CHAPTER -9
MONITORING
The scheme needs to be monitored very closely. Monitoring should be done at all levels and with special emphasis on quality and timely completion of construction.
9.1 Monitoring by Government of India
All data regarding beneficiaries, progress of construction and release of funds, including photographs and inspection reports shall be placed on AwaasSoft and would form the basis for follow up on both the financial and physical progress of the scheme.
The physical progress in construction would be monitored through the photographs to be uploaded every quarter. Photograph is to be uploaded irrespective of whether there is progress or not. A photograph should be uploaded on completion. The cost of taking the photograph and uploading it will be chargeable to administrative expenses and the beneficiary must not be asked to pay for this process.
National level Monitors and Area Officers of the Ministry would also visit
IAY houses during the field visits, to the extent possible.
9.2 Monitoring by implementing agencies
Officers at the Block level should inspect 10% of the houses at each stage of construction. The list of such houses may be generated at random by AwaasSoft and the inspection report uploaded.
District level officers should inspect 2% of the houses at each stage of construction from the random list generated by AwaasSoft.
9.3 Quality monitoring
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The State Government should put in place a system of quality monitoring to guide and assist the beneficiary in achieving satisfactory quality in respect of the following:-
Site selection
Use of appropriate cost effective technology
Selection of design and materials for construction such that the negative environmental impact is reduced
Quality of workmanship which ensures longevity and user comfort
Construction of sanitary latrines, smokeless chullahs, soakpits and compost pits and provision of electricity connection under RGGVY or any state scheme
Finishing including electrical, plumbing and sanitary fittings
Integration with existing water supply and sanitary systems of the locality
States may put in place a system to measure the greenness of housing through a simple set of indicators. This could be a measure against a baseline of a standard pucca house utilizing conventional inputs such as bricks and cement concrete, with flat roofs and typical construction design.
9.4 Community / Participatory monitoring
In the meeting of the Gram Sabha to approve the annual select list, the list of ongoing IAY houses and list of houses completed during the year should be read out and copy posted in the Panchayat office notice board. A community based participatory monitoring system should be put in place utilizing the services of the SHG network under NRLM.
9.5 Management Information System
AwaasSoft is alocal language-enabled workflow-based transaction level Management Information System in place to facilitate e-governance of IAY. The System has been prepared and deployed at http://iay.nic.in by NIC in collaboration with Ministry of Rural Development. The System is designed for all stakeholders of IAY including the beneficiary. The portal http://iay.nic.in is accessible to all including the national/international community.
9.5.1 Features of AwaasSoft
- 40 -
The MIS has nine different modules designed to capture all the transactions that would be required in implementation of the scheme. The modules are:-
i. Target setting for a year
Deals with the target setting (physical and financial) at Ministry of Rural
Development, State, District, Block and Gram Panchayat levels.
ii. Beneficiary Management
Facilitates registration of the beneficiary, allowing for capturing of her personal details, Bank/Post Office Account number and Aadhaar number.
iii. Inspection / Verification of Houses
Deals with the regular inspection of houses at the level of Gram Panchayat and Block Panchayat. It also provides space for noting verification of houses by officials and monitors.
iv. Fund Management
Captures transfer of fund from Ministry of Rural Development upto the beneficiary through the various tiers.
v. Online Submission for demand of fund
Allows the Districts to submit their proposals online to the State and the States to the Ministry of Rural Development. It includes options for the preparation of Audit report, Utilization Certificate and other documents. The system calculates the amount to be released.
vi. Proposal Processing in Ministry of Rural Development
Proposals sent by the States are received by the Programme Division for processing. The status of the proposal under process can be tracked by the stake holders.
vii. Personnel Module
Captures profile of officials engaged in IAY.
viii. Grievance Redressal System
Allows stakeholders to lodge complaints and to trace the subsequent response. Complaints will escalate automatically to next higher level after every 30 days, if not attended to.
ix. Linkage with Financial Institutions
- 41 -
Captures the Account Details of all stake holders including beneficiaries and this information can be shared with financial institutions through web services or the financial institutions can access the IAY portal and give information of credit of fund into the beneficiary‘s account.
9.5.2 Process of data entry at different levels
A designated officer manages the MIS at the Ministry of Rural Development working closely with the NIC. The targets and allocation for the States once finalized would be entered by the Ministry.
At the state level, state governments have to nominate Nodal Officers who would manage the MIS. The number of instalments in which the fund would be transferred and in what proportion, the district wise targets and allocation need to be entered at the State level. The Nodal Officer would also serve as the converging point for queries and issues faced by the districts and a single window for communication with NIC in respect of AwaasSoft. The status of usage of AwaasSoft at the district level shall be monitored regularly. The reporting of special projects, house site component, etc, needs to be made separately under the corresponding provision in AwaasSoft and this should be ensured at the state level.
At the district level dedicated staff should be identified in order to manage data entry. They would continuously interact with the state Nodal Officer. The targets and allocation for the Blocks/Gram Panchayats need to be entered by them. The pendency status and exception reports generated from AwaasSoft should form the basis for monitoring. In states where the Zilla Parishad/ implements the scheme, the registration of beneficiaries on AwaasSoft, and authentication of their Bank/Post Office accounts also needs to be done by them. Where the implementation is done by Blocks/Gram Panchayats the Bank/Post Office account details should be cross checked by the district level officers. Data entry operations should be planned to ensure timely entry of information.
Regarding the uploading of photographs the operation may be carried out by the officers concerned or may be out sourced preferably to SHGs under NRLM in order to ensure that the photographs of all houses are taken and uploaded every three months, regardless of whether the inspection is done.
- 42 -
The process of data entry starts with the registration of the beneficiaries for the year. The profiles need to be complete including information on Bank accounts. The list of beneficiaries should be consolidated at the Zilla Parishad/Block/Gram Panchayat, whichever is the ultimate fund dispersing agency.
The hiring of the required staff can be charged on the 4% allowed for administrative expenses. it should be ensured that the man power hired is IT trained and are utilized efficiently.
9.5.3 Fund flow through AwaasSoft
i. The selected beneficiaries should be released first instalments through the ordersheets generated from the MIS.
ii. All transactions by the disbursing agency should be consolidated and verified at the next higher level and authenticated.
iii. The disbursing agencies should also identify two signatories for the digital signatures that would be issued in order to approve electronic generation of Fund Transfer Orders and transfer of funds to beneficiary accounts.
iv. The physical transactions of funds should follow the transactions on AwaasSoft. The entries should be made and kept updated to ensure that there is no lag between transaction on the system and the physical transaction.
The proposal for release of second instalments would be examined based on the utilization reflected in the MIS. Hence a lag in updating financial transactions would reflect as poor utilization of funds on the MIS thereby hindering further releases.
9.6 Monitoring through MIS
A number of reports are generated by the MIS which can be used for monitoring and reporting purposes. These can be drilled down to the implementing agency level. The pendency reports and exception reports generated from AwaasSoft should be used for monitoring purposes.
i. The date of sanctions would be taken as the date for start of the monitoring process.
- 43 -
ii. The inspections would have to be done before release of further instalments. The timeline for inspection should be as in para 4.12.
iii. Each inspection should be used to capture photographs of the house under construction and ensure the same is uploaded.
iv. The following parameters would be monitored in the relevant quarter of the year to ensure timely release of funds and timely completion –
Quarter
Parameters
1st and 2nd quarter
Number of completed beneficiary profiles
Number of beneficiaries from ordersheets generated
3rd quarter
Number of beneficiaries in ordersheet of
2ndinstalment
Number of houses inspected
4th quarter
Number of houses inspected
Number of houses completed
Later
Number of houses completed
To start with the minimum level of achievement the above parameters would be set by the Ministry of Rural Development and then progressively raised to full level. These would be linked to the allocation and release of funds
9.7 Training on AwaasSoft
All manpower at all levels have to be trained in data entry and management. Master trainers would be trained by the NIC and they would be responsible to train the district and block level operators. The people using digital signatures shall be trained and enlightened about the security aspects of using them. The use of emails for communication between the state nodal officer and district officers concerned may be emphasized in order to make it faster and efficient. The detailed user manual for AwaasSoft is also available on the portal.
