Chapter-5
Convergence
5.1 Introduction
A multi-pronged developmental strategy has been adopted by
the Government of India to promote economic growth with social
equity by addressing the needs of the marginalised groups in the
country. Different Ministries of the Government of India have a
number of programmes for creating employment opportunities,
social security measures, providing basic minimum services,
building infrastructure and managing land and water resources for
sustainable development and thereby alleviating poverty. This
strategy is facilitating the village economy to emerge from
subsistence to self-sustenance.
With sector-wise thrusts in development, the respective line
Ministries/departments are issuing guidelines for preparation of
sector development plans such as District Health Plan, District
Education Plan, District Water and Sanitation Plan, District
Agriculture Development Plan, District Rural Road Development
Plan, etc. Increasing incidence of the preparation of such plans is
coming in the way of preparing horizontal integrated plans.
In order to use resources efficiently and involve the local
governments actively, i.e., to apply the principle of subsidiarity in
practice, co-existence of horizontal coordination and vertical
consolidation are instrumental, where local governments and other
planning entities work together and plan development together.
With sector-wise thrusts in development, the respective line
Ministries/departments are issuing guidelines for preparation of
sector development plans such as District Health Plan, District
Education Plan, District Water and Sanitation Plan, District
Agriculture Development Plan, District Rural Road Development
Plan, etc., increasing incidence of the preparation of such plans is
coming in the way of preparing horizontal integrated plans. They
are implementing various rural development programmes through
a set of guidelines and by separate set of administrative and
institutional mechanisms. In order to facilitate the horizontal
planning process at various local governments’ level, the tendency
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to build scheme-specific guidelines needs to be modified to bring
uniformity in planning, sanctioning, release of funds,
implementation and monitoring and evaluation of the programmes.
Interestingly, all the guidelines stipulate inter programme
coordination and convergence. Broad procedures and processes are
similar in many ways in these programmes. But the approval
system and implementing agencies are different. In this context,
the Ministry of Rural Development has taken a major initiative to
converge its various programmes with programmes implemented
within the Ministry and other Ministries like agriculture,
environment and forest, etc.
The objectives of convergence are not dissimilar to that of
BRGF. Convergence at the grassroots implies integrated grassroots
planning and implementation.
5.2 Background
The Committee during its deliberations in its second meeting
held on 31.10.2009, constituted a Sub-Committee to study the
approval systems for flagship programmes and to
• Identify the major flagship programmes for local area
development and document their outlay.
• Study the institutional arrangement for approval in detail
including–who prepares the plan; who approves; who
sanctions; and who implements;
• Study the opportunities for convergence and suggest
measures
This chapter on convergence is based on the Report of the SubCommittee. The text of the Report of the Sub-Committee is in
Annexure - 10.
In addition, the NIRD has also studied convergence in 123
selected districts of the country and the Report of the same is also
available; the findings of the Report are also being relied upon for
drafting of this part of the Report; overview of the report is placed at
Annexure – 15.
Besides, the MoRD had also appointed a Sub-Group for
preparation of recommendations as to how to carry out convergence
within the programme structure of the MoRD; the recommendations of
the Sub-Group are at Annexure- 15.
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5.3 Why Convergence?
The Central and State Governments are spending large amounts
for the development of rural areas and improving the living conditions
of the people. Several programmes have been launched to achieve
these objectives. Many of the programmes planned and executed by
different ministries/departments/agencies have almost similar
objectives and targeting the same groups/areas. This plethora of
efforts has been resulting in wastage of resources and failure to
achieve synergies. Evaluation studies have been critical of the
leakages, inefficiencies and ineffectiveness of the programme designs
and implementation of the rural development programmes. Lack of
transparency, use of obsolete technologies, lack of coordination among
agencies, non-participation of the target groups in planning and
execution, lack of qualified personnel in adequate numbers and topdown approaches have been identified as some of the major
determinants of the sub-optimal use of the scarce resources. The
continuance or slow progress in the removal of poverty,
unemployment, food insecurity and environmental degradation are the
outcomes of non-convergent and non-participatory planning
processes. Other areas of concern are adoption of less productive
technologies and limited institutional capacities. Development
planning process should be sensitive to these challenges. Convergence
is particularly important in backward districts and is, then, an
essential part of BRGF.
It is to be noted that, in the past, attempts have been made by
some departments, officials and institutions to overcome some of the
above mentioned constraints. However, these efforts are isolated and
sporadic and organised attempts are needed to institutionalise the
same. Such initiatives have paved way for the emergence of
‘convergence planning’ concept and this planning process aims at
achieving maximum and sustainable benefits (outcomes) to
community and the poor from various development programmes. This
is possible by pooling human, capital and technical resources in an
organised and participatory manner for convergent action by all the
stakeholders.
5.4 How Convergence
Convergence planning can achieve multiple goals such as
maximization of returns from the investment, promotion of public
private-community partnerships, sustainable development, meeting
the unmet needs of the community and emergence of good
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governance. The instruments include pooling of resources, both
human and capital, transfer of productive and eco-friendly
technologies and value addition through provision of backward and
forward linkages. The ‘how’ part is described below.
