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ToAll the District Collectors,Andhra Pradesh.
File.No: 88(20)/SAM/COO(S)/GEN/2017, dt:10.08.2018. Sir/Madam, Sub: SAC-Social Audit Manual of SBM(G) –Communicated – Necessaryaction - Requested –Reg. Ref: S-18013/2/2014-O/o Dir (SBM), dt:07.08.2018, of the Joint Secretary,SBM(G), Ministry of Drinking Water and Sanitation (MoDWS).
@@@@@@@ Attention is invited to the subject and reference cited and please find theenclosed copy of the attachment. Vide reference cited, the Joint Secretary, SBM(G), Ministry of DrinkingWater and Sanitation has informed that MoDWS has prepared a Social Audit Manualwhich not only highlights the importance of Social Audit as a tool for an effectivesocial monitoring and for addressing issues of transparency and inclusion but alsoidentifies the provisions in SBM(G) that gives validity to the use of social audit forcommunity engagement and monitoring in SBM(G). Also, the manual offers sampletools which can be customized for states specific requirements for systematicallyplanning and managing the social audit exercise. The social audit manual is herewithenclosed. In view of the above, it is requested to issue necessary instructions to theconcerned to go through the contents of Social audit manual and taking necessaryaction accordingly. Yours faithfully D MURALIDHAR REDDY,IAS MANAGING DIRECTOR Encl: As above. Copy submitted to Secretary, PR & RD, RWS &S for information.Copy to all the SEs, RWS & S for information and necessary action.
File No.88(20)/SAM/COO(S)/GEN/2017
Digitally signed by DMuralidhar ReddyDate: 2018.08.11 12:53:52 ISTReason: Approved
Signature Not Verified
S-18013/2/2014-0/0 Dir (SBM)Government of India
Ministry of Drinking Water and SanitationSwachh Bharat Mission (Gram in)
4th floor, Pt. Deendayal Antyodaya BhawaneGO Complex, Lodhi Road
New Delhi-ll0003Dated: 07.08.2018
To,
Additional Chief Secretary/Principal Secretary/Secretaryin-charge of Rural Sanitation,All States/UTs
Subject: Sharing of the Social Audit Manual
Madam/Sir,
As you are aware, Prime Minister of India launched the Swachh Bharat Mission on2ndOctober, 2014 to accelerate the national efforts towards achieving universal sanitation coverage inthe country. Swachh Bharat Mission envisages the achievement of Swachh Bharat through itsemphasis on awareness generation, triggering behavior change and demand generation for sanitaryfacilities thus,bringing about a collective behavior change.
2. In spirit of the same, Ministry has prepared a Social Audit Manual which not only highlightsthe importance of Social Audit as a tool for an effective social monitoring and for addressing issuesof transparency and inclusion but also identifies the provisions in SBM(G) that gives validity to theuse of social audit for community engagement and monitoring in SBM(G). Also, the manual offerssample tools which can be can be customized for states specific requirements for systematicallyplanning and managing the social audit exercise. The Social Audit Manual is enclosed herewith foryour reference.
3. All the StateslUTs are advised to roll out the Social audit in their respective States byorganizing a state level orientation workshop for the team of 30-40 participants from districtslblockswhere they can orient about the basic idea, objectives, procedures and implementation details of theSocial Audit under SBM-G.
Encl: Ala
Y~
(Arun Baroka)Joint Secretary, SBM-GPhone: 011 24362192
Fax 011 24369831E-Mail: [email protected]
Copy to:
1. Mission Director/State Coordinator, SBM-G, All StateslUTs2. All District Collectors/CEOs.
1
Manual for Social Audit
(SWACHH BHARAT MISSION – GRAMIN)
2
3
ACRONYMS
AAP Annual Action Plan
APL Above Poverty Line
ARWSP Accelerated Rural Water Supply Programme
ADB Asian Development Bank
ASHA Accredited Social Health Activist
BP Block Panchayat
BCC Behavioural Change Communication
BPL Below Poverty Line
CCDU Communication and Capacity Development Unit
CAS Community Approaches to Sanitation
CSIR Council for Scientific and Industrial Research
CBO Community Based Organization
CPGRAMS Centralized Public Grievances Redressal and Monitoring System
DDWS Department of Drinking Water & Sanitation
DRDA District Rural Development Agency
DWSM District Water and Sanitation Mission
ECBI External Capacity Building Initiatives.
EPC Engineering, Procurement & Construction.
GoI Government of India
GP Gram Panchayat
GSDA Groundwater Surveys and Development Agency
HRD Human Resource Development
HH Hearing Handicapped
IAP Integrated Action Plan
IRC International Resource Centre
IEC Information, Education & Communication
IHHL Individual Household Latrine
IMIS Integrated Management Information System
IWMP Integrated Watershed Management Programme
IT Information Technology
KRC Key Resource Centre
LSK Lump-sum Turn Key
M & E Monitoring and Evaluation
4
MGNREGS Mahatma Gandhi National Rural Employment Guarantee Scheme
MPR Monthly Progress Report
MNRE Ministry of New & Renewable Energy
MDG Millennium Development Goal
MIS Monitoring Information System
MVS Multi Village Scheme
MDWS Ministry of Drinking Water and Sanitation
MHM Menstrual Hygiene Management
NGO Non-Governmental Organization
NGP Nirmal Gram Puraskar
NIC National Informatics Centre
NRDWP National Rural Drinking Water Programme
NRDWQM & SP National Rural Drinking Water Quality Monitoring and Surveillance Programme
NRHM National Rural Health Mission
NRSC National Remote Sensing Centre
NSSO National Sample Survey Organization
O & M Operation & Maintenance
ODF Open Defecation Free
OLIC Official Language Implementation Committee
OH Orthopaedically Handicapped
PHED Public Health Engineering Department
PRI Panchayati Raj Institution
R & D Research & Development
R & DAC Research & Development Advisory Committee
RGNDWM Rajiv Gandhi National Drinking Water Mission
SWSM State Water & Sanitation Mission
SBM(G) Swachh Bharat Mission (Gramin)
SHG Self-help Group
SSA SarvaShikshaAbhiyan
UNICEF United Nations Children’s Fund
WSP Water and Sanitation Programme
WSSO Water and Sanitation Support Organisation
ZP Zila Panchayat
5
ABOUT THE SOCIAL AUDIT MANUAL FOR SBM
This Social Audit manual details, in a simplified manner, the different concepts
around community monitoring and social audit and the role/ importance of
community engagement in development programmes, how a social audit needs to be
conducted and the different tools to be used for preparation and actual conduct of
social audit.
Part I of this Manual discusses why social audit is considered an effective mechanism
for social monitoring and for addressing issues of transparency and inclusion. It then
goes on to identify the provisions in Swachh Bharat Mission-G that give validity to use
of social audit for community engagement and monitoring in SBM. Details of the
steps to be followed by mandated local institutions, during different phases of
preparation and conduct of SBM social audit are provided. This is followed by the
identification of roles and responsibilities of key stakeholders in the process, and how
their existing capacities need to be strengthened so that they can effectively
contribute to social audit processes.
Part II of the Manual offers samples of different tools, techniques and checklists that
can be adapted and used by the organisers during different stages of preparation and
conduct, qualitative issues that should be assessed for social audit, methods for field
verification of data,formats for capturing the social audit proceedings and issues..
These tools will be helpful for systematically planning and managing the social audit
exercise.
The manual will be useful for CBOs Civil Society Institutions (facilitating agencies)
working closely with communities for social audit and will be equally of relevance to
government officials, support organisations and implementing agencies partnering
with the community for implementing Swachh Bharat Mission.
