Arghyam partnered with FourthLion Technologies to conduct research to understand and map the processes and bottlenecks in the implementation of Individual Household Latrine (IHHL) component of Swachh Bharat Mission (Gramin) across three states.

1. Enhancing the Implementation of SBM (Gramin)
Evidence from Andhra Pradesh, Karnataka and Rajasthan

2. 1
Table of Contents
Introduction1
Research Summary2
Research Methodology3
Schema - SBM Implementation Process4
Summary of Implementation Issues6
Best Practices7
Overall Recommendations8
Findings5

3. 2
Introduction
Research Scope
Arghyam partnered with FourthLion Technologies to conduct research to understand and map
the processes and bottlenecks in the implementation of Individual Household Latrine (IHHL)
component of Swachh Bharat Mission (Gramin) across three states
● Create demand by triggering
‘Behaviour Change’
● Mechanism of ‘Trigger’ plus
Incentives to construct quality toilets
● Institute a strong administrative
structure
SBM (G) Salient Features Monitor Implementation
Outputs (Construction) and
Outcomes (Usage) will be
monitored
SBM Impact
Attain 100% Open Defecation Free
India by 2019

4. Open Defecation in 3 States: Target vs. Achieved
Target*
(in lakhs)
Achieved⁺
54.99
27.1%
KARNATAKA
83.69
20.9%
RAJASTHAN
49.85
9.9%
ANDHRA PRADESH
*2012 Baseline Survey. ⁺ Total Sanitation Campaign Website, Oct 4, 2015 3

5. 4
Research Methodology
Field studies
conducted
simultaneously
in 3 states:
Andhra Pradesh,
Karnataka and
Rajasthan
To understand the concerns with regards to the implementation of the programme in
the following areas
Three aspects were mapped against each
of the processes
Four process categories
subdivided to identify high
level processes involved
Demand generation
and application
Toilet construction
and verification
Fund disbursement to
beneficiaries
Audit
A
B
C
D
Roles and responsibilities: Identify
functionaries and their roles at each
of these process steps
A
Technology: Lays out the usage of
tech-applications throughout the
process
B
Issues/problems: Various
bottlenecks or gaps at each step,
such as in data/paperwork, IEC,
accountability, funds, and technology
C

6. 5
Schema - SBM Implementation Process
*Integrated Management Information System
1. Baseline Survey – 2012
Baseline survey done by
states to identify
households without toilet
2. IEC/IPC Campaign
Trigger individuals/community to construct toilets
3. Beneficiary Applies
Beneficiary approaches
Panchayat expressing
desire to build a toilet
4. Application
Beneficiary application
approved and construction
sanctioned (technology
options in some States)
5. Data Entry
Beneficiary details are
entered into the system
6. Construction
Beneficiary begins
construction
7. Toilet Verification
Officials verify construction
by taking photos of
construction process
8. Final Approval
After photo verification,
payment order is
generated and forwarded
for approval
9. Payment Order
After approvals, payment
order is generated and
sent to the bank
10. Payment by Bank
The incentive is transferred
to the beneficiary’s
account
11. Incentive Delivery
Beneficiary receives her
incentive. The details and
photo are uploaded into
IMIS*

7. 6
Findings: Andhra Pradesh
Roles & responsibilities Technology Issues/ProblemsProcess Categories
Aspects
Demand generation
and application
● Limited institutionalization
of IEC
● Absence of motivated
Swachhata Doots at the GP
level
● Application - Lack
automated checks and
alerts
● Triggering Activities
○ Not Standardized
○ Not Customized
● Application processing is uneven
● Inefficient beneficiary identification process
Toilet construction
and verification
● Insufficient number of
personnel for verification
● Processes defined not being
adhered to
● Few checks and
balances
● Inadequate dedicated personnel
Fund disbursement
to beneficiaries
● Insufficient number of
personnel in fund disbursal
processes
● Lacks alerts to prevent
delays
● No upfront payment
● Delayed incentive payment
● Absence of revolving fund
Audit
● Not Incorporated ● Absence of technology
enabled mechanism
● Social Audit system in districts absent

8. 7
Proposed Measures: Andhra Pradesh
Process Categories Measures
Demand generation
and application
Toilet construction
and verification
Fund disbursement
to beneficiaries
Audit
● Standardise and customize demand generation activities
● Involve community and NGOs to improve demand generation
○ Feedback Foundation in Rajasthan, and Arghyam in Davangere, Karnataka effectively educate local
functionaries and beneficiaries to drive demand for sanitation
○ Taluk Resource Group (Mandya, Karnataka) - addressing last mile problem in achieving SBM outcomes
● Institutionalize Swachhata Doots to trigger demand and assist households
● Incorporate technology solutions to systematize application process
○ Addition of flags and alerts (not currently available) to ensure that each stage of the process
progresses in a timely fashion
● Enhance State level MIS and eFMS system to have checks and balances
● Incorporate Timelines in the Social Audit process
○ State Social Audit Directorate in Karnataka issued one month timeline to ensure timely audits
● Integrate the SBM Social Audit with NREGA Social Audit to ease implementation redundancy
● Involve voluntary monitors at community level to bring in ownership and sustain the process

9. 8
Findings: Karnataka
Demand generation
and application
● Limited institutionalization
of IEC
● No defined resources /
activities to trigger demand
● Large volumes of work
orders and low internet
connectivity restricts
effectiveness
● Triggering Activities
○ Not Standardized
○ Not Customized
● Inefficient beneficiary identification process
Toilet construction
and verification
● Positions not filled/defined
as per the SBM Guidelines
● Absence of technology
aided verification
process
● Not continuously monitored
● Deviant construction
Fund disbursement
to beneficiaries
● Insufficient number of
personnel
● Fund flow tracking is
absent
● No upfront payment
● Incentives delayed
● Absence of revolving fund
Audit
● Lack of coordination
between agencies
● Inadequate ● Audits not outcome oriented
Roles & responsibilities Technology Issues/ProblemsProcess Categories
Aspects