(a)
Goal Congruence among the stakeholders
The achievement of objectives without compromising on
essential conditionalities of the converging programmes will form
the bottom line of partnership(s). The discussions would facilitate
realisation among the stakeholders that convergence approach
would help everyone to realise the common goal of poverty
reduction and creation of quality and durable assets.
(b)
Local needs, problems and other issues
Bottom Up approach has been the hallmark of decentralisation.
People’s participation in planning and implementation of
development programmes would provide more space to the socially
and economically disadvantaged in the decision making and
assigning priorities. The participatory planning process is expected
to identify the local needs and problems and the convergence
planning and implementation will ensure that the goals are
fulfilled.
(c)
Identifying
potential
areas/activities/schemes
for
convergence
The existing perspective/annual plans of various schemes in the
selected area will be studied and discussed in the district/block
level consultations to address the identified needs.
(d)
Technical Know-how and administrative guidance
Top Down approach in dissemination of technical knowledge is
usually followed in practice, but the characteristics of the
technology should address the concerns of the functionaries as
well as the community.
Since technical upgradation or introduction of appropriate
technologies is envisaged as an integral part of the convergence
planning, the characteristics and consequences including risks, if
any have to be shared with all the partners. The convergence
process is an opportunity to the technical institutes to reorient
their R&D activities so as to make them relevant to field problems.
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(e)
Activity
Time chart (Gantt Chart)1 for programmes/schemes
converging and re-alignment: knowledge of the activities
which will be taken up during the project time-frame under
the programmes considered for convergence is a pre-requisite
for all partner agencies. The Gnatt charts can be super
imposed with special reference to the activities identified for
convergence and also those which need advanced technical
input(s). The discussions on the timing, duration, fund and
manpower requirements to execute the tasks and processes
to be adopted and also the (specific) functionaries to be
associated will help in working out the action plan.
(f)
Role clarity among stakeholders
The above exercise has twin advantages of bringing
greater role clarity among the functionaries and also
appreciation of the relevance of others’ role. Such
participatory processes will enhance respect for others while
ensuring better coordination among the departments. This
also provides an opportunity to resolve the problems /
irritants among the stakeholders.
(g)
Funds flow consistent with activity – time-frame
Since timely flow of adequate funds has been identified as
one of the constraints in execution of projects without time
and cost overruns, there is need to have some convergence
fund at the district level to advance money in case of delays
in release of funds. The quantum of this fund needs to be
assessed by the district resource group and the Centre and
State Governments need to support this. To began with, if
some flexibility (say 5 to 10%) is allowed for convergence and
innovations, the problem can be solved to some extent.
(h)
Consultations with the stakeholders at various levels
The district level proceedings will be shared with the
stakeholders of the (pilot) block in the consultative workshop
to be held at the block level. If there are specific comments /
suggestions, these will be sent to the district resource group
chaired by the district collector for consideration. The
exercise has to be repeated at GP /Village level. This
Gantt chart is a graph presentation displaying the schedule of activities to a
comparative assessment of the schedule and actual performance.
1
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iterative process will streamline the preparation of action
plan for convergence.
(i) New Activity Mapping as per convergence plan – Gnatt
chart
The consultative workshops should enable the related
agencies /departments to prepare the (new) activity mapping
and time frame for collective action as per the outcomes /
suggestions emerged in the workshop. This convergence plan
should be prepared at the unit of planning which should be
the reference point for all the stakeholders associated with
implementation of the programmes / schemes.
(j)
Capacity Building
Since the new working arrangements under convergence
demand a new work culture and also different roles for
various stakeholders at different levels, the capabilities of
these functionaries and also community have to be built so
that the action plan will be effectively and efficiently
implemented. As far as imparting of knowledge inputs
including technology is concerned, the functionaries need to
be educated on the benefits, costs and risks associated with
the new technologies vis-à-vis the technologies in vogue;
while the elected members and community need to be
informed in a jargon-free manner.
5.5 Major flagship programmes for local area development
Approximately, there are 133 Centrally Sponsored Schemes
(CSSs) being implemented by different Ministries of the Central
Government. The following flagship programmes receive high
priority in allocation of funds among CSSs with the purpose to
attain national goals and objectives. More than 70% of funds under
CSSs are allocated to these flagship programmes. All these
Flagship Programmes are under the ambit of Panchayati Raj
Institutions as per the 73rd Constitutional Amendment.
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Table-5.5.1 Major flagship programmes under CSSs
S.N.
Name
of
Programme
1.
MGNREGA
2.
Flagship
All India
2008-09
(Rs. in crores)
2009-10
2010-11
29940
39100
40100
SGSY
2020
2350
2984
3.
IAY
5646
8800
10000
4.
SSA
13100
13100
15000
5.
6.
7.
MDM
Drinking Water
Rural Sanitation
8000
7500
1200
8000
8000
1200
9440
9000
1580
7.
RKVY
3166
6700
……….
8.
NRHM
9192
12070
15440
9.
BRGF
4670
4670
5050
10
11.
