United Nations Public Service Awards Case Studies

Nagaland (http://nagaland.nic.in) is a hill state of India formed as the 16th State of Indian Union on 1st December 1963. It is located in the extreme North-Eastern end of India, bounded by Myanmar on one side and the other North-Eastern States of India on the other sides. It has an area of 16,527 sq. km. and a population of 1,988,636. It has seven administrative districts inhabited by sixteen major tribes along with other sub tribes. With its vibrant culture, customs, heritage as well as warmth and hospitability of its people, Nagaland is very rich in social capital.

Prior to the implementation of the Communitisation Scheme (the initiative) in Nagaland, public institutions, particularly those that should offer the most in terms of human development and better quality of life – namely, Health, Education and Power (electricity) - were in a moribund state. The massive welfare infrastructure and network of public service delivery institutions were ineffective and dysfunctional. A strongly felt and unmet need was how to revitalize the service delivery network and bring about systemic improvements.

What is the initiative about? (the solution)
As a result of the Communitisation Scheme, covering the areas of health, education and utilities (electricity), there was marked improvement in the attendance of teachers and students (to greater than 90%), in enrolment of students (by 50%-500%), in dropout rates (falling to near 0%) and in performance in examination results (with near 100% pass rate). There was also better availability of textbooks, of the required type and in required quantity. With the growing popularity of the communitized schools, many private schools closed down, with a significant percentage of their students shifting to the former. In Health Centres, the attendance and availability of doctors and health staff improved significantly (in the range of 90%-100%). Unauthorized absence came down drastically (to near 0%) and medicines of the required type and in the required quantity became available. The number of patients willing to visit and get treated at the communitized village dispensaries increased by 50%-100%. In regard to electric power supply, the Village Electricity Management Boards (VEMB) undertook repairs and replacement of faulty electricity meters and took care of the small-time requirements on infrastructure through the 20% rebate that the Electricity Department was providing them, on billed amounts. This resulted in a greater initiative and drive to collect dues from consumers, resulting in fewer defaults. The VEMBs were authorized to disconnect the power supply to the erring households too, with the result that revenues improved by about 250%, with the billing rate rising to cover 85%-100% of what was due). Power thefts got effectively controlled. There was increased electrification of villages, with more funds becoming available. These changes led to desirable qualitative outcomes like greater transparency, accountability, responsiveness, improved service levels and quality, enhanced citizen's role, active involvement and participation of stakeholders, facilitation of democratic processes and improved functioning of public institutions. The leveraging of social capital and reduced corruption were very evident from the Initiative. Villagers started debating among themselves and then decided on what was good for them collectively, which resulted in a feeling of empowerment and a sense of greater satisfaction. Village Committees that received funds (both one time and recurring) from the Government for Health and Education were responsible for disbursing the same to schools and teachers as well as to health centres, doctors and medical staff. The Committees followed the principle of "No Work - No Pay". Hence, greater transparency (on the actual sums received), accountability and answerability (as regards work output and performance) resulted. As the complete status of fund utilization was displayed on public notice boards by the respective Committees, citizens knew how much money was actually sanctioned and utilized for various activities. This increased the faith of the citizens in the working of public institutions, resulting in better service delivery in quality and quantity, such as in improved enrolment, attendance and performance of students in exams, timely vaccinations for children, etc.

Who proposed the solution, who implemented it and who were the stakeholders?
The nominee, Mr. R.S. Pandey, the then Chief Secretary of the Government of Nagaland, conceptualized the initiative and also coined the term "communitization" as a more effective means of conveying the concept underlying the scheme than "decentralization". He prepared the concept note and facilitated discussions on it at various levels. He drafted the note for the consideration of the State Cabinet, and played an instrumental role in securing the Cabinet’s approval for it. Under Mr R.S. Pandey’s Chairmanship, rules for the Communitisation of different sectors – namely, education, health and power supply - were finalized by different committees constituted for the purpose. He also involved himself actively in their implementation. He helped sort out the initial difficulties and teething problems. He regularly monitored the programme. He is widely acknowledged and regarded as the architect and the driving force behind this unique initiative and is singularly credited with its huge success. The active involvement of the political leadership, bureaucracy, civil society and the church in implementing this innovative and novel approach was a distinguishing feature of this Initiative. The Village Councils and the Development Boards played a supportive role in the new dispensation. The villagers too started making voluntary contributions in cash, kind and/or labor (social work) for developmental activities as well as for the creation of productive and long-lasting physical assets. Members of the village communities were so enthused by the Initiative and its success, they voluntarily participated in: (a) enhancing awareness about the benefits of the Communitization programme; (b) cleaning the school premises and in fencing the compound in their free time and on holidays; (c) conducting tuition classes in the evenings for the poorly performing children; (d) cooking mid-day meals by turns; (e) contributing to vocational activities like carpentry, basket making, etc; (f) preparing educational kits and teaching aids; (g) growing fruits and vegetables in the kitchen gardens attached to the health centres; (h) conducting competitions for the students of all nearby schools; and in (i) in building awareness about important issues of common concern like HIV/AIDS, environmental protection, etc.

Describe how and when the initiative was implemented by answering these questions
a. What were the strategies used to implement the initiative? In no more than 500 words, provide a summary of the main objectives and strategies of the initiative, how they were established and by whom.
The priorities and purposes of the Initiative were to bring in democratic decentralization of power, the sharing of responsibilities of governance with people and improving the institutional service delivery at the grass roots level. The strategy adopted was based on the tenet that when the empowered (e.g the governmental machinery) are not adequately motivated to perform, it would make sense to empower those who have the motivation! Accordingly, a unique partnership between the Government and the communities was mooted. Village- and Town-ward level Committees were formed for the three chosen sectors. It was ensured that the Committees were broad-based in accordance with the guidelines and rules put in place, with judicious stakeholder representation, with at least one woman-member inducted into each Committee. Ownership of the assets of the Government Schools, Hospitals etc. was transferred to the communities under the guidance and superintendence of the Committees. Resources too were transferred from the Government to the communities, both for Capital and Revenue expenditure. Training of the communities and the employees of the Government was taken up in a big way by the Government, leading to their capacity building. The three 'T's namely, Trusting the user community, Training them and Transferring the Governmental powers and resources to them in respect of management of assets and resources were the key strategies that transformed the administration, enhancing the citizen's role, involvement and participation, and revitalizing the service delivery.

b. What were the key development and implementation steps and the chronology? No more than 500 words
Building awareness, appreciation and conviction for the envisaged positive outcomes of the Initiative through a consultative and participative process was the first step in the successful implementation of the Initiative. Support from the political leadership, bureaucracy, civil society and the Church was then enlisted. The enabling legislation in the form of "The Nagaland Communitization of Public Institutions and Services Act, 2002" that followed was the foremost formal step in the implementation of the Initiative. Government rules, forms and formats were accordingly amended. Constitution of the Village Councils (VC), Village Education Committees (VEC), Village Electricity Management Boards (VEMB), Village Health Committees (VHC) and the Village Development Boards (VDB) established the structure of citizen-led governance at the grass roots level. Capacity-building of the Committees, user communities as well as the Government officials then ensued, so that all concerned were clear about their respective roles, responsibilities, powers and obligations. Transfer of the ownership of Governmental assets, Governmental powers as well as the Resources for capital and revenue expenditure to the Village Committees proved to be the next decisive step in the democratic decentralization of power. The Government ensured critical supervisory support and guidance to the Committees as well as to the user communities. Consequently, teething problems were ironed out and issues of concern were addressed and resolved. Apart from publishing and widely circulating the enabling Act and Rules to all the stakeholders, the Government, facilitated greater transparency by bringing out a large amount of literature and published material. With this, all stakeholders were constantly aware of the Communitization programme and its progress from time to time. Some of the publications that were brought out were (a) Handbooks on Communitization for the education, health and the supply of power; (b) Guidebooks for the Committees; (c) Experiences of communitization; (d) What the Committees and user communities have to say about the Programme; and (e) Teaching-Learning Charts and Aids

