In exercise of the powers conferred by
sub-section (1) of Section 32 read with sub-section (3) of Section 23 of the
National Rural Employment Guarantee Act, 2005 (Central Act No:42 of 2005) and
sub-paragraph (14) of Paragraph 6 of Andhra Pradesh Rural Employment Guarantee
Scheme (APREGS) notified by the State Government in G.O. Ms. No. 27, P.R.
& R.D. (R.D.II) Dept, dt 28.1.2006 read with sub-paragraph (16) of
Paragraph 6 of the modified NREGS. A.P. 13-12-2007 notified in G.O. Ms. No.
550, P.R. & R.D. (R.D.II) Dept., dt. 6/12/2007, the Governor of A.P. hereby
makes the following rules to establish Social Audit as an open and inclusive
Monitoring & Evaluation (M&E) tool under the National Rural employment
Guarantee Act and also as a means to increase transparency and accountability
in administration. It is expected that the social audit exercise will educate
the primary stakeholders to verify the records themselves and to enable them to
conduct similar exercise by themselves. These rules may be called the National
Rural Employment Guarantee Scheme - AP Social Audit Rules, 2008. In these rules unless the context
otherwise requires:- (a)
"Act" means the National Rural
Employment Guarantee Act, 2005. (Central Act No.42 of 2005) (b)
"Civil Society" means any village
community, non-official public spirited group or individuals who expressed in
writing an interest or choose to participate in the public vigilance process in
general and Social Audit process in particular. (c)
"Commissioner" is the Commissioner
of Rural Development who is responsible for taking follow up action on the
findings of the social audit at the State level which could not be resolved at
the Mandal Public Hearings. (d)
"District Programme Coordinator"
means the District Collector who is responsible for facilitating the conduct of
social audit in the district, for smooth conduct of Social Audit Gram Sabhas
and to take follow up action on the social audit report in the Mandal Public
hearings. (e)
"Government" means the State
Government of Andhra Pradesh. (f)
"Gram Sabhas" shall ordinarily mean
a body consisting of persons registered in the electoral rolls relating to
a village comprised within the area of Panchayat at the village level as
defined in the Constitution of India or A.P. Panchayat Raj Act, 1994 and
rules made there under. However, for Social Audit purposes, Gram Sabha
could mean meeting of one ward, village or habitation constituting residents of
part of a Panchayat. (g)
"Implementing Agency" includes any
department of the Central Government or State Government, Zilla Parishad,
Panchayat at intermediate level, Gram Panchayat or any local authority or
Government or authorized by the Central Government or the State Government-to
undertake the "implementation" of any work taken up under the NREGS (h)
"Mandal" means a community
development area within a District comprising a group of Gram Panchayats. (i)
"Minimum wage" in relation to any
area, means the minimum wage fixed by the State Government under section 3
of the Minimum Wages Act, 1948 for agricultural labourers as applicable in that
area. (j)
"Notification" means notification
published in the Andhra Pradesh Gazette and the word "notified"
shall be construed accordingly. (k)
"Official Functionary"shall mean
all public servants either appointed by Government or elected by the
public holding public office. (l)
"Primary Stakeholder"means the wage
seekers and their families who have worked under the EGS, and residents of
the village where the EGS works are being carried out. (m)
"Programme Officer (PO)" means the
Mandal Parishad Development Officer. (n)
"Resource Persons" mean the persons
who will carry out the training and capacity building process for the
Social Audit process. (o)
"Social Audit Gram Sabha" is the
special Gram Sabha to be held at least once every six months for this
purpose.(Gram Sabha procedures regarding quorum, chair, announcement etc. would
also apply to the Social Audit Gram Sabha). All words and expressions used but
not defined in these rules have meaning assigned to them under the National
Rural Employment Guarantee Act, 2005. (p)
"Social Audit of a Scheme" means
auditing of a scheme by the primary stakeholders of the Scheme or with the
active involvement of the primary stakeholders of the scheme. In context of
National Rural Employment Guarantee Scheme -AP, Social Audit includes
verification of works, or facts on ground vis-a-vis official records taking
into account the recorded or oral evidence, which is aided and facilitated by
civil society organizations and/or Government. (q)
"Government Orders / Memos / Executive
Instructions" means the orders issued by the Government of Andhra
Pradesh to indicate the process to be followed during a Social Audit. (r)
"Social Auditors" means the members
from the labourers' families or labourers themselves who shall be
identified by the resource persons in an open Gram Sabha, trained in Social
Audit processes and who will carry out the Social Audits and present the
findings in the Social Audit Gram Sabha. (s)
"Society" means the Society for
Social Audit, Accountability and Transparency (SSAAT) registered under the
Societies Act and which is the apex body at the State level for overseeing the
process of social audits in mandals. (t)
"Village Organisation of SHGs"
means the federation of all SHGs at the village level facilitated by the
Society for Elimination of Rural Poverty (SERP) (u)
"Ward Sabha" means the meeting held
at the ward level defined by the A.P. Panchayat Raj Act/Rules. (v)