12
PMGSY
ICDS (General +S.N)
PURA
12000
6300
12000
6705
-
1200
……….
111.20
1,02,734
1,19,195
109905.20
-
Total
Source: http://indiabudget.nic.in/ub2010-11/bag/bag5.htm
5.6 BRGF-MGNREGA Convergence
The Committee takes note of the guidelines on convergence of
MGNREGA issued by the Government of India. Schedule I Rule 1
provides that MGNREGA works can be undertaken in respect of
nine items of work, out of which six items are related to
development of water resources, irrigation, flood protection and
drought proofing. This makes MGNREGA, a natural programme for
convergence with the agriculture led programmes.
MGNREGA has a budget of Rs.40, 100 crore for the year 201011. Expenditure of the budgeted amount makes it obligatory on part
of the Programme Managers that the projects undertaken converge
with other programmes. The Committee feels that MGNREGA will be
able to achieve its programme objectives only where it is able to
converge with other programmes.
BRGF is a programme designed to ensure convergence. This
programme is not a stand-alone one. It is capable of convergence
with any other programme in rural development. The BRGF also
provides a more expansive and broader framework for convergence.
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Hence, BRGF provides the platform for convergence for not only
MGNREGA, but for a host of other programmes from other
Ministries.
A question is raised about the stage at which convergence is to
take place. The Committee is strongly of the opinion that the
exercise of convergence begins with the process of grassroots
planning and at the grassroots.
The main instrument of convergence has been provided by the
Report of the Committee on Planning at Grassroots by Shri V.
Ramachandran. This Report provides that planning should start
with self assessment of needs. Provisioning of Funds follows the
assessment of needs and preparation of plans. If, we were to take
convergence of MGNREGA, we find that it has great affinity with
the programmes under Water Resources Department. The objective
of MGNREGA is to enhance livelihood security in rural areas by
providing at least 100 days of guaranteed wage employment in a
financial year to every household whose adult members volunteer
to do unskilled manual work, creation of durable assets and
strengthening the livelihood resource base of the rural poor. The
Integrated Watershed Development Project in rain-fed areas is a
well-funded programme and has the objective of developing
watersheds in unirrigated areas and particularly relevant for
backward districts. The objective of Command Area Development
and Water Management (CAD & WM) is efficient utilisation of
created irrigation potential. The objective of Repair, Renovation and
Restoration of Water Bodies is to restore and augment storage
capacities of water bodies and also to recover and extend their lost
irrigation potential. The objective of Dug Well Recharge Skill is to
recharge groundwater. The objective of Groundwater Management
and Regulation Scheme is to demonstrate the efficacy of artificial
recharge and rainwater harvesting techniques. The objective of
Flood Control and River Management Works is to take up flood
management works in an integrated manner. The objective of
Accelerated Irrigation Benefits Programme is to promote major,
medium and minor irrigation projects, extension, renovation and
modernisation of major and medium irrigation projects. The
objective of Farmer’s Participation Action Research Programme is
for field demonstration of technologies developed by the Institutes
which will enhance yield and income per drop of water. Since,
BRGF is not a scheme like any other Centrally Sponsored or
Central Sector Scheme, it has the flexibility to assimilate all the
above schemes into a planning structure.
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However, the knowledge of the programmes at the grassroots is
limited. In a recently concluded meeting of women Sarpanches
organised by PRIA, the participants were not able to identify more
than five schemes being implemented in their Panchayats. Even
within the identified schemes, they were not able to identify the
programme content. Planning begins with knowledge. Hence,
dissemination of knowledge is a part of the convergence process.
5.7
Setting Goals for Convergence
At present, the convergence exercise is confined to issuing of
guidelines. No goals have been set in terms of physical and
financial achievements and hence, in such a situation convergence
guidelines do not impact at the ground level.
The NIRD studies on convergence reveal that although
convergence has not taken place at the national or the State levels,
there is evidence at the grassroots level where it has materialised;
they are aware either of the coercive arms of the State or of the
development functions represented by the person of the BDO; they
are not aware of the departmental fragmentation at the State or the
national levels; this allows for easier convergence at the grassroots.
5.8
The KERALA experience in Convergence
In Kerala, Palakkad, Mallapuram & Trivendrum districts were
selected to take up convergence pilots with MoWR. Mallapuram is
also identified for ICAR convergence. Wayanad has to take up pilot
projects in collaboration with MoE&F.
The process of convergence had taken off in Kerala well before
the Central level guidelines were issued. State level convergence
meetings were conducted with the Heads of Departments,
discussed the possibilities, and need for convergence of Water
Resource Schemes, Forest works, and Agriculture schemes with
MGNREGS. The State Government has issued the framework for
convergence of Water Resources Projects, Forest works and
Agriculture Development Projects with MGNREGS in the form of
guidelines. The guidelines clearly spell out the roles and
responsibilities of various functionaries of MGNREGS and other
Departments.
Coordination meetings were organised by the District
Programme Coordinators at District, Block and Village level
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between Local Self-Government, Water Resource Department,
Agriculture Department and MGNREGS functionaries to take up
the works under MGNREGS.