6
S.N. Topics Page No.
i. Introduction 7
ii. Concept of Swachha Bharat 9
iii.
Social Audit
11 a. Scope and Objectives of Social Audit
b. Key Elements of a Social Audit
iv. Provisions related to Social Audit in SBM-G Guideline 13
v. Steps for undertaking Social Audit 14
vi.
Preparation and Mobilisation for Social Audit
15 a. Defining the scope of Social Audit
b. Formation of a local Social Audit Committee
vii. Orientation of the committee 16
viii. Formal intimation to implementing agencies and Government
department
17
ix. Information on Sanitation Status required for Conducting Social Audit
17
x.
Collection of information and its analysis 18
xi. Community mobilisation for Social Audit Gram Sabha/ 19
xii. Conduct of the Social Audit Gram Sabha 19
xiii. Deciding Date, Venue and Time of Social Audit meeting 20
xiv. Post-Audit Follow-up on Recommendations 21
Annexure
1 Need for Community Monitoring 23
2 Dos & Don’ts 28
3 Format-Basic Information 30
4 Checklist of Information 36
5 Sanitation Related Process & Outcome Indicators 38
4 Training Design on Social Audit 39
7
i. Introduction
“A clean India would be the best tribute India could pay to Mahatma Gandhi on his 150 birth
anniversary in 2019,” said Shri Narendra Modi as he launched the Swachh Bharat Mission at Rajpath
in New Delhi. On 2nd October 2014, Swachh Bharat Mission was launched throughout length and
breadth of the country as a national movement. The campaign aims to achieve the vision of a ‘Clean
India’ by 2nd October 2019.
The Swachh Bharat Abhiyan is the most significant cleanliness campaign by the Government of India.
Shri Narendra Modi led a cleanliness pledge at India Gate, which about thirty lakh government
employees across the country joined. He also flagged off a walkathon at Rajpath and surprised
people by joining in not just for a token few steps, but marching with the participants for a long way.
While leading the mass movement for cleanliness, the Prime Minister exhorted people to fulfil
Mahatma Gandhi’s dream of a clean and hygienic India. Shri Narendra Modi himself initiated the
cleanliness drive at Mandir Marg Police Station. Picking up the broom to clean the dirt, making
Swachh Bharat Abhiyan a mass movement across the nation, the Prime Minister said people should
neither litter, nor let others litter. He gave the mantra of ‘Na gandagikarenge, Na karnedenge.’ Shri
Narendra Modi also invited nine people to join the cleanliness drive and requested each of them to
draw nine more into the initiative.
By inviting people to participate in the drive, the SwachhtaAbhiyan has turned into a
National Movement, “ JanAndolan “. A sense of responsibility has been evoked among the
people through the Clean India Movement. With citizens now becoming active participants
in cleanliness activities across the nation, the dream of a ‘Clean India’ once seen by
Mahatma Gandhi has begun to get a shape.
The Prime Minister has helped spread the message of Swachh Bharat by urging people
through his words & action. Understanding the significance of sanitation, Prime Minister,
Shri Narendra Modi has simultaneously addressed the health problems that roughly half of
the Indians families have to deal with due to lack of proper toilets in their homes.
People from different sections of the society have come forward and joined this mass
movement of cleanliness. From government officials to jawans, bollywood actors to the
sportspersons, industrialists to spiritual leaders, all have lined up for the noble work.
8
Millions of people across the country have been day after day joining the cleanliness initiatives of
the government departments, NGOs and local community centres to make India clean. Organising
frequent cleanliness campaigns to spreading awareness about hygiene through plays and music is
also being widely carried out across the nation.
Prime Minister himself has praised the efforts by people and various departments and organisations
for taking part in the Swachh Bharat Mission and contributing toward a cleaner India. Shri Narendra
Modi has always openly lauded the participation of people via social media. The ‘#MyCleanIndia’
was also launched simultaneously as a part of the Swachh Bharat drive to highlight the cleanliness
work carried out by citizens across the nation.
Swachh Bharat Abhiyan has become a ‘Jan Andolan’ receiving tremendous support from the people.
Citizens too have turned out in large numbers and pledged for a clean India. Taking the broom to
sweep the streets, cleaning up the garbage, focussing on sanitation and maintaining a hygienic
environment have become a practice after the launch of the Swachh Bharat Abhiyan. People have
started to take part and are helping spread the message of ‘Cleanliness is next to Godliness.’
9
ii. Concept of Swachha Bharat
In order to accelerate the national efforts towards achieving universal sanitation coverage in the
country, the Prime Minister of India launched the Swachh Bharat Mission on 2nd October, 2014. The
goal of the Mission is to make India open defecation free by 2019.
The Mission will work for ‘improving the levels of cleanliness in rural areas through Solid and Liquid
Waste Management activities and making Gram Panchayats Open Defecation Free (ODF), clean and
sanitised (Guidelines- Swachh Bharat Mission). This will be done by making sanitation central to the
discourse in rural areas, encouraging participatory and community led approaches to improved
sanitation and by motivating rural communities to adopt sustainable sanitation practices and
services for clean and open defecation free rural habitations.
Strong emphasis has been laid in the current program on increased community awareness, social
mobilisation for behaviour change, capacity development of the Community, Gram Panchayats and
Gram Sabhas, strengthening of the existing institutions responsible for sanitation and hygiene so
that the community can steer the sanitation agenda of the village on its own for sustainable results.
Key Components of mission
The Key components of Swachh Bharat Mission are:
Behaviour Change/IEC Behaviour changehas been the key differentiator of Swachh Bharat
Mission and therefore emphasis is placed on Behaviour Change Communication (BCC). BCC
is not a 'stand-alone' separate activity to be done as a 'component' of SBM-G, but about
mobilising and nudging communities into adopting safe and sustainable sanitation practices
through effective BCC. Emphasis is to be placed on awareness generation, triggering
mindsets leading to community behaviour change and demand generation for sanitary
facilities in houses, schools, Anganwadis, places of community congregation, and for Solid
and Liquid Waste
Construction of Individual and Household Latrines (IHHLs)–Provide access to toilets for all rural
households through construction of sanitary toilets units complete with water and
handwashing facilities. Various technology and design options would be made available to
communities to decide the best model applicable to them and providedwith necessary
technical, financial and institutional support in their construction and use. Special incentives
10
will be provided to Below the Poverty Line (BPL) and priority households for construction of
IHHL, while financing options would be made available to others through refinance and
extension of credit facility. Priority for construction will be households below the poverty line,
pensioners, women-headed households, beneficiaries of national social protection schemes,
families with pregnant/nursing mothers or a girl child.
Creation of sanitation infrastructure in Schools and Anganwadis- Provide safe, quality and
child-friendly sanitation facilities for children attending pre-school (AnganwadiCenters) and
Schools. Separate toilets need to be constructed under the program for boys and girls with
proper provisions for menstrual hygiene management and safe disposal of waste. Responsibility
for toilet construction has been provided to the respective departments- Women and Child
Development Department for Anganwadi toilets and School Education Department for school
toilets- with oversight provided by local bodies.
Strengthening of Supply Chain through Rural Sanitary Marts and Production Centers- To meet
the increased demand due to large scale construction of individual and community toilets,
smooth supplies of raw material and trained masons will be required to deliver the program in
time. Under SBM support will be provided to the states and Gram Panchayats in smooth
provisioning of raw material and ensuring availability of a pool of trained rural masons.
