redress their grievances. Take up cases Suo Moto.
* Transparency and RTI:
* Recoms- awareness generation about NREGA and RTI.
Awareness campaigns. Outsourcing generation tasks to NGOs and SHGs (Self Help Groups)
Emphasis on suo-moto disclosure of info and not only through web because theres a limited access to web.
NGOs have reach even in remote areas. They should be involved in implementing too.
* Use of IT:-
* Efficiency, accountability, flexibility objectives.
* Recoms:- Blocks as nodal, fully-electronic points Blocks (or villages, depending on internet connectivity) must be nodal levels of govt at which all info is electronic.
- Any info collected in non-electronic form at this or lower level of govt must be digitalized at
block level.
- Minimum and common set of national standard for data, collection, storage, retrieval.
- Assessment
- UID (Unique Identification) to each individual (being implemented)
- Earlier UID to each household.
- Computerisation of records at Gram Panchayat level.
- Periodic reviews
- (Voluntary) Suo-Moto disclosures
* GIS (Geographic Information System) for visualization of data on map spaces must be developed. Analysis solely from databases (without visualization) is very difficult. Visualization required to identify strengths and weakness in geographic terms.
* Unique Identification
Unambiguously establish identity of each beneficiary. Process of setting up of such a database Start from a database which is error free (like govt employees database) and keeps on adding other database. (like PAN, passport, driving license, LPG connection etc). Keep on eliminating errors, duplicates. PAN, passport, driving license etc covers mostly non-rural areas.- So NREGA database will be very useful Mutually Synergistic.
* IT system for financial Management Technology to keep costs under control by providing effective monitoring platform for expenditures, by allowing bypassing (by direct transfers of financial info flow) of unnecessary levels of financial administration.
Facilitates responsiveness and monitoring
* IT system for monitoring and evaluation of efficiency, effectiveness
Analysis of data reported by various implementing governments- Inspections (detecting errors) during operations correcting systematic inefficiencies and adopt the best practices.
- Recoms Prepare list of parameters for evaluation Automatic alerts in the IT system in case
of certain measurable violations.
- Ranks for all blocks in the country should be generated through IT based performance.
- GIS by IT.
* RTI in NREGA, use of IT:- Storing, processing of data, easy retrieval of data in intelligible form. Most of the raw information should be disclosed voluntarily. IT should be able to integrate the data disclose to generate suo-moto reports automatically.
* Smart Cards:- A plastic card roughly of the size of a credit card with a microchip embedded. This microchip cold be a mere data storage device and in advanced versions this may also incorporate a microprocessor. The storage device can store details of individuals and their transactions with govt. Details including biometric to confirm the identity of holders.
* Used like credit cards, access control, public transport ticketing.
* Use of smartcards requires infrastructure which includes access facilities like kiosks equipped with card reading and writing devices, card issuing and updating systems, data management systems etc.
* Same cards should be used for multiple purposes and not just NREGA.
* Implementation of NREGA in 5th and 6th Schedule Areas
* Relief employment at present given by revenue dept of states 10-12 days of relief employment every month to a beneficiary Wages in form of Cash and Food Grains can live for one month (rural household)
* Relief employment financed from relief funds Calamity Relief Fund (CRF)
* NCCF national calamity contingency fund in case of need for additional funds.
* Recoms:- In times of calamities in an area, employment should be given under NREGA. Relief Employment only for those persons who exhausted their entitlement under NREGA. (Parallel running of both leaks to wastage, corruption, administration problems)
* List of permissible works: Most of the works listed are suitable to drought prone and dry areas. Need to expand it with works suitable to local (climate and topography) requirements in different season Listed works are not suitable in high rainfall areas, J&K -> in winters.
- Watershed development, drought proofing, afforestation, land development.
- Expand watershed land development in private lands too (marginal and small farmers, SC/STs)
* Records:- Jobcards given to each household keeps track of the entitlement of the household (they are only such doc.) Details of the households, wages paid, work done, no. of days for which employment is provided etc.
Recoms:- Jobcards ledger should be maintained by PRIs to prevent tampering of jobcads.
* Coordination Mechanism:-
Various agencies are setup now.
Central Employment Guarantee Council (CEGC) Setup by Centre. CEGC advices GOI on
Implementation of the act, establishing and evaluating the monitoring system, preparation of annual
reports to be laid before parliament.
State EGC (Employment Guarantee Council) These roles + deciding on the preferred works
Similar institutions for other flagship programmes + Bharat Nirman are setup.
* Recoms:- Similar Committees at state and district levels
A common inter-ministerial, empowered steering committee for NREGA, and other flagship programs, Bharat Nirman may be set up with the Cabinet Secretary as the chairman and secretaries of concerned dept/ministries as members.
Their powers:-
1. Oversee the work of sectoral ministerial committees in order to remove differences, bottlenecks, and lack of synergy and issue directions to bring about an integrated approach.
2. Takes timely and appropriate decisions for effective and accountable implementation of the concerned programs.
3. Bring about better coordination in implementation.
4. Ensure the centrality of local govts.
* Conclusion:-
* Will strengthen PRI, enable participatory planning at grass roots level, empower women, harbinger of rural transformation, bridge gender gaps, bring decentralization, energies administration and institutions structures, leading to good governance, dismantle unequal power structure.
by Shrey Rawat
Sources
1. Amarkeshs Hand-Written Notes available at https://drive.google.com/folderview?id=0BzuxVwOA4U0YRjcwOWRjTXRJX2s&usp=sharing
2. Original ARC Reports.
* I have used Amarkeshs hand-written ARC Reports Notes to prepare this summary notes and also took
* Reference from the original ARC Reports whenever there was a requirement to add further details.
* So here you have the Summary of one of the ARC reports > much properly formatted spelling errors free
* more detailed and editable, Enjoy.
* Ill share the summaries of rest of the reports too, once theyll get finished. (Except 7th and 14th Reports)
* *Requesting*: Someone please prepare and share a summary, similarly formatted, of the 7th and the 14th Reports.
1st Report RTI Master Key to Good Governance
1st Report RTI Master Key to Good Governance
1. Introduction
2. Official Secret Act and Other Laws
3. The Central Civil Services (Conduct) Rules
4. Confidentiality Classification (CC)
5. Rights and Obligations
6. Issues of Implementation
7. Application of the Act to Legislative and Judiciary
* Preface
* SARC is constituted to prepare a detailed blueprint for revamping the public and system.
* RTI is a paradigm shift in administration.
* RTI is a path-breaking legislation which signals the march from darkness of secrecy to dawn of transparency.
* RTI enables openness in the exercise of power. Means for fighting corruption.
* Also, an environment of vigilance promoted participatory democracy (self-governance)
* Official Secrets Act, 1923 (OSA) convenient smokescreen to deny public access to information. Public functioning has traditionally been shrouded in secrecy.
* RTI enables participatory decision making process.
* An instrument for improving citizen-admin interface. Results in friendly, caring, effective govt.
* E-governance in Judiciary Systematic, classification, Standardization and categorization of records. (all this is capacity building)
1. Introduction
* Key in ushering people centric governance. Empowerment of people. Good governance (GG) 4 elements transparency, accountability, predictability, participation.
* Transparency availability of info about govt functioning in the public domain. For public scrutiny
* Makes govt function more objectively (predictability) (accountability)
* Enables people participation. RTI is the basic necessity of GG.
* While right to information is implicitly guaranteed by the constitution, the RTI Act sets out the practical regime for citizens to secure access to information on all matters of governance.
* RTI Act 2005 is very comprehensive, covers all matters of governance. Minimum exemptions.
* There are bound to be implementation issues and problem areas, so for effective implementation of RTI Act, some issues need to be addressed by legislative, Judiciary.
* Shourie Committee 1997 On RTI and Transparency.
* SARC followed this committees recom and recom of NCRWC (National Commission to Review the Working of the Constitution)
1. Official Secret Act and Other Laws
* Democracy people are Sovereign; elected govt and its functionaries are public servants. But public interest is best served if certain sensitive matters affecting national security are kept out of public gaze.
* Cabinet meetings demands free debates on public issues, free from the pressures of politics. People should have the unhindered right to know the decision of the Cabinet and the reasons, but not what actually transpires within the confines of the Cabinet room. So Confidentiality is required.
* OSA colonial era law; created a culture of secrecy. Confidentiality became the norm and disclosure the exception.
* Civil Service Conduct Rules, 1964 - prohibited communication of an official document to anyone without authorization.
* Indian Evidence Act 1872 also fostered.
* RTI overrides OSA or any other acts in case of inconsistency.
* Recoms. All laws dealing with national Security (like Section of IPC, OSA, Unlawful Activities (Prevention) Act 1967, Criminal Laws should be consolidated in a single act National Security Act (NSA)
* To prevent the disruptive activities, like supporting secession, questioning or disrupting the sovereignty, territorial integrity, treasonable activities.
* Consolidation makes it easy for administration, eliminates ambiguous confusion.
* NSA was enacted in 1980 but consolidated very few laws.
* OSA should be repealed.
* Govt privilege in evidence- Litigation against the state. State has som procedural protections -> State need not produce certain info in the court. (Indian Evidence Act, 1872) (IEA)
* IEA, Code of Civil Procedure, 1908, Code of Criminal Procedure, 1973, etc should be harmonized with RTI.
* Oath of Secrecy (OoS) taken by bureaucrat and ministers prevents them from revealing many matters. OoS is a legacy of colonial era. Some matters cant be obtained in the public interest. Oos is against the principles of democratic accountability and sovereignty. A written undertaking is enough An Oath of transparency should be administrated instead.
