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. This presentation lists out important research findings from the state of Karnataka.

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

2. 1
Table of Contents
Introduction
Research Summary
Research Sites in Karnataka
Research Methodology
Schema of SBM Implementation Process in Karnataka
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
96
6
Interviews
Districts*
With government officials
from State, District, Taluk and
GP levels, in addition to
beneficiaries across Karnataka
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 Karnataka
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 Karnataka, interviews* were conducted with State, District, Taluk and GP level officials, and beneficiaries to understand
the implementation process
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 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 in Karnataka
Davangere
IEC/IPC, Process flow, Fund Flow
and Social Audit
Koppal
IEC/IPC, Process Flow, Fund Flow
and Social Audit
Mandya
IEC/IPC, Process Flow, Fund Flow,
Social Audit and Pilot of eFMS
Districts for in-depth study different initiatives
One Gram Panchayat in Haveri district
to observe IMIS photo upload process
Chitradurga district support units – To
observe inter-GP fund transfer and
innovative IEC activities
Shimoga district support units – To
understand innovative IEC activities
and addressing last mile issues

8. 7
Schema of SBM Implementation Process
in
Karnataka

9. 8
Demand Generation and Application
▪ Prema submits
application to
construct toilet
at the
Torekadanahalli
GP of Mandya
district
▪ Panchayat
Development
Officer (PDO)
verifies
documents and
Data Entry
Operator (DEO)
enters the details
in Panchatantra
and provides an
acknowledgemen
t
▪ PDO/Secretary
conducts spot
verification and
takes photographs
and uploads them
in GPS enabled
mobile using SBM
state app to DPVT*
team at ZP
▪ DPVT verifies and
approves the
pre-verification
photo
▪ After approval,
PDO generates
work order and
informs
benificiary to
start toilet
construction
▪ Prema, a
beneficiary,
becomes aware
of the scheme
through IEC/IPC
activities like
posters,
announcement in
the village
Beneficiary Government Technology
* District Photo Verification Team

10. 9
Construction and Verification
▪ After the superstructure is completed,
PDO/Secretary conducts a final verification
and takes photos using SBM state app as
well as centre SBM app in GPS enabled
mobile
▪ PDO/Secretary uploads the photo taken in
state app for DPVT verification
▪ DPVT team verifies and approves
the photographs
▪ After approval, the system
requires GP to generate a
payment order
▪ Beneficiary starts the
construction by putting in their
money upfront.
▪ GP (PDO/Secretary/Bill
Collector) assists in taking
photographs in the 3 stages – pit
digging, wall construction and
superstructure
Beneficiary Government Technology

11. 10
Fund Disbursement to Beneficiaries
▪ PDO and President
bio-authenticate
with digital
signature
▪ DEO updates details
in IMIS and the final
photograph is
uploaded in IMIS
▪ Payment order
generated by GP
(PDO)
Beneficiary Government Technology
▪ Beneficiary receives
the incentive
amount
▪ Details are sent to
the bank and
incentive amount
transferred from ZP
account within 5
days

12. 11
Evidence from the Sites
11

13. 12
Findings: Demand Generation and Application
▪ No standardized execution protocol exists for IEC activities
– Very few people interviewed recalled IEC activities
▪ Implementation of IEC activities is more person-driven as opposed to process-driven
– In Mandya and Koppal, CEOs took a personal interest in IEC delivery
– 80% beneficiaries interviewed recalled IEC activities
▪ Mandya’s initiative to form Taluk Resource Group (TRG) instrumental in effective IPC
activities
▪ IEC materials are not customized to the local context
▪ Swachhata Doots employed only in Davangere
– Acting as a bridge between GP and beneficiaries
– Efforts translated into increased construction
– 68% of annual toilets construction target achieved in Navilehal GP (Davangere)