****
- 44 -
MONITORING
The scheme needs to be monitored very closely. Monitoring should be done at all levels and with special emphasis on quality and timely completion of construction.
9.1 Monitoring by Government of India
All data regarding beneficiaries, progress of construction and release of funds, including photographs and inspection reports shall be placed on AwaasSoft and would form the basis for follow up on both the financial and physical progress of the scheme.
The physical progress in construction would be monitored through the photographs to be uploaded every quarter. Photograph is to be uploaded irrespective of whether there is progress or not. A photograph should be uploaded on completion. The cost of taking the photograph and uploading it will be chargeable to administrative expenses and the beneficiary must not be asked to pay for this process.
National level Monitors and Area Officers of the Ministry would also visit
IAY houses during the field visits, to the extent possible.
9.2 Monitoring by implementing agencies
Officers at the Block level should inspect 10% of the houses at each stage of construction. The list of such houses may be generated at random by AwaasSoft and the inspection report uploaded.
District level officers should inspect 2% of the houses at each stage of construction from the random list generated by AwaasSoft.
9.3 Quality monitoring
- 39 -
The State Government should put in place a system of quality monitoring to guide and assist the beneficiary in achieving satisfactory quality in respect of the following:-
Site selection
Use of appropriate cost effective technology
Selection of design and materials for construction such that the negative environmental impact is reduced
Quality of workmanship which ensures longevity and user comfort
Construction of sanitary latrines, smokeless chullahs, soakpits and compost pits and provision of electricity connection under RGGVY or any state scheme
Finishing including electrical, plumbing and sanitary fittings
Integration with existing water supply and sanitary systems of the locality
States may put in place a system to measure the greenness of housing through a simple set of indicators. This could be a measure against a baseline of a standard pucca house utilizing conventional inputs such as bricks and cement concrete, with flat roofs and typical construction design.
9.4 Community / Participatory monitoring
In the meeting of the Gram Sabha to approve the annual select list, the list of ongoing IAY houses and list of houses completed during the year should be read out and copy posted in the Panchayat office notice board. A community based participatory monitoring system should be put in place utilizing the services of the SHG network under NRLM.
9.5 Management Information System
AwaasSoft is alocal language-enabled workflow-based transaction level Management Information System in place to facilitate e-governance of IAY. The System has been prepared and deployed at http://iay.nic.in by NIC in collaboration with Ministry of Rural Development. The System is designed for all stakeholders of IAY including the beneficiary. The portal http://iay.nic.in is accessible to all including the national/international community.
9.5.1 Features of AwaasSoft
- 40 -
The MIS has nine different modules designed to capture all the transactions that would be required in implementation of the scheme. The modules are:-
i. Target setting for a year
Deals with the target setting (physical and financial) at Ministry of Rural
Development, State, District, Block and Gram Panchayat levels.
ii. Beneficiary Management
Facilitates registration of the beneficiary, allowing for capturing of her personal details, Bank/Post Office Account number and Aadhaar number.
iii. Inspection / Verification of Houses
Deals with the regular inspection of houses at the level of Gram Panchayat and Block Panchayat. It also provides space for noting verification of houses by officials and monitors.
iv. Fund Management
Captures transfer of fund from Ministry of Rural Development upto the beneficiary through the various tiers.
v. Online Submission for demand of fund
Allows the Districts to submit their proposals online to the State and the States to the Ministry of Rural Development. It includes options for the preparation of Audit report, Utilization Certificate and other documents. The system calculates the amount to be released.
vi. Proposal Processing in Ministry of Rural Development
Proposals sent by the States are received by the Programme Division for processing. The status of the proposal under process can be tracked by the stake holders.
vii. Personnel Module
Captures profile of officials engaged in IAY.
viii. Grievance Redressal System
Allows stakeholders to lodge complaints and to trace the subsequent response. Complaints will escalate automatically to next higher level after every 30 days, if not attended to.
ix. Linkage with Financial Institutions
- 41 -
Captures the Account Details of all stake holders including beneficiaries and this information can be shared with financial institutions through web services or the financial institutions can access the IAY portal and give information of credit of fund into the beneficiary‘s account.
