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Ministry of Panchayati Raj

ePRI Study Project - Phase III

Volume I

To - Be Scenario Report

for

Panchayati Raj Institutions

in

State of Uttar Pradesh

By

National Informatics Centre Services Inc.

November, 2009

ePRI Study Project (Phase III) BPR Report (Vol I) – Uttar Pradesh

National Informatics Centre Services Inc. of 194

Confidentiality Statement

This report is intended solely for the information and use of the Ministry of Panchayati Raj, Government of

India, State Panchayati Raj Department, Government of Uttar Pradesh, National Informatics Centre and should

not be used, circulated, quoted or otherwise referred to for any other purpose by any institution or individual

other than the Ministry, State PR department and National Informatics Centre, nor included or referred to in

whole or in part in any document without the prior consent of National Informatics Centre Services Inc. or the

Ministry.



Table of Contents 1 EXECUTIVE SUMMARY ............................................................................................................................................................... 5

2 PROJECT BACKGROUND ............................................................................................................................................................. 7

2.1 BRIEF BACKGROUND OF PRIS IN UTTAR PRADESH ........................................................................................................................................ 7

3 VISION & OBJECTIVES ................................................................................................................................................................ 9

3.1 VISION OF EPRI PROJECT FOR TO – BE SCENARIO ........................................................................................................................................ 9

3.2 OBJECTIVES ............................................................................................................................................................................................. 9

4 APPROACH & METHODOLOGY ................................................................................................................................................. 11

5 INFORMATION & SERVICES NEEDS AND GAP ASSESSMENT ..................................................................................................... 16

5.1 KEY INFORMATION AND SERVICES NEEDS ARISING FROM PHASE I AND PHASE II OF THE STUDY ........................................................................ 16

5.1.1 Information Needs and Challenges ......................................................................................................................................... 16

5.1.2 List of Services Identified for Reengineering ........................................................................................................................... 32

5.2 GAP ANALYSIS ....................................................................................................................................................................................... 35

5.2.1 PRI Internal Functions .............................................................................................................................................................. 35

5.2.2 Service delivery ......................................................................................................................................................................... 53

5.2.3 Capacity .................................................................................................................................................................................... 65

5.2.4 ICT Infrastructure (Hardware, Software, Connectivity) ......................................................................................................... 67

5.2.5 Gap in integration with selected NeGP initiatives ................................................................................................................. 68

6 PROPOSED TO-BE SCENARIO – RECOMMENDED FUTURE STATE OF PRIS IN UTTAR PRADESH ................................................. 70

6.1 PRI INTERNAL FUNCTIONS ...................................................................................................................................................................... 84

6.1.1 Planning .................................................................................................................................................................................... 84

6.1.2 Implementation and Reporting ............................................................................................................................................... 86

6.1.3 Budgeting .................................................................................................................................................................................. 90

6.1.4 Accounting ................................................................................................................................................................................ 93

6.1.5 Pension Processing ................................................................................................................................................................... 95

6.1.6 Provident Fund Management .................................................................................................................................................. 96

6.1.7 Record Management ............................................................................................................................................................... 96

6.1.8 Correspondence Management ................................................................................................................................................ 98

6.1.9 Grievance Redressal ................................................................................................................................................................. 99

6.1.10 Administration and Governance ............................................................................................................................................. 99

6.1.11 Asset Management ................................................................................................................................................................100

6.1.12 Citizen Awareness...................................................................................................................................................................101



6.2 RE-ENGINEERED GOVERNMENT TO CITIZEN SERVICE DELIVERY PROCESSES ..................................................................................................102

6.2.1 Re-engineering existing G2C service Delivery Processes .....................................................................................................102

6.2.2 Re-engineering New G2C Service Delivery Processes ..........................................................................................................112

6.3 CAPACITY BUILDING .............................................................................................................................................................................122

6.3.1 To-Be Organization Structure (Structural Changes).............................................................................................................122

6.3.2 Capacities (Skill sets) ..............................................................................................................................................................126

6.3.3 Capabilities (Manpower) .......................................................................................................................................................131

6.3.4 Capabilities (Training) ............................................................................................................................................................134

6.4 POSSIBLE INTEGRATION WITH SELECTED NEGP INITIATIVES (CSC, SWAN, SDC, EDISTRICT) AND OTHER STATE INITIATIVES..............................145

6.5 E–ENABLED SCENARIO ..........................................................................................................................................................................147

6.5.1 Service Access & Delivery Channels and associated models ...............................................................................................148

6.5.2 Software Application Modules recommended .....................................................................................................................153

6.5.3 Common Databases recommended ......................................................................................................................................157

6.5.4 Infrastructure recommended.................................................................................................................................................159

6.6 BEST PRACTICES ..................................................................................................................................................................................165

6.6.1 Best Practices Adopted from other States ............................................................................................................................165

6.7 LEGAL CHANGES...................................................................................................................................................................................167

7 MAPPING PROPOSED SOLUTION AGAINST GAPS AND NEEDS IDENTIFIED ............................................................................. 168

7.1 INTERNAL FUNCTIONS...........................................................................................................................................................................168

7.2 SERVICE DELIVERY ................................................................................................................................................................................171

7.3 ICT INFRASTRUCTURE ...........................................................................................................................................................................174

7.4 CAPACITY ............................................................................................................................................................................................177

7.5 LEGAL.................................................................................................................................................................................................182

7.6 INTEGRATION WITH NEGP AND OTHER INITIATIVES ..................................................................................................................................182

8 KEY ASSUMPTIONS FOR PROPOSED SOLUTION ..................................................................................................................... 187

8.1 KEY ASSUMPTIONS / PREREQUISITES / CONSIDERATIONS ..........................................................................................................................187

8.2 DEPENDENCIES ....................................................................................................................................................................................187

8.3 RISKS AND MITIGATING FACTORS ...........................................................................................................................................................187

9 SUMMARY OF RECOMMENDATIONS ..................................................................................................................................... 189

9.1 KEY IMPROVEMENT AREAS (BEYOND EPRI) .............................................................................................................................................191

9.2 BENEFITS FROM PROPOSED SOLUTION ....................................................................................................................................................192

9.3 WAY FORWARD TO DPR ......................................................................................................................................................................193



1 Executive Summary

The vision of the Uttar Pradesh State PR department is to strengthen the Panchayati Raj system so that the Panchayati Raj Institutions may become the real functional units of governance with their direct involvement in socio-economic development of the rural areas through democratic process. The ePRI MMP has been envisioned to overcome the challenges faced by the rural citizens and PRI officials. These challenges range from lack of reliable communication infrastructure, delay in provision of services and certificates, and low revenue mobilization for implementing schemes at the GP level due to lack of monitoring mechanism for the schemes, lack of understanding towards their roles and responsibilities, lack of awareness among citizens towards various schemes, etc. The e-PRI project aims to progressively support all Panchayats and State Governments in the country to make effective use of IT in various activities. This Business Process Re-engineering report submitted by Ernst & Young team is prepared as a part of e-Panchayati Raj Institutions Study (ePRI) and it provides a brief outline of the services and how they have been proposed to be re-engineered. This report provides a detailed methodology adopted for re-engineering for the identified services, in order to ensure their effective and efficient delivery, through greater involvement of PRIs, and by utilizing ICT infrastructure in a better manner. The main focus was on re-designing of various customer delivery mechanisms with respect to the services identified along with the alignment with legal framework. The following steps are followed to reengineer the Processes and designing the To Be Scenario for the PRIs:-

1. As-Is Process Study – The team has conducted a 6 week study in order to understand the existing scenario of services and internal functions of PRI’s. The team visited all offices involved in service delivery of the identified services. For gathering information regarding services, the team met officials which consisted of CEO Zilla Panchayat, District level officers of line departments, Block Development Officers, Tehsildar, Welfare extension officers, Panchayat Secretary , rural citizens etc. All related forms & documents like GO, records, volume of transactions etc were collected. With the help of these discussions the study team identified the key process owners and stakeholders of the process. Based the understanding of the team about the process by different stake holders & process owners the team prepared the as-Is process report. The report consisted of As-Is process Maps, narration of the activity along with information like process owner, stake holders involved, registers involved, documents required etc.

2. Identifying Gaps – After studying and analyzing the existing scenario of and internal functions of PRI’s, the team identified major issues and gaps respect to people, process and technology.

i. People analysis – The team studied the actual requirement of the manpower against the available manpower in PRI’s department, this helped the team analyses the lack of resources availability at



various levels. The team also analyzed the skill availability with the existing resources; this helped the team in analyzing the kind of training which should be developed.

ii. Process analysis – The team identified services and various stakeholders in the existing process and the steps involved. During the process of re-engineering team tried to eliminate or limit the non value adding steps.

iii. Technology analysis – The study team analyzed the IT infrastructure existing in the state of Uttar Pradesh and what kind of NeGP initiatives which has been taken by the state. The team studies the level of integration and involvement of NeGP initiatives in service delivery and identified gaps in their integrations in the system.

3. Identifying Opportunities for Improvement – Areas of improvement were identified and assessment was done as to how these opportunities will impact – Transparency & accountability; Improved decision making; Internal process improvement; Improved service delivery to citizens; Convenience to government employees and segregation of duties

4. Defining the BPR framework – High level BPR framework was designed for the ePRI deployment across the three tiers. The key elements of BPR were defined including service delivery components, support components, software applications, hardware, connectivity, citizen and line department interfaces. The delivery channels were defined at each tier and back-end also structured as part of BPR framework.

5. Designing of To-be- Process maps and scenarios for PRI’s – To be process maps were developed first for the identified services along with the process flow. This defines the roles and responsibilities of the officials for assisting the services and forming the delivering mechanism. Also in order to address some of the common gaps & issues as well as bring in consistency across all the service delivery processes, the team identified some process components and activities which are common to all the service delivery processes. Common Component includes: - Application Submission; Application Receipt; Payment Receipt; Application verification; Application Approval/ Rejection; Service Delivery; Information Provision; Status Tracking.

6. Detailing the ICT infrastructure required– The citizen databases that need to be developed are suggested so as to provide efficiency in process execution and service delivery. Software applications were also identified that need to be created along with last mile connectivity planning.

In terms of next steps, the study team will prepare a state specific DPR which will be consisting of implementation plan, phasing, estimation of funds requirements, responsibilities, accountability and control matrix as summarized in the “Way Forward” section of this report.



2 Project Background

2.1 Brief Background of PRIs in Uttar Pradesh

Panchayati Raj Institutions (PRIs) in India are a homegrown effort to decentralize government to promote

greater participation by the ordinary public in their own governance. This process of democratic

decentralization was set in motion with the Constitution (73rd Amendment) Act passed by the Indian

Parliament in 1992, which enabled decentralized governance through PRIs in rural areas.

PRIs function at the village, intermediate (block) and district level. There are approximately 2,34,030 Gram

Panchayats at the village level, 6,053 Kshetra Panchayats at the block level and 535 Zilla Panchayats at the

district level. There are more than 31 lakhs elected representatives at all three tiers.

PRIs offer India’s rural villagers an opportunity to participate in village planning processes, to engage with the

various developmental schemes being implemented by the Government and to interact with their elected

representatives directly to ensure that their interests are being effectively served and their money properly

spent.

While PRIs are an excellent initiative in the direction of local self-governance, reality has been less positive as

many PRIs have been criticized for poor representation, failure to implement the participatory decisions of their

constituencies and mismanagement of funds. In this context, citizen participation in Panchayat institutions is

more meaningful when people have the information to make informed choices and to participate in decision-

making processes based on facts, not rumors and half-truths.

The PRIs are also saddled with the problems of inadequate capacity vis-à-vis physical and financial resources,

technical capabilities and limited computerization. This has limited the usefulness of PRIs as the preferred

delivery channel for the schemes of State and Centre as well as for citizen services.

Computerization and IT enablement of government functioning has received a high impetus with the

implementation of the National e-Governance Program (NeGP) of Government of India and various states

have realized the importance of e-Governance. This has led to a concerted thrust towards computerizing the

functioning of the state line departments in most of the states. The result of this is cognizable and has brought

in its wake significant efficiencies in the departmental functioning.



While some computerization efforts for PRIs have been made by National Informatics Centre (NIC) over the

years; unfortunately, the eGovernance revolution sweeping the country has not touched the PRIs yet in

significant measure. The Government of India in association with the Ministry of Panchayati Raj has realized

this and decided to take up the computerization of PRIs on a mission mode basis.

The Ministry for Panchayati Raj is keen on executing the computerization of PRIs in a fast track and time

bound manner. To achieve this MoPR in association with NIC has conceptualized a nation-wide study to take

stock of the needs of citizens as well as various government entities involved in the delivery of developmental

schemes and services. This study is expected to result in drafting the requirements of computerization for PRIs

across the country and is being undertaken across 27 states within duration of 23 weeks.

This initiative poses unique challenges, as the coverage of the program is in itself unprecedented not only in

India but perhaps globally too. The geographic and demographic coverage of the program, therefore, makes it

a challenging initiative to rollout.

In addition, the level of devolution of powers to Gram Panchayats across the country varies depending upon

the administrative arrangements in a particular State/UT. This implies that the services that could be delivered

to the citizens by Village Panchayats in one State/UT could differ from another. Consequently, design of the

process re-engineering, computerization and capacity building program would face significant challenges. This

also leads to related challenges around stakeholder’s involvement in the program.

This project entails carrying out the following three activities:

1. Identification of Information and Services Needs of Stakeholders 2. Process Re-engineering and 3. Preparation of Detailed Project Report for the MMP

The project execution primarily was carried out across the following five tiers:

1. Ministry of Panchayati Raj (or ‘Ministry’) level 2. State level 3. Zilla Panchayat level 4. Block Panchayat level 5. Village Panchayat level



3 Vision & Objectives

3.1 Vision of ePRI Project for To – Be Scenario

The ePRI MMP has been envisioned to overcome the challenges faced by the rural citizens and PRI

officials. These challenges range from lack of reliable communication infrastructure, delay in provision of

services (Licenses, Certificate etc), and low revenue mobilization for implementing schemes at the GP

level to lack of monitoring mechanism for the schemes. The e-PRI project aims to progressively support all

Panchayats and State Governments in the country to make effective use of IT in various activities.

3.2 Objectives

The vision of evolving model e-Panchayat system in the country is encapsulated in the following

objectives:

a. Internal Process Improvement: In order to strengthen the PRIs it is important that their internal

processes are optimized. While the thrust on improving quality of services & effectiveness of

information dissemination is rightly placed, it is equally important to focus on improving internal

functioning of PRIs as it will be difficult to achieve any substantial improvements vis-à-vis service

delivery and information dissemination without building internal capacity. ICT would also strengthen

linkages between the PRIs and departments ensuring seamless information sharing.

b. Improved Decision Making: The e-PRI project would help PRIs to create, generate and own

integrated databases relating to diverse fields spanning poverty, land, health, education, irrigation,

agriculture, assets etc. It also aims to digitize the various registers & household related information.

Access to such data repository would facilitate the PRIs in making better decisions and planning for

villages would be improved. This decision making would be more representative of people’s needs

as their needs and grievances would be tracked and monitored while planning. The State Line

Departments can also benefit from such data repositories as they expect PRIs to feed them with

authentic data.

c. Transparency & Accountability: Building trust between government and citizen is fundamental to

good governance. In order to achieve this, e-Governance is increasingly becoming a tool to

address issues of accountability, transparency and efficiency. Greater people participation should

be encouraged in planning process, promoting open and accountable government processes etc.



As the PRIs are the government entity closest to the people, they are the most suited to achieving

this end. ICT can play a crucial role in making the information publicly accessible. Moreover, the

aim is to provide external visibility & accountability through social audits, thereby strengthening the

Panchayati Raj based delivery systems.

d. Improved Service Delivery to Citizens: The NeGP vision consists of making all Government

services accessible to the common man in his locality, through common service delivery outlets.

This ensures efficiency, transparency & reliability of such services at affordable costs to realize the

basic needs of the common man. The services should be delivered to the citizens in a timely and

cost effective manner. Citizen requires quick and easy access to services not only from the PRIs

but also from other line departments. Massive amount of time and money is spent in commuting

between different offices to obtain the information and to avail the required services. Keeping such

challenges in mind, e-PRI aims to offer not only the mandated services but also those that are

highly demanded by citizens through Panchayats.

e. Convenience to Government Employees: This has by far been the most neglected aspect in the

design of eGovernance projects. Most eGovernance interventions fail because the importance of

employee buy-in is underemphasized. Hence, the ePRI project solution has been designed keeping

in mind the needs and convenience of the employees who will be using this system.



4 Approach & Methodology

It is important to have a well defined approach and methodology for executing a project of this magnitude in the desired timeframe. Accordingly, a four phase approach (refer figure 1) has been designed as illustrated below:

Figure 1: Project Approach

The Initiation and Planning phase (Phase I) primarily focused on setting the tone for execution of the project. The key outcomes of this phase were identification of stakeholders, the consultation mechanism with the stakeholders and formalizing the deliverable templates. During this phase data gathering tools and templates were also prepared, which were targeted on focused information capture. The INS Needs assessment phase (Phase II) involved interaction, including a survey, with the identified stakeholders. This phase resulted in forming an understanding of the needs of the stakeholders and helped in

Objective This section summarizes the approach and methodology adopted for

conducted for analyzing and identifying services for reengineering in order to

optimize the efficiency and effectiveness of service delivery.

►Conducting interviews and discussions at district, block and gram panchayats

►Review ICT infrastructure at panchayats

►Review CSS and activity mapping at panchayats

►Prioritization of information and services needs

Initiation and planning

I&S Needs assessment

►Study As-Is service portfolio

►Reengineer existing processes

►Create To-Be process maps for new services based on I&S needs assessment report.

Process Re-engineering

►Estimate ICT requirements for Ministry and state►Define strategy for

roll-out►Define project

management & M&E structure►Define

communication plan►Define change

management strategy►Determine total

budget requirements

DPR Preparation

Project mgmt plan and Study templates

I&S Needs assessment

Process Re-engineering Report

Detailed Project Report

► Identifying key stakeholders

►Understanding project expectations

►Assessing current state of governance initiatives, ICT infrastructure, activity mapping, CSS etc. at state level

►Preparing data gathering tools and study templates



identification of the services. The citizen centric services that are currently being delivered through PRIs and the services that are expected to be delivered through PRIs were also identified and studied. This report is about the Process Re-engineering phase (Phase III), which entails the in-depth analysis of the identified services and creating As-Is process document. This will lead to the To-Be scenario, where the services would be re-engineered for optimizing the efficiency and effectiveness of service delivery.

The DPR preparation phase (Phase IV) will be the eventual outcome of the study where apart from State specific DPR, a national DPR would also prepared. This national DPR would be shared with the states to enable them to directly undertake implementation of e-Governance in Panchayati Raj Institutions. The following sections details the approach and methodology adopted during the INS Study This section presents the overall approach and methodology carried out for designing the To-Be Scenario of

the PRIs in Uttar Pradesh. Figure 2: Phase III - Approach

During ISNA phase, meetings were conducted with process owners & state Panchayati Raj Department to understand: ► Vision and objectives of the department ► Organizational set-up and broad functions

P H

A

S E

II As Is Study

ISNA

Identifying the Gaps / Pain Areas in the current process of Service Delivery

Identifying the Opportunities of

Improvement

Defining the To Be Common Components

across Services

P H A S E

III

Designing the To Be Process Maps addressing the People,

Process and Technology Gaps identified

Designing the To Be Scenario for PRIs in terms of Technology, Processes

and People



► Key processes at macro level

Subsequently in the phase III, the following steps as described in the figure above are followed to reengineer

the Processes and design the To Be Scenario for the PRIs:-

4 As-Is Process Study: The first step towards re-engineering of services & internal functioning of PRIs

involved studying the existing process (As-Is). In order to do that the study team identified the key process owners and stakeholders of the process. The project study team prioritized the list of services to be re-engineered, in co-operation with citizens, Officials of all three tier of PRI & State PR department.

The team visited all offices involved in service delivery of the identified services. For gathering

information regarding services, the team met officials which consisted of CEO Zilla Panchayat, Project

Director DRDA, District level officers of line departments, Block Development Officers, Tehsildar,

Welfare extension officers, Panchayat Secretary , rural citizens etc. All related forms & documents like

GO, records, volume of transactions etc were collected.

Apart from prioritizing the G2C services that could be delivered through Panchayats the team also

studied the G2G functional areas which included planning, implementation, and Monitoring &

Accounting processes of PRIs. The team interacted with all the stake holders involved in the process.

These stake holders were standing committee members, ward members, pradhan, panchayat

secretary, and village level workers, Additional Block development officers, Block Development officer,

CEO Zilla Panchayat and other PRI officials. The team also met officials from line department, NGOs &

other active functionaries’ at all three tiers of PRIs. The processes of G2G functional areas were

studied and the existing gaps were analyzed. The analysis of gaps in the process led the team to

recommend IT applications that can be implemented for PRIs to expedite & regularize the internal

process.

Based on the understanding of the team about the process by different stake holders & process owners

the team prepared the as-Is process report. The report consisted of As-Is process Maps, narration of

the activity along with information like process owner, stake holders involved, registers involved,

documents required etc.



4 Identifying Gaps: Having studied the detailed As – Is processes of the services prioritized for re

engineering, key gaps and pain areas with respect to People, Process and Technology were identified.

o Process Analysis: - The processes were split into sub-process and value analysis was carried on, to categorize sub-processes into value adding & non-value adding processes. While doing BPR our approach was to eradicate or minimize these non-value adding steps. On doing so the team was in regular touch with concerned process owners so that validation could be done instantly.

o People Analysis: - The As-Is process also consisted of studying the manpower availability. For

this the team captured information on sanctioned strength of manpower against men in position. This helped the team to know the required manpower strength. Further to know the actual requirement of human resources the team also discussed on existing work load of PRIs with CEO Zilla Panchayat, Block Development officer & Panchayat secretary. This gave an insight into the requirement of enhancing the existing sanctioned strength. Apart from studying the manpower position the team also analyzed the skills available with existing resources. The approach for analyzing the skill sets available was one to one interview with various stake holders. The discussion topics were mainly on the roles and responsibilities of the stake holders and the method they follow to render their responsibilities i.e. follow the age old traditional method or any advanced technology or approach being used. Thus the team came into conclusion on requirement of skills & manpower.

o Technology Analysis: - Many states have taken initiative and developed certain state specific

IT infrastructure. The team consulted about the same with state IT department, NIC, State PR

Department, Line departments & PRIs. This helped the team to know the existing infrastructure

like software, hardware, connectivity etc present at different levels of PRIs & Line department.

Apart from studying the state specific initiatives due consideration was also given to study the

MMPs like CSC, e-District, State Wide Area Network & State Data Centre. This helped team to

know the ICT requirement of the state and the possible integration point.

4 Identifying Opportunities for Improvement: The Gaps identified in the above step were translated

into the areas of improvement and were mapped closely to the objectives of the ePRI project i.e.

o Transparency & Accountability

o Improved Decision Making

o Internal Process Improvement

o Improved Service Delivery to Citizens

o Convenience to Government Employees



4 Defining the To Be Common Components: Based on the common gap and pain areas and

improvement areas identified, a common set of Components were defined e.g. the Form Availability

Component, Payment Component, Application receipt, Application rejection etc. The objective of

defining the common set of components is to bring in standardization in process of Application

Submission, Application Receipt, Application Status Tracking, Certificate Issuance, Grievance

Redressal, Information Provisioning etc. across all the prioritized services selected for reengineering

while keeping in mind the addition of any more services to be delivered through PRIs in future.

4 Designing To – Be Process Maps: To-Be process maps were developed along with the supporting

narrations which were validated through discussions with Panchayat officials. Prerequisites and

dependencies were defined for all the To-Be processes. Key Recommendations made were mapped to

the objectives they directly impact. An Escalation Matrix was also defined for all the To- Be processes

to indicate the Escalation process and conditions. Any Legal Changes involved are also highlighted for

the respective new processes. Volume I briefly touch upon the To Be process maps for services, while

Volume II details out the processes proposed for all the selected services.

4 Designing To – Be Scenario of PRIs: After defining the reengineered processes based on the

component based approach as above, interventions in terms of technology, processes and people are

defined to design the To BE scenario of the PRIs. Technology interventions define the gamut of

applications required to be developed or enhanced to support the reengineered processes and

requirements defined for service delivery and internal functioning of PRIs. The set of databases is also

defined to create a pool of digital information to support the MIS needs of the PRIs and other

stakeholders. Connectivity options till the grass root level are also proposed. Process intervention to

define the changes and improvements in the service delivery and internal functioning at PRIs. Based on

the proposed interventions as above, the people level interventions are defined which define

requirements in terms of more manpower and the skill sets required by Officials to perform their

activities in a better way.

The following sections detail out each of the aspects described above to give the reader a detailed

understanding of the proposed To – Be Scenario of PRIs in Uttar Pradesh.



5 Information & Services Needs and Gap Assessment

5.1 Key Information and Services Needs arising from Phase I and Phase II of the Study

During the study phase, in order to assess the information and services needs of the state, the team met

various stakeholders at each level. At the state level, the team met all the line departments, which are

running various state and centrally sponsored schemes, such as Health Department, Rural Development

Department, Agricultural Department, Basic Education Department, ICDS Department, Planning

Department, Department of Social Welfare, Revenue Department, Food and Civil Supplies Department,

etc. The objectives of the meetings were to understand how the various schemes are being planned,

implemented, monitored and reported. Besides, the aim was also to assess the status of IT application for

the planning, implementation and monitoring of the various schemes. At the district level, study team met

all the Panchayat officials along with the parallel body named DRDA (District Rural Development Agency)

which mainly takes care of the execution of various rural development projects. At the block level, the team

met various line department representatives (ADOs), Block Pramukh and the BDOs to understand

schemes being implemented and their role in the delivery mechanism. Apart from that, the team also

discussed about the various citizen services being offered by them and what is the overall process flow.

At the gram level, the team organized a gram sabha in presence of district, block, and gram Panchayat

members, etc to understand citizen awareness and their aspirations. The team also met the Panchayat

Secretary, Gram Vikas Adhikari, Gram Sevaks, ASHAs, Anganwadi workers and helpers, etc to

understand their roles and responsibilities in implementation of various schemes and related services and

their expectations from the IT application point of view.

5.1.1 Information Needs and Challenges

After the survey the team recognized some issues pertaining to PRI Internal Functions and roles &

responsibilities. The team was also able to identify key gaps in service delivery to citizens. The gaps and

the expectations of all the stakeholders are represented in the following tables.

Objective Summaries the information needs, service needs and the gaps observed in

aspects like PRI Internal Functions, service delivery, capacity, infrastructure,

integration with NeGP initiatives and internal automation.