* Exempted Orgs Under RTI Act, Armed forces are excluded from its purview. The exempted list should be updated periodically with changing times and needs *these are not exempted from disclosure in case of corruption or human right abuses.
1. The Central Civil Services (Conduct) Rules
* Similar codes for state civil services, railways, foreign services, all India services etc.
* Prohibits unauthorized communication of official info by public servants.
* The accent, spirit and language in these rules is on denial of info to public Inhibits govt. servants from sharing info with public .
* These Conduct Rules were amended by DoPT in 2005. But states didnt amend.
* Recoms need for amendment by states too, in-line with RTI.
* Manual of Office Procedure - prohibits from the disclosure of notes or portion of a file. It is totally conflict with RTI Act. So it needs to be amended.
1. Confidentiality Classification (CC)
* Classification (restricting) of info tendency to classify info even when not needed. (in the national security interests). Detailed rules of classification (guidelines) -> in Manual of Office Procedure, (MoOP)
Manual of Departmental Security Instructions
* CC is major contributor to the lack of transparency.
* MoOP needs to be amended to bring in harmony with RTI.
* Classified info should be brought in to public domain after laps of some specified period say 30 years depending on the degree of confidentiality (secret, top secret, confidential etc)
* Categories of classification needs to be rationalized (without ambiguities). Only top bureaucrats of the dept should be given power to classify the info (acc. to the degree of confidentiality)
1. Rights and Obligations
* Rights and Obligations under the RTI Act to implement the act following measures need to be taken
* Building Institutions 1) Info Commissions , 2) Info Officers and Appellate Authorities
* Information And Record-Keeping 1) Suo moto declaration 2) Public Interest Disclosure
3) Modernizing Recordkeeping.
1. Capacity Building and Awareness Generation
1. Creation of Monitoring Mechanisms
1. Building Institutions:-
* Govt. of India constituted the Central Information Commission (CIC) = 1 Chief Information Commissioner and 4 Information Commissioners.
* States constituted the State Information Commission (SIC) = 1 Chief Information Commissioner and 1 Information Commissioners.
* CIC has been hearing the appeals. Selection of CIC and SIC bipartisan process involves leader of oppo.
* As RTI covers Judiciary too, it is better to have Chief Justice in the selection committee = inc. public confidence and enhance the quality of the selection.
* Recoms RTI allows for dispersal (acc. to population density) of Info Commissions to provide easy access to citizens. But no SIC or CIC has established offices in places other than capitals.
* Info Commissions should represent diff. (to inspire peoples confidence) sections of society (acc. to RTI Act). But there is preponderance of persons with civil service background though one advantage is insider knowledge about govt functioning.
* Info Officers, Appellate Authorities:-
* All depts. Have a Public Info Officer (PIO). In case of two or more PIO, in a dept, a nodal PIO should be chosen from among them for easier accessibility for the public.
* In GOI, PIO should be of uniform designation with sufficiently senior rank, say Deputy Secretary/Director this would make it easy for PIO to access info from the upper hierarchy.
* Appellate authorities for each PIO should be appointed (as implied by the act)
* Organizing info and record keeping:-
* Proactive disclosure by govt agencies is the essence of transparency.
* RTI Act stresses suo-moto disclosure (mostly through electronic disclosure)
* As of now, most the times public needs to file application, to get even that info which should be ideally disclosed under suo-moto disclosure.
* So there is need for designing protocols for effective monitoring of suo-moto.
* Electronic Disclosure (ED) cost effective. But vast majority of public dont have access to computers. So printed prices publications should also be available for all depts. ED should be through a single portal for GOI and States.
* Public Interest Disclosure - not covered under RTI Act 2005. In many democracies there are whistle blower protection laws which protect honest public servants who disclose info about gross corruption which they know to be happening and it protect them from harassment by superiors or others.
* Recoms should enact Whistle Blower Protection Bill
* Record Keeping -
* Totally neglected in India very poor 10th fin. Comm.. recom. Special grants for states for improving record keeping.
* Land Records very imp. proof of title; dispute resolution; access to credit is usually dependent on land ownership, whole administration hinges on the accuracy and reliability of land records.
* So access to land records forms the bulk of requests under RTI but very poor maintenance of land records in the last 60 years. no comprehensive land survey took place many land records no longer exist.
* Digitalization of Records so land records should be updated by land surveys properly stored in printed form and electronic form for proper retrieval.
* Problems: - In many govt agencies (state and central) record keeping procedures do not exist, or not updated for decades. Practice of Cataloging, Indexing and Orderly Storage is absent. Even when records are kept, retrieval of info is virtually impossible. This results in tendency to give large amount of data which is unprocessed and irrelevant whenever requested under RTI (no summaries)
* Info should be easily retrievable and intelligible.
* Measure updated record keeping procedures, cataloging, indexing, storage.
-- correcting all info into intelligible, retrievable info modules.
