Guidelines

FOR

SWACHH BHARAT MISSION

(GRAMIN)

December, 2014

INDEX
No.

Chapter

Page

Abbreviations

1.

BACKGROUND

2.

3.

A. GOAL
B. OBJECTIVES
STRATEGY

4.

IMPLEMENTATION

5.

COMPONENTS OF SBM (G)

6.
7.

5.1 Start-Up Activities

5.2 IEC Activities

5.3 Capacity Building

12

5.4 Construction of Individual Household

Latrines
5.5 Availability of Sanitation Materialthrough Rural Sanitary Marts,
Production Centers, Self Help Groups
5.6 Provision of Revolving Fund in the
District
5.7 Micro Financing of Construction of
Toilets
5.8 Community Sanitary Complex

12
14
15
16
16

5.9 Equity and inclusion

17

5.10 Solid and Liquid Waste

Management
5.11 Administrative Charge

17
19

NATIONAL SCHEME SANCTIONING

COMMITTEE
IMPLEMENTING AGENCIES

20

7.1. Implementation of SBM(G)

20

7.2 National Swachh Bharat Mission (G)

20

20

 NSBM(G)
7.3 State Swachh Bharat Mission
[SSBM(G)] - State Water and
Sanitation Mission (SWSM)
7.4 District Swachh Bharat
Mission[DSBM(G)]- District
7.5 Block Programme Management Unit
(BPMU )
7.6 Gram Panchayat/ Village Water and
Sanitation Committee
7.7 Swachhata Doot/Sena

8.
9.

10.
11.
12.

21
22
23
24
24

7.8 Role of MDWS in ensuring Adequate

Infrastructure
ROLE OF PANCHAYATI RAJ INSTITUTIONS

25

ROLE OF COMMUNITY BASED

ORGANISATIONS/NON GOVERNMENTAL
ORGANISATIONS/SELF HELP
GROUPS/SUPPORT ORGANISATIONS
ROLE OF CORPORATE BODIES/PSU and
CORPORATE SOCIAL RESPONSIBILITY
PROJECT FUNDING

26

25

27
28
29

13.

ANNUAL IMPLEMENTATION PLAN

(AIP)/INCENTIVISING GOOD
PERFORMANCE
RELEASE OF FUNDS

30

14.

13.1 Release from Centre to State level

implementing body
13.2 Release from State level to District
level
13.3 Interest earned on Funds Released
under SBM(G)
MONITORING

15.

MANAGEMENT INFORMATION SYSTEM

(MIS)

30

31
32
32
33

16.

EVALUATION

33

17.

TECHNOLOGY and RESEARCH

34

18.

ANNUAL AUDIT

34

ANNEXURES
Annexure Ia AUDIT REPORT
Annexure Ib AUDITORS REPORT
Annexure IIc Receipt & Payment Accounts
Annexure IId Income & Expenditure
Accounts
ANNEXURE IIe Balance Sheet
ANNEXURE IIf Notes Forming part of the
Accounts
ANNEXURE IIg Auditors Observations
ANNEXURE III Utilization Certificate
ANNEXURE IV Checklist for submitting
proposal for Release of funds under SBM G

35-47

Abbreviations
AIP - Annual Implementation Plan
APL - Above Poverty Line
ASHA - Accredited Social Health Activist
BCC Behavioural Change Communication
BPL - Below Poverty Line
CBO Community Based Organisation
CCDU - Communication and Capacity Development Unit
CRSP - Central Rural Sanitation Programme
CSC- Community Sanitary Complex
CSR - Corporate Social Responsibility
DWSC - District Water and Sanitation Committee
DWSM - District Water and Sanitation Mission
GOI Government of India
GP - Gram Panchayat
GSS - Gram Swachhata Sabha
IAY - Indira Awas Yojana
IEC - Information, Education and Communication
IHHL - Individual Household Latrine
IPC - Inter Personal Communication
MLALADS - Members of Legislative Assembly Local Area Development Scheme
MNREGA- Mahatma Gandhi National Rural Employment Guarantee Act
MPLADS - Members of Parliament Local Area Development Scheme
NBA - Nirmal Bharat Abhiyan
NGO - Non Governmental Organisation
NGP - Nirmal Gram Puraskar
NIC National Informatics Centre
NRHM- National Rural Health Mission
NSSC - National Scheme Sanctioning Committee
PAC - Plan Approval Committee
PC - Production Centre
PRI- Panchayati Raj Institution
PTA Parent Teachers Associations
RALU - Rapid Action Learning Unit
RSM - Rural Sanitary Mart
SBM (G) Swachh Bharat Mission (Gramin)
SHG - Self Help Group
SLTS School Led Total Sanitation
SLWM - Solid and Liquid Waste Management
SSA - Sarva Shiksha Abhiyan
SLSSC - State Level Scheme Sanctioning Committee
SWSM - State Water and Sanitation Mission
TSC - Total Sanitation Campaign
VWSC- Village Water and Sanitation Committee
WASH water sanitation and Hygiene
WSSO - Water and Sanitation Support Organisation

1.

BACKGROUND

1.1 The rural sanitation programme in India was introduced in the year 1954 as a part of the First
Five Year Plan of the Government of India. The 1981 Census revealed rural sanitation coverage was
only 1%. The International Decade for Drinking water and Sanitation during 1981-90, began giving
emphasis on rural sanitation. Government of India introduced the Central Rural Sanitation
Programme (CRSP) in 1986 primarily with the objective of improving the quality of life of the rural
people and also to provide privacy and dignity to women. From 1999, a demand driven approach
under the Total Sanitation Campaign (TSC) emphasized more on Information, Education and
Communication (IEC), Human Resource Development (HRD), Capacity Development activities to
increase awareness among the rural people and generation of demand for sanitary facilities. This
enhanced peoples capacity to choose appropriate options through alternate delivery mechanisms
as per their economic condition. Financial incentives were provided to Below Poverty Line (BPL)
households for construction and usage of individual household latrines (IHHL) in recognition of their
achievements.
1.2 To generate awareness on sanitation, the first Nirmal Gram Puraskars (NGP) were awarded to
recognise the achievements and efforts made at the GP level in ensuring full sanitation coverage and
achieving other indicators of open defecation free GPs. While the award gained popularity in
bringing about a desire in the community for attaining Nirmal Status, there have been issues of
sustainability in some awardee GPs.
1.3 The Nirmal Bharat Abhiyan (NBA) the successor programme of the TSC, was launched from
1.4.2012. The objective was to accelerate the sanitation coverage in the rural areas so as to
comprehensively cover the rural community through renewed strategies and saturation approach.
Nirmal Bharat Abhiyan (NBA) envisaged covering the entire community for saturated outcomes with
a view to create Nirmal Gram Panchayats. Under NBA, the Incentives for IHHLs were enhanced and
further focussed support was obtained from MNREGA. However there were implementation
difficulties in convergence of NBA with MNREGA as funding from different sources created delays at
the implementation mechanism.
1.4
To accelerate the efforts to achieve universal sanitation coverage and to put focus on
sanitation, the Prime Minister of India launched the Swachh Bharat Mission on 2nd October, 2014.
The Mission Coordinator shall be Secretary, Ministry of Drinking Water and Sanitation (MDWS) with
two Sub-Missions, the Swachh Bharat Mission (Gramin) and the Swachh Bharat Mission (Urban),
which aims to achieve Swachh Bharat by 2019, as a fitting tribute to the 150th Birth Anniversary of
Mahatma Gandhi, which in rural areas shall mean 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. The Mission shall strive for this by removing the
bottlenecks that were hindering the progress, including partial funding for Individual Household
Latrines from MNREGS, and focusing on critical issues affecting outcomes.
1.5 The Guidelines of SBM (G) and the provisions hereunder are applicable with effect from
02.10.2014.

2. A. GOAL: To achieve Swachh Bharat by 2019.

2. B. OBJECTIVES
2.1 The main objectives of the SBM(G) are as under:
a) Bring about an improvement in the general quality of life in the rural areas, by promoting
cleanliness, hygiene and eliminating open defecation.
b) Accelerate sanitation coverage in rural areas to achieve the vision of Swachh Bharat by 2nd
October 2019.
c) Motivate Communities and Panchayati Raj Institutions to adopt sustainable sanitation
practices and facilities through awareness creation and health education.
d) Encourage cost effective and appropriate technologies for ecologically safe and sustainable
sanitation.
e) Develop where required, Community managed sanitation systems focusing on scientific
Solid & Liquid Waste Management systems for overall cleanliness in the rural areas.

3.

STRATEGY

3.1 The focus of the Strategy is to move towards a Swachh Bharat by providing flexibility to State
governments, as sanitation is a state subject, to decide on their implementation policy and
mechanisms, taking into account State specific requirements. This is focused to enable States to
develop an Implementation Framework that can utilise the provisions under the Mission effectively
and maximize the impact of the interventions. The Government of Indias role would be to
complement the efforts of the state governments through the focused programme being given the
status of a Mission, recognizing its dire need for the country.
It is suggested that Implementation Framework of each State be prepared with a road map
of activities covering the 3 important phases necessary for the Programme:
(i) Planning Phase
(ii) Implementation Phase
(iii) Sustainability Phase
Each of these phases will have activities that need to be specifically catered for with
concrete Plan of Actions, which shall need specific preparation and planning.
3.2
A schematic representation of the SBM Programme Implementation Diagram is represented
below as an illustrative model.

SBM Programme Implementation Diagram

3.3
In the context of the various interventions identified in the Implementation Framework,
certain approaches can be considered.
The suggested approach would be to adopt the Community led and Community Saturation
approaches focusing heavily on collective behavioral change. Emphasis is to be placed on awareness
generation, triggering behaviour change and demand generation for sanitary facilities in Houses,
Schools, Anganwadis, places of Community congregation, and for Solid and Liquid Waste
Management activities. Focus will be on Inter Personal Communication (IPC), especially of triggering
of demand and use of toilets through social and behavioural change communication and house-to
house interventions. Since Open Defecation Free villages cannot be achieved without all the
households and individuals conforming to the desired behaviour of toilet use, every day and every
time, community action and generation of peer pressure on the outliers are the key. Therefore
behavior change communication should focus on triggering entire communities. Community-based
monitoring and vigilance committees are essential to create peer pressure. Delivery mechanisms
would be adopted to meet the community needs, which is to be decided by the States. In the
context of striving for saturation and its consequent implications, it is suggested that the planning
for implementation should be the District level. There should be suitable targeting of GPs and an
appropriate district wide IEC/IPC/social mobilization campaign should be carried out.
Significant strengthening of the Implementation mechanism is envisaged. Administrative
and technical experts (e.g. on IEC and BCC, capacity building, technical supervision, SLWM and
Monitoring and Evaluation) are to be made available at the State, District and Block levels.
An army of foot soldiers or Swachhata Doots on sanitation could be developed and
activated. These would be through using existing arrangements like Panchayati Raj Institutions, Cooperatives, ASHAs, Anganwadi workers, Women Groups, Community Based Organisations, Self Help
Groups, Water linemen/pump operator etc. who are already working in the GPs, or through
Swachhata Doots engaged specifically for the purpose. In case existing employees of other line
Departments are to be utilised, their original Line Departments have to be in clear agreement to the
expansion of their roles to include activities under the Swachh Bharat Mission. Further, as an
alternative to creating a cadre of Swachhata Doots in the villages, the State may work through Civil
Society Organisations with a mutually agreed upon incentive structure. In case the CSO route is
adopted, the Swachhata Doots may be responsible to the CSO, who will also take the responsibility
of paying the Incentives to such Swachhata Doots. There needs to be at least one person or a
couple of persons supported by a community-based vigilance committee in every village who shall
be responsible for motivating, assisting construction and ensuring sustained latrine use by every
person in each household in the village. Capacity Building of each of these persons has to be
ensured. Role of such workers and also Health and ICDS workers to communicate to the Community,
the consequences of poor sanitation and open defecation and their impact on health, is emphasised.
The provision of Incentives for individual household latrine units to the rural households is
available to States (from the IHHL component) which may wish to provide the same so that tangible
assistance is available for creation of infrastructure in addition to extensive motivational and
behavioral change interventions (from the IEC component). This may also be used to maximize
coverage so as to attain community outcomes.
States will have flexibility regarding the utilization of the IHHL Incentive. Participation of
reputed Civil Society Organisations (CSO), Self Help Groups (SHG), NGOs, international, national and
local level organizations with a proven track record of working in specific fields in the social sector,
5

should be taken in activities involving IEC/BCC/triggering, capacity building, monitoring and if found
appropriate, in implementation. Local level mobilisation on sanitation has to focused, as this cannot
be substituted by other Communication methods.
Availability of water in the Villages is an important factor for sustaining sanitation facilities
created. Conjoint programmes may be proritised at the District and GP levels under the
SBM(Gramin) and the National Rural Drinking Water Programme (NRDWP), to maximize the
availability of water for sanitary purposes.
Rural School Sanitation focusing on separate toilets for girls and boys remains a major
intervention which shall be implemented under the programmes of the Department of School
Education. Water will be provided inside the toilets for both boys and girls. Toilets in Anganwadis
shall be provided by the Department of Women and Child Development. Children are to be utilised
as sanitation communicators to spread the message of safe sanitation to all. This Mission shall
specifically focus on such a campaign, involving educational institutions in rural areas.
An illustrative list of technology options, with cost implications will be provided to meet the
customer preferences and location- specific needs. This list shall be continuously updated as new
technologies are found. This needs to be communicated to the beneficiaries providing them with the
choice of technological options. MDWS would assist in the preparation of such information. It shall
be ensured that sanitary toilets are constructed, which ensure safe confinement and disposal of
feaces. Appropriate participation of the beneficiary/communities, financially or otherwise in the
setting up of the toilets is advised to promote ownership and sustained use, both at the household
and community levels.
An effective monitoring mechanism shall be put in place for monitoring both - outputs
(Toilet Construction) and of Outcomes (Toilet usage) suitably which could inter-alia be in the
monitoring of open defecation in the GP. In view of the time scale of the Mission, the monitoring
system shall also have - Rapid Action Learning Units (RALU) at the National, State and District levels
tasked with studying and analyzing action taken across the country in the rural sanitation
programme, evaluating their impact, identifying good practices for up scaling and also suggesting
innovations and a range of options for implementation.

4.

IMPLEMENTATION

4.1. Implementation of of SBM (G) is proposed with District as the base unit, with the goal of
creating ODF GPs. The District Collectors/Magistrates/CEOs of Zilla Panchayats are expected to lead
the Mission themselves, so as to facilitate district wide planning of the Mission and optimum
utilization of resources. The Baseline Survey data of 2013 collected by States and entered on the
IMIS of MDWS by 31.1.2015 will be considered as the base for all states where the survey is still
complete. For other states the data entered on completion of the Survey will be taken as the base
data.
4.2 A project proposal shall be prepared by a District, and scrutinized and consolidated by the State
Government into a State Plan. The State Plan with district wise details will be shared with the
Government of India (Swachh Bharat Mission-Ministry of Drinking Water and Sanitation). This Plan
shall will include a 5 year Plan along with 5 independent annual Plans which merge into the 5 year
Plan. These plans shall be approved by the Ministry each year. On the basis of formative research
6

and consultation rounds, the State shall develop a tailor-made communication strategy, a
communication plan, and material and will train community mobilisers to use these tools. The State
plans shall provide details of the IEC, BCC, Triggering exercise, Capacity building, Implementation,
Financial support and Monitoring activities planned in each district, consolidated for all Gram
Panchayats. The District wise plans will have Gram Panchayat-wise details. The State Project
Implementation Plans currently prepared by States on a perspective basis shall be revised based on
the Baseline data and the revised norms of the SBM(G). The States will be allowed to make interdistrict changes in allocation of resources to the individual districts within the overall funding of the
state as a whole as per the approved Annual Implementation Plan (AIP), in consultation with the
Centre.
4.3. Funds are to be made available for these preliminary IEC works including for triggering
behaviour change. This will endeavor to reach every household in every community and shall
disseminate information regarding the need for safe sanitation, and the ill effects of open defecation
getting the population oriented towards satisfying their felt-needs. The feeling of shame and disgust
can be introduced in the target population with focused communication at the community level
where an entire community can be triggered into positive action towards elimination of open
defecation and restore community pride. Individual households will be provided a menu of options
for their household latrines, both in terms of technology, design and cost. To bring about the desired
sustainable behavioural changes for relevant sanitary practices, intensive IEC and advocacy, based
on Inter Personal Communication (IPC) with participation of one or more of the following Government representatives like Swachhata Doots/ASHAs, ANM workers, Anganwadi
workers/CSOs/NGOs/Panchayati Raj Institutions/resource organizations/local SHGs with a good
track record is envisaged. Thus a mix of Individual and Community led approaches is envisaged to
achieve the desired outcomes. The participation of local community oriented organizations has to be
obtained to garner belief in the Community and develop their confidence in the programme. Thus
the actual approach has to be decided at the District level and the identification and selection such
groups and organizations has to be carefully done taking into account their experience and
capabilities.
4.4 The proliferation of educational facilities in the rural areas provides the opportunity to utilize an
approach that should essentially include an element that involves school and college children as
potential agents of change in homes. This needs to be leveraged to the maximum extent possible
and be included in any plan made to upscale sanitation facilities and use.
4.5 The built-in flexibility in the menu of options is to give the poor and the disadvantaged families
opportunity for subsequent upgradation of their toilets depending upon their requirements and
financial position. The provision of Incentives can be used appropriately as decided by the State
governments. A synergistic interaction between the Government agencies and other stakeholders is
essential.
4.6 The provision of Incentives for individual household latrine units to the rural households is
available to States which wish to provide the same. This may also be used to maximize coverage so
as to attain community outcomes. States will have flexibility regarding the utilization of the
Incentive. Incentives, if given, may be to the Individual households or where the community model is
necessarily adopted to trigger the demand in GPs/Blocks/Districts, the community as a whole or as a
combination of both. Since the Incentive for one IHHL is Rs. 12000, the State will be eligible to
receive the entire amount (shared between the Central and state governments. However the
Incentive charged on the Mission will be used entirely on the sanitation sectors. States will decide on
7

the methodology of the actual construction of toilets to follow triggering of demand under the
Programme. Fund flow for IEC, Triggering, Capacity building, Monitoring activities can be done
through the Gram Panchayats or through other agencies like administrative departments, CSOs,
NGOs, SHGs etc. as decided by the State. Ideally the construction activities should be taken up by the
individual beneficiaries themselves with support from/or through agencies in the village. States may
decide to provide Incentives to households in two phases, one at the pre-construction stage and the
other on completion of construction and usage. However, the community incentive, if any, can only
be released after the village unit is open defecation free for a significant length of time. Both of
these outcomes to be measured through a robust follow up monitoring system.
4.7 Since National Rural Livelihood Mission (NRLM) is being implemented across India through a
huge network of SHGs, Village Organizations (VO) of SHGs in the villages, Block level and District
level Federations of SHGs for improving quality of life, beside strengthening livelihood options,
States may tie up with State Project Management Units of NRLM in the respective states for utilizing
the huge network of SHGs for effective IEC and BCC, triggering demand and promoting area specific
toilet design and specification. The SHGs can also be effectively used as a micro financing unit for
sanitation infrastructure. The Revolving Fund available under the SBM(G) also may be utilized
through the NRLM mechanism. Arrangements for this can be made at the State level. SHGs may also
be utilized for working as Rural Sanitary Marts (RSMs) in remote areas where bulk procurement and
delivery of quality hardware for toilet construction may be assured through such system. Funding for
this shall also be permitted under the SBM(G).
4.8 The Scheme shall aim to saturate coverage in the first instance the States/ Districts/ GPs in all
major river basins of India e.g. Sutlej , Ravi, Beas, Ganga, Yamuna, Godavari, Narmada, Tapti, Kaveri,
Brahmaputra. This will ensure the outcomes required for pollution free rivers, in addition to ODF
communities.
4.9
A robust Monitoring arrangement has to be put in place to monitor open defecation status
of a village, the implementation of Solid and Liquid Waste Management projects as well as the
construction and use of Household, Schools, Anganwadi toilets and Community Sanitary Complexes.
The monitoring has inter-alia also to use a robust community led system, like Social Audit.
4.10 A Rapid Action Learning Unit (RALU) should be put in place at the National, State and District
levels (if found to be required by States), to evaluate the monitoring exercise, provide advice on
corrective action and upscale good practices. The RAL units will be small, flexible and specialized to
meet these needs and to find fast and effective ways forward, developing, sharing and spreading
solutions. This will be based on learnings about Action (what is happening in the field) and from
Action (by trying out through Innovative action).These units will carry out activities including being
upto date with field activities under SBM(G), brainstorming and search; field trials of innovative
approaches; research and sharing and feedback. Detailed instructions on RALU will be issued by
MDWS. The RALU will be funded through the Administration component of the SBM(G), from which
Monitoring and Evaluation funds are to be provided.
4.11 To accelerate coverage in Gram panchayats selected under the Sansad Adarsh Gram Yojana,
these GPs may be selected on priority for coverage under the SBM(G).

5. COMPONENTS OF SBM (G)

The Programme components and activities for SBM (G) implementation are as follows. All States will
develop a detailed implementation strategy and plan based on but not limited to the components
mentioned below:

5.1 Start-Up Activities

The start-up activities include
a. Updation of Base line survey - Conducting of preliminary survey to assess the status of
sanitation and hygiene practices
b. Orientation of key personnel at the District/GP level and preparation of District Plans
c. Preparation of State Plan (Programme Implementation Plan PIP).
All States to ensure entry of Baseline data on the IMIS latest by 30.01.2015. Any household not
entered by the Sates on the MIS will not be entitled for funds under SBM(G).
The Baseline survey data will be updated by States in April of every year to take into account
changes in the GP during the preceding year. This does not envisage resurvey of GPs, but only entry
of incremental changes that may have happened in the GP in the preceding year. The updates will be
based on a summary revision of the Baseline data. Claims and objections will be filed by individual
households for addition or deletion to the Baseline data. The summary revision will be based on a
transparent disposal of claims and objections in a Gram Sabha meeting. This will help in updating
the status of households in relation to possession of IHHLs. Once a village obtains ODF status, the
maintenance of the status will be the responsibility of the community. Any new household added to
the village must have access to toilets. The State will also be given the option to make corrections in
the MIS Baseline data, after approval from MDWS, where there are reasonable explanations for
such changes.
Expenditure on Start-up Activities will be booked against the IEC Component.

5.2 IEC Activities

5.2.1
IEC (Information, Education and Communication) is a very important component of the
Programme. IEC shall strive to bring about community-wide behaviour change and to trigger the
demand for sanitary facilities in the rural areas for households, Schools, Anganwadis, Community
Sanitary Complexes and Solid and Liquid Waste Management projects (SLWM) through provision of
information and awareness generation. The activities carried out under these components will be
area specific, community specific and should also involve all sections of the rural population. IEC is
not a one-time activity. IEC strategy and plan to be focused on creation of demand leading to
behaviour change construction and use of toilets in a sustained manner. Initially the focus should be
on triggering of community action for provision of toilet access to every household. Once the toilets
are gradually being put in place, the focus should start including sustained use as an important
intervention.
5.2.2 Triggering or Nudging of Communities for Behaviour change leading to usage of toilets
leading to an open defecation free environment shall be given priority. Effective use of available
manpower, information, technology and media shall be utilised to communicate the message of the
benefits of safe sanitation and hygiene. It is essential that complete information is made available to
9

the beneficiaries regarding the range of technology and cost of the toilets that are possible to
construct. There is a need to communicate the appropriateness of designs so as to ensure that
unnecessary expenditure is not incurred by households and communities by overdesigning. An
Expert Committee on Technologies set up by MDWS and the Innovation Forum on the MDWS
website shall be suggesting new and innovative technologies which shall be circulated to States.
These are illustrative lists and do not restrict the state to go for better and/or lower cost options
where possible. States shall have the flexibility to identify and use technologies which result in safe
sanitation as per their requirements.
5.2.3 Interpersonal communication, door to door contact and Triggering are recognised as the most
significant tools for attaining sanitation goals. In order to strengthen Communication machinery at
the village level with participatory social mobilization, guidelines for engagement of Village Level
Motivators (Swachhata Doot / Sanitation Messengers) have been issued separately. As part of this
strategy, in addition to Swachhata Doots, field functionaries like Bharat Nirman Volunteers, ASHA,
Anganwadi workers, School Teachers and CSOs, NGOs, SHGs and other organizations etc may be
engaged at the GP level for demand creation and taking up behaviour change communication in the
GP. There should however be at least one person in each GP who is made responsible for the
sanitation communication and should preferably work on this on a full time basis. The Motivator
can be given a suitable incentive from the funds earmarked for IEC, as decided by the State
governments. The incentive can be performance based i.e. in terms of motivating number of
households and Schools/ Anganwadis to construct latrines and use them, and should continue for at
least 1 year post construction so that sustainability of usage is ensured.
5.2.4 Other methods of Communication may also be used to spread the message of safe sanitation
utilizing various forms of media. An important part of crystallizing Community level action towards
ODF is the adoption of a GP wide resolution or pledge which should be taken as a milestone of the
Triggering activity. This may be included in the IEC plan as a significant mile stone.
5.2.5 The National Sanitation and Hygiene Advocacy and Communication Strategy Framework,
2012-17 (copy available in MDWS website), adopted by Government of India, could be used for
formulating state and district specific IEC strategy for rural sanitation and hygiene such as washing
hands with soap and water at critical times, proper menstrual hygiene. Keeping with the strategy
framework , three main approaches, namely (i) awareness raising phase, (ii) advocacy and (iii) social
& behavior change communication (SBCC) would be adopted and states could formulate state and
district specific IEC strategies. The strategy has to be adapted appropriately to State specific contexts
and the revised targets of achieving Swachh Bharat till 2019.
5.2.6 Based on the Communication Strategy, each State is to prepare a State level communication
and mass awareness plan that targets the states entire population. This Plan is to be a Perspective
Plan focusing on a long term strategy of communicating key messages on sanitation. An annual
communication plan shall also be included in the AIP of the State. State IEC Consultants shall be
responsible for preparation of these plans. Assistance of other agencies with expertise in preparing
and implementing IEC, BCC plans can be taken.
5.2.7 Districts are to prepare a detailed IEC plan as the first part of their Annual Implementation
Plans as per their overall strategy to reach all sections of the community. This is to be done utilizing
the resources of the IEC consultant available at the district level and the state level consultant. Local
NGOs may be used for Interpersonal communication; selecting motivators; triggering activities etc.
Recommendations and advice of RALU should feed into the IEC plans. Assistance of other agencies
10

with expertise in preparing and implementing IEC, BCC plans can be taken. The Annual IEC Action
Plan should be approved by the DWSC/DWSM. The Communication and Capacity Development Units
(CCDUs) / Water and Sanitation Support Organizations (WSSOs) set up at the State level having IEC
consultants must also support the districts in developing good IEC plans , implementing, and
monitoring the same.
5.2.8 Funds required for implementing the IEC plan shall be provided under this component to
Blocks, Gram Panchayats and/ or agencies involved in its implementation. The development of all
material/templates may be standardized by the district or the State Mission if required in
consultation with expert agencies.
5.2.9 Creation of Swachh GPs incorporating ODF status and Solid and Liquid Waste Management
systems is the goal of the Mission. It is important to ensure that such status is sustainable for every
GP. The IEC funds should be broadly used both in the pre ODF and the post ODF phases so that
sustaining the movement is possible. The project districts, however, shall have the flexibility of
deciding this division depending on the baseline survey reports and rate of acceleration of sanitation
coverage.
5.2.10 Funds available under IEC may be used for imparting hygiene education to the rural
communities, general public, as well as students in educational institutions. Although WASH in
Schools will be in the domain of the HRD Ministry/Department of School education, the IEC plan
should include a component for raising awareness among students, teachers and parents. As school
Children have to be utilized as agents of change and their capacities enhanced and utilised for this
purpose.
5.2.11 Out of the national allocation under SBM(G) 8% is to be utilised on IEC activities. 3% is to be
utilized at the Central level (MDWS) on a national pan India campaign. This shall highlight national
priorities on sanitation hygiene and cleanliness. In the States, 5% of allocation shall be used on
IEC/BCC/IPC and all related Communication activities and on Capacity building.
This has to be accounted for at the district level, with 3.75% of each district allocation being utilised
within the district at the GP/Block and District levels for IEC/BCC/IPC, and 0.25% for State Level
activities.
Out of each district project, 0.75% is to be used for Capacity Building Activities at the
District/Block/GP level for IEC/BCC activities while 0.25% for activities at the State level. The CentreState sharing for this IEC funding will be in the ratio of 75:25 between GOI and the State
Governments.
The Entire State level Plan for IEC should be approved by the State Level Scheme Sanctioning
Committee.
5.2.12 Girls and women have hygiene and sanitation needs linked to their menstrual cycle. Funds
available for IEC may be used to raise awareness, disseminate information and skills on Menstrual
Hygiene Management. IEC plans should include this component for raising awareness among all
stakeholders.

11

5.3 Capacity Building

5.3.1
This component is for building capacities of stakeholders and sanitation workers, the
Swachhata Doots/Sena, members of PRIs, VWSCs, functionaries of BPMU, DWSM, ASHA, Anganwadi
workers, SHG members, masons, CSOs/NGOs etc. The training is to be on various approaches of IEC
promoting Behavioural change including Triggering (CLTS), SLTS, IPC and House to House
communication etc., masonry work, plumbing, as well as for construction and maintenance of toilets
and for Solid and Liquid Waste Management works.
Central and State level Training Institutes ,Resource Centers /Key Resource Centers (KRCs), District
Resource Centers, and empanelled NGOs/CBOs and agencies with experience in capacity building
should be engaged for such trainings.
5.3.2 The Annual Action Plan of each district shall have details of the annual Capacity Building Action
plan covering every GP in the district, with identification of the training institute/agency, training
components and of the intended trainees, with definite timelines. The Capacity building exercise
shall be monitored by district authorities, Swachhata mission of the States and at the District and
State levels.
5.3.3 Funding for the Capacity Building Action plan will be from the IEC budget of upto 0.75% of
each Districts total project cost, out of which 0.25% can be spent at the State level. The sharing
pattern of expenditure will be in the ratio of 75:25 between GOI and the State Government.

5.4 Construction of Individual Household Latrines

5.4.1 A duly completed household sanitary latrine shall comprise of a Toilet Unit including a
substructure which is sanitary (that safely confines human feaces and eliminates the need of human
handling before it is fully decomposed), a super structure, with water facility and hand wash unit
for cleaning and handwashing. The Mission aims to ensure that all rural families have access to
toilets. There are various models of toilets available based on safe sanitation technologies like the
Twin Pit, Septic tank, Bio toilets amongst others. The Ministry encourages the development of other
safe technologies, and States shall disseminate information about available technologies and their
costs to the beneficiary to enable him to make an informed choice. States can also consider the
construction of Row toilets and Complexes for a group of families, mainly where it is not possible to
construct IHHLs. It should be ensured that the toilets constructed for Individual households meet
the minimum design specifications to ensure their sustainability. Care shall be taken to ensure that
these toilets are not over designed and over constructed. I.e. building extra large pits which are not
required, to keep them affordable and also to prevent problems like contamination of drinking
water. States have to ensure through effective communication that such tendencies are restricted.
Appropriate information has to be provided to the beneficiary regarding the maintenance of the
toilets provided. The Toilets must have a superstructure acceptable to the beneficiaries, as the
poor quality of toilets constructed has been one of the main complaints against earlier sanitation
programmes. Various options for the Superstructure should be explored and information about the
options available provided to the beneficiary for him to choose from.
For optional design specifications of some of the onsite technologies of toilets, a Handbook on
Technical Options for on-site Sanitation, issued by the Ministry
may be referred at
http://www.mdws.gov.in/sites/upload_files/ddws/files/pdfs/Final%20Handbook.pdf.
This
publication shall be updated from time to time.
12

5.4.2 Incentive as provided under the Mission for the construction of Individual House Hold Latrines
(IHHL) shall be available for all Below Poverty Line (BPL) Households and Above Poverty Line (APL)
Households restricted to SCs/STs, small and marginal farmers, landless labourers with homestead,
physically handicapped and women headed households.
5.4.3 The Incentive amount provided under SBM(G) to Below Poverty Line (BPL) /identified APLs
households shall be up to Rs.12,000 for construction of one unit of IHHL and provide for water
availability, including for storing for hand-washing and cleaning of the toilet.
Central Share of this Incentive for IHHLs shall be Rs.9,000/- (75%) from Swachh Bharat Mission
(Gramin). The State share will be Rs.3,000/-(25%). For North Eastern State, and Special category
States, the Central share will be 10,800/- and the State hare Rs.1,200/- (90%: 10%). The
Beneficiary is to be encouraged to additionally contribute in the construction of his IHHL to promote
ownership. State Governments have the flexibility to provide higher incentive for a household toilet,
for higher unit costs from sources other than SBM(G). However this additional funding cannot be
from the Central share of any other Centrally Sponsored Scheme.
Special category states are those States declared as such by the Government of India from time to
time, with the objective to bring these States on a par with the development levels of other states.
In addition to the NE States including Sikkim, currently Uttarakhand, J&K and Himachal Pradesh are
special category states.
Ideally the construction activities should be taken up by the individual beneficiaries themselves with
support from/or through agencies in the village.
States shall have the flexibility to decide on the implementation mechanism to be followed in the
state. The construction of household toilets may be undertaken by the individual beneficiaries
themselves with support from/or through agencies in the village. States may also decide to give the
Incentives to the Individuals, or where the community model is necessarily adopted to trigger the demand
in GPs/Blocks/Districts, to Communities or to the Gram Panchayats on the achievement of community
objectives.
Payment of Incentives may be either in cash or in the form of construction materials or credit
vouchers for such materials. In case of Individuals being paid the incentive, if required, States may
decide to provide Incentives to households in two phases, one at the pre-construction stage and the
other on completion of construction and usage. However, the Community/GP incentive, if any, can
only be released after the village unit is open defecation free for a significant length of time. Both of
these outcomes to be measured through a robust follow up monitoring system.
Any Incentive for the IHHL, provided to the Community/GP, if given, shall be used only for sanitation
activities in that area. The ultimate objective is to ensure behavior change and wean people away
from open defecation.
5.4.4. All houses constructed with the central or/and state assistance should invariably have suitable
sanitation facility as an integral part. Provision will be separately included in the Indira Awas Yojana
Programme for provision of functional toilets for IAY houses. Till such provision is made in existing
IAY arrangement for funding will be continued from the Swachh Bharat Mission (Gramin).
5.4.5 APL families not covered by the above incentives will be motivated and triggered to take up
construction of the household latrines on their own. The IEC activities focusing on behaviour change
13

will provide comprehensive coverage to all the families in the GP without exception. APL families
facing fund problems may be assisted through the Revolving fund as outlined in the guidelines, or
through low cost financing from NABARD, Banks and Financial Institutions.
5.4.6 Construction of insanitary latrines as defined The prohibitions of Employment As Manual
Scavenger and Rehabilitation Act, 2013 at Para 2.(1) (e) is not permitted in the rural areas. The
existing insanitary latrines if any, should be converted to sanitary latrines and the sharing pattern
for incentive for the targeted beneficiaries shall be identical to that of construction of individual
house hold latrines.
5.4.7 Priority : Under the Programme, priority shall be accorded to cover households having:

Old Age Pensioners / Widow Pensioners / Disability Pensioners (National

Social Assistance Programme {NSAP} beneficiaries)

Pregnant and lactating mothers covered by Maternal Health Programmes of

Central and State Governments, including Janani Suraksha Yojana under
National Rural Health Mission; and

Girl children covered by any Scheme benefiting the girl child.

5.5
Availability of Sanitation Material- through Rural Sanitary Marts,
Production Centers, Self Help Groups
5.5.1 In many States, good quality sanitary material and hardware are accessible through the market
with the private sector providing such material competitively. An increase in demand expected
under the SBM(G) is expected to stimulate this market further. However products like rural pans
(which consume less water for flushing and has a greater slope) needs to be produced with better
quality and popularized. What is needed is toilet construction material and trained Masons at a
reasonable distance and price. In such States RSMs/PCs are not required.
5.5.2 However in a few States, the penetration of the market with respect to sanitary materials is
still inadequate. In such cases, States can decide to utilize the provision of the Rural Sanitary Marts
(RSM) and Production Centres (PC).
5.5.3 The Rural Sanitary Mart (RSM) is an outlet dealing with the material, hardware and designs
required for the construction of sanitary latrines, soakage and compost pits, vermi-composting,
washing platforms, certified domestic water filters and other sanitation and hygiene accessories etc.
The main aim of having a RSM is to provide materials, services and guidance needed for constructing
different types of latrines and other sanitary facilities for a clean environment at a place near the
residence of the beneficiaries. RSMs need to ensure that a variety of pans (Rural, Ceramic, HDP,
Fiberglass) are available for choice by the beneficiaries at reasonable rates. RSM should necessarily
have those items, which are required as a part of the sanitation package. It is a commercial venture
with a social objective.
5.5.4 Production Centers are the means to produce cost effective affordable sanitary materials at
the local level as per local demand suitable for rural consumption. States have to ensure that
monitoring mechanism is set up to ensure that the quality and cost of the products being produced
and marketed are of acceptable quality. They could be independent or part of the RSMs.
14

5.5.5 The Production Centers/Rural Sanitary Marts can be opened in areas where they are required
and operated by SHGs/Women Organizations/Panchayats/NGOs etc. Support of private
entrepreneurs may also be taken for ensuring an effective supply chain.
In all cases, the Gram Panchayats have to ensure the availability of a pool of trained masons
in the area who can be utilised for the construction of toilets.
5.5.6 DWSM/DWSC/GPs should have a Memorandum of Understanding (MoU) with the RSMs/PCs
along with a system of joint monitoring evolved to ensure that the RSMs & PCs are on track with
production plans as per requirement. RSMs should have a method of quality certification of its
products and a band of trained masons and motivators.
5.5.7 Quality standards (where notified by BIS or by MoDWS) for each of the items of purchase
should be strictly adhered to. This is an important requirement as poor quality products supplied
from the RSM/PC can significantly derail the programme.
5.5.8 An interest free loan up to Rs.5 lakh can be given in each case for establishing a RSM/PC out of
the Revolving fund available with the district. Loans from the Revolving fund for RSM/PC shall be
recovered in 12-18 installments after one year from the date of receiving the loan. States may
decide on the number of RSMs/PC to be set up as per requirement, ideally with one such unit per
block. However large blocks having more than 10000 population may have multiple RSM/PCs.
5.5.9 The RSM/PC will prepare a Business Plan for each financial year and submit to the
DWSM/DWSC for review. Such Plan should be practical enough to provide hardware support for
saturating all the villages in its areas of operation with IHHLs and other forms of toilets. The Business
Plan should also reflect sufficient income generation to be able to return the amount to the
Revolving Fund of the DWSM/DWSC in fixed installments. Each RSM/PC should report to
DWSM/DWSC half yearly about its performance against the Business Plan. The District RALU shall
monitor the performance of the RSM/PC and provide feedback of necessary interventions to the
RSM/PC and to the DWSM/DWSC.
5.5.10 There are an increasing number of Self Help Groups (SHGs) that have come into being under
various livelihood support programmes. These SHGs are present extensively in many States. The
potential for a sanitation supply chain built around SHGs can be explored and set up by states, which
can address the problem of reach, given the widespread adoption of SHGs in the country. States can
decide to extend suitable financial support to the SHGs in line of the RSMs and PCs, if necessary by
adopting suitable convergence frameworks with the parent programme.

5.6 Provision of Revolving Fund in the District

5.6.1 A Revolving Fund will be available at the district level out of the SBM(G) funds. The Revolving
fund may be given to Societies, Self Help Groups or other groups as decided by the states, whose
credit worthiness is established, for providing cheap finance to their members for the construction
of toilets. Loan from this fund should be recovered in 12-18 installments. States will have the
flexibility to decide the other terms and conditions for sanction of the Revolving fund.
This Revolving fund can be accessed by APL households not covered for Incentives under the
guidelines. Households which have availed Incentives under any Sanitation scheme earlier can also
access such finance as loans. Those households (BPL and APL) covered under the Incentive can also
approach for financing under the Revolving Fund to meet the additional cost of improved toilets
with bathing facility. Registered SHGs with proven credentials can approach the DWSM for such
15

funding. Upto 5% of the district project outlay subject to maximum of Rs. 1.50 crore, can be used as
Revolving fund, including for funding setting up of RSMs/PCs. Provision of the Revolving Fund in a
district shall be approved by the DWSM/DWSC. The Revolving fund shall be shared between Centre
and State on an 80:20 basis.

5.7 Micro Financing of Construction of Toilets

5.7.1 To enable the provision of low cost financing to Individual households for the construction of
Household latrines and to leverage the network of NGOs and SHGs identified by agencies like
NABARD and other Financial Institutions, in the wake of the need for universalisation of sanitation
facilities, possibilities of setting up a microfinancing arrangement should be explored by the States
and the MDWS. This will facilitate converging financial resources, management skills and outreach
capabilities to cover the demand of toilets by Households not eligible for direct Incentives under
SBM(G), and /or those HHs interested to build a more expensive toilet by availing Finance.
5.7.2 States and Districts may examine possibilities to access credit at the local level to further the
financing of sanitation activities which may be taken up either independently or in convergence with
Swachh Bharat Mission activities. Such financing can be inter-alia through Banks, recognized
Financial institutions or through livelihood programmes.

5.8 Community Sanitary Complex

5.8.1 Community Sanitary Complexes comprising an appropriate number of toilet seats, bathing
cubicles, washing platforms, Wash basins etc, can be set up in a place in the village acceptable and
accessible to all. Ordinarily such Complexes shall be constructed only when there is lack of space in
the village for construction of household toilets and the Community/GP owns up the responsibility
of their operation and maintenance and gives a specific demand for the same. Such Complexes can
be made at Public places, markets, bus stands etc., where large scale congregation of people takes
place.
The maintenance of such Complexes is very essential for which Gram Panchayat should own the
ultimate responsibility and the Operation and Maintenance should be assured. User families, in case
of complexes specifically meant for households, may be asked to contribute a reasonable monthly
user charge for cleaning & maintenance. For complexes in places of community congregation, pay
and use model may be encouraged. The proposal for putting up CSC will be approved by the State
level Scheme Sanctioning Committee (SLSSC). Suitable Operation and Maintenance and Monitoring
guidelines may be issued by the State to ensure proper maintenance of the complex.
The Ministry has issued a Handbook on Establishment and Management of Community Sanitary
Complexes in Rural Areas. The same may be referred for establishing such complexes in rural areas.
The book can be downloaded from the website of the Ministryhttp://www.mdws.gov.in/sites/upload_files/ddws/files/pdfs/CommunitySanitaryComplexes_2Jun2011_PRESS.
pdf

5.8.2 The maximum support per unit prescribed for a Community Sanitary Complex is Rs.2 lakh.
Sharing pattern amongst Central Government, State Government and the Community shall be in the
ratio of 60:30:10. The Community contribution, however, can be made by the Panchayat out of its
own resources, from grants of the Finance Commission, from any other fund of the State duly
permitted by it, or from any other source as obtained from the State, District or GP. For, funding the
CSCs/public toilets, states may also source additional funds from CSR/CSO/NGO for raising the cost
16

of individual complexes. The mode may be Public Private Partnership (PPP)/VGF which should cater
to the need of operation and maintenance of the facilities. Water supply to these CSCs will have to
be assured under the NRDWP before a CSC is sanctioned.

5.9

Equity and inclusion

5.9.1 Equity and inclusion issues are of significance in the sanitation and hygiene sectors. Providing
access to the different categories of people who are not able to access and use safe sanitation
facilities shall be a priority of the implementing agencies. These categories of people may include
among others, those who are socially and economically marginalised, those who are unable to use
sanitation facilities constructed with standard designs. Women, children, people of certain castes,
faiths and ethnicities, older people, pregnant women, people with disabilities, geographically
marginalised populations in remote areas, as well as those living in areas where it is difficult to
construct simple toilets due to high water tables, sandy soils or hard rock may be given priority while
planning for coverage. Requirements and sensitivities relating to gender including dignity and safety
issues shall be taken into account at each stage of planning, implementation and post
implementation management of sanitation issues.
5.9.2 Issues relating to womens personal hygiene namely menstrual hygiene are to be focussed
under the SBM(G). Girls and women have hygiene and sanitation needs linked to their menstrual
cycle. Women suffer in the absence of knowledge about safe practices on MHM. There are several
examples where CSOs and SHGs have worked with the community, informed them about menstrual
hygiene practices and also developed economic models to meet the demand for sanitary napkins.
This is one area where CSOs and SHGs can play a key role.
5.9.3 Funds available under the IEC component may be used for IEC in this matter and to raise
awareness and skills on Menstrual Hygiene Management in all places and specifically amongst
adolescent girls in schools. IEC plans should include this component for raising awareness among all
stakeholders. Funds under the SLWM components can also be used for setting up of Incinerators in
Schools, PHCs and Public toilets, for the safe disposal of menstrual hygiene waste.
5.9.4 Provision of sanitary facilities sensitive to the needs of people with disabilities, shall be
included in the technologies that may be used for the construction of toilets. Suggestive models and
cost estimates shall be prepared and circulated for the same.

5.10. Solid and Liquid Waste Management

5.10.1 The objective of SBM(G) is to bring about improvement in the cleanliness, hygiene and the
general quality of life in rural areas. Solid and Liquid Waste Management (SLWM) is one of the key
components of the programme. To create clean villages, it is essential that the IEC interventions
focus on Solid and Liquid Waste Management so as to create a felt need for these activities amongst
the population. This must lead to the setting up of systems for the scientific disposal of waste in such
a way that has a tangible impact on the population. The Community /Gram panchayat has to be
motivated to come forward and demand for such a system, which they have to subsequently
operate and maintain.
5.10.2 Once the demand is created, to ensure that the resources are used efficiently, SLWM is to be
taken up in project mode for each Gram Panchayat (GP) with financial assistance capped for a GP on
number of household basis to enable all GPs to implement sustainable SLWM projects. The total
assistance under SBM(G) for SLWM projects shall be worked out on the basis of total number of
17

households in each GP, subject to a maximum of Rs.7 lakh for a GP having up to 150 households,
Rs.12 lakh up to 300 households, Rs.15 lakh up to 500 households and Rs.20 lakh for GPs having
more than 500 households. Funding for SLWM project under SBM(G) is provided by the Central and
State Government in the ratio of 75:25. Any additional cost requirement is to be met with funds
from the State/GP, and from other sources like Finance Commission funding, CSR, Swachh Bharat
Khosh and through the PPP model.
5.10.3 Under Solid and Liquid Waste Management, the following activities inter-alia may be
undertaken:
i. For Solid Waste Management: States are to decide the technologies suitable to their areas.
Technologies identified by the Committee on Technologies may also be considered for
implementation. Collection, segregation and safe disposal of household garbage, decentralised
systems like household composting and biogas plants shall be permitted. Activities related to
maximum reuse of organic solid wastes as manure should be adopted. Such technologies may
include vermi-composting, NADEP composting, or any other composting method, individual and
community biogas plants. Funds allocated for Solid and Liquid Waste Management may be used to
implement safe disposal solutions for menstrual waste (used sanitary cloths and pads) and setting up
incinerators in Schools, Womens Community Sanitary Complexes, Primary Health Centre, or in any
other suitable place in village and collection mechanisms etc can be taken up. Technologies may
include appropriate options that are socially acceptable and environmentally safe.
ii. For Liquid Waste Management: States are to identify suitable technologies. Methods adopted for
management of liquid wastes may focus on maximum reuse of such waste for agriculture purposes
with least operation and maintenance costs. For collection of waste water, low cost drainage/ small
bore system, soakage pit may be adopted.
For treatment of waste water the following technologies may inter-alia be considered:
a. Waste Stabilization Pond (WSP) technology- Waste stabilization ponds (WSPs)
b. Duckweed based waste water treatment.
c. Phyto roid Technology (developed by NEERI)
d. Anaerobic decentralized waste water treatment.
For details of the technologies suitable for rural areas, a handbook Technical options for
Solid and Liquid Waste Management in Rural areas and other publications under
preparation to be issued by the Ministry of Drinking Water and Sanitation may be referred.
These publications can be accessed on the website under the head Publication or on URL
http:// www.mdws.gov.in/
5.10.4. All GPs are to be targeted for coverage with a SLWM project. SLWM Projects for each GP
should be part of the annual District Plan. The Annual District Plan should be approved by State level
Scheme Sanctioning Committee (SLSSC). Each individual SLWM project may be approved at the
DWSC level as per the technical and financial rules of the individual states. The objective is to
initiate SLWM projects in all GPs without delay.
5.10.5 Every State should have at least one SLWM Consultant at the State level and one SLWM
Consultant in each District DWSM/DWSC to guide the preparations of the SLWM projects for each
18

GP. Assistance of Professional agencies/NGOs may be sought to prepare/develop /test/ implement

such projects. The Project preparation, supervision and monitoring costs of SLWM projects payable
to such Agencies may be made a part of the project cost itself. Maintenance costs for the first 5
years of operation may be made a part of the Project cost. SLWM projects can be made financially
viable by dovetailing funds from other programmes and sources of funding like MNREGS, MPLAD,
MLALAD funds, Finance Commission funds, CSR contribution, Swachh Bharat Kosh, donor funding
etc. Funding from programmes of other Ministries and departments may also be converged.
5.10.6 Sustainable Operation and Maintenance systems have to be put in place before the SLWM
projects are taken up.
5.10.7 The Ministry of Drinking Water and Sanitation shall publish information and manuals
including technical information on SLWM on the MDWS website from time to time.
[http://www.mdws.gov.in/publications]

5.11 Administrative Charges

5.11.1 States shall be permitted to utilise funds under this component as per its requirement. The
Administrative Charges shall normally permit expenditure on salary of temporary staff and agencies
deployed for the execution of various components of the SBM(G) at State, District, Block and GP
levels, Support services, fuel charges, vehicle hire charges, stationery, monitoring & evaluation
activities, TA/DA to Inter-State and Inter-District Survey teams deputed for monitoring and
verification, exposure visits.
In order to implement the projects professionally, Specialists/ Consultants/Agencies from the fields
of IEC, Human Resource Development, School sanitation & Hygiene education, SLWM, Monitoring
and Evaluation etc. may be hired at the State and District levels for the project period.
5.11.2 State Governments are advised to post a Government officer as a full time Block Sanitation
Officer. Till that is not made operational, the State governments may specifically officially assign
SBM activities to a senior official posted at the Block level.
He may be assisted by a Block
Coordinator and a Data Entry Operator engaged on contract who shall be provided emoluments to
be decided by State. This Block level arrangement shall be tasked with handholding, supervising
and monitoring every GP in the implementation of the scheme.
5.11.3 Every Block shall be provided with one computer with accessories. Internet connection
including monthly charges shall be permissible per block.
5.11.4 Administrative component to be utilised under the project annually, will be up to 2% of
programme expenditure in a year. This will be adjusted at the district level where the authority will
be to incur expenditure of 1.8%. The state will be authorised to incur expenditure upto 0.2% of total
program expenditure of all districts taken together. Sharing pattern of expenditure will be 75:25
between Centre and State, which will be adjusted at the end of financial year. Unspent balance in
this component will be carried over to the next year.
5.11.5 To ensure that Monitoring and Evaluation activities are carried out in the States, 5% of all the
funds available at the State level for administrative expenditure shall be utilised for monitoring and
Evaluation studies related to the programme. State will make arrangements for concurrent
monitoring and social audits. Third party independent evaluations and impact studies may also be
conducted by reputed national level agencies empanelled for the purpose.
19

5.11.6 The following items of expenses are specifically prohibited under "administrative expenses":
a. Purchase of vehicles
b. Purchase of land and buildings
c. Construction of official buildings and rest houses (this excludes toilet units needed for
SBM(G) projects)
d. Expenses for any political party and religious organisations
e. Expenses for gifts and donations
f. Temporary transfer of funds to any other scheme or fund in the state.

6. NATIONAL SCHEME SANCTIONING COMMITTEE

6.1. National Scheme Sanctioning Committee (NSSC) will be constituted under the SBM(G) for
specific periods to approve or revise the Perspective Plan called the Project Implementation Plan
(PIP) for the States/districts, and the Annual Implementation Plan (AIP) as and when received the
State/UT Governments duly approved by the State Level Scheme Sanctioning Committee (SLSCC)
and finalized by the Appraisal Committee.
The constitution of the NSSC shall be as follows:
1.
2.
3.
4.

Secretary, Ministry of Drinking Water And Sanitation - Chairperson

Additional Secretary & Financial Advisor, Ministry of Drinking Water and Sanitation
Secretary in-charge of rural sanitation of the State whose proposal is to be considered
Joint Secretary in-charge of Sanitation, Ministry of Drinking Water And Sanitation - Member
Secretary
5. Two experts on rural sanitation as nominated by the Chairperson

7. IMPLEMENTING AGENCIES
7.1. Implementation of SBM(G) requires large scale social mobilization and monitoring. A 5-Tier
implementation mechanism should be set up at the National/State/District/Block/Village level as
given below :

7.2 National Swachh Bharat Mission (G) NSBM(G)

7.2.1 The Swachh Bharat Mission will be set up at the Ministry of Drinking Water and Sanitation.
Secretary DWS will be the Mission Director, to be assisted by Additional Secretaries, Joint
Secretaries, Directors, Deputy Secretaries and Technical advisors as is decided by the Government of
India from time to time.
7.2.2 The Mission will have a Monitoring and Evaluation Cell which shall be responsible for carrying
out relevant and suitable annual or biannual Monitoring exercises of the implementation of the
SBM(G) in States, in consultation with other agencies like NSSO, Registrar General of India. The Cell
shall be responsible for coordination with states and districts on Monitoring. The Cell shall also
monitor the reports and publications being brought out by various agencies and organizations
regarding the changing sanitation situation in the country.
The Cell will also have the responsibility of monitoring the activities of all other Ministries of
Government of India and individual States / UTs with respect to the Swachh Bharat Mission.
The Cell will work towards developing the SBM(G)-MIS of the Ministry in coordination with
the NIC.

20

7.2.3 The Mission will have a Communication Cell that shall prepare and implement the Annual and
long term Communication plan of the Swachh Bharat Mission (G) of the MDWS. The Cell will
coordinate with the Ministry of I & B, DAVP, DD, AIR, NFDC and other communication agencies on
the plan. The cell will also monitor the Communication plan and activities of states to ensure
commonality of focus and purpose.
7.2.4 The National Resource Centre (NRC), a group of experts in various aspects of sanitation and
water supply, situated within the MDWS shall be a technical assistance unit to the Swachh Bharat
Mission(G).

7.3 State Swachh Bharat Mission [SSBM(G)] - State Water and Sanitation
Mission (SWSM)
7.3.1 As a step towards achieving coordination and convergence among State Departments dealing
with Rural Sanitation, Rural Drinking Water Supply, School Education, Health, Women and Child
Development, Water Resources, Agriculture, Publicity etc. a State Swachh Bharat Mission (Gramin) should be set up at the State/UT level. It shall be a registered society under the aegis of the
Department/Board/ Corporation/Authority/Agency implementing rural water supply and sanitation
programme in the State.
7.3.2 While States shall decide on an appropriate structure, there should be an Apex Committee at
the State level to aid and advise the State Mission. The Committee should be headed by the Chief
Secretary with Secretaries in-charge of PHED, Rural Development (RD), Panchayati Raj (PR), Finance,
Health, Information and Public Relations (I&PR) as members. Principal Secretary / Secretary of the
Department looking after Sanitation in the State shall be the nodal Secretary responsible for all the
SSBM(G) activities and for convening the meetings of the Mission.
Experts in the field of sanitation, hydrology, IEC, HRD, MIS, media, NGOs etc. may be co-opted as
members.
The State Swachh Bharat Mission (Gramin) SSBM(G), may be located within the implementing
Department of the State government with the Minister-in-Charge of the Department as the
Chairperson of the Governing Body. The Principal Secretary/Secretary in charge of the implementing
Department will be the Vice Chairman and the Mission Director the Member Secretary.
7.3.3 The SSBM(G) Directorate headed by a senior State level official shall supervise implementation
of SBM(G) in the project districts in the State, facilitate convergence mechanism between line
departments, ensure preparation of the Annual Implementation Plan for each district as per the
requirement of the district, consolidate the same into the Annual Implementation Plan of the State,
share and discuss the same with the MDWS/NSBM(G), receive Grant-in-aid from Centre and
disburse to the DWSMs/ Zila Parishad/ DRDA as per requirement. States shall provide adequate
administrative, technical and support staff for the State Mission. Remuneration of all Government
employees in the Mission will be borne by the State. The SSBM(G) can engage technical experts as
Consultants to be supported under the programme.
7.3.4 The State Level Scheme Sanctioning Committee (SLSSC) is a Committee comprising of
representatives of various Technical Departments, Institutions and Organizations as decided by the
State Government to examine and approve district projects and other proposals of technical nature
at the State level. The Committee shall have a representative from Ministry of Drinking Water and
Sanitation.
7.3.5 Water and Sanitation Support Organization (WSSO)/ Communication and Capacity
Development Unit (CCDU) currently in place for sanitation shall be merged with the SSBM(G). In
21

case drinking water supply and sanitation are being looked after by different departments, the
WSSO(Sanitation) may be merged with the SSBM(G).
7.3.6 Accounting arrangements for the SSBM(G) shall be as existed for the SWSM, and as amended
by the MDWS and State Government from time to time.
7.3.7 The administrative support component of the SSBM(G) shall ideally consist of the following
minimum human resources:
Director:
1
State Coordinator:
1
Consultants:
HRD/Capacity Building Specialist:
1
IEC Specialist:
1
M & E Specialist:
1
SLWM Specialist:
1
MIS Specialist:
1
Accountant:
1
Data Entry Operator:
2
States are to decide on the specializations and emoluments of all Consultants. However States
should keep parity with the emolument structure of other programmes like the MNREGA and the
NRLM.

District Swachh Bharat Mission [DSBM(G)]

7.4

7.4.1 A District Swachh Bharat Mission is to be formed at the district level. This may be done by
suitable changes in the existing District Water and Sanitation Mission/Committee (DWSM/C). As the
line departments will play catalytic role in implementation of the programme, the role of the District
Collector/Magistrate/CEO Zilla Panchayat shall be pivotal.
While States shall decide on an appropriate mechanism, the suggested composition of DSBM(G) is as
follows:

DSBM(G) shall be headed by Chairman of Zilla Parishad. The District /Deputy

Commissioner/Magistrate/CEO Zilla Panchayat shall be the Executive Vice Chairman.
The members would be all MPs/MLAs and MLCs of the District and Chairperson of the
concerned Standing Committees of the Zilla Parishad or their representatives; CEO/AEO of
the Zilla Parishad; District Officers of Education, Health, Panchayati Raj, Social Welfare, ICDS,
PHED, Water Resources, Agriculture, Information and Public Relation;
NGOs can be identified by the DSBM(G) and co-opted into the Mission as members.
The CEO of the District Panchayat/Parishad; the Executive Engineer of PHED/District
Engineer of the ZP/ any other officer approved by SSBM(G) shall be the Member Secretary.
The Mission shall meet at least quarterly.
DSBM(G) should plan and advise on implementation of the district SBM (G) with appropriate
IEC strategies and convergence mechanisms with all line departments.

7.4.2 A District Swachh Bharat Mission Management Committee (DSBMMC) chaired by the District
Collector/Magistrate and comprising of all district level officers of relevant departments and all
BDOs/ Block level officer in charge of sanitation shall be formed, and shall meet once every
month to plan and monitor the implementation of the Mission. The Committee will carry out
regular Block and GP level reviews. The District /Deputy Commissioner/Magistrate/CEO Zilla
22

Panchayat shall be the nodal officer responsible for the implementation of the Mission.
Remuneration of all Government employees in the Mission will be borne by the State. The DSBMMC
can engage technical experts as Consultants to be supported under the programme.
7.4.3 Accounting arrangements for the DSBM(G) shall be as existed for the DWSM, and as amended
by the MDWS and State Government from time to time.
7.4.4 At the Implementation level is the district, the following human resource shall ideally be
ensured in the DSBM(G):
District Coordinator i/c of SBM(G):
1
Assistant Coordinator (Tech.)
1
Consultants:
IEC/Equity/Social and
Behavioural Change Communication: 1
HRD/Capacity Building:
1
M & E cum MIS:
1
Technical expert -Sanitation & Hygiene: 1
SLWM :
1
Accountant:
1
Data Entry Operator
2
States are to decide on the specializations and emoluments of all Consultants. However States
should keep parity with the emolument structure of other programmes like the MNREGA and the
NRLM.

7.5

Block Programme Management Unit (BPMU )

7.5.1 The role of Block level intervention in the rural sanitation sector needs to be significantly
strengthened to provide guidance, support and monitor sanitation status in GPs. The Block level is
the ideal unit for providing support to a GP or a group of Gram Panchayats. States should finalise the
Block level arrangements as per their requirements.
7.5.2 Ideally State has to set up a Block Programme Management Unit (BPMU). The BPMU shall
work as bridge between the District experts and the GPs and provide continuous support in terms of
awareness generation, motivation, mobilization, training and handholding of village communities,
GPs and VWSCs. The BPMU will serve as an extended delivery arm of the District Mission in terms of
software support and act as a link between [DSBM(G)] and the GPs/ VWSCs/ village communities.
The State Governments are expected to post a Government officer as a full time Block Sanitation
Officer (BSO). Till such arrangements are made, the State may designate a senior block level official
as the BSO. He may be assisted by a Block Coordinator and a Data Entry Operator engaged on
contract who shall be provided emoluments to be decided by States. This Block level arrangement
shall be tasked with handholding, supervising and monitoring of the programme and the quality of
toilets being constructed and their usage every GP. Social Mobilisers may be needed at the Block
level to assist village level workers or Swachhata Sena.
7.5.3 States can also set up a sub-block i.e. cluster level units in places where there are a large
number of GPs in a Block. A team of Social mobiliser and technical supervisor may be engaged for
23

20-30 GPs. States are to decide on the emoluments of all persons engaged at the Block and Cluster
levels.
7.5.4 Capacity building and Generating awareness including Triggering demand among the village
community on various aspects of sanitation will be taken up by BPMUs though the designated CSO
etc./Swachhata Doot/ Sena. It will also help the GPs in achieving ODF status, sustaining and building
on it with effective motivation and low cost management of solid and liquid wastes.
7.5.5 Expenditure towards these personnel may be incurred from the Administrative head of the
SBM(G).

7.6

Gram Panchayat/ Village Water and Sanitation Committee

7.6.1 The Gram Panchayats can have a pivotal role to play in the implementation of the programme.
States may decide to channel the fund flow for activities at the GP level through the Gram Panchayat
institution. All Institutions and Committees working within the GP framework have to prioritise
sanitation within their programmes.
7.6.2 A Village Water and Sanitation Committee (VWSC) shall be constituted as a sub-committee of
Gram Panchayat, for providing support in terms of motivation, mobilization, implementation and
supervision of the programme. The VWSC should play a crucial role in the comprehensive and
saturation approach to ODF Grams. The membership of a VWSC may have representation from each
Ward of the GP and 6 more members. 50% of the members should be women. There should be
representation from SCs and STs and poorer sections of the society. This committee should function
as a Standing Committee on Water and Sanitation of the Gram Panchayat and should be an integral
part of the Village Panchayat. The composition and functions of the VWSC can be determined by the
State Government.
7.6.3 A separate account may be opened for each Village and Water Sanitation Committee of a GP
and Sarpanch/Pradhan of the GP should be the chairperson of each VWSC. The Swachh Bharat
Funds should be routed through the account of the VWSC/GP. The account shall be subject to audits
held from time to time including Social Audit.
7.6.4 The GPs and the VWSCs shall endeavor to make their GPs ODF and Swachh at the earliest.
States should recognise and confer awards on such GPs.
7.6.5 While the participation of the local bodies is advised, there shall be flexibility at the State
and district levels to decide on the methodology of the implementation of the programme
depending on local conditions and the role that the GPs and the VWSCs shall play.

7.7 Swachhata Doot/Sena

7.7.1 There is a need for a dedicated, trained and properly incentivized sanitation work force at the
GP level. This has been brought out by many Monitoring and Evaluation and Research studies carried
out in the country. These Swachhata Doots/Sena, need to carry out the multiple formalities and
communication that needs to be completed in the course of triggering of demand and subsequent
24

toilet construction. Identification of a beneficiary, assisting in the IEC, maintaining records and
tracking progress are essential activities that are needed to be carried out at the GP level.
The GP/VWSC can engage Swachhata Doots or Swachhata Sena to carry out and be
responsible for all such sanitation related activities in the GP. These Doots should preferably be from
the target GPs. The state may decide to assign this function to CBOs/NGOs/SHGs/ etc. States are to
decide on the guidelines for their engagement and the honorarium/remuneration to such Doots,
which is essential to attract dedicated and serious workers. Use of ASHAs, Anganwadi workers, ANM
workers can be considered, however ideally they should serve on a full time basis. Expenses on the
Swachhata Doots may be borne on the IEC component of the SBM(G). However no permanent
cadre of Swachhata Doots is to be created. The Incentives to anyone including Swachhata Doots who
motivate households for toilet construction which results in the household moving away from open
defecation may be upto Rs. 150 per case. States may however decide on an appropriate amount as
per requirement. Further provision of Post-construction honorarium should also be provided to
ensure sustainability.

7.8 Role of MDWS in ensuring Adequate Infrastructure:

7.8.1The creation of adequate infrastructure for the implementation of the SBM(G) in the State at
various levels, shall be monitored by the MDWS, which may issue necessary advisories on the
matter. Approval of the AIP of the States and release of assistance may be made contingent on
compliance with such directions

8. ROLE OF PANCHAYATI RAJ INSTITUTIONS

8.1 As per the Constitution 73rd Amendment Act, 1992, Sanitation is included in the 11th Schedule.
Accordingly, Gram Panchayats have a pivotal role in the implementation of SBM(G). The programme
may be implemented by the Panchayati Raj Institutions at all levels. Their exact role shall be decided
by the States as per the requirement in the State. The GPs will participate in the social mobilization
for the triggering demand, construction of toilets and also maintenance of the clean environment by
way of safe disposal of waste. Experienced and reputed NGOs can be considered for participation
for assisting in carrying out Inter-personal Communication and Training. Community Complexes
constructed under the SBM(G) will be maintained by the Panchayats/Voluntary
Organizations/Charitable Trusts through funds available from Finance Commissions, User charges,
other state funds, CSR funds etc. Gram Panchayats can also contribute from their own resources for
School Sanitation and Solid and Liquid Waste Management infrastructure over and above the
prescribed amount. The Districts shall endevour to obtain support for GPs from Businesses,
Corporates, Social organisations, and Institution like Banks and Insurance Companies for the creation
of assets and the operation and maintenance. The GPs will act as the custodian of the assets such as
the Community Complexes, environmental sanitation infrastructure, drainage etc. constructed
under SBM(G). GPs can also open and operate the Production Centers/Rural Sanitary Marts.
8.2 GPs can play a key role in promoting regular use, maintenance and up gradation of toilets,
SLWM components and Inter-Personal Communication for hygiene education. Agencies who are in
the frontline of implementation have a key role in ensuring that safety standards are being met with
all components of SBM(G) e.g. the distance between water source and a latrine adhering to the
minimum distance for IHHL and Community Sanitary Complexes; regulating pit-depth, pit lining to
prevent pollution, collapse of pit etc. The same will apply to key hygiene behaviour such as keeping
25

the environment around hand pumps / water sources clear and tidy and free of human and animal
excreta.
8.3 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.
8.4 An important part of crystallizing Community level action towards ODF is the adoption of a GP
wide resolution or pledge to be taken as milestone of the Triggering activity. This can to be an
important of the process towards ODF status in the GP, and has to be used appropriately and
effectively.
8.5 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 GP.

9. ROLE OF COMMUNITY BASED ORGANISATIONS/NON

GOVERNMENTAL ORGANISATIONS/SELF HELP GROUPS/SUPPORT
ORGANISATIONS
9.1 If utilized effectively, CBOs/NGOs/SHGs/other Organisations can have a catalytic role in the
implementation of SBM (G) in the rural areas. The outreach and ground level connect that such
organisations can deliver, can be tapped in the Programme to achieve positive results. They can
considered for actively involvement in the IEC activities including in Triggering leading to demand
generation and sustained use of the facilities, in Capacity building, assistance in construction and
ensuring sustained use of sanitation facilities. Ideally every GP should have one Support Organization
(S.O.) associated with it for assisting in furthering the sanitation programme.
The State and District Missions may take necessary steps to provide for an S.O. to each GP.
9.2 Awareness generation and information dissemination: These Organisations can generate mass
awareness of the community against open defecation, hygiene and environmental sanitation ,safe
drinking water etc. by planning and implementing diverse, effective and multiple evidence based
participatory communication strategy.
9.3 Institutional building:
CBOs/NGOs/SHGs/other Organisations can be engaged for
implementation of block level institutions like BPMU by engaging human resources ,following the
stipulations in respect of qualifications, experience, compensations etc. They can play a significant
role in the capacity building of the community in developing and implementing Village Sanitation
and Water Security Plan, Environmental sanitation, inclusive of Solid and Liquid Waste
Management(SLWM) and capacity building of members of PRI, VWSC ,VOs and grass root level
workers .
9.4 Capacity building: These organisations can be effectively engaged for capacity building process
as National, State and District level Key Resource Centers. After ensuring their credentials and past
records, they may be engaged for preparing modules for functionaries (i.e. District Coordinators,
Block Coordinators, Cluster Coordinators, BDOs, PRI, grass root level workers like Swachhata Doot,
ASHA, Anganwadi workers, SHGs, PRI, Teachers , members of VWSCs ,Masons etc.
26

9.5 RSM/Providers of Quality Hardware for Toilets: In many states, with varieties of options of toilet
parts like Pan, Pan Trap, Tiles, Rings for pits, lid of pit , pipes, doors, roof are available even at block
level. Households have the options of purchasing varieties of toilet parts at their own choice at
block level, near GPs. However, in some States where GPs are situated in remote areas RSM is still
an inevitable requirement for ensuring supply chain of individual house hold toilets, community
toilets school toilets and anganwadi toilets. CBOs/NGOs/SHGs/other Organisations may be engaged
effectively in ensuring quality bulk supply of hardware for toilets. However, to ensure sustainability
through supply of quality components and construction of toilets, the specifications of materials
like Ceramic Pans, Pan Traps, Pipes, Super Structure of bricks, brick lining in pits or rings made of
concrete, depth and diameter of pit ,roof of asbestos/tin, doors with iron frame ,twin pits etc.
should be stipulated.
9.6 Monitoring and Evaluation: CBOs/NGOs/SHGs/other Organisations may also be engaged to
conduct monitoring and evaluation surveys and PRAs specifically to determine key behavior and
perception changes regarding sanitation, hygiene, water use, O&M, etc, either by themselves or as a
partner to the GP. The S.O. can assist in Social Audits.
9.7 Selection of CBOs/NGOs/SHGs/other Organisations: It has to be ensured that organisations of
repute, good track record and experience in social sectors are engaged. They should be selected by
a fair and transparent process based on competence, ability and capacity. Keeping in view the state
specific requirements vis--vis prevailing situation, the eligibility or qualifying criteria should be
defined. The agencies selected should have evidence based skill, specialization and experience in the
desired field. Adequate resources need to be allocated, so that capacities of CSOs can be built, for
enabling them to deliver effectively. Monitoring of the performance of such organizations has to
be done once every six months by the District Collector /Deputy Commissioner/Magistrate/CEO Zilla
Panchayat and only those showing satisfactory results are to be retained. As these organizations
shall be working at the GP and Block levels, it shall be the responsibility of the District Collector
/Deputy Commissioner/Magistrate/CEO Zilla Panchayat to ensure the engagement and performance
of these agencies.
9.8 These Organisations should work in the supervision of the DSBM(G) and the BPMU and in
coordination with the district level RALU. States shall choose such dedicated
CBOs/NGOs/SHGs/other Organisations with a good track record following a transparent process.
The work of these Organisations should be reviewed at least quarterly.

10. ROLE OF CORPORATE BODIES/PSU and CORPORATE SOCIAL

RESPONSIBILITY
10.1 Corporate houses should be encouraged to participate in the SBM(G) as an essential part of the
Corporate Social Responsibility (CSR). There is realisation that a healthy workforce can contribute
towards better services for their output. The issues of getting popularity for marketing of their
products and services or mere status also attract corporate houses towards taking up social causes
and increasing interaction with people. Thus, SBM(G) can serve as a platform for the Corporate
Houses to help address their CSR.
10.2 The Corporate/PSUs may take up the issues of sanitation through IEC, HRD or through direct
targeted interventions such as:

27

a) Establish demonstration fields / rural sanitation parks for exposure of various technology
options available under SBM to the rural populace.
b) Organise exhibitions / sanitation melas.
c) Provide necessary exposure to the children in Schools about proper sanitation and hygiene
d) Provide additional incentive to rural households in form of suitable sanitary materials or
create sanitation facilities for the rural populace through appropriate local organisation
e) Provide sanitary complexes in market or other public places / around work places or alike
f) Provide assistance in effective Solid and Liquid Waste Management technology and
resources
g) Provide trained manpower for maintenance of sanitation facilities and/or SLWM
establishments
h) Propagate the programme through mass media and GP level interventions.
i) Adopt habitations/villages/GPs to make them ODF
10.3 The MDWS has issued guidelines to facilitate the involvement of CSR resources in sanitation
works. States can use these guidelines as a base to develop their own procedure to attract/receive
and utilise CSR funds.
(http://mdws.gov.in/sites/upload_files/ddws/files/pdfs/Guide_Line_Sanitation_CSR.pdf)
The MDWS has also enlisted 32 CBOs/NGOs services of which can be utilised for the CSR
supported sanitation projects. State Swachh Bharat Mission (G) will have a dedicated person who
will be responsible to solicit and process CSR projects in the State. At the district level, one
consultant shall be identified to work on CSR projects with Corporates, Businesses, Funding agencies
as well as Gram panchayats and Implementing CBOs/NGOs.
10.4 The MDWS will assist in coordinating the implementation of CSR projects in sanitation.

11. PROJECT FUNDING

11.1 SBM(G) Component-Wise earmarking and funding pattern

S.N.

Component

Amount earmarked as percent Contribution Share

of the SBM(G) project outlay
GOI
State

a.

IEC, Start Up Activity Up to 8% of total project cost, 75%

and Capacity Building
with 3% to be utilized at the
Central level and 5% at State
level.

25%

Beneficiary
Household/
Community
0%

b.

Revolving Fund

20%

0%

c.

(i)
Individual Actual amount required for full Rs.9,000
Household Latrines
coverage
(75%)

Up to 5%

80%

Rs.3000
(25%)

0%

(10,800
(1,2000
(90%)
in(10%) in
case of NEcase of NE
States, J&KStates,
and SpecialJ&K and
category
Special
States )
category
States )

28

(ii)
Community Actual amount required for full 60%
Sanitary Complexes
coverage
Up to 2% of the project cost

30%

10%

f.

Administrative
charges

75%

25%

0%

g.

Solid/Liquid
Waste Actual amount as per SLWM 75%
Management (Capital project cost within
limits
permitted
Cost)

25%

0%

No additional funding from any other Centrally Sponsored Scheme will be permitted.

12. ANNUAL IMPLEMENTATION PLAN (AIP)/INCENTIVISING GOOD

PERFORMANCE
12.1 The main objective of the Annual Implementation Plan (AIP) is to provide a definite direction to
the programme for creation of Swachh Grams. It is also required to provide basis for monthly and
quarterly monitoring of physical and financial progress during the course of the financial year vis-vis the planned activities.
Achievements against the AIPs shall be the basis to Incentivise States who perform well.
Performances against the AIPs shall be evaluated and performances of States published on the
MDWS website. A dashboard that ranks States periodically on a range of performance indicators
would be prepared and shared with States.
12.2 The States AIP should include detailed sections on the planning, implementation, and
sustainability phases.
The following information shall be required in the AIP:
a) report on the progress made by the State in achieving the objectives of SBM(G) during the
previous year against the AIP objectives;
b) reasons and comments for variation, if any;
c) a detailed plan of the IEC, triggering and capacity building activities proposed to be taken up
in the ensuing financial year;
d) a plan of activities with physical and financial estimates under each component of the SBM(G)
for the proposed financial year with agreed time lines. A summary of district level Plans is to
be provided;
e) Monthly Quarterly projected targets, so as to be able to monitor progress;
f) Plans to ensure sustainability of the interventions made;
g) Details of plans for monitoring and evaluation to be carried out at the state level;
h) Write ups of success stories, best practices, innovations introduced, new technologies used
etc.

29

12.3 The AIPs for the District should be prepared by consulting the plans of the Gram Panchayats.
These GP plans should be consolidated into Block Implementation Plans and further into the District
Implementation Plan. The State Mission Authority will suitably consolidate the District
Implementation Plans as the State Implementation Plan.
12.4 There shall be a Plan Appraisal Committee (PAC) in the Ministry of Drinking Water and
Sanitation, chaired by the Joint Secretary (Sanitation), with Principal Secretary i/c of Sanitation of
the relevant State, the State SBM(G) Coordinator and the Director (Sanitation) in MDWS as
members. The States/UTs shall prepare the AIP and submit the same before the commencement of
the financial year on the basis of the balance works to be completed, to the Plan Approval
Committee (PAC) in the MDWS. The proposed AIPs shall be discussed in the PAC and finalised with
or without suggestions/modifications. The final AIP shall be prepared by the States based on
allocation of funds and forwarded to the Ministry within a fortnight of the discussions in the PAC and
shall be put up to the NSSSC for approval consequent to which it will be also be uploaded in the
website through the online monitoring system. The recommendation of PAC for a financial year
shall be valid for that financial year. Achievements in the AIP by the State in the preceding year shall
be taken into account while finalising the AIP of the following year. States shall be permitted to
prepare a supplementary AIP during the year if the progress of the AIP is satisfactory and further
achievements are considered possible.
12.5 AIP should be prepared following the conjoint approach highlighting comprehensive sanitation
and water coverage on the basis of identification of Gram Panchayats. The enlistment of Gram
Panchayats should be done in a manner such that all the Gram Panchayats in a Block/District are
covered progressively so as to make the State Swachh. The district AIP shall include details of IEC,
IPC and Triggering exercise that will be taken up in the target GPs. The AIP budgeting should follow
the cost norms of SBM(G) and should be compiled to project the financial demand of Central Share
during the year.

12.6

Incentivisation

12.6.1 States performing as per their plans will be incentivized. States achieving their targets prior to
scheduled dates shall be further incentivized.

13. RELEASE OF FUNDS

13.1 Release from Centre to State level implementing body
13.1.1 The funds under SBM(G) will be released by the MDWS to the State Government accounts
electronically as per directions of the Ministry of Finance issued from time to time. The State
Governments shall release the funds to the State Swachh Bharat Mission (Gramin) {SSBM(G)} within
15 days of transfer of funds from Government of India. Any delay in such release shall lead to a
penalty, i.e. a penal interest @12% p.a. for the delay. The SSBM(G) will operate a single Savings
bank account in any Nationalized Bank or a bank authorized by the State Government, through
which State Government funds are operated for all transactions relating to SSBM(G) including
Central share, State share, Beneficiary share or any other receipt. The details of the SSBM(G) bank
account has to be communicated to MDWS along with the name of the bank, IFSC Code and A/c. No.
etc. and should not be changed during the implementation of the project without prior permission
30

of the MDWS. The funds released under the programme shall be through the Central Plan Scheme
Monitoring System (CPSMS) of the Government of India.
13.1.2 On the basis of approved demand of States as decided in the AIP every year and the
availability of funds at the national level, a notional allocation to all the States will be worked out for
release of funds in two installments. In all cases where the second installment has been released
unconditionally during the preceding year, States will be eligible for automatic release of the 1st.
installment during the financial year. Other States will be eligible for only 25% of the allocation. As
per Ministry of Finance instructions, the fund released in the first installment shall be 50% of the
amount approved in the PAC and shall be reduced by the amount of opening balance/unspent
balance in excess of 10% of the previous years release to the State.
13.1.3 The 2nd. installment of funds, as approved in AIP, will be released on fulfillment of the
following conditions:

Receipt of a specific proposal from the State/UT with recommendation of the State
Government with district wise physical and financial progress reports;
Annual Performance Report as required by MDWS from Time to time.
Statement of Achievements of monthly/quarterly progress against the targets specified in
the AIP;
Commitment of the state to release of proportionate State share into the SWSM account
with in fifteen days of release of central share;
Utilization of 60% of the available funds with the SWSM i.e. opening balance, funds released
as first installment of Grant-in-aid under SBM(G) during the year and interest earned
thereon, Central Share and State Share separately ;
Submission of Audited Statements of Accounts of the preceding financial year as per
Annexure-II;
Submission of Utilization Certificates for Central and State Share separately in the prescribed
Performa as per Annexure-III duly signed by the Member Secretary of SWSM, for the
preceding financial year;
Any other condition(s) that may be specified by the Central government from time to time.

13.1.4 Any further release of funds during the financial year including Incentives for Good
performance will be on the basis of production of necessary documents as may be required by the
MDWS.

13.2 Release from State level to District level

13.2.1 The States/UTs shall release the Central grants received along with the matching State share
to the District implementing agency/agencies {DSBM(G)} within 15 days of receipt of Central grants.
SBM(G) funds released to the districts shall be on the basis of the District plans, the extent of
demand generation in the district, the expenditure pattern and the balance funds. States shall enter
the data of the transfer of funds to districts on the IMIS within 48 hours of the issue of such release
order. States shall ensure the availability of funds in districts to ensure effective implementation of
the programme.
13.2.2 In case the States fails to transfer funds (central share and matching state share), to the
districts within 15 days of receipt from the Government of India, a penal interest @12% p.a. for the
31

delay, shall be required to be transferred by the State Government to the Implementing Agencies
along with the principal amount of the fund.
13.2.3 Inter

district transfer of funds made available under SBM(G) are allowed once during the
financial year subject to the following:
(a)

Transfer of funds should be against changed physical targets (under AIP) in both
districts, i.e. change in the fund availability in a district should reflect in the activities
being taken up;

(b)

The transfer should be with prior approval of the Central Government:

(c)

Inter district transfer of funds, has to be reflected in IMIS of this Ministry by the
State / district with 3 days of such transfer.

13.2.4 As the District is the unit of implementation of the program, funds for the implementation of
the Programme shall be managed at the district level. The District Implementing Agency will transfer
the funds for the various activities taken up, to the Gram Panchayat or any other agency which has
carried out the activities including for the distribution of Incentives. The availability and utilisation of
funds at the district level shall be monitored through the IMIS.

13.3. Interest earned on Funds Released under SBM(G)

13.3.1 The SBM(G) funds (Central and State) should be kept in a savings bank account. The
household / beneficiary contribution, if any, need not be deposited in this account. The interest
accrued on SBM(G) funds shall be treated as part of the SBM(G) resource. The District Implementing
Agency has to submit utilization of interest accrued on SBM(G) funds along with claim/s for
subsequent installments and it should be reflected in the Utilization Certificates.

14. MONITORING
14.1 Effective Monitoring of the Programme is essential. Monitoring of Outcomes will be the prime
focus to be measured in terms of Toilet usage as reflected in creation of ODF communities.
Monitoring of Outputs will also be done for administrative purposes in terms of monitoring of
expenditure and assets created.
The Monitoring framework should be able to identify the following:

Whether adequate IEC/IPC/Triggering activities have been carried out for behavior change;

Whether toilets have been constructed as reported;

Constructed Toilets are being used;

Whether ODF communities have been created;

14.2

The monitoring framework proposed will essentially be of 2 types:

(i) Annual Monitoring Survey: This shall be through a process initiated at the national level,
focusing on a 3rd Party independent monitoring of the sanitation status in rural areas across the
country. Independent agencies shall take up such monitoring which shall conform to national and
international requirements like the Joint Monitoring Programme (JMP).

32

(ii) Concurrent monitoring: There shall be a concurrent monitoring of the implementation of

the Programme, ideally using community level participation. This should ideally use Information and
Communications Technology (ICT), to feed data into the SBM (G) MIS. The data of such monitoring
shall be the main source of information for the Mission directorates and the RALU at various levels.
Other monitoring activities in addition to the above may also be taken up.
14.3 The Swachh Bharat Mission (Gramin) at the national level, state Level and district level will
have dedicated specialized Monitoring units constituting experts in the district which shall be
responsible for monitoring the Mission activities which shall include Field level monitoring.
Monitoring reports will be prepared by the unit every quarter. The Monitoring should be at
GP/Cluster (where required)/Block and district levels.
14.4 Use of independent agencies/CSOs/NGOs for the concurrent monitoring of the programme
is permitted. Central and State Missions may engage such agencies with experience in monitoring
activities and having presence in the respective states, for this purpose. Independent 3rd party
evaluations of the programme can also be carried out at Central and State levels. This is to be done
by MDWS using Monitoring and Evaluation Funds. At the State level upto 5% of the State level
administrative component M&E activities is to be utilised the IEC funds.

15. MANAGEMENT INFORMATION SYSTEM (MIS) - REPORTS

15.1. The Ministry of Drinking Water and Sanitation has developed an online monitoring system for
SBM(G). Household level data with respect to sanitation facilities of all Gram Panchayats in the
Country are to be made available on the MIS by States on the basis of the Baseline Survey 2012-13.
States shall be permitted to update the Baseline Survey status once a year in the month of MarchApril.
15.2 The main focus on the monitoring arrangements for the Mission is that of Toilet usage through
creation of ODF Communities. The MIS shall be upgraded to enable reporting of creation of ODF
communities and their sustenance.
15.3 All SBM(G) Project districts are to submit their physical and financial progress reports of the
implementation of the Programme, every month through this online MIS for which user-ids and
passwords have been provided to States, Districts and Blocks. GP wise physical and financial
progress for every month are to be entered alongwith photographs of the toilets in the SBM MIS, by
the 10th of the following month by the Block or District level Sanitation Missions. A mobile based
application for the same has been created in the IMIS to enable uploading of photos from site. The
same has to be approved at the State level by the 15th of the month before it is forwarded by the
MDWS. States shall be permitted to update the Baseline Survey status once a year in the month of
March-April.
15.4 Monitoring of the SBM(G) project should be carried out at all levels. At the District level, the
District Collector /Deputy Commissioner/Magistrate/CEO Zilla Panchayat shall review the progress of
the Mission in each Gram Panchayat once in every fortnight. Similarly, Secretary in-charge of rural
sanitation in the State must review progress with the District Officials on a monthly basis.

16. EVALUATION
16.1. The States/UTs should conduct Periodical Evaluation Studies on the implementation of the
SBM(G) programme at the State level. Evaluation studies may be got conducted through reputed
33

Institutions and Organizations as decided by the State. Copies of the reports of these evaluation
studies conducted by the States/UTs should be furnished to the Government of India. Remedial
action should be taken by the States/UTs on the basis of the observations made in these evaluation
studies. The cost of such studies can be charged to the Administrative charges component of the
SBM(G).
16.2 At the central level, the performance of the States under the Mission shall be evaluated from
time to time through agencies of repute.

17. TECHNOLOGY and RESEARCH

17.1 The SBM(G) shall encourage suitable safe sanitation technologies for Toilets and Solid Liquid
Waste Management Systems. The MDWS has a Committee for Suitable Technologies to examine
technologies suitable for upscaling and implementation.
The Mission already has a list of minimal acceptable technologies for which assistance under this
programme will be available. This will be updated from time to time. States can decide on
technologies suitable for their areas. The beneficiary/communities shall also participate in the
selection of technologies to be implemented.
17.2 Funding for research on all activities related to the Swachh Bharat Mission shall be available.
Research Institutes, organizations and NGOs with proven track record in the areas of Sanitation and
National / State level institutions involved in the research/studies related to the issue of Health,
Hygiene, Water Supply and Sanitation should be involved to develop new technologies of human
excreta and waste disposal systems in the rural areas. The research/study outcome should enable
improvement of technology, making it more affordable and environmentally safe to suit the
requirements of different geo-hydrological conditions. This will encourage and promote ecologically
sustainable long term solution for disposal of wastes. Research/study on latrine design, sustainable
methods/ technologies for Solid and Liquid Waste Management in rural areas, appropriate
technology to suit varying soil conditions, high water table situations, floods, water scarcity
conditions, coastal areas will be priorities. Ecological sanitation / on-site waste management will be
encouraged to prevent high costs of waste transportation and pollution of water bodies through
discharge of untreated waste. Research on interventions like IEC, capacity building, and monitoring
and evaluation will be permitted.
17.3 A Research and Development Approval Committee (RDAC) chaired by Secretary, and consisting
of technical and non-technical members to be decided by the MDWS from time to time shall
examine all research proposals and accord approval if found suitable.
17.4 States can also take up research proposals at their level under the Mission.

18. ANNUAL AUDIT

18.1 All audits requirements of the Government of India and the CAG as decided from time to
time will be followed.
18.2
The SSBM(G) will ensure that the accounts are audited by a Chartered Accountant selected
from a panel approved by the CAG, within six months of the close of the financial year in accordance
with the General Financial Rules of the Government of India and submit the audited statement of
accounts to the Ministry.
34

Annexure Ia

AUDIT REPORT
[Consolidated Audit Report for SBM(G)]

Containing following points (documents) :1. Auditors Report

2. Receipt & Payment Account.
3. Income & Expenditure Account
4. Balance sheet
5. Notes Forming Part of Accounts (Reporting about physical output)
6. Auditors observations as Annex

(In case of any observation, reply countersigned by Chartered

Accountant is required)

Signature________________________
SWSM
Dated__________________

N.B:

.
Name in full______________________
Office Stamp of competent authority of

All the documents should be in original & countersigned by Competent

Authority of SWSM with official stamp.