5.1.1.1 Information and Services Needs of State PR Department and other line departments

After the meetings with the PR officials and different line departments at the state level, the study team identified the major issues

and challenges that are faced by the PR as well as the line departments, and few specific to the functioning of the respective

departments. These common and department specific issues and challenges are highlighted in the table below:

Stakeholders Challenges / Issues Expectation from ePRI

Department of Panchayati Raj

• Scarcity of skilled man power and technical personnel

• Lack of awareness about their comprehensive roles and

responsibilities among the officials

• Lack of internet / intranet connectivity at the lowest level

of PRIs, especially at the kshetra and gram panchayat

level, within their office premises

• Hiring technical people, especially IT personnel

• Conducting IT related training programs for the in-service

officials

• Introducing online training tool kit for capacity building of the

PR officials regarding their functions

• Vertical as well as horizontal integration to the SWAN

connectivity should be given high emphasis

Department of Health

• Problem pertaining to the manual collection, sanitization,

storage and retrieval of data related to deaths and births,

diseases, mortality rates, immunization figures, etc

• Resource allocation such as doctors, nursing staffs,

pathological assistants, etc for the PHCs and CHCs at

the grass root level

• Base line data gathered from multiple sources are

voluminous and in many cases not up to date and

accurate

• Facilitating data entry at the lowest level i.e., village-wise

information, thus reducing the data backlog.

• Maintaining the annual record of the medical personnel such

as doctors, nurses, etc required vis-à-vis those interested to

work at the grass root level

• Accurate entry of health statistics from authentic sources and

regular updation would enhance transparency in data

collection and maintenance

Department of Agriculture

• Low level of awareness among the farmers regarding the

innovative farming techniques, superior quality seeds,

high quality fertilizers and pesticides, etc

• Dissemination of information related to prices of seeds,

fertilizers, pesticides etc. in the open market without the

interference of the middlemen




• Farmers are not aware of the weather changes or

forthcoming natural calamities such as drought or flood

• The farmers do not show their interest for soil testing due

to the location of the labs either at the state or at district

level.

• Need to introduce crash courses and training toolkits for the

capacity building of the farmers on the latest available

farming techniques

• Facilitating broadcasting of information pertaining to weather

update, arrival of monsoon, extreme weather changes or

unseen calamities

• Require assistance in timely sharing the results of soil testing

of samples submitted by the farmers

Department of ICDS

• Major issue faced in imparting awareness about the

various women and children related schemes, with

special focus on all-round development of girl child

• In-efficient tracking of fund disbursement to the

beneficiaries at the village level under various

developmental schemes such as Balika Shree Yojna,

Mahamaya Gareeb Balika Ashirwaad Yojna, etc

• Lack of proper supervision of the performance of the

Anganwadi workers and helpers at the gram level in

distribution of nutritious and supplementary foods among

mal-nourished children and pregnant women

• Lack of authentic database, with the centre or the state,

which leads to faulty planning of various schemes related

to women and child development

• Emphasis on capacity building of the citizens as well as the

Anganwadi workers, helpers and Mukhya Sevikas regarding

the existing and proposed schemes run by both central and

state

• Regular data entry and management of information related to

details of beneficiaries

• Tracking of records pertaining to distribution of food materials

to various Anganwadi centres in every districts on monthly or

fortnightly basis

• Organizing regular training programs for the in-service

Anganwadi workers and helpers

• Creation and management of village-wise database

pertaining to the health details of new born babies, pregnant




women, mal-nourished children, etc which is further to be

used as planning base for various schemes

Board of Revenue and Land Records

• The main concern is the management and updation of

the existing land records and avoid unauthorized

mutation

• Introduction of a safe, authentic and mutation proof database

of land records along with the owner details.

• Initiatives should be taken to provide technical training to the

department officials as well as citizens on the use of such

databases.

Department of Basic Education

• Absence of a comprehensive and authentic database of

the number of enrolled students at the various village

level primary schools

• Lack of any physical check on the attendance of the

teachers as well as students

• Monitoring of fund utilization for purchase of raw

materials under mid-day meal program by the pradhan

seldom happens

Key areas where computerization of PRIs is expected to assist

are effective tracking and monitoring of:

• Students’ enrollment

• Students’ attendance

• Teachers’ attendance

• Fund utilization under various schemes such as SSA, Mid-

day Meal, etc by the headmaster and the GP officials

Department of Rural Development

• Unusual delay in the issuance of job card and opening of

bank account for the beneficiaries under NREGA

• Irregular entry of information pertaining to job done by

individual workers in the muster rolls

• Physical monitoring of the construction work by any

technical person rarely happens and when it happens, it

• Consistent maintenance of the list of existing job card

holders and inclusion of new names and muster data

updation are of immense importance

• Regular submission of progress report of work and

attendance of the workers would expedite the process of

muster rolls updation and payment of wages




is not properly reported

• Appointment of technical staffs are required at the village

level for efficient execution and monitoring of various

construction activities

Department of Social Welfare

• The irregularities in the existing BPL list often leads to

erroneous selection of beneficiaries under various

pension schemes

• Due to lack of diligent verification, the department often

encounters inaccuracy in the list of beneficiaries under

various pension and scholarship schemes

• Regular updation of the list of existing as well as potential

beneficiaries, as identified in gram sabha meetings at the GP

level

• Family register required to be computerized at the GP level

which would ease the process of verification of the

beneficiaries’ details.



5.1.1.2 Information and Services Needs of Panchayati Raj Institutions

At ZP/BP/GP level, the study team met various line department officials, elected members and citizens to understand their

vision, plans, issues, challenges and opportunities to use ICT applications to improve the delivery of various schemes and

related G2C and G2G services. The assessment of their needs is as below.

PRI Level Challenges / Issues Expectation from ePRI

District Panchayat, (Azamgarh/ Etah/ Jalaun)

Lack of skilled and technical manpower

• At district panchayat, the staffing is not adequate

• Resistance in adapting to new mode of working

• Predominance of non technical staff members

• No training related to technical skill sets or ICT application

is being provided to the PR employees

• Absence of IT personnel lead to problems such as

mismanagement of data, inaccurate record keeping, etc

• Appointment of trained people to address the critical

vacancies at district, kshetra and gram panchayat level

• Immediate hiring of IT personnel who has exclusive

knowledge of hardware as well as software of computer

applications

• Training should be given to the in-service officials on the

use of various computer applications and portals

Low level of vertical integration among DP, BP and GP level

• No clear guidelines are provided to district, block and gram

panchayats towards their complete roles and

responsibilities

• Difficulty in monitoring funds due to lack of transparency

and coordination

• Introduction of training toolkits would enable the panchayat

officials to deliver their functions effectively

• Required to enhance the transparency of fund flow and

fund utilization at the various level of PRI

• Physical verification of the beneficiaries under various

schemes should be done accurately and undue delay

should be avoided




• Physical verifications of the work progress often lead to

chances of bribery and incorrect portray of information

Low level of horizontal integration among district PRIs and other line departments

• Most of the schemes are getting implemented and

executed by the respective line department officials, only

monitoring at the gram level is done by the PR officials

• Absence of any kind of documents such as activity mapping

in UP

• All the schemes are envisioned to be planned,

implemented, executed, monitored and reported through

PRIs only

• All the identified G2C services would be delivered at the

gram panchayat level

• Alike Kerala and Orissa, activity mapping document should

be introduced, clearly defining the functions of the PR

officials at state, district, block and village level

Lack of proper connectivity

• Lack of SWAN integration at all the levels of PRIs

• Absence of IT personnel or computer operator at any levels

of PRIs

• Lack of security and maintenance of the computers and

support accessories such as printers, card readers, data

cables, scanners, routers, etc

• Enabling SWAN connectivity at the DP and BP office

premises

• Hiring, at least one, IT personnel at the three levels of PRIs

• The safety and maintenance of the existing infrastructure

such as PCs and the related accessories needs immediate

attention

• Capacity building of the PRI employees

Block Panchayat, (Azmatgarh/ Dakoor/ Shitalpur)

Shortage of manpower

• Shortage of employees at the ADO and BDO posts, which

is creating work pressure on the existing manpower

• One of the key expectations from ePRI project is to enable

hiring of trained people to address the critical vacancies at

BP level




• This also causes delay in the delivery of various G2C and

G2G services at the village level

• Irregular monitoring of schemes such as NREGA, IAY,

TSC, etc

Other challenges presented at the DP level such as lack of horizontal and vertical integration, lack of technical manpower,

absence of proper connectivity and SWAN integration are also applicable at BP the level

Gram Panchayat, (Chamkari/ Padri/ Olmapur)

Lack of physical infrastructure

• Irregular power supply is leading to less chances of

installation of computers and related accessories

• Most of the gram panchayat do not have panchayat

bhavans and the existing ones are in poor condition or

are not properly maintained

• Presently, usage of IT applications at the villages are

totally absent

• Application of solar power to solve the problem of

irregular power supply and to run the computers

• Construction of new panchayat bhavans or mini

sachivalaya for the GP officials and renovation of the

existing panchayat buildings

• Establishment of computer labs and hiring of computer

operators

Absence of skilled manpower

• Most of the gram panchayat officials do not possess

technical expertise

• The GP officials are not having comprehensive

knowledge about their roles and responsibilities

• Panchayat secretary or gram vikas adhikari is

• The requirement is to hire trained people to address the

critical vacancies at GP level

• Immediate hiring of IT personnel who can work on

computer and has exclusive knowledge of hardware as

well as software of computer applications

• The existing manpower should also be given training on

usage of various computer applications and panchayat




overloaded with work and unable to manage more than

one grams panchayats

• Gram panchayat officials lack technical knowledge,

especially engineering skill sets and thus unable to

handle construction works.

portals

• Creating a post of a technical staff to assist in the

construction work

Creating awareness on the roles and responsibilities

• No clear guidelines are mentioned regarding the roles

and responsibilities of the PR officials especially at the

GP level.

• Tracking and monitoring of issues related to

maintenance of hand pumps, transformers, street lights,

etc.

• Irregularities related to the existing BPL list is a major

issue as selection of beneficiaries for almost all the

schemes are done on the basis of the BPL list

• Projects identified under NREGA are not implemented

and monitored properly

• Issuance of fake job cards and opening of fake bank

accounts

• Development of an information portal highlighting the

functions of the PRI officials at all levels

• Availability of applications forms for various schemes

such as old age and widow pension, IAY, TSC,

scholarships, etc at the GP office

• Status update of the grievances/ complaints submitted

should be provided to the citizens

• BPL list should be made public among the citizens and

regular updation should be given emphasis.

• Issuance of job cards and opening of bank accounts

should be given importance to expedite the PRIs’

function of poverty alleviation



5.1.1.3 Overall analysis of Citizen Expectations

During the study, it was observed that the main demand of the citizens was delivery of various services like birth and death

certificate, financial assistance in form of pension and scholarship, health check-ups and medical assistance for pregnant women

and new born children, etc at the village level. The demand for having a well equipped and better maintained panchayat bhavan

which could be used as a one stop shop was put forward by majority of the villagers. There are some services offered by the gram

panchayat to the citizens which are need based, that is, not delivered until it is required / demanded; for example, birth certificate,

death certificate, copy of family register, etc.

The study also brings to light the issue of lack of participation of the citizens along with the PRI representatives in the developmental

initiatives for the village. The key objective of decentralized planning is public participation in the decision making as well as collective

involvement in the developmental activities.

Some of the services identified during the focus group discussions were provision of regular health check-ups and free medication to

the senior citizens, issuance of medical certificate to handicap persons, provision of marriage grants for widows and handicaps,

support equipments such as wheelchairs, hearing machine, scratches, etc to handicap persons, marriage registration certificate, etc.

It was observed that provision of most of the identified services could be made possible at the village level; however, this would

require appointment of workers and provision of infrastructure such as construction of panchayat bhavans, etc at the GP level. This

would improve the delivery mechanism and enhance the transparency level of the services.



Stakeholder Challenges/ Issues Expectation from ePRI

Citizens

Lack of awareness about schemes, services and the functions of gram panchayat officials

There is a lot of information gap in terms of the knowledge

citizens have about:

1. What schemes are available for their benefit? 2. Are they individually eligible for the same? 3. What are the roles and responsibilities of the Gram

Pradhan and the Panchayat Secretary?

As a result of this information gap

1. Citizens feel that their needs are not being taken care of and hence start losing interest in gram sabhas

2. Wrongly apply for benefits under various schemes and this takes considerable effort from GP to process them subsequently

3. Citizens are not aware of the support they can get from the pradhan or secretary

Information Need

Initiative on the part of state PR

department in assistance with the PRIs to

impart awareness among the citizens

about the eligibility criteria and benefits

under various schemes

Clear understanding is required to be

provided to the citizens on the functions of

the Pradhan and the Secretary and the

kind of assistance the citizens could

expect from them

Organization of regular gram sabha / open

meetings are required to update the

citizens about the new initiatives or

schemes or programmes introduced by

central and state governments



Difficulty in tracking the status of their applications

Many citizens submit their applications at ‘tehsil day’ which is

conducted on every first and third Tuesday of the month. These

applications are submitted manually and have no tracking

system which can provide them the clear status on their

applications. Some of the schemes related applications are also

submitted at gram level and have the same issue

Information Need

Status update of the applications /

complaints submitted by the citizens

should be provided at the GP level.

Manual interference in the office transfer

of the applications or complaints should

be reduced to avoid loss or tampering of

the documents

Issues with bank officials in processing the payments under NREGA Many of the citizens find problem in dealing with the bank

officials for timely release of payments under NREGA

Moreover, they are not informed about the payment schedule of

their wages

Due to these, the citizens are forced to visit the bank for atleast

five to six times before they receive their wages

Information Need

Citizens should be informed about the

receipt of their wages in their bank

accounts without visiting the bank

This would minimize the cost of travel of

the citizens to the banks which are

generally located at the district

headquarters



Lack of accuracy in the existing BPL list

The villagers feel that many deserving people are not a part of

the existing BPL list and hence they are not getting the due

benefits of various schemes

Service Need

Regular updation of the BPL list would

minimize the issue of erroneous selection

of beneficiaries under various schemes

Information Need

The criteria for the selection of BPL

households also need to be transparent

Focus Group: widows Lack of awareness about the selection criteria for the widows pension scheme

Information Need

Required to provide clear guidance to the

citizens about the selection criteria.

Focus group: senior citizens

Low level of awareness about the selection criteria for the old age pension scheme For many of the senior citizens, it may be difficult to travel to the

GP office and apply in person

In some cases, it has been observed that the senior citizens are

traveling even to the district offices to submit their applications

under any specific scheme

Information Need

Essential to provide clear guidance to the

citizens about the selection criteria

Service Need

Need to prepare an updated database of

the senior citizens and provide them with

other social support benefits such as

regular health check-ups, medication, etc.

Essential to bring in a concept of doorstep

service delivery for senior citizens



Focus group: students of the primary school and their parents

Low level of awareness about the selection criteria for the scholarship scheme which has a cap of two children per household In most of the cases, the pre-metric students who are absent on

the day of scholarship disbursement, do not receive the amount

Information Need

Notification to be given to the citizens

about the selection criteria

Announcement about the date, time and

venue of scholarship distribution would

enable the students to collect their

scholarships in time

Focus group: handicap persons

Lack of awareness about the selection criteria for the handicap pension scheme Absence of any major initiatives for the handicap people other than pension scheme Gram panchayat officials assist the citizens only for handicap

pension scheme

There are few other initiatives such as financial assistance for

marriages free equipment distribution and allotment of shop for

the handicap people

Citizens find it difficult to go to district offices for submission of

application forms or further procedures

Service Need

Initiatives should be taken to smoothen

the delivery mechanism of services to

handicap persons such as distribution of

support equipments, financial assistance

to make them self-employed, financial

help for the marriage of handicapped girls,

etc

Provision should be made to facilitate

delivery of services at the doorstep for the

handicap persons



Focus group: women and children

No participation in gram sabha due to various social reasons and lack of understanding Women in the villages have limited knowledge about various

schemes which are implemented for empowering them and

provide special assistance

Anganwadi and ASHA workers generally belong to the villages.

But the selection criteria such as required educational

qualifications, related work experience, etc are not defined. In

most cases, the selection procedure is not fair

Information Need

Need to generate awareness among the

women and help them to understand the

schemes which are especially introduced

to assist them financially

Service Need

Financial support to be extended to the

women to make them self-employed

Focus group: beneficiaries under NREGS

Unaware about guidelines for preparing job cards Unaware about the details of the scheme Unemployment payment should be made by gram pradhan if

work allotment is not done within 15 days of work demand.

Not happy with the payment schedule under NREGS

Information Need

Status update of the job card application

to be provided to the citizens

Workers should be informed about the

payment schedule of their wages.

Service Need

Regular updation of the muster roll by the

GP officials would expedite the process of

payment and would enhance the

transparency level



Focus group: beneficiaries under SGSY

Unaware about guidelines of the benefits they can avail from the

scheme.

How to apply for the loan and what is the credit worthiness of

the groups to avail loans from bank?

How to create a self help groups?

Review and performance monitoring of the groups is not done.

Service Need

GP officials should be given responsibility

of assisting and providing guidance in the

creation of self help group

Assistance should be provided to the

groups in getting financial help from the

banks

Other major schemes like IAY, TSC, Mahamaya Awas Yojna

Difficulty in getting Utilisation certificate under IAY and TSC

No technical assistance provided to the citizen during the

construction process

Unaware about selection criteria of beneficiaries

Service Need

Efficient scheduling and organised

approach are essential for timely

completion of construction work

Diligent verification should be made

compulsory before issuance of utilization

certificate

Tracking of the fund utilization should be

given utmost importance



5.1.2 List of Services Identified for Reengineering

During the field visits and interaction with rural citizens it was observed that in many cases the citizens have to visit district

offices to access government assistance due to lack of proper guidance/ services at gram level. Even after submitting their

applications at district offices many a times they face an unusual delay in the delivery of the services. One of the reason which

causes poor experience of citizens in accessing the services is the manual interference which causes loss or tampering of

documents. Citizens are unable to track their applications and find it difficult to question the authority as they are unaware

about the RTI act and many other schemes/acts which are formed for their assistance.

There are also issues like lack of adequate number of officials including ADO’s, Panchayat Secretaries. This leads up to who

are overloaded with work. They are required to transmit information from gram level to district level. There is a delay in this

service as single ADO and Panchayat Secretaries are handling 5-6 grams. The roads are in poor condition and all the grams

are not well connected. This causes delay and due to this reason it was observed that ADO’s and Panchayat Secretaries

create a fudge report and submits the same.

For the selection of services, following criteria were kept in mind: 4 Criticality of service to citizen 4 Criticality of service to government 4 Volume of service requests generated 4 Revenue potential for government

S.No Existing Services for Reengineering Rationale for Short-listing

1 Issuance of birth registration ● Critical to citizen as a proof of age and identity ● Critical to various government departments for better planning

2 Issuance of death registration ● Critical to government for various purposes ● Critical to citizens especially dependent families



3 Issuance of copy of family register ● Critical to citizens as the primary source of identity ● High volume of service requests

4 Provision of employment under NREGA ● Critical to citizens and government ● High volume of requests

5 Provision for sanitation facilities (selection of beneficiaries and disbursement of funds)

● Critical to government objectives of improving the health and hygiene in rural areas

6 Making arrangements for preparation of mid day meal in primary school

● Critical to government objective of improving nutrition standards in rural areas

7 Disbursement of scholarships for pre-metric ● Critical objective to create incentive for education ● High volume of the service delivery

8 Provision for housing (Selection of beneficiaries and issuance of utilization certificate)

● Critical to citizens as housing is a basic need ● Critical to government as it has limited resources to provide homes

9 Assistance in appointment of village level workers (including ASHA, Shiksha Mitra, Kisan Mitra, Panchayat Mitra)

● Critical to citizens and governments for delivery of various services and assistance in initiatives

10 Issuance of licenses to contractors by DP ● Critical to contractors ● Critical to DP for revenue generation and better monitoring

11 Collection of Annual Fee from businesses by DP

● Critical to DP for revenue generation and better monitoring

12 Monitoring of SHG including individual loans under SGSY

● Critical for employment generation in rural areas

13 Grievance Redressal Mechanism ● Critical to citizen service delivery ● High volume of grievance generated

14 Request for information under RTI Act ● Critical for improving transparency and efficiency of system ● High revenue potential for government ● High volume of service expected

15 Issuance of copy of BPL card ● Critical to citizens for service delivery



● High volume of service requests

New Services Rationale for short-listing

1 Disbursement of old Age and widow Pension ● Critical to needy citizens

2 Disbursement of Handicap Pension ● Critical to needy citizens

3 Application for income certificate (The citizen can apply from the villages)

● Critical to citizens as the service will reduce the burden to travel to block, tehsil or district

4 Application for caste certificate (The citizen can apply from his place of residence)


5 Application for residence certificate (The citizen can apply from his place of residence)


6 Application for ration card (The citizen can apply from his place of residence)


7 Issuance of marriage certificate ● Critical from a social and regulatory perspective ● Critical to avail benefits in case of earning member passes

away



5.2 Gap Analysis

5.2.1 PRI Internal Functions

This section describes the G2G functions and activities under various functions performed by 3 tiers of PRIs and associated gaps. The functions are classified into the following 2 categories: Primary Functions – These functions include the functional areas like Planning, Reporting, Accounting, Implementation (of Schemes or other works) and Monitoring. These functional areas have been elaborated for all levels of Panchayats studied. Also gaps in areas pertaining to Technology, Process and People have been identified and areas of improvements in these three realms have been indicated for each of the Primary function. Common Functions – These functions are identified as activities performed by the Panchayats as part of their everyday operations such as Information Dissemination (services/schemes/others), Tax collection, Record management, Inventory management, Grievance Redressal. These functions are performed at every Panchayat and the study team has elaborated, in the sections below, the detail functions along with their areas of improvements in the domains mentioned above.

Function Activity Description Mode Role and Responsibility

Gaps / Issues / Improvement opportunities IT Process People

Zilla Panchayat Primary Functions

Planning Making district plans

District plans are made after consolidating all block plans and taking inputs from all line departments. This process is done once in year. The plan aims to create one district plan

Manual

District Planning Commission (DPC) comprising of Adhyaksh-ZP, all legislators (MLAs & MPs) and senior district officials from related line departments

Portal like Plan Plus is being used for one scheme and this can be extended to all schemes and development work

A formal process, which enforces planning and freezing of the plan on Plan Plus before due date

Training of all concerned people to use the portal including all district level officers





Collating BP and GP Plans

BP and GP plans are collated before making district plan. All the blocks submit their plan after consolidating GP plans at their ends

Manual

DPC comprising of Adhyaksh-ZP, all legislators (MLAs & MPs) and senior district officials from related line departments

Plan Plus should be extended to all planning work at the three tiers. GP plans can be updated at the Block level which has the requisite infrastructure.

A formal process, which enforces planning and freezing of the plan on Plan Plus before due date at BP level

Training of all concerned people to use the portal

Collating line department plans

Line departments also make their plans on activities for the year. They are also included in district plan by planning committee

Manual District Planning Commission

Plan Plus needs to be used for comprehensive district planning.

A process, to enforce planning and freezing of the plan on Plan Plus before due date in line departments

Training of all concerned people to use the portal

Reporting

Financial Progress / Expenditure reporting

Financial progress reports are made by line departments and lower PR tiers to show the extent of fund utilization under each scheme and department, which are then consolidated into one report for the district

Manual

Line department officials and various review committees are made for review purposes. The AMA, BDO and Panchayat Secretary prepare the respective progress reports at ZP, BP and GP.

Online portal where data is entered on lower tiers and is visible across all levels and available for real time review. Each project can be given a unique identification and all the

Establishing a process where in data over progress is updated regularly on the portal. The portal should allow breakdown of development activities in stages and at stage completion the physical

Training of operators and staff to use the portal and encouraging them to use it regularly

Physical Progress

Physical progress reports are prepared

Manual





reporting by the ZP, BP and other line departments to review the extent of target achieved under each scheme and department, which are then consolidated into one report for final review

expenditure can be booked.

status can be updated

Implementation

Execution of plans

After the plans are made and approved. According to guidelines, targets are set and people are instructed on scheme/activities. Action plans are made and work starts.

Manual

Execution responsibility differs from scheme to scheme but the role clarity is established

If regular and timely updation of activities that have been completed is made mandatory and is supported by online portal

Process standardization and strict adherence to job chart made for a particular job

Manpower shortage should be addressed

Release of funds

As per plans made initial funds are estimated and released to BP and GP departments to start the implementation. Later on as and when utilization details are submitted further funds are released

Manual

Accounts officer release funds to departments on advice of District Rural Development Agency (DRDA)

Online transfer of funds to different agencies/ beneficiaries

None None

Accounting Collecting and Depending on the Manual Accountants in line Complete Digitization will None





collating BP/GP accounts

scheme the expense receipts are submitted to respective line departments. The bills for work at GP level will be submitted at the block level.

departments maintain their accounts and submitted to accounts officer for final validation and sanctioning

digitization of record keeping for quick collation and analysis

enable completion of process faster

Validating and making payments

All bills claimed at district level are first checked and sanctioned by concerned line department officer then accounts officer validates and issues the payment to claimant.

Manual

Line department accountants validate initially and submit to accounts officer for final approval and payment

System for online approval of payments for quick payment to beneficiaries

Process of cross checking will be simplified and fast

None

Keeping record of all transactions in proper heads

All the transaction and payment made are recorded by accounts officer and his staff under proper heads specified by government

Manual

Line department accountants maintain departmental accounts and final collation is done in central accounts office in ZP

Digitization can help sorting of expenses across different heads

Processes should be created whereby expenses are booked against the unique project code at the level where work is being done.

None

Monitoring Visiting field for monitoring the progress

District line department officials are responsible for

Manual District line department officials and staff direct BP

Digitization of field inspection reports will

In case problems are observed after inspection

None





monitoring the field progress of their respective schemes

/GP officials for field visits and they themselves also visit field for monitoring

improve transparency. Mandatory updation of progress against projects

an action plan can be made to correct them

Reviewing monthly reports

District line department officials review and collate the BP/GP reports and make district review reports

Manual Line department officers are responsible

Digitization of monthly reports will ensure speedy and correct collation

Monitoring and analysis frequency can be increased if process is made IT enabled

None

Taking corrective actions

District line department officials along with DRDA AMA and CDO after monthly review decide on any corrective action (if needed)

Manual Line department officers, DRDA, AMA and CDO

None None None

Common Functions

Information Dissemination

Generation of Awareness programs about the Services / Schemes etc.

Providing information to people about schemes/services using - Public announcements - Newspapers - Hoardings, Pamphlets - Giving information to

Mostly Manual

All DP officers/staff are responsible for information dissemination and spreading awareness amongst citizens

None None None





individuals - Internet - Other public forums

Collecting Taxes/ License Fees

Collecting annual fees from businesses in rural areas

Annual fees is collected from the businesses operating in the rural areas such as retail shops

Manual

Tax officers and AMA of ZP

Online database of payees and payment details

The process can be digitized and more outlets can be added for collection e.g. post office, banks etc

Training of people to use it

Collecting License Fees

Licensee fee is collected from all the contractors who work in the rural areas of the district

Manual

Generating own revenues

Collection of taxes like entertainment tax, nauka ghat etc.

These funds collected by DP make only a small fraction of total funds

Manual

Record Management

File and Document Management

File management is numbering, storing and retrieving the information and documents in an orderly manner using file numbering according to pre defined coding system

Manual

All line department staff are responsible for document management of their department

Online storage of records, Documentation can be digitized

None

Training of people to maintain various records

Security of records

Proper security of physical and digital records from physical

Manual All staff along with security staff, assistant

More digitization will reduce the risk of physical

Proper authentication process for

None





damage, hacking, theft etc

programmer and operator

damage. Proper authentication methods along with modern techniques online security can be improved

access of records

Grievance Redressal

Taking complaints of citizens

The process currently is using a handwritten or typed letter given to AMA. Also, District officials go for Tehsil and Thana Diwas where complaints are registered.