10. 9
Proposed Measures: Karnataka
Process Categories Measures
Demand generation
and application
Toilet construction
and verification
Fund disbursement
to beneficiaries
Audit
● Standardise and customize demand generation activities
● Involve community and NGOs to improve demand generation
● Institutionalize Swachhata Doots to trigger demand and assist households
● Monitor IEC activities at state level and handhold districts to design IEC campaigns to make execution
process-driven as opposed to person-driven
● Provide opportunities (capacity building / trainings ) to Block/GP officials/Consultants to attract high
performance and ensure commitment
● Technology solutions to reduce workload application process
● Refine Panchatantra to allow two stage payment process and track fund-flow
○ Two stage payment ensures fund availability for beneficiaries
○ In Karnataka, CEOs of Koppal and Shimoga are taking initiative to actualise this
● An autonomous Social Audit Directorate with powers to conduct more comprehensive audits
● Integrate the SBM Social Audit with NREGA Social Audit to ease implementation redundancy
● Involve voluntary monitors at community level to sustain the process

11. 10
Findings: Rajasthan
Demand generation
and application
● Limited institutionalization
of IEC
● Absence of Swachhata Doots
● A tedious manual
process
● Triggering Activities
○ Not Standardized
○ Not Customized
● Application processing is uneven
● Inefficient beneficiary identification process
Toilet construction
and verification
● Lack of process timelines/
targets
● Absent ● Delayed approval process
Fund disbursement
to beneficiaries
● Positions not filled/defined
as per the SBM Guidelines
● Processes lack defined
timeline
● Absent
● No upfront payment
● Absence of revolving fund
● Absence of technology aided fund
disbursement
● Delayed incentive payment
Audit
● No uniformity in review
meetings at block level
● Targets for block level
coordinators not set
● Absent ● Absence of social audit system in districts
● No independent oversight mechanism
Roles & responsibilities Technology Issues/ProblemsProcess Categories
Aspects

12. 11
Proposed Measures: Rajasthan
Process Categories Measures
Demand generation
and application
Toilet construction
and verification
Fund disbursement
to beneficiaries
Audit
● Standardise and customize demand generation activities
● Involve community and NGOs to improve demand generation
● Monitor IEC activities at state level and handhold districts to design IEC campaigns to make execution
process-driven as opposed to person-driven
● Institutionalize Swachhata Doots to trigger demand and assist households
● Mandate Gram Sevak for timely submission of applications through setting targets and Incentivisation to
make approval process efficient
● Incorporate technology solutions to reduce workload during verification process
● Implement technology based Management Information System and eFMS at the state
○ To systematize the application process
○ To ensure effective progresses through alerts and flags
● Integrate the SBM Social Audit with NREGA Social Audit to reduce duplication and increase effectiveness
● Define audit parameters after consulting with all SBM(G) stakeholders to address multiple concerns

13. 12
Summary of Implementation Issues across States
Audit
Process Categories Issues
Demand generation
and application
● IEC/IPC activities not always conducted in all districts
● No standardized IEC execution system
● Implementation of IEC activities is person-driven
Toilet construction
and verification
● Lack of upfront fund and absence of revolving fund
● Delay in incentive payments
● Payment delays dissuading other potential beneficiaries
Fund disbursement
to beneficiaries
● Absence of social audit system in districts
● No independent oversight mechanism to measure effectiveness
● Swachhata Doots not fully integrated into the system
● Inefficient use of technology in application and verification process
Audit

14. 13
Best Practices
Annual SBM audit brings transparency
State app and State Panchatantra system hasten
process with two stage verification
In some cases, CEO and PDO authorize two step
payments (Koppal and Shimoga)
eFMS facilitates direct
incentive transfer from ZP to
beneficiary
Taluk Coordinators enhance
efficiency
Taluk Resource Group (Mandya) address
last mile problems in achieving SBM goals
Patwaris proactively share landless/limited
landholdings list with Gram Sevaks
Direct benefit transfer from Block to beneficiary
addresses grievances
Loans from public leaders help with lack of funds
Real time updates through use
of WhatsApp group results
Resource person from World
Bank deployed in district
NGO partnerships; CLTS and ODF villages;
Village volunteers; MP, MLAs, Sarpanch,
public representatives highly involved
MIS/eFMS system and RWS-SBM app ensure faster
processing
Two instalment payment process aids beneficiaries
with no revolving funds
eFMS cuts out middleman via direct incentive transfer
from State to Beneficiary
NGO partnerships result in more villages achieving
SBM goals
RAJASTHAN
KARNATAKA
ANDHRA
PRADESH
Monitoring and
Verification
Funding Technology HR IEC/IPC

15. 14
Overall Recommendations
Improve incentives
and capacity
building activities
Incorporate
technology
solutions
Involve voluntary
monitors
Incorporate
program outcome
driven audit
Sharpen
communication
(IEC/IPC)
▪Two-stage
incentives for
beneficiaries
▪Provide officials
with capacity
building and
training
opportunities
▪State level
MIS+FMS*
solution, with
alerts
▪External
sponsorship of
technology
▪Best practices
database
▪Community
involvement in
monitoring of
construction to
encourage
ownership of the
SBM scheme
▪Shift focus from
just physical
verification to
beneficiary
feedback, usage
of toilet, and long
term
sustainability
▪Government to
structure IEC
content and
develop toolkits
as guidelines
▪Partner with
CSOs to build
effective
communication to
beneficiaries
* Financial Management System

16. 15
Thank You