c. What were the main obstacles encountered? How were they overcome? No more than 500 words
Since the Initiative was the first of its kind in the country (India), the concept of Communitization itself had to be "sold" in a convincing manner to all the stakeholders, viz. political leadership, government functionaries, user communities and the Church. Mr. R.S. Pandey who piloted the initiative could successfully explain the concept as a much more effective means of citizen participation and empowerment than mere de-centralization of powers. The philosophy that communitization is an alternative to privatization and management by Government was also effectively put forth. It was driven home that this philosophy effectively combined the best of both approaches, by supplanting the private profit motive with enlightened collective self-interest. Its envisaged benefits became clear to all, through wide-spread discussions and deliberations involving the stakeholders at various levels. As was expected, the Government servants were unwilling to let go of their powers, privileges and authority. This resistance had to be overcome through persuasion within the Government, a task led from the front by Mr Pandey. The user communities and citizens too, on their part, were reluctant to take up (additional) responsibilities as they felt that the Government was abdicating its own responsibilities of service delivery. Mr Pandey and his team put in good efforts with success and convinced the citizens that the proposed Initiative was in fact a unique partnership between the Government and the community and that the citizens would have all the say in the management of resources, resulting in their better utilization. This would ultimately benefit the user communities themselves in terms of better and increased efficiency of outputs and effectiveness of outcomes. The Church too played an instrumental, enabling, supporting and facilitating role in awareness building and successful implementation of the Initiative, by strengthening the efforts and hands of the Government and convincing the village communities on the benefits of the envisaged Initiative as well as removing their misgivings. Enthusiasm of and participation by the communities too had to be sustained and powerful campaigns through print and hence, digital media were conducted leading to greater information sharing, improved transparency and experiential learning. The overarching, enabling provision for the Initiative that brought about legitimacy and enforceability was the Nagaland Communitization of Public Institutions and Services Act, 2002. Thus the Government of Nagaland, led by then Chief Secretary Mr. R.S. Pandey, used a judicious mixture of engagement, education, enactment and enforcement to overcome obstacles, leading to voluntary, widespread acceptance of the Initiative by the stakeholders.

d. What resources were used for the initiative and what were its key benefits? In no more than 500 words, specify what were the financial, technical and human resources’ costs associated with this initiative. Describe how resources were mobilized
The novelty and uniqueness of the Initiative was such that it did not call for any additional resources than were already being spent or engaged, in the form of material, manpower or finances. The Programme essentially leveraged the rich social capital of Nagaland and ensured the active involvement and participation of the local tribes, user communities and the Church. The political leadership provided the much needed encouragement. Guidance and oversight support, so critical in programmes with mass involvement such as the Communitization initiative, were ensured by the bureaucracy. The Village-level Committees, Councils and Development Boards were duly empowered, with the Governmental powers, assets and funds being transferred to them under an enabling State Act. They used the available resources innovatively and effectively, enlisting the participation of the user communities in decision-making. The Government ably addressed the issue of capacity-building of the village communities, Committees as well as the government functionaries, in a manner such that all concerned were made aware of their roles, responsibilities, obligations and authority. Villagers voluntarily assumed developmental, managerial and monitoring roles contributing in cash, kind and labor (social work) leading to the generation of productive assets and qualitative outcomes. In the power sector, the revenue collections improved substantially after the implementation of the Initiative, resulting in further infrastructure creation, repair and maintenance works as well as electrification of additional villages. The Village-level Committees acted with discretion and discernment, using the resources in a manner such that gains to the community were maximized. With Communitization becoming a household concept, it percolated well to the grass roots level and made a lasting impression on the village communities, resulting in wide-spread awareness, recognition and appreciation of as well as encouragement and support to and participation in the various developmental activities, ensuring a smooth flow of resources.