"Zone" is a cluster of adjoining
districts as defined by Government in Panchayat from time to time. In order to provide support to the
Gram Sabhas to carry out the functions as described in the Act in sections 15
& 17, the State Government shall facilitate a resource base in the
following manner. (a)
A social audit unit which is independent of
the implementation structure shall be responsible for coordinating the social
audit processes in the state. (b)
The Rural Development Commissionerate shall
enter into an MOU with the unit which will be headed by a Government officer
and consist of senior resource persons, for conduct of social audits. (c)
State Resource Persons (SRPs) are drawn from
Civil Society Organizations who are having experience and worked on
strengthening and establishing people's rights at the grass root level and
who are specifically trained in the social audit processes. They will be the
resource base at the State and District level for carrying out training and
capacity building in social audits on an ongoing basis. (d)
District Resource Persons (DRPs) are social
activists selected from Civil Society Organizations and from the field level
persons who have participated in social audits. The DRPs are allocated for
conduct of social audit selecting randomly within the zone. (e)
Village Social Auditors (VSAs) help the DRPs
in conduct of the social audit by mobilizing the primary stake holders for
participating in the social audit. They shall not conduct any audit in their
native village and shall be allotted for social audit on a random basis. (f)
Identification of various Social Auditors and
their training shall be done as per the Government Orders, Memos and Executive
Instructions issued by the State Government from time to time. (a)
The Social Audits of the National Rural
Employment Guarantee Scheme shall be carried out in every mandal at least once
in every 6 months. (b)
The schedule for conduct of social audits for
each month will be decided at the beginning of every year by the Society in
consultation with the district administration. (c)
Social audit in a mandal shall be taken up in
all the villages simultaneously. The Social Audit Team will file an
application before the Program Officer under the Right to Information Act.
2005, for relevant information on the Employment Guarantee Scheme in Form
I at least a fortnight before the Social Audit commences (a)
The records called include the following
details: Shelf of works, GP resolutions. Technical Estimation and Sanction
(work wise), Administrative Sanction, Work commencement order, Muster Rolls,
Pay orders, Measurement sheets, Work done report, Material payment vouchers and
bills. Consolidated Muster roll, and the Final report. (b)
The Programme Officer shall provide the
required information within 7 days of the receipt of the application without
fail. (c)
Failure to provide records will automatically
result in disciplinary action on the Programme Officer, apart from penalties
under the RT1 Act. (d)
Whereas disciplinary action shall be taken on
such programme officers who do not furnish the records to the social audit
team, without wasting time, the social audit team should collect the required
data from online database and start their social audit. Under no circumstance,
the conduct of social audit be postponed on this ground. (a)
The Program Officer shall notify in writing
to all the Public Representatives and also concerned staff implementing the
National Rural Employment Guarantee Scheme well in advance to ensure that they
are kept informed about the process and are present at the Social Audit Gram
Sabha as well as the Mandal level Public Meeting. (b)
He shall also inform the Sarpanch to convene
social audit Gram Sabha on the expected date of completion of social audit. As a part of the Social Audit of
National Rural Employment Guarantee Scheme in the village the following
activities are undertaken: (a)
Thorough verification of Muster Roll entry
and payments made in the time period specified for Social Audit by establishing
contact with the wage seekers whose names are entered in the muster rolls; (b)
Work site verification; (c)
Focused group discussions and holding of Ward
Sabhas / habitation meetings with the primary stakeholders including special
meetings in the Scheduled Caste/Scheduled Tribe localities on various aspects
of the implementation of the National Rural Employment Guarantee Scheme; (d)
Recording the written statements of the
labourers on any issue as well as filling of the Social Audit formats and
writing reports. (a)
After completing the social audit, the social
audit team shall hold a social audit Gram Sabha for which the date shall be fixed
well in advance. (b)
Sarpanch of the Gram Panchayat shall convene
the Gram Sabha as per the requisition of the social audit team. (c)
The primary stakeholders and the village
community shall be informed about the Social Audit Gram Sabha by the social
audit teams as well as the Administration to ensure full participation. (d)
In the Social Audit Gram Sabha, the following
items shall be deliberated: (i)
Findings of the social audit would be read
out and the responses if any shall be recorded. (ii)
Informing people about their rights and
entitlements under the Act. As a culmination of the social audit
process in the Mandal, after the Gram Sabhas are held in all the villages a
social audit public meeting will be held at the mandal head quarters. The wage
seekers, Peoples' representatives, the official functionaries of the EGS and