* Digitalization of Records - setting up of a permanent expert agency Public Records Office (PRO) at central and state levels, by consolidating the existing record keeping agencies like State Archives etc. PRO will coordinate and supervise the record-keeping should function under the supervision of CIC o SIS.
* Funding for recording keeping one time investment.
* PRO will design the procedures, infrastructure.
* Capacity Building and Awareness Generation -
* Mindset of bureaucracy culture of secrecy needs to be changed
* Mindset of citizens reluctance to seek info needs to be changed
* Requires sustained training and awareness programs. Even some PIO are not familiar with some provision of the Act.
* Awareness intense debates in media, pubic debates but at grass roots level, awareness is very low.
* Mostly limited to govt advertisements in print media. Media should involve mass communication techniques. Govt. should organize educational programs. Civil society (NGOs) should be involved.
* Training of not just PIO, but ever y employee of govt, atleast for one day in a year.
* Monitoring Mechanism
* Supervising, detecting problems in implementation, rectifying them at several levels - within the public authority, a group of authorities in a territory, for a whole state, the county.
* For each department/agency, the head of the organization will be responsible for monitoring.
* Some nodal dept or ministry or agency - at the apex of monitoring mechanism.
* Nodal dept should logically be CIC or SIC.
* CIC functions largely limited they only hear complaints and appeals and submit annual reports.
* Recoms CIC should also be made the coordinating agency between all the SIC, which are currently independent. Coordination required for uniform implementation of the Act, to avoid duplication of efforts, replication of good practices from one state to another, minimization of litigation, for effective functions of nationwide web based info dissemination system
1. Issues of Implementation
* Implementation of RTI Act is an administrative challenge which has thrown up various structural, procedural, logistical issues and problems.
* Problems in filing application:-
* Complicated system of accepting requests often PIO office and account office are at diff. places.
* Insistence on demand drafts Rs 35 bank charges for Rs 10 form
* Difficulties in filling applications by post
* Varying and often higher rates of application fee
* Large no. of PIOs.
* Recoms:- many modes of payment should be included under RTI Uniform rates Applications should be allowed to be filed in any post office, post office should be authorized to act on behalf of PIO office in accepting applications.
* Inventory of Public Authorities:- A list of all public authorities (should include NGO funded by Govt) in the country is necessary. This list should be catalogued and indexed. This can be prepared by an inverted tree method in which every authority will prepare a list of authorities immediately under it.
* Nodal agency for implementation of RTI Act at GOI level is Dept of Personnel and Training.
* Single Window Agency (SWA) at distinct level:- All the departments and agencies of the State Govt are represented at district level but they may geographically widely dispersed.
* Most of the times, applicant may be unaware of the location. So SWA (at district level) is necessary to receive request and forward them to PIO.
* Subordinate filed offices and public authorities:-
* Definition of it under RTI Act -> any authority or institute or body of Self government established by constitution or by laws made by the parliament or state legislation, or by any notification issued by govt, including institute substantially funded by the govt.
* All Pub Authorities should appoint PIO/APIO, under RT but it has been observed that lower tiers of the Government have neither been considered as Public Authorities nor have PIOs been designated.
* Recoms -> Lowest office in any org which has decision making power or is a custodian of records should be recognized as a public authority.
* Application to NGO:-
* Under the Act, a non-governmental body needs to be substantially financed by govt to be categorized as public authority under the Act.
* Gains importance because of outsourcing of functions of govt to NGO should be clearly defined. Any org performing functions of public nature should come under the definition.
* Time limit for Information beyond 20 years:-
* Under RTI, a request can be made for info of any matters happens in the last 20 years. Many applicants may want to get info of an event beyond that. This needs to be taken care of. like land records which are of permanent nature.
* Mechanism for Redressal of Public Grievances:-
* Citizens seek info mostly to redress their grievances Information is that starting point in a citizens quest for justice and not an end in itself.
* So states should set up independent public grievance redressal authorities to deal with complaints of delays or corruption These will work in coordination with SIC/Dist. Single Window Agencies. -- Eg: Delhi Govts Public Grievances Commission (PGC) 1997
* Frivolous and Vexatious Requests:-
* Applicants need not furnish any reason behind the request or any personal details this is so to ensure that the there is no subjective evaluation of the request, or denial on specious ground.
* Cases Public Servants facing disciplinary charged have repeatedly attempted to use the Act to intimidate, harass, and humiliate seniors with requests that have been vexations.
* Such frivolous requests may overwhelm the system; defeat the very purpose of the Act. Terror of the administration may be paralyzed, seriously undermining delivery of services.
* Results in Breakdown of discipline, insubordination, disharmony in public institutions, divergence of the resources to unproductive purposes.
* Recoms PIO should be given the power to deny (within 15 days of receiving) the requests of they are patently (clearly) frivolous and vexatious - these refusals shall be examined by CIC/SIC. = this will deter the PIO, from unwarrantably denying requests under the garb of frivolous requests.
