This document summarizes research conducted on enhancing implementation of the Swachh Bharat Mission (Gramin) in Andhra Pradesh. Interviews were conducted with government officials and beneficiaries across 3 districts to map processes, identify bottlenecks, and recommend improvements. Key findings include a lack of standardized IEC activities, insufficient personnel leading to delays, and an absence of social audits. Recommendations focus on strengthening demand generation, streamlining technology and processes, and introducing independent oversight. The research provides insight into both challenges and potential solutions for more effective implementation of sanitation programs.

1. Enhancing the Implementation of Swachh Bharat Mission (Gramin) in Andhra Pradesh

2. 1
Table of Contents
Introduction
Research Summary
Research Sites in Andhra Pradesh
Research Methodology
Schema of SBM Implementation Process in Andhra Pradesh
Evidence from the Sites
Recommendations and Impact
Next Steps
Appendix
1
2
3
4
5
6
7
8
9

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. 3
Research Summary
65
6
Interviews
Districts*
With government officials
from State, District, Taluk and
GP levels, in addition to
beneficiaries across Andhra
Pradesh
Bottlenecks identified
Comprehensive ground
level view of SBM(G) IHHL
implementation and
recommendations
in
Process, HR, technology and
fund-flow mapped
and
* Detailed list in Appendix
Field Research Analysis Results
The objective of the study is to draw an end-to-end execution process and identify the
prevailing bottlenecks in the SBM (G) programme’s IHHL component in Andhra Pradesh
Research
Objective

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
* Information Education and Communication

6. 5
Research Methodology
* A detailed list of total number of interviews conducted at different level is given in the Appendix
In Andhra Pradesh, interviews* were conducted to understand the process flow with State, District, Taluk and GP level
officials
State level – Meetings to understand
the process and fund flow
▪ Meetings with Programme
Additional Director, Integrated
Management Information System
(IMIS) and Human Resource
Department officials and
Consultants
District, Taluk and GP level – Meetings
to understand implementation process
at the ground level
▪ Meetings with Engineers, MIS and IEC
Consultant,Social Audit coordinators
at District and Taluk level
▪ At villages, field interviews were
carried out with the beneficiaries and
Swachhata Doots
▪ Literature review and data
analysis related to SBM (G)
undertaken
▪ Research Instrument: A structured
questionnaire was constructed;
served as a guideline for interviews
to collect data that accurately
reflected the implementation of
SBM

7. 6
▪ Research Sites – Kurnool, Chittoor and Anantpur districts for in-
depth study of different initiatives
▪ Districts chosen because of high, low, and medium rates of progress
in implementation
▪ Districts were also selected on the advice of State officials regarding
the variety of processes
– NGO driven implementation in Anantpur
– ODF versus non-ODF drives in Kurnool
▪ eFMS-and-MIS system known as the TCS application is in use across
all districts
▪ A State-developed mobile app known as the RWS-SBM App is also in
use
▪ All payments are made directly in two stages from State to
beneficiary bank account
Research Sites in Andhra Pradesh

8. 7
Schema of SBM Implementation Process
in
Andhra Pradesh

9. 8
▪ Panchayat Secretary
checks if the
applicant has
benefited from the
previous schemes,
documents her
details and sends it
to the MPDO*
(along with the rest
of the sanction list),
who recommends
her application
▪ Mandal’s Assistant
Engineer (RWS)
certifies her
application, gives her
a plan after
measuring the plot
▪ District’s
Superintending
Engineer approves her
application
▪ District Collector (DC)
provides the
administrative
sanction
▪ The Computer
Operator (CO) at the
Mandal office enters
details into the
State eFMS/MIS
application (TCS
Application)
▪ Lalithamma, a
beneficiary,
approaches a
government official
in her village and
expresses her desire
to build a toilet in
her home
Demand Generation and Application Beneficiary Government Technology
*Mandal Parishad Development Officer

10. 9
▪ MPDO verifies all
information, edits
bank information
if needed
▪ Instructs GP’s
Technical
Assistant (TA) to
geotag the land
upon which toilet
construction is
planned
▪ The TA geotags
applicant’s land
on the State
app (RWS-SBM
app), which
syncs
immediately
with the TCS
application
▪ The Mandal’s CO verifies the
geotagging and forwards to
the MPDO for approval
▪ If any errors are found, the CO
can ask the MPDO to instruct
the TA to get the geotagging
redone
▪ MPDO verifies
geotagging and
generates the
commencement
letter (work order)
▪ Work order is send
to applicant and a
copy to the
Panchayat
Secretary for
records
▪ Mandal’s Junior
Engineer
crosschecks all the
information
entered in the TCS
application with
the Center’s SBM
IMIS
▪ Last stage where
applicant’s details
can be edited for
bank details
Construction and Verification Beneficiary Government Technology

11. 10
▪ TA verifies
construction by
taking photos
using RWS-SBM
app at two
stages; basement
completion and
final
superstructure
completion
▪ CO verifies
photos for
accuracy
▪ Generates Fund
Transfer Order
(FTO), which is
forwarded to
MPDO for
approval
▪ MPDO generates
digital signature
key and uploads
FTOs and sends it
to the SE*
▪ SE repeats this
process, and
sends it to the
TCS server login
▪ Applicant
receives payment
within 2-20 days
of the TA taking
verifying photos
▪ Applicant begins
construction by
putting in money
upfront
Fund Disbursement to Beneficiaries Beneficiary Government Technology
▪ The FTO is sent by
the TCS server to
the bank
▪ Immediate
transfer of the
payment to the
beneficiary’s
account
*Superintending Engineer

12. 11
Evidence from the Sites

13. 12
Findings: Demand Generation and Application
▪ No standardized execution protocol exists for IEC activities
– All beneficiaries interviewed failed to recall IEC messages
▪ Implementation of IEC activities is person-driven
▪ Absence of motivated Swachhata Doots at the GP level
▪ IEC materials are not customized to the local context
▪ Lack of automated checks leading to errors
▪ Redundancies in application process slows down construction
▪ Difficulties in tracking work progress and processing application – due to lack of alerts
▪ Process delays results in beneficiary demotivation
– 83% of beneficiaries interviewed who had completed toilet construction, had not
received their final incentives
▪ Potential beneficiaries cite lack of timely payments as a major reason in their hesitance to
begin construction

14. 13
Findings: Challenges at the Mandal Level
▪ Inadequate personnel slow down the process
– A single computer operator responsible for application entry and
generation
– Mandal Parishad Development Officer gives final approvals for all
applications, in addition to work on other schemes
▪ Delay in geotagging and photo verification resulting in delayed
Commencement Order generation
– Only 67.5% of the geotagging completed, resulting in 65% of
commencement orders being generated
▪ Multiple verification and approval steps resulting in extended timelines
– Nine steps between submission of application and construction order
generation

15. 14
Findings: Verification and Audit Process
▪ Absence of Social Audit system in districts
▪ No independent oversight mechanism to measure
effectiveness of the SBM(G) scheme in Andhra Pradesh
– No check on usage of the toilets constructed

16. 15
Where do the hurdles lie?
▪ No standardized IEC execution system
▪ IEC/IPC activities are not always conducted in all districts
▪ Insufficient number of personnel and lack of clarity about roles and
responsibility
▪ Swachhata Doots have not been fully integrated into the system
▪ Absence of social audit system in districts

17. 16
Recommendations and Impact

18. 17
Recommendations Overview
Sharpen IEC/IPC Activities Strengthen the TCS
Application and Mandal
Level Operations
Introduce Autonomous
Social Audit

19. 18
Sharpen Demand Generation Activities
▪ Awareness
Generation
▪ Trigger Behaviour
Change
▪ Demand
Generation
▪ Standardization of IEC dissemination across the state
– Execution to be process-driven as opposed to person-driven
▪ Conduct IEC activities at regular intervals at the GP
– To pique and sustain the interest of the community in improved sanitation facilities
▪ Government to structure IEC messaging and develop toolkit as guidelines
▪ Deploy targeted, simple messaging for IEC
– Messaging around 1) eligibility 2) process and 3) need for toilets
▪ Institutionalize Swachhata Doots, as recommended in SBM (G) guidelines
– To trigger demand and assist households through the process of construction and
assessment
▪ Involve community and NGOs to establish ties with the local community to improve
demand generation

20. 19
Strengthen TCS Application and Mandal Level Operations
▪ Accelerate beneficiary
verification and approval
▪ Reduce process steps for
verification and approval
▪ Incentives disbursed in a
timely fashion
▪ Persuade other potential
beneficiaries
▪ Incorporate automated alert mechanisms in the TCS system
– Automated flagging of systemic/human errors to speed up processing and
reduce burden on personnel
– Process-level alerts to track timeline delays for senior authorities in the GP
▪ Increase personnel for order generation and fund disbursal processes
▪ Reduce process steps and timelines for verification and approval by
leveraging technology
▪ Modify beneficiary sanction process to be demand oriented

21. 20
Introduce Autonomous Oversight System
▪ Reduce financial
frauds
▪ Improve the
quality of
construction
▪ Improve the
Mission Outcome
▪ Set up an autonomous Social Audit Directorate to conduct more comprehensive audits
▪ Design social audit system in convergence with NREGA social audit system
– To reduce duplication and increase effectiveness
▪ Define audit parameters after consulting with all SBM(G) stakeholders
– To ensure that multiple concerns are addressed
– Suggested parameters:
▫Number of toilets built
▫Usage and state of construction
▫Processing issues, hindrances and
▫Delays in construction and incentive payments

22. 21
Next steps
Discussion of research findings with SBM(G)
officials
Identification of recommendations to take
forward
Pilot GPs and districts identified to
implement selected recommendations

23. 22
Thank You

24. 23
Appendix
Interviews in
Andhra Pradesh65
4 State level
civil servants
12
Mandal
executives
12
GP
functionaries
24
Community
members
13 District
officials
▪ Districts Visited: Kurnool, Chittoor and Anantapur

25. 24
Interview Details
State level ▪ Project Director, Deputy Executive Engineer, MIS Consultant, IEC Consultant, UNICEF/WASH Consultant
Kurnool
District
Office
▪ Superintending Engineer, Assistant Executive Engineer (AEE)/ad hoc MIS Consultant, HRD Consultant, Sanitation &
Hygiene (S&H) Consultant
– Orvakalu Mandal: Mandal Parishad Development Officer (MPDO), Assistant Engineer (AE), Computer Operator (CO)
▫ Pudicherla GP: Field Assistant (FA)
▫ Hussainapuram GP: Panchayat Secretary, Bill Collector, Beneficiary Interview (1)
– Nandikotku Mandal: MPDO, AE
▫ Malyala GP: Panchayat Secretary, Sarpanch, FA, Beneficiary Interviews (4)
Chittoor
District
Office
▪ AEE, MIS Consultant, IEC Consultant, HRD Consultant, S&H Consultant
– Pakkala Mandal: MPDO, Junior Engineer (JE), CO
▫ Nendragunta GP: Sarpanch, Beneficiary Interviews (3)
– Chittoor Mandal: MPDO
▫ Chintallagunta GP: Beneficiary Interviews (4)
Anantapur
District
Office
▪ Superintending Engineer, AEE, MIS Consultant, IEC Consultant
– Batthalpali Mandal: MPDO, Executive Officer - Rural Development, JE
▫ Apparacheruvu GP: Panchayat Secretary, FA, TA, Beneficiary Interviews (4)
▫ Dampetla GP: TA, RDT Trust Coordinator, Beneficiary Interview (1)
– Atmakur Mandal: Mandal Resource Coordinator (MRC)