Arghyam partnered with FourthLion Technologies to conduct research to understand and map the processes and bottlenecks in the implementation of Individual Household Latrine (IHHL) component of Swachh Bharat Mission (Gramin) across three states. This presentation lists out important research findings from the state of Rajasthan.

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

2. 1
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
1
2
3
4
5
6
7
8
9

3. 2
Introduction
Research Scope
Arghyam partnered with FourthLion Technologies to conduct research to understand and map
the processes and bottlenecks in the implementation of Individual Household Latrine (IHHL)
component of Swachh Bharat Mission (Gramin) across three states
● Create demand by triggering
‘Behaviour Change’
● Mechanism of ‘Trigger’ plus
Incentives to construct quality toilets
● Institute a strong administrative
structure
SBM (G) Salient Features Monitor Implementation
Outputs (Construction) and
Outcomes (Usage) will be
monitored
SBM Impact
Attain 100% Open Defecation Free
India by 2019

4. 3
Research Summary
80
3
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
and
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

5. 4
Research Methodology
Field studies
conducted
simultaneously
in 3 states:
Andhra Pradesh,
Karnataka and
Rajasthan
To understand the concerns with regards to the implementation of the
programme in the following areas
Three aspects were mapped against each
of the processes
Four process categories
subdivided to identify high
level processes involved
Demand generation
and application
Toilet construction
and verification
Fund disbursement to
beneficiaries
Audit
A
B
C
D
Roles and responsibilities: Identify
functionaries and their roles at each
of these process steps
A
Technology: Lays out the usage of
tech-applications throughout the
process
B
Issues/problems: Various
bottlenecks or gaps at each step,
such as in data/paperwork, IEC*,
accountability, funds, and technology
C
* Information Education and Communication

6. 5
Research Methodology
* A detailed list of total number of interviews conducted at different level is given in the Appendix
In 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

7. 6
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

8. Schema of SBM Implementation Process
in
Rajasthan
7

9. 8
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/trigge
ring workshop
Beneficiary Government Technology

10. 9
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

11. 10
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

12. 11
Evidence from the Sites

13. 12
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

14. 13
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%

15. 14
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

16. 15
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

17. 16
Recommendations and Impact

18. 17
Recommendations Overview
Sharpen IEC/IPC Activities Implement Technology based
two-stage Payment Process
Introduce an Autonomous
Social Audit

19. 18
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

20. 19
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

21. 20
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

22. 21
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

23. 22
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

24. 23
Thank you

25. 24
Appendix
Interviews in
Rajasthan83
4 State level
civil servants
15
Block
executives
34
GP
functionaries
21
Community
members
13 District
officials
▪ Districts Visited: Bikaner, Pali and Bharatpur

26. 25
Interview Details
State 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)