35

Annexure I b

AUDITORS REPORT
To

The State Swachh Bharat Mission

Address

1.
We have audited the attached Balance Sheet of State Water and Sanitation Mission
(the Grantee) Account Swachh Bharat Mission (Gramin) (SBM(G)) as at March 31, 20**
and also the Income and Expenditure Account and Receipts and Payment Account for
the year ended on that date annexed thereto. These financial statements are the
responsibility of the Grantees management. Our responsibility is to express an opinion on
these financial statements based on our audit.
2.
We conducted our audit in accordance with auditing standards generally accepted in
India. Those Standards require that we plan and perform the audit to obtain reasonable
assurance about whether the financial statements are free of material misstatement. An
audit includes examining, on a test basis, evidence supporting the amounts and disclosures
in the financial statements. An audit also includes assessing the accounting principles used
and significant estimates made by management, as well as evaluating the overall financial
statement presentation. We believe that our audit provides a reasonable basis for our
opinion.
3.

Further to our comments in the Annexure referred to above, we report that:

i.

We have obtained all the information and explanations, which to the best of our
knowledge and belief were necessary for the purposes of our audit;

ii.

In our opinion, proper books of account as required, have been kept by the Grantee
so far as appears from our examination of those books;

iii.

iv.

The balance sheet, income and expenditure account and receipts and payment
account dealt with by this report are in agreement with the books of account;
In our opinion, and to the best of our knowledge and according to the
explanations given to us and subjects to our observations annexed herewith we
report that :
a. The Balance Sheet, gives a true and correct view of the state and affairs of
the Grantee Account Swachh Bharat Mission (Gramin) (SBM(G)) as on
31.3.201*.
b. The Income and Expenditure Account gives a true and correct view of
excess of income over expenditure for the period ended 31.03.201*.

36

c. The receipts and Payment Account gives a true and correct view of the
transactions under the programme/scheme for the period ended on
31.03.201*.
iv. Expenditure reported in the Income and Expenditure account is properly reflected in
the Utilization Certificate(s) for the same period.

Signature of Chartered Accountant with Seal)

Name in full______________________
Membership No._____________
CAG Empanelment No. & Year
Contact No.
E-mail ID:

37

Annexure IIc

Audit Report for the year 201*-1*

State Swachh Bharat Mission (Gramin) _________
Receipt & Payment Accounts for the period 1st April, 201* to 31st March, 201*
Name of the scheme - Swachh Bharat Mission (Gramin) (SBM-G)
(` in lakhs)
Receipt
1. Opening Balance

Amount

Payment

Amount

1. Advances given to

(i) Cash in Hand

(ii) Cash at Bank
(iii) Deposits at Division/Districts etc.

(i) Implementing Agencies

(ii) Any other agencies etc.

2. Receipt of Grants

2. Expenditure incurred for the purpose of

approved work undertaken under (SBM-G):

(i) Central Government

(ii) State Government
(iii) Others

i)
ii)
iii)
iv)
v)
vi)

3. Interest received from Banks

(i) SWSM level
(ii) DWSM/DWSC level
(iii) Others

IHHL
Sanitary Complex
School Toilets^
Toilets for Anganwadi^
SLWM
IEC etc.

3. Audit Fees

4. Refund of Advance/ Loan/Grant from

4. Expenses on Administration

(i) Implementing Agencies

(ii) Any other agencies etc.

a. Training
b. Staff support services
c. Monitoring and Evaluation
d. Printing and Stationery
e. Bank Charges
f. Rent and Taxes

5.Miscellaneous

5. Miscellaneous Expenses etc.

6. Closing Balance
(i) Cash in Hand
(ii) Cash at Bank
(iii) Deposits at Division/Districts etc.
Signature of Competent Authority
Name in full
Office seal
Contact No.
E-mail ID:

(Signature of Chartered Accountant with Seal)

Name in full______________________
Membership No._____________
CAG Empanelment No. & Year
Contact No.
E-mail ID:

38

Annexure II d

Audit Report for the year 201*-1*

State Swachh Bharat Mission (Gramin)_________
Income & Expenditure Accounts for the period 1st April, 201* to 31st March, 201*
Name of the Scheme - Swachh Bharat Mission (Gramin) (SBM-G)
(` in lakhs)
Expenditure

Amount

1.Expenditure incurred for the purpose of approved

work undertaken under (SBM-G):

Income

Amount

1.Grants -in -Aid/Subsidy received

From
(a) Central Govt.
(b) State Govt.
(c) Other Agencies

i. IHHL
ii. Sanitary Complex
iii. School Toilets
iv. Toilets for Anganwadi
v.
SLWM
vi. IEC etc.

2. Interest received during the

year from the Bank Accounts

2. Audit Fees

Received during the year

3. Expenses on Administration

Add: Accrued during the year

Less: related to previous year

a. Training
b. Staff support services
c. Monitoring and Evaluation
d. Printing and Stationery
e. Bank Charges
f. Rent and Taxes

3. Refund of unutilized grants by

the Implementing Agencies
4. Miscellaneous Receipts

4. Miscellaneous Expenses etc.

5. Excess Expenditure carried

5. Excess of Income over Expenditure carried

over to Balance sheet.

over to Balance Sheet.

Signature of Competent Authority

Name in full
Office seal
Contact No.
E-mail ID:

(Signature of Chartered Accountant with Seal)

Name in full______________________
Membership No._____________
CAG Empanelment No. & Year
Contact No.

E-mail ID:

39

ANNEXURE II e

Audit Report for the year 201*-1*

State Swachh Bharat Mission (Gramin) _________
Balance Sheet as on 31st March, 201*
Name of the scheme - Swachh Bharat Mission (Gramin) (SBM-G)
(` in lakhs)

CAPITAL FUND AND LIABILITIES

Previous Year
Amount

Current Year
Amount

Accumulated Fund
Opening Balance
Add/Deduct
Balance Transferred From Income & Expenditure Account

Current Liabilities
(i)
(ii)

Outstanding Expenses/Payables
Any other Liability

Total

ASSETS
Fixed Assets
(i) Vehicles
(ii) Furniture & fixtures
(iii) Office Equipment
(iv) Computers & Peripherals
(v) Others etc.

Current Assets & advances

(i) Stock
(ii) Temporary Transfer of Funds to other schemes recoverable
(iii) Closing Balance
(a) Cash in Hand
(b) Cash at Bank
(c) Account Receivables and Advances recoverable
(i) Implementing Agencies
(ii) Other Agencies
(iii) Staff
(iv) Suppliers etc.
Total
Signature of Competent Authority
Name in full
Office seal
Contact No.
E-mail ID:

(Signature of Chartered Accountant with Seal)

Name in full______________________
Membership No._____________
CAG Empanelment No. & Year
Contact No.
E-mail ID:

40

ANNEXURE II f

Notes Forming part of the Accounts:

Physical Output under State Swachh Bharat Mission (Gramin) (SBM-G) for the
utilized funds as reported in the Income and Expenditure Account:
Components
I.
II.
III.
IV.
V.
VI.
VII.

Performance/Number of Units constructed

Individual Household Latrines

BPL/APL
Sanitary complex
School toilet units
Anganwadi Toilets
Solid and Liquid Waste Management
(SLWM)
Rural Sanitary Mart
Production Centers

Signature of Competent Authority

Name in full
Office seal
Contact No.
E-mail ID

(Signature of Chartered Accountant with Seal)

Name in full______________________
Membership No._____________
CAG Empanelment No. & Year
Contact No.
E-mail ID

41

ANNEXURE IIg

Swachh Bharat Mission (Gramin) (SBM - G)

YEAR 201*-1*
AUDITORS OBSERVATIONS
NAME OF THE ORGANISATION RECEIVING GRANTS :

SL.NO.

ISSUES

OBSERVATIONS
AUDITOR

Opening Balance & Closing Balance of the Receipts and

Payments account tallies with that of Cash Book.

Opening Balance adopted tallies with Closing Balance

of the last year

Whether grantee or other implementing agencies

have diverted / inter-transferred funds from one
scheme to another Central Scheme or State funded
Scheme during the period in contravention to the
existing guidelines? If so details thereof.

Are there any mis-utilisation / unrelated

expenditure and mis-appropriation of funds by the
grantee or other implementing agencies during the
year? If so details thereof.

There is only prescribed number of bank accounts

for the scheme

There does not exist any minus balance at any stage

during the year.

Where the Sanction Order of the Ministry specifies

certain conditions at the time of release of funds,
whether the same has been fulfilled.

Scheme funds are being kept only in savings

account

Interest earned has been added to the scheme fund

10

Whether interest money is being utilized strictly for

42

OF

THE

11

12

13

the programme purposes as laid down in the

existing guidelines
State share, as per programme guidelines, for the
year has been received during the year
All receipts / refunds have been correctly accounted
for and remitted in to the Bank account of the
scheme
Scheme funds are not being kept in the State
Treasury

14

Bank Reconciliation is being done regularly

15

Name and address of the previous Auditor.

Signature of Competent Authority

Name in full
Office seal
Contact No.
E-mail ID:

(Signature of Chartered Accountant with Seal)

Name in full______________________
Membership No._____________
CAG Empanelment No. & Year
Contact No.

E-mail ID

43

ANNEXURE III

Utilization Certificate

State Swachh Bharat Mission (Gramin) (Name of State)

(Central Share / State Share)
Reference No. :
SI. No.

Letter No.
and date

Date:

Amount
Certified that out of Rs. . of grants-in-aid
sanctioned during the year .. in favour of State
Swachh Bharat Mission (Gramin) (Name of
State) vide Ministry of Drinking Water And
Sanitation, Government of India Letter No. given in
the margin and Rs.. on account of unspent
balance with the District Swachh Bharat
Missions (Gramin) (as per list attached) of the
previous year, a sum of Rs. .. has been
utilized by the District Swachh Bharat Missions
(Gramin) (as per list attached) for the purpose of
approved work undertaken under Swachh Bharat
Mission (Gramin), for which it was sanctioned and
that the balance of Rs.. remaining unutilized
with the District Swachh Bharat Missions
(Gramin) (as per list attached) at the end of the
year shall be carried forward to the next year for
implementation of the programme.

2. Physical Output for the above utilized funds

Components
Performance/Number of Units constructed
Individual Household Latrines - BPL
Individual
Household
Latrines

Identified APL
Individual Household Latrines Total
APL
Sanitary complex
Schools Toilet Units
Anganwadi Toilets
Rural Sanitary Mart
Production Centres
Projects undertaken against Flexi-fund
Contd.

44

-23. Certified that I have satisfied myself that the conditions on which the grants-in-aid was sanctioned
have been duly fulfilled / are being fulfilled and that I have exercised the following checks to see that
the money was actually utilized for the purpose for which it was sanctioned.

Kinds of checks exercised

1. Audited Statement of Accounts of SSBM(G)
2. Audited Statement of Accounts of DSBM(G)s
3. Previous Utilisation Certificates
4. Physical Verification Reports
5. Review Mission Reports
6. Any other document/check
Countersigned by Member Secretary (SWSM)
Signature .
Name .
Designation ..
(Chairman SSBM(G)
Date ..
(affix official seal)

45

ANNEXURE IV
STATE SWACHH BHARAT MISSION GRAMIN (SSBM- G)

CHECKLIST for submitting proposal for Release of funds under SSBM (G)
S.No.

Documents

1.

Utilization Certificates in original for previous year separately for

a) Central funds
b) State funds
a) Utilization Certificates has file reference
b) Signed by Chairman and Member Secretary (SWSM)

2.

3.
4.
5.
6.
7.

8.
9.
10.
11.

c) Countersigned by the Principal Secretary/ Secretary of the

concerned Department
d) With official Seal
e) Name, Designation, contact number, e-mail IDs of the signatories
Certificate to the effect that the districts have utilized 60% of total
available resources.
Audit Report/ Audited Statement of Accounts as per prescribed
format for the previous year has been submitted.
If audited by Chartered Accountant, he is a CAG empanelled
Chartered Accountant
Copy of the letter issued by O/o CAG has been furnished in support
of empanelment
The figures in UCs are in agreement with Audit Report
a) Grants
b) Expenditure
c) Opening/ Closing Balance
If not, clarifications have been given for the variations
Action taken Report on the observations made by the Auditor in the
Audit Report after getting it vetted by the Auditor has been
furnished.
The State matching share has been released.
Review Mission Report from all districts have been received by
State

46

Whether
enclosed/fulfilled
(Please tick)
Yes
No
yes
Yes
Yes

No
No
No

Yes

No

Yes
Yes
Yes

No
No
No

Yes

No

Yes

No

Yes

No

Yes

No

Yes
Yes
Yes
Yes

No
No
No
No

Yes
Yes

No
No

Annexure -V

Publications of Government of India / Ministry of Drinking Water and Sanitation for

reference

Sl. No

Reference

1.

Handbook on Technical Options for On Site Sanitation

2.

Technical options for Solid and Liquid Waste Management in rural areas

3.

Handbook on Scaling up Solid and Liquid Waste Management in Rural Areas

4.

Sanitation and Hygiene Communication Strategy 2012

5.

Gram Panchayat Handbook

6.

Establishment and Management of Community Sanitary Complexes in Rural

Areas

7.

Swachhata Doot guidelines 2011

8.

Framework for Solid and Liquid Waste Management

9.

Guidelines on Solid and Liquid Waste Management (SLWM) in Rural Areas

2014

47