the media may participate in the meeting. The meeting will be conducted as
follows: (a)
District Programme Officer shall be
responsible for making arrangements for the smooth conduct of the mandal public
hearing. (b)
District Programme officer shall nominate a
senior officer not less than the rank of the Additional District Program
Coordinator for presiding over the public hearing. (c)
All the Public functionaries involved in
implementation of social audit in the mandal shall be invited by the programme
officer for the meeting, along with all the primary stakeholders. (d)
In the meeting, the action taken report on
the last social audit conducted will be read out. After this, the current
Social Audit findings will be read out village-wise and the
concerned official functionary shall respond to each of the issues
identified in the social audit by giving a clarification or an explanation to
the affected party and the public as to why a certain action was taken or not
taken. In case of inability to carry out rectification action in the meeting,
the Official functionary will specify the time period and nature of action to
be taken by him/her to rectify a gap or a lapse in the implementation as the
case may be. (e)
The senior officer presiding over the meeting
shall announce the decision on each finding of the social audit in the public
hearing after the evidence is presented by the social audit team and the
version of the official functionary is heard. In cases of gaps, lapses or
deviations, the senior officer shall fix responsibility and take immediate
corrective or disciplinary action as prescribed from time to time by the
Government. (f)
In the event the presiding officer decides on
a disciplinary action, the process as outlined in the conduct rules shall be
started by issuing charge memo within 7 days from the date of completion of the
Mandal Public hearing. After giving opportunity for personal hearing and
considering the explanation given by the functionary, final orders shall be
passed in each case within 30 days from the date of completion of mandal public
hearing. (g)
In cases of grave offences where any person
is found to have misappropriated amounts exceeding Rs. 1 lakh,the presiding officer
shall order registering criminal case under relevant provisions of Indian Penal
Code, in addition to departmental action if any. The case has to be filed by
the Programme Officer in the Police Station and APD shall monitor action in the
matter. (h)
Where the persons found to have
misappropriated funds repay the same in the public hearing, the same shall be
deposited in the account designated by the Commissioner and a receipt issued to
the person then and there. If the amounts so recovered rightfully belong to
wage seekers, the same shall be returned to them within 7 days from the date of
recovery of such money. (a)
Social audit has to be an ongoing process of
public vigilance. Therefore, the statutory requirement of carrying out
Social Audits twice a year shall facilitate independent initiatives by the
primary stakeholders to carry out independent Social Audits as per the demand
of the wage seekers. (b)
For this purpose, after the completion of the
social audit in the village, the Village Social Auditors (VSAs) in the village
along with the other primary stakeholders would undertake social audit
concurrently at least once a month and on their own by following the process of
social audit in Rule 5 (a) and (b) above. (c)
Government agencies shall support such
initiatives by providing copies of records as per RTI Act. (d)
Reports submitted in such a process shall
form part of the record, and shall be responded to by the implementing
agencies. (e)
Where shortcomings are found immediate action
must be taken as per these rules. The report of the concurrent social audit as
well as the action taken report must be placed before the next Gram Sabha. (f)
For following up on the findings of social
audit and provide hand-holding support to the process, there shall be a monthly
meeting at mandal level with all the VSAs who have done concurrent social
audit. Prompt action shall be initiated on all the observations made in the
concurrent social audit in the monthly meeting by the Programme Officer. It shall be the responsibility of the
District Programme Officer and the Commissioner to take follow up action on the
social audit observations. In this context, the following shall be ensured: (a)
Any issue which is raised during a Social
Audit or any item in the Social Audit report that indicates a contravention of
the Act or a shortcoming in the implementation of National Rural Employment
Guarantee Act should automatically be interpreted as a "complaint"
under the Grievance Redressal Section of the National Rural Employment
Guarantee Act, 2005. (b)
The DPO shall ensure that action shall be
completed as per the social audit observations finalised in the mandal public
hearing within 14 days from the date of completion of the public hearing. (c)
Where there is a dispute in the findings of
the Social Audit the administration shall cause an enquiry and shall decide on
the issue at the earliest and not later than one month (d)
All cases remain unresolved for 15 days from
the date of conduct of the public hearing shall be taken up by the Commissioner
for follow up and effective resolution. (e)
Wherever, in the course of a Social Audit, if
evidence, through written and oral testimonies against those who have
misappropriated money is established, action shall be initiated for recovery.
