factors that contribute to high health budget execution abc · 9/1/2017 · comparison to bihar...
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ABCFactorsthatcontributetohighhealthbudgetexecutionDeepDivesinKerala,MaharashtraandRajasthan,INDIA
2017
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Context,RTMframework1
Keyquestions,approach,frameworkforthedeepdive2
Fiscalattributes,healthfinancingattributes3
Currentpractices:Lookingforanswerstokeyquestions4
Examplesofcurrentpracticesyieldingbetterresults
ComparisontoBihar&UttarPradesh
5
6
Whatfollows…
Conclusionandrecommendations7
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Context,RTMframework1
Keyquestions,approach,frameworkforthedeepdive2
Fiscalattributes,healthfinancingattributes3
Currentpractices:Lookingforanswerstokeyquestions4
Examplesofcurrentpracticesyieldingbetterresults
ComparisontoBihar&UttarPradesh
5
6
Whatfollows…
Conclusionandrecommendations7
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TheResourceTrackingandManagementConceptualFramework
ResourceMobilization
Whatisthepotentialforraisingmoreresourcesforhealth?Fromwhere?Whatdeterminestheresourceenvelopeatnationalandsub-nationallevels?
ResourceAllocation
Howarefundsallocatedtodifferentprogramsandfunctionsatnationalandsub-nationallevels?Whatfactorsdeterminetheallocationtoprimarycare?
ResourceUtilization
Aretheallocatedfundsbeingutilized?Whatfactorsdrivesuccessfulbudgetexecution?Whataretheexistingbottlenecks?
ResourceProductivity
Howeffectivelyareresourcesbeingtranslatedintoservices?Isdeliveryefficientandwhatcanbegainedfromefficiencyimprovementsintermsofvolumeandquality?
ResourceTargeting
Areinputsbenefitingtheintendedindividualsandpopulation?Ispublicspendingreachingthepoor?
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Context,RTMframework1
Keyquestions,approach,frameworkforthedeepdive2
Fiscalattributes,Healthfinancingattributes3
Currentpractices:Lookingforanswerstokeyquestions4
Examplesofcurrentpracticesyieldingbetterresults
ComparisontoBihar&UttarPradesh
5
6
Whatfollows…
Conclusionandrecommendations7
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BackgroundoftheRTMstudy
- 2008-09to2014-15- Sources,allocations,utilization
Nationalstudy
Primarycare
Deepdive:Bihar
Deepdive:UP
- 29states;2005-06to2013-14- Central&statesourcesof
funding
- 16states;2005-06to2013-14- Detailedanalysisofprimarycare
budget&expenditure- 2007-08to2013-14- Sources,allocations,utilization
- UP&Biharshowsignificantunderutilizationoffundsavailableforhealth,particularlyNHM
- Underutilizationofscarcehealthresourcesfurtherdiminisheshealthexpenditurelevels.
- Stateswithlowexpenditurelevelsalsosufferfromweakbudgetexecutioncapacity.
Leadingtothekeyquestion…Whatarethefactorsthatenableorinhibitstatesfromutilizingavailablefunds?
Emergingconcerns
Deepdives:3states- 2012-13to2014-15- Kerala,Maharashtra&Rajasthan- Factorscontributingtohighbudgetutilization
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Keyquestionsforthedeepdive…
PerformanceofKerala,MaharashtraandRajasthan
Budgetexecution
What policyfactorsenablebetterbudgetexecution?
Policyfactors
Whatoperational/processfactorsfacilitatebetterexecution?
Operational/processfactors
Whatleadershiptraitsorgovernancefactorsenablebetterexecution?
Leadership&governance factors
Specificallywhattypeofcapacitiesarebetterandatwhatlevelsthatfacilitatebetterexecution?
Human capacityfactors
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2012-13to2014-15
- PEFA2016Framework- Budget,expenditureanalysis- Qualitativeinterviews
Understandingreasonsforbetterutilizationoffunds
Treasury&NHM
Ernakulum&Kozhikode:KeralaPune&Nagpur:Maharashtra
SriGanganagr&Tonk:Rajasthan
Approachforthedeepdive
Consistentlyhighutilizationrates(underthetreasury&NHMroutes)
Rajasthan
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Conveniencesampling:Stateswereselectedbasedontheirpopulationandgeographicalattributesinadditiontotheir(high)budgetutilizationratesDistrictswerechoseninconsultationwiththestateofficials
PublicExpenditureandFinancialAccountability(PEFA)Framework2016indicatorswereadaptedtodevelopachecklistforqualitativeinterviews.PEFAisrestrictiveandexaminesonlyfromaPFMperspective,theauthorshadtoadapttheframeworktocapturespecificnuancesofthehealthsystem.
Responsebias(governmentofficials)
Processesweredocumentedbasedonresponsesreceivedfromstate&districtofficials.Thisstudydoesnotfocusontheeffectivenessofprocessesdocumented.
Limitations
Limitations
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Frameworkforthedeepdive
- Aggregateexpenditureoutturn
- Auditcoverage- Timeliness- Actiontakenon auditreports
- Predictability ofin-yearresourceallocation- Procurement- Payrollcontrol- Internalcontrolonnon-salaryexpenditureIndicatornotused
- Budgetclassification- Allocatingtransfers- Timelinessoftransfers- Performanceevaluation
- Mediumtermexp. estimate- Mediumtermexp.ceiling- Alignment ofplan&budget- Budgetpreparationprocess
- Financialdataintegrity- Financialreports
AdaptedthePEFA2016Framework(PublicExpenditureandFinancialAccountabilityFramework,2016)
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Context, RTM Framework1
Key questions, approach, framework for the deep dive2
Fiscal attributes, health financing attributes3
Current practices: Looking for answers to key questions4
Examples of current practices yielding better results
Comparison to Bihar & Uttar Pradesh
5
6
Whatfollows…
Recommendations7
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Fiscalattributes:Inter-statecomparison
MaharashtraRs130,525
KeralaRs113,114
RajasthanRs74,008
UttarPradeshRs41,530
BiharRs34,267
01 Kerala8.07%
02 UttarPradesh7.72%
Maharashtra7.19%
04 Rajasthan6.47%
05 Bihar5.81%
01 Bihar3.7times
Rajasthan3.2times
03 Maharashtra2.8times
04 Kerala2.7times
05 UttarPradesh2.5times
PerCapitaIncome:2013-14
State’sOwnTaxtoGSDPratio:2013-14
PerCapitaIncomeGrowth:2005-06to2013-14
01
02
03
04
05
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Fiscalattributes:Inter-statecomparison
- Despitehigheconomicgrowthrate,Biharappearstobemostdependentoncentralsupport(69%oftotalrevenuereceipt).
- Maharashtra– leastdependent(20%)
Central support dependency (2013-14)as a share of total revenue receipt
51%
15% 11% 25%
37%
18%
8% 9%
12%
13%
0% 10% 20% 30% 40% 50% 60% 70% 80%
Bihar Kerala Maharashtra Rajasthan UttarPradesh
ShareinCentraltaxes CentralGrants
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Healthfinancingattributes:Inter-statecomparison
- Bihar:onlystate,amongthe5studied,withshareofhealthspendingdecliningin7years.
- InricherstateslikeKeralaandMaharashtrathegovt.spendslessthan1%ofitsGDPonhealth
- UP:Nochangebetween2005-6&2013-14;thoughitpeakedat1.39%in2006-07
Total Government Health Expenditure (TGHE) as a share of GSDP:Comparing 2013-14 with 2005-06 levels
1.34%
0.74%
0.47%
0.88%
1.13% 0.99% 0.99%
0.55%
1.06% 1.13%
Bihar Kerala Maharashtra Rajasthan UttarPradesh
2005-06 2013-14
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Healthfinancingattributes:Inter-statecomparison
- Bihar&UP:TGHEasashareoftotalstateexpenditurehasdeclinedin7years.
- Kerala,MaharashtraandRajasthan:SignificantincreaseinTGHEshare
TGHE as a share of Total State Government Expenditure:Comparing 2013-14 with 2005-06 levels
5.11% 5.20%
3.49%
4.80%
6.20%
4.40%
6.42%
4.73%
6.14% 5.34%
Bihar Kerala Maharashtra Rajasthan UttarPradesh
2005-06 2013-14
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Healthfinancingattributes:Inter-statecomparison
KERALA (Rs 1122)01
RAJASTHAN (Rs 788)02
MAHARASHTRA (Rs 714)03
UTTAR PRADESH (Rs 461)04
BIHAR (Rs 339)05Real: Rs 200
Real growth: 75%
Real: Rs 248Real Growth: 42%
Real: 424Real Growth: 99%
Real: 392Real Growth: 99%
Real: Rs 641Real growth: 117% TGHE per capita
Nominal (2013-14) & Real (@ 2004-05 prices) Real growth from 2004-05 to 2013-14
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Healthfinancingattributes:Inter-statecomparisonTGHE per capita growth rateBetween 2005-06 and 2013-14
175%
264%
224%
283%
149%
50%
117% 99% 99%
42%
Bihar Kerala Maharashtra Rajasthan UttarPradesh
Nominal Real
Rajasthan,KeralaandMaharashtraexperiencedasignificantlyhighergrowthrateinTGHEinthelasteightyearsbothinnominalandrealterms.
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- OverallgrowthoffinancingthroughNHMissignificantlyhigherthanthetreasuryroutefinancing.
- UP andMaharashtraregisteradeclineinNHMfinancingin2013-14(overthepreviousyear).
Treasury & NHM financing growth rates (nominal)
154% 264% 233%
295% 193%
720%
556% 685%
624%
444%
Bihar Kerala Maharashtra Rajasthan UttarPradesh
Healthexpendituregrowthratebetween2005-06and2013-14
Treasury NHM
7%
12% 15%
22%
7%
13%
7%
-2%
23%
-7%
Bihar Kerala Maharashtra Rajasthan UttarPradesh
Growthratebetween2012-13and2013-14
Treasury NHM
Healthfinancingattributes:Inter-statecomparison
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GPHCE as a share of TGHE
0%
10%
20%
30%
40%
50%
60%
70%
80%
2005-06 2006-07 2007-08 2008-09 2009-10 2010-11 2011-12 2012-13 2013-14
Bihar Kerala Maharashtra Rajasthan UttarPradesh
- DespitethehighproportionofGovt.PrimaryHealthCareExp.(GPHCE)asashareofTGHE,inabsolutetermstheamountsareverymeagerforaqualityprimarycarepackage.
- AsashareofTGHEKeralaisconsistentlythelowest. Butpercapitaprimarycareexpenditureisthehighest.
2013-14 Bihar Kerala Maharashtra Rajasthan UttarPradesh
ShareofTGHE 65% 38% 56% 61% 58%
Percapita GPHCE Rs222 Rs431 Rs360 Rs480 Rs274
Healthfinancingattributes:Inter-statecomparison
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…fromfiscalandhealthfinancingattributesofthe3statesweobserve...
• Highpercapitaincomeandlowerdependencyoncentralsupport.
• Highpercapitagovernmenthealthexpenditureonhealth.
• Highlevelsofexpenditureonhealthisnecessarybutnotadequateconditionforhealthoutcomes.
• Factorslikequalityofimplementation,effectivenessofinvestments,andleadershipplayasignificantroleinimprovinghealthoutcomes.
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…healthoutcomes
StatesInstitutionalDelivery* Immunization* MMR^
2005-06 2015-16 2005-06 2015-16 2004-06 2011-13
India 38.7 67.5 43.5 62 254 167
Bihar 19.9 63.8 32.8 61.7 312 208
Kerala 99.3 99.9 75.3 82.1 95 61
Maharashtra 64.6 90.3 58.8 56.3 130 68
Rajasthan 29.6 84 26.5 54.8 388 244
UttarPradesh 20.6 67.8 23 51.1 440 285
Source:*NFHS&^SRS
74% 43% 34%
221%
88%
33% 1% 9%
36% 40% 4%
48%
184%
107%
37%
229%
122%
35%
IncreaseinInstitutionalDelivery(between2005-06&
2015-16)
IncreaseinImmunization(between2005-06&2015-16)
ReductioninMMR(between2004-06&2011-13)
Changeinkeyindicatorsovertime
India Bihar Kerala Maharashtra Rajasthan UttarPradesh
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Context, RTM framework1
Key questions, approach, framework for the deep dive2
Fiscal Attributes, Health Financing Attributes3
Current practices: Looking for answers to key questions4
Examples of current practices yielding better results
Comparison to Bihar & Uttar Pradesh
5
6
Whatfollows…
Conclusion & recommendations7
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Keyquestionsforthedeepdive…
PerformanceofKerala,MaharashtraandRajasthan
Budgetexecution
Whatpolicyfactorsenablebetterexecution?
Policyfactors
Whatoperational/processfactorsfacilitatebetterexecution?
Operational/processfactors
Whatleadershiptraitsorgovernancefactorsenablebetterexecution?
Leadership&governance factors
Specificallywhattypeofcapacitiesarebetterandatwhatlevelsthatfacilitatebetterexecution?
Human capacityfactors
![Page 24: Factors that contribute to high health budget execution ABC · 9/1/2017 · Comparison to Bihar & Uttar Pradesh 5 6 ... - PEFA 2016 Framework - Budget, expenditure analysis - Qualitative](https://reader033.vdocuments.us/reader033/viewer/2022050312/5f748f3009e8451ace799c3c/html5/thumbnails/24.jpg)
BudgetExecution
- Averagebudgetutilizationof>90%forallstates,exceptBihar.
- Bihar:decliningtrend:71%in2013-14
Budget utilization (Treasury route)
82%
95% 94% 95% 90%
0%
20%
40%
60%
80%
100%
120%
Bihar Kerala Maharashtra Rajasthan UttarPradesh
2005-06 2006-07 2007-08 2008-09 2009-10
2010-11 2011-12 2012-13 2013-14 StateAverage
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- Kerala,MaharashtraandRajasthanutilizeNHMbudgetinitsentirety.
- BiharandUPsufferfromarangeofissuesthataffectbudgetutilization– primarilyattheStateHealthSocieties
NHM utilization
67%
110%94%
75% 77%76%
113%98%
82% 84%
106%
77%91%
98%
Bihar Kerala Maharashtra Rajasthan UttarPradesh
AgainstapprovedNHMbudget
2012-13 2013-14 2014-15
41%
97% 99% 106%78%
50%
143%
95% 87%
47%
99% 98% 95%
61%
Bihar Kerala Maharashtra Rajasthan UttarPradesh
AgainsttotalavailableNHMfunds(includingopeningbalance&interestearned)
2012-13 2013-14 2014-15
BudgetExecution
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Keyquestionsforthedeepdive…
PerformanceofKerala,MaharashtraandRajasthan
Budgetexecution
What policyfactorsenablebetterexecution?
Policyfactors
Whatoperational/processfactorsfacilitatebetterexecution?
Operational/processfactors
Whatleadershiptraitsorgovernancefactorsenablebetterexecution?
Leadership&governance factors
Specificallywhattypeofcapacitiesarebetterandatwhatlevelsthatfacilitatebetterexecution?
Human capacityfactors
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Policyfactors• Existenceofpolicyframeworks– cleararticulationand
alignmentsofgoalsenablesfocusedplanning,realisticbudgetingandthereforebetterutilization.
• Politicalpriorityforhealth:50%ofallOTCA(OneTimeCentralAssistance)proposalsinKeralaarefromthehealthsector.
• Focusonsocialdeterminantsofhealth• PrioritytoMissionFlexiPool• Convergence:PRI– communityengagement
Someexamplesoflegislations&policies:- HealthPolicy2013(Kerala)– embeddedinSDGs- KeralaPublicProcurementAct,2014- KeralaPalliativeCarePolicy2008:everydistricthasaDistrictPalliativeCareCoordinator– GramPanchayatscontract
CommunityPalliativeCareNurses(trainedinpalliativecarefor3months).- RajasthanTransparencyinPublicProcurementAct,2012- MaharashtraStateDrugPolicy- Transferandpostingpolicies(Maharashtra)
- Thesefactorsleadtoneed-basedandrealistichealthplans.
- Appropriateinstitutionalandlegalframeworkimplementationandaccountability.
- Thereforeincreaseseffectivenessofinvestments.
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Keyquestionsforthedeepdive…
PerformanceofKerala,MaharashtraandRajasthan
Budgetexecution
What policyfactorsenablebetterexecution?
Policyfactors
Whatoperational/processfactorsfacilitatebetterexecution?
Operational/processfactors
Whatleadershiptraitsorgovernancefactorsenablebetterexecution?
Leadership&governance factors
Specificallywhattypeofcapacitiesarebetterandatwhatlevelsthatfacilitatebetterexecution?
Human capacityfactors
- Planning&budgeting- Fundflow- Monitoring- Procurement- Civilworks- Humanresource
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Operationalfactors:Planning&budgeting(NHM)• Strongplanningcapacityatall
levels,includingatthePHCandbelow(VHSNC).
• Predeterminedunitcostsofmostbudgetlines.
• GapsduetoresourceconstraintsinthestatebudgetfeedintotheNHMplanning.
• ActiveengagementofRogiKalyanSamities(HospitalCommittees)
• Stronglocalleadership(district&blocks)
At all levelsState
DistrictBlockPHC
GoI to StateState to Districts
Districts to Blocks
IntensiveSupport and
frequent Follow ups
At all levelsStrong PRI
leadership and engagement
PHC LevelBlock level
District levelState level
NegotiationsApprovals
01 02 03 04 05 06
Guidelines PlanningMeetings
Mentoring PRI engagement
Review&
Conso-lidate
Review&
Approvals
CRITICALSUCCESSFACTORSInKerala,RajasthanandMaharashtra
Greateranalyticalcapacityobservedatthedistrictleveltomakerealisticplansandbudgets.
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OperationalFactors:Planning&Budgeting(NHM)Factorsthatcausedelayedapproval:
• DelayedsubmissionofPIPsbystates• QualityofPIPandbudget– timerequired
fornegotiations/revisions
Ø 2012-13:nomajordifferencebetweenstates
Ø Thereafter,significantdelaysinUP&BiharascomparedtoKerala.
Ø Maharashtra&RajasthanarenotmajorlydifferentfromBihar&UP.
Note:Delaysin2014-15wereanaberrationduetonationalelectionheldinAprilandMay2014
0%
10%
20%
30%
40%
50%
60%
Kerala Maharashtra Rajasthan Bihar UttarPradesh
Implem
entatio
ntim
eelapsed
DelaysinNHMPIPApproval
2012-13 2013-14 2014-15 2015-16 2016-17
no.ofdaysbetweenstartoffinancialyearandthedateofplanapproval
365days
Implementationtimeelapsed =
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OperationalFactors:Planning&Budgeting(Treasury)
01K E R A L A
- TemplatesforPlanproposals- HospitalCommitteesundertakesituationassessmentsofsocialdeterminantsofhealthanddrawa
VillageHealthMapanddesignspecificprojectsbasedonspecificissues.- 2DepartmentWorkingGroupsforbudgetapprovalandnegotiation.UptoRs.5Croreschairedby
ACSHealth&aboveRs.5Crores,chairedbyACSFinance
02MAH A R A S H T R A
- Stateofficialsvisitselecteddistrictstoholdconsultationmeetingsforinputs.- Needsemergingfrommonthlyandquarterlyreviewmeetingsareinventorised.- DeputyDirector’sofficeattheCircleLevel(statedividedinto8administrativecirclesfor
administrationofthefunctionsofthehealthdepartment)provideclosersupport- LiaisonofficerdedicatedtomanagetherelationshipwithCenter,forpromptaction/followup
03R A J A S T H A N
- SeparateBudgetFinanceCommittees(BFC)forPlanandNon-Planbudgetreview.- BFCforPlanhasanadditionalmemberfromthePlanningDepartment.
- Stronginstitutionalstructures&mechanisms
- BudgetpreparationinstructionsissuedbytheDept.ofFinance
- Strongfamiliaritywiththeguidelinesarelowerlevels
- ExtensiveuseofITapplicationsandsoftwareformanagingallocationsinall3states.
- Maharashtra:BEAMS(BudgetEstimation,AllocationandMonitoringSystem)–forauthorizingexpenditureandmonitoring.
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OperationalFactors:Planning&Budgeting(Treasury)
Maharashtra,Kerala,andRajasthanhavehighbudgetcredibilitycalculatedbyadaptingtherelevantPEFA2016indicators
4.003.67
3.33
- 0.501.001.502.002.503.003.504.004.50
ExpenditureOut-turn:Average3-year(2011-12to2013-14)aggregatescore
ExpenditureOut-turn=Expenditure(Actuals)asashareofBudgetEstimate
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Keyquestionsforthedeepdive…
PerformanceofKerala,MaharashtraandRajasthan
Budgetexecution
What policyfactorsenablebetterexecution?
Policyfactors
Whatoperational/processfactorsfacilitatebetterexecution?
Operational/processfactors
Whatleadershiptraitsorgovernancefactorsenablebetterexecution?
Leadership&governance factors
Specificallywhattypeofcapacitiesarebetterandatwhatlevelsthatfacilitatebetterexecution?
Human capacityfactors
- Planning&budgeting- Fundflow- Monitoring- Procurement- Civilworks- Humanresource
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- All3studystateshaveensureduniformavailabilityoffundstodistrictsacrossallquartersexceptKeralain2012-13.
- KeralaNHMborrowsfundsfromthestatepooltoensureuninterruptedfundsfordistricts
Prompt availability of NHM funds to districts ensures timely utilization.
OperationalFactors:Fundflowdecisionsandtimeliness
- TimelyreleaseofStateshareinKerala&Rajasthan
- Maharashtra:delaysinreleaseofstateshare;butbettersystemtoexpediteimplementation
17% 17% 15% 19%
48%
11% 18% 23% 22%
20% 42%
33% 42%
0%
8%
25% 37%
26% 0%
16% 31% 20%
21%
28%
27% 15%
24% 63%
25% 21% 19% 31%
54% 30% 25% 27%
0%
20%
40%
60%
80%
100%
120%
2012-13 2013-14 2014-15 2012-13 2013-14 2014-15 2012-13 2013-14 2014-15
Kerala Maharashtra Rajasthan
QuarterwisesharesofNHMfundtransferfromstatetodistricts
Quarter1 Quarter2 Quarter3 Quarter4
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- Kerala,Maharashtra&RajasthantransfermostoftheMFPfundstodistrictsbeforethestartofquarter1(exceptKeralain2012-13andMaharashtrain2014-15)
Mission Flexi Pool is prioritized in 3 states unlike UP and Bihar.
OperationalFactors:Fundflowdecisionsandtimeliness
0% 10% 20% 30% 40%
Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q42012-13
2013-14
2014-15
RAJASTHAN:NHMfundtransfertodistricts
ShareofTotalTransfers ShareofMFPTransfers
0% 20% 40% 60% 80%
Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q42012-13
2013-14
2014-15
KERALA:NHMfundtransfertodistricts
ShareofTotalTransfers ShareofMFPTransfers
0% 20% 40%
60%
80%
Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q42012-13
2013-14
2014-15
MAHARASHTRA:NHMfundtransfertodistricts
ShareofTotalTransfers ShareofMFPTransfers
Rajasthan:includingInfrastructure&Maintenance)I&MfundsKerala&Maharashtra:excludingI&Mfunds
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Keyquestionsforthedeepdive…
PerformanceofKerala,MaharashtraandRajasthan
Budgetexecution
What policyfactorsenablebetterexecution?
Policyfactors
Whatoperational/processfactorsfacilitatebetterexecution?
Operational/processfactors
Whatleadershiptraitsorgovernancefactorsenablebetterexecution?
Leadership&governance factors
Specificallywhattypeofcapacitiesarebetterandatwhatlevelsthatfacilitatebetterexecution?
Human capacityfactors
- Planning&budgeting- Fundflow- Monitoring- Procurement- Civilworks- Humanresource
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OperationalFactors: BudgetexecutionandmonitoringKERALA• Strongmonitoringsystemsensuringhighleveloftransparency.
• Focusontrackingresults,notexpenditure:monitoringvisitsfocusmoreontrackingresultsagainsttargets.
• E-monitoringthrough“PLANSPACE-Kerala”,aweb-basedinformationsystemforconcurrentmonitoringandevaluationofPlanSchemes.Expenditurestatementsaresentmonthly/quarterlyfromDrawingandDisbursingOfficertofinanceunit.Reconciliationisdoneonceaquarter.
• BudgetAllocationMonitoringSystem(BAMS)isusedbothbyHealthandFinancedepartmentstomonitorbudgets.Programreviewsfollowaschedule– typically– betweenAugustandDecember,oncein2months.Jan– Marchoncein2weeks.
• ACentralPlanMonitoringUnitisestablishedatDeptofFinancetooverseeexpendituresfromeachdepartmentonamonthlybasis.
• Re-appropriationisnotcumbersomeparticularlyfornon-planexpenditures.
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OperationalFactors: Budgetexecutionandmonitoring
KERALA
• StandingCommittees(electedrepresentatives)forHealthinGramPanchayats- veryactiveandstrong– WorkingCommitteeforhealthwithrepresentativesfromWards
• Strengtheningonehospitalineachdistrictwithsupportfromdecentralizedplan.MasterPlanswerepreparedandordersissuedtoKMSCLtoengagearchitectandhospitalconsultanttodevelopMasterPlanforeachhospital,costsofwhichwillbemetfromtheHospitalDevelopmentSociety/RSBY.
• Demandgenerationactivitiescreatepressureonthesupplysidetodeliverhighqualityservices(example,‘RadioHealth’projects– 2008:messagingaboutNRHMthroughFMandAMradio– forpromotinghealthliteracy;BrandingofNHMinKerala:Arogya Keralam Aishwarya Keralam)
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OperationalFactors: Budgetexecutionandmonitoring
KERALA
• Equipmentmaintenanceoutsourced
• Realtimeonlinemonitoring/tracking
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OperationalFactors: BudgetexecutionandmonitoringMAHARASHTRA
• CommunitybasedmonitoringineachdistrictinvolvingNGOs(pictorialtoolsforcommunitymonitoring,publichearings,etc.)
• Extensiveuseoftechnology- videoconferencing,budgetplanningandmonitoring;payrolletc.
• GovernmentReceiptAccountingSystem(GRAS):https://gras.mahakosh.gov.in/echallan/ -:ensuresrealtimereconciliationandtrackingofavailablebudgets.Ithasreducedthetransactiontimefromabout10daystoapproximately1-2days.
• ExpenditureiscontrolledthroughreconciliationofpaymentslipsgeneratedbytheDDOswiththerecordsofanotherapplicationcalledtheTreasuryNet,managedbythePay&AccountsOffice.InternalapplicationusedonlybytheTreasury.
• Hightransparency– allsuchapplicationscontrolledbyDepartmentofFinance.
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OperationalFactors: Budgetexecutionandmonitoring
MAHARASHTRA:• SEVAARTH:https://sevaarth.mahakosh.gov.in/login.jsp ,anonlineplatformforpersonnel(including
personnelrecords)salaryandpensionmanagement.Payrollismanagedandtrackedthroughthisplatform.ThisislinkedtoBEAMS.
• ForServicebookverification:VETANIKAhttps://vetanika.mahakosh.gov.in/pay/ :linkedwithSEVARTH
• Finally,anotherapplicationKOSHWAHINIhttps://koshwahini.mahakosh.gov.in/kosh/kosh/ providesacompletefinancialMISwherereportsareavailable.Thesereportscanbeaccesseddepartmentwise,majorheadwise,districtwise,DDOwiseandagainstmanyotherparametersforanyspecifiedtimeperiod.
• WrittenmonthlyfeedbacktoallTalukasanddistrictlevelprogramofficersonphysicalandfinancialprogress.Specialmeetingscalledifutilizationisfoundtobelow.
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OperationalFactors: Budgetexecutionandmonitoring
MAHARASHTRA:
• BudgetutilizationandreallocationsaretrackedandeffectedthroughBEAMSinrealtime.Thesystemallowscomprehensiveandgranularexpenditureoverview.
• Intricatewebofthesee-applicationsareseamlesslyinterlinkedwitheachotherandprovidecomprehensiveinternalcontrolfortrackingexpenditure,reconciliationandduediligencepriortoreleaseofpayments.
• WeeklyvideoconferencingwithalldistrictCivilSurgeonsandDistrictHealthOfficersandotherofficials.
• GrievanceRedressalCommitteesetupatthestatelevelin2009forbeneficiariesandinternalstaff.Allgrievancesaretrackedandfolloweduptoconclusion.Departmenthasinitiatedinquiriesagainst29complaints.
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OperationalFactors: Budgetexecutionandmonitoring
MAHARASHTRA:
• Reviewmeetingswithalldistrictofficials:Monthlyinthefirstquarterandthenquarterly– intensivelineitemwisemonitoringofexpensesandutilizationlevels.
• DetailedreviewofexpenditurelevelsinFebruaryeachyear– fundsinobjectcodeswithlessutilizationaretransferredtothoseCodeswherefundsaremorelikelytobespent.
• SuchreappropriationswithinthesameSchemeandacrossSchemeswithinthesameMajor(Budget)CodecanbedonewithintheDepartment.
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OperationalFactors: Budgetexecutionandmonitoring
Maharashtra:MonitoringutilizationofVHSNCfunds
• Almost80%oftheVHSNCsorganizeregularmonthlymeetings.MeetingsaremonitoredbytheBlockDevelopmentOfficer/ChildDevelopmentProjectOfficerattheBlockLevelandtheDeputyCEOoftheGramPanchayat.
• BDOcallsformonthlyreviewmeetingsofallAanganwaadi Workers(AWW)undertheICDSprogram.SameplatformisusedforreviewingthefunctioningoftheVHSNCs– theDistrictASHA/RKScoordinatorsattendthesemeetings.TheTHO(TalukaHealthOfficer)alsoparticipateinsuchreviewmeetings.
• AWWtakestheVHSNC(VillageHealthSanitationandNutritionCommittees)expenditureregistertothePHCduringhermonthlymeetings.TheexpenditureregisterisreviewedandVHSNCexpenditurerecordsareenteredintothesystematthePHCforaggregationandfurtherupwardreporting.
• Thereareinstancesofcoordination/politicalproblemsbetweentheSarpanchandAWW(AWWshaveaUnioninMaharashtra).AllsuchissuesareresolvedthroughtheinterventionoftheCEOoftheZillaParishadandtheBDOwhereverrequired.
• MonthlymeetingsofdistrictRKSCoordinatorsaretrackedattheDistrictlevel.• Reportedlyabout70%oftheVHSNCssubmittheirmonthlyexpenditurereportsintime.
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OperationalFactors: Budgetexecutionandmonitoring
Maharashtra:MonitoringUtilizationofAMG/RKSFunds
• Regularmeetingsofthegoverningbody&executivecommitteeoftheHospitalcommittees
• ThesemeetingsaremonitoredbytheRKSCoordinatoratthedistrictlevelandalsobythestatelevelfunctionaries
• OfficialwrittenremindersaresenttotheRKSiffoundlagginginmeetingschedules.
• ExpenditureplanispreparedforeachRKSandapprovedbytheGBoftheRKS.
• AMGprovidedonlytothoseinstitutionswhichareingovernmentownedbuildings.
• UntiedfundexpenditureisanalyzedbasedonmonthlyexpenditurerecordsofeachRKS.FeedbackonexpenditureandutilizationtrendsisprovidedfromtheStatethroughwritteninstructiontotheRKSthroughappropriatechannels.
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OperationalFactors: BudgetexecutionandmonitoringRAJASTHAN:• ExtensiveuseofITapplications
• Paymentplatformusedformonitoringperformance(ASHASoft)
• Useofvideoconferencingatalllevels
• Useofsocialmedia(Whatsappgroup):cadrespecificgroups– usedforsendingreminders,notifications,followups– hassignificantlyimprovedcompliancetoreportingdeadlines.
• Sectorapproachtomonitoring- geographicalresponsibilitiesassigned– monthlyfieldvisitplans
• Strongaccountabilitymeasures.Thereare(a)instancesofstafftransfers,suspensions,enquiriesasperRajasthanServiceRules;(b)writtenreminderoftheCEOoftheZillaParishad/DistrictMagistrateiftheDistrictHealthSocietymeetingsarenotheldintime, (c)stoppingofincrements,etc.
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OperationalFactors: Budgetexecutionandmonitoring
RAJASTHAN
• ITapplicationformonitoringimplementationofPre-ConceptionandPre-NatalDiagnosticTechniques(PCPNDT) Act
activetrackeronsonographymachines,GPSonnewmachines– separateCourtsforhearingofallcasesinalldistricts,regularinspections,allsonographycentersareregisteredonlinethroughtheIMPACTsoftware:launchedin2012
• PregnancyChildTrackingandHealthServicesManagementSystem(PCTS)
• ASHASoft:onlinesystemforcapturingbeneficiarywisedetailsofservicesgivenbyASHAs– onlinepaymentofASHAs,calculationofincentives,strengtheningmonitoringandmanagementofphysicalandfinancialprogress.
ResultedinconsistentpredictableincomeforASHAs– thathasfacilitatedasenseofsecurityandcommitment/motivation.
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OperationalFactors: Budgetexecutionandmonitoring
RAJASTHAN
• SaghanNirikshanAbhiyan(translation:IntensiveMonitoringMission):toidentifygapsinhealthservicesathealthinstitutions.Thisinitiativegivesaccesstoinformationanytimeandisusedformonitoringandplanning.Mobileappwheredatacanbeenteredduringthefieldassessment(inrealtime).
• E-upkaran:comprehensivesoftwareforinventorymanagementandmaintenanceservicesofequipment–thisallowsforcentralizedequipmentinventorymanagement,equipmentdetails(commissioning,decommissioning,vendordetails,AMC,etc.).Italsohasanequipmentcomplaintmoduleandequipmentusagemodule(updatedailyusage– totaltestsdonebytheequipment).Ensuresrationalizationofequipment/instruments/others,withinandbetweendistricts
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OperationalFactors: Budgetexecutionandmonitoring
RAJASTHAN
• Arogya OnlineProjectaninitiativetoautomatehospitalstoimprovethepatientcare - electronicmanagementofhealthinformationtodeliversafer,moreefficient,betterqualityhealthcare- facilitateselectronicclinicalrecordkeeping.
The‘Arogya Online’streamlineswork-flowoperations,resourceutilizationandmanagementtoimprovehospitaladministration,enhancesthequalityofpatientcare,createsplatformforinformationexchangeandendtoendsupplychainmanagement.
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PerformanceofKerala,MaharashtraandRajasthan
Budgetexecution
Whatpolicyfactors enablebetterexecution?
Policyfactors
Whatoperational/processfactorsfacilitatebetterexecution?
Operational/processfactors
Whatleadershiptraitsorgovernancefactorsenablebetterexecution?
Leadership&governance factors
Specificallywhattypeofcapacitiesarebetterandatwhatlevelbetterexecution?
InstitutionalandHuman capacityfactors
- Planning&budgeting- Fundflow- Monitoring- Procurement- Civilworks- Humanresource
Keyquestionsforthedeepdive…
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OperationalFactors: BudgetexecutionandmonitoringProcurementofmedicinesandmonitoringutilization
• KeralaMedicalServicesCorporation– KMSC(setupin2008)&RajasthanMedicalServicesCorporation– RMSC(setupin2011)
• CentralizedsystemforprocurementofdrugsandequipmentinKeralaandRajasthan.• StrongboardrepresentedbyseniormostofficialsintheDepartmentinbothKeralaandRajasthan.• Entiretenderingprocessisone-platform;inventorylevelsandsupplychainismonitoredonline• CompleteautonomytotheManagingDirectors.• KMSChassetupitsownrevenuegeneratingprojects– attimesduetoshortageoffundsfromthestatebudget,KMSCuses
itsownfundstopurchasetherequiredquantitiesofdrugsforthestateandseeksreimbursementfromthestatebudget.
States Averagetimeforprocurement (Medicines)
Averagetimeforprocurement(Equipment)
Kerala 120– 150days 75 days
Maharashtra 120– 180days 120– 180days
Rajasthan 120daysforfreshtender60days(ifRateContract)
120daysforfreshtender60days(ifRateContract)
DelayinsupplyofdrugsinBihar:- Madhubanidistrict:418days
- Gayadistrict:337daysAverageprocurementtimeinUP:
- Medicines:149days- Equipment:205days
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OperationalFactors: Budgetexecutionandmonitoring
Procurementofmedicinesandmonitoringutilization:KeralaResults
Inthelast9years:
• AllottedasashareofbudgetproposedbyKMSC:66%• Fundreleasedasashareofallottedamount:85%• Procuredasashareoffundsreleased:123%
72 64 58 58 57 59 59
82 8273100 100 100 100 100
68 75 71
132115 107 102
155127
149129
93
2008-09 2009-10 2010-11 2011-12 2012-13 2013-14 2014-15 2015-16 2016-17
KMSCLFinancessinceinception(inpercentage)
Allottedasa%ofbudgetproposedFundsreleasedasa%ofbudgetallottedValueofdrugsprocuredasa%offundsreleased
§ Fundreleasedasashareofallottedamountreducinginrecentyears.
§ KMSChasplayedasignificantroleinensuringavailabilityofdrugsinthestate.
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OperationalFactors: Budgetexecutionandmonitoring
Procurementofmedicinesandmonitoringutilization:RajasthanResults
• ChiefMinister’sFreeMedicineScheme:freetoallwithoutanyidentification– enableseasyaccess– October2011
• SteepincreaseinpercapitaexpenditureonmedicinesinRajasthansincetheincorporationofRMSCL.
• Drugwarehouseateachdistrict.
• Empanelledlaboratoriesforqualitytestingofdrugs
• E-aushadhi forinventorymanagement
• Medicinesaresuppliedtothedistrictwarehouse– pooled&thetransportedtofacilities.
• ComputerizeddrugdispensinguptoPHClevel
• Transparentpaymentsystem
1612 11 13
6
15
30
49
2000-01 2006-07 2007-08 2008-09 2010-11 2011-12 2012-13 2013-14
PercapitapublicspendingonmedicinesinRajasthan(inRupees)
Source:http://www.searo.who.int/india/publications/rajasthan_report_2015_part4.pdf?ua=1
Drugs&TherapeuticCommittee– PrescriptionAudit(1%ofallOPD&IPDprescriptionsonamonthlybasis)
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PerformanceofKerala,MaharashtraandRajasthan
Budgetexecution
What policyfactorsenablebetterexecution?
Policyfactors
Whatoperational/processfactorsfacilitatebetterexecution?
Operational/processfactors
Whatleadershiptraitsorgovernancefactorsenablebetterexecution?
Leadership&governance factors
Specificallywhattypeofcapacitiesarebetterandatwhatlevelsthatfacilitatebetterexecution?
Human capacityfactors
- Planning&budgeting- Fundflow- Monitoring- Procurement- Civilworks- Humanresource
Keyquestionsforthedeepdive…
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OperationalFactors: Budgetexecutionandmonitoring
CivilWorks:MaharashtraINFRASTRUCTUREDEVELOPMENTWING(IDW) AdequatestaffingofIDW:
• HeadedbyaSuperintendentEngineer(ondeputationfromthePWD)
• OneExecutiveEngineer,oneDeputyEngineer,twoJuniorEngineersand3ProgramAssistants.
• OneExecutiveEngineerineachofthe8(administrative)Circlesinthestate.
• OneDivisionalEngineerforapproximatelyevery4districts.
• OneDeputyEngineerineachdistrict.
a. PWDunitwithintheZillaParishadsresponsibleforconstructionworksforabout13departments– excessivedelaysinexecution.
b. IDWwassetuptoexpediteconstructionworksundertheNHM.
c. ItbeganwithmajorandminorcivilworksundertheDistrictHealthOfficer(allSCandPHCs)– allworksuptoRs50lakhs
d. In2015-6agovernmentorderwasissuedforhandlingoverallallconstructionworksforCHCsandDHstotheIDW.
e. AllnewconstructionundertakenbyIDWandthenthefacilityishandedovertothePWDforongoingmaintenance.
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OperationalFactors: Budgetexecutionandmonitoring
CivilWorks:MaharashtraINFRASTRUCTUREDEVELOPMENTWING
• EstimatesofallworksareincludedintheNHMplans.
• Forbudgeting,PWDScheduleofRatesascurrentlyapplicableareused.
• Alltendersareissuedthroughe-tenderportalattheCirclelevelbytheExecutiveEngineer.
• Turnaroundtimeisdefinedforcompletingthetenderprocessfordifferentsizesofworks:25daysforworks>Rs2.5million,15daysforworksbetweenRs1.5millionandRs5million;and7daysforworks<Rs1.5million.
• Timelinesarealsodefinedfordifferentprocessespriortoissuanceofe-tender:preparingdetailedestimates:15days;technicalsanctions:15days;BOQ&tenderpreparation:7days
Source:IDWadministrativerecords,SHS,Maharashtra
33%
99% 98%
76% 81%
100% 99%
71%
2007-08 2008-09 2009-10 2010-11 2011-12 2012-13 2013-14 2014-15
UtilisationoffundsbytheInfrastructureDevelopmentWing,NHM,Maharashtra
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OperationalFactors: Budgetexecutionandmonitoring
CivilWorks:Rajasthan
DedicatedcellwithintheDepartmentforCivilWorks:withapproximately15staffdeputedfromthePWD,focusingexclusivelyonhealthdepartmentcivilconstructionprojectmanagementandimplementation.
Steepincreaseovertheyearsinbudgetutilizationofthisexpenditureline.
49%
64% 60%
76%
2012-13 2013-14 2014-15 2015-16
UtilizationagainstbudgetforthelineNewconstruction/renovationandsettingup(NHM)
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PerformanceofKerala,MaharashtraandRajasthan
Budgetexecution
Whatpolicyfactorsenablebetterexecution?
Policyfactors
Whatoperational/processfactorsfacilitatebetterexecution?
Operational/processfactors
Whatleadershiptraitsorgovernancefactorsenablebetterexecution?
Leadership&governance factors
Specificallywhattypeofcapacitiesarebetterandatwhatlevelsthatfacilitatebetterexecution?
InstitutionalandHuman capacityfactors
- Planning&budgeting- Fundflow- Execution&monitoring- Procurement- Civilworks- Humanresource
Keyquestionsforthedeepdive…
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OperationalFactors: BudgetexecutionandmonitoringHRrecruitmentandmanagement:KERALA
• MedicalRecruitmentBoard– underconsideration• WelldocumentedHRpolicyforNHM• ModelagreementwithcontractualworkersarestandardandbasedontheKeralaServiceRules–
whichensuresstandardizationandtransparency.• Financedepartmentalsohasaccesstopayrollandpersonnelmanagementdatabase.• AnnualpayrollauditsareconductedbyAGtoensuretransparency– noghostworkers• Cadrewisemonthlyreview• ServiceandPayrollAdministrationRepository(SPAR)forKeralaisadatabaseonallservicematters.• ConfidentialReportandPerformanceAppraisalisnotincluded.• UnionofASHAs;actionagainstnon-performingASHAs• RecenteffortofmodifyingthejobdescriptionofANMstoincludenon-communicabledisease
relatedservices.
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OperationalFactors: BudgetexecutionandmonitoringHRrecruitmentandmanagement:MAHARASHTRA
• Twostructuresatthedistrictlevel:DistrictHealthOfficermanagesthePublicHealthSystemandtheclinical/hospitalsideismanagedbytheCivilSurgeon.
• PublichealthstreamisintegratedwiththeZillaParishadandlocalselfgovernment.
• Around2009recruitmentofdoctorswasshiftedfromMaharashtraPublicServiceCommission(MPSC)toMaharashtraKnowledgeCorporationLimited(MKCL).RecruitmentsthroughMKCLnowtakeabout2– 3monthsasagainst2yearstakenbytheMPSC.Thishassignificantlyimprovedtheavailabilityofