enhancing the implementation of sbm (gramin) - arghyam and fourthlion technologies

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

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Table of Contents

Introduction1

Research Summary2

Research Methodology3

Schema - SBM Implementation Process4

Summary of Implementation Issues6

Best Practices7

Overall Recommendations8

Findings5

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IntroductionResearch 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

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

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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

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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 ApprovalAfter 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 BankThe incentive is transferred to the beneficiary’s account

11. Incentive DeliveryBeneficiary receives her incentive. The details and photo are uploaded into IMIS*

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Findings: Andhra Pradesh

Roles & responsibilities Technology Issues/ProblemsProcess Categories

Aspects


● 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


● Insufficient number of personnel for verification

● Processes defined not being adhered to

● Few checks and balances

● Inadequate dedicated personnel


● 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

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Proposed Measures: Andhra PradeshProcess Categories Measures




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

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Findings: Karnataka



● No defined resources / activities to trigger demand

● Large volumes of work orders and low internet connectivity restricts effectiveness


● Inefficient beneficiary identification process


● Positions not filled/defined as per the SBM Guidelines

● Absence of technology aided verification process

● Not continuously monitored

● Deviant construction


● 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


Aspects

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Proposed Measures: KarnatakaProcess Categories Measures




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

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Findings: Rajasthan



● Absence of Swachhata Doots

● A tedious manual process


● Application processing is uneven● Inefficient beneficiary identification process


● Lack of process timelines/ targets

● Absent ● Delayed approval process


● 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


Aspects

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Proposed Measures: RajasthanProcess Categories Measures




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

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Summary of Implementation Issues across States

Audit

Process Categories Issues


● IEC/IPC activities not always conducted in all districts

● No standardized IEC execution system

● Implementation of IEC activities is person-drivenToilet construction and verification

● Lack of upfront fund and absence of revolving fund

● Delay in incentive payments

● Payment delays dissuading other potential 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

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Best PracticesAnnual 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 grievancesLoans 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

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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

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Thank You

enhancing the implementation of sbm (gramin) - arghyam and fourthlion technologies

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