Construction of Community Sanitary Complexes- Where it is not possible to construct
individual toilets either due to non-availability of land, technical difficulties or other reasons;
and in rural areas that see a large influx of people due to religious or commercial purpose,
Community Sanitary Complexes (CSCs) will be created. Wherever constructed for public use,
the responsibility for operation and maintenance of such complexes will primarily lie with the
local bodies, and where they are created for identified households, the user-families will be
responsible for their maintenance. CSCs constructed for public use will be complete with
washing and bathing facilities and will be set up at a convenient place in the village/ center.
Solid and Liquid Waste Management- Complete village hygiene and sanitation has been
included within the ambit of SBM with the objective of making rural India clean. To prevent
water-logging and for proper drainage and sewage treatment in rural areas, each village will
develop and implement a Solid and Liquid Waste Management (SLWM) plan with technical and
financial support from SBM. This will include construction of intra-village drainage systems,
waste-water recycling and re-use,collection and safe disposal of household waste, setting up of
11
treatment systems for organic and inorganic waste including systems for composting,
manuring, incineration of menstrual and medical waste.
Capacity building and IEC Activities- Importance has been provided under SBM to the training
and capacity building of all stakeholders including Swachhagrahis(local cadre of motivators),
Elected representatives, Village Water and Sanitation Committees (VWSCs) members,
functionaries of Block Program Management Unit (BPMU), District Water and Sanitation
Mission/Committee (DWSM), local functionaries of health and ICDS, SHG members, masons
and CSOs/NGOs.
This is important for the work under SBM to be decentralised, community-led and as per
community needs. IEC (Information, Education and Communication) has been emphasised in
the program to bring about community-wide behaviour change and to trigger demand for
sanitation facilities in rural areas. A Community Approach for Sanitation (CAS ) approach is to
be followed in SBM that focuses on collective behaviour change, strengthening of demand for
sanitation services, and use of participatory processes in the planning, implementation and
monitoring of program. Development of a community focussed IEC plan and a district specific
communication strategy has been made integral to the preparation of annual implementation
plan for Swachh Bharat.
iii. Social Audit
Social audit has origin in the democratic values and principles of transparency and accountability. It
helps to measure, understand, report and improve the Mission’s social and ethical performance.
Social Audit is a participatory monitoring exercise used to systematically assess the progress of the
Swachhatamission. It is not just an information gathering exercise, but a tool for social mobilization
and sensitisation of the Mission objectives to a wide range of stakeholders. Social Audit should be
conducted in a non-threatening environment by making everyone involved in the process fully
aware of the Mission objective. It values the voice of all stakeholders, especially the marginalized
and poor beneficiaries.
a. Scope and Objectives of Social Audit
As the objective of social audit is not merely to evaluate the program from a community perspective,
but also to empower the community to gradually take over the responsibility of conducting social
audit them, it is important that key resource persons are identified from within the village to be part
12
of social audit committee. Social Audit of SBM needs to be an on-going activity and it will be
important to transfer capacities to local institutions for conducting it on their own.
The key objectives of Social Audit of Mission are:
a) Increase efficacy of the Mission by understanding any issues and gaps, as perceived by the
project stakeholders and take timely remedial action.
b) Assessment of an improvement in the general quality of life in the rural areas, by promoting
cleanliness, hygiene and eliminating open defecation.
c) Monitoring the acceleration in sanitation coverage in rural areas to achieve the vision of
Swachh Bharat by 2nd October 2019.
d) Appraise the proactive role of Panchayati Raj Institutions and committees to adopt
sustainable sanitation practices and facilities through awareness creation and health
education.
e) Assessment of cost effective and appropriate technologies for ecologically safe and
sustainable sanitation.
f) Evaluation of Community managed sanitation systems focusing on scientific Solid & Liquid
Waste Management systems for overall cleanliness in the rural areas.
b. Key Elements of a Social Audit
National and State governments spend huge resources on the welfare of its citizens through various
development programs, schemes and projects. When public resources are spent on the welfare of
the community, the latter has the right to monitor those spending, and the utility, quality and impact
of work undertaken using those funds. For such programs, social audit is used as an accountability
establishing mechanism, whereby community is empowered to seek answers on how and why of the
program and implementing agencies are duty-bound to respond to them. It builds a culture of
transparency where the resource investments, their process and outcomes are publicly discussed.
Social audit is primarily conducted by the community with external facilitation and support provided
by civil society or other support agencies. The aim is to understand the nature of investments made
on a public service/ entitlement by the government, the criteria used for making those investments,
how far do those criteria proximate to the stated objectives of the program, what has been the
impact of those investments on different categories of people, has the process and its impact been
13
inclusive and transparent, and whether these impacts have been proportionate to the quantum of
investments made.
It is necessary for Social audit to have the following key elements to be effective:
1. Needs to be participatory and consultative.
2. Needs to create space for accommodating diverse opinions and viewpoints.
3. Needs to be comprehensive, assessing all direct and indirect impacts on the village/
region.
4. Needs to be inclusive and open throughout the exercise.
5. Needs to reflect the local needs and priorities.
6. Needs to widely share and disseminate information to reach all.
7. Needs to create a dialogue among all program stakeholders.
8. Needs to be a continuous process
iv. Provisions related to Social Audit in SBM-G Guidelines
As noted in the earlier sections, the emphasis of various components of SBM is largely on
community-led and participatory approaches so that there is due community ownership and the
impacts of the program are long term. The program guidelines emphasise the use of Community-led
action for collective behavioural change and awareness generation and generation of local demand
for sanitary facilities in households, schools, anganwadi centres and at public places.
Keeping community at the centre of action, SBM guidelines reiterate the importance of Inter
Personal Communication (IPC) for triggering demand and sustained social and behavioural change.
Promotion of Community-led monitoring systems has also been highlighted in the guidelines for
creating peer pressure and for local accountability. Flexibility has been built into the program design
so that implementation is driven by community choices and not by prescriptive program guidelines.
By investing in local capacities SBM aims to strengthen local bodies and institutions to make the
program demand-driven and to develop a culture of transparency and bottom-up accountability for
community ownership and sustained use of sanitation services and practices created.
The Guidelines note that Community-based monitoring and vigilance committees are essential to
create peer pressure and a robust monitoring mechanism that is community led- like Social Audit,
needs to be put in place to track the open defecation status and other components of SBM in the
village (Section 5.2.10). It also underlines the catalytic role that support organisations working in the
area- like CSOs/CBOs/ NGOs/SHGs/ Cooperatives/other local institutions - can play for achieving the
desired social impact through engagement with the community. This can happen through
14
involvement of such support organisations in awareness building, IEC, community triggering for
behaviour change, capacity development of local committees and stakeholders, monitoring and
evaluation and also for facilitating social audit of the program by the community.(Section-10.7)
The guidelines have also allocated separate funds for monitoring and evaluation of the program,
with states being given the responsibility for making ‘arrangements for concurrent monitoring and
social audits’ (Section 6.11.6). It has also brought Swachh Bharat Funds, which are to be jointly
managed by the Village and Water Sanitation Committee and the Panchayat Sarpanch, within the
purview of community monitoring and subject to social audit (Section 8.5.3).
Thus the SBM guidelines have clearly created space for the community to play a role in local
decision-making by promoting community-centred approaches, encouraging participatory
approaches to implementation and monitoring, investing in capacity development of local
institutions for decentralised
decision-making and providing a
supportive framework for
facilitating community monitoring
and social audit. The challenge
before the program managers and
functionaries, especially those
working at the block and panchayat
level, will be to leverage these
provisions for promoting
participation, transparency and
accountability in the program
through strong local institutions.
v. Steps for undertaking Social Audit
Presented below are the key steps into which a social audit exercise needs to be divided, though the
decision regarding which steps to finally incorporate lies with the community and agencies
facilitating the audit. As noted earlier, the process of social audit is equally important as its
outcome- since it leads to the education and empowerment of community and building of trust
between the government functionaries and other stakeholders of the program. Therefore, the
trade-off between elimination of certain steps and their potential benefit in the audit process should
Section 9.3 of the Guidelines for Swachh Bharat Mission
(Gramin) clearly states that “both Block level and District
level PRIs must regularly monitor the implementation of the
Programme. GPs must also play a role in the monitoring of
the SBM(G) programme. The GP will organise and assist in
organizing Social Audits of the Programme. Social audit
meeting will be held in each GP once in six months. The
DSBM (G) and the BPMU shall be responsible to ensure that
this schedule is adhered too.” Section 9.5 of the guidelines
further state that the “responsibility of Social audit of the
programme shall be given to any specific village level
body/committee/SHG etc., which shall be carried out in
coordination with the Gram Panchayat.”
15
be carefully assessed before finalising the methodology. The more comprehensive a social audit, the
more systematic and inclusive are its results.
vi. Preparation and Mobilisation for Social Audit:
Swachh Bharat Mission impacts a large rural population and since it aims at improving the hygiene
and sanitation standards of the village for better health outcomes, it meets the pre-condition for
ensuring citizens participation in its social audit.
a. Defining the scope of Social Audit:It may not always be useful to cover the entire program while
undertaking a social audit. For example, for auditing the Swachh Bharat Mission (SBM) it will be
better to review components that are tangible, impact majority of the community members and
are easy to verify.
This will include looking at the way in which community was mobilised around improved
sanitation, extent to which the community was involved in planning for village sanitation, how
implementation priorities were identified, strategies adopted for inclusion of marginalised and
vulnerable groups in SBM, how were program resources spent in the area, did implementation
• Constitute a representative local social audit committee
• Orientation of committee members on objectives and rolesCONSTITUTION OF A LOCAL SOCIAL AUDIT COMMITTEE
• Information regarding the date and venue of social audit
• Handover list of all information required from department/officeINTIMATION TO THE LOCAL OFFICIALS/ DEPARTMENT
• Collection of data from government office
• Validation through site visits and discussions within communityCOLLECTION OF DATA AND
PROGRESS REPORTS
• Preparation of progress report for presenting during audit
• Finalisation and inclusion of additional issues in the agenda
FINALISATION OF STATUS REPORT FOR SHARING WITH
COMMUNITY
• Door to door mobilisation and sharing of objectives and benefits
• Dissemination of the agenda and key issuesGRAM SABHA MOBILISATION FOR SOCIAL AUDIT MEETING
• Presence of stakeholders from both sides to respond to queries
• Minutize proceedings of meeting and share with all present
CONDUCT OF THE SOCIAL AUDIT GRAM SABHA/
MEETING
• Demand Action Taken Report from local agency/ departmentFOLLOW UP ON RECOMMENDATIONS WITH OFFICIALS/ DEPARTMENT
16
Local Social Audit committee needs to be representative of the community and should have representation from VWSCs, SHGs, elected representatives, individual beneficiaries, community members directly or indirectly impacted by CSCs and SLWM, women, youth and vulnerable communities.
deviate from established modalities, were implementing agencies and elected representatives
sensitive to the needs, preferences and concerns of the beneficiaries, were course corrections
made to incorporate suggestions offered by the community/ beneficiaries during
implementation, and lastly, were benefits equitably distributed and did they leave a positive
social impact in terms of access to safe and quality sanitation?
Once there is clarity on the scope and what exactly needs to be evaluated, it becomes easier to
prepare for the subsequent steps involved.
b. Formation of a local Social Audit Committee: While a facilitation agency would support the
social audit of SBM, it is important to constitute a local committee that can anchor the process
within the village. SBM guidelines mention that social audit must be conducted every six months
through the Gram Panchayat, and a relevant local
body (Gram Sabha) or committee (Village Water and
Sanitation Committee-VWSC) should facilitate the
process.
As the objective of social audit is not merely to
evaluate the program from a community perspective, but also to empower the community to
gradually take over the responsibility of conducting social audit them, it is important that key
resource persons are identified from within the village to be part of social audit committee.
Social Audit of SBM needs to be an on-going activity and it will be important to transfer
capacities to local institutions for conducting it on their own.
vii. Orientation of the committee:
Immediately after the constitution of the committee they should be thoroughly oriented by the
facilitating agency on their roles and responsibilities and objectives of social audit. This includes
their orientation on the aims, objectives and different components of SBM, the modalities for
implementation, technical, social and environmental concerns that need to be addressed during
implementation, simple ways of collecting and validating data from the field, issues of inclusion
and gender, neutrality, conflict management and community mobilisation. This role of orienting
new members of the committee can gradually be taken up by old members to minimize
dependence on external agencies. The committee needs to be thoroughly oriented on their roles
and responsibilities vis-à-vis the marginalised communities and women, in terms of getting their
issues on the agenda for discussion, analysing the sanitation issues in the village from the
17
perspective of the women and the vulnerable groups in the village, including the old-aged,
disabled, socially deprived communities and the minorities.
A good social audit needs to be jointly owned by the government and community, Therefore it is
important at this stage to invest efforts in the capacity building and orientation of the
government functionaries, implementing agencies and elected representatives to be involved in
the audit process on the aims and objectives of social audit. As these are important stakeholders
in social audit, it is crucial to engage them and seek their support in the preparation and conduct
of the social audit.
viii. Formal intimation to implementing agencies and Government department:
As soon as a date is decided for the social audit, the committee needs to formally communicate the
tentative date and venue of the social audit meeting/ Gram Sabha to the concerned government
department and implementing agencies. Government agencies may require time to collect and
provide program related information that may be required during preparation for the social audit.
This not only ensures adequate preparation time, but also leaves scope for getting data through
alternate sources/ mechanisms.
ix. Information on Sanitation Status Required for Conducting Social Audit
Individual and Community level Entitlements under SBM.
Annual Plan for the current year.
Key priorities identified for the village and how?
Existing coverage in the village- shortfall?
Target vs achievement in the current and last financial year.
List of IHHL Beneficiaries – segregated by social category and habitation/hamlet.
Status of actual usage of sanitation facilities - IHHL
Status of sanitation coverage of schools and Anganwadi Centres.
No. of user- friendly toilets created for PwDs and Old-aged.
Status of SLWM, details of agencies, budgets, status and plan for subsequent years.
Panchayat’s Program Budget for the year and actual spending.
Current status of expenditure under various program components, including IEC.
Fund flow and entitlement disbursement status for IHHL beneficiaries.
List of incomplete toilets with reasons for the status.
List of Dysfunctional Toilets
Implementation plan for the coming months and next year (if prepared already)
18
If possible, the committee should assess the performance of the program based on pre-decided performance parameters- which include a combination of process and outcome indicators.
x. Collection of information and its analysis:
Once the information sought from government departments (Rural Development/Public Health
Engineering, School Education, and Women & Child Development in most states) regarding the
status of implementation of SBM has been received, it is important to generate simplified progress
reports regarding the status of implementation, so that the
community members can comprehend it.
This needs to be preceded by a desk-analysis of the data
received and field validation of information provided by
functionaries of these departments. Quality of sanitation infrastructure created, site selection and
beneficiary’s participation in site and technology/design selection also needs to be assessed during
these field validations. In case field implementation is found to deviate from the reported status, it
needs to be highlighted in the progress reports for seeking justification from the implementing
agencies and departments during the Gram Sabha for social audit.