Manual

DM, SP, CDO, AMA and line department heads are responsible for handling the complaints

A portal to raise complaints online in a easy, cost effective manner making it wide spread and popular tool for citizen

Process to file complaints online and categorizing them

Creating awareness in people to use such a system

Issuing notice to concerned authority to take appropriate action

This process is also manual complaints received are forwarded to concerned department for resolution

Manual

DM, SP, CDO, AMA and line department heads are responsible for handling the complaints

The portal can be in such a way that based on nature of complaint it is automatically forwarded to concerned person

Follow-up communication can be sent to obtain status reports from concerned person

None

Timely redressal of the same

The complaint resolution process and communication of the same to the citizen

Manual

After resolution the information goes through channels to the citizens depending on

The portal can be used to inform the citizen of the status of his complaint and

A complaint number can be provided to citizen using which he can

Creating awareness in people to use it





nature of complaint resolution Track status of his complaint

Correspondence / Communication with superior, colleagues and subordinates

Forms for correspondence

Departments use various forms and letters to communicate with other government officers

Paper

All district level officers and staff

More and more communication can be made online in form of bulletins, emails, online circulars. A portal can be created, where all circulars, notices, bulletins can be posted regularly

This will make the communication cost effective, effective, and fast. All the records of communication can be stored for long durations.

Managing change effectively and Training of people to use it

Office Memo To disseminated information office memos are used

Paper

Fax Facility For inter office communication fax facility is used

Fax

Notice, Circular, Office Order

To inform officers about some government orders

Paper

Telephonic Communication

To communicate one on one

Telephone

Inventory / Asset Management

Inventory Register & Asset Register

All departments keep a register to keep track of assets under their purview. E.g. Roads, Bridges, School buildings, Anganwadis, PHCs, Equipments, PCs etc

Manual Line department heads and staff

A database of all assets under panchayat in various heads can be made for easy access and update

A process of entering, updating and maintaining the information on assets in panchayat jurisdiction

Training of people

Block Panchayat Primary Function

Planning Making block plans

Block plans are prepared by the BDO

Manual BDO, Block Pramukh and

Portal like Plan Plus can be used

A formal process, which

Training of all concerned





and the elected body amends and approves the same

various developmental committees

enforces planning and freezing of the plan on Plan Plus before due date

people to use the portal

Collating GP Plans

GP plans are collated before making block plan. All the blocks submit their plan after consolidating GP plans at their ends

Manual BDO

Reporting

Financial Progress / Expenditure reporting

Financial progress reports are prepared by line departments and BDO to show the extent of fund utilization under each scheme and department, which are then consolidated into one report for the block

Manual

Line department officials and various review committees are made for review purpose.

Online portal where data is entered on lower tiers and is visible across all levels and available for real time review

Establishing a process where in data over progress is updated regularly on the portal


Physical Progress reporting

Physical progress reports are prepared officials reporting to BDO to review the extent of target achieved under each scheme and department, which are then consolidated into one report for final

Manual





review

Implementation

Execution of plans

After the plans are made and approved. According to guidelines, targets are set and people are instructed on scheme/activities. Action plans are made and work starts.

Manual

BDO and line department officers are responsible for setting target and guiding staff on how to achieve it. The staff is responsible for achievement of target

Regular updation of execution status in the Plan Plus portal

Process standardization and strict adherence to job chart made for a particular job

Manpower shortage should be addressed

Release of funds

As per plans made initial funds are estimated and released to line departments and GP to start the implementation. Later on as and when utilization details are furnished additional funds are released

Manual

Accounts officer release funds to departments on advice of BDO

Online transfer of funds to different agencies/beneficiaries

None None

Accounting

Collecting and collating GP accounts

The expense bills are collected against the money spent by the GPs. The office of BDO co-ordinates this process.

Manual

Account officers, BDO, Panchayat Secretary and DPRO

Complete digitization of record keeping for quick collation and analysis

Digitization will enable completion of process faster

None

Validating and making

All bills claimed at block level are first

Manual Accounts officer in block is responsible

System for online approval of

Process of cross checking will be

None





payments checked and sanctioned by concerned line department officer then accounts officer validates and issues the payment to claimant.

payments for quick payment to beneficiaries

simplified and fast


All the transaction and payment made are recorded by accounts officer and his staff under proper heads specified by government

Manual Accounts officer in block is responsible

Digitization can help sorting of expenses across different heads

None None

Monitoring

Visiting field for monitoring the progress

Block line department officials are responsible for monitoring the field progress of their respective schemes

Manual

Block line department officials and staff direct GP officials for field visits and they themselves also visit field for monitoring

Digitization of field inspection reports will improve transparency

In case problems are observed after inspection an action plan can be made to correct them

None

Reviewing monthly reports

Block line department officials review and collate the GP reports and make block review reports

Manual Line department officers are responsible

Digitization of monthly reports will ensure speedy and correct collation

Monitoring and analysis frequency can increased if process is made IT enabled

None

Taking Block line department Manual Line department None None None





corrective actions

officials along with TDO after monthly review decide on any corrective action (if needed)

officers and TDO

Common Functions


Generation of Awareness programs about the Services / Schemes etc.

Providing information to people about schemes/services using - Public announcements - Newspapers - Hoardings, Pamphlets - Giving information to individuals - Internet - Other public forums

Mostly Manual

All BP officers/staff are responsible for information dissemination and spreading awareness amongst citizens

None None None

Collecting Taxes

Collecting Land tax for revenue department

ATDO and Revenue officers maintain records and collect tax as per revenue formula

Manual Revenue Officer

Online database of payees and payment details

The process can be digitized and more outlets can be added for collection e.g. post office, banks etc


Collecting education cess

ATDO and Revenue officers maintain records and collect cess


Generating own revenues

Collection of taxes like

These funds make small fraction of BP






entertainment tax, tolls, forest produce tax etc

funds

Record Management



Manual

All line department staff are responsible for document management of their department

Online storage of records, Documentation can be digitized

None None

Security of records

Proper security of physical and digital records from physical damage, hacking, theft etc

Manual

All staff along with security staff, assistant programmer and operator

More digitization will reduce the risk of physical damage. Proper authentication methods along with modern techniques online security can be improved

Proper authentication process for access of records

None

Grievance Redressal


The process currently is using a handwritten or typed letter given to BDO. There is also a suggestion/complaint drop box in every BP for taking complaints of citizens. Citizens

Manual BDO, ADOs and elected members of BP

A portal to raise complaints online in a easy, cost effective manner making it wide spread and popular tool for citizen







can also participate in the Thana and Tehsil Diwas to highlight their concerns to the District officials


This process is also manual complaints received are forwarded to concerned department for resolution

Manual BDO, ADOs and elected members of BP

The portal can be in such a way that based on nature of complaint it is automatically forwarded to concerned person

None None

Timely redressal of the same

This process is resolution of complaint and communication of the same to the citizen

Manual

After resolution the information goes through channels to the citizen depending on nature of complaint

The portal can be used to inform the citizen of the status of his complaint and resolution.

A complaint number can be provided to citizen using which he can track status of his complaint

Creating awareness in people to use it

Correspondence / Communication with superior, colleagues and subordinates

Forms for correspondence

Departments use various forms and letters to communicate with other government officers

Paper BDO, ADOs and panchayat secretary

More and more communication can be made online in form of bulletins, emails, online circulars. A portal can be created, where all circulars,

This will make communication cost effective, effective and fast. All the records of communication can be stored for long durations.

Managing change effectively and Training of people to use it

Office Memo To disseminated information office memos are used

Paper

Fax Facility For inter office Fax





communication fax facility is used

notices, bulletins can be posted regularly

Notice, Circular, Office Order

To inform officers about some government orders

Paper

Telephonic Communication

To communicate one on one

Telephone

Inventory / Asset Management

Inventory Register & Asset Register

All departments keep a register to keep track of assets under their purview. E.g. Roads, Bridges, School buildings, Anganwadis, PHCs, Equipments, PCs etc

Manual Line department heads and staff

The same database of ZP can be used by BPs as well

A process of entering, updating and maintaining the information on assets in panchayat jurisdiction


Gram Panchayat Primary Functions

Planning

Preparing the annual plan with the involvement of village committees

The GP should prepare the annual plan and put it before gram sabha for acceptance and approval. The approved plan should be forwarded to the Block.

Manual

Pradhan, panchayat secretary and committees like education, health and construction committee etc.

Plan Plus software can be used to document the plan digitally and can be communicated upwards

Mandatory updation of annual plan in Plan Plus. Also organizing gram sabhas is a prerequisite.

It is important to train the people at the village level to prepare plans. Support of trained manpower to input the plan, updating the implementation status and general follow-up.





Reporting

Expenditure reporting against money received, Physical Progress reporting

Regular reporting of the money/ material received against various schemes and how it was spent along with receipts of expenses. Also, regular reporting of the physical progress of work carried out against various schemes.

Manual

Pradhan, panchayat secretary, health workers, ANM, ASHA, Anganwadi workers, headmasters are responsible for preparing regular reports on the progress of various schemes.

Online portal where data may be entered by GP level officials and it is visible across all levels and available for real time review.

Establishing a process to update the ongoing status of the activities. Expenses can be entered online and the hardcopy provided to the block.


Implementation

Execution of plans

After the annual plan is prepared and approved. The plans are executed as the money is received under various government schemes.

Manual

GP, committees and village level government officials are responsible for execution. For projects requiring specialized skills, block level engineers, or other government agencies may be responsible.

None

Process standardization and strict adherence to job chart made for a particular job. Enhanced involvement of GP in implementation

Manpower shortage should be addressed. Also, training of pradhan and other GP members for better supervision and understanding of implementation issues.

Accounting Validating and making payments

In general GPs do not make any scheme related payments. Only wages of labors are paid by GPs

Manual Pradhan and Panchayat Secretary

- Lack of record keeping at the GP level - Online portal to keep records of

The identity of the individuals receiving the payments should be uploaded on

Training of pradhan and PS to understand basic accounting





payments made the portal.


All the transactions related to the GP are maintained.


Digitization and online portal can help sorting of expenses across different heads

Inadequate understanding of proper heads Need to simplify process

Training needs to be imparted to panchayat secretary and Pradhan

Monitoring

Visiting field for monitoring the progress

Regular assessment/ inspection of the quality and progress of work.

Manual

GP, committee members, PS and other government officials

Digitization of field inspection reports will improve transparency. Uploading the photographs of the work done.

In case problems are observed after inspection an action plan can be made to correct them

Inadequate understanding of the role of GP members. Too much power concentrated in the hands of Pradhan.

Taking corrective actions

In case of any delays or poor quality work, corrective action is needed to improve the execution of work.

Manual Pradhan and GP members

Regular and mandatory updation of progress reports on a portal may be implemented

The lack of accountability leads to acceptance of poor quality work. More supervision from Block level.

Training for basic standards of work expected from projects.

Common Functions


Generation of awareness programs about the Services/ Schemes etc.

Providing information to people about schemes/services using - Public announcements - Newspapers

Mostly Manual

GP members, Panchayat Secretary, Gram Vikas Adhikari, ASHA, ANM, Anganwadi workers

- SMS, voice message etc. may be used to reach the local population since mobiles are getting

Information can be displayed at anganwadi, school buildings etc.

Training of village level workers in spreading the word about the details and benefits of





- Hoardings, Pamphlets - Giving information to individuals - Internet - Other public forums

increasingly available. - Pamphlets for schemes can be prepared and distributed at the village levels

various government schemes

Record Management



Manual

Panchayat Secretary and the Pradhan are responsible for maintaining all the records of GP

Online storage of records, documentation can be digitized as much as possible

Detailed guidelines may be developed to follow a standardized documentation

The Pradhan and Panchayat Secretary require training to maintain records as per guidelines

Security of records

Proper security of physical and digital records from physical damage, hacking, theft etc

Manual

The Gram Pradhan and the Panchayat Secretary who may be supported by security guards and other technical staff

More digitization will reduce the risk of physical damage. Online security can be improved with proper security systems

Proper authentication process for access of records

Security guards may be required to protect the GP assets that will be created as a result of computerization

Grievance Redressal


At present handwritten or typed letter is given to the Pradhan and Panchayat Secretary. Most of the complaints are made verbally.


A portal to raise complaints online in an easy, cost effective manner making it wide spread and







popular tool for citizen


This process is also manual. The complaints received may be forwarded to concerned department for resolution


A portal can be designed in such a way that based on nature of complaint it is automatically forwarded to concerned person.

A process needs to be designed with maximum number of days within which problems are addressed.

Fixing responsibility of individuals to ensure complaints are timely addressed

Timely redressal of the complaints

This process is resolution of complaint and communication of the same to the citizen

Manual Concerned department, GP

The portal can be used to inform the citizen of the status of his complaint and resolution.

A complaint number can be provided to citizen using which he can track its status

Creating awareness in people to use the redressal system.

5.2.2 Service delivery

The step by step processes for service delivery are studied right from the point when citizen initiates a request to the point of

receiving the service or intended benefit. Many gaps were found in the processes of service delivery to citizens. Citizens face

lot of difficulties in availing these services due to lack of awareness about the existing processes. The maps have been created

to understand these processes in detail and it includes the process steps, documents required, documents created at each

stage and person responsible for creating that documents. Two of the service delivery as-is-maps are furnished for the

understanding and complete detailing and process flows for other services are present in the volume II of the project report.



5.2.2.1 Service 1: Issuance of birth certificate

Snapshot

Name of service Issuance of birth certificate

Process Owner

Gram Panchayat

Primary Actors (PR Officials, Citizens, etc.) Secondary Actors (Non – PR, Other Agencies if any, Line depts.)

Gram Pradhan, Panchayat Secretary, Citizen None

Process Input Process Output

► Application written on a plain paper ► Birth information in format no. 1

► Birth certificate in format no. 7

Service Delivery Time

Prescribed delivery time (if any): NA Actual delivery time: 10 to 15 days

Documents Involved

Registers ► Family register

Format ► Format No 1 – birth information ► Format No 2 – birth certificate

Legal documents (if service is mandated) ► None

Others ► None



As –Is Process Map



Process Narration

Step Activity Channel Documents involved

Mode Responsibility Gaps / Issues Improvement Opportunities Technology Process People

1

Submits a written application form to the panchayat secretary

At GP office

Application on plain paper

Manual Citizen

Citizens rarely inform the gram panchayat office about the new births in their household

PCs should be introduced at the GP office A fixed format of the application form should be made available

Citizen can collect the application form from the GP office by paying a small amount of INR 5 to INR 10 The duly filled application form can be submitted to the GP office

Training to be provided to the GP officials in using computers and various data management software

2

Receives the application form and conducts physical verification of the birth

At GP office

Application on plain paper

Manual Panchayat Secretary

Application form written on plain paper sometimes get tampered or lost

Online birth register should be introduced to track the birth records in a monthly or yearly basis Receipt or acknowledgement no should be issued to the applicants after data entries

Secretary receives the application form and uploads the information in the birth register

Applicants could verify the status of their applications online with the help of the acknowledgement no. provided to them from any nearby computer centre or kiosks



Step Activity Channel Documents involved Mode Responsibility Gaps / Issues

Improvement Opportunities Technology Process People

3

Enters the name of the new born in the family register of the particular household after verification

At GP office

Family register

Manual Panchayat Secretary

Regular updation of family register seldom done

Family register should be made online to ease the process of updation and modification

Secretary should update the family register online and add the name of the new born

Capacity building programmes on various IT applications should be conducted regularly at the GP level

4

Provides the prescribed format / proforma to the applicant to fill in the birth details such as new born’s name, father’s name, sex, date and place of birth, etc

At GP office

Format No 1 Manual Panchayat Secretary

Providing birth information twice may create data gaps or presentation of wrong information

A detailed proforma should be provided to the citizens during submission of application

Citizens should fill in the birth information once during submission of application form

None

5

Applicant fills in the birth details in the prescribed format and submits it to the secretary

At GP office

Format No 1 Manual Citizen

Too much manual interference may cause erroneous representation of information

A detailed household database could be prepared at the gram level, further compiled at the block and

Appointment of dedicated staff responsible for regular updation of the database at the gram, district, block

The various officials of different government, non-government and private organizations





district level, and finally retained at the state level

level all across the state should be trained to use such kind of databases

6

Prepares the birth certificate in an approved format / Proforma

At GP office

Format No 7 Manual Panchayat Secretary

Manual data entry may lead to discrepancies

Format of the birth certificate should be available online

Secretary should feed in the birth information in the available format

None

7 Collects the birth certificate

At GP office

Birth Certificate Manual Citizen

Citizen travels to GP office to collect the certificate more than once

Preparation of the birth certificates should be completed within fixed delivery time, which would enable the citizens to collect the certificate at one visit

Secretary should prepare the certificate within the prescribed delivery time period to facilitate the citizens

None



5.2.2.2 Service 2: Disbursement of old age and widow pension

Snapshot

Name of service Disbursement of old age and widow pensions

Process Owner

Department of Social Welfare

Primary Actors (PR Officials, Citizens, etc.) Secondary Actors (Non – PR, Other Agencies if any, Line depts.)

Gram Pradhan, Panchayat Secretary, Citizen District Social Welfare Officer – Department of Social Welfare District Probation officer - Department of Social Welfare Banks

Process Input Process Output ► Application written on a plain paper ► Bank account no. ► BPL list ► Age certificate ► Death certificate of beneficiaries’

husband (for widow pension)

► Pension money

Service Delivery Time

Prescribed delivery time (if any): NA Actual delivery time: It varies significantly and is more than 1 month

Documents Involved

Registers ► NA

Format ► Age certificate ► Death certificate of beneficiaries’ husband

Legal documents (if service is mandated) ► NA

Others ► Application written on a plain paper ► Account passbook, BPL list



As –Is Process Maps



Process Narration



1

Submits the application form manually on a plain paper to enroll his / her name in the pension list

At GP office

Application form written on a plain paper and bank account no. of the applicant

Manual Citizen

Citizens are not aware about the list of documents which has to be attached with the application In most cases, selection of beneficiaries are done without verification of any documents

A fixed format of application form along with the details of required documents should be made available at the GP office Establishment of information centre at the GP office

Citizen should collect the application form from the GP office by paying a small amount Duly filled application form should be submitted to the GP office

Training to be provided to the GP officials in using computers and various data management software

2

Discusses all applications received in a gram sabha and verifies the eligibility of the applicants based on the existing BPL list If objection is received

At GP office

Application

form written

on a plain

paper and

bank account

no. of the

applicant

Manual Pradhan

Disparity in the existing BPL list often leads to erroneous selection of beneficiaries

Digitization of the existing BPL list to capture inaccuracies

One time survey should be conducted followed by regular updation of the BPL list

None





during the gram sabha on any particular application, it is rejected by the authority

3

Authorizes the verified application forms manually and forwards the applications to BP office for further processing Prepares the list of selected beneficiaries along with their bank account no. on a plain paper and forwards it along with the applications

At GP office

Application

form written

on a plain

paper and

bank account

no. of the

applicant

Manual Panchayat secretary

Documents are manually handle and usually get tampered or lost

Online updation of applications and retaining the scanned copy of the documents for future reference

Application form details should be updated in a set format and scanned copy of application and related documents should be stored

None

4 Receives the list of beneficiaries

At BP office

List of selected beneficiaries

Manual Block development officer

Manual office transfer may cause delay in

List of the applicant shall be digitized

Compilations of all the applicants from

Training to be provided to the GP officials in





from different GPs and compiles it in a typed format Files the approved application forms received from the GPs and stores in hard copy format

the delivery mechanism or mishandling of the applications

the grams handle by BP

using computers and various data management software

5

Receives the compiled list of beneficiaries along with their bank account no. Data digitization of approved list of beneficiaries done in assistance with the district NIC staffs

At Dept of Social Welfare, district office

List of selected beneficiaries

Manual / Electronic

- District Social Welfare Officer for old age pension - District Probation Officer for widow pension

Error occurs while transfer of names from widows’ pension list to old age pension list. Due to which

None

Regular updation of the age of the beneficiaries in the GP records and tracking of transitions from widows pension to old age pension

None





6

Uploads the list of beneficiaries in the district website and transfers pension amount for first six months in the bank

At Dept of Social Welfare, district office

None Electronic

- District Social Welfare Officer for old age pension - District Probation Officer for widow pension

None None None None

7

Bank receives the hard copy invoice and the list of beneficiaries along with their account no.

At nearby bank

Invoice, list of beneficiaries and their account details

Manual Bank officials None None

The transfer of beneficiaries’ list and invoices should be forwarded online to the bank officials

None

8

Collects the pension amount from his / her bank accounts

At nearby bank

Bank passbook

Manual Citizen

Citizens have to pay repeated visits to the bank before actual receipt of their pensions

None

The citizens should receive their pension with in a fixed time period and that should be known to them.

None



5.2.3 Capacity

5.2.3.1 Organizational Structure

The structure of PR governance is well developed in the state although it is yet to achieve a level of functional success which

can be truly termed as local self government. The awareness levels among the elected members as well as common citizens

are yet to reach a level which can bring the PRIs to achieve its set goals. PRIs in Uttar Pradesh have very limited role to play in

the planning, implementation, monitoring and accounting of central and state sponsored schemes. Respective line

departments are generally responsible for execution of various schemes with minimum involvement of the PRIs. NREGA,

BRGF and TSC are the only exceptions where the PRIs play a significant role in implementation and execution of the schemes

at the village level. At the district level, the AMA, Zilla Panchayat and DPRO, Department of Panchayati Raj operates

independently of each other and there is limited coordination of activities and initiatives being spearheaded by both. Even

though CDO is a part of district panchayat, he has limited involvement in the decision making or functioning of the DP. The

activity mapping exercise have not been carried out which documents the devolution of power to the PRIs in Uttar Pradesh.

Though, the line departments have been given the guidelines to devolve the functions to the PRIs yet no concrete action has

been taken.

It was observed that the main reason for the poor devolution of functionaries is the resistance by the various department

workers to work with PRIs. Some of the reasons for the staff being reluctant to work under local governments are –

► Uncertainty about service conditions

► Fear of whimsical political decisions

► Probable loss of promotion chances due to smallness of the unit of employment

► Reluctance to move to distant areas

► Ego and other problems in having to deal with elected representatives directly, some of whom could be semi-literate.



5.2.3.2 Skills

During the district study, the team identified the gaps between the existing and the required skill sets in the officials. Most of the

PR officials were having no or very limited technical understanding in terms of engineering skill set or ICT knowledge. At the

DP and BP level, engineers and junior engineers are hired to supervise and manage all kinds of construction works. But at the

GP level, due to absence of any officers with engineering skill sets, they are seldom assigned any work requiring engineering

know-how. This is one of the major reasons why constructions of CC roads have been removed from the work list of NREGA.

Moreover, the hired IT personnel (on contract) are rarely upto the mark in their computer skills. At the DP and BP level,

dedicated account officers are there to manage accounts related to the department as well as the accounts related to specific

schemes such as NREGA, BRGF, 12th Finance Commission, State Finance Commission, etc. But at the GP level, all the works

of accounting, records management, project execution and monitoring are done by the panchayat secretary or gram vikas

adhikari. CAs are also hired on an annual basis to check and prepare the accounts of GPs.

The key gaps that have been observed during our field study in the three districts of UP in the skill set of officials (elected and

appointed) at each tier of PRIs include:

4 At GP level, awareness levels about criteria of various schemes and process to access the scheme benefit is very low

4 At GP, the panchayat secretary/ gram pradhan have little knowledge of accounting and is dependent on accountants

4 The skill to plan, implement, monitor, report and account the GP level activities is inadequate or completely lacking

4 At the DP and BP level, although there is adequate infrastructure but is not utilised to the full extent due to lack of

awareness. Examples include little usage of SWAN and computing facilities

The gaps were observed during interaction with GP, BP and DP officials.

5.2.3.3 Manpower

One of the major lacunae identified during the study was scarcity of skilled manpower at the three levels of PRIs, for

example, there are approx. 200 panchayat secretaries and 200 gram vikas adhikari for a total of 1617 gram panchayats in



Azamgarh district. Also, for 22 blocks in the district there are only 12 full time BDOs. At Etah the BDO of Jaythra is

handling the responsibilities of PD-DRDA and DDO apart from his BDO role in the assigned block. Every BDO is having

the responsibility of looking after at least two blocks at a time. Moreover, the state PR department has also showed their

disagreement on hiring new resources for the critical post available at the DP, BP and GP level. The officials present in

the department such as BDOs, Gram Panchayat Secretaries and Gram Vikas Adhikaries are overburdened with the

additional charges of more than one blocks and grams respectively, creating an impediment in work. At the gram

panchayat level, according to mandate, there should be one panchayat secretary and one gram vikas adhikari to assist

the pradhan in various developmental works. But currently, due to scarcity of manpower, most of the gram panchayat are

either having a panchayat secretary or a gram vikas adhikari as the executing officer. There are some more issues like

lack of officials like ADO’s who are overloaded with work. Every block as a mandate should have ADO’s according to the

presence of committee at the block. But presently even committees are not functioning properly and single ADO has to

handle all the work for the entire block.

5.2.4 ICT Infrastructure (Hardware, Software, Connectivity)

During the study, it was also found that only primary ICT infrastructure is available with PRI’s like basic computer, printer. We

observed that ICT resources available with PRI’s are not effectively utilized due to many reasons primarily due to lack of

expertise and irregular power supply. There is no initiative taken by State to provide them assistance to overcome the

hindrances. It was observed that many gram panchayats have gram bhavans, but they are in very poor condition. Example in

Etah, the district panchayat office does not have any physical integration with the SWAN connectivity. Most of the block

panchayat offices are well equipped with computers, laser printers and SWAN connectivity. These existing infrastructures have

enabled the block officials to carry out MIS reporting at the block panchayat offices. In some cases, where SWAN connectivity

is provided at tehsil level instead of block level, block offices are using broadband connections, mostly of BSNL, for their day-

to-day activities. It was observed that gram panchayats lack any kind of ICT applications or similar support infrastructures.



Hence, the hardware and connectivity has reached the DP and BP level but it is yet to be fully utilised to provide benefits to all

stakeholders. The software aspect is the weakest link in the chain with no comprehensive governance software in place to

comprehensively integrate all government functioning. Some efforts have been initiated like the planplus software but it needs

to be upgraded and integrated in the working culture of the panchayats.

At the GP level the software, hardware and connectivity are completely missing and hence there is zero last mile connectivity.

5.2.5 Gap in integration with selected NeGP initiatives

It was observed that there is little integration of NeGP initiatives at the moment with the functioning of PRIs. In terms of NeGP

initiatives there are only two initiatives CSC’s and SWAN connectivity are worth mentioning as the e-district project has been

initiated only in 6 districts so far and SDC project is yet to take off in the state. CSC’s have no linkages with PRI department

and they are handled by private agencies. It was observed that CSC’s are not functioning properly and not meeting its primary

objective of providing services to citizens. SWAN connectivity is available till block level. There is lack of expertise to operate

SWAN effectively and whenever there is any technical problem in SWAN it takes almost two weeks to resolve the problem.

This causes delay in work and many hindrances for transferring information from block to district.

At present there are no plans for integrating NeGP initiative with PRI’s. CSC’s requires assistance from PRI’s and other line

departments to be able to function properly. This will allow CSC to provide some government related services such as Khasra,

Khatauni etc to citizens by CSC’s. As observed at the district level SWAN is present in NIC and it is used as a common source

of connectivity among all the departments as per request. Due to this delay in connectivity information transfer from block to

district is delayed.



No. Name of the IT application Description Deployment Status

1 Citizen Service Centres

The common service centres or CSCs were created as the service delivery points in rural India. The CSC were planned to provide G2C and commercial services to rural population nearer to the place of residence.

Very few CSC centres have been opened against the target and the ones that are opened are not providing any services

2 State Wide Area Network (SWAN)

SWAN provides connectivity till the Block level enabling data and information transfer to district and state government

Although SWAN is provided in all districts and it is being increasingly made available to all Tehsils and blocks it utilisation is very limited.



6 Proposed To-Be Scenario – Recommended Future state of PRIs in Uttar Pradesh

Proposed BPR Framework

The business interface and the call centre options are proposed to be very long term elements of the framework. The kiosks also have limited role.

Define a BPR framework. Based on the framework, recommend changes in each of the aspects described

above (in which the team found gaps) viz. PRI Internal Functions, service delivery, capacity, infrastructure,

integration with NeGP initiatives and internal automation.

Objective



Government-to-Citizen interface:

It is essential that a comprehensive Panchayat Ghar Management System module be part of the proposed PR Information System and integrated with the other Citizen Service Oriented modules.

In the States, where CSC and other Kiosks have achieved significant penetration, (both in urban and rural areas) integration of the Panchayat Information System with the CSC / kiosks to provide access to information could enable citizens to make use of Panchayat services without approaching the Panchayat Office yet have a certain level of human interaction. Select services like payment of taxes, social security allowances, submission of application forms etc. could be availed through Kiosks / CSCs.

For Internet savvy citizens, provision for directly accessing ePRI services through the proposed State Portal could be enabled. The states who are surging ahead of other states in terms of e-readiness, the State Portal could also support an eGovernance interface for those citizens, who prefer to use a Mobile phone for receiving such information as application status, reminders etc.

A State Level Call Centre is also desirable for providing remote services which is supported by IVR technology as well as 24x7 support personnel. Government-to-Government Interface:

The Government interface to the Panchayat Information System would constitute the linkages between other Government departments; both State and Central, through State sponsored IT initiatives or other relevant MMPs so that the entire life cycle of each service could be delivered seamlessly through electronic workflows as far as practicable.

The State Portal could be utilized for achieving the integration of the Panchayat Information Systems with other department initiatives. For instance, the Employment Exchange MMP could be integrated with the ePRI MMP for availing of such services as disbursal Unemployment Allowances, access to the current list of businesses in the region etc. Likewise the National ID/UID MMP could be integrated with the Citizen’s Database being proposed at the GP level to share up-to-date information regarding citizens on a National level.



Funds transfer from treasuries is as a high volume activity in the PRIs in many states, especially in terms of scheme implementation. Integration with Treasury Management Systems could ease the transfer and management of funds allocated to PRIs in a streamlined manner.

Interfaces maybe provided to Central Line Ministries for accessing MIS reports which could be helpful in planning and funds allocation for various schemes or the introduction of new schemes based on the information. Government-to-Business Interface:

The Panchayat Ghars could be used as a single window for businesses to interact with the Panchayat office, with adequate provision in the Panchayat Management system to cater to the same.

Citizen service delivery kiosks, CSCs etc. could also present an alternative interface for availing those services to businesses which could be carried out without visiting the Panchayat office. Such services like payment of profession tax, application for trade licenses, etc. could be delivered through these Kiosks by integrating the Information System with the same.

Businesses with access to the Internet could use State Portal also for availing Panchayat services such as convenient facilities for e-payment of profession taxes, application fees etc. APIs for interfacing existing Information Systems of Business with the PR Information System may also be made available for seamless exchange of data wherever possible.

Provision in the Information System could be provided for directly interfacing with systems of Financial Institutions so that facilities like online funds transfer could be availed by PRIs, citizens could apply for microfinance schemes, get e-payment etc.

Since, this is a very early stage in developing ePRI, it is suggested that the Government to Business interface be seen as a long term component. This will be planned and implemented at a later date when the ePRI would have already been delivering on most of its G2C services and information.



The ePRI BPR framework is broadly based on the following components:

Service Delivery Components S No Component Description

1. Application Submission The Application Submission Component undertakes the activities of a citizen collecting and filling the application form. It also entails providing the supporting documents.

2. Application Receipt The Application Receipt Component involves the CSC data operator or GP front office staff uploading the information provided in the application form submitted by the citizen. He also needs to scan the supporting documents and upload them in the system, integrating them with the digitized application forms. Post digitization of the service request, details the applicants receive a system generated acknowledgement having unique receipt no. The same receipt no. is used by the citizen for status tracking.

3. Payment Receipt This Component will handle all the payments

4. Application Processing This Component will allow the relevant government officials to make decisions regarding the claim or request of the applicant based on submitted documents and / or databases. This component mainly relates to the activity of verifying the bonafides of the services request and accepting or rejecting on the basis of the documentary proof and/ or physical verification.

5. Service Delivery This Component will handle the delivery of the signed and valid certificates, funds etc. to the citizen

6. Information Provision This Component will handle dissemination of Information only. Lack of information was found to be a key impediment in availing of services without issues and on time. It is suggested that mobile voice mail can be used to send relevant information to the citizens. This is a proactive way to communicate with the citizens.

7. Status Tracking This Component will retrieve and update the status of an application. The component will need to retrieve the information about a file and update it online or on the IVRS tracking system or in the application where a functionary can view it.



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Support Components S.No Component Description

1. General Administration This component will help in creating master data of PRIs like the members of PRIs, Standing

committees, CDO / Pramukh etc. Also this will handle the PRI Meeting Management by

creating annual calendars, preparation of Agenda formats, Scheduling and updation of PRI

meetings. It will also help in generating MIS on regular basis of all PRI meetings

2. File Management The File Management Components will help in replacing all the manual processes of filing

being used presently in the PRI offices. This will closely track all the file movements and their

status with the file holder.

3. Asset Management PRI’s office asset management component will handle the information related to all the

physical assets of the office viz. office infrastructure, furniture, electrical equipments etc.

4. Fund Management This component handles all the fund flow, fund management related operations.

5. Trainings PRI Officials need training on various aspects all through the year. This training component

will help manage the information related to the kind of trainings extended, online mode,

offline mode of trainings, Scheduling and updation of training sessions. Self Learning

modules etc. will also be included in such training component. Training Management

component will also help in generating MIS from the respective training database.

6. Resource Management This components will primarily help in managing information related to human resources

available for the PRI office, Natural resources information available etc.

7. Audit Audit component will manage the information related to the Audit schedules of the PRI

offices, Audit calendar, Audit findings and Audit conclusions. Social Audit information will

also be a managed through this component



PR Governance Components

S No Component Description

1. Planning The elected bodies of the PRIs should plan their activities under various schemes and

services at the beginning of the year along with budget estimations. This should be based on

the assessment of actual requirements from the rural citizens.

2. Implementation The implementation component entails on ground execution and supervision of field

activities. This receives working as per the plan.

3. Monitoring & Reporting This component means the reporting and monitoring of actual physical progress on an

ongoing basis

4. Accounting This is the financial reporting component for the PRIs activities involving funds

Technology Layer § MIS

A central MIS application on all aspects of functioning of PRI shall be deployed at GP, BP and ZP levels. The MIS shall be

online with access to various centralized databases of all the transactional systems. The MIS application shall offer

standard periodic reports and also user-custom reports for users to view to specific information. The MIS shall support

query based report generation for end users.

§ Software Applications In order to automate service delivery, internal functions of the PRI and also the inter-departmental functions and

workflows, a portfolio of common software applications have been identified across various areas and are listed in section

6.5.2

§ Database Central Databases for Various Transaction system Databases (Service Delivery, Planning, and Financial, Operational etc)

Village and Beneficiary Profile, GIS (Spatial) database.



§ Connectivity The deployment of IT applications and enabling ICT infrastructure across 3 tiers of PRIs is driven by following factors:-

o Business Need for usage of applications o Connectivity available at each tier

Quality and availability of connectivity is a key factor in determining the deployment of ICT infrastructure at grassroots

level.

As the ISNA studies across 27 states revealed, there are connectivity issues at the GP and BP levels, hence applications

should not only be deployed in a centralized architecture model rather other options such as standalone / decentralized

and hybrid architecture model should be considered.

§ ICT Hardware Infrastructure The ICT hardware infrastructure will form the foundation for the solution proposed. The type and quantity of ICT infrastructure required at all the tiers of PRIs and the state PR department will be estimated based on the solutions proposed. Infrastructure for all aspects such as End user computing, network, server & storage and Security at these tiers and the data centers will be considered.

§ Data Center There is a long term need to create one state level data centre to have centralized, cost effective data centre to help in managing the back-end of service and scheme delivery to the citizens. This database will serve as a part of the decision support system for the state government.

Since on a long term basis we are looking at the centralized data centre, we will to carry out risk management as well by planning for back-up in case of any eventuality.

o DRP: Disaster Recovery Plan o BCP: Business Continuity Plan



6.1 PRI Internal Functions

6.1.1 Planning

Vision – is to set-up a comprehensive and integrated planning function which would be aligned with the overall development goals of

the rural areas and involves active participation by citizens, PRI officials, elected representatives and other line departments. Summary of key issues

District or Zilla Panchayat Block or Kshetra Panchayat Gram Panchayat

► There is lack of integration between the DP office and line departments in local area planning

► Line departments prepare annual plans independently, without any co-ordination with the PRIs, for both scheme and non-scheme related activities which could lead to conflicts and duplication

► There is a need for dedicated and skilled man power for planning

► Knowledge of scope and guidelines for proper planning are lacking

► There is a immediate need to impart technical training to the BDO and other lock level officers like Junior Engineer, Accountants, Executing Officers, etc on PlanPlus as well as IT systems and tools

► Projects or beneficiaries identified at the gram sabha may be politically motivated and may not represent the true needs and aspirations of the people.

► Planning is done in a top-down manner, thus in many cases, the actual necessities of the citizens get neglected

In order to establish a more robust planning function, the following interventions are proposed aimed at addressing the weaknesses

and additional improvement opportunities identified:

6.1.1.1 Process

► At the district level, the District Magistrate is the apex decision making authority, and therefore the local PRIs as well as the line departments are, in some way, accountable to the DM. The Chairman of district panchayat, who is an elected body, is the decision making body of the district panchayat. Thus co-ordination between the DM and the Chairman, DP is very important for leveraging proper planning in the district. Thus the District Magistrate and the Chairman, DP are expected to play a pivotal role if



the planning process is to be streamlined. District Planning Commission, being the apex planning body in the district, should be jointly headed by the Chairman and District Magistrate, Chief Development Officer being the secretary. It is recommended that DPC should make it mandatory for all plans (including line department plans) to be discussed, debated and ratified in the DPC meeting. If all plans (irrespective of source of funding and executing agency) are evaluated and sanctioned by a common agency, like DPC the planning process will become more transparent and conducive to local area needs

► The DPC should be leveraged to function as the nodal planning body for all plans. Its membership should be expanded to include the senior most line department as well as PRI functionaries at the district level on a permanent basis. This will ensure that decisions are taken and plans are prepared taking into account inputs and views expressed by all stakeholders. At the same time, conflicts and overlaps in initiatives planned by PRIs and line departments will be avoided

► The planning process should commence at the village level, identifying the actual aspirations of the villagers, preferably in a gram sabha. The outcome of the gram sabha proceedings should broadly cover the following areas:

• What are the most pressing needs related to local area / people? • How has the progress been so far? • What were the key issues / gaps in last year’s activities? • What are the demands and expectations going forward?

► The gram sabha proceedings should be captured on a prescribed format by the Panchayat Secretary and handed over to the BDO, who in turn should consolidate the identified projects in various sectors or issues to be addressed from all grams within the block and prepare a list of sectoral priorities with the reasons for the same. These sectoral priorities should be sent to DPC before the annual plans are prepared

► The annual planning process should commence with formulation of sector-specific priorities based on the needs of the local area and other priority areas identified by the stakeholders involved. These priorities should be communicated to all BDOs and Panchayat Secretaries to initiate bottom-up planning rather than top-down planning

► Planning should be closely integrated with budgeting and should commence with the communication of grant sources and amounts for the next year

► Spatial information regarding existing assets (roads, wells, tube wells, pumps, etc) should be taken into account before planning new works



6.1.1.2 Technology

► There should be ‘drill down’ functionality in PlanPlus to retrieve and access planning data (projects planned, funds allocated, time period targeted, etc) on the basis of various parameters such as projects by sector, projected expenditure, tentative timeline, etc. Multiple query fields in PlanPlus would enable the decision makers and policy experts to retrieve specific information easily and identify gaps / pain areas

► Use of PlanPlus software should be extended to other development or construction related schemes such as Total Sanitation Campaign, NREGA and Indira Awas Yojna.

► Line department plans should also be compiled with the PRI plan and uploaded on PlanPlus to provide a single window view and avoid duplication. List of activities should be tabulated in a standardized format and entered in the PlanPlus database so that works can be simply selected rather than detailed in individual words / language

6.1.1.3 People

► Training session on effective planning techniques should be conducted one month before the planning process begins at the block or Tehsil level, for block and gram panchayat officials as well as line department functionaries

► Block and gram level officials should be trained on IT applications so that they can use PlanPlus effectively

6.1.2 Implementation and Reporting

Vision - To establish a transparent and comprehensive reporting system to enable higher authorities to review and monitor the

implementation of the projects and undertake timely corrections / interventions as required

Summary of key issues-

District or Zilla Panchayat Block or Kshetra Panchayat Gram Panchayat ► Often, release of grants gets

delayed but central and state governments insist on timely utilization of funds issuance of

► There is no convergence of line departments such as Rural Engineering Services (RES) or Public Works Department (PWD)

► There is no up to date inventory of works being undertaken in the gram at any given point of time

► Regular entry of the works undertaken



utilization certificates with BP office for implementation of construction works

on a daily basis is seldom maintained

► There is significant scope for IT-enabled reporting at all the three levels of PRIs. Current reporting is mostly done manually on papers

► Though there is a provision of monitoring and reporting of the progress of works under BRGF in PlanPlus, currently it is not being used

► Furthermore, PRI reporting is restricted to activities undertaken under BRGF, TSC and NREGA. Other scheme-related activities are not reported through or shared with PRIs. Sometimes at village level, due to lack of line department functionaries, monitoring and reporting of various scheme related activities are done by gram panchayat officials

In order to establish a more robust reporting function, the following interventions are proposed aimed at addressing the weaknesses

and additional improvement opportunities identified:

6.1.2.1 Process

There should be three broad areas of monthly reporting and MIS to ensure a system accountability and transparency in important

functional areas:

► Reporting of funds Establishing a process where in data over progress is updated regularly in the system. The reporting system should allow breakdown

of development activities in stages and at stage completion the physical status can be updated. Reporting on the monthly progress of

work, fund utilization and revenue collection should be automated. Monthly performance reports should be generated electronically.

This should be followed by a review meeting among the District Panchayati Raj Officer (DPRO), Pradhan and the Panchayat

Secretary (for GP) and among Chief Development Officer (CDO), District Development Officer (DDO) and BDO for BP, and the

outcome should be documented properly in the systems. The following information should be captured:

• Grants - total grant amount, sources of funds, date received, utilization status, amount utilized vis-à-vis amount not utilized and reason for non-utilization, if applicable



• Funds received under various schemes • Tax receipts, receipts of rents collected from panchayat owned properties • Establishment-related expenses • Other expenses

• Available cash balance

► Reporting of works Activities related to BRGF An online tracking system should be set up in PlanPlus to track the progress of construction works under BRGF, which are finalized

at the beginning of the financial year. In addition to estimated cost, targeted timelines should also be entered against each work.

Tracking system should take care of the following information:

• Unique project/ work code to measure and track progress • Completion status • Amount of work done, measurement wise • Budget analysis (estimated vs. actual expenditure)

• Reason for delay (if applicable)

The above mentioned physical and financial progress reporting must be complemented by fortnightly or monthly onsite verification by

site engineers to authenticate progress reports submitted.

Other scheme-related works

For other schemes in which PRIs are actively involved like TSC, NREGA; scheme-specific reporting system can be introduced

capturing details such as number of beneficiaries selected and their details, progress of work, funds utilized, reason for delays (if

any), etc. For schemes where PRIs are the executing agency, they should be the data custodian and be responsible for timely



updation of records. For other schemes in which involvement of PRIs are limited, the relevant line department representatives should

be responsible for maintenance and updation of records in the same scheme specific reporting application.

► Reporting of G2C Services A monthly summary report should be generated containing information such as no. of applications for various services or certificates

received, processed within prescribed time period, etc for each GP. In addition to this, quarterly reports should be generated by each

PRI office to report establishment-related matters, notably asset summary report which would include both IT and non-IT assets

owned by the respective PRI offices at three levels. For example, the Block Panchayat Asset Summary Report should contain

consolidated information for each gram panchayat within its jurisdiction along with its own assets details. Similarly, the District

Panchayat Asset Summary Report should consist of information related to all block panchayats under it along with its own assets.

The report should consist of the following heads:

• Yearly inventory of PRI owned properties such as lands and buildings, IT hardware, Furniture, etc at the beginning of the financial year

• New assets acquired • Old assets disposed • Closing inventory of PRI assets at the end of the financial year • Total assets value of assets owned in a particular year

6.1.2.2 Technology

► MIS reports should be generated though a state level portal with an access point at DP, BP and GP levels. Data should be refreshed by a specified date every month

► The three types of reporting applications should be integrated with the panchayat portal



6.1.2.3 People

► Training on effective data management and reporting techniques would required to be imparted to the executing officers and other assisting staffs at each level of PRIs

6.1.3 Budgeting

Vision - Envisioned to have a robust and standardized budgeting framework, to automate the budgeting process and to improve the

transparency and accountability of the budgeting process.

Summary of key issues

Technology Process People ► Annual budget are mostly prepared

manually on papers and then fed in the computers which in turn may create problems related to data loss and manipulation, inconsistencies, uncontrolled access, etc

► Budget preparation, submission to higher authority and their approval are done manually. Thus it is envisaged that automation would surely improve the budgeting process of PRIs

► Delays in submission of annual budget ► The budget process needs to be

streamlined. Currently it is a mere escalation of the revenue / expenditure for the previous year and allocations for the present year

► Not much analysis is done for the preparation of the budget in terms of required needs / works

► The budgeting process does not acknowledge or link with the identification and prioritization of works for the ensuing year

► There is lack of accounting knowledge among the PRI staff, specially BP and GP level, for the preparation of the budget

► No training has been imparted, to the resources involved in budgeting process at all three tiers of PRIs, on the budget methodology

In order to establish a more robust budgeting function, the following recommendations are laid down to addressing the gaps and the

improvement opportunities identified:



6.1.3.1 Process

► Standard budgeting format / template should be made available online common for all three tiers which should include the following heads:

• Particulars of the sources of revenue or expenditure • Actual of previous FY • Budget of current FY • % change in the budgeted amount of current FY • Estimated budget for next FY

► The following statements as of 31st March should be annexed with the annual budget:

• Statement showing unused balances of previous financial years (at least for last three to five years) • Balances in various bank accounts and treasury

• Statement of Loans and Advances

► A detailed budgeting methodology / guidelines should be developed and should be made available at all the PRI offices for reference. The guidelines should include:

• Timelines for preparation, periodic reviews, revision, sanction, etc. • Procedure for preparation and sanction of budget • Reviewing and sanctioning authorities • Procedure for revision of budget

• Sources of funds and their basis of estimation



► Budget versus actual variance analysis should be done quarterly. Reasons for deviations and corrective actions to be taken should be recorded on the software application itself. Review should be done by following PRI personnel:

• GP budget – Reviewed by Panchayat Mitra and Panchayat Secretary (PS), and sanctioned by Pradhan • BP budget – Reviewed by Accounts Officer and Block Development Officer (BDO), and sanctioned by Block Pramukh • DP budget – Reviewed by Chief Financial Officer (Vithiya Paramarsh Data) and Apar Mukhya Adhikari (AMA), and

sanctioned by Chairman, DP

► Budget estimates should be revised after six months based on the half year’s actual receipts and expenditure. Revised budget should be approved by gram sabha or general body meetings of BP and DP members.

6.1.3.2 Technology

► There should be a web-based online software application for preparation of budget for all the three tiers of PRI. ► Whole budgeting process should be carried out on the software application starting from preparation to sanctioning. The

application should also provide access to view the approved budget by the lower level of PRIs ► Budgeting software should be linked with accounting software to easy the automated generation of variance reports. Automated

controls can be placed whereby system will not allow accounting entry to be passed beyond the budgeted amount under a particular head without appropriate approval.

6.1.3.3 People

► Trainings should be imparted on the budgeting methodology to the PRI staffs, involved in the budgeting process. They include:

• GP level – Panchayat Mitra and Panchayat Secretary • BP level – Accounts Officer and Block Development Officer

• DP level – Chief Accountant, Chief Financial Officer and Apar Mukhya Adhikari



► Refresher trainings sessions should be arranged every year one month before the budgeting process begins to keep the PRI personnel updated about the advanced budgeting processes.

6.1.4 Accounting

Vision - The objective is to have an integrated accounting system for accurate recording of transactions, digitization of data and

timely reporting, to produce periodic financial statements, annual accounts and utilization certificates.

Summary of key issues - Technology Process People

► General accounting is done manually at all the three levels of PRIs.

► Financial reports and utilization certificates are prepared manually and not uploaded on the panchayat portal

► The whole process from raising fund request to obtaining approval is done manually.

► Delays in preparation and finalization of monthly account statements

► Delays in receipt of information / budget from GPs and BPs at district for compilation

► Delays at all three tiers as there is no follow up from the State. The grant is released by State without considering the estimated budget

► Several key positions are vacant in all the three tiers of PRIs in the three studied districts

► There are approx. 200 panchayat secretaries and 200 gram vikas adhikari for a total of 1617 gram panchayats in Azamgarh district. At Etah the BDO of Jaythra is handling the responsibilities of PD-DRDA and DDO apart from his BDO role in the assigned block.

► Lack of IT- skilled man power

In order to establish a more elaborate accounting process, the following recommendations are laid down to addressing the gaps and

the improvement opportunities identified:

6.1.4.1 Process

► Timeline for generation and submission of various accounts related reports should be prepared and circulated at all the tiers of PRIs in the beginning of the financial year. This would help in better planning of internal work and reducing the delays in submission of monthly or quarterly or annual financial reports



► As per the best practices, accounts should be maintained on double entry accrual basis system. Accrual basis of accounting would facilitate in presenting the true state of balance sheet and P&L statement. It is recommended to shift to double entry accrual basis accounting system.

► Accounting process should be enabled in a way whereby expenses are booked against the unique project code at the level where work is being done.

6.1.4.2 Technology

► Scope for web-based online accounting software, which would have an integrated with the planning, budgeting, implementation and reporting software. All the accounting activities should be automated:

• All the accounting registers and records should be digitized • Financial reports / statements should be generated from the software online and should be made available on the

panchayat portal for easy access • The whole process from raising request to approvals and transfer of funds should be made online

• Periodic reports / statements should be automatically produced through the online software application

► Application can be developed to recognize and upload the bank and treasury statements. The system can compare the cash book entries with the uploaded statements and generate the variance statement automatically. The discrepant particulars could be disposed of online by the concerned accounting staff after obtaining online approval from the concerned approving authority.

► System based controls should be established on:

• System controlled month / quarter / year end procedures and processes • Online training and help facilities • Balance amounts should be carried forward automatically under pre-defined accounting heads at the end of defined

period

• Online request and approval mechanism for loans and grants



6.1.4.3 People

► All users of accounting software should be trained on the accounting procedures and guidelines. The following personnel should be included:

• GP level – Panchayat Mitra, Panchayat Secretary and Pradhan • BP level – Accounts Officer, Block Development Officer and Block Pramukh

• DP level – Chief Accountant, Chief Financial Officer, Apar Mukhya Adhikari and Chairman

► Refresher trainings sessions should be organized every year ► Awareness with respect to accounting controls and legal framework should be increased amongst relevant PRI accounting staff ► Timetable for various accounting reports / statements should be communicated to all relevant staff in the beginning of the financial

year ► For auditing purpose, an external agency should be hired, at least once in a year and the auditing process should be carried out

starting from the lower most level of PRI, gram panchayat and ascending up to BP and DP

6.1.5 Pension Processing

6.1.5.1 Process

► Presently, the process is completely manual and involves extensive transfer of hard copy files and documents which leads to loss of important documents and processing delays quite often.

► There is no dedicated manpower to handle the pension processing at the DP office and currently the accounts division is taking care f the delivery process

► The pension application processing system should be automated. A district level pension portal should be set up through which the applicant himself or the concerned authority of the institution at the districts, blocks or villages can upload the pension proposals along with scanned copies of the supporting documents. These documents can then be downloaded by the Pension Division at the DP office for further processing.



► In the long term, digital links can be established between the District Pension Division and the District Accounts Division as well as the District Treasury Office so that the information transfer related to pension proposals among these departments can be made more efficient.

6.1.6 Provident Fund Management

6.1.6.1 Process

► For new employees, a unique Provident Fund No. should be generated automatically without waiting for them to apply for the same. This should be a part of the recruitment and joining formalities

► A key weakness identified in the current process is that even if PF numbers have been allotted, in some cases, the contribution amounts are not being automatically deducted from individual’s salary, and the amount is not being automatically revised in line with salary increments In order to address this issue, it is suggested that the master payroll application should be updated with the contribution amount and updated annually immediately after promotions / increments have been granted. The payroll processing software should be made capable of calculating accurate salary amounts after taking into account PF deductions.

► The process for PF loan applications should be automated with the employee applying for the same through an employee portal and subsequent workflows and approvals being automated. The master payroll application should also be updated with the loan repayment period and monthly installment amounts to enable automatic deductions in the payroll processing cycle.

6.1.7 Record Management

Most registers are maintained manually which poses two major challenges. Firstly, they are prone to damage/mutilation and manual

maintenance of these registers is very cumbersome. Secondly, retrieving and accessing archived records is a tedious and time-

consuming task and not conducive to efficient internal functioning of PRIs. Digitization of this data is therefore strongly

recommended. The following registers and records should be digitized: District Panchayat Block Panchayat Gram Panchayat

Cash books List of workers or job card holders

(under NREGA) Annual report



Register of Grants List of beneficiaries (under Pension

and scholarship schemes and SGSY) Account / ledger books

Grant appropriation register Cash books Register of receipt bills

Cheque received register Grant appropriation register Activity register

Vouchers Cheque Received Register Bank pass books for various account

Payable Register (for Salary) Vouchers Register of the immovable properties

Salary bills Payable register (for salary) Register of the names of the tax payers

Account reports Measurement Book / M-Book Register of the rate and receipt of taxes

Loans and advance register Muster rolls (under NREGS) Register for any kind of construction work for

common assets

Register of permanent advances Muster rolls (for BP works) Muster roll or employment record under NREGS

Register of bills passed for payment Drinking water complaint register Register of stock of the available commodities

Establishment audit register RTI Register Application form for birth registration

Advance recoverable register Stock Register Application form for death registration

TA bill register Permanent Assets Register Monthly records of deaths

Transfer entry register Register of Works Monthly records of births

Register of contingent charges Register of Contractors Register for marriage registration

Register of money orders Minutes of Meetings / Resolution Marriage certificate

Register of contribution Correspondence / Communication Work completion certificate / utilization certificate

List of commercial establishment in rural

areas Annual income and expenditure statements

Increment register Agenda register of the gram sabha



RTI register Voucher register

Pension payment order (ppo) register Monitoring register

Pension bill register General and miscellaneous accounts

Nomination Register (for PF) Assets register

List of registered contractors RTI register

Stock register Job card register

Permanent assets register Minutes of meetings / resolutions approved in gram

sabha

Minutes of Meetings / Resolution Correspondence / communications

Correspondence / communication

6.1.8 Correspondence Management

6.1.8.1 Process

► Currently, any kind of communications or correspondences among PRI officials are manually done which entails extensive and voluminous paperwork.

► The manual transfer of documents within PRI offices at district, block and village level often leads to loss of information and unnecessary delay.

► It is recommended that transfer of circulars, notifications and any other office-related information should be done via email. All employees at and above a certain level at each office should be provided with official email IDs. In course of time, physical correspondence should be phased out and only online communication should be practiced.

► In addition to broadcasting via email, all circulars, memos, GOs etc should be uploaded on the Panchayat Portal to facilitate easy access.



6.1.9 Grievance Redressal

6.1.9.1 Process

► The grievance redressal system, Lokvani is a good example of a robust complaint management tool which was introduced in Sitapur district of Uttar Pradesh in 2004. Lokvani is a unique public private partnership program, which gives citizens an opportunity to interact with the government without coming to any government office

► The Lokvani system not only gives citizens an avenue to track the progress on their grievance, but also provides the DM an effective tool to monitor the performance of various departments

► Lokvani also provides details of various government schemes, government prescribed forms, details of developmental work in the district, lists of old age pensioners, lists of scholarship beneficiaries, funds allotted in various govt. schemes, allotment of food grains to village PDS dealers or kotedars, allotments of development and maintenance funds to gram panchayats, etc

► However, in the three pilot district of Azamgarh, Etah and Jalaun, this tool is not so popular and till date, people are lodging their complains either in gram sabha or Tehsil and Thana Diwas or visiting the respective government offices

► Major initiatives should be taken to replicate across all the districts in UP to enable better recording and processing of grievance-related communication

6.1.10 Administration and Governance

Meeting Management

► Each PRI tier is expected to conduct statutory meetings:

• At DP – DPC meetings every six months and general body meetings every quarter • At BP – General body meetings every quarter

• At GP – Gram sabhas every quarter

► However, it was noticed that the minutes of meetings are not recorded consistently and comprehensively, and not shared with all participating stakeholders.



► The major suggestions are:

• The Panchayat portal should be updated with the annual meeting calendar of all statutory meetings to be organized by district, block and gram panchayat officials

• After the pre-determined date has passed, the following details must be updated for review

a. Status of the scheduled meetings b. List of attendees c. Agenda of meetings d. Minutes and action points

6.1.11 Asset Management

6.1.11.1 Process

► Each PRI office at DP, BP and GP should maintain an itemized inventory of all fixed assets (both IT and non-IT related) with a unique asset code

► The following information should be captured for each asset : asset type, category (movable or immovable), value, date of acquisition, maintenance schedule, etc

► Any asset acquisition / disposal should be updated within 3 working days and the same must be approved by the concerned officer of that panchayat office (AMA, BDO or PS)

► Asset summary reports should be generated on a quarterly basis and shared with the next level of PRI ► Physical onsite verification of the assets stated in the latest asset summary report should be conducted once in six months and

the outcome should be documented.



6.1.12 Citizen Awareness

6.1.12.1 Process

► Information on various scheme-based benefits, mode of delivery and required eligibility for application should be made available in a concise and user-friendly formats like pamphlets to citizens in local language

► Prominent citizens within the village community (such as Headmaster, Anganwadi workers and helpers, SHG members, ASHA) should be used to generate awareness about newly introduced schemes

► Posters containing details of all current schemes (written / printed in a large font size in local language) should be pasted outside the GP office as well as at key locations such as local market area or APMC, Anganwadi center, primary school building, PHC building, etc )

► Citizen charter should be updated with the list of existing as well as new services offered at the GP office along with the stipulated timelines and eligibility criteria for the application



6.2 Re-engineered Government to Citizen Service Delivery Processes

6.2.1 Re-engineering existing G2C service Delivery Processes

6.2.1.1 To –Be Process Map for Service 1 –Birth Registration and Certification



Prad

han

/ Pan

chay

at

Secr

etar

yG

P fr

ont o

ffice

sta

ffs /

CSC

Dat

a O

pera

tor

Citi

zens

/ A

pplic

ants



6.2.1.1.1 Key Recommendations

► Separation of registration and certification processes ► Use of technology to create and maintain birth records ► Creation of ICT infrastructure at village level to provide front end application of birth registration ► Inclusion of both PRIs and village level functionaries of health department for processing of birth certificate

6.2.1.1.2 Legal Changes

No legal changes recommended but some guidelines can be adopted to make the process more robust and to avoid any misuse

► Joint signature of pradhan and panchayat secretary to be made compulsory on the certificate before issuance ► Submission of birth report should be made compulsory for birth registration by village level health functionaries ► In case of non-issuance of birth certificate at the time of birth, the certificate should be issued only from the native Gram

Panchayat

6.2.1.1.3 Process Narration – Birth Registration

S. No. Activity / Component Channel Mode Responsibility Centre

Expected Time (days)

1

On the occurrence of birth in the family, the citizens are required to collect the birth report from the ANM or PHC doctors. In case the birth has happened at the home without any medical assistance, citizens are required to go and inform the medical representatives

Gram Panchayat

Online / Manual

Citizen Within 1 day

2

Fill in the birth information such as name of the new born, father’s or guardian’s name, date of birth and location of birth in the online birth report format Once the birth reports are prepared, those are printed and signed by the concerned authority, either ANM or PHC doctors and issued to the citizens

Gram Panchayat

Online ANM / PHC doctors

Within 2 days



3 Collects the application form for birth registration and certificate from the GP office by paying the application cost of INR 10

Gram Panchayat

Manual Citizen Within 1 day

4 Fills in the application form and submits the form along with a copy of birth report in the GP office

Gram

Panchayat Manual Citizen Within 1 day

5 On the receipt of the applications forms and birth report, the information are updated in the system

Gram

Panchayat Online GP office staffs / CSC data operators

Within 1 day

6 Post updation and submission of the birth information in the system, a computerized acknowledgement receipt is generated

Gram

Panchayat Online

GP office staffs / CSC data operators

Within 1 day

7

By using the acknowledgement no. printed on the receipt, the applicants could track the status of their service request from the application tracking system installed at the GP office

Gram

Panchayat Online GP office staffs / CSC data operators

In case of delay

8

Processes the service request based on the birth report attached to the application Updates the birth register and add the name and other details of the new born in the family register online in the system. Post updation of the databases, forwards a request for generation of unique Identification no. to the UID committee at the central level

Gram Panchayat Online

Pradhan / Panchayat Secretary

Within 2 day

9

Prepares a computerized birth certificate along with the UID and birth details of the new born, adds digital signature of the pradhan and panchayat secretary and then prints it

Gram Panchayat

Online GP office staffs / CSC data operators

Within 1 day

10

Collects the printed birth certificate from the GP office In case of delay in the delivery of the certificate, the citizens are intimated about the reasons through the online tracking system as well as the GP office staff

Gram Panchayat

Manual Citizens Within 1 day



6.2.1.1.4 Escalation Matrix – Birth Registration

Sl. No.

Activity Description

Responsibility

Center

Service Delivery

Time (days)

Level 1 Level 2 Level 3

No. of Days from the

application date

Designation

No. of Days from the first

level escalation

date

Designation


second level escalation

date

Designation

3 Issuance of birth

report

ANM / PHC

doctors 2 3

Pradhan

(GP) 2 BDO (BP) 2

CMO (district

level)

6

Updation of the

birth details in the

system and

generating birth

registration

number

Panchayat

secretary 1 2

Pradhan

(GP) 2 BDO (BP) 2 Tehsildar

6.2.1.1.5 Process Narration –Birth Certification

S. No. Activity / Component Channel Mode Responsibility Centre

Expected Time (days) Remarks

1 Application submission component (application and birth registration number)

Gram Panchayat

Manual/ Online

Citizen Within 1 day -

2 Application receipt component – Post submission of the birth information in the system, a computerized

Gram Panchayat


Within 1 day -



acknowledgement receipt is generated.

3

Application payment component – payment delivery from citizens for service request (minimum charges of INR 5)

Gram Panchayat


Within 1 day -

4

Application processing component – verifies if the registration number is valid and the birth is registered in family register and birth register

Gram Panchayat

Online Panchayat secretary

Within 1 day -

5

Service delivery component - Prepares a computerized birth certificate along with the UID and birth details of the new born, adds digital signature of the pradhan and panchayat secretary and then prints it


Panchayat secretary Within 2 day -

6 Information Provision component – informs about issued certificate

Gram Panchayat

Telephonic/ SMS/ Voice mail

GP office staffs / CSC data operators

Within 1 day -

7 Collects the printed birth certificate from the GP office

Gram Panchayat

Manual Citizen Within 1 day -



6.2.1.1.6 Escalation Matrix –Birth Certification

Sl. No.


Responsibility

Center

Service Delivery

Time (days)



application date

Designation

No. of Days from the first

level escalation

date

Designation



date

Designation

5

Processing of the

service request

and generation of

UID no.

Pradhan /

Panchayat

Secretary

2 3 Pradhan


7

Issuing the

computerized

birth certificate

Panchayat

Secretary 7 8

Pradhan




6.2.1.1.7 KPI, Critical Success Factors, Dependencies

S No. KPI Name Description Unit of

Measurement Critical Success

Factors Monitoring Authority

Services Applicable

to

1.Service Delivery Time

The time taken to deliver the service from the date of receipt of service request to the date of delivery of service request

Day(s)

o Efficient and skilled manpower

o Availability of computer hardware, connectivity, data management software and various schemes and PRI related portals

o Robust escalation mechanism

Panchayat Secretary / ANM / ASHA

All

2.Service Request Verification Time

Time required for document or on-site field verification. This shall start from the time citizen submits the application to GP office / CSC till the generation of verification report.

Day(s)

o Efficient and technically skilled manpower

o Timely updation of the verification status in the system

o Decision making major depends on result of verification

Panchayat Secretary / ANM

All

3.Number of Escalations

Automatic escalation of the activities by the system at higher levels of PRI whenever the delays are reported. (As per the type of service and within specific period of time)

Number(s)


Pradhan/ BDO/ District officers of line departments

All






Services Applicable

to

4.Efficiency of Application Processing

The ratio of Application Processed versus Applications Received in specific period of time (Weekly/Monthly/Quarterly/Yearly etc.)

Number(s)



PS/ GP Office or CSC/ BDO

All

Pre- Requisites: ► Maintenance of citizen database in form of family register at the GP level having integration with the Panchayat Portal ► Collation of existing data from all the villages within a gram panchayat and updation in the portal ► For registration of birth, standard application form should be made available to the citizens at the GP office at minimal

charges ► For issuance of birth certificate, birth should be registered with the GP officials preferably within a month of birth. Self

declaration is required on the application form which is submitted after one month of the birth by affixing INR 5 revenue stamp, the same shall be send to BDO (if application is submitted within one month) and Tehsildar (if application is submitted after one year) for authorization.

► Trained and efficient staff at the GP office for working on computer hardware and using various PRI applications

Dependencies: ► Timely intimation of the birth by the citizens at the GP office ► In-time issuance of birth report by the ANM or PHC doctors



6.2.1.1.8 Recommendations & Impact

Objectives O1 – Transparency & Accountability

O2 – Improved Decision Making

O3 – Improved Service Delivery to Citizens

O4 – Internal Process Improvement (PRIs)

O5 – Convenience to Govt. Employees and O6 – Segregation of Duties

Recommendations Objectives

O1 O2 O3 O4 O5 O6

Process

1. Availability of online application format ü ü

2. Updation of information provided in the system at the GP office ü ü ü ü

3. Registration service and issuance of certificate is done at minimal charges ü

4. Certificates to be made available in English as well as in Hindi ü

5. Birth report to be made compulsory document along with application ü ü ü ü

People

1. Role of ANM / ASHA / PHC doctors are made compulsory in case of verification and

issuance of birth report ü ü ü ü ü ü

Technology

1. Introduction of online citizen database, in form of birth as well as register ü ü ü ü ü

2. Generation of acknowledgement with updation of service request in the system ü ü ü

3. Generation of certificate directly from the system ü ü ü ü

4. Introduction of online tracking system of the service requests at GP office ü ü



6.2.2 Re-engineering New G2C Service Delivery Processes

6.2.2.1 To – Be Process Map for Desired Service 1 – Disbursement of old age and widow pension



6.2.2.1.1 Key Recommendations

► Notification of fund transfer through mobile phone (SMS or voice mail)

► Service request to be entered at GP level

► Use of technology for processing of applications

6.2.2.1.2 Legal Changes

No legal changes have been suggested in the to –be process maps

6.2.2.1.3 Process Narration

S. No.

Activity Channel Mode Responsibility

Centre

Expected Time

(days) Remarks

1.

Application submission component

(application form, age proof of the

applicants, death certificate of husband

in case of widow pension, bank account

details and contact details of the

applicants)

Gram Panchayat Online / Manual Citizen / GP office

staffs / CSCs Less than 1 day

2.

Application receipt component (post

updation and submission of the service

request in the system, a computerized

acknowledgement receipt is generated)

Gram Panchayat Online GP office staffs /

CSCs Less than 1 day

3.

Status tracking component (by using the acknowledgement no. printed on the receipt, the applicants could track the status of their service request from


Citizen / GP office

staffs / CSCs Less than 1 day



S. No.


Centre

Expected Time

(days) Remarks

the application tracking system installed at the GP office or CSCs)

4. Payment receipt component ( minimum charges of INR 5)


GP office staffs /

CSCs Less than 1 day

5.

Application processing component (Conducts gram sabha to identify the eligible applicants out of all the applications received at the GP office or CSCs If any objection is received during

meeting regarding any of the

applicant’s details provided, his or her

application is either re-considered or

rejected

Verification is also done on the basis of

the government owned records /

databases)

Gram Panchayat Manual / online

Pradhan /

Panchayat

Secretary

3 days

6.

Post discussion on the applicant eligibility, the information details of the short-listed applications are updated in the system. Service requests are processed and MIS reporting of the list of the approved applicants are done and final list is prepared digitally. Then, the final list of applicants along with


Pradhan / Panchayat Secretary

2 days



S. No.


Centre

Expected Time

(days) Remarks

their details is forwarded to the BDO

7.

Validates and compiles the list of beneficiaries received in the system from various gram panchayats in the block and forward the list to the Department of Social Welfare, district office for final approval

Block

Panchayat Online Block Development Officer

2 days

8.

Service delivery component (receives the compiled list and validates the name of the beneficiaries from databases of senior citizens or widows and the existing BPL list)

Dept. of

Social

Welfare,

district office

Online

District Social Welfare Officer – old age pension District Probation Officer – widow pension

3 days

9.

Applications rejected by the district authority are send to the GP office for re-consideration and are discussed during the next gram sabha

Dept. of

Social

Welfare,

district office

and Gram

Panchayat

Online / manual

District Social Welfare Officer - for old age pension District Probation Officer – for Widow Pension Pradhan / Panchayat Secretary

Within 10

days of

application

10.

Uploads the final list of beneficiaries in the department website and transfers pension amount for first six months in the bank account of the beneficiaries

Dept. of

Social

Welfare,

district office

Online

District Social Welfare Officer - for old age pension District Probation Officer – for Widow Pension

3 days

11. Receives the total pension funds along with details of the beneficiaries name and account details from the district

Dept. of

Social Online District Social Welfare Officer - for old age pension

1 days



S. No.


Centre

Expected Time

(days) Remarks

social welfare office Welfare,

district office

District Probation Officer – for Widow Pension

12.

Receives notification of fund transfer in the beneficiaries bank accounts along with the list of approved beneficiaries’ names from the bank as well as district authority

Block

Panchayat Online/ Manual / Telecommunications

District Social Welfare Officer - for old age pension District Probation Officer – for Widow Pension Block Development Officer

Less than 1

day

13

Receives notification of fund transfer in the beneficiaries bank accounts along with the list of approved beneficiaries’ names from the block panchayat office

Gram

Panchayat Manual / Telecommunications

Block Development Officer GP office staffs / CSCs

Less than 1

day

14

Information provision component (informs citizens about receipt of pension funds through SMS, calls, mobile voicemails or direct interaction)

Gram Panchayat

Telecommunication / Manual interaction

Pradhan / Panchayat Secretary / BDO / District Social Welfare Officer / District Probation Officer

Within 1 day

-

15 Withdraws the pension money from his / her respective bank accounts

Gram Panchayat

Manual Citizens Within 1 day



6.2.2.1.4 Escalation Matrix

S. No.


Responsibility

Center

Service

Delivery Time (days)


No. of Days from

the applicatio

n date

Designation

No. of Days from the first level escalation

date

Designation



date

Designation

5 Selection of

beneficiaries

Pradhan /

Panchayat

Secretary

1 day 23 day Gram

Pradhan 2 days BDO 2 days

District Social

Welfare

Officer /

District

Probation

Officer

11

Transfer of

pension

money in the

bank account

District Social

Welfare Officer /

District

Probation

Officer

There is no

prescribed

time as the

transfer of

funds takes

place only

after the funds

have been

received from

central and

state

3 days District

Magistrate



S. No.


Responsibility

Center

Service

Delivery Time (days)


No. of Days from

the applicatio

n date

Designation

No. of Days from the first level escalation

date

Designation



date

Designation

13

Information

dissemination

about the

receipt of

funds in

beneficiaries’

accounts

GP office staffs

/ CSCs

Within a day

from receipt of

account,

preferably

within 15 to 20

working days

2 days Gram

Pradhan 2 days BDO 2 days

District Social

Welfare

Officer /

District

Probation

Officer



6.2.2.1.5 KPI, Critical Success Factors, Dependencies




Services Applicable

to

1 Service Delivery Time

The time taken to deliver the service from the date of receipt of service request to the date of delivery of service request

Day(s)

o Efficient and skilled manpower



Panchayat Secretary/ Pradhan/ BDO/ District officers of line departments / District Magistrate

All

2 Service Request Verification Time

Time required for document or on-site field verification. This shall start from the time citizen submits the application to GP office / CSC till the generation of verification report.

Day(s)


o Timely updation of the verification status in the system

o Decision making major depends on result of verification

Field staffs such as Panchayat Secretary

All

3 Number of Escalations

Automatic escalation of the activities by the system at higher levels of PRI whenever the delays are reported. (As per the type of service and within specific period of time)

Number(s)


Pradhan/ BDO/ district officers of line departments

All






Services Applicable

to

4 Efficiency of Application Processing

The ratio of Application Processed versus Applications Received in specific period of time (Weekly/Monthly/Quarterly/Yearly etc.)

Number(s)



Panchayat Secretary/ Pradhan/ BDO / district officers of line departments

All

Pre-Requisites / Dependencies ► Upload and scan the application form for data management system, by this loss of application and tracking the application

will become very easy. ► Maintaining the marriage register at GP office and registering all the marriage as per request ► Trained and efficient staff at GP office and at all levels of PRI for computer hardware and PRI application. ► Robust escalation mechanism.

6.2.2.1.6 Recommendations & Impact

Objectives

O1 – Transparency & Accountability

O2 – Improved Decision Making

O3 – Improved Service Delivery to Citizens

O4 – Internal Process Improvement (PRIs)

O5 – Convenience to Govt. Employees



O6 – Segregation of Duties

Recommendations Objectives

O1 O2 O3 O4 O5 O6

Process

1. Availability of application at GP level ü ü

2. Service request at GP level ü ü

3. Uploading the application form online ü ü ü ü

4. Notification process for transfer for pension to citizens ü ü ü

People

1. Trained and efficient staff at GP office and at all levels of PRI for computer hardware

and PRI application ü ü ü ü ü ü

Technology

1. Introduction of online citizen database ü ü ü ü ü

2. Verification Reports to be generated directly on the system ü ü ü

3. Online tracking of the status of the application ü ü ü ü

4. Notification of fund transfer to citizens viva SMS/ voicemail/ Call / direct notification ü ü ü



6.3 Capacity Building

To improvise the overall functioning of PRIs, it is mandatory to improvise the aspects and bridge the gaps as identified in the earlier

section. This section focuses on the capacity development, improving the expertise and skills of personnel, in relation to the

responsibilities and tasks they need to carry-out, to overall strengthen the institutional activities.

6.3.1 To-Be Organization Structure (Structural Changes)

Based on the gaps analyzed in the organization structure in the section (5.2.3.1) above, following are the proposed modifications in

the organization structure at district, block and gram level:

District Panchayat

► During the study, it was observed that CDO, though being a representative of PRI at the district level, he rarely takes part in functioning of the DP office and directly reports to the DM, instead of DP Chairman. Thus it is suggested that CDO should completely take part in functioning of the DP, especially in the planning and budgeting activities in association with AMA. He should also look into the monitoring of different projects undertaken at the district, block and gram level.

► Activities related to general accounting, managing employees pensions, provident funds and salaries, expenses related to establishments, accounting of scheme related funds, etc are currently managed by accounts section which creates unnecessary work pressure on the employees. Thus it is recommended that the entire accounts section should be divided into three sub-division headed by accountants and handling:

o Scheme related funds o Expenses related to establishment o Expenses related to manpower

► Reorganizing the activities under the corresponding sections would streamline the activities in the DP office and these would be easy to monitor and reconcile

► In the current structure, two new posts is suggested to be included:



o Project supervisor who would be taking care of the planning, implementation and monitoring of the schemes / projects undertaken at BP and GP level in assistance with the Engineer and Junior Engineer at the DP office

o Computer operator who would be providing technical support to the DP staffs and assist in implementation of various IT initiatives such as installation of software, etc

► Based on the above suggestions, modified organization structure is depicted below:

Chairman or Adhyaksh

Apar MukhyaAdhikari

Planning Division(Project Supervisor)

Account Division(Financial Advisor)

Engineer

Junior Engineer

Tax Officer

Manpower related accounts

(Accountant)

Establishment related accounts

(Accountant)

Scheme related accounts

(Accountant)

Head Clerk

Clerk

Peons

Computer Operator

Account Division(Chief Accountant)

Tax Officer

Chief Development Officer

Chairman or Adhyaksh

Apar MukhyaAdhikari


Account Division(Financial Advisor)

Engineer

Junior Engineer

Tax Officer


(Accountant)


(Accountant)


(Accountant)

Head Clerk

Clerk

Peons

Computer Operator


Tax Officer

Chief Development Officer



Block Panchayat

► Similar to the organization structure at district level, there is no support staff available to the BDO for assisting him in activities related to planning, implementation, monitoring and reporting of various schemes. Appointment of a project supervisor is required, especially for coordination and monitoring of the works undertaken at the block level, in association with the Engineer and Junior Engineer. He is also expected to supervise some set of activities at the gram level and should be accountable to the BDO.

► Alike District Panchayat organization structure, activities related to general accounting, managing employees pensions, provident funds and salaries, expenses related to establishments, accounting of scheme related funds, etc are currently managed by accounts section which creates unnecessary work pressure on the employees. Thus it is recommended that the entire accounts section should be divided into three sub-division headed by accountants and handling:

o Scheme related funds o Expenses related to establishment o Expenses related to manpower

► Reorganizing the activities under the corresponding sections would streamline the activities and would improve the internal functioning of BP

► For leveraging various IT initiatives, dedicated IT personnel should be appointed at the lower level of BP organization structure. There is a need to create a Block Informatics Centre at the block level to assist in the computerization of the BPs and GPs. Block Informatics Officer would act as the custodian and support structure for all eGovernance initiatives of the PRIs and other departments. Though BIO would not be a part of the BP organization structure, but for administrative decisions, he is expected to be accountable to the BDO.

► Based on the above suggestions, the proposed organization structure at block level is presented below:



Block Pramukh or President

Block Development Officer



Engineer

Junior Engineer

Administration(ADO – Panchayat)


(Accountant)


(Accountant)


(Accountant)

Head Clerk

Clerk

Peons

Computer Operator

Block Pramukh or President

Block Development Officer



Engineer

Junior Engineer

Administration(ADO – Panchayat)


(Accountant)


(Accountant)


(Accountant)

Head Clerk

Clerk

Peons

Computer Operator

Gram Panchayat

► In the current structure of GP, Panchayat Secretary is the sole person handling all administrative as well as technical responsibilities. There is no support staff available to the Panchayat Secretary for assisting him in activities related to planning, implementation, monitoring and reporting of various schemes. Appointment of a village level functionary, namely Panchayat Mitra, is required for coordinating and monitoring the projects undertaken at the gram level. Panchayat Mitra should be appointed from



native villages so that he can have a better idea of the local area need and aspirations, which would in turn help the GP officials during preparation of annual plans.

► One of the vital recommendations given by the team is to hire a computer operator at the GP front office. His responsibilities would include providing application forms for service request to the citizens, updating the service requests in the system, issuing acknowledgement on receipt of service request and processing fees, delivery of the requested services to the citizens, assist the citizens in tracking the status of their service request, etc. This would expedite the internal processing at the GP and would ease the work pressure of the pradhan and panchayat secretary. Being technical, he would also be providing technical support in the functioning of PRIs at gram level

► Based on the above suggestions, the proposed organization structure at gram level is presented below:

Gram Pradhan

Panchayat Secretary

Panchayat Mitra Front Office Staff

Gram Pradhan

Panchayat Secretary

Panchayat Mitra Front Office Staff

6.3.2 Capacities (Skill sets)

Based on the challenges faced to execute the defined roles and responsibilities, as identified in the above section (5.2.3.2), the skills

required to be developed for each level are identified and categorized into three major heads:

► Core functional skills ► Technology related skills



► Soft skills

The following section discusses the desired skill sets for the identified personnel at each tier of PRI.

A. Core functional skills i. Budget preparation: Budget prepared for PRIs is a tied expenditure, thus budget preparation process currently involves only

an escalation of previous year’s budget. Actual fund requirements of different sector at different levels are not considered while

estimation and thus leads to faulty allocation of funds at the central and state level. It is thus suggested that a defined

approach for preparing the budget should be taught to the PRI officials at all three levels, so that the budget prepared could

meet the actual demand for funds

ii. Financial management: For efficient utilization of PRI funds it is important that planning for the funds received is done in an

effective manner. To achieve this objective, officials such as CDO, AMA, DPRO, BDO, Panchayat Secretary and staffs of

planning, implementation and monitoring and accounts division, who are majorly involved in fund management exercise,

should be given trainings on methods of efficient fund management. It is suggested that aspects related budgeting of scheme

and non-scheme related funds, planning and monitoring are covered in this training.

iii. Understanding and drafting government documents: It is seen that understanding and drafting government documents

such as notices, government orders and circulars poses a challenge for the executive functionaries such as Head Clerks and

Clerks at each level. This leads to the ineffective implementation of the crucial government orders, while communicating across

tiers. Thus it is important that a training on understanding and drafting the government orders should be conducted for the

identified PRI officials.

iv. New technologies in construction and engineering fields: Keeping oneself abridged with the new construction and

engineering technologies, poses a challenge for Engineers and Junior Engineers at the district as well as block level, as they

are responsible for the supervision of the projects and issuance of utilization certificate in the district and block. Similarly, at the

gram level, the Panchayat Secretary or Gram Vikas Adhikari and Panchayat Mitra are responsible for the supervision of



various construction activities within the villages. Thus training sessions on advanced construction technologies should be

conducted for Engineers and Junior Engineers at district and block level, and for Panchayat Secretary or Gram Vikas Adhikari

and Panchayat Mitra at gram level. v. Inter department coordination: Various schemes and projects are proposed by line departments in the district and

sometimes these are not timely reported to PRI officials, primarily due to lack of coordination with other line departments. It is

thus suggested that a training for inter department coordination should be given to the PRI officials, which would detail out the

modes, frequency and the necessity of establishing coordination with respective line departments.

vi. Decentralized planning process: Training on decentralized planning process is already conducted in most of the districts, but

it is seen that PRI officials are facing significant challenges while implementing these, especially at block and gram level. Thus

a refresher course should be conducted for PRI personnel, both for elected and non-elected members.

vii. Knowledge about different standing committees and role and responsibilities of the PRI official: Various committees

are formed at district, block and gram level for effective implementation and monitoring of the works. However, it was observed

that most of these committees are not functional as per the mandate and the PRI officials are not aware of the purpose of

these committees. It was also observed during the study that most of the PRI officials, especially at the gram level, are not

completely aware of their roles and responsibilities. Thus, training sessions on the committees, detailing out aspects such as

objectives, stakeholders involved and their role, frequency of meeting etc, should be conducted at all levels for committee

members and other PRI officials. viii. Office administration: In the current situation, all the registers, records and documents are currently manually maintained by

PRI officials. These contain essential government information and thus it becomes crucial that the process defined for the

office administration and maintenance of office documents should be followed as defined in the UP PR Act. Currently except

for the heads at each tier, the executive staffs have limited knowledge on these aspects, thus trainings on efficient office

administration should be given to Head Clerks, Clerks, Typists and Peons at district and block level and Panchayat Secretary,

Panchayat Mitra and Front Office Assistant at gram level.



ix. Data collection and analysis: PRI officials are involved in planning related activities for BRGF funds and general purpose

funds received, thus it is essential that the various databases such as sector-wise fund requirements and utilization should be

gathered in a defined format and analyzed before preparing plans. Thus training sessions on data gathering and analysis

methods should be made mandatory for all the PRI officials who are involved in the planning, implementation and monitoring

processes.

x. Knowledge on relevant sections of UP PR Act, RTI Act and citizen charter: It is felt that awareness on the relevant

subjects covered under these acts should be taught to the PRI officials, as these detail out the roles and responsibilities of PRI

staff, rules and regulations to be followed for subjects such as budgeting, planning, accounting, administration, etc. Thus it is

considered as one of the most important training programmes for the PRI officials. B. Technology related skills

To align with the objectives of ePRI, it is essential that all the officials are competent to use PRI related software and can efficiently

use other computer applications and web-based applications. Considering the above stated facts, the following technology related

training programmes should be conducted for the PRI officials: i. Software (PlanPlus, NREGA MIS, etc) developed for PR and RD department: Trainings on these software applications

already conducted for the state as well as district panchayat officials, but due to limited assistance provided by the block and

gram level functionaries during the planning and implementation stages, there are issues faced by PRI officials. Thus refresher

training sessions for state PR officials and DP staffs should be conducted and fresh training sessions on similar lines should be

organized for the block and gram level PRIs.

ii. Using internet / emails: It is seen that various activities such as updation of works undertaken at the district under different

schemes, degree of funds utilization under various schemes, etc are available on the internet. However, due to lack of

knowledge for using the web-based applications, there is dependency on general body meetings for the updates on the

progress of works. Further, it is suggested that activities such as official communication and correspondence, reporting,



sharing scheme and non-scheme related information, etc among PRIs and different line departments should be channelised

through emails. It would also help in maintenance of important records in soft copy format in the systems.

iii. Trainings for basic computer applications (MS Office, AutoCAD, GIS, Primavera, etc): In addition to the software

developed exclusively for PRI, it is essential that basic computer knowledge i.e. operating various designing, planning and data

management software such as MS Office, AutoCAD, GIS, Primavera, etc should be imparted to the PRI officials.

iv. Updating web portals: PRI officials lack the technical skills for using web portals developed for PRI such as MoPR portal, UP

State PR portal, etc. These provide access to relevant PR related information, which is of immense importance, both for the

PRI officials and citizens.

C. Soft skills

In addition to the core functional and technology related skills, developing soft skills as identified would enhance functioning of PRI

officials.

i. Conducting effective meetings: DPC meetings, general body meetings and review meetings, forms the base for PRI officials

to co-ordinate with other line departments and to update on the status of works. So it becomes essential that meetings are

conducted in an organized and effective manner. It is thus recommended that trainings on organizing and managing meetings

should be imparted, so that meeting sessions could be utilized properly.

ii. Time management: For efficient performance in the multiple tasks such as monitoring the projects, conducting meetings,

supervising the internal office administration etc, proper time management is essential. This training is suggested to help an

individual to focus on key issues in daily functioning of the professional as well as private life. It aims to guide an individual for

dealing with the different aspects in their day to day functioning in an efficient manner. iii. Planning tours: Conducting regular tours is an essential activity for PRI officials, especially at district and block level, to

supervise the progress of works and to assess the development works. It is important that tours are planned efficiently so that

the CDO / AMA / DPRO / BDO/ ADO (PR) should cover the area under their jurisdiction within the prescribed time period.



iv. Communication skills: This exercise focuses on guiding the elected and non-elected PRI members for the effective verbal

and non verbal communication, so that message is conveyed strongly and properly. v. Managerial skills: CDO, AMA, DPRO, BDO, ADO (PR) and PS have a challenging role of the office administration and people

management. Supervision of the team with appropriate instructions and inspirations can achieve quality results in the tasks

performed. This training thus focuses on enhancing the skills and techniques for handling the dynamics of their roles. vi. Appraisal skills and suggesting relevant trainings to sub-ordinates: Primary purpose of this training is to define PRI

objectives and values, discussing individual job expectations and level of performance, identifying and rectifying work related

behavior and enhance the employee’s ability to achieve the goals and objectives identified. Thus, for the higher authorities, it is

important to provide constructive feedback to the subordinate staffs for improving their performances becomes essential and

thus perk up their outputs. vii. Conducting regular and effective gram sabha – Gram sabha is the only platform available for PRI and line department

officials for interacting with the villagers and thus it is essential that gram sabhas with focused agenda are conducted to have

the desired output and to understand the true aspirations of the rural folks. Aspects such as managing crowd, public speaking,

circulating the agenda, recording the minutes of meetings and circulating the same among the stakeholders, etc are covered

under this aspect. Encouraging community participation in gram sabhas – Gram sabha is the only platform available for PRIs to take

villager’s opinion on their real needs and preparing plans for the desired works. But, it is observed that sometimes there is

limited participation by the citizens. So it becomes essential for the PRIs at the gram level to encourage maximum community

participation.

6.3.3 Capabilities (Manpower)

To overcome the scarcity of skilled manpower at each level of PRIs for execution of the envisaged functions at each level, the major

recommendations are discussed under three heads:



► Manpower required to fill the critical vacancies in existing structure ► Additional posts required in existing structure ► Manpower required for an additional proposed category.

Manpower required to be hired under these categories is proposed to be the permanent employees so as to increase reliability.

i. Critical vacancies required to be filled in the existing structure

► At the district level, critical posts of Chief Development Officer, Project Director of DRDA and District Development Officer are currently vacant and should be targeted to be filled immediately

► At the block level, currently all the blocks do not have a dedicated BDO, thus one BDO has to look after at least two block at a time. So filling the vacant posts of BDOs should be given immediate attention

► There is also urgent need to fill in the posts of Additional Development Officers, representatives of Panchayati Raj as well as respective line departments at the block level

► As per UP PR Act, all the gram panchayat should have one panchayat secretary and one gram vikas adhikari to support the pradhan in execution of various development functions. But currently, 4 to 5 gram panchayats are managed either by a gram vikash adhikari or a panchayat secretary. Thus it is recommended to fill in the posts of panchayat secretary or gram vikas adhikari, so that every gram panchayat should have at least one dedicated government official to support the pradhan in everyday functioning.

ii. Additional posts required in the current structure Based on the analysis done in the previous section for the recommended organization structure and to streamline the functions and

roles and responsibilities of PRI officials, additional posts of Head Clerks and Clerks for various divisions both at the district

panchayat and block offices, are proposed to be created and dedicated manpower should be hired with required level of

qualifications. Even at the gram panchayat, front office staffs should be appointed to assist in execution of various schemes and non-

scheme related functions.



► District level: Separate sections for planning, implementation and monitoring, employees’ provident fund, payroll, pension, establishment or administration, etc should be created at the DP office. Each section should have one section head and at least two supporting staffs at the posts of Head Clerk and Clerk. A technical person is required for managing the IT initiatives and regular maintenance of ICT infrastructure at the DP level. This person can be hired from the companies on contract basis.

► Block level: A pyramidal organization structure is proposed at block level by broadening the base at lower level, therefore, there is a need to hire additional Head Clerks and Clerks in order to smoothen the functioning of the BP office.

► Block Informatics Centre: There is a need to create a Block Informatics Centre at the block level to assist in the computerisation of the BPs and GPs. This BIO will act as the custodian and support structure for all eGovernance initiatives of the PRIs and other departments. The DIO sitting at the district level is in no position to navigate and support these initiatives due to the high volume of work that the ePRI will require. The role of the BIO can be outsourced initially to corporates providing such manpower. This person should have dual reporting system to BDO (for administrative role) and DIO (for technical role). With time as the role of BIO is established the model may be reviewed to from contract to permanent government set-up.

► Gram level: Aligning with the current linear organization structure at the gram level, an additional post of clerk/technical assistant should be created for assistance in the functioning of the GP front office. The front office of GP will require a trained person to operate the ICT infrastructure. This person can be initially on contract from the companies already providing technical support to various government agencies.

iii. Additional categories required

Following additional categories in the organization structure are proposed at block and district level:

► Assistants for CDO (executing officer at DP level) and BDO (executing officer at BP level): It is mandatory that CDO and BDO should conduct tours to the district and block respectively for assessing the progress of various development activities. Thus an assistant for them or an in-charge in absence of CDO and BDO would ensure the smooth functioning of the office. Also, they can coordinate with different line department representatives at the district and block level, and update the work done by them



► Project manager: A project manager to coordinate with respective line departments and administrative staffs in the respective offices is required to monitor the sectoral works such as planning, implementation, execution etc at district and block level.

6.3.4 Capabilities (Training)

The proposed trainings are classified under three heads – training on core functional skills, on technology related skills and on soft skills. Training requirements, based on the type of skills, identified in the previous section are detailed out with respect to their objective, target group, delivery mode and type of training in the following table:

Trainings Target group Training Objectives Delivery mode

(Trainer led / self study)

Type of training (hands on exercise /

computer based / group discussions)

Core functional skills

Budget preparation

► DP level– CDO, AMA, Chief Finance Officer, Chief Accountant, Accountant, Engineer, Junior Engineer, Head Clerk, Clerk, and Computer Operator

► BP level – BDO, ADO (PR) Chief Accountant, Accountant, Junior Engineer, Head Clerk, Clerk and Computer Operator

► GP level – Panchayat Secretary, Panchayat Mitra, Front Office Assistant

► Procedure for budget preparation

► Aspects to consider in planning for budget preparation

Trainer led

Computer based trainings

and hands on exercise

sessions

Financial management

► DP level – DP Chairman, CDO, AMA, Chief Finance Officer, Chief Accountant, Accountant,

► Analyze and assess the fund requirement of in different sectors

Trainer led

Group discussions –

participatory exercises and

hands on exercise sessions







Engineer, Junior Engineer, Tax Officer, Head Clerk, Clerk, and Computer Operator

► BP level – BP Pramukh, BDO, ADO (PR), Chief Accountant, Accountant, Junior Engineer, Head Clerk, Clerk and Computer Operator

► GP level – Pradhan, Panchayat Secretary, Panchayat Mitra, Font Office Assistant

► Adequate allocation of funds available from different sources – General funds, line department funds

► Formulate template for fund planning

Data gathering and analysis

► DP level – AMA, Chief Finance Officer, Chief Accountant, Accountant, Engineer, Junior Engineer, Tax Officer, Head Clerk, Clerk, and Computer Operator

► BP level – BDO, ADO (PR), Chief Accountant, Accountant, Junior Engineer, Head Clerk, Clerk and Computer Operator

► GP level – Panchayat Secretary, Panchayat Mitra, Font Office Assistant

► Evaluate and analyze data sources for planning and allocation of funds in a specific sector and area

Trainer led



sessions

Drafting government ► DP level – CDO, AMA, Chief ► Understand the types and Trainer led Hands on exercise







documents such as notices, government orders and circulars

Finance Officer, Head Clerk, Clerk, and Computer Operator

► BP level – BDO, ADO (PR) Chief Accountant, Head Clerk, Clerk and Computer Operator


purpose of notice/ circular/GO, common elements such as date of issuance, providing the reference number of earlier documents, subject, person to whom it is addressed, etc.

sessions

New technologies in construction

► DP level – Engineer and Junior Engineer

► BP level – Junior Engineer ► GP level – Panchayat Secretary

and Panchayat Mitra

► Update oneself with new construction and engineering technologies project management

► For effective project management referring to successful case studies

Trainer led / self

study

Computer based trainings,

audio / visual

(documentaries), reading

magazines and manuals on

civil construction

Inter department coordination

► DP level– DP Chairman, CDO and AMA

► BP level – BP Pramukh and BDO ► GP level – Pradhan and

Panchayat Secretary

► Improvise coordination between PRIs and other line departments for better implementation of schemes and monitoring of works

Trainer led

Group discussions and

other participatory

techniques

Awareness on decentralized planning (refresher course)

► DP level – DP Chairman, CDO, AMA, Chief Finance Officer, Chief Accountant, Accountant, Tax Officer, Engineer, Junior Engineer, Head Clerk, Clerk, and

► Understand the decentralized planning process and objectives

► Ensure that process is implemented as planned

Trainer led / self

study


reading the various

publications, articles, etc on

objectives and process of







Computer Operator ► BP level – BP Pramukh, BDO,

ADO (PR), Chief Accountant, Accountant, Junior Engineer, Head Clerk, Clerk and Computer Operator

► GP level – Pradhan, Panchayat Secretary, Panchayat Mitra, Front Office Assistant

decentralized planning

process

Awareness - knowledge about committees

► DP level – ZP Chairman, CDO and AMA

► BP level – BP Pramukh and BDO ► GP level – Pradhan and

Panchayat Secretary

► Objective of the committee and its frequency of meeting

► Stakeholders involved in the meeting and their role

Self study

It is suggested

that it should be a

web based

mandatory

learning


Awareness - office administration

► DP level – AMA, Chief Finance Officer, Chief Accountant, Accountant, Engineer, Junior Engineer, Tax Officer, Head Clerk, Clerk, and Computer Operator

► BP level – BDO, ADO (PR), Chief Accountant, Accountant, Junior Engineer, Head Clerk, Clerk and

► Training for procedure to be followed for office management such as record and register maintenance, etc.

Self study

It is suggested

that it should be a

web based

mandatory

learning








Computer Operator ► GP level – Panchayat Secretary,

Panchayat Mitra, Front Office Assistant

Refresher course – accounting system

► DP level – AMA, Chief Finance Officer, Chief Accountant, Accountant, Tax Officer, Head Clerk, Clerk, and Computer Operator

► BP level – BDO, Chief Accountant, Accountant, Head Clerk, Clerk and Computer Operator


► To implement the new accounting system introduced by PR

Trainer led Hands on exercise

sessions

Awareness – relevant sections of UP PR Act, RTI Act, Citizen Charter

► DP level – DP Chairman, CDO, AMA, Chief Finance Officer, Chief Accountant, Accountant, Tax Officer, Engineer, Junior Engineer, Head Clerk, Clerk, and Computer Operator

► BP level – BP Pramukh, BDO, ADO (PR), Chief Accountant, Accountant, Junior Engineer,

► Knowledge about relevant sections of PR such as rules for taxation etc., roles and responsibilities etc

Trainer led / self

study


and group discussions







Head Clerk, Clerk and Computer Operator

► GP level – Pradhan, Panchayat Secretary, Panchayat Mitra, Front Office Assistant and Citizens

Technology related

Software developed for PR – planning, accounting, budgeting, reporting, etc




► Implement the PRI works as planned to be executed, by using relevant software

Trainer led



sessions

PR applications –ePanchayat

► DP level – DP Chairman, CDO, AMA, Chief Finance Officer, Chief Accountant, Accountant, Tax Officer, Engineer, Junior Engineer, Head Clerk, Clerk, and

► Execution of works in the applications developed for PR

Trainer led



sessions







Computer Operator ► BP level – BP Pramukh, BDO,

ADO (PR), Chief Accountant, Accountant, Junior Engineer, Head Clerk, Clerk and Computer Operator


Using web based applications and emails




► Bridge communication gaps between different tiers

Trainer led



sessions

Updating web portals ► DP level – DP Chairman, CDO, AMA, Chief Finance Officer, Chief

► Awareness on critical aspects such as sharing

Trainer led Computer based trainings








Accountant, Accountant, Tax Officer, Engineer, Junior Engineer, Head Clerk, Clerk, and Computer Operator



username and password, websites to update, frequency of updating the websites etc

► Enhance transparency by uploading the data

sessions

Basic computer applications – MS office, GIS, AutoCAD, Primavera, etc



► GP level – Pradhan, Panchayat Secretary, Panchayat Mitra, Front

► Promote use of computers and enable a shift from manual procedure for doing routine works

Trainer led



sessions







Office Assistant

Soft skills

Conducting effective meetings


► BP level – BP Pramukh BDO and ADO (PR)

► GP level – Pradhan and Panchayat Secretary

► Achieve desired output from the meeting by adequate planning, defining the agenda and ensuring presence of key stakeholders

Trainer led


other participatory

exercises

Time management


► BP level – BP Pramukh, BDO and ADO (PR)


► Defining goals and linking them to plans

► Setting and prioritizing time for the identified plans

► Planning internal office work and tours

Trainer led


other participatory

exercises

Communication skills

► DP level – DP Chairman, CDO, AMA, Chief Finance Officer, Chief Accountant, Accountant, Tax Officer, Engineer, Junior Engineer, Head Clerk, Clerk

► BP level – BP Pramukh, BDO, ADO (PR), Chief Accountant, Accountant, Junior Engineer, Head Clerk, Clerk

► GP level – Pradhan, Panchayat Secretary, Panchayat Mitra,

► Learn body language and verbal communication

► Present information in an interesting way

► Office and meeting etiquette ► Art of convincing others ► Improve inter department

coordination

Trainer led


other participatory

exercises







Managerial skills




► Management skills ► Delegation and role

allocation ► Role modeling and gaining

acceptance ► Resolving conflict within

teams

Trainer led


other participatory

exercises

Performance Counseling skills and suggesting relevant trainings to sub ordinates




► Learn elements of good feedback

► Provide effective, consistent and timely feedback

► Deliver feedback that is descriptive, specific and behavioral

Trainer led


other participatory

exercises

Creativity and problem solving techniques




► Defining the problem ► Systematic approach to

problem solving ► Brainstorming techniques ► Idea generation, selection

and implementation

Trainer led


other participatory

exercises

Conducting effective gram sabhas



► Design survey samples / questionnaires

► Use of audio- visuals ► Conducting effective gram

sabha

Trainer led


other participatory

exercises







► Selecting volunteers in gram sabha and assigning tasks to achieve agenda

► encouraging community participation through one to one interactions and open communication

► Managing a large gathering



6.4 Possible integration with selected NeGP initiatives (CSC, SWAN, SDC, eDistrict) and Other State Initiatives

No. Name of NeGP initiative Recommendation

1 Citizen Service Centres

► The CSCs may be used as the village level front end for eGovernance and may act as the interface between citizens and government. The PRIs may opt for a government owned model due to the very slow progress of CSC penetration in the Uttar Pradesh Following things need to be done to use CSCs as a delivery channel (or any other channel such as private kiosks)

► Government should help in creating connectivity till the village level so that the potential of CSCs can be realized

► The government should invest in developing the software applications and panchayat portals

► Government should invest first in digitization and then computerization of the citizen databases esp. family register, birth, death and marriage registers

► The government needs to provide interface between CSCs and government departments for delivering customer services. For e.g. access to Bhulekh database to obtain a copy of land records

► The CSCs should be provided with user id and passwords so that they can access the government databases. This will help in tracking the progress and workload handled by them

► The CSC should function under the supervision of GPs and BPs so that workload can be co-ordinated

2 State Wide Area Network (SWAN)

► SWAN provides connectivity till the Block level enabling data and information transfer to district and state government Following things need to be done to utilize SWAN for ePRI

► The SWAN can be utilised to provide internet connectivity at the BP level government interfaces as well as for approval/ verification of various certificates



► Currently the SWAN infrastructure is not utilised by BP as they are not aware of its usage and hence the need to help BP level officials to utilise it

► It can be used to create VC infrastructure at the BP so that district, state and national level administration can reach them to communicate new initiatives and guidelines

3 e-District

► This initiative will help in bringing eGovernance to the district level Following things need to be done to utilise e-District

► The e-district initiative should be integrated with eGovernance initiatives at the Tehsil, Block and village level

► The various databases need to be developed to provide a seamless platform for citizen service delivery

► The e-district platform may be used as a district level comparative performance measurement platform for blocks and Tehsils on various parameters

4 State Data Centre

► The state data centre is a mission critical initiative for all eGovernance initiatives and need to be integrated with ePRI Following things need to be done to utilize SDC for ePRI

► Since the approval for SDC in Uttar Pradesh has just come through (Oct 2009), and the SDC will only be available towards the latter part of 2010 or early part of 2011, the interim period must be used to digitize and computerize all government and citizen databases maintained by various line departments

► The state data centre should be used as the prime repository of all databases as well as record of all daily transactions across all line departments

► This data centre should have interfaces with databases at village, block, tehsil and district and the SDC should be daily/weekly uploaded with all transactional data



6.5 E–enabled Scenario

BPR Framework

The elements highlighted with dashed red line - call centre and G2B interface are part of a future scenario and will be implemented only after the other components have been put in place. The call centre may be needed to update the citizens about the status of their service requests and provide other information. The business interface may be utilised by the PRIs and businesses for commercial purpose and require fresh review once ePRI becomes functional in UP.



6.5.1 Service Access & Delivery Channels and associated models

The framework provides for a combination of CSCs and government owned GP offices located at the Panchayat Ghars.

These will act as the front end for all kinds of citizen-government interaction. Citizens will be able to access all kinds of

services and scheme benefits using these delivery channels.

CSCs versus GP offices

The CSCs have not been able to expand as expected and some of this is due to very little government support to see this

initiative through. As such the CSCs only have hardware and manpower but these channels are yet to get connectivity and

content (software, databases etc.). The CSC model’s commercial viability is also in question and hence it is imperative that

this be taken on a public private partnership model or on a contract basis.

Since creating GP offices requires very high upfront and running costs, arrangement of a large number of technical

manpower, co-operation of the gram panchayat members who have little understanding of ICT infrastructure and creation of

Panchayat Ghars, it is suggested that CSCs should be used as the first wave of taking the government to the citizens. The

delivery channel will allow for testing of various software applications that need to be developed for the GP office. Also it will

allow the PRIs to understand the issues that need to be addressed in running a GP office.

The CSCs bring the experience of a professional organization behind them and hence they are expected to fare better than

the GP office model which will have to be created from the scratch. But it will lead to some loss of control from the

government bodies to private players. Also, the CSCs are based on profit motive and will be focusing on revenue generating

services and the citizens may get the short end of the bargain. Hence, some bit of government supervision and guidance is

important to ensure that citizens will be provided the services that they seek.



In case GP offices are set-up, the infrastructure can be utilised by the gram panchayat officials to plan, report and account

and communicate with other line departments as well as PRIs. In case of CSCs, the government functionaries will become

dependent on private players to carry out their routine work on the online format. Hence it is required to give a new thought to

the CSC model.

Parameters CSC GP office

Financial Investment

Investment will be borne by the private partner (Service Centre Agency or franchisees) appointed for managing and operating CSCs. Funds will be required for: Fixed investment include cost of computers, printers, scanning machines, furniture and furnishings Running costs will include salary for manpower, rent for centre, electricity, internet, security, maintenance of systems etc.

Investment would be borne by government including high upfront as well as operating costs. Appointment of a large number of technical manpower at the CSC levels Training of the gram panchayat members who have little understanding of ICT Funds will be required for building of new Panchayat Ghars and improve the existing Panchayat Ghars

Government support

The co-ordination between CSCs and government is very crucial in allowing CSCs to provide G2C services. This lack of co-ordination and support has proved stumbling block in successful implementation of CSCs in Uttar Pradesh. If CSC's are to be successfully run by the third parties than government should provide access to government data/ information so that CSCs can deliver the necessary services

In case of a government owned GP office, it is expected that the line departments will be more forthcoming in supporting and leveraging the infrastructure. In spite of a government enterprise it will require full support of line departments to utilise this platform to reach out to rural citizens.



Quality of service delivery

While it is difficult to generalize but it is expected that the quality of service will be relatively better at CSCs than GP office. The privately run CSCs will be run on the profit motive and it will be in their interest to efficiently run the centre to provide services to maximum people. The only issue will be in services which may not have any financial reward for the CSCs. Also, more remunerative services will be provided on priority and others may be relegated.

The general expectation from a government run centre will be in line with the current performance of various government offices. Also, lack of incentive will lead to poor service output.

Control of service

Government departments may be concerned about losing their control over the services delivered by them. As CSC's are run by private partner they may not be considered as authorizing body for birth/ death certificates, marriage certificate, etc.

GP office will act as the front office for service request as the process will be relatively same and authorization remains in the hands of officials as it was before. So disinterest among line departments will not be seen much.

Leakage of information

Key citizen databases may be misused for commercial purposes by the CSCs. This will require additional supervision of CSCs by the government to avoid loss of personal information collected by the CSCs.

The chances are relatively less as the setup will be managed by the government departments.

Charges for service

CSC's may charge citizens inappropriately for services deliver and which cannot be control by government.

Government will have control over the functioning of the GP office. The standard charges can be maintained by the government as per the situation.



Also high charge services may be preferred leaving the citizen on the mercy of the centre.

The government machinery is prone to misuse of position and may lead to corruption.