1. Application of the Act to Legislative and Judiciary
* All organizations covered by the Act
* Legislative and the Judiciary already operate within the public eye to a far greater extent than the executive.
* However meetings of legislative committees not open to public and media - nevertheless, most of the functioning of the legislature is in full public gaze. Similarly, all judicial processes are in the public domain and hence totally transparent.
* Administrative process within the courts would have to be brought within the ambit of this law but with no compromising with the independence of Judiciary Need to bring uniformity in the info recording systems, introduce standard forms and a better system of classification of cases.
* Recoms Legislative - All information should be indexed, catalogued, digitalized Online sharing of information under pro-active disclosure.
* Action Taken Reports (ATRs), proceedings of committees, questions, debated etc should be disclose.
* Woodrow Wilson Congress in session is congress on exhibition; congress in committees is congress at work
* Committee Proceedings In India, most of the important legislative work is conducted in the Committees, away from partisan influences and transient emotions. Most of time, legislators act with great moderation and bring depth and substance to discussion on public policy.
* Parliament Session members tend to play to the galleries to capture media attention, or take a partisan line or extreme position. These debates are poor in standards, often polarize the society. No reconciliation is possible in medias gaze.
* Bipartisan consensus is needed. Transparency has both advantages and disadvantages here.
* Recoms A tracing mechanism needs to be developed so that action taken by the executive on various reports like CAG, House Committees etc is available to public online.
* Judiciary - using IT for better court management and providing info to the litigants Fresh cases in Sc and HC are filed only before computerized filing counters; cause lists are generated automatically by the computer.
* Software (COURINIC) provides info about the statues of SCs pending cases to litigants. SC, HCs are fully computerized.
* Admin processes in the district and subordinate courts will become transparent with computerization of records, Indexing and cataloguing.
* Conclusion
* RTI effectiveness depends on 3 fundamental shifts from culture of secrecy to culture of openness; from personalized despotism to authority coupled with accountability; from unilateral decision making to participative governance.
* RTI cant change everything. It is only a beginning.
* Creation of new institution, changes in laws and procedures, changes in attitudes and traditions of people and public servants, adequate peoples participation.
* More needs to be done to achieve accountability. Protection of whistle blowers, decentralization of powers, etc
* Redesigning the processes of governance.
by Shrey Rawat
Sources
1. Amarkeshs Hand-Written Notes available at https://drive.google.com/folderview?id=0BzuxVwOA4U0YRjcwOWRjTXRJX2s&usp=sharing
2. Original ARC Reports.
* I have used Amarkeshs hand-written ARC Reports Notes to prepare this summary notes and also took
* Reference from the original ARC Reports whenever there was a requirement to add further details.
* So here you have the Summary of one of the ARC reports > much properly formatted spelling errors free
* more detailed and editable, Enjoy.
* Ill share the summaries of rest of the reports too, once theyll get finished. (Except 7th and 14th Reports)
* *Requesting*: Someone please prepare and share a summary, similarly formatted, of the 7th and the 14th Reports.
1. Introduction
2. Official Secret Act and Other Laws
3. The Central Civil Services (Conduct) Rules
4. Confidentiality Classification (CC)
5. Rights and Obligations
6. Issues of Implementation
7. Application of the Act to Legislative and Judiciary
* Preface
* SARC is constituted to prepare a detailed blueprint for revamping the public and system.
* RTI is a paradigm shift in administration.
* RTI is a path-breaking legislation which signals the march from darkness of secrecy to dawn of transparency.
* RTI enables openness in the exercise of power. Means for fighting corruption.
* Also, an environment of vigilance promoted participatory democracy (self-governance)
* Official Secrets Act, 1923 (OSA) convenient smokescreen to deny public access to information. Public functioning has traditionally been shrouded in secrecy.
* RTI enables participatory decision making process.
* An instrument for improving citizen-admin interface. Results in friendly, caring, effective govt.
* E-governance in Judiciary Systematic, classification, Standardization and categorization of records. (all this is capacity building)
1. Introduction
* Key in ushering people centric governance. Empowerment of people. Good governance (GG) 4 elements transparency, accountability, predictability, participation.
* Transparency availability of info about govt functioning in the public domain. For public scrutiny
* Makes govt function more objectively (predictability) (accountability)
* Enables people participation. RTI is the basic necessity of GG.
* While right to information is implicitly guaranteed by the constitution, the RTI Act sets out the practical regime for citizens to secure access to information on all matters of governance.
* RTI Act 2005 is very comprehensive, covers all matters of governance. Minimum exemptions.
* There are bound to be implementation issues and problem areas, so for effective implementation of RTI Act, some issues need to be addressed by legislative, Judiciary.
* Shourie Committee 1997 On RTI and Transparency.
