1. Indian Institute of Management, Lucknow 1

2. Quick Appraisal of NREGS in Uttar Pradesh

3. 3  IIM Lucknow was entrusted with undertaking Quick Appraisal of NREGS in five districts of Uttar Pradesh: Sl.District 1Bareilly 2Jalaun 3Jhansi 4Gorakhpur 5Kushinagar

4. Indian Institute of Management, Lucknow 4 Quick Appraisal Report  Structure of Report: 1. Introduction 2. Sample Selection & Research Methodology 3. Overall Findings & Analysis: 5 Selected Districts 1. Impact of NREGS 2. Implementation of NREGS

5. Indian Institute of Management, Lucknow 5 Quick Appraisal Report  Structure of Report (Contd...): 4.District-wise Findings & Analysis 5.Inferences 6.Recommendations 7.Annexure 1. Survey Tools: 1.Beneficiary Schedule 2.Non-Beneficiary Schedule

6. Indian Institute of Management, Lucknow 6 Quick Appraisal  District Selection Criteria:  The Districts for Quick Appraisal of NREGS were selected in consultation with the State Government based on following criteria : –Districts which have experienced significant positive impact under NREGA. –Districts which have experienced constraints to the optimal performance of the scheme.

7. Indian Institute of Management, Lucknow 7 Quick Appraisal S.No.DistrictPhaseYear A.Good Performing Districts 1.JalaunI2006-07 2.KushinagarI2006-07 3.JhansiII2007-08 B.Poor Performing Districts 4.GorakhpurI2006-07 5.BareillyIII2008-09  Sample Selection:

8. Indian Institute of Management, Lucknow 8 Quick Appraisal  Sample Size: DistrictsBlocksVillagesBeneficiariesNon-Beneficiaries Bareilly 2880 Jalaun 2880 Jhansi 2880 Gorakhpur 2880 Kushinagar 2880 Total1040400

9. Indian Institute of Management, Lucknow 9 District Block- A GP-I Ongoing Work 10 Beneficiary 10 Non- Beneficiary GP-II Ongoing Work GP-III Ongoing Work GP-IV Completed Work Block- B Sampling Design: Quick Appraisal

10. Indian Institute of Management, Lucknow 10  Specific Issues for Appraisal: – Impact of NREGS:  Supplementing Employment and Livelihood Opportunities  Economic and Social Empowerment of Women through equal wages, greater work opportunities  Increase in Income and wages  Inclusive Growth particularly for disadvantaged groups- BPL/SC/ST/disabled Research Methodology

11. Indian Institute of Management, Lucknow 11  Specific Issues for Appraisal: – Impact of NREGS:  Financial Inclusion-Bringing the marginalized into the formal banking system  Creation of Durable & Productive assets & Effective Convergence practices  Regeneration of natural resource base through plantation, afforestation, water conservation and other activities  Stemming of Migration (at the level of the village, district and/or state) Research Methodology

12. Indian Institute of Management, Lucknow 12 Research Methodology  Specific Issues for Appraisal: – Impact of NREGS:  Strengthening of Panchayati Raj Institutions  Ensuring transparency & accountability  Building social capital  Other Multiplier effects of NREGA  Any innovation/ best practice/ case studies/ beneficiary narratives

13. Indian Institute of Management, Lucknow 13 Research Methodology  Specific Issues for Appraisal: – Implementation of NREGS:  Awareness Generation through information Education & Communication  Registration & Job Card  Application for Employment  Work Process Planning Execution

14. Indian Institute of Management, Lucknow 14 Research Methodology  Specific Issues for Appraisal: – Implementation of NREGS:  Wage Payment  Record Maintenance  Human Resources  Monitoring & Vigilance  Management Information System (MIS)  Social Audits & Grievance Redressal  Flow of Funds

15. Indian Institute of Management, Lucknow 15  Data for the Study: – Secondary Data: State Level District Level Block Level Gram Panchayat/ Village Level – Primary Data: Stakeholders Research Methodology

16. Indian Institute of Management, Lucknow 16  Techniques and Tools used for Research:  Qualitative:  Focus Group Discussions  Interviews with District/ Block/ Village Level Officials  Quantitative:  Field Visits  Survey Schedules Beneficiary Non-Beneficiary Research Methodology

17. Indian Institute of Management, Lucknow 17 Knowledge Perception Behavior Experience Attitude Non-BeneficiaryBeneficiary  Quick Appraisal of NREGS:  Qualitative Issues: –Aspects related to Implementation of Scheme Research Methodology

18. Indian Institute of Management, Lucknow 18 Findings & Analysis  Overview of NREGS: 5 Selected Districts  Impact of NREGS – Survey findings are based on:  400 Beneficiary respondents  604 persons registered on job cards of 400 Beneficiaries  580 (96%) out of 604 were provided employment

19. Indian Institute of Management, Lucknow 19  Impact of NREGS  Supplementing Employment and Livelihood Opportunities –On Average 42 days work is demanded by a person registered & 63 days per HH. –On Average 44 days work has been provided to those who demanded work (2006-09) –Only 15% HH demanded & 6.25% of 400 HH were provided 100 days employment Findings & Analysis

20. Indian Institute of Management, Lucknow 20 Findings & Analysis  Impact of NREGS  Economic and Social Empowerment of Women through equal wages, greater work opportunities –Majority (80.2%) of Beneficiaries (persons provided work) are Male –Only 19.8% Beneficiaries (persons provided work) are Female

21. Indian Institute of Management, Lucknow 21  Impact of NREGS  Increase in Income and wages –Minimum Wages paid under NREGS has increased from Rs. 58 to Rs. 100 per person per day –Local wage rate prevailing in the surveyed GPs have also increased by 15-20%. Findings & Analysis

