1. Participatory justice
Effective Social Audits
Making the programme and the functionaries accountable to the people
10th March 2015
Accountability
Transparency
Participatory justice
Dr. B. B. Rai
Director
Social Audit Unit, Sikkim

2. Setting up the Social Audit Unit

3. Institutionalizing the SAU
Independent Social Audit Unit established
by identifying Voluntary Health Association
of Sikkim (VHAS) as the Social Audit Unit
Dr. B. B. Rai identified as the Director
Several rounds of trainings organized at
NIRD, APARD, SSAAT etc. A cadre of 4 SRPs
and 22 DRPs developed in partnership with
district level NGOs
MOU signed between SAU and RMDD, Govt
of Sikkim
SA for all the GPs made a regular feature
since last 5 years
MPRs of SA and ATRs have been now made
a regular feature
District Resource Institution
(4) 1 per district
District Resource Persons (22)
Director (1)
Joint Director (1)
Finance Officer (1)
State Resource Persons (4)
Signing of MOU with SAU

4. Identifying District Resource Institutions
Institutional Framework – District Level
Identifying District Resource Institutions

5. District Resource Institutions
Institutional Framework – District Level
District Resource Institutions
District Name of DRI WEST Himali Vikash Sansthan (HVS) SOUTH Pacific Club NORTH Navajyoti Sang, Namrang EAST Youth Development Society of Sikkim (YODESS)

6. Social Audit Handbook Resource book on social audit process
Illustrated in comic book format

7. Social Audit-Cycle

8. Kick Off Meeting
Chaired by DPC and attended by SRPs, DRPs, POs, Panchayats and others
Objective is to prepare the Social Audit Calendar at GP level and provide orientation on the social audit steps along with the roles and responsibilities of all the stakeholders

9. Document Verification
Action taken Report of previous Social Audit
Gram Sabha Resolution
Household registration register
Job card registration register
Job card issued register
Work demand register
Grievances Redressed Record
Sanction Intimation
Shelf of project
Muster roll of every work
Work site register
Segregated Bills & vouchers of every works
Indents and Supply Order
Stock material Register
Goods received register
Asset Register
Vigilance Monitoring Committee, Work-site Material Monitoring Committee resolution
Completion report

10. Door to Door Interaction
Job card
Bank/ Post Office Passbook
Household feedback on completed work
Orientation on the scheme and Social Audit Jan Sunwai

11. Field Visit Observation: Physical & Financial Target vs Achievement
Measurement of physical target : Outputs
Survival assessment of plantation works
Citizen Information Board

12. Report compilation
Compilation of findings of document verification, Door to door survey and field visit
Preparation of presentation on chart papers for Social Audit Jan Sunwai/Gram Sabha

13. Call for Participation
Miking
And
Postering

14. Release of Audio CD on MGNREGA Song
Social Audit Folk song
Release of Audio CD on MGNREGA Song

15. Social Audit Gram Sabha - Jan Sunwai
Chairperson : Zilla Panchayat Member
Participation : Villagers, Job Card holders, CSO level functionaries,
Gram Panchayats members, mates, Suppliers and
other stakeholders. Quorum has to be met.
Presentation of findings by DRP on the basis of Document Verification, Door to door interaction, field visit, observation and measurement
Issue raised are recorded in minutes
Minutes are read out in public and are endorsed by the Gram Sabha

16. Exit Conference
DPC organizes the Social Audit Exit conference where key findings, corrective measures are presented by DRP
DPC submits Action Taken Report within 30 days of the Exit Conference

17. Final Report & ATR Submission
SAU submit 7 copies of Social Audit Report to RM&DD
Month wise MPR/ATR submitted to RM&DD     

18. Action Taken Report

19. ATR enclosure – Issue of Mate Selection

20. ATR enclosure

21. ATR enclosure – Issue of stock register
ATR enclosure – materials receipt

22. ATR enclosure – Issue of Materials
ATR enclosure – Issue of Sign Board

23. ATR enclosure – Issue of Photographs & Sign Board

24. ATR enclosure – Issue of Completion Report

25. Dropping of Social Audit Paras
Para raised in previous Social Audit dropped ,if Gram sabha finds it satisfactory.
Unsatisfactory Action Taken - Para remain open.