* SARC followed this committees recom and recom of NCRWC (National Commission to Review the Working of the Constitution)
1. Official Secret Act and Other Laws
* Democracy people are Sovereign; elected govt and its functionaries are public servants. But public interest is best served if certain sensitive matters affecting national security are kept out of public gaze.
* Cabinet meetings demands free debates on public issues, free from the pressures of politics. People should have the unhindered right to know the decision of the Cabinet and the reasons, but not what actually transpires within the confines of the Cabinet room. So Confidentiality is required.
* OSA colonial era law; created a culture of secrecy. Confidentiality became the norm and disclosure the exception.
* Civil Service Conduct Rules, 1964 - prohibited communication of an official document to anyone without authorization.
* Indian Evidence Act 1872 also fostered.
* RTI overrides OSA or any other acts in case of inconsistency.
* Recoms. All laws dealing with national Security (like Section of IPC, OSA, Unlawful Activities (Prevention) Act 1967, Criminal Laws should be consolidated in a single act National Security Act (NSA)
* To prevent the disruptive activities, like supporting secession, questioning or disrupting the sovereignty, territorial integrity, treasonable activities.
* Consolidation makes it easy for administration, eliminates ambiguous confusion.
* NSA was enacted in 1980 but consolidated very few laws.
* OSA should be repealed.
* Govt privilege in evidence- Litigation against the state. State has som procedural protections -> State need not produce certain info in the court. (Indian Evidence Act, 1872) (IEA)
* IEA, Code of Civil Procedure, 1908, Code of Criminal Procedure, 1973, etc should be harmonized with RTI.
* Oath of Secrecy (OoS) taken by bureaucrat and ministers prevents them from revealing many matters. OoS is a legacy of colonial era. Some matters cant be obtained in the public interest. Oos is against the principles of democratic accountability and sovereignty. A written undertaking is enough An Oath of transparency should be administrated instead.
* Exempted Orgs Under RTI Act, Armed forces are excluded from its purview. The exempted list should be updated periodically with changing times and needs *these are not exempted from disclosure in case of corruption or human right abuses.
1. The Central Civil Services (Conduct) Rules
* Similar codes for state civil services, railways, foreign services, all India services etc.
* Prohibits unauthorized communication of official info by public servants.
* The accent, spirit and language in these rules is on denial of info to public Inhibits govt. servants from sharing info with public .
* These Conduct Rules were amended by DoPT in 2005. But states didnt amend.
* Recoms need for amendment by states too, in-line with RTI.
* Manual of Office Procedure - prohibits from the disclosure of notes or portion of a file. It is totally conflict with RTI Act. So it needs to be amended.
1. Confidentiality Classification (CC)
* Classification (restricting) of info tendency to classify info even when not needed. (in the national security interests). Detailed rules of classification (guidelines) -> in Manual of Office Procedure, (MoOP)
Manual of Departmental Security Instructions
* CC is major contributor to the lack of transparency.
* MoOP needs to be amended to bring in harmony with RTI.
* Classified info should be brought in to public domain after laps of some specified period say 30 years depending on the degree of confidentiality (secret, top secret, confidential etc)
* Categories of classification needs to be rationalized (without ambiguities). Only top bureaucrats of the dept should be given power to classify the info (acc. to the degree of confidentiality)
1. Rights and Obligations
* Rights and Obligations under the RTI Act to implement the act following measures need to be taken
* Building Institutions 1) Info Commissions , 2) Info Officers and Appellate Authorities
* Information And Record-Keeping 1) Suo moto declaration 2) Public Interest Disclosure
3) Modernizing Recordkeeping.
1. Capacity Building and Awareness Generation
1. Creation of Monitoring Mechanisms
1. Building Institutions:-
* Govt. of India constituted the Central Information Commission (CIC) = 1 Chief Information Commissioner and 4 Information Commissioners.
* States constituted the State Information Commission (SIC) = 1 Chief Information Commissioner and 1 Information Commissioners.
* CIC has been hearing the appeals. Selection of CIC and SIC bipartisan process involves leader of oppo.
* As RTI covers Judiciary too, it is better to have Chief Justice in the selection committee = inc. public confidence and enhance the quality of the selection.
* Recoms RTI allows for dispersal (acc. to population density) of Info Commissions to provide easy access to citizens. But no SIC or CIC has established offices in places other than capitals.
* Info Commissions should represent diff. (to inspire peoples confidence) sections of society (acc. to RTI Act). But there is preponderance of persons with civil service background though one advantage is insider knowledge about govt functioning.
* Info Officers, Appellate Authorities:-
* All depts. Have a Public Info Officer (PIO). In case of two or more PIO, in a dept, a nodal PIO should be chosen from among them for easier accessibility for the public.
* In GOI, PIO should be of uniform designation with sufficiently senior rank, say Deputy Secretary/Director this would make it easy for PIO to access info from the upper hierarchy.