Based on the beneficiary list provided, the social audit committee, with help from the facilitating
agency, needs to hold personal interviews with beneficiaries of IHHL, Focus Group Discussions with
community members regarding the SBM implementation in the village and discussion with users
regarding SLWM/ CSCs. This could be done informally, by verbally asking stakeholders a few set
questions during discussion, or with the help of a formal, structured questionnaire.
Some field level (primary) data collection also needs to be done by the committee to form their own
assessment regarding implementation- highlighting the sanitation and hygiene related priorities of
the village, whether the program has delivered on them or not, extent to which the program has
been able to reach out to marginalised groups or respond to the different needs of women, disabled,
old-aged and children.
This analysis needs to be a mix of qualitative and quantitative assessment based on field realities
and community perceptions. Care should be taken to avoid personal biases from getting reflected in
these assessments; they need to represent what the majority and the excluded groups feel about
the program- the way it is being locally implementation and its impact.
The output of this step should be a clear and simple analysis of the exact status of the program and
the key issues and concerns that pose bottlenecks to equitable and sustainable impacts. The analysis
should also clearly bring out how the sanitation related interventions under SBM(G) have impacted
19
the different social and economic groups like the SC.ST/ Minorities/BPL/ Women/ Women headed
households/ Old-aged and PwDs.
Once prepared these assessments should be widely and prominently disseminated throughout the
village and also shared with the implementing agencies/ government departments, so that they have
an opportunity to analyse and respond to them during the social audit.
xi. Community mobilisation for social audit Gram Sabha/ Meeting
Closer to the date when Gram Sabha is to be convened for social audit, it is important to organise
large-scale awareness campaigns for the community about benefits of social audit, its importance
for local accountability, important role played by community in social audit, its contribution to
improvement in the quality of services and also as an opportunity for addressing people’s grievances
regarding the program.
The social audit committee with support from the facilitating agency, and also with the help of local
resource persons/volunteers, should launch a door-to- door campaign to mobilize the community,
educate them and explain the agenda of the upcoming social audit Gram Sabha on Swachh Bharat. It
will also be useful if these campaigners share highlights of the program assessments with the
community members to generate interest around the social audit.
Follow-up with the other stakeholders like the elected representatives, government officials, the
local program functionaries and implementing agencies should also be done so that all parties are
represented and there is a balanced discussion during the social audit.
xii. Conduct of the Social Audit Gram Sabha
It is important that the conduct of Gram Sabha for the Social Audit of Swachh Bharat takes place in a
positive environment. The responsibility for ensuring a non- political and neutral discussion around
the program and its impact lies entirely with the committee. How it facilitates the discussion during
the social audit Gram Sabha and what it does during the preparatory phase decides whether the
conduct of social audit will be cordial and non-confrontational or whether it will be acrimonious and
violent.To be on the safe side, and based on the past experiences of Gram Sabhas, it is always
recommended that support of the local law and order machinery be sought. They should be
informed about the date, venue and time of the Gram Sabha so that the local authorities can be on a
standby to handle the situation in case it turns violent. This however, does not discount the role that
the VSAC has to play in ensuring a cordial and constructive discussion during the meeting.
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xiii. Deciding Date, Venue and Time of Social Audit meeting:
Success of a social audit depends on community participation, therefore the date, time and venue of
the meeting should be carefully decided to maximize participation and representation from all
sections.
DATE- It is best to avoid peak agricultural season or peak seasons of activities that most villagers
might be engaged in. In places with high out-migration social audit meeting should be convened
when most residents are back in the village.
VENUE- Choice of venue could either be based on convenience- most accessible place in the village/
panchayat or a habitation with good/low implementation, or near a settlement/ habitation
belonging to marginalised communities. It would be advisable to keep changing the venue to draw
attention to different aspects of the program. Arrangements for drinking water, shade, separate
seating for men and women and public address system should be made.
TIME- The time of the day most convenient for both men and women should be chosen. This will
allow women to be present in large numbers and freely participate in the discussion. Normally early
mornings, very late evenings and meal-times should be avoided.
While there can be no prescriptive format on how the Social Audit meeting needs to be ideally
conducted, and is best left at the discretion of the committee and presiding authority, there are
some mandatory requirements that need to be fulfilled for successfully and legitimately organising a
social audit. Some of the important steps for conducting a social audit are as detailed below:
Requirement of a Quorum
Presence of all Stakeholders
Nomination of the Presiding Authority
Initiate meeting with introduction to the Social Audit
Presentation of the Official Status and Community’s Assessment of the Program
Open Discussion on the Gaps and Issues
Finalisation of the recommendation of Social Audit
Preparation of Minutes of the Meeting and Key Decisions
21
Detailed minutes of the Gram Sabha and list of key decisions should be shared with concerned duty-bearers.
Regular follow-up with officials for seeking action on recommendations.
Findings and gaps should be used to advocate improvements in program design and implementation.
Social Audit committee should assess how they can improve organisation of social audit based on the last experience.
xiv. Post-Audit Follow-up on Recommendations:
Based on the draft minutes of the meeting prepared by the committee, more detailed minutes need
to be prepared for dissemination in the village and for submission to senior government officials. It is
always advised to get the proceedings of the Gram Sabha recorded so that any subsequent
confusion regarding the discussions and decisions can be verified. In case of issues where the social
audit committee would like to have another look at the ground reality to verify some claims of the
government, the findings of the validation report should also find a place in the minutes of the
meeting, The minutes should clearly bring out the gaps, issues, challenges, decisions and
recommendations emerging from the social audit Gram Sabha. If possible, the recommendations
should also clearly bring out what specific action needs to be taken to address the situation and by
whom.
After the detailed minutes are finalised and
approved again by the presiding officer,
Sarpanch/ Pradhan and the committee, it should
be sent across to all responsible officers at the
block district and state for action, including the
District and Block Water and Sanitation Mission/
Committees (DWSM and BWSC).A copy of the
draft minutes prepared immediately after the
Gram Sabha should also be attached with the final minutes for reference. It is important that a
continuous follow up be started with concerned departments regarding action recommended by the
Social Audit so that the exercise leads to positive changes.
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PART II
BACKGROUND OF SOCIAL MONITORING, AND
FORMATS & CHECKLISTS FOR CONDUCTING
SOCIAL AUDIT
23
1.1. NEED FOR CITIZENS ENGAGEMENT IN DEVELOPMENT PROGRAMS
Development programs are mainly designed to create positive social impacts through provisioning of
public services, goods and entitlements. The impact of such programs is positive only when they
respond to the felt needs and aspirations of the communityand adhere to their stated objectives,
values and goals. In a democracy it is important that the citizens are involved in key decision-making
processes and there is dialogue between the policy-makers and public in the formulation of policy
and programs. This not only ensures due transparency in policy making but also makes those policies
and programs more relevant to the needs of people.
There are several ways in which community engagement in public programs can be received. While
in the policy formulation and legislation space there is limited scope for people to directly or
collectively provide policy inputs in an indirect democracy, the most potent opportunity for the
community to engage with the government comes when they are involved in the implementation of
programs meant for them. If there is space for citizen’s engagement, right from planning to its
monitoring, it not only brings due ownership of citizens but also enhances the quality of those
programs and schemes.
The pre-cursor for an efficient citizen’s engagement is the openness of the public institutions in
creating such a space where the former can freely provide feedback for the purpose of improving
the quality of programs.
Some of the usual obstacles to effective public engagement are a lack of mutual trust between the
community and public agencies, absence of precedence where the two entities collaborate for a
common cause, lack of formal (or established) mechanisms for facilitating such a collaboration, lack
of awareness or quality information with the community to effectively engage public institutions (or
to hold them accountable), low awareness within the community about their own roles and
responsibilities,role of elected representatives and public officials, andalso sometimes unrealistic
expectations of the community from the government.
Citizen’s engagement in development programmes has utility only if there is awareness and
education about their rights and responsibilities with relation to government in general, and
specifically in relation to the program being monitored. Such an engagement also becomes effective
only if it is around issues that people are directly affected by or interested in. Mutual trust between
24
the community and public agencies can also be built through the presence of a facilitation agency
that bridges the two and helps in developing trust and partnership between them.
Such engagement remains sustainable when communities see that the feedback and suggestions
provided by them have been valued, worked upon, followed up with concrete action either on the
ground or through changes in the design of programs. Very often citizen’s participation starts on a
high note but gradually dissipates over a period of time if people see inaction on the part of
government or if they don’t see changes happening. If this does not happen there is disconnect
between the program and community, and the latter stops responding- resulting in poor ownership
and programs gradually become supply-driven.
Therefore, it is important that citizen’s engagement be considered critical to any community-
oriented programand its recommendations taken as seriously as other formal evaluations. For a
government that wishes to be seen as citizen-centric and transparent, community engagement
presents a concrete means to demonstrate this commitment.
1.1.1. WHY COMMUNITY MONITORING OF DEVELOPMENT PROGRAMS?
When the community associates itself in the implementation of programmes it adds value to those
programs in several ways. It not only makes the programs demand-driven but also leads to an
improvement in the overall quality of service delivery, towards which the duty-bearers may have
been indifferent. Some of the values that such an association creates are:
1. Ensures that people’s voices and preferences are included in program design or
implementation strategy.
2. Implementing agencies become aware of the need to objectively implement programs as
per its stated objectives.
3. Transparency created as a result of this engagement forces the agencies to consider equity
issues during planning and implementation.
4. Due to this transparency, reach and access of the poor and marginalised to these
entitlements improves.
5. Ensures spatial and social spread of program activities across all groups and habitations
6. Administration gets an opportunity to better understand people’s expectations from the
program and how they need to be met during implementation.
7. It also helps to understand different impacts of the program on different categories of
people
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8. Community Engagement brings clarity to citizens about the implementation modalities,
Standard Operating Procedures and limitations within which the implementing agencies
operate.
9. Lays foundation for a long-term dialogue and partnership between the entitlement-holders
and duty-bearers so that both can understand each other’s expectations and limitations
better.
10. Leads to better information and awareness within the community regarding the program.
1.1.2. DIFFERENT COMMUNITY MONITORING SYSTEMS
Community-led monitoring enable inclusiveness and participation and can complement participatory
and inclusive planning to help people assess if their plans and priorities have been implemented in the
manner they had laid down or not.
Community-led monitoring systems also enable communities to track their progress vis-à-vis the
program over a period of time, and assess the outcome and impact that these programs have had on
the local population and region.
A number of community based monitoring systems have been developed and used in India, like Public
Hearings, Social Audits, Citizens Report Cards for monitoring sectoral programs. These tools have been
used with differing effectiveness in different sectors and regions of the country and largely depend on
the level of awareness of the community, its ownership in the regions development, nature of
facilitation extended by the civil society and most importantly, the space and seriousness provided to it
by the government.
An effective and sustainable community-led monitoring system needs to be simple in design, uses
simple monitoring tools that can be managed by the community itself, requires minimal external
facilitation, has the ability to accommodate the aspirations of a large set of stakeholders, follows a
participatory and inclusive process of data collection and assessment, directly involves the community
in assessment /monitoring process and is completely decentralized.
Different types of community- led monitoring systems are in place and are used with different impact
depending on the nature of monitoring required and the level of facilitation available for
undertakingthem.
26
a) PUBLIC HEARINGS or JAN SUNWAI- Public hearings are formal meetings, mostly organised by
the government itself, where the government wishes to solicit views and opinionsof citizens
on a policy or action that they are about to make.A public hearing can be viewed as a forum
where individual citizens, civil society institutions and officials come together to exchange
information and opinions about issues before a final decision is taken on itand therefore used
as a sounding board to get community reaction to major policies/ projects. The intention is
that the community gets an opportunity to voice its views and concerns regarding the real and
potential impact that the policy or project will have on them. While public hearings are
consultative, its design is not, and in the absence of a structured format for discussions, it can
tend to move away from real issues.
b) CITIZEN’S REPORT CARDS- Citizen’s Report Cards are documents produced by citizens groups
or civil society, on behalf of the community, and are based on community perception surveys
conducted to assess the community’s levels of satisfaction with respect to a set of public
services provided by the government. The results of the survey are analysed and disseminated
by the facilitating agency and discussed with the community in the form of a report card on
the government’s performance as perceived by the community. Since the Report Cards use
scientific survey tools and reflect the opinions of a large population on a particular issue, they
provide a wealth of information to the government on community issues, quality of current
public services and the extent to which the issues are being addressed.These Report cards are
also used as advocacy documents to influence policiesand get changes made in development
programs. Ideally, report cards should be released at regular intervals to be able to track how
the program, and itsperceived impacts change over time. Since theseReport Cards need to be
based on systematic surveys, their implementation depends on intensive facilitation by
anoutside agencylike civil society organisations/advocacy groupsand cannot usually be
undertaken by the community or community groups alone.
COMMUNITY MONITORING
PUBLIC HEARINGS
REPORT CARDS
SOCIAL MONITORING
SOCIAL AUDIT
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c) SOCIAL MONITORING- Social monitoring is a process that allows citizens to track the
implementation of government policies and programs at the local level, measure their
efficiency and provide feedback based on their own perceptions about the quality of service
delivery. This type of citizen’s oversight uses participatory approaches and methodologies for
collection of information and discussion, and in most cases requires the presence of
afacilitation agency to mediate the process. Social monitoring promotes good communication
between the government and local citizens and is useful to assess the outcome of activities
undertaken by the government over an extended period. Since the format allows for multi-
stakeholder participation, it requires information sharing amongst them and the facilitating
agency.
d) SOCIAL AUDIT- Social Accountability Guide of the World Bank defines Social Audit as “a
monitoring process through which project information is collected, analyzed and shared
publicly in a participatory fashion. Social audits may go beyond the oversight of project
finances and procurements to examine all aspects of the project, including level of access to
information, accountability, public involvement, project outputs and outcomes. Social audits
are typically carried out by community volunteers (social audit teams/committees) and findings
are presented at a public forum/hearing”. Thus, Social Audit draws on the strengths of other
community monitoring processes and undertakes a social cost-benefit analysis of a
policy/program to determine whether it is delivering what it claims and whether benefits are
reaching the intended population. This type of participatory monitoring brings together the
community, government, local bodies and civil society for collectively analysing progress,
issues of equity and impact,and suggesting improvements in design or implementation of
the program/ policy.
Among all the other community led monitoring systems, social audit is the most widely used in India
and has been found to be an effective instrument for citizens engagement in development programs.
Public Hearing (Jan Sunwai) is also extensively undertaken in India, though it is used more as
aninformal grievance redressal mechanism than as a formal approach to participatory monitoring.
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Do’s and Don’ts for Social Audit of SBM
DO’S DON’TS
Objectivity and Neutrality should be
maintained at all costs.
Purity of the process should not be compromised.
All Stakeholders should respect others
professional viewpoints.
Views and recommendations should not be taken
personally.
It should have a fact-finding approach. Should not allow it to turn into a fault-finding
exercise.
Balanced approach to the assessment-
highlighting good with the bad.
Should not be entirely negative or positive – should
not be tilted towards a particular set of stakeholders.
Should be conducted in an apolitical
environment.
Should not allow the process to take political colour.
