Enhancing the Implementation of Swachh Bharat Mission (Gramin) in Andhra Pradesh

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Table of Contents

Introduction

Research Summary

Research Sites in Andhra Pradesh

Research Methodology

Schema of SBM Implementation Process in Andhra Pradesh

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

65

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Interviews

Districts*

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

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 Andhra Pradesh

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 Andhra Pradesh, interviews* were conducted to understand the process flow with State, District, Taluk and GP level officials

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 Engineers, MIS and IEC

Consultant,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 – Kurnool, Chittoor and Anantpur districts for in-depth study of 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– NGO driven implementation in Anantpur– ODF versus non-ODF drives in Kurnool

▪ eFMS-and-MIS system known as the TCS application is in use across all districts

▪ A State-developed mobile app known as the RWS-SBM App is also in use

▪ All payments are made directly in two stages from State to beneficiary bank account

Research Sites in Andhra Pradesh

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Schema of SBM Implementation Process in

Andhra Pradesh

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▪ Panchayat Secretary checks if the applicant has benefited from the previous schemes, documents her details and sends it to the MPDO* (along with the rest of the sanction list), who recommends her application

▪ Mandal’s Assistant Engineer (RWS) certifies her application, gives her a plan after measuring the plot

▪ District’s Superintending Engineer approves her application ▪ District Collector (DC)

provides the administrative sanction

▪ The Computer Operator (CO) at the Mandal office enters details into the State eFMS/MIS application (TCS Application)

▪ Lalithamma, a beneficiary, approaches a government official in her village and expresses her desire to build a toilet in her home

Demand Generation and Application Beneficiary Government Technology

*Mandal Parishad Development Officer

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▪ MPDO verifies all information, edits bank information if needed▪ Instructs GP’s

Technical Assistant (TA) to geotag the land upon which toilet construction is planned

▪ The TA geotags applicant’s land on the State app (RWS-SBM app), which syncs immediately with the TCS application

▪ The Mandal’s CO verifies the geotagging and forwards to the MPDO for approval▪ If any errors are found, the CO

can ask the MPDO to instruct the TA to get the geotagging redone

▪ MPDO verifies geotagging and generates the commencement letter (work order)▪ Work order is send

to applicant and a copy to the Panchayat Secretary for records

▪ Mandal’s Junior Engineer crosschecks all the information entered in the TCS application with the Center’s SBM IMIS

▪ Last stage where applicant’s details can be edited for bank details

Construction and Verification Beneficiary Government Technology

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▪ TA verifies construction by taking photos using RWS-SBM app at two stages; basement completion and final superstructure completion

▪ CO verifies photos for accuracy

▪ Generates Fund Transfer Order (FTO), which is forwarded to MPDO for approval

▪ MPDO generates digital signature key and uploads FTOs and sends it to the SE*▪ SE repeats this

process, and sends it to the TCS server login

▪ Applicant receives payment within 2-20 days of the TA taking verifying photos

▪ Applicant begins construction by putting in money upfront

Fund Disbursement to Beneficiaries Beneficiary Government Technology

▪ The FTO is sent by the TCS server to the bank▪ Immediate

transfer of the payment to the beneficiary’s account

*Superintending Engineer

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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– All beneficiaries interviewed failed to recall IEC messages

▪ Implementation of IEC activities is person-driven

▪ Absence of motivated Swachhata Doots at the GP level

▪ IEC materials are not customized to the local context

▪ Lack of automated checks leading to errors

▪ Redundancies in application process slows down construction

▪ Difficulties in tracking work progress and processing application – due to lack of alerts

▪ Process delays results in beneficiary demotivation– 83% of beneficiaries interviewed who had completed toilet construction, had not

received their final incentives

▪ Potential beneficiaries cite lack of timely payments as a major reason in their hesitance to begin construction

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Findings: Challenges at the Mandal Level

▪ Inadequate personnel slow down the process

– A single computer operator responsible for application entry and generation

– Mandal Parishad Development Officer gives final approvals for all applications, in addition to work on other schemes

▪ Delay in geotagging and photo verification resulting in delayed Commencement Order generation

– Only 67.5% of the geotagging completed, resulting in 65% of commencement orders being generated

▪ Multiple verification and approval steps resulting in extended timelines

– Nine steps between submission of application and construction order generation

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Findings: Verification and Audit Process

▪ Absence of Social Audit system in districts

▪ No independent oversight mechanism to measure effectiveness of the SBM(G) scheme in Andhra Pradesh– No check on usage of the toilets constructed

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Where do the hurdles lie?

▪ No standardized IEC execution system

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

▪ Insufficient number of personnel and lack of clarity about roles and

responsibility

▪ Swachhata Doots have not been fully integrated into the system

▪ Absence of social audit system in districts

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Recommendations and Impact

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Recommendations Overview

Sharpen IEC/IPC Activities Strengthen the TCS Application and Mandal

Level Operations

Introduce Autonomous Social Audit

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Sharpen Demand Generation Activities

▪ Awareness Generation

▪ Trigger Behaviour Change

▪ Demand Generation

▪ Standardization of IEC dissemination across the state

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

▪ Conduct IEC activities at regular intervals at the GP

– To pique and sustain the interest of the community in improved sanitation facilities

▪ Government to structure IEC messaging and develop toolkit as guidelines

▪ Deploy targeted, simple messaging for IEC

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

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

– To trigger demand and assist households through the process of construction and assessment

▪ Involve community and NGOs to establish ties with the local community to improve demand generation

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Strengthen TCS Application and Mandal Level Operations

▪ Accelerate beneficiary verification and approval

▪ Reduce process steps for verification and approval

▪ Incentives disbursed in a timely fashion

▪ Persuade other potential beneficiaries

▪ Incorporate automated alert mechanisms in the TCS system

– Automated flagging of systemic/human errors to speed up processing and reduce burden on personnel

– Process-level alerts to track timeline delays for senior authorities in the GP

▪ Increase personnel for order generation and fund disbursal processes

▪ Reduce process steps and timelines for verification and approval by leveraging technology

▪ Modify beneficiary sanction process to be demand oriented

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Introduce Autonomous Oversight System

▪ Reduce financial frauds

▪ Improve the quality of construction

▪ Improve the Mission Outcome

▪ Set up an autonomous Social Audit Directorate to conduct more comprehensive audits

▪ 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 and 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 Andhra Pradesh65

4 State level civil servants

12Mandal

executives

12GP

functionaries

24Community

members

13 District officials

▪ Districts Visited: Kurnool, Chittoor and Anantapur

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Interview DetailsState level ▪ Project Director, Deputy Executive Engineer, MIS Consultant, IEC Consultant, UNICEF/WASH Consultant

Kurnool District Office

▪ Superintending Engineer, Assistant Executive Engineer (AEE)/ad hoc MIS Consultant, HRD Consultant, Sanitation & Hygiene (S&H) Consultant– Orvakalu Mandal: Mandal Parishad Development Officer (MPDO), Assistant Engineer (AE), Computer Operator (CO)

▫ Pudicherla GP: Field Assistant (FA)▫ Hussainapuram GP: Panchayat Secretary, Bill Collector, Beneficiary Interview (1)

– Nandikotku Mandal: MPDO, AE▫ Malyala GP: Panchayat Secretary, Sarpanch, FA, Beneficiary Interviews (4)

Chittoor District Office

▪ AEE, MIS Consultant, IEC Consultant, HRD Consultant, S&H Consultant– Pakkala Mandal: MPDO, Junior Engineer (JE), CO

▫ Nendragunta GP: Sarpanch, Beneficiary Interviews (3)– Chittoor Mandal: MPDO

▫ Chintallagunta GP: Beneficiary Interviews (4)

Anantapur District Office

▪ Superintending Engineer, AEE, MIS Consultant, IEC Consultant– Batthalpali Mandal: MPDO, Executive Officer - Rural Development, JE

▫ Apparacheruvu GP: Panchayat Secretary, FA, TA, Beneficiary Interviews (4)▫ Dampetla GP: TA, RDT Trust Coordinator, Beneficiary Interview (1)

– Atmakur Mandal: Mandal Resource Coordinator (MRC)