22. Indian Institute of Management, Lucknow 22 Findings & Analysis  Impact of NREGS  Inclusive Growth particularly for disadvantaged groups- BPL/ SC/ ST –85.3% Beneficiaries belong to Below Poverty Line Category –50% Beneficiaries belong to Scheduled Castes –44.5% Beneficiaries belong to Other Backward Castes

23. Indian Institute of Management, Lucknow 23  Financial Inclusion-Bringing the marginalized into the formal banking system –97.7 % Beneficiary HH are operating through Bank/ PO accounts. Findings & Analysis

24. Indian Institute of Management, Lucknow 24  Overview of NREGS: 5 Selected Districts  Implementation of NREGS – Survey findings are based on:  400 Beneficiary respondents  384 Non-Beneficiary respondents Findings & Analysis

25. Indian Institute of Management, Lucknow 25  Implementation of NREGS:  Awareness Generation through Information Education Communication –Radio is a major source of Information to respondents (36 %) –Role of Gram Pradhan in NREGS communication to Beneficiary (92.3 %) –Gram Sabha is general mode of IEC Dissemination in GP (62.6% respondents) Findings & Analysis

26. Indian Institute of Management, Lucknow 26 Findings & Analysis  Registration & Job Card –99% Beneficiaries apply to Gram Panchayat for NREGS registration –85.8% Beneficiary applicants get assistance from Gram Rozgar Sevak –Job Cards Issued to beneficiaries after Verification 81.8% –Issuance of Job cards to beneficiaries within 15 days 91% –Registration of all eligible applicants 94.3% Beneficiaries

27. Indian Institute of Management, Lucknow 27  Application for Employment –Oral applications for work by 92.5% Beneficiaries –88% Beneficiaries were never issued receipts in lieu of application for work –Only 57.8% Beneficiaries were always provided employment within 15 days Findings & Analysis

28. Indian Institute of Management, Lucknow 28 Findings & Analysis  Works Process – Planning –Meeting of Gram Sabha for Selection of works (45.2% respondents) –Selection of works according to priorities of Gram Sabha (41.6% respondents)

29. Indian Institute of Management, Lucknow 29  Work Process – Execution –Improper work-site management (34% beneficiaries) –Only drinking water is made available at work-site (86.3% beneficiaries) –Muster-roll maintenance/ updation at work-site (89.6% beneficiaries) –Proper measurement of work done by workers (86.3%beneficiaries) Findings & Analysis

30. Indian Institute of Management, Lucknow 30  Wage Payment –Payment of Wages: Weekly (63.8% beneficiaries), Fortnightly (22.8% beneficiaries) –Wage payments through Bank/ PO (95.2% respondents) –Non- Issuance of Wage slip (85.5% beneficiaries) –No updation of work done, wages paid details on Job Cards (21.8% beneficiaries) Findings & Analysis

31. Indian Institute of Management, Lucknow 31 Findings & Analysis  Record Maintenance –Maintenance of Job Card Register in GP (52.5% beneficiaries) –Timely & Proper updation of all NREGS records in GP (44.8% beneficiary) –Proper scrutiny of NREGS records by Officials (50.8% beneficiaries) –Non-availabilty of NREGS records on Request to Beneficiaries (38%)

32. Indian Institute of Management, Lucknow 32 Findings & Analysis  Human Resources –Availability of Full Time staff (GRS) for NREGS (86.8% beneficiaries) –Unawareness about constitution of VMC in GP (80% respondents)  Monitoring & Vigilance –Monitoring & supervision of NREGS by Monitoring agencies (14.5% beneficiaries), 82% are unaware –Inspection and sample checks by Govt. Officials (63.3% beneficiaries) –No Monitoring of NREGS implementation by VMC in GP (78.8% beneficiaries)

33. Indian Institute of Management, Lucknow 33  Social Audits & Grievance Redressal –Organization of Employment Guarantee day (20.8% respondents) –Social audit conducted in GP (6.9%), Unaware (79.1%) respondents –(87.8%) Respondent’s never participated in social audit process –Complaints regarding NREGS (10.3% beneficiaries) –80% respondents are unaware about Set-up of helpline for Grievance redressal –Unaware about Rights & process to seek information under RTI (98.7 % respondents) Findings & Analysis

34. Indian Institute of Management, Lucknow 34  Remedial Actions –Strengthening of Information, Education and communication of NREGS –Improving the participation of Women –Mahila Gram Rozgar Sevaks may be appointed –Awareness about season specific demand for employment under NREGS Recommendations

35. Indian Institute of Management, Lucknow 35 –Accounts may be opened preferably in the name of women workers to empower them –Banking system to be made more cooperative –Strengthening of computerised MIS at Block Level –Adequate Full time Staff for NREGS & Training –No charges in any form should be taken for Job Cards Recommendations

36. Indian Institute of Management, Lucknow 36 –Written applications should be encouraged –Planning to be strengthened and made transparent –Work-site facilities to be improved –VMCs to be made more popular –Monitoring & Evaluation to be strengthened –Record maintenance to be made more efficient Recommendations

37. Indian Institute of Management, Lucknow 37 Issues Flagged for Discussion  Need of shift from project mode to mission mode  Re-orientation of all the stakeholders particularly Panchayati Raj System and administrative set-up  Definition of household to be disseminated and made popular  100 days guarantee must be at individual level not household  Look for dovetailing with annual district plan  Multi-faceted strategy for mission-mode

38. Indian Institute of Management, Lucknow 38