Constitution of Social Audit Committee should
represent diversity of the village.
The committee should not end up representing only
the village elite.
Community assessment of the program should
be based on official records and actual status.
Assessment should not be entirely based on individual
perceptions.
Interact with community members from
diverse social, economic backgrounds for
forming community opinion/perception.
Should not be based on interaction with only select
community members.
Clear segregation of responsibilities of social
audit committee and local officials at the
beginning of the exercise.
Should not be seen as a joint exercise of the
committee and the government.
Facilitation agency should ensure the process is
community owned and driven.
Should not allow government officials to guide the
social audit process.
Facilitating agency should only support from
outside.
Agency should not undertake activities on behalf of
the committee or community.
Selection of presiding officer should be based
on ability to carry along people across social
and political groups.
Selection of political person from different political
group should be avoided.
29
Equal voice and opportunity for all during the
audit meeting.
Should not allow a section of the community to
dominate discussions.
Should present a comprehensive assessment of
all relevant components of the program.
Should not present partial assessment of program
implementation.
Both outcomes as well as processes should be
assessed by community through social audit.
Should not be limited to assessing just outputs and
outcomes.
All records should be validated from different
sources before beginning analysis.
Should not depend on only one source of official data.
Complete transparency should be adopted
during all stages of social audit.
Information should not be kept secret from
community members at any stage.
Community members with diverse backgrounds
should be included in the field validation
exercise for transparency.
Social audit committee should not make field
verification an in-house exercise.
Status Reports prepared prior to Social Audit
and post-audit recommendations should be
widely disseminated.
Community should not be unaware of what will be
presented at the Gram Sabha;
All supporting documents should be available
with social audit committee during Gram Sabha
meeting.
Arguments should not be presented without adequate
empirical proofs or documents.
Issues regarding quality of implementation
should be taken up with actual beneficiaries/
users of sanitation facilities.
Quality issues should not be discussed with those
ineligible for program entitlements like APL and well
off
Diversity of issues should be captured during
quantitative and qualitative assessment-
Gender and Inclusion issues should be
exclusively discussed during the Gram Sabha.
Issues of participation and inclusion should not be
ignored while analysing impact of program with the
community
Members of disadvantaged groups should be
encouraged to air their view during the Gram
Sabha.
There should be no discrimination against members of
the community who are vulnerable.
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Sample Format for Recording Proceedings of Social Audit
A. BASIC INFORMATION
Name of the Village :
Name of the Gram Panchayat :
Name of the Block and District :
Date of the Social Audit :
Social Audit of the Financial year : FY ........... First Second
Period of Social Audit (Month/Year) : From_______ to ________
Total membership of the Gram Sabha :
Total attendance in the Gram Sabha :
Social Audit Gram Sabha Facilitated by :
B. SUMMARY OF STATUS
Total no. of households in the Village :
Total no. of Primary, Middle, Secondary schools
in the village
:
Total no. of Anganwadi Centres in the village :
Total no. of eligible households :
Total no. of households with access to sanitation
services
:
Total no. of IHHL constructed (completed) during
the period being audited
:
Total no. of School toilets constructed/ improved
during the period being audited
:
Total no. of Anganwadi toilets constructed/
improved during the period being audited
:
Total no. of IHHL under-construction :
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Total IHHL target for the period :
Implementation Gap (Target- current status) :
Total Expenditure during the period :
Total amount paid as toilet incentive :
Total expenditure on CSC construction :
Total expenditure on SLWM :
No. of beneficiaries directly paid incentive :
Total amount paid for purchase of material :
Total amount paid for construction work :
Total No of Dysfunctional toilets identified in
base line
No of Dysfunctional toilets converted into
functional toilets
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1. CHECKLIST OF INFORMATION TO BE COLLECTED FROM GOVERNMENT DEPARTMENTS
This is the sample list of information that will be required by social audit committees for preparing
Village Status Report on SBM for the social audit.
S NO. INFORMATION REQUIRED REMARK
1. Total Households in village and sanitation coverage Habitation/hamlet-wise
2. Total program target for the village BPL, APL Priority households vs
coverage
3. Cumulative Approval and Achievement IHHL, Sanitary Complex, School
latrine, Anganwadi latrine
4. Approval and achievement in the current financial year
5. List of completed, incomplete, under construction toilets
6. Beneficiary-wise list of IHHL provided completion
certificates
7. Beneficiary Profile- BPL, SC, ST, Priority families Target vs. Covered
8. Other APL Households (ineligible) without toilets Target vs. Covered
9. Actual OD status of the village
10. Number and List of beneficiaries to whom incentive is
released
11. Status of Solid and Liquid Waste Management Approval/implementation
12. Physical and Financial Target for SLWM for the year Target vs. achievement
13. Status of Training on roles and functions under SBM VWSC members, Swahhagrahis,
PRI members
14. FINANCIAL
15. Administrative and Financial approvals
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16. Related Sanction Orders
17. Financial Expenditure- Actual against budgeted For different components of
SBM
18. Expenditure on software activities- IEC,IPE and BCC Bills, details of activities
undertaken
19. In case procurement of supplies done centrally or by
Panchayat:
a. Bills and vouchers for material
b. Current Stock -in case material lying in village/
Panchayat.
c. Status of supplies of Pans, slabs, bricks, cement
and sheets.
For all hardware activities IHHL,
CSC, School and Anganwadi
toilets and SLWM
20. Action Taken Report on recommendation of previous
social audit
In case it has not been provided
so far.
21. Any other documents required for Social Audit
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2. INPUTS FOR QUALITATIVE ASSESSMENT DURING SOCIAL AUDIT
Social audit uses a combination of qualitative and quantitative assessments for preparing the
community’s opinion about the progress and impact of the program. The following aspects of
program implementation may need to be seen while doing the qualitative assessment:
Was proper environment created in the village before initiating work under SBM?
Was proper triggering done for bringing about community-wide behaviour change and
demand for sanitation facilities?
Was the implementing agency/department ready with all necessary hardware and human
resource for responding to increase in demand from the community?
IHHL of how many eligible households were planned to be made during the assessment
period and how many have been made?
Is the progress on track/slow/faster than planned? Reasons for the same.
Are there any issues related to deficit in supplies and trained rural masons?
What is the social profile of beneficiaries whose toilets have been constructed so far?
What were the criteria adopted for starting work in the village?
If a saturation approach was adopted, then what was the criteria for prioritising localities?
How many habitations/hamlets/wards/mohallas have been covered so far?
Was the community/ Gram Sabha involved in the identification of these priorities?
Were priorities communicated to the community by department functionaries/
implementing agencies/ panchayat?
What is the extent of sanitation coverage for vulnerable families- women headed
households, landless, small & marginal farmers and families with PwDs/ pensioners/
pregnant women/nursing mothers/ girl child?
Were issues related to hygiene, water quality, contamination of water sources explained to
them by the implementing agency before starting construction?
Were beneficiaries provided design and technology options for IHHL? Were merits/ demerits
of these options explained to beneficiary? Was their opinion sought for site and technology
selection?
What was the incentive provided to various beneficiaries? If material was provided then how
much was provided- amount and quality?
How many days after toilet completion did beneficiaries receive their incentive amount?
Did the incentive come to them or directly went to implementing agencies?
35
Were beneficiaries explained the detailed break-up of their incentive amount and how they
were apportioned and distributed- in case payment for material and construction were
made directly by panchayat/BWSM/ DWSM?
Which are the families that still don’t figure on list of IHHL beneficiaries? Their social profile
and reasons for absence from village list?
How many damaged/’missing’/incomplete toilets exist in the village? How is their inclusion
in the program being ensured?