A hybrid model of CSCs and GP office may create the right kind of structure for improved functioning of GP office wherein:

4 The civil infrastructure can be provided by the PRIs

4 Hardware providers can be roped in to provide the front end IT infrastructure. The existing CSC hardware can be

utilised wherever it is possible to use it. Also, the CSC can be utilised to provide hardware at the new centres.

4 Connectivity can be leased from the private players in case BSNL is not available

4 Software applications can be developed through NIC in co-operation with line departments

4 CSCs can provide the technical manpower for daily operations, data uploading and maintenance services

4 Government can invest in the back-end of the ePRI system in an integrated manner with other NeGP initiatives.

This hybrid model can be put in place over a long term but in the short term the standalone CSC model can be adopted for

increasing the pace of implementation of ePRI. While the services may also be delivered through the CSCs, the core

functions of GP should be carried out of its own offices which will be developed over a period of time.

Type of services

The type of service may also define the kind of delivery channel suitable for the particular service. For e.g. the services which

provide only information to the citizen are more suitable to be delivered through GP office as there is very little commercial

value attached to this. But services involving transactions and which have some commercial value are more suitable for a

CSC model.

Also if the volume of service type demanded is very high then it can be commercialized even with very small margins. Hence,

from a government and citizens’ point of view it makes sense to offer a bundled list of services to the CSCs.



For some services such as tracking of various service requests it makes sense to go for a call centre and it will involve

computerization of government departments. It will be difficult to create any kind of interface between line departments and

CSCs/ GP office unless the departments are computerized.

Other Delivery Channels

Private Internet Kiosks:

These private internet kiosks may be utilised for status tracking of various services request by the citizens. In case the regular

mechanisms such as GP office or CSCs are not working due to any reason, the citizen can access the status of the service

requests from the internet kiosks. For this to be utilised by the citizens, the status tracking applications have to be web based

and easily available in the public domain.

Mobile:

Mobile penetration is increasing across rural India and hence this medium can be utilised for service and information delivery

to the citizens. It can be used for information notification purposes to the beneficiaries of various services and schemes. Also,

it can be used for proactive information sharing by government departments with citizens.

The benefits of this delivery channel include the easy availability of the mobile and a direct and personalized contact with the

end user. The mobile commerce applications that are beginning to make an entry into the urban markets may be extended to

the villages for easy fund transfer to the beneficiaries.

Call centre:

This service delivery mechanism can allow proper follow-up by the citizens and access information on various government

initiatives. Creating a state wide call centre taking care of citizen requirements is a costly proposition and hence had to be

assessed in detail. For the time being it is recommended that the call centre option be explored at a later date once we have

created the basic BPR framework that enables e-governance in the rural areas.



6.5.2 Software Application Modules recommended

The following software applications are suggested for the successful implementation ePRI framework.

S No. Application Requirement Description

1. Panchayat Portal

4 Development of a website for each Panchayat (GP, BP and DP) in UP 4 This website will be integrated with software applications and databases for planning ,

monitoring etc. and will act as a one stop service delivery point 4 Citizen databases(birth, death, marriage etc.) will be available through the portal to be

accessed and updated

Need assessment

4 To create a front end at all panchayats for service and information delivery as well as managing the routine works of the PRIs.

4 This will allow two way communication and data can be uploaded through the portal.

2.

Planning

(Planplus and unique code

for all projects undertaken

under various schemes)

4 This software would help in the preparation of district, block and gram plans (bottom-up) starting from grass root level

4 Convergence of the funds from different programmes / schemes to ensure effective utilization of funds

Need assessment

4 Planplus is used only for BRGF scheme in UP. For other schemes, mostly manual work

is done. Therefore, more than application development the emphasis should be on

awareness of and training related to usage of PlanPlus.

4 There is a need to upgrade the software to generate unique project codes against which

physical and financial progress can be tracked.

3. Budgeting

4 This software application is meant to capture the fund inflows, fund outflows and sources

of funds

4 The output of this software would be head-wise estimates of the budget of that level of Panchayat




Need assessment

4 Management of existing funds is a clear need and the PRIs require applications that will

provide them a view of the total funds to be received under various schemes.

4 The planning can be better if the application can let the PRIs know the data on past

funds received under various schemes

4. Accounting

4 This software would capture the details of receipts and expenditure by PRIs under various account heads

4 The software will automatically generate the cash book, various registers prescribed by central or state government and Utilization certificate for various schemes based on the expenditure incurred by the PRIs

Need Assessment

4 This is a clear need that has emerged from the study as PRIs require applications for

accounting at all the three tiers of PRIs

Also the planning, budgeting, and accounting software applications should be integrated to

provide a comprehensive view of panchayat functioning.

5. MIS reporting of schemes

4 The MIS reporting will be carried out on all the services that are provided by the various departments at the GP level

4 This reporting will be carried out in prescribed formats for better decision making

Need Assessment

4 Since the line departments are dependent on their village level functionaries and PRIs for the implementation and monitoring of schemes a need was felt to have a well defined mechanism to report on the performance of information, service and scheme delivery




6. Unique code to Panchayats

(Panchayat directory)

4 The unique codes to the panchayats will be used to create an online directory of all the panchayats in the state of UP

4 It will facilitate updating & maintaining the directory in case new panchayats are created 4 It will allow for easy tracking of fund received and utilised. Also physical progress of

various projects at the panchayats will be easy to monitor. This can also allow easy comparison of socio economic status of panchayats and government spending.

Need Assessment

4 During our assessment a need was felt to have a unique code for panchayats so that monitoring of governmental initiatives can be easily tracked. This will form part of the integrated planning, budgeting and accounting software.

7.

Unique code to Panchayat

Residents

(Unique citizen ID)

4 This code generation will be integrated with the UID program and all births and deaths registered will allow for accurate databases on panchayat demographics.

4 All the information be it health, education, employment, bank accounts, mobile nos. etc. related to one individual can be integrated to get a 360 degree view of people and households to devise schemes specifically meeting the needs of these people.

Need Assessment

4 This will enable the elimination of multiple benefits received by some individuals and will lead to reduction in leakages in the system. It was observed during the field visit that needy people do not get the benefits of various schemes.

8. Unique code to assets /

utilities

4 Assigning unique codes to assets/utilities that are created in the panchayats. This will allow easy tracking and monitoring of assets. An online directory will be maintained.

Need Assessment

4 During the field study it was observed that there are gaps in record-keeping of the asset




register at various panchayats.

9. Citizen centric services

4 Software application for birth, death, marriage registration and certification

4 Software application for registration in the family register

4 Software application for queries under RTI or grievance redressal service request.

4 Software application for applying to various services and scheme benefits from the

village itself that are provided at higher tiers of governance

Need assessment 4 To avail the various services the citizens have to travel to higher tiers of governance. It

makes sense to provide these services at GP. Also many a time the government

databases, citizen service requests etc. are in physical form, not allowing proper tracking.

10. Documentation for office

procedures

4 Work procedures for carrying out routine and scheme-service related work should be available on the panchayat portal

Need assessment 4 There is no documentation of the processes followed by the panchayats to carry out its

routine works. Hence it is imperative that the processed by documented and put on panchayat website for everyone benefit. Also, the activity mapping of the devolved functions is not available for the state of UP which should be uploaded on the website.

11. Digitization of existing lists /

registers to form databases

4 The current physical records will have to be digitized and computerised to create the databases

Need assessment 4 Most lists / registers maintained by the Panchayats are manual. Also, this data is not

regularly updated. The needs expressed by the state line departments’ show that PRIs, especially GPs would be the right channel for creating and managing this data. For this purpose, the existing data need to be digitized and converted into common databases



6.5.3 Common Databases recommended

The following databases are recommended for the ePRI project

GP database: This database will capture the profiles of the citizens of the village and following details should be maintained:

4 Database of the family register which captures the household details of the citizens

4 Unique identification number of citizens with names and other details such as

4 Date of birth, Place of birth

4 Account numbers

4 Mobile numbers (wherever available)

4 Land holding

4 Occupation

4 Caste, Sex etc

4 Death register

4 Marriage register

4 List of beneficiaries of schemes

4 BPL list status (included or not)

4 Details such as housing (pucca or kuchha), sanitation facilities, drinking water availability etc.

4 Education and health details

Control and maintaining the integrity of this database will be a key challenge. As benefits will start getting linked to this database the

tendency to misreport the facts will also increase. Hence any change in details such as date of birth, caste, account details etc.

should be properly verified and approved by government officials at higher tier. It is always beneficial to centralize the databases but

may be practically difficult due to no connectivity at GPs.



BP Database: This will have the details of all the GPs of the block in consolidated manner. This database will also have the details of

the progress of the various schemes and services. It will also have the verification and approval of various services carried out at the

block level.

The database at the BP level will have the following details:

4 Consolidated citizen databases of all the villages in the block (The details will be interlinked using the UID)

4 Scheme wise, village-wise yearly list of all beneficiaries under all schemes (The beneficiary details such as name, caste,

account no., mobile no., village, block etc should also be included in this database)

4 Database of schemes and service details currently being pursued in the block

4 Database of all government officials at Block and village level responsible for delivery of services and schemes

DP Database: The will have the details of all the rural citizens living in the district. The database will hold the list of all the licensed

contractors and the work carried out by them. It will also have data related to annual fee collection by DP. The plan, budget and

actual status of work will also be available through these databases.

The database at the DP level which will be used DP officials, District Administration and Line departments including PR include:

4 Consolidated citizen databases of all the blocks in a district (The details will be interlinked using the UID)

4 Details of beneficiaries under various schemes (The beneficiary details such as name, caste, account no., mobile no., village,

block, tehsil etc should also be included in this database)

4 Details of all the schemes, services and other government initiatives currently being pursued in the district

4 Database of all government officials across all the departments at the district level

Central database: To maintain the transactional data related to the planning, monitoring, implementation, budgeting and accounting

it is proposed to have a central database. The panchayat assets will also be managed from this centralized database as well.

This database will be a centralized database for the UP state to be utilised by the state government in planning of targeted socio-

economic schemes for the rural people. This will hence lead to better decision making based on actual ground level data.



6.5.4 Infrastructure recommended

6.5.4.1 Civil Infrastructure

4 At the GP level, the panchayat bhavans may be used as some 60% of the GPs in UP have these facilities. Wherever the

Panchayat Bhavan is not available, the GP office can be opened in a rented accommodation, village school or post-office etc.

as a short-term solution. Emphasis should be on constructing panchayat bhavans with electricity connections.

4 Water should also be made available at the office and it can be done in a cost effective way by utilizing the mud-pots

available in the villages. The water can be arranged everyday by the anganwadi assistant worker who already does the same

work for Anganwadi centres. The same worker can be engaged to clean the premises daily. Incase water connection is

available in the village a tap can be provided in the panchayat bhavan.

4 The GP office or CSCs will require atleast 2-3 workstations (table and chair) for Pradhan, Panchayat Secretary and Technical

manpower for data entry. Some wooden benches will be required for citizens waiting at the GP office.

4 At the Block and District, sufficient civil infrastructure already exists and construction of new buildings can be taken up on

need basis. The Block Informatics Officer or BIO can utilise the civil infrastructure of the Block office if the post of BIO is

sanctioned.



6.5.4.2 IT Infrastructure recommended

The following IT hardware is required for the implementation of ePRIs across the tiers. Also, the requirements of state data centre

and disaster recovery site are provided below:

Locations Short Term (1 to 3 Years) Long Term (3 to 5 Years) Type Item Type Item

GP/BP/ZP and PR dept offices User Computing

Requirements Desktops User

Computing Requirements

Desktops Printers Printers Scanners Scanners Fax Fax

Network Router Network Router Switches & Hubs Switches & Hubs Broadband Modem VSAT/Wireless Terminal/ Leased Line Modem LAN Cabling LAN Cabling

Server & Storage Mid Range Application Servers

Server & Storage

Entry Level Backup Servers (App & DB servers)

Mid Range Database Servers Security Firewall Security Firewall

Anti-Virus Anti-Virus Backup Server Backup Server

State Data Center Servers Application Servers (Mid

Range) Servers Application Servers (Enterprise Class)

Database Servers (Mid Range)

Database Servers (Enterprise Class)

Network Router Network Router L3 Switches L3 Switches Switches & Hubs Switches & Hubs

Storage SAN Storage Storage SAN Storage SAN Switches SAN Switches Tape Drives Tape Drives

Security Firewall Security Firewall



Locations Short Term (1 to 3 Years) Long Term (3 to 5 Years) Type Item Type Item

IDPS IDPS Anti-Virus Anti-Virus Back-up Server Back-up Server

Others Syslog Server Others Syslog Server

Mail Server Mail Server Softwares Softwares

UPS UPS State DR Site

Servers Application Servers (Mid Range)

Servers Application Servers (Enterprise Class)

Database Servers (Mid Range)

Database Servers (Enterprise Class)

Network Router Network Router L3 Switches L3 Switches Switches & Hubs Switches & Hubs

Storage SAN Storage Storage SAN Storage SAN Switches SAN Switches Tape Drives Tape Drives

Security Firewall Security Firewall IDPS IDPS Anti-Virus Anti-Virus

Others Syslog Server Others Mail Server Mail Server Softwares Softwares

Since some computing equipment is available at the DP and BP it will be imperative to plan for hardware according to the needs at

the various block and district panchayats.

In terms of phasing the deployment of ICT infrastructure it is suggested that we adopt a near term approach (1-3 years) followed by a

long term approach (3-5 years). Although the centralized architecture is desirable from costs and effectiveness point of view it will be



the long term target as there are difficulties in connecting the front ends at the GP level with the centralized database. Hence, due to

the ground level realities such as availability of connectivity and ICT infrastructure, hybrid architecture is suggested, wherein the

same applications and databases are hosted both at the local level as well as one tier above it.

This near term approach has also been adopted in many instances such as the registration of property transactions in the state. It is

another matter that the long term approach of a centralized database is yet to become a reality in case of property registrations.

The other difficulties in terms of using centralised databases is the fact that the existing NIC datacenter is constrained in hosting the

current applications and may require additional investment to ramp it up. So, it is a question between ramping up NIC datacenter and

building the state data centre. If the challenge of last mile connectivity is surmounted the centralised database should be the

preferred approach for ePRI.

Near term- Logical database and network components



Long term – Logical database and network components

This can be adopted in the short-term if the challenge of last mile connectivity can be overcome.

Network connectivity

It is proposed that SWAN be used as the primary source of connectivity till block and district level. At the last leg i.e. CSCs and GP

office, internet can be accessed from the private ISPs. Other options such as leased line, wireless and VSAT can be utilised to

connect the CSCs and GPs to the SWAN available at the block levels.

As an alternative to poor connectivity that exists at the moment and since it will be a while before the last mile connectivity can be

achieved, it is suggested that:

4 The applications should be available both in offline and online mode at the GP level



4 The data may be maintained at the GP level for applications during the day and each day/ twice a week it can be transferred

to the server at the Block level in the evening.

4 The frequency of data transfer can be decreased depending on the volume of service requests

4 As not all the applications that we have suggested will be developed at the same time, the newer ones can be uploaded at

the GP level through CD etc.

4 The service requests can be downloaded at Block and uploaded at the GP office. This is suggested only as a temporary

measure with a view to not letting connectivity get in the way of eGovernance.

6.6 Best Practices

6.6.1 Best Practices Adopted from other States

State Best Practice Rationale Customized for Uttar Pradesh

Maharashtra

ISO 9001:2000 Certification for District Panchayats

Under ISO certification, every department / section needs to document the following:

4 Organization structure

4 Responsibility and escalation matrix

4 Functions

4 Processes, process maps and process description

4 Templates / formats

4 Departmental targets

4 Improvements related to functions and the related delivery mechanism

ISO certification can be done in phased manner.

In phase I, district panchayats can be considered for ISO certification

In phase II, the certification can be extended to block panchayats

Yashwant Panchayat Raj Abhiyan

PRIs are evaluated on the basis of their functioning, work culture, level of service delivery to citizens, etc.

The best ranking panchayat is rewarded with prize money

This initiative is expected to enhance the transparency and accountability of the functioning of the PRIs across the states and thus improve the service delivery mechanism to the citizens

Gujarat

Gram Mitra: A cadre of 5 youths per Gram Panchayat is identified under this Scheme and is paid INR 10,000 per man month to assist in implementation of various government schemes at the village level.

Local people know the specific problems of the area and have good reach within the gram. It is a good way of creating employment opportunity and using the local resource for local development.

A cadre of 4-5 youth, at least with primary level of education, should be formed within the GP for the implementation and monitoring of various schemes, imparting of awareness among the villagers, etc.

E-Gram initiative is the most prestigious ICT initiative by the state government with the objective of developing village panchayat as the delivery point of citizen

With the help of information technology, the functioning of the gram panchayat has become much more organized, time-bound, simple, error-free and transparent

This has enabled the rural folks to

In the first phase, all the citizens databases and scheme related information and application formats should be digitized in a standard format and retained in soft copy format



State Best Practice Rationale Customized for Uttar Pradesh

services. avail various services and necessary information from a single window within the gram panchayat

In the second phase, all these schemes and non-scheme related information and application formats should be uploaded in the common panchayat portal at the GP office

Punjab

Retired PRI officials are engaged in imparting training on various schemes and related G2C services to the elected members at GP level

Since retired PRI officials know most of the functions and processes, it is good to utilize their experience

Services of retired PRI officials can be utilized for imparting trainings on various schemes to the officials at BP and GP level

These retired officials should be hired on contract and paid honorarium for their services, both at DP and BP level

Uttarakhand

Project detail, their budget, etc. is put on bulletin board and published at local news paper at all level of PRIs.

It’s a good practice with respect to transparency.

To communicate important details and awareness generation other modes of communication can be used such as radio, local newspaper, display boards, public announcement in a local gathering like gram sabha, etc.

West Bengal

Live interactive radio program for awareness generation on Panchayats

Mass media modes are good means of awareness creation

Self Evaluation of the Panchayats

The performance of all the Panchayats should be measured. One of the ways of evaluation is self evaluation.

All the PRIs (GP / MP / ZP) should self evaluate themselves and submit the report to the upper level of PRI. Top 10 GPs, top 5 MPs and top 1 ZP should be recognized as best PRI.

Kerala

Strong integration with SHGs leading to high degree of people involvement in planning process

Public participation in local area planning helps in putting forward the needs and aspiration of the local area and the citizens in a better way

In Uttar Pradesh, till date degree of public participation in the local area planning process is very low

Identification of planning issues for development of the area should be done in association with the local mass. This would make the planning process precise, transparent and people-friendly



6.7 Legal changes

Solutions that require changes in the legal framework have not been suggested. However, in principle it is

desirable to have a high degree of devolution of powers to the lower tiers of PRIs. In case of Uttar Pradesh

only 16 activities from 12 functions have been devolved to the PRIs and require the attention of the

government of the day to carry out a fresh assessment to increase the devolution status in the state.

The devolution of funds, functions and functionaries will only improve the importance of field level governance

mechanisms and build capacity of improved decision making overtime.

In certain cases it was observed that the functionary and the process of issuing some certificates (for e.g. birth

certificate) vary from one district to another. It is suggested that the government may well look into this aspect

to streamline the processes and adopt one standard across the entire state of UP.

Once the GP office or CSCs starts operating, the support of various line departments will be needed and

hence the district administration and government should fully back these initiatives.



7 Mapping Proposed Solution against Gaps and Needs Identified

7.1 Internal Functions

Function Gap Solution How the solution

addresses the gap Impact on objectives

Planning

• The approach for

preparation of

annual plan is still

top down and there

is very little bottom

up planning. The

process is manual

so it becomes

cumbersome to

consolidate plans at

all the levels

including plans from

GP, BP, DP and

Line departments.

• It is also difficult to

track the progress of

various projects

across the tiers

• Portal like plan plus

can be used for

preparing annual

plan and schemes

bottom up

• Training should be

provided to

concerned

authorities including

all the officials at

GP/ P/ DP and line

departments.

• ICT infrastructure

needs to be created

at GP level

• The planning

function will be

integrated with

budgeting and

accounting

• Usage of PlanPlus

will allow bottom-up

planning and infact it

can prevent top

down planning to a

great extent.

• The ICT

infrastructure and

training of GP will

allow for plans being

prepared and fed

into the system at

the GP level. This

will allow for online

tracking of work

progress

• Transparency in the

system – all the

plans will be

uploaded in the

portal and can be

tracked.

• This will also bring

about improved

service delivery as

the plans will be

created by the GP in

line with

expectations

• Coordination

between line

departments annual

plan and PRI’s

annual plan

• Use of plan plus as

the planning tool

and DPC as the

body to consolidate

and finalize the

district plan

• This portal is

expected to bring all

the district plan at

same level and

those accepted/

rejected by the DPC

can be put on the

system

• Improvement in

transparency and

accountability, and

improved decision

making

Monitoring • Field visits for • The field inspection • Making it mandatory • The initiative will



monitoring the

progress – District

officers are

responsible for

monitoring the

annual plan and

schemes proper

implementation and

functioning.

Progress report is

prepared by the

Panchayat secretary

and compiled by

BDO. Many errors in

filing reports were

observed. Also it is

difficult to track the

filed reports as well

as cheque and

verify when and by

whom these reports

have been

prepared.

reports can be

computerized in the

PlanPlus software

wherein it becomes

mandatory for

updation of verifying

authority to input the

report of physical

verification

to upload physical

progress report will

force the

government officials

to improve their

working. Also the

availability of this

data in public

domain and also the

fact that the name of

the verifying

authority will also be

published will allow

for improved service

delivery.

lead to transparency

in operations and

improved internal

processes.

Implementation

• Execution of annual

plan – It is one of

the critical internal

functions. Plans are

usually not

implemented due to

lack of expertise

and complete

understanding.

There is no activity

mapping done in

State of Uttar

Pradesh so officials

• Better planning and

monitoring in

PlanPlus

• All the allocated

posts at the DP and

BP levels should be

filled.

• Technical

manpower to feed in

data


• Training of GP/ BP

• The implementation

of various schemes

and services will be

improved with the

improved skill set of

manpower and ICT

infrastructure for

improved monitoring

and providing help

whenever and

wherever needed to

speed up

implementation.

• This will lead to

improved decision

making as the

availability of project

status information

can allow for early

intervention from

higher authorities



are not completely

aware about their

roles and

responsibilities.

staff

Funding

• Release of funds –

Every scheme has

different mode of

transfer of funds.

Some funds are

directly transferred

to beneficiary

account and some

through gram

pradhan/ panchayat

secretary.

• There is no

notification system

for intimating the

citizens that the

funds are

transferred in their

accounts due to

which citizen visits

bank several times

to check.

• The citizens are not

aware how much

and when and for

what purpose the

money is transferred

to GP accounts

• Information to GP

office/ CSC when

funds are

transferred to GP

accounts

• Develop a system

for notification to

citizens via SMS/

Voice mail/

automated call to

provide fund

transfer information

• Notification to GP

members of all the

fund transfers made

in the account of

Pradhan

• Notification to all

NREGA job card

holders when

money for NREGA

projects is received

in GP

• Online updation of

citizen contact

details

• The proposed

solution will allow for

better

implementation as

the needy people

can contact the GP

for work.

• The solution will

allow citizens to

avoid unnecessary

visits to banks.

• Improved service

delivery to citizens if

automated

notification of fund

transfers.

• It will also help in

bringing

transparency in

operations.

• Pressure from

villagers to take up

work under NREGA

and other schemes

will improve the

utilization of funds.

• It will also help

government officials

to avoid

unnecessary

harassment in case

money has not been

received by them

from the treasury

Accounting

• Validating and

making payments

and keeping records

of all transactions –

accounts are

• Record- keeping

and accounting

system should be

computerized which

allows for quick

• Computerization will

enable faster and

better record

keeping.

• Improved internal

process


will help in improved



handled manually

by documenting it in

the format manually

in the accounts

booklets.

• These booklets may

be lost or altered

and tracking records

becomes very

difficult in the same

• Also, many times it

was observed that

the expenses

incurred at GP level

are not accounted

for.

• GP level

functionaries not

capable of handling

accounting system.

collation and

analysis at all the

three levels.

• Trained manpower

for handling

computerized

accounting system.

• System for online

approval of

payments for quick

payment to

beneficiaries

• New approval only

on providing

expense details of

past money

received

• Process of cross

checking will be

simplified and made

faster leading to

easy tracking of who

is not uploading the

expense details.

• Chances of losing

records will be

eliminated

governance

standards

7.2 Service delivery

Components Gap Solution How the solution


Application collection and submission

• Presently

application forms

are available at the

district.

• Most of the citizens

usually do not use

application form

formats instead

write their

application on a

• The Application

Submission

Component

undertakes the

activities of a citizen

collecting the

printed copy or hard

copy format of the

application form

from the CSCs or

GP front office,

• The availability of

forms at the GP

level will reduce the

need to travel to the

district and Tehsil.

• This application

process will be

standardized.

• Citizens will be

made aware of the


delivery and

process

improvement

• Transparency



plain paper.

• People are unaware

of the details to be

filled in the

application forms

and documents to

be attached

filling up the

application form

(online or manual)

and providing the

supporting

documents (online

or otherwise) to the

CSC data operator

or the GP front

office staff.

• The forms should be

submitted in the

same place from

where these are

collected

information to be

filled in the

application forms

and other required

documents

• This will also help

officials to scrutinize

the application

properly and easily.

Proof of submission of application

• Presently there is no

tracking system for

applications

submitted as the

process is manual

and no

acknowledgement

receipt is provided

against the

application

submitted.

• Usually there are no

records maintained

towards application

submitted.

• The Application

Receipt Component

involves the CSC

data operator or GP

front office staff

uploading the

information provided

in the application

form submitted by

the citizen

• He also needs to

scan the supporting

documents and

upload them in the

system, integrating

them with the

digitized application

forms.

• Post digitization of

the service request

details in the

• Ease in tracking the

status of the

applications.

• Citizen can take

action accordingly if

the service request

is not being

addressed


delivery

• Transparency and

accountability



system, the CSC

data operator or GP

front office staff

provides the

applicants with a

system generated

acknowledgement

having unique

receipt no. The

same receipt no. is

used by the citizen

for status tracking

Notification about fund transfer

• Citizens are

unaware about the

funds transfer and

visit bank several

times to check on

the status of

transfer.

• System should be

developed in which

citizens receives a

notification on their

contact numbers

like SMS/ Voice

mail/ Automated call

soon after the

invoice is generated

towards the transfer

of funds.

• For citizens who

don’t have any

contact number they

shall be informed by

the Gram Pradhan

or Panchayat

secretary

• This will help in

assisting citizens by

reducing their visits

to bank.


accountability

• Improvement in

internal processes

Information dissemination

• It is one of the

critical issues as

most of the citizens

are unaware about

many schemes and

their procedures.

• There should be a

portal in which all

the information is

updated and the

system should be

available at GP

• Ease in information

dissemination.

• Citizens wouldn’t be

required to visit

district or tehsil for

the availing


accountability


delivery to citizens



Citizens are

unaware about the

annual plan and

budget allocated for

their respective

gram.

office through which

citizens can access

required

information.

• -Printout of

schemes can be

taken at GP office

and distributed on

demand to the

citizens

• -Training of

Pradhans for the

schemes and he

should disseminate

the information to

citizens

• -Details for eligibility

should be displayed

at GP office

information.

