Enhancing the Implementation of Swachh Bharat Mission (Gramin) in Rajasthan

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Table of Contents

Introduction

Research Summary

Research Sites in Rajasthan

Research Methodology

Schema of SBM Implementation Process in Rajasthan

Evidence from the Sites

Recommendations and Impact

Next Steps

Appendix

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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

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Research Summary

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Interviews

Districts*

With government officials from State, District, Taluk and GP levels, in addition to beneficiaries across Rajasthan

Bottlenecks identified

Comprehensive ground level view of SBM(G) IHHL implementation and recommendations

in

Process, HR, technology and fund-flow mapped

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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 Rajasthan

Research Objective

* Detailed list in Appendix

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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

* Information Education and Communication

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Research Methodology

* A detailed list of total number of interviews conducted at different level is given in the Appendix

In Rajasthan, interviews* were conducted with State, District, Taluk and GP officials, and beneficiaries to understand the implementation process

State level – Meetings to understand the process and fund flow

▪ Secretary, Director, State IEC consultant and Accountant

District, Taluk and GP level – Meetings to understand implementation process at the ground level

▪ District Collector, District Project Coordinator at District level

▪ Block Coordinators, Block Development Officers at Taluk level

▪ Gram Sevaks, Lower Divisional Clerks, Nigrani Committee, Motivators, beneficiaries at GP level

▪ Literature review and data 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

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Research Sites in Rajasthan

▪ Research Sites – Bikaner, Pali and Bharatpur districts for in-depth study

different initiatives

– Districts chosen because of high, low, and medium rates of progress in

implementation

– Districts were also selected on the advice of State officials regarding the

variety of processes

▪ Pali and Bharatpur - Two Blocks and two GPs each

▪ Bikaner - Two Blocks and three GPs

▪ Rural Development and Panchayat Raj Dept. implementing the SBM (G) does

not use any software application system in Rajasthan

Schema of SBM Implementation Processin

Rajasthan

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Demand Generation and Application

▪ Raju submits a plain paper letter with his intent to build a toilet

▪ List of eligible beneficiaries is drawn from the ration card database▪ The GP sends a

‘sanction list’ to the Block which contains Raju’s name

▪ After verification, the Panchayat Samiti (BDO) approves the list – making the beneficiaries ‘sanctioned’

▪Post sanction, beneficiary is asked to start construction

▪Beneficiary puts in money upfront to begin construction

▪ Raju, a beneficiary, becomes aware of the scheme via gram sabha/ward sabha/door-to-door campaign/triggering workshop

Beneficiary Government Technology

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Construction and Verification

▪ Each toilet is then physically verified by GP functionaries

▪ The GP sends all the completion certificates to the Block

▪ Post verification, the Panchayat Samiti (BDO) approves the completion certificates

▪ Funds are transferred directly to the beneficiary from the Block

▪ Beneficiaries submit photos of 3 stages (pit, wall, superstructure)▪ Post construction, the

completion certificate is filled

Beneficiary Government Technology

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Fund Disbursement to Beneficiaries

▪ The Block keeps the completion certificates and sends a utilisation certificate to the District

▪ The District MIS Manager verifies the IMIS entries

▪ The District sends the utilisation certificate to the State

▪ After the payment is made, details are updated in the Integrated Management Information System (IMIS) at the Block level

Beneficiary Government Technology

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Evidence from the Sites

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Findings: Demand Generation and Application Process

▪ Implementation of IEC activities is person-driven– Collectors personal interest delivered good results in Pali and Bikaner– 65% beneficiaries interviewed recalled IEC activities

▪ Absence of motivated Swachhata Doots – In Bharatpur, 66% interviewed unaware about the IHHL incentive scheme

▪ Gram Sevaks don’t have timelines/targets to take actions on applications– All Gram Sevaks interviewed across 3 districts submitted applications at their

discretion

▪ Slow processing of applications – All districts used hardcopies of applications and photos

▪ Tracking application and work progress – A tedious manual process– Observed in all districts, GPs did not have computers to keep track of work

▪ Non-availability of photographers causes delay in the construction process– 23% of the total beneficiaries interviewed faced this issue

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Findings: Fund Disbursement to Beneficiaries

Beneficiaries dissuaded due to lack of upfront financial support to start construction

33%

Processes lack defined timeline● Delaying incentive payments● Discouraging people from

applying for the scheme

Villages received delayed payment due to incomplete applications by beneficiaries33

%

Delayed approval from Patwaris for landless laborers/limited landholders causing payment delays

● Approval taking several weeks in Bharatpur

Payment delays dissuading other potential beneficiaries

Beneficiaries waited for over 2 months to receive the incentive leading to financial problems

27%

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Findings: Verification and Audit Process

▪ No accountability and clear goals for block level coordinators

– Block coordinators unclear on performance metrics, hence not motivated

▪ No uniformity in conducting Block Coordinators review meetings

– Only Pali and Bikaner districts had regular review meetings with district officials

▪ Absence of social audit system in districts

– No check on usage of toilets constructed

▪ No independent oversight mechanism to measure effectiveness of the SBM(G) scheme

in Rajasthan

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Learnings from Sites

▪ Monitoring meetings at the state level are conducted regularly

▪ In all 3 districts visited, fund transfer from state to district was not found to be an

issue,but district to beneficiary channel was an issue

▪ State provided adequate support in conduct of skill building workshops

▪ State resource group formed to visit various districts

– To conduct workshops for district resource group and block resource group

personnel

▪ Swachaata Doots and Nigrani Committees not institutionalized in all villages

– Both, key to success and sustainability of the scheme

– To ensure usage of the constructed toilet

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Recommendations and Impact

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Recommendations Overview

Sharpen IEC/IPC Activities Implement Technology based two-stage Payment Process

Introduce an Autonomous Social Audit

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Sharpen Demand Generation Activities

▪ Awareness Generation

▪ Trigger Behaviour Change

▪ Demand Generation

▪ Monitor IEC activities at state level and handhold districts to design IEC campaigns

– Execution to be process-driven as opposed to person-driven

▪ Deploy targeted, simple messaging for IEC

– Messaging around 1) eligibility 2) process and 3) need for toilets

▪ Institutionalise and train Swachchata Doots as dedicated personnel

– To trigger demand and guide households through the process of construction and

accessing the incentive

▪ Enable community models and people participation in monitoring

– SBM(G) guidelines recommend a strong role for CSOs

– Shown success in Bikaner and Pali districts

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Eliminate Application Delays

▪ Consistent access to funds to build toilet

▪ Build confidence in the community regarding timely receipt of incentives

▪ Persuade other potential beneficiaries

▪ Mandate Gram Sevak for timely submission of applications and sanctions

– Through setting targets and training

– Incentivisation on target achievement

▪ Provide list of landless labors/limited landholdings to Gram Sevaks

– To ease names verification and matching with applications

▪ Appoint photographers at GP level/prerak given the additional responsibility

of taking photographs

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Improve Fund Disbursement to Beneficiaries

▪ Technology based solution to make fund disbursement efficient

▪ Build confidence in the community about receiving incentives in a timely fashion

▪ Persuade other potential beneficiaries

▪ Implement technology based Management Information System and eFMS at the state– To systematize the application process – To ensure effective progresses through alerts and flags

▪ Implement dashboard to provides real time monitoring at all levels– To track and flag progress metrics at every stage of the application,

construction and funding process

▪ Implement two-stage fund disbursement process– Enabling upfront access to funds - encourage the disadvantaged to start

construction

▪ Increase frequency of inspection– To support the implementation of a two stage payment process

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Introduce an Autonomous Social Audit

▪ Reduce financial frauds

▪ Improve the quality of construction

▪ Improve the Mission Outcome

▪ Design Social Audit System in convergence with NREGA social audit system

– To reduce duplication and increase effectiveness

▪ Define audit parameters after consulting with all SBM(G) stakeholders

– To ensure that multiple concerns are addressed

– Suggested parameters

▫Number of toilets built

▫Usage, state of construction

▫Processing issues, hindrances and

▫Delays in construction and incentive payments

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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

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Thank you

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Appendix

Interviews in Rajasthan83

4 State level civil servants

15Block

executives

34GP

functionaries

21Community

members

13 District officials

▪ Districts Visited: Bikaner, Pali and Bharatpur

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Interview DetailsState level ▪ Secretary(1), Director(1), State IEC consultant(1), Accountant(1)

Pali

▪ District level: District Collector(1), Chief Executive Officer(1), DPC(1), IEC Consultant(1), Accounts officer(1), WSP consultant (1)

▪ Block level: Block Coordinators(2), Consultant(1), Pradhan(1), BDO (2)▪ GPs: Gram Sevaks(2), LDCs(2), Nigrani Committee(7), Motivators(4), Beneficiaries(10)

Bikaner

▪ District level: District Collector(1), District Project Coordinator(1), Accounts Officer(1)▪ Block level: Block Coordinators(2), BDOs(2), ▪ GPs: Sarpanch(2), Gram Sevaks(2), LDCs(2), Nigrani Committee(4), Motivators(2), Beneficiaries(7)

Bharatpur

▪ District Collector(1), Chief Executive Officer(1), District Project Coordinator(1), MIS Manager(1)▪ Block level and GP level

– Sewar Block: Block Development Officer(1), Block Coordinator(1)▫ Ludhawai GP: Panchayat Secretary(1), Sarpanch(1), Prerak(1), Beneficiary interviews (4)

– Kumher Block: Block coordinator(1), Panchayat Executive Officer(1), Computer operator(1)▫ Rarah GP: Panchayat Secretary(1), Sarpanch(1), Prerak(2), Beneficiary interviews (4)