26. Key Features of Social Audit
7 days duration of SA in one GP
All ongoing and completed works are audited
Wide publicity of SA gram sabha by taking up postering, miking
and field visits
Quorum of SA Gram Sabha is ensured: If 30% of active job card holders are not present then SA Gram Sabha is postponed
Original expenditure vouchers are read out work-wise, covering
not only the wage component but the material component as well
for validation by the Gram Sabha. The name of the beneficiaries is
also read out for confirmation.
The findings of the Social Audit are confirmed in the Exit
Conference with the DPC, which is followed by an Action Taken
Report
Dropping of paras by the gram sabha in the next social audit
Also effective social audits have played an important role in ensuring public accountability

27. Social Audit - Coverage
Sl.No
District
Total No. of GPs
GPs Covered 1
West 55 26 29 2
South 47 21 25 3
East 50 24 4
North 18 12
Total
176 89 92

28. Social Audit Status: 2013-14 North 18 573 121 37% 45.62 0.01 East 24
District
Total GP covered in Social Audit
Total Issues
Total issues resolved till date
Total Direct Recovery
(in lakhs)
Total Recovery made till date
Number %
North 18
573
121
37%
45.62
0.01
East 24
364
133
16.74
0.09
South 21
235
177
75%
8.21
1.90
West 26
309
245
79%
17.00
3.00
Total 89
1481
767
52%
87.57
5.00

29. Social Audit Status: 2014-15 North 12 121 45 37% 2.62 0.49 East 26 374
District
Total GP covered in Social Audit
Total Issues
Total issues resolved till date
Total Direct Recovery
( in lakhs)
Total Recovery made till date
Number %
North 12
121 45
37%
2.62
0.49
East 26
374
126
34%
23.66
0.16
South 25
194 84
43%
6.91
0.64
West 29
364
276
76%
5.69
0.20
Total 92
1053
531
50.43%
38.88
1.49

30. Total Recovery reported
Impact of Social Audit
Year
No. of GP Covered
Total Issues raised
Total Issues resolved
Total Recovery reported
Total Recovery made
Numbers
Rs in Lakh 89
1481
767 88 5 92
1053
531 39 1
COMPARATIVE IMPACT
% Reduction of Issues
% Reduction of Recovery
29%
55%

31. Social Audit Outputs Improvement in Administrative lapses
Improvement in record Keeping (07 Registers)
Transparency in implementation of programme
Material Monitoring committee formed and certifying the materials supplied at work site
Empowerment of workers
Improved accountability from implementing agency
Strong deterrent against corruption

32. Outcomes of Social Audit
Shifting of public expenditure to “as per actual” rather than “as per estimates”
Initiation of Disciplinary Action against the erring officials
Recovery of misutilised amount from erring officer
Instant delivery of participatory justice
Enhanced transparency through People centered approach

33. Assets created under MGNREGA
Flood Control Work
Water Harvesting Tank

34. Assets created under MGNREGA
Village Footpath
Rajiv Gandhi Sewa Kendra

35. Assets created under MGNREGA
Water Harvesting Tank at Legship Hingding GP
IAY house at Legship Hingding GP

36. Sharing Social Audit Learnings
Bhutan 3rd – 9th Sept, 2014 as part of Indian delegation by Dr.B.B Rai,Diractor,SAU
Hyderabad 23rd – 28th Aug, 2014 at NIRD by SAU Team
Jammu on 21st Aug, 2014 by Mr .Sandeep Tambe, Commissioner
Nagaland on 7th May, 2014 by Mr. Tashi Chophel, ADC
Mizoram 19th March, 2014 by Mr. Manoj Pradhan, ADPC
Uttarakhand on 5th March 2014 by Mrs Sarika Pradhan, Joint Secretary
Meghalaya on 3rd March, 2014 by Mr. Nima Tashi, Planning Coordinator
Assam on 20th Jan, 2014 by Mr. Sandeep Tambe, Commissioner
Manipur on 16th Jan, 2014 by Mr. Sandeep Tambe, Commissioner
Himachal on 28th Oct, 2013 by Mr. Sandeep Tambe, Commissioner
Mumbai, 21st Sept, 2013 in TISS National Workshop, by Dr.B.B Rai,Diractor,SAU

37. Challenges Action Taken Report Quality of Record Keeping
Delays in submission
Inadequate resolution of issues and recovery
Quality of Record Keeping
3. Increase Participation of Public in the Gram Sabha

38. Plan of Action
Government intervention for timely submission of ATR and regular follow-up
Training & Re-training in Record Keeping
More Publicity and IEC
Awareness generation during Social Audit Gram Sabha / Jansunwai

39. Thank You