14. 13
Findings: Fund Disbursement to Beneficiaries
Beneficiaries interviewed start
toilet construction, but abandon
it halfway due to lack of funds
16%
Stated they would
benefit from a two-
stage payment process
81%
Beneficiaries interviewed yet to
start toilet construction due to
lack of upfront financial support
50%
Beneficiaries
constructed toilets
after taking a loan of
₹ 4 - 16K.
87%
Beneficiaries waited
for over 2 months to
receive the incentive
14%
Beneficiaries expressed hesitation in
starting construction, after observing
their neighbours’ poor experiences in
receiving the incentive
37%
For beneficiaries
who lacked upfront
money in Mandya
▪ Vikasana Institute for Rural
and Urban Development built
~100 IHHL in two villages
▪ Reimbursed at a later
date by collecting
incentives from the GP

15. 14
Findings: Verification and Audit process
47%
Beneficiaries didn’t observe a
defined timeline in the entire
process of toilet construction
Beneficiaries not receiving incentives in a timely
fashion, thus unmotivated to begin construction
Toilets audited in Koppal
taluk8,625
3% 6%
Toilets were improperly
constructed
Toilets had double
entries in IMIS
Inefficiencies in IMIS
Beneficiaries who constructed toilets
waited for 20 to 90 days
to receive incentive
waited over
2 months
14% 86%
47%
Toilet construction not continuously monitored and
beneficiaries making errors in construction
Most of the beneficiaries are constructing single pit
toilets

16. 15
Findings: Verification and Audit Process
Lack of coordination
between State SBM
office and State Social
Audit Directorate
Absence of separate
District Photo
Verification Team
(DPVT) at the ZP
Absence of
technology – aided
verification process
▪ Contradictory circulars issued to CEO-ZPO directing use of beneficiary
details from IMIS vs. Panchatantra
▪ Consultants and other ZP officials given the additional
responsibility of photo verification
▪ Substantial time taken to verify beneficiary’s geo-tagged photo;
delayed work order generation
▪ In Mandya, only 69% work orders were issued against the total
applications accepted (as on Dec 10, 2015)
▪ DPVT manually organize photo or geotag details
▪ Mandya’s 2014-15 Social Audit Report -- Malavalli Taluk reported a high
14.2% of toilets having double entries in IMIS

17. 16
Where do the hurdles lie?
▪ Unreliable baseline survey for beneficiary identification
▪ IEC/IPC activities are not always conducted in all
districts
▪ No standardized IEC/IPC execution system
▪ Low beneficiary awareness regarding the processes
▪ Lack of monitoring by the state

18. 17
Where do the hurdles lie?
▪ Positions not filled/defined as per the SBM Guidelines
▪ Insufficient number of personnel
▪ Lack of clarity about roles and responsibility amongst
personnel
▪ Swachhata Doots not been fully integrated into the
system
▪ Lack of upfront fund and absence of revolving fund
▪ Delay in fund release at all levels

19. 18
Recommendations and Impact

20. 19
Recommendations Overview
Sharpen IEC/IPC
activities
Implement two-stage
payment process
Strengthen verification
and audit process

21. 20
Sharpen Demand Generation Activities
▪ Standardization of IEC dissemination across the state and regular implementation at GPs
– Creating standardized IEC/IPC modules for training and execution activities to make it
process-driven as opposed to person-driven
– Government to structure IEC messaging and develop toolkit as guidelines
▪ Institutionalize Swachhata Doots, as recommended in SBM (G) guidelines
– To trigger demand and assist households through the process of construction and
accessing the SBM incentive
▪ Using Civil Society Organizations with established ties with the local community to enable
better IEC/IPC outreach
▪ Target IPC activities towards cultural change to have a sustained impact
– Deploy targeted, simple messaging to beneficiaries on 1) eligibility 2) process and 3) need
for toilets
▪ Awareness
generation
▪ Trigger behaviour
change
▪ Demand
generation

22. 21
Improve Fund Disbursement to Beneficiaries
▪ Consistent access to
funds to build toilet
▪ Build confidence in the
community regarding
timely receipt of
incentive
▪ Persuade other
potential beneficiaries
▪ Build a two-stage fund disbursement process to address the funding issues plaguing the
poor
– Provide upfront access to funds to encourage the disadvantaged to start construction
▪ Improve Panchatantra eFMS system presently built for single stage payment, to track
two-stage payment process
– The Andhra Pradesh TCS SBM(G) system incorporates two stage payments
▪ Increase inspection frequency to support the implementation of a two stage payment
process to prevent financial leakages
– Swachhata Doots and other GP functionaries to verify site verification, during
(at completion of basement structure), and post construction
▪ Incorporate payment delay alert mechanisms in Panchatantra
– To remove waiting period to receive incentive
– Not create financial issues for beneficiaries
– To minimise the amount of active oversight and auditing required

23. 22
Improve Verification and Audit process
▪ Reduce financial
frauds
▪ Improve the quality of
construction
▪ Improve Mission
Outcome
▪ Adequate staffing of DPVT to accelerate verification and approval process
– Provide opportunities (capacity building / trainings ) to Block/GP officials/Consultants
to attract high performance and ensure commitment
▪ Improve Panchatantra and State SBM app to recognise and reject duplicate geo-tags and
photos
– Tech-supported solution to recognize duplicates to ensure timely processing and
prevent duplication
▪ An autonomous Social Audit Directorate with powers to conduct more comprehensive
audits
▪ Integration of the SBM and NREGA social audit to help reduce duplication of work and
speed up the process
▪ Restructure the audit process to incorporate financial verification and at the grama-
sabha as with NREGA
– At present only a physical audit is taking place (i.e. physical verification of toilets)

24. 23
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

25. 24
Thank you

26. 25
Appendix
Interviews in
Karnataka96
4 State level
civil servants
13
Taluk
executives
19
GP
functionaries
33
Community
members
27 District
officials
▪ Districts Visited: Davangere, Koppal, Mandya, Haveri, Chitradurga and Shimoga

27. 26
Interview Details
State level
▪ AD, IMIS coordinator and HRD consultant, UNICEF Consultant (4 interviews)
Davangere
▪ District level: Nodal officer, Dist Coordinator, 3 DSU consultants, DSAO, LBM rep, APO NRLM, PMT (9 interviews)
▪ Taluk level (Jagalur, Harapanahalli): EO, IMIS coordinator, Taluk Coordinator (3 interviews)
▪ GP level: Anajigere GP, Navilehal GP, Hiremallanahole GP and Tolahunase GP (PDO, GP Secretary, SD, DEO, Beneficiaries – 20
interviews)
Koppal
▪ District level: CEO, PD, 2 DSU consultants, DSAO, NRLM project manager (6 interviews)
▪ Taluk level (Gangavathi): Taluk coordinator, SBM caseworker, Taluk Social Audit Officer (3 interviews)
▪ GP level: Chikkadankanakal GP and Hirebaganal GP (PDO, DEO, Beneficiaries 11 interviews)
Haveri
▪ District level: DS, 2 DSU consultants, DSAO (District Social Audit Officer) (4 interviews)
▪ Tevaramellehalli GP (Savanur Taluk) – PDO, DEO, Beneficiaries (4 interviews)
Mandya
▪ District level: DS, 3 DSU consultants, DSAO - (5 interviews)
▪ Taluk level: SBM Caseworker (Maddur TP),Taluk Social Audit Coordinator (Malavalli TP) – (2 interviews) and Taluk Resource
Group – 5
▪ GP level: Kokkare Bellur GP, Shettihalli GP and Torekadanahlli GP (PDO, DEO, Community – 16 interviews)
▪ District level: PD, DSU consultant (2 interviews)
▪ GP level: PDO (1 interview)
Chitradurga
▪ District level: DS (1 interview)
Shimoga