7.3 ICT Infrastructure



Connectivity

• It is a major issue in

taking the

eGovernance to the

GPs.

• Block and district

are connected

through SWAN and

BSNL broadband

connection but gram

has no connectivity.

• Even the

• Better connectivity

with technical

support should be

provided at all the

three levels.

• Connectivity should

be made available at

GP office as well as

to the CSCs

wherever they are

functional

• This will help in

better and faster

information flow

from GP office to

DP office.

• This will also allow

for online service


at GP level through

CSCs or GP offices

• The suggestion of

• This has a direct

bearing on the

service delivery

possibilities at the

GP level



connectivity which is

present at block is

not very good and it

faces technical

issues every now

and then.

• Connectivity is

important as it is a

key hurdle at the

moment in allowing

the CSCs to

function as service

delivery points

• As a stop-gap

arrangement if the

software

applications can be

developed and used

in offline mode at the

GPs, then the data

uploaded can be

transferred to the

system at the BP as

internet is available

at the BP

using it in offline

mode is workable till

the connectivity is

reached at the GP

level

Civil infrastructure

• The present civil

infrastructure is very

poor for PRI’s

especially at the

gram level.

• A very limited

number of villages

have Panchayat

Bhavans. Some are

being misused.

• Gram and block

level has no proper

seating

arrangements for

officials and no

proper allotment of

• It is suggested to

speed up the

progress of building

new panchayat

bhavans and then

using one room as

panchayat office.

• -In the interim room

will have to hired at

the village

• Once the civil

infrastructure is

available it will be

easier to establish

the ICT

infrastructure of

CSCs or GP office

at the grams.

• It will bring down the

cost of operations

as well as provide a

safe and secure

place leading to

improved service


Database to be developed

• Currently very little

to ‘no’ work/ details

are recorded in the

system

• All records are

manually

• Creation of the

citizen database

which will captures

information about

the citizen such as

a. Citizen

• This will assist

officials in

verification process

and for cross

verification. Any

information required

• Improved internal

process and

enhanced service

delivery



maintained Demographics

(Name, Age,

Address, Sex,

Caste)

b. Birth/Death Details

c. House/Land/Income

Details

d. Employment Details

e. Marriage Details

f. BPL Details

g. Details of Services

availed/ Certificates

received

h. The application

database captures

information about

the citizen such as

i. Applicants name

j. Details of the

service request

k. Supporting

documents

l. Application status

m. Associated

payment details

n. Associated

certificate template

(if any)

o. Associated funds

transferred to the

beneficiaries

account

for a citizen can be

pulled out of this

database and can

be used as a tool for

verification under

various schemes.

• The application

database will help

officials in keep the

database of the

applicants who have

applied for the

service.

• These databases

will be the standard

information sources

which will been

designed so as to

provide efficiency in

process execution

and service delivery



7.4 Capacity

Capacity assessment Gap Solution

How the solution addresses the gap

Impact on objectives

Organization Structure District Level

Scheme / project related

• There is no direct notification provided to the DP officials regarding the implementation and monitoring, and fund utilization of schemes, both at the BP and GP level

• Planning, implementation, budgeting, monitoring and reporting for a work, forms an important component for PRIs

• Thus there should be a project supervisor in DP office, who would be taking care of the planning, implementation and monitoring of the schemes / projects undertaken at BP and GP level

• Project supervisor would co-ordinate with the concerned line departments and lower tiers of PRIs for supervising planning, budgeting, implementation, monitoring and reporting activities

• Project supervisor could regularly guide and assist CDO and the AMA during the DPC and general body meetings related to the works / projects executed at the DP, BP and GP level which would in turn improve the decisions making process

Administrative

• Activities related to general accounting, managing employees pensions, provident funds, salaries, expenses related to establishments, accounting of scheme related funds, etc are currently managed by accounts section which creates unnecessary work pressure on the account division employees

• Creating new sections of pensions, payrolls and provident funds and general accounting and re-organizing the activities under different sections within DP office

• Reorganizing the activities under the corresponding sections would streamline the activities in the DP office and these would be easy to monitor and reconcile

• Streamlining the activities within and across the sections would ultimately help in improving the internal process of PRI functioning

• CDO, though being a representative of PRI at the district level,

• CDO should take part in the functioning of the

• Involvement of CDO in the functioning of the DP would help in

• This would improve the decision making



he rarely takes part in functioning of the DP office and he reports to the DM, instead of DP Chairman

PRIs at the district level and monitor the different projects executed at the district, block and gram level

re-allocation of internal as well as external responsibilities between CDO and AMA

process and the internal processing of the PRIs through proper segregation of duties among the government employees

Block level

Scheme / project related

• No support staff is available to the BDO for planning, implementation, monitoring and reporting activities related to various schemes

• Appointing an expert in the relevant field for various scheme related activities, especially for monitoring and reporting of the projects

• A project supervisor for coordinating the works executed under different schemes at the BP level

• He would also supervise a set of activities at the GP level and should be accountable to the BDO

• This would improve the decision making process and the internal processing of the PRIs through proper segregation of duties among the government employees

Administrative

• Activities related to general accounting, managing employees pensions, provident funds, salaries, expenses related to establishments, accounting of scheme related funds, etc are currently managed by accounts section which creates unnecessary work pressure on the account division employees

• Re-structuring the BP accounts division into three sections each handling:

a. Establishment expenses

b. Expenses related to manpower such as salaries, provident funds, pensions, etc

c. Tied funds received under various schemes

• Reorganizing the activities under the corresponding sections would streamline the activities in the BP office and these would be easy to monitor and reconcile

• Streamlining the activities within and across the sections would ultimately help in improving the internal process of PRI functioning

• There is lack of technical resources with IT skills at the BP office, due to

• Appointing a IT personnel on the payroll of block panchayat and he

• This would expedite the internal processing of the block office and

• Improved capabilities of PRIs to deliver better service to



which use of computers for MIS reporting at the block level become difficult and in most cases, the MIS exercises are carried at the district NIC office

should act as the technical support to the BDO

• Establishment of Block Informatics Centre headed by the Block Informatics Officer, to support the IT initiatives at the block and gram level

would provide technical support to the BDO in planning, budgeting, monitoring and reporting of various projects undertaken at the BP as well as GP level

citizens and meet goals set by the government

Gram level

Scheme / Project Related

• No support staff is available to the Panchayat Secretary for planning, implementation, monitoring and reporting activities related to various schemes

• Appointing an expert with basic knowledge in construction field for monitoring of various scheme, especially in case of NREGA, IAY and TSC to support the Panchayat Secretary

• Appointment of a Panchayat Mitra would minimize the work pressure on the Panchayat Secretary

• This would improve the decision making process and the internal processing of the PRIs through proper segregation of duties among the government employees

Administrative

• Lack of a GP front office staff to act as a contact point of the citizens and to provide IT support to the GP office

• Hiring a computer operator at the GP front office

• His responsibilities would include providing application forms for service request to the citizens, updating the service requests in the system, distributing prepared certificates to citizens, etc

• This would expedite the internal processing at the GP office and would reduce the work pressure of the pradhan and panchayat secretary

• Being technical, he would be providing technical support in the GP office functioning

• Improved capabilities of PRIs to deliver better service to citizens and meet goals set by the government

Manpower

Filling up the current vacancies

• Lack of resources at the critical positions of BDO, ADO and Panchayat Secretary which often

• Appointment of people at the key posts such as BDO, ADO and Panchayat Secretary and filling

• Filling up the critical vacancies would minimize the work pressure on the existing staffs and

• Improvement in internal processing

• Segregation of duties among the



increases the work burden on the existing manpower

up the critical vacancies

thus would improve the functioning at each level

staffs thus improving the service delivery mechanism to the citizens

Redefining the current structure

• Panchayat Secretary is responsible for cluster of villages for all its administrative as well as citizen specific functioning hence increasing the workload

• An assistant to Panchayat Secretary should essentially be appointed, who can take care of administrative activities of GPs

• An assistant to each Panchayat Secretary would take care of the administrative activities for the villages under the supervision of Panchayat Secretary and would decrease the current workload from him

• Improvement in internal processing

• Segregation of duties among the staffs thus improving the service delivery mechanism to the citizens

Additional posts

• Sector specialist for monitoring the scheme related works at district and block level to assist CDO / AMA and BDO at respective level

• Appointing a project supervisor

• A project supervisor or in-charge for scheme and non scheme related activities would assist the CDO and BDO for the concerned function

• With the support and guidance of project supervisor, monitoring the works becomes easy and improves internal process management

Skills

Skill improvement

• There is lack of support/ guidance while implementing new softwares such as PlanPlus or NREGA MIS, leading to ineffective implementation of the subjects learned during the training

• An online help menu for all the softwares should be uploaded in the panchayat portal and regular refresher course should be organized to assist the employees

• Refresher course, if organized, would help in addressing to the queries, which participants would have faced during the actual execution and implementation.

• Provide convenience to the employees in using various softwares and thus improve the internal processing at each level of PRIs

• Lack of interest to attend the trainings as these are not mandatory

• Trainings should be made mandatory and disciplinary action should be initiated if the trainings are not attended

• Disciplinary actions and linking the training attendance and performance evaluation for training. Further participatory exercises during the

• Capacity building exercise done for PRIs would essentially help them in improving their performance in tasks assigned and improving the



trainings would help in increasing the attendance and in holding the interest for the participants

PRI for its internal process management

• Comprehensive information for the trainings attended by an individual in different locations is not maintained. This leads to ineffective planning while designing the training calendar

• Information pertaining to the trainings attended by an individual employee in different centers such as SIRD / RIRD / DIRD etc should be consolidated and maintained

• Maintaining the list of trainings, compiled from different centers at individual level and linking it with the inter and intra office transfers, would help to assess the availability of trained personnel in a district / block / gram and would help in having a comprehensive list of available resources at each level

• Sometimes there is limited improvement in the work performance post a training is conducted and objective for conducting the training is not achieved.

• Post training sessions, performance evaluation should be done by the seniors for their subordinates to track their degree of improvement

• Would help to analyze the benefits from the trainings and if there is low improvement, a refresher course on the same could be conducted.



7.5 Legal



Devolutions of power

• The major gap in

the state of Uttar

Pradesh is the low

level of devolution

of power to the

PRIs.

• Of the 29 functions

that are suggested

to be devolved to

the PRIs only 16

activities under as

many functions

have been devolved

to the PRIs

• Since devolution of

power is an optional

guideline (under the

constitution) to the

states and it is the

government of the

day to decide on the

level of devolution

of power to the

PRIs, it is difficult to

base a solution

design on this

parameter

• We have addressed

the issues in such a

manner that it is

workable under the

current set of

government

guidelines for

issuing of various

certificates

• If devolution is

improved, it will lead

to strengthening of

PRIs at the ground

level and hence

they can improve

the service delivery

7.6 Integration with NeGP and Other Initiatives



Citizen Service Centres

• Very few CSC

centres have been

opened against the

target and the ones

that are opened are

not providing any

services.

• CSCs have no

coordination with

any government

department so has

no access to the

government

database in order to

• Efforts should be

made to provide

connectivity to the

CSCs.

• Connectivity is

important to provide

any kind of service

to the citizens even

if GP offices are

opened.

• The framework of

working of CSC

should be improved,

• Better usage of

CSC’s centers in

order to provide

faster service to

citizens.

• Less burden on the

government

department as

some of the

common services

can be provided by

the CSC’s centers

like birth certificate/

death certificate etc.


accountability in the

service delivery

mechanism

• Better tracking of

service requests



avail services to

citizens.

• Most of the centers

which are open

have connectivity

issues and no

proper infrastructure

is available.

if the third party

involvement is not

working than they

should cancel their

contacts and

government should

step in where CSCs

are not progressing

ahead.

• The linkage should

be generated

between CSC’s and

government

department for

database access so

that they can

provide services to

citizens.

• Interface with

government

departments will

help in approval of

various certificates

(esp. at Tehsil)

leading to better

service delivery

State Wide Area Network (SWAN)

• SWAN is provided

in all districts and it

is being increasing

made available to

all Tehsils and

blocks. The issue is

the limited utilization

of SWAN where it

has been installed.

SWAN faces many

technical issues

which take almost 2

weeks to resolve. At

district level it is

present at the NIC

office and all other

departments can

• The people at the

Block and Tehsil

level should be

made aware about

the applicability of

the SWAN network.

• Training of the

technical people at

the block level to

utilise the network

• Development of the

e-Block, e-Tehsil

modules so that

these can utilise the

connectivity

• Training of the

relevant people will

allow for the usage

of the SWAN

network

• The eGovernance

modules at the

Tehsil and Block

level will allow for

better utilisation of

internet



and better

processes



make use of the

connectivity from

NIC office.

provided through

SWAN.

Bhulekh

• All land records

have been

computerized

across the state but

the website needs

technical support.

This software is

present at Tehsil

hence people travel

to Tehsil to get a

copy of land records

• This database

should be made

available at GP

office with a trained

manpower so that

citizens don’t have

to travel to Tehsil to

access land

records.

• The database if

available online will

allow GP office and

CSCs to take a

printout of the same

for citizen

requirements



Lokvani

• The grievance

redressal platform

needs a serious

upgradation,

continuous

technical and

administration

support to deliver its

benefits. Presently

this software is

available at Tehsil

and run by third

party. But the hired

third party for its

operation is not well

equipped with

technical skills and

due to which many

technical errors

takes place and

system is down

most of the time

• The software should

be made available

at GP level with the

trained manpower

to operate the

software.

• At district level there

should be a

grievance redressal

cell that handles all

the grievances as

and when service

request is made

• A unique service

request number

should be provided

to citizen to track

the status of their

applications

• Creating awareness

among the various

• The public

grievance redressal

system will be more

user friendly and

robust enough to

track the service

requests.

• The line

departments will be

able to tackle the

issues better if they

are receptive to the

public issues

• Better grievance

redressal

mechanism leading

to improved service

delivery



due to poor

response.

• Also service cannot

be tracked on the

system.

line departments on

the importance of

public grievance

redressal

Koshvani

• The platform is fully

functional but it

needs to be made

more user friendly.

This is present at

district level. Even

the officials are not

completely aware

about the use of this

software.

• This platform should

be made available

at gram level so that

all the citizens can

have an access to

budget and actual

fund transfers made

to GP under various

heads.

• Also the actual

utilisation of funds

can be tracked

using Koshvani

once it is available

at the GP level

• Information will be

easily disseminated

at all the levels.

• Enhanced service

delivery and citizen

check on GP

activities

e-District

• The project is

available only at 6

districts with limited

success.

• Also, there seems

to be a little drill

down level of the

initiative at the

blocks and Tehsils.

• This is only a

information platform

at the moment and

it cannot be used to

put service request

in online form

• Although the project

is yet to reach the

whole of UP, it

should be taken to

all the districts of

UP.

• The portal needs to

be updated to

include more

services and make

it more user friendly

• Also, e-Governance

programs at BP,

Tehsil and GP level

are also required to

• Improved version of

e-District software

to allow service

requests by citizens

and wide availability

across districts will

lead to improved

citizen service

delivery

• eGovernance

software at Tehsil,

Block and GP level

will help in creation

of a seamless

technology enabled

• This will improve

service delivery to

citizens



be implemented to

create a

comprehensive and

integrated

functioning system

environment

State Data Centre

• The project is yet to

take off in Uttar

Pradesh and hence

there is no

centralized data

centre at the

moment

• The project is an

absolute must for

the ePRI to succeed

as the databases

will require

centralization as

well as a back-up.

• For the time being

data should be

maintained at the

place of generation

and one tier above.

• Data maintenance

at the point of

service request

generation and at

the point of

processing in the

interim.

• Once SDC is

operational it can be

utilised to centralize

the databases

• Internal process

improvement as

well as enhanced

service delivery



8 Key Assumptions for Proposed Solution

8.1 Key Assumptions / Prerequisites / Considerations

► It is assumed that ICT infrastructure will be created at the GP level including o Content (software applications, databases, scheme details, service details, online registers,

panchayat portal etc.) o Connectivity (Internet connectivity to be provided till GP office and CSCs o Hardware (Computers, arrangement for alternative power sources, printers, scanners etc.) o Trained Manpower (Trained people at the GP offices to run the computers) o Proper civil infrastructure

► Computerisation of various government departments and interfacing of these entities at the state,

district, tehsil and block level with the GPs

► The recording and computerisation of village level citizen databases including basic details such as unique citizen ID, Name, date of birth, sex, mobile number, bank account number, mother & father names, land holding, occupation, if in BPL list etc.

► Standardization of application forms and processes for various services and availability of application form on the system to take a printout

8.2 Dependencies

► The pro-activeness on the part of government officials at all levels to see this project through. Since it may be viewed as loss of turf by many government officials it is imperative that co-operation of senior leadership in these departments is sought to see this through

► Training of government and PRI officials to work in a computerised environment is a serious issue as without a seamless eGovernance environment it may not be possible to deliver services to the citizens

8.3 Risks and Mitigating factors

► Providing connectivity at the GP level at a speed which will allow effective working. Since poor connectivity and low speeds can disrupt the GP office work and reduce the citizens’ belief in its ability to deliver. Hence the connectivity may be provided through multiple routes initially.

► Unavailability of electricity is a key concern especially in Uttar Pradesh and power back-up is a must for the computers to be operated during office hours.



► Safety and security of GP office (manpower, documents and ICT infrastructure) is also a key concern in Uttar Pradesh as difficulties have been faced by the CSC operating in the rural areas.

► It was observed during the field study that in many of the government initiatives more emphasis is given on the one time capital expenditure to create service delivery assets but very little consideration is provided to running costs and availability of suitable manpower to utilise the assets.

► ICT infrastructure may be misused for purposes beyond the official ones or it may not be maintained properly. Hence, there should be proper supervision of the infrastructure at the GPs. In this regard, a block level NIC centre may be opened and a Block Informatics Officer may be appointed as the overall in-charge of maintain the ICT infrastructure at BP and GP level.



9 Summary of Recommendations

The ePRI project is a once in a lifetime, urgently needed and very high on impact in terms of improving the

quality of governance in rural Uttar Pradesh. The ePRI is revolutionary in thought as one of its objectives is to

take the government right at the doorstep of every rural citizen providing a front end and proactive solution to

the government. At the moment, the governance standard are very poor esp. at the last leg of PRIs due to two

key reasons –one, the attitude of many in government machinery being attracted more towards power and less

towards serving the citizens; second, the lack of right platform which will enable and empower government

employees/ PRI officials to plan, process and track citizen requirements better. In this regard the eGovernance

project is a step change in its direction and will truly bring the government alive at the villages in the state.

Functions, (Refer Section 6.1 and 7.1)

In terms of the functions, the key recommendation is to utilise the existing planplus software to use it as a

planning and monitoring tool for ePRIs. The software will have to be customised so that it generates a unique

project code for each of the project planned in the Planplus software. Also, integration of planning, budgeting

and accounting modules will provide easy trail of the progress of work and fund utilisation.

Service Delivery, (Refer Section 6.5.1 and 7.2)

The key recommendation is to take a modular approach to service delivery with the objective of

standardization and simplification of service delivery. The common component approach as suggested in the

BPR framework is vital to achieve this objective. The common components include the following:

4 Application submission component

4 Application receipt component

4 Payment receipt component

4 Application processing component

4 Service delivery component

4 Information notification component

4 Status tracking component

This standardised approach will also allow easy development of new services that may be provided to the

citizens utilizing the common component approach to software development and process management.

Also, it is suggested that the registration and certification be separated in terms of service delivery. It should be

the endeavor of the government officials to proactively register all births, deaths, marriages etc., while the

citizen should make an effort whenever he needs the certificates.



Software applications (Refer Section 6.5.2)

The suggestion as part of the BPR solution is to develop software applications to provide front end and back

end to service delivery and key applications could include the development of Panchayat portal for each GP,

BP and DP. The key software applications suggested include:

4 Panchayat portal

4 Planning, monitoring software

4 Budgeting software

4 Accounting software

4 Grievance Redressal Software

4 Software application for RTI queries

4 Information platform for scheme and service details

4 Application form application

4 MIS software

Common databases (Refer Section 6.5.3)

The development of citizen databases is vital to service delivery as it help in the providing benefits to the

targeted segments of population. The databases such as birth details, death, marriage details, caste, mobile

numbers, bank account details etc. are vital to improve the service delivery to the citizens. Also critical is to

have unique IDs for each of the three tiers of PRIs as well as citizens so that misuse and duplication can be

avoided. Some of the databases that have been suggested include the following:

ICT infrastructure (Refer Section 6.5.4.1 and 7.3)

Along with the connectivity, software and manpower, it is one of the vital building blocks for introducing

eGovernance to the PRIs. The key elements of the ICT infrastructure include

4 The physical hardware such as computers, printers, scanners, fax machines, telephones and digital

camera should be provided in the GP office to create the right platform to deliver the services

4 Connectivity of this equipment, application and databases to the block, tehsil, district, state and national

level ICT infrastructure

4 Use of call centers to address citizen queries on service requests. This will help in providing an easy

and reliable way to proactively manage citizen requirements. But this is a long term and costly solution.

4 Use of IVR and mobile technology as a means of creating awareness among the rural citizens as well

as disseminating relevant and important information to the citizens with respect to scheme and service

delivery.



Capacity Building (Refer Section 6.5.4.2 and 7.4)

The key issue in the capacity of the PRIs to deliver on citizen expectations is the sheer lack of manpower even

at critical posts such as Panchayat Secretary and BDOs. The manpower that is available lacks the attitude and

skills to imbibe an eGovernance culture. It is recommended that training programs with right set of incentives

be introduced to improve the attitude and skills of the government officials. Also, a Block Informatics Centre on

the lines of District Informatics Centre may be opened at each of the blocks and a Block Informatics Officer be

appointed at the Block level. This centre will act as the custodian of all eGovernance initiatives at the GP and

BP levels. It will also act as the support system for smooth functioning of IT systems.

Integration of NeGP initiatives (Refer Section 6.4 and 7.6)

Uttar Pradesh in comparison with other states is few steps behind in adopting the eGovernance initiatives be it

CSC, SWAN, e-District or SDC. Although considerable work has been done in terms of computerisation of land

records and creation of Bhulekh database, other initiatives such as Lokvani needs a fresh dose of energy to

revitalize and customize it to citizen needs to act as a grievance redressal mechanism. The Koshvani which

provides the details of the fund utilisation by various department need to be customised to deliver a user

friendly front-end. The CSCs have not been able to deliver on their promise both due to lack of support from

the government as well as lack of initiative from the appointed service delivery agencies. Connectivity should

be provided to the CSCs to act as the first phase of reaching to the villages. It is also imperative that

government departments working be computerised so that it is possible to enable the interface between

government departments and CSCs. In terms of the SWAN initiative, it is suggested that it be used for day to

day communication between various government departments.

9.1 Key improvement areas (Beyond ePRI)

As has been highlighted in the information and service needs assessment report for the state of Uttar Pradesh,

the devolution of power is yet to reach satisfactory levels. Most of the planning and decision making is still top-

down leading to weakening of the Panchayati Raj Institutions. The proposal to open GP offices which are fully

enabled to act as the front end offices will provide an opportunity to strengthen the GP.

The activity mapping exercise should be carried out to detail the devolution of power that has been provided for

16 activities. The exercise should clearly prepare a flowchart and process narration of each activity detailing

who will do what (process step responsibilities), how the funds will be transferred and under whose guidance

the functionaries will work. This detailing will only lead to better clarity will only pave the way for actual ground

level devolution of power.



Uttar Pradesh is one of the least industrial developed states in the country leaving the vast population

dependent on government programs. The average land holding in the state has gone down considerably with

significant population growth in the state. This lack of development and ensuing poverty is straining the

government machinery to meet the expectations of the people.

9.2 Benefits from Proposed Solution

All the key stakeholders will be benefitted from the proposed solution including:

Benefits to the Citizens

4 The most important benefit to the citizens will be the ability to access the services and schemes right at

his door step reduce the need for him to travel to the block, tehsil or district.

4 The citizens will be able to track the status of his service request from the GP office

4 The citizens will be able to access the grievance redressal mechanism from the GP office

4 The citizens will be able to access all kinds of information including funds received in his account under

various schemes

4 The citizens will benefit from improved service delivery, improvement in internal processes,

transparency and accountability of the government

Benefits to the PRIs

4 The PRIs will be able to do justice to their objectives of providing services to the citizen

4 The PRIs will be able to plan their work better as it can be based on real needs of the rural citizens

4 The PRIs will be able to execute its work more efficiently as the solution provides for trained and

technical manpower and automation of the process 4 The PRIs will be able to provide regular feedback to higher authorities by periodic reporting

Benefits to the line departments

4 The government department will immensely benefit from this interface with the PRIs and citizens as

they will be able to access citizen databases. It will help them to plan, execute and monitor their work

better. The decisions will be based on right ground level real data and needs of the citizens

4 The automated processes will help in streamlining the work carried out by the line departments leading

to less workload on the government officials.

4 The record keeping of the line departments will be revolutionized as the physical record keeping will be

reduced.



4 The line departments will be able to manage and respond to citizen queries and service requests better

if the processes and databases are automated.

9.3 Way Forward to DPR

The study team for the state of Uttar Pradesh initiated the project by understanding the information and service

needs of various stakeholders including:

4 The PR department at state and district level

4 The line departments at state and district level

4 The PRIs at the district, block and gram panchayat level

4 The needs of the rural citizens

Based on the field study we prepared the ISNA report (the information and service needs assessment) to

outline the expectations of various stakeholders and present our assessment of the PR governance in the state

of Uttar Pradesh. The key output of this study was the identification of 15 existing and 7 new services that were

taken up for process reengineering with the view to e-enable the service delivery mechanism.

The study team also carried out discussions with various functionaries and citizen groups to understand the

current methods of service delivery as well as to understand the citizen satisfaction levels with the present

delivery mechanisms. Based on this study we prepared the as-is process maps and process narrations of the

way the identified services are currently delivered to the citizens. Having understood the service and

information required and current mechanism of service delivery, the team focused on developing a BPR

framework for the state of UP so that the service delivery to citizens can be transformed. The BPR framework

was developed keeping in mind the ground level realities in mind.

The framework included key elements such as delivery channels, delivery components, software applications,

hardware, databases, line department interfaces etc.

Based on this framework, the identified services were re-engineered in a way to shift the delivery from a

manual platform to a computerised eGovernance platform.

The result of this effort is the BPR report for the state of Uttar Pradesh to introduce eGovernance via the ePRI

project. The next stage is the preparation of the Detailed Project Report which will outline the implementation

plan.

The key elements for the Detailed Project Report (DPR) which will be prepared and submitted post the

acceptance of BPR report include



4 Developing an implementation plan for the project: The implementation plan will have details of various

activities that will need to be carried out to implement ePRI in Uttar Pradesh.

4 Phasing of the implementation program is required for step by step milestone oriented execution plan

4 The estimation of the fund requirements at each stage of the implementation plan including funds for

software development, connectivity provisions, hardware and manpower costs. Both the capital

expenditure and running costs will be estimated

4 The responsibility, accountability and control matrix to provide a detailed chart of people who will carry

out the various activities

4 The proposed model for implementing the ePRI project in terms government owned Vs. PPP

The BPR report will be presented to the state PR department for its inputs and in principle approval post which

the DPR report will be prepared