9.5.2 Process of data entry at different levels
A designated officer manages the MIS at the Ministry of Rural Development working closely with the NIC. The targets and allocation for the States once finalized would be entered by the Ministry.
At the state level, state governments have to nominate Nodal Officers who would manage the MIS. The number of instalments in which the fund would be transferred and in what proportion, the district wise targets and allocation need to be entered at the State level. The Nodal Officer would also serve as the converging point for queries and issues faced by the districts and a single window for communication with NIC in respect of AwaasSoft. The status of usage of AwaasSoft at the district level shall be monitored regularly. The reporting of special projects, house site component, etc, needs to be made separately under the corresponding provision in AwaasSoft and this should be ensured at the state level.
At the district level dedicated staff should be identified in order to manage data entry. They would continuously interact with the state Nodal Officer. The targets and allocation for the Blocks/Gram Panchayats need to be entered by them. The pendency status and exception reports generated from AwaasSoft should form the basis for monitoring. In states where the Zilla Parishad/ implements the scheme, the registration of beneficiaries on AwaasSoft, and authentication of their Bank/Post Office accounts also needs to be done by them. Where the implementation is done by Blocks/Gram Panchayats the Bank/Post Office account details should be cross checked by the district level officers. Data entry operations should be planned to ensure timely entry of information.
Regarding the uploading of photographs the operation may be carried out by the officers concerned or may be out sourced preferably to SHGs under NRLM in order to ensure that the photographs of all houses are taken and uploaded every three months, regardless of whether the inspection is done.
- 42 -
The process of data entry starts with the registration of the beneficiaries for the year. The profiles need to be complete including information on Bank accounts. The list of beneficiaries should be consolidated at the Zilla Parishad/Block/Gram Panchayat, whichever is the ultimate fund dispersing agency.
The hiring of the required staff can be charged on the 4% allowed for administrative expenses. it should be ensured that the man power hired is IT trained and are utilized efficiently.
9.5.3 Fund flow through AwaasSoft
i. The selected beneficiaries should be released first instalments through the ordersheets generated from the MIS.
ii. All transactions by the disbursing agency should be consolidated and verified at the next higher level and authenticated.
iii. The disbursing agencies should also identify two signatories for the digital signatures that would be issued in order to approve electronic generation of Fund Transfer Orders and transfer of funds to beneficiary accounts.
iv. The physical transactions of funds should follow the transactions on AwaasSoft. The entries should be made and kept updated to ensure that there is no lag between transaction on the system and the physical transaction.
The proposal for release of second instalments would be examined based on the utilization reflected in the MIS. Hence a lag in updating financial transactions would reflect as poor utilization of funds on the MIS thereby hindering further releases.
9.6 Monitoring through MIS
A number of reports are generated by the MIS which can be used for monitoring and reporting purposes. These can be drilled down to the implementing agency level. The pendency reports and exception reports generated from AwaasSoft should be used for monitoring purposes.
i. The date of sanctions would be taken as the date for start of the monitoring process.
- 43 -
ii. The inspections would have to be done before release of further instalments. The timeline for inspection should be as in para 4.12.
iii. Each inspection should be used to capture photographs of the house under construction and ensure the same is uploaded.
iv. The following parameters would be monitored in the relevant quarter of the year to ensure timely release of funds and timely completion –
Quarter
Parameters
1st and 2nd quarter
Number of completed beneficiary profiles
Number of beneficiaries from ordersheets generated
3rd quarter
Number of beneficiaries in ordersheet of
2ndinstalment
Number of houses inspected
4th quarter
Number of houses inspected
Number of houses completed
Later
Number of houses completed
To start with the minimum level of achievement the above parameters would be set by the Ministry of Rural Development and then progressively raised to full level. These would be linked to the allocation and release of funds
9.7 Training on AwaasSoft
All manpower at all levels have to be trained in data entry and management. Master trainers would be trained by the NIC and they would be responsible to train the district and block level operators. The people using digital signatures shall be trained and enlightened about the security aspects of using them. The use of emails for communication between the state nodal officer and district officers concerned may be emphasized in order to make it faster and efficient. The detailed user manual for AwaasSoft is also available on the portal.
****
- 44 -
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