* Appellate authorities for each PIO should be appointed (as implied by the act)
* Organizing info and record keeping:-
* Proactive disclosure by govt agencies is the essence of transparency.
* RTI Act stresses suo-moto disclosure (mostly through electronic disclosure)
* As of now, most the times public needs to file application, to get even that info which should be ideally disclosed under suo-moto disclosure.
* So there is need for designing protocols for effective monitoring of suo-moto.
* Electronic Disclosure (ED) cost effective. But vast majority of public dont have access to computers. So printed prices publications should also be available for all depts. ED should be through a single portal for GOI and States.
* Public Interest Disclosure - not covered under RTI Act 2005. In many democracies there are whistle blower protection laws which protect honest public servants who disclose info about gross corruption which they know to be happening and it protect them from harassment by superiors or others.
* Recoms should enact Whistle Blower Protection Bill
* Record Keeping -
* Totally neglected in India very poor 10th fin. Comm.. recom. Special grants for states for improving record keeping.
* Land Records very imp. proof of title; dispute resolution; access to credit is usually dependent on land ownership, whole administration hinges on the accuracy and reliability of land records.
* So access to land records forms the bulk of requests under RTI but very poor maintenance of land records in the last 60 years. no comprehensive land survey took place many land records no longer exist.
* Digitalization of Records so land records should be updated by land surveys properly stored in printed form and electronic form for proper retrieval.
* Problems: - In many govt agencies (state and central) record keeping procedures do not exist, or not updated for decades. Practice of Cataloging, Indexing and Orderly Storage is absent. Even when records are kept, retrieval of info is virtually impossible. This results in tendency to give large amount of data which is unprocessed and irrelevant whenever requested under RTI (no summaries)
* Info should be easily retrievable and intelligible.
* Measure updated record keeping procedures, cataloging, indexing, storage.
-- correcting all info into intelligible, retrievable info modules.
* Digitalization of Records - setting up of a permanent expert agency Public Records Office (PRO) at central and state levels, by consolidating the existing record keeping agencies like State Archives etc. PRO will coordinate and supervise the record-keeping should function under the supervision of CIC o SIS.
* Funding for recording keeping one time investment.
* PRO will design the procedures, infrastructure.
* Capacity Building and Awareness Generation -
* Mindset of bureaucracy culture of secrecy needs to be changed
* Mindset of citizens reluctance to seek info needs to be changed
* Requires sustained training and awareness programs. Even some PIO are not familiar with some provision of the Act.
* Awareness intense debates in media, pubic debates but at grass roots level, awareness is very low.
* Mostly limited to govt advertisements in print media. Media should involve mass communication techniques. Govt. should organize educational programs. Civil society (NGOs) should be involved.
* Training of not just PIO, but ever y employee of govt, atleast for one day in a year.
* Monitoring Mechanism
* Supervising, detecting problems in implementation, rectifying them at several levels - within the public authority, a group of authorities in a territory, for a whole state, the county.
* For each department/agency, the head of the organization will be responsible for monitoring.
* Some nodal dept or ministry or agency - at the apex of monitoring mechanism.
* Nodal dept should logically be CIC or SIC.
* CIC functions largely limited they only hear complaints and appeals and submit annual reports.
* Recoms CIC should also be made the coordinating agency between all the SIC, which are currently independent. Coordination required for uniform implementation of the Act, to avoid duplication of efforts, replication of good practices from one state to another, minimization of litigation, for effective functions of nationwide web based info dissemination system
1. Issues of Implementation
* Implementation of RTI Act is an administrative challenge which has thrown up various structural, procedural, logistical issues and problems.
* Problems in filing application:-
* Complicated system of accepting requests often PIO office and account office are at diff. places.
* Insistence on demand drafts Rs 35 bank charges for Rs 10 form
* Difficulties in filling applications by post
* Varying and often higher rates of application fee
* Large no. of PIOs.
* Recoms:- many modes of payment should be included under RTI Uniform rates Applications should be allowed to be filed in any post office, post office should be authorized to act on behalf of PIO office in accepting applications.
* Inventory of Public Authorities:- A list of all public authorities (should include NGO funded by Govt) in the country is necessary. This list should be catalogued and indexed. This can be prepared by an inverted tree method in which every authority will prepare a list of authorities immediately under it.
* Nodal agency for implementation of RTI Act at GOI level is Dept of Personnel and Training.
* Single Window Agency (SWA) at distinct level:- All the departments and agencies of the State Govt are represented at district level but they may geographically widely dispersed.
* Most of the times, applicant may be unaware of the location. So SWA (at district level) is necessary to receive request and forward them to PIO.
* Subordinate filed offices and public authorities:-
* Definition of it under RTI Act -> any authority or institute or body of Self government established by constitution or by laws made by the parliament or state legislation, or by any notification issued by govt, including institute substantially funded by the govt.
* All Pub Authorities should appoint PIO/APIO, under RT but it has been observed that lower tiers of the Government have neither been considered as Public Authorities nor have PIOs been designated.
