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

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Table of Contents

Introduction

Research Summary

Research Sites in Karnataka

Research Methodology

Schema of SBM Implementation Process in Karnataka

Evidence from the Sites

Recommendations and Impact

Next Steps

Appendix

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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

96

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Interviews

Districts*

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

Bottlenecks identified

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

in

Process, HR, technology and fund-flow mapped

and

* Detailed list in Appendix

Field Research Analysis Results

The objective of the study is to draw an end-to-end execution process and identify the prevailing bottlenecks in the SBM (G) programme’s IHHL component in Karnataka

Research Objective

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

State level – Meetings to understand the process and fund flow

▪ Meetings with Programme Additional Director, Integrated Management Information System (IMIS) and Human Resource Department officials and Consultants

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

▪ Meetings with Social Audit coordinators at District and Taluk level

▪ At villages, field interviews were carried out with the beneficiaries and Swachhata Doots

▪ Literature review and data analysis related to SBM (G) undertaken

▪ Research Instrument: A structured questionnaire was constructed; served as a guideline for interviews to collect data that accurately reflected the implementation of SBM

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Research Sites in Karnataka

DavangereIEC/IPC, Process flow, Fund Flow and Social Audit

KoppalIEC/IPC, Process Flow, Fund Flow and Social Audit

MandyaIEC/IPC, Process Flow, Fund Flow, Social Audit and Pilot of eFMS

Districts for in-depth study different initiatives One Gram Panchayat in Haveri district to observe IMIS photo upload process

Chitradurga district support units – To observe inter-GP fund transfer and innovative IEC activities

Shimoga district support units – To understand innovative IEC activities and addressing last mile issues

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Schema of SBM Implementation Processin

Karnataka

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Demand Generation and Application

▪ Prema submits application to construct toilet at the Torekadanahalli GP of Mandya district

▪ Panchayat Development Officer (PDO) verifies documents and Data Entry Operator (DEO) enters the details in Panchatantra and provides an acknowledgement

▪ PDO/Secretary conducts spot verification and takes photographs and uploads them in GPS enabled mobile using SBM state app to DPVT* team at ZP

▪ DPVT verifies and approves the pre-verification photo

▪ After approval, PDO generates work order and informs benificiary to start toilet construction

▪ Prema, a beneficiary, becomes aware of the scheme through IEC/IPC activities like posters, announcement in the village

Beneficiary Government Technology

* District Photo Verification Team

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Construction and Verification

▪ After the superstructure is completed, PDO/Secretary conducts a final verification and takes photos using SBM state app as well as centre SBM app in GPS enabled mobile

▪ PDO/Secretary uploads the photo taken in state app for DPVT verification

▪ DPVT team verifies and approves the photographs

▪ After approval, the system requires GP to generate a payment order

▪ Beneficiary starts the construction by putting in their money upfront.

▪ GP (PDO/Secretary/Bill Collector) assists in taking photographs in the 3 stages – pit digging, wall construction and superstructure

Beneficiary Government Technology

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Fund Disbursement to Beneficiaries

▪ PDO and President bio-authenticate with digital signature

▪ DEO updates details in IMIS and the final photograph is uploaded in IMIS

▪ Payment order generated by GP (PDO)

Beneficiary Government Technology

▪ Beneficiary receives the incentive amount

▪ Details are sent to the bank and incentive amount transferred from ZP account within 5 days

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Evidence from the Sites

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Findings: Demand Generation and Application

▪ No standardized execution protocol exists for IEC activities

– Very few people interviewed recalled IEC activities

▪ Implementation of IEC activities is more person-driven as opposed to process-driven

– In Mandya and Koppal, CEOs took a personal interest in IEC delivery

– 80% beneficiaries interviewed recalled IEC activities

▪ Mandya’s initiative to form Taluk Resource Group (TRG) instrumental in effective IPC activities

▪ IEC materials are not customized to the local context

▪ Swachhata Doots employed only in Davangere

– Acting as a bridge between GP and beneficiaries

– Efforts translated into increased construction

– 68% of annual toilets construction target achieved in Navilehal GP (Davangere)

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Findings: Fund Disbursement to Beneficiaries

Beneficiaries interviewed start toilet construction, but abandon it halfway due to lack of funds

16%

Stated they would benefit from a two-stage payment process

81%

Beneficiaries interviewed yet to start toilet construction due to lack of upfront financial support50

%

Beneficiaries constructed toilets after taking a loan of ₹ 4 - 16K.

87%

Beneficiaries waited for over 2 months to receive the incentive

14%

Beneficiaries expressed hesitation in starting construction, after observing their neighbours’ poor experiences in receiving the incentive

37%For beneficiaries who lacked upfront money in Mandya

▪ Vikasana Institute for Rural and Urban Development built ~100 IHHL in two villages

▪ Reimbursed at a later date by collecting incentives from the GP

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Findings: Verification and Audit process

47%

Beneficiaries didn’t observe a defined timeline in the entire process of toilet construction

Beneficiaries not receiving incentives in a timely fashion, thus unmotivated to begin construction

Toilets audited in Koppal taluk8,62

53%

6%Toilets were improperly

constructed Toilets had double entries in IMIS

Inefficiencies in IMIS

Beneficiaries who constructed toilets

waited for 20 to 90 days to receive incentive

waited over 2 months

14%

86%

47%

Toilet construction not continuously monitored and beneficiaries making errors in construction

Most of the beneficiaries are constructing single pit toilets

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Findings: Verification and Audit Process

Lack of coordination between State SBM office and State Social Audit Directorate

Absence of separate District Photo Verification Team (DPVT) at the ZP

Absence of technology – aided verification process

▪ Contradictory circulars issued to CEO-ZPO directing use of beneficiary details from IMIS vs. Panchatantra

▪ Consultants and other ZP officials given the additional responsibility of photo verification

▪ Substantial time taken to verify beneficiary’s geo-tagged photo; delayed work order generation

▪ In Mandya, only 69% work orders were issued against the total applications accepted (as on Dec 10, 2015)

▪ DPVT manually organize photo or geotag details

▪ Mandya’s 2014-15 Social Audit Report -- Malavalli Taluk reported a high 14.2% of toilets having double entries in IMIS

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Where do the hurdles lie?

▪ Unreliable baseline survey for beneficiary identification

▪ IEC/IPC activities are not always conducted in all districts

▪ No standardized IEC/IPC execution system

▪ Low beneficiary awareness regarding the processes

▪ Lack of monitoring by the state

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Where do the hurdles lie?

▪ Positions not filled/defined as per the SBM Guidelines

▪ Insufficient number of personnel

▪ Lack of clarity about roles and responsibility amongst

personnel

▪ Swachhata Doots not been fully integrated into the

system

▪ Lack of upfront fund and absence of revolving fund

▪ Delay in fund release at all levels

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Recommendations and Impact

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Recommendations Overview

Sharpen IEC/IPCactivities

Implement two-stage payment process

Strengthen verification and audit process

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Sharpen Demand Generation Activities

▪ Standardization of IEC dissemination across the state and regular implementation at GPs

– Creating standardized IEC/IPC modules for training and execution activities to make it process-driven as opposed to person-driven

– Government to structure IEC messaging and develop toolkit as guidelines

▪ Institutionalize Swachhata Doots, as recommended in SBM (G) guidelines

– To trigger demand and assist households through the process of construction and accessing the SBM incentive

▪ Using Civil Society Organizations with established ties with the local community to enable better IEC/IPC outreach

▪ Target IPC activities towards cultural change to have a sustained impact

– Deploy targeted, simple messaging to beneficiaries on 1) eligibility 2) process and 3) need for toilets

▪ Awareness generation

▪ Trigger behaviour change

▪ Demand generation

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Improve Fund Disbursement to Beneficiaries

▪ Consistent access to funds to build toilet

▪ Build confidence in the community regarding timely receipt of incentive

▪ Persuade other potential beneficiaries

▪ Build a two-stage fund disbursement process to address the funding issues plaguing the poor– Provide upfront access to funds to encourage the disadvantaged to start construction

▪ Improve Panchatantra eFMS system presently built for single stage payment, to track two-stage payment process– The Andhra Pradesh TCS SBM(G) system incorporates two stage payments

▪ Increase inspection frequency to support the implementation of a two stage payment process to prevent financial leakages– Swachhata Doots and other GP functionaries to verify site verification, during

(at completion of basement structure), and post construction

▪ Incorporate payment delay alert mechanisms in Panchatantra – To remove waiting period to receive incentive– Not create financial issues for beneficiaries – To minimise the amount of active oversight and auditing required

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Improve Verification and Audit process

▪ Reduce financial frauds

▪ Improve the quality of construction

▪ Improve Mission Outcome

▪ Adequate staffing of DPVT to accelerate verification and approval process

– Provide opportunities (capacity building / trainings ) to Block/GP officials/Consultants to attract high performance and ensure commitment

▪ Improve Panchatantra and State SBM app to recognise and reject duplicate geo-tags and photos

– Tech-supported solution to recognize duplicates to ensure timely processing and prevent duplication

▪ An autonomous Social Audit Directorate with powers to conduct more comprehensive audits

▪ Integration of the SBM and NREGA social audit to help reduce duplication of work and speed up the process

▪ Restructure the audit process to incorporate financial verification and at the grama-sabha as with NREGA– At present only a physical audit is taking place (i.e. physical verification of toilets)

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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 Karnataka96

4 State level civil servants

13Taluk

executives

19GP

functionaries

33Community

members

27 District officials

▪ Districts Visited: Davangere, Koppal, Mandya, Haveri, Chitradurga and Shimoga

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Interview DetailsState level

▪ AD, IMIS coordinator and HRD consultant, UNICEF Consultant (4 interviews)

Davangere

▪ District level: Nodal officer, Dist Coordinator, 3 DSU consultants, DSAO, LBM rep, APO NRLM, PMT (9 interviews) ▪ Taluk level (Jagalur, Harapanahalli): EO, IMIS coordinator, Taluk Coordinator (3 interviews) ▪ GP level: Anajigere GP, Navilehal GP, Hiremallanahole GP and Tolahunase GP (PDO, GP Secretary, SD, DEO, Beneficiaries – 20

interviews)

Koppal▪ District level: CEO, PD, 2 DSU consultants, DSAO, NRLM project manager (6 interviews)▪ Taluk level (Gangavathi): Taluk coordinator, SBM caseworker, Taluk Social Audit Officer (3 interviews)▪ GP level: Chikkadankanakal GP and Hirebaganal GP (PDO, DEO, Beneficiaries 11 interviews)

Haveri▪ District level: DS, 2 DSU consultants, DSAO (District Social Audit Officer) (4 interviews)▪ Tevaramellehalli GP (Savanur Taluk) – PDO, DEO, Beneficiaries (4 interviews)

Mandya

▪ District level: DS, 3 DSU consultants, DSAO - (5 interviews)▪ Taluk level: SBM Caseworker (Maddur TP),Taluk Social Audit Coordinator (Malavalli TP) – (2 interviews) and Taluk Resource

Group – 5▪ GP level: Kokkare Bellur GP, Shettihalli GP and Torekadanahlli GP (PDO, DEO, Community – 16 interviews)

▪ District level: PD, DSU consultant (2 interviews)▪ GP level: PDO (1 interview)Chitradurga

▪ District level: DS (1 interview) Shimoga