This action for recovery shall be without prejudice to action to be taken
against the person under the relevant laws; provided that wherever it is
established that these irregularities / extractions have had a direct relation
to wage payments under National Rural Employment Guarantee Act and the amount
shall be paid back to workers within a period of a week. The Social Audit is an independent
evaluation of the work done by the implementing agency. Any attempt to
interfere or influence the process by the administrative machinery will be
dealt with sternly. All the official functionaries of NREGA shall cooperate in
conduct of the social audit. In this context, the following responsibilities
have been fixed on the officers as stated below: (a)
The Project Director/Additional Project
Director: (i)
Shall ensure that administrative machinery
cooperates in the required manner while conducting a social audit processes. He
shall ensure that the records are submitted to the social audit team without
delay. (ii)
Shall necessarily attend the Social Audit
Public Meetings. (iii)
Responsible for monitoring the corrective
action as per the Social Audit findings including disciplinary cases as per
Civil Services Rules; or criminal cases as (iv)
Shall ensure that recoveries are facilitated,
and in cases where those who have indulged in embezzlement return the money.
For the money so returned, receipts shall be issued; and dues paid to the wage
seekers within seven days of recovery. (b)
Program Officer and Additional Program
officer: (i)
Shall provide copies of the records and
information as requested for the social auditors immediately on filing the RTl
application. (ii)
Shall communicate in writing information
regarding the Social Audit process and date of the Social Audit Gram Sabha to
the EGS functionaries, public representatives and wage seekers on the SA
process. (iii)
Shall inform the Sarpanch of Gram Panchayat
for convening of the social audit Gram Sabha on the last day of the social
audit in the village. (iv)
The MPDOs /Additional Program Officers along
with the EGS functionaries shall necessarily participate in the social audit
public meeting. (v)
Shall take immediate corrective action on the
issues arising out of social audits and shall ensure that decisions taken
during Social Audit public meeting translate into administrative action. (vi)
Shall dispose off any dispute or complaint
recorded in the Social Audit report. (vii)
Shall give access to the village social
auditors and 'abourers' representatives to attend the bi - weekly appraisal
meetings and apprise them of the action taken by the Administration. (a)
The social audit teams including the SRPs,
DRPs and the VSAs shall necessarily follow the code of conduct laid down below. (i)
The social audit shall exhibit high standards
of impartiality and integrity in their operation. (ii)
They shall conduct themselves with dignity in
the village. (iii)
They shall stay only in the houses of wage
seekers. (iv)
They shall accept the food arranged by
Village Organization of SHGs only. VO shall be paid Rs. 100 per day persocial
auditor to cover the expenses by the DRP. (b)
Services of any social auditor violating the
above code of conduct shall be summarily dispensed with. With a view to ensuring proper
coordination between the social audit and the Government machinery, and to
ensure complete objectivity in the process, Commissioner Rural Development
shall Constitute special task force teams at State level with senior officers
of Rural Development department to crosscheck the functioning of SRPs/ DRPs
and the findings of the social audit report. Such Random cross-checking should
help in process evaluation and transparent conduct of social audit and to
dispel doubts on the social audit methodology. The costs of establishing and running
a Social Audit Cell and conduct of social audits, shall be met from
administrative costs allowed for N'REGS.THE NATIONAL RURAL EMPLOYMENT GUARANTEE SCHEME AP SOCIAL
AUDIT RULES, 2008
PREAMBLE