* Recoms -> Lowest office in any org which has decision making power or is a custodian of records should be recognized as a public authority.
* Application to NGO:-
* Under the Act, a non-governmental body needs to be substantially financed by govt to be categorized as public authority under the Act.
* Gains importance because of outsourcing of functions of govt to NGO should be clearly defined. Any org performing functions of public nature should come under the definition.
* Time limit for Information beyond 20 years:-
* Under RTI, a request can be made for info of any matters happens in the last 20 years. Many applicants may want to get info of an event beyond that. This needs to be taken care of. like land records which are of permanent nature.
* Mechanism for Redressal of Public Grievances:-
* Citizens seek info mostly to redress their grievances Information is that starting point in a citizens quest for justice and not an end in itself.
* So states should set up independent public grievance redressal authorities to deal with complaints of delays or corruption These will work in coordination with SIC/Dist. Single Window Agencies. -- Eg: Delhi Govts Public Grievances Commission (PGC) 1997
* Frivolous and Vexatious Requests:-
* Applicants need not furnish any reason behind the request or any personal details this is so to ensure that the there is no subjective evaluation of the request, or denial on specious ground.
* Cases Public Servants facing disciplinary charged have repeatedly attempted to use the Act to intimidate, harass, and humiliate seniors with requests that have been vexations.
* Such frivolous requests may overwhelm the system; defeat the very purpose of the Act. Terror of the administration may be paralyzed, seriously undermining delivery of services.
* Results in Breakdown of discipline, insubordination, disharmony in public institutions, divergence of the resources to unproductive purposes.
* Recoms PIO should be given the power to deny (within 15 days of receiving) the requests of they are patently (clearly) frivolous and vexatious - these refusals shall be examined by CIC/SIC. = this will deter the PIO, from unwarrantably denying requests under the garb of frivolous requests.
1. Application of the Act to Legislative and Judiciary
* All organizations covered by the Act
* Legislative and the Judiciary already operate within the public eye to a far greater extent than the executive.
* However meetings of legislative committees not open to public and media - nevertheless, most of the functioning of the legislature is in full public gaze. Similarly, all judicial processes are in the public domain and hence totally transparent.
* Administrative process within the courts would have to be brought within the ambit of this law but with no compromising with the independence of Judiciary Need to bring uniformity in the info recording systems, introduce standard forms and a better system of classification of cases.
* Recoms Legislative - All information should be indexed, catalogued, digitalized Online sharing of information under pro-active disclosure.
* Action Taken Reports (ATRs), proceedings of committees, questions, debated etc should be disclose.
* Woodrow Wilson Congress in session is congress on exhibition; congress in committees is congress at work
* Committee Proceedings In India, most of the important legislative work is conducted in the Committees, away from partisan influences and transient emotions. Most of time, legislators act with great moderation and bring depth and substance to discussion on public policy.
* Parliament Session members tend to play to the galleries to capture media attention, or take a partisan line or extreme position. These debates are poor in standards, often polarize the society. No reconciliation is possible in medias gaze.
* Bipartisan consensus is needed. Transparency has both advantages and disadvantages here.
* Recoms A tracing mechanism needs to be developed so that action taken by the executive on various reports like CAG, House Committees etc is available to public online.
* Judiciary - using IT for better court management and providing info to the litigants Fresh cases in Sc and HC are filed only before computerized filing counters; cause lists are generated automatically by the computer.
* Software (COURINIC) provides info about the statues of SCs pending cases to litigants. SC, HCs are fully computerized.
* Admin processes in the district and subordinate courts will become transparent with computerization of records, Indexing and cataloguing.
* Conclusion
* RTI effectiveness depends on 3 fundamental shifts from culture of secrecy to culture of openness; from personalized despotism to authority coupled with accountability; from unilateral decision making to participative governance.
* RTI cant change everything. It is only a beginning.
* Creation of new institution, changes in laws and procedures, changes in attitudes and traditions of people and public servants, adequate peoples participation.
* More needs to be done to achieve accountability. Protection of whistle blowers, decentralization of powers, etc
* Redesigning the processes of governance.
by Shrey Rawat
Sources
1. Amarkeshs Hand-Written Notes available at https://drive.google.com/folderview?id=0BzuxVwOA4U0YRjcwOWRjTXRJX2s&usp=sharing
2. Original ARC Reports.
* I have used Amarkeshs hand-written ARC Reports Notes to prepare this summary notes and also took
* Reference from the original ARC Reports whenever there was a requirement to add further details.
* So here you have the Summary of one of the ARC reports > much properly formatted spelling errors free
* more detailed and editable, Enjoy.
* Ill share the summaries of rest of the reports too, once theyll get finished. (Except 7th and 14th Reports)
* *Requesting*: Someone please prepare and share a summary, similarly formatted, of the 7th and the 14th Reports.
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