The process of planning, implementation and monitoring is
quite decentralised in Kerala. Identification of works is generally
done by the local committees along with ward members and
officials of concerned department and placed before the Gram
Sabha (GS) for approval. Once the GS and GP approved the works,
estimations were prepared either by Asst. Engineer/Overseer of GP
or by the department concerned. Implementation of works related
to other departments is done by the Area Development Societies /
VSS / Farmer unions (Community Based Organisations). These
Community Based Organisations are only responsible for
maintenance of Muster Rolls, site diary, and other documents.
After completion of work, the technical persons from concerned
department take the measurements and prepare the payment
vouchers. After scrutiny of muster rolls and measurements, the
GP make the payments through the SB accounts of workers. All
officials were given the responsibility of monitoring of works during
implementation. The State Government has fixed the responsibility
on various state level officers to monitor MGNREGS works in
different districts.
To make the process of planning, implementation and
monitoring more effective, Kerala government has gone for
formation of the District Level Technical Committee (DLTC). It has
been formed at district level for monitoring of water resource
schemes taken up under MGNREGS and to provide training at the
district level. The State government has nominated the
Chairperson of Technical Committee and four experts for each
district. The convener for the group is Joint Coordinator of Poverty
Alleviation Units and this office is the Secretariat for district level
Technical Committee. The members of District Technical
Committee are Principal Agricultural Officer, District Planning
Officer, Executive Engineer (Minor Irrigation), Executive Engineer
(Kerala Water Authority) etc.
Similarly, at Block level, Block Level Technical Advisory Group
(BLTAG) has been formed to give technical assistance at the block
level. Overseer (soil conservation), Block Panchayat Assistant
Executive Engineer and other experts are the members of the
committee.
86
In the same way, at the Gram Panchayat level, there is a
Technical Advisory Group: In each Gram Panchayat, an advisory
group with 10-16 members has been formed. The Chairman of the
group is Gram Panchayat President and the convener is Krishi
Officer. Village Extension Officer, Asst. Engineer/Overseer of Gram
Panchayat, MGNREGS Asst. Engineer / Overseer etc., are the other
members.
The system in Kerala regarding agricultural, forest and
irrigation works is shown diagrammatically in Boxes.
Diagram-5.8.1
PLANNING, IMPLEMENTATION AND MONITORING
ARRANGEMENTS FOR AGRICULTURE WORKS
Agriculture Department
Implementation
Arrangements
NREGS Arrangements
Principal Agri.
Officer, Deputy
Director
Agriculture
DISTRICT
LEVEL
Asst. Director
Agriculture
BLOCK LEVEL
District Collector,
Director KVK, PD /
DPO, Deputy Director
Panchayat
BDO, JBDO
PANCHAYAT
LEVEL
Agriculture
Officer
87
President, GP
Secretary, NREGS
Engineer, 30
Coordinators from
other departments
Diagram-5.8.2
88
Diagram-5.8.3
PLANNING, IMPLEMENTATION AND MONITORING ARRANGEMENTS
NREGS Implementation
Arrangements
Irrigation Dept.
Implementation
Arrangements
Executive Engineer
Deputy Executive
Engineer
DISTRICT LEVEL
BLOCK LEVEL
PD DRDA/JPC, Supporting staff
(APO, MIS, Accountant, Clerk,
CAPART YP’s)
BPO, MIS Operator,
Asst. Engineer
Panchayat President,
Secretary, Overseer,
Asst. Engineer, Data
Entry Operator,
Accountant
Asst. Engineer
PANCHAYAT LEVEL
Work Inspector
WARD LEVEL
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ADS, Workers
5.9 Institutional arrangements under various guidelines of the
Ministries
In most of the Flagship Programmes, separate institutional
mechanism has been created overlooking existing administrative
arrangements available in the States, especially in the Panchayati
Raj set up, except for schemes like MGNREGS and BRGF. The
following institutions have been created from village to national
level for implementation of the Flagship programmes:
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Table-5.9.1 Institutional Arrangements from National to Village
level
Scheme
Village level
Block
level
District level
State level
National level
NREGS
Gram Sabha
Gram
Panchayat
Block
Panchayat
Zilla Parishad
D.P.Coordinator
SEGC
NEGC
BRGF
Gram
Panchayat
Block
Panchayat
Zilla Parishad
D.P.Coordinator
H.P.C
Ministry
RKVY
-
-
Dist.Planning
Committee
S.L.
Sanctioning
Committee
(SLSC)
Ministry
concerned
SGSY
Gram Sabha
Block SGSY
Committee
District
SGSY
Committee
State SGSY
Committee
Central level
Coord. committee
NRHM
VH&S
committee
PHC
Advisory
Committee
District Health
Mission
Empowered
Programme
Committee
SSA
Block
Resource
Centre
District Mission
State
Mission
-
Dist. W&S
Mission
State W&S
Mission
National
Drinking
Water Mission
IAY
School
Education/
Management
Committee
Village Level
Water and
Sanitation
Committee
Gram Sabha
Mission Steering
Group and
Empowered
Programme
Committee
National Mission
Project approval
board
-
District
Collector
SHC
Ministry
concerned
ICDS
-
-
Standing
Committee of
ZP
-
-
Water
&
Sanitation
(Source: The details are prepared based on the guidelines given by the central
ministries. There may be slight variations in the implementation/operational
guidelines issued by the respective state governments especially at the sub-district
level.)
5.10 Convergence at Institutional Level:
As seen from the above Table-5.9.1, the Committees are
constituted by the respective line departments in accordance with
CSSs guidelines to bring the participatory approach in the
implementation of these programmes. These committees are either
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supported by statute or an executive order. But, these committees do
not have organic linkage with the respective PRIs and are independent
of Panchayats. Any manner of parallel structure set up under the
CSSs does not have accountability to the local people as most of them
are nominated by the respective departments.
Certain experts/professionals are also nominated into these
committees. May be these committees are essential for scrutiny of the
proposals at the district level, but there is no scope for inter-sectoral
coordination as these committees are constituted by the respective
line departments.
Every Committee appointed for local level planning and
monitoring can be made accountable only if that Committee actually
functions within the PRI system. But certain Committees are formed
based on the State Act passed by the State legislatures. Hence, unless
the relevant act is amended, it is not possible to abolish these
committees. However, there is possibility to work in close coordination
with PRIs. In any case, the sector/departmental committees set up for
different sectors at the village or gram panchayat level should be
subsumed or networked with the respective Committee of the
panchayat and should be accountable to the Gram Sabha.
In the absence of institutional platform for convergence,
departmental functionaries are raising questions on how to monitor
that the planned convergence takes place as the resources may be
under the control of some of the agencies outside the fold of the main
programme seeking convergence. Further, it is difficult to ensure
inter-departmental coordination and resource pooling and facilitate
convergence at the district level, as the line departments are under
different line of command and control.
As has been initiated by the MoRD, the Planning Commission
should issue Guidelines to ministries and state governments on
‘convergence’. This should be monitored at the time of Annual Plan
discussions, along with the exercise in decentralised planning.
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Diagram-5.10.1
Convergence of Institutions
Village
Org.
Water Users
Association
INDIRAMMA
Committee
Watershed
VSS
Gram
Panchayat
VH&SC
School Edn
Committee
Mothers
Committee
18
5.11 Convergence of Human Resources
Functionaries of line departments are working at various levels
of PRIs. But in majority of the cases, these functionaries are not under
the control of PRIs. The respective official head of the PRIs is of lower
rank than that of other line department functionaries. The line
departments are not ready to accept the official functionary of PRIs
due to various reasons.
Hence, it is recommended that the functionaries of development
departments may be placed under the control of respective political
head for the purpose of coordination. The routine establishment
matters shall be dealt by the respective line departments. To start
with, all village level functionaries should be placed under the
administrative control of Sarpanch. As suggested earlier, the standing
committees on planning within various tiers of PRI can serve as an
effective platform for convergence.
93
5.12 Preparation and Approval of Plan
Almost all guidelines stipulate participatory grassroots level
planning for preparation of sectoral plans. But in reality, based on the
allocation of funds for particular sector in the budget, the planning
system at the district level prompts every line department to prepare
tentative proposals on the basis of guidelines. In most of the cases
these proposals are generated at the official level, approved by line
departments and then by a closed collegium of top officials and MLAs,
MPs and In-charge Minister of the district. Hence, there is mismatch
between the felt needs of the local people and plans evolved by the
departments. This would also reflect in poor ownership of the plans by
the local Community. Further while following CSSs guidelines, the line
departments are following different time schedules for preparation of
plans through participatory process. Such time schedules without any
uniform approach are coming in the way of preparing integrated plans
at the respective PRIs level.
The following Table indicates various institutions involved in
preparation of plan and approval of plan under Centrally Sponsored
Schemes.
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Table-5.12.1 Approval Systems for Flagship Programmes
Name of
the
Scheme
MGNREGS
Preparation
of Plan
Approval
Sanction
Implementation
Panchayat Raj
Institutions
Respective PRIs
BRGF
Panchayat Raj
Institutions
Agri. & allied
Departments
District Planning
Committee
Dist. Planning
Committee
District
Programme
Coordinator
Respective PRIs
DWMA/
PRIs/Sectoral
Depts.
Panchayat Raj
Institutions
Sectoral
Departments
DRDA Governing District Collector
Body
IAY
Block
Development
Officer
VH&S
committee
PHC
Committee
Dist. Mission
School
Education
Committee
Village Water &
Sanitation
Committee
Gram Sabha
ICDS
CDPO (ICDS)
RKVY
SGSY
NRHM
SSA
Water &
Sanitation
S.L. Sanctioning
Committee
(SLSC)
District Mission
DRDA/BDO &
Financial
Institutions
State level Mission Dist. Mission
Dist. Mission
State Mission
Dist. Mission
Dist. W&S
Mission
State W&S
Mission
Dist. W&S Mission
-
District Collector
State Government
Ministry of
Women& Child
Welfare, GoI
BDO / Housing
Corporation
PD, Women
Welfare
It may be seen from the above Table, the role of PRIs in CSSs is
limited to MGNREGS, RKVY and BRGF schemes only.
5.13 Release of Funds
Government of India releases the funds in three channels. In
schemes like SGSY, the funds are directly released to the district
agencies concerned in two instalments during the year under
intimation to the State Govt. The schemes like PMGSY, the funds
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are released to PD account of State Nodal Agency instead of
consolidated fund of state. In some schemes like MGNREGA and
BRGF, funds are first credited to the Consolidated Fund of
respective States.
The Committee has gone into the procedure relating to the
release of Funds. It finds that, it is attended with delay involving
investment of energy and effort in obtaining the release. In most of
the cases, releases are done in the months of October, November
and continue right up to the month of March. As a consequence of
this, the entire cycle of release-expenditure is disturbed leading to
backlog and lapse of Funds at the end of the financial year.
The MoPR is already in the process of implementing the Core
Accounting System (CAS), which will do away with the necessity of
transfer of cash. It will vastly reduce the idleness of capital. The
charge will commence with the drawal of utilisation of Funds.
The MoRD is also in the process of installing an online system of
submission of proposal, their scrutiny and release. This will
greatly facilitate the system of release and no proposal can be
submitted unless it has been scrutinised for internal consistencies.
The release would similarly take only a fraction of the time of the
Programme Divisions, which can be better utilised in supervision
and system building.
5.14 Implementation and Monitoring
Mission/Project officials specifically constituted for the
programme or line departments implement the programme, and
supervisory functions are assigned to Committees as specified in
the guidelines. Effective implementation of CSSs demands
participation by users and beneficiaries to suit local situations and
requirements. This process should be institutionalised from
planning phase onwards.
5.15 Convergence
Mobilisation
at
Awareness
Building
and
Social
Almost all the CSSs have components for awareness building
and social mobilisation. These activities, however, are taken up
independently by the line departments with varying degrees of
effectiveness using mostly outsiders at the block or Gram
Panchayat level. Consequently, this process has not been
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institutionalised locally and resources are wasted due to
duplication of effort. If the resources are pooled and the PRIs are
suitably empowered, a permanent and long lasting institutional
arrangement at the local level can be made to take up awareness
building and social mobilisation for different programmes.
5.16 Uniform in unit cost and subsidies in the guidelines
There are differences in norms of subsidy/unit cost and
accounting procedures which bring in conflicts and complexities in
the process of planning for convergence. Harmonisation of guidelines
for convergence is therefore, needed in this regard.
5.17 Accounting System and Recording of Works
Uniform accounting system may be introduced in all CSSs. New
Accounting System has already been introduced in PRIs based on
recommendation of the Comptroller and Auditor General of India. All
the state governments may be requested to strengthen this accounting
system by introducing web based online system. Appropriate
monitoring mechanism should be put in place to avoid double
recording in different programmes for the same work.
5.18 Monitoring the Processes Guidelines
The Guidelines for CSSs broadly indicate a framework coupled
with the flexibilities inherent for a helpful framework for the design,
management and implementation of schemes in respective states.
Accordingly, the State Governments issue operational/process
guidelines based on the central guidelines. But, in most of the cases,
monitoring is being done only for physical and financial targets not for
process to be followed in the particular scheme. Hence, it ends up in
monitoring achievement of some numbers disregarding involvement of
people and PRIs.
5.19 Integrated and Comprehensive Training
The guidelines of different Ministries have provision for
organising training programmes for the functionaries. This
compartmentalised system of training does not recognise the vital link
between different programmes. Hence, training should be designed in
such a way that the functionaries equip them with necessary skills to
achieve convergence in implementation of the programmes by
mobilising manpower and resources of related departments. Training
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fund of different programmes needs to be pooled for the integrated
and holistic training programmes as pointed out in the Chapter on
Development of Capabilities for the Local Bodies.
5.20 Main lessons learnt from the NIRD study on Convergence in
MGNREGS
The need for convergence among development programmes has
not been fully appreciated by officials at district level in many of the
pilot districts. Several officials admitted their ignorance about the
approach to be followed for bringing convergence between line
departments and DRDA / ZP dealing with MGNREGS and also involve
the local community. A few factors deserve special attention in this
context. The attitude of the officials towards convergence is not found
favourable in many cases. The line departments are reluctant on
account of non-negotiables of MGNREGS i.e. non engagement of
contractor, no deployment of labour displacing machinery, procedures
and also the social audit. The issue of control over resources is also
one of the latent factors acting as deterrent for seeking convergence.
All these critical factors have to be addressed squarely to make the
convergence process smooth. In the light of the emerging demand
from some quarters for bringing all development projects under the
purview of social audit, the resistance of line departments can be
addressed by clarifying the false impressions about social audit.
The problem of understaffing in the line departments has been
highlighted in most of the states in getting into convergence mode
with MGNREGS. How MGNREGS could help address this issue is a
moot question. Whether it can provide the services of the contract
staff on activity specific basis to line departments where needed,
needs critical review by the state nodal department. One can take a
clue from the state initiatives in which local CBOs have been involved
in implementation, including maintenance of muster roll.
The lapses in the timely flow of adequate funds is one of the
main factors hindering the smooth execution of convergence projects
and the problem becomes critical when resource starved line
departments have to contribute. The proposal of AP to create a
‘Common Fund Account’ which can be (on line) accessed by the DPCs
and others has to be examined for its feasibility.
Some of the states like MP have been transferring funds to the
concerned line departments and the latter is responsible for planning,
implementation, wage payment and monitoring of the scheme. The
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RD Department or DRDA is only seeking data on the scheme for
posting the same on MIS.
This cannot be construed as real
convergence. Efforts should be made by all the concerned at various
levels to view the convergence theme as an opportunity to promote
partnership mode of development. Since all departments share the
common goal i.e. overall development of rural areas and community
welfare, convergence of minds is a pre-requisite. Gradually, all the
three modes of convergence i.e. funds, technical expertise and social
mobilisation have to be attempted wherever feasible and necessary.
MGNREGS envisages empowerment of the community and
strengthening of PRIs. Only in a few states (e.g. West Bengal, AP,
Kerala, HP) the communities have been consulted in planning and
implementation of convergence projects. The presence of matured and
large number of SHGs facilitated this process.
SHGs are also
encouraged to identify projects under MGNREGS (e.g. AP). These good
practices can be scaled up. For this to happen, capacity building of
CBOs has to be taken up on priority.
The convergence projects with the initiative of GP and IP along
with the SHGs in West Bengal are not only good examples of
sustainable convergence initiatives but also lend support to the
decentralisation of planning process. They can play a crucial role in
the preparation of comprehensive GP plan with the community
members.
Thematic convergence under MGNREGS is visible in states like
Gujarat. The “Swarnim Society’ scheme which is similar to ‘Integrated
Habitat Development’ envisaging a variety of tasks to be undertaken
by six departments is an illustration in this regard. Several innovative
practices observed in Kerala, Andhra Pradesh, Chhattisgarh, Gujarat
and Madhya Pradesh need to be documented and disseminated for
adoption. Initiatives with focus on primitive tribal groups in the
convergence planning (e.g. Andhra Pradesh and Chhattisgarh) deserve
special attention by all the states to reach the unreached.
In several of the projects visited, mechanisms of long term
maintenance arrangement of assets are not well defined and this has
to be ensured in all relevant cases.
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5.21 Road map for convergence with Special Reference to
MGNREGS
It is evident from the above discussion that convergence of
development programmes with MGNREGS needs to be pursued with
more vigour. To make these initiatives more effective and trend
setters, the following suggestions deserve attention of the Government
of India, State Departments and other stakeholders.
(i)
(ii)
(iii)
(iv)
To streamline the communication process, the MoRD may
nominate a senior official as coordinator of convergence
projects. This coordinator should interact with the state
nodal department (for MGNREGS) and DPCs of the districts
identified for convergence on a regular basis. It would be
appropriate to appoint senior officials in the converging
departments at the state level to ensure smooth coordination
and effective convergence.
To ensure greater clarity about the roles and responsibilities
and institutional arrangements under convergence, the
states should prepare clear guidelines for adherence by all
concerned at the district and below. The project team at the
district and below should use management tools such as
Gantt Chart to define more aptly the roles of various
functionaries involved. Joint monitoring formats have to be
prepared immediately for use by the officials concerned.
To make convergence planning more people centric, the
projects identified by the line departments should be
discussed in the Gram Sabhas located in the project area.
Since district and block level officials in several states have
expressed the need for building their capacities in planning
and implementation of convergence projects in a partnership
mode, SIRDs and reputed NGOs (who have experimented
with convergence) may be entrusted with organisation of
short-duration training programmes dealing with concepts,
issues,
approaches
(joint
preparation
of
projects,
implementation and monitoring) of convergence under
MGNREGS. A special module on ‘Attitudes and behavioural
change’ is necessary to sensitise the functionaries. Visit to
successful convergence project sites can be built into the
training modules for exposure. The project coordinators of
innovative convergence projects have to be invited as
resource persons in these programmes. State Nodal
Departments have to take initiative in documenting some of
the successful convergence projects like making of films for
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wider sharing with other DPCs and Project Directors to
promote replication of innovations.
(v)
A small module on social audit has to be included in all the
training programmes as all the convergence projects would
be subjected to this audit by all the stakeholders. These
district level training programmes should target the officials
of line departments and elected representatives as well. It
would be desirable to extend the ‘social audit’ to all
development projects, if necessary for all projects up to
certain size of fund allocation, executed by all the line
departments. This applies equally to the use of RTI and for
transparency and accountability provided for in the rules
under MGNREGA.
(vi)
Since convergence aims at consultative process and meeting
the local needs, reputed NGOs may be entrusted with
capacity building of elected representatives and CBO leaders
about this dimension. This intervention may enable the
community to suggest a set of related activities to be taken
up in the Gram Sabha which will form the basis for
designing of convergence projects with line departments /
agencies. The community involvement in the convergence
projects in all stages would dilute the resistance presently
noticed among officials of line departments to converge with
MGNREGS, more so in regard to social audit and sharing of
responsibilities.
(vii) Inclusion of modules on ‘Convergence’, ‘Social Audit’ and
‘Participatory Planning’ are to be made mandatory in all
training programmes organised by SIRDs, ETCs and other
institutes should be enforced effectively. Fund release to
SIRDs and ETCs can be linked to this aspect.
(viii) The present arrangement of recognising the district / state
initiatives through Award of Excellence in MGNREGS,
Administration would provide the needed incentive
framework for the DPCs and others to implement the
convergence projects in an innovative and efficient way.
(ix)
Government of India and States may also institute awards
for best performance to the MGNREGS team (DPC, PD and
officials of line departments), who have excelled in the
planning and execution of innovative projects in convergence
mode. Special awards and rewards may be given to best
convergent initiatives.
(x)
The ‘Integrated District Planning’ with community
participation would be an appropriate framework facilitating
emergence of convergence initiatives locally as a by-product.
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Such an approach could not only provide sector-wise
planning but also natural integration of schemes across
sectors. The line departments have to provide technical
support in user-friendly manner to the community.
(xi)
If decentralized planning through community involvement is
practiced, generation of volunteerism and ownership followed
by partnership of community in the process can be expected.
This would enhance the essence of convergence from
building of assets to sustainability of the process. Field
experience
exemplifies
that
community-involvement
enhances resource pool, chiefly by means of voluntary labour
and contribution of material/financial resources. Moreover,
community knowledge and innovations could be useful
inputs in designing interventions. GIS applications have been
gaining currency in Rural Development including MGNREGS.
Using satellite data, the MGNREGS projects including
convergence schemes have to be monitored wherever
feasible. Even ‘value addition’ dimension can be taken into
account while planning convergence of technology centric
and skill enhancement orientation schemes with MGNREGS.
These types of convergence interventions would benefit
SC/ST farmers and BPL farmers for improving their
livelihood support systems on a sustainable basis.
(xii) In the light of the Tendulkar’s Committee report on
estimation of poverty, which places rural poverty at 42 per
cent, there is a dire need to bring convergence among
development programmes for mutual benefit and creation of
productive assets, even while using available resources
efficiently.
(xiii) To mitigate the effects of global warming on agriculture and
allied sectors, MGNREGS, line departments and other
technical institutions in each district should evolve a
common strategy and work together in revitalizing
agriculture to ensure food and livelihood security. The
‘Sparsh’ project of Gujarat is conceptually a robust one in
this regard.
(xiv) Gradually, MGNREGS planning should shift to convergence
mode for optimal use of resources and creation of quality
assets.
(xv) The lessons from the NIRD study on convergence of
MGNREGS with their schemes and programmes apply
equally to other programmes and are particularly relevant to
backward areas and use of BRGF.
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5.22 Recommendations
1.
2.
3.
4.
5.
6.
As ‘convergence’ is critical for efficient use of resources,
avoidance of waste and for ensuring the desired output
and outcomes of programmes, MoPR and MoRD - based
on their experience with BRGF and convergence initiatives
of MGNREGA - may urge upon the Planning Commission
to adopt ‘convergence’ as a high priority implementation
strategy.
Having done this, the Planning Commission may be urged
to constitute a committee or team to scrutinise all CSSs
guidelines for schemes implemented at local level.
Objective should be to bring about as much commonality
as possible regarding state level nodal agencies, planning
process, approval, centre-state contribution ratio,
subsidies, role of local government, audit mechanism
including social audit etc. The overarching objective
should be that the guidelines are in consonance with the
principles of subsidiarity and decentralised planning. In
this, the local committees to be constituted under various
CSSs
guidelines
should
be
integrated
with
standing/functional committees at different levels of the
local government. There should be the committees of the
local government.
While approaching the Planning Commission to promote
the convergence, MoPR and MoRD should ensure active
convergence between RD programmes and BRGF.
MoPR and MoRD together should catalyse the
convergence of their programmes at local level with other
livelihood programmes of ministry regarding natural
resource
management
(land
and
water
related
programmes).
As in other cases, the exercises in convergence may also
begin in BRGF districts first. The process may be started
first with convergence of BRGF, MGNREGA, livelihood
programmes of other ministries relating to land and water
and other flagship programmes. If this could be achieved
in the next two years, the process can be extended to all
other programmes thereafter, in time-bound manner.
The process of convergence will be made easier if
electronic transfer of funds is done in the case of all CSSs
and state government schemes and programmes. The
electronic transfer of funds from ministry to state
government and from the state government to district,
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7.
sub-districts and panchayts would enable simultaneously
monitoring and scrutiny.
MoPR may encourage states-starting with BRGF districtsto promote the need and importance of convergence
through appropriate campaigns, adoption of locally
relevant communication techniques like folk plays,
dances in order to ensure community involvement. Such
involvement enables the community to view development
as a comprehensive exercise and not as a mere collection
of schemes. It will also encourage ownership of
development, which will, in turn, make them more
committed to maintenance.
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