Is the initiative sustainable and transferable?
Yes. The enabling legislation in the form of "The Nagaland Communitization of Public Institutions and Services Act, 2002" constitute a firm and key step towards sustainability. Flowing from the legislation, a set of enabling rules too were formulated and widely circulated, facilitating the 'paradigm shift'. The Government, forms and formats for financial transactions were amended to suit the new system, in consultation with the competent authorities like the Accountant General. Widespread awareness and appreciation for the concept were created and consequently, encouragement and support for the Initiative were readily forthcoming from all quarters. Communitization had thus become a household concept. With qualitative and quantitative improvements witnessed in all the three sectors in which the Initiative had coverage (Education, Health and Electricity), there was very little doubt about the viability of the Programme or its continuance. The Programme was universalized throughout the State of Nagaland, based on its success. In fact, spurred by its success and response, the Programme was extended to Water Supply and Rural Tourism sectors too in Nagaland. A sense of propriety, ownership, empowerment, commitment, belongingness, identity and pride was apparent among the user communities, after the implementation of the Communitization initiative. His Excellency, the then President of India, Dr A P J Abdul Kalam, on his visit to Nagaland on 26th Oct. 2002, lauded the Initiative and spoke of its potential as a model for the whole country to follow. The (then) Prime Minister of India, Mr. A B Vajpayee, on his visit to Nagaland on 28th Oct. 2003, commended the State's Communitization efforts and spoke of the Initiative being a model for other States of India to follow. A UNICEF supported Study titled "Communitization and Resurgence of Naga Social Capital", conducted in 2004 as an impact assessment of the communitization of public institutions and services in Nagaland recorded several significant quantitative and qualitative improvements and socio-economic impact brought out by the Initiative, highlighting its potential for replicability. A TV News Channel of India, ND TV 24x7 brought out and telecast a 30-minute special report titled "Nagaland: The People Take Over", extolling the success of Communitization in Nagaland and motivating others to follow suit. Mr R.S. Pandey won, the first ever "Prime Minister's Award for Excellence in Public Administration", instituted in 2006 for the Communitization initiative he championed in Nagaland as its Chief Secretary. This initiative was a nomination for the Prime Minister’s Award for Excellence in Public Administration, 2006. ASCI, which is assisting the Government of India in implementing the award scheme, conducted a spot study of the Initiative in November 2007 and found the outputs and outcomes claimed under the initiative were indeed true and that the Initiative does score highly on several aspects critical to any good governance initiative like innovativeness of idea and replicability, increased efficiency of outputs and improved effectiveness of outcomes, display of leadership and teamwork, improved stakeholder participation , transparency and sustainability.

What are the impact of your initiative and the lessons learned?
The idea was innovative inasmuch as it recognized and leveraged the rich social capital of the local tribes and communities. The principle of three 'T's, viz. Trusting the village communities, Training them and Transferring powers to them proved right and worked very well. It became evident that the empowered user communities, when bestowed with powers as well as funds (through an enabling legislation) are capable of taking decisions and managing the service-delivery institutions well. The service-delivery Committees duly recognized their roles, responsibilities, powers and obligations, functioned in an inclusive and effective manner, fulfilling the faith and trust the Government reposed in them. The Church (more than 95% of the population of Nagaland is Christian) too played an enabling and facilitating role in the task of awareness building and successful implementation of the Initiative.


Institution Name:		Government of Nagaland India
Institution Type:		Government Department
Contact Person:		Raghav Sharan Pandey
Title:		The Then Chief Secretary, Government of Nagaland
Telephone/ Fax:		91-11-23063489; 91-11-23063912
Institution's / Project's Website:		91-11-23013236
E-mail:		secsteel@nic.in
Address:		Secretary to the Govt. of India, Ministry of Steel, Room No. 291, Udyog Bhavan,
Postal Code:		110011
City:		New Delhi
State/Province:		New Delhi
Country:		India

The Problem

Solution and Key Benefits

Actors and Stakeholders

(a) Strategies

(b) Implementation

(c) Overcoming Obstacles

(d) Use of Resources

Sustainability and Transferability

Lessons Learned

Contact Information