Has access to easy credit been provided to the better off APL families?
Has awareness been created regarding it /doubts cleared?
Have APL families started accessing this credit facility for toilet construction?
How many families have members who are still defecating in the open? Reason?
Are parents/ parents associations satisfied with the quality of sanitation facilities created in
schools/Anganwadi and their maintenance?
Are there any challenges related to O & M of these facilities, as per local functionaries-
Teachers/ Anganwadi Worker/Helper? What are those bottlenecks?
Have separate boys and girls toilet been constructed in all schools under the panchayat?
Facilities for menstrual hygiene? Are they functional? If not, why?
Have teachers received training on menstrual hygiene and its management? Have
Girl students been provided an orientation?
What is the status of overall hygiene and sanitation in the village?
What is the status of Solid Liquid Waste Management in the village-design/ implementation/
completed?
Have all internal drains been created? Which localities have been covered so far? Reason for
this prioritisation?
How is the household waste being currently handled? Systems of collection, disposal, use or
treatment? Responsible party?
Has any part of the population been excluded from the program? Migrant/Semi-
nomads/new settlers/re-settlements? Reasons for exclusion?
What is the strategy adopted to help them access safe sanitation?
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3. CHECKLIST ON COMMUNITY MOBILISATION FOR SOCIAL AUDIT GRAM SABHA
Mobilisation of the community for motivating them to participate in the Social Audit Gram Sabha is
animportant part of preparation. Social audit committee/ facilitators need to do the following for
effective social mobilisation:
S No Things To Do
1 Make a list of all habitations/wards in the village/ Gram Panchayat
2 Map the social profile of these habitations to identify localities with vulnerable
communities- SC/ST/ Minorities
3 Make a schedule for reaching out to all habitations /communities
4 List down members of social audit committee/ VWSC/SHGs and local government
functionaries / volunteers/Swachhagrahis/ opinion leaders who can help in the
mobilisation
Draw up an outreach and communication strategy for community mobilisation based
on resources available
5 Allocate responsibilities based on the schedule prepared for reaching out to all
6 Orient community mobilisation team on standardised messages regarding Social Audit
and Swachh Bharat Mission:-
- Purpose of Social Audit Gram Sabha
- Role of community in Social Audit
- Importance of quorum
- Participation in collective decision-making
- Objectives and components of SBM-G
- Highlights of the community assessment of SBM-G
- Expected outcomes that would improve impact of the program
7 Use posters, pamphlets and wall-writings to disseminate time, place and venue of social
audit and key messages
8 Initiate first round of mobilisation through location and door to door visits,a fortnight
before the Gram Sabha
9 Hold discussions with small groups at common places in all wards to educate
37
community members about social audit
10 Hold discussions with women and women’s groups on gender issues related to
sanitation and how social audit can draw attention to them
11 Hold discussions with marginalised groups on issues specific to their group/ locality
12 Use other forms of media including public announcements, street plays and folk media
to reinforce the messages and draw community to the social audit meeting
13 Undertake second round of mobilisation (closer to the date of social audit) targeting
local institutions- affinity/kin groups, women’s groups, youth clubs, SHGs, local
committees, user-groups
14 Seek help of elected representatives /community leaders if low participation expected
15 Assign responsibilities to volunteers /team members for bringing people to the venue
on the day of Social Audit Gram Sabha
4. SANITATION-RELATED PROCESS AND OUTCOME INDICATORS
Following is an indicative list of process and outcome indicators that should be tracked through the
SBM social audit.
38
PROCESS INDICATORS OUTCOME INDICATORS
No. of meetings done with community during the
triggering phase
Percentage of households provided sanitation
coverage
No. of people who came forward to demand toilets
after being triggered
Percentage of households without access to
toilets
Smooth availability of supplies for the construction
of toilets
Percentage of SC/ST households with access
to toilets
Use of established objective criteria for beneficiary
selection/ prioritisation
Percentage of BPL families with access to
toilets
Involvement of community in annual program
planning for the village
Percentage of landless families with access to
toilets
Involvement of community in beneficiary selection Reduction in the no. of cases of water-borne
diseases/diarrhoea
Involvement of beneficiary in site/design selection No. of households/wards made ODF
Transfer of incentive to beneficiaries-timely and
amount
Number of wards with functional SLWM
systems
Number of key stakeholders (VWSC/Swachhgrahis)
trained on different aspects of sanitation–CAS, BCC,
Masonry/ Construction, O&M, Menstrual Hygiene
Management
Number of schools/Anganwadi having
satisfactory and functional sanitation
facilities
5. TRAINING DESIGN ON SOCIAL AUDIT OF SWACHH BHARAT MISSION
Duration
2 days Training at District Headquarters of 20-25 participants each
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Participant Profile
District/ Block Coordinators, Government Officials, Facilitating Agencies, Elected Representatives
Objectives
a) Building a constituency for regular conduct of SBM-G social audit in the District
b) Sensitize and develop shared understanding among stakeholders about relevance of social
audit
c) Develop skills of participants to guide the process of social audit
d) Identify participants to champion and mentor social audit processes in the district
Day I
Duration Content Method
Topic I: Introduction and Perspective Building
45 min. Introduction and Ice-breaking Games & Role Play
20 min. Objectives Setting and Course Schedule Lecture
30 min. Overview on Swachh Bharat Mission-G and its
objectives, components
Interactive discussion
15 min. TEA BREAK
45 min. Introduction to Social Audit
- Importance of community monitoring, types of
audits and community monitoring systems
- Challenges of supply-driven programs
- Objectives, benefits of social audit
Presentation, Interactive
discussion;
(Providelearning material)
Topic 2: Facilitating Social Audit
60 min. Process and Steps of Social Audit I: Preparatory Phase Video, Presentation and
discussion
(Providelearning material)
30 min. LUNCH BREAK
60 min. Process and Steps of Social Audit II: Audit and Post-
Audit Phase
Video screening,
Presentation and
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discussion
(Providelearning material)
45 min. Challenges and Issues in Social Audit Case discussion, small
group exercise
15 min. TEA BREAK
30 min. Applying principles of Social Audit on Swachh Bharat
Mission-G
interactive discussion
45 min. Adhering to Core values of Transparency,
Accountability, Participation, Inclusion and Neutrality
Presentation and
discussion
Day II
Duration Content Method
Topic 3: Reflection and Reinforcement of Key Learnings
30 min. Recapitulation of learnings from Day I Interactive discussion
90 min. Mock Social Audit of specific part of the social audit
process
Small groups play role of
facilitators to enact
specific steps; Collective
analysis of issues and
challenges by participants
15 min. TEA BREAK
Topic 4: Managing Social Audit Meeting and Discussions
90 min. Tools and Skills required for facilitating social audit
- Organising SBM- related Information
- Physical and Financial Verification
- Performance indicators to be analysed
- Preparing Status Report for presenting to Gram
Sabha
- Mobilising Community for the Gram Sabha
- Conflict Management and Consensus Building
Presentation, Interactive
Lecture
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- Preparing Audit minutes & recommendations
- Securing follow-up action from duty-bearers
LUNCH BREAK
45 min. Group I: Developing a Community Mobilisation
campaign for Social Audit
Group II: Developing Strategy for integrating core values
in the social audit process
Group III: Preparations required for facilitating the
Social Audit Gram Sabha meeting
Group exercise
30 min. Presentations by Groups Discussion and collective
analysis
15 min. TEA BREAK
Topic 5: Valedictory and Follow-up Plan
30 min. Recapitulation of learnings from Day II and De-briefing Interactive discussion
30 min. Preparation of a Social Audit Plan for the District and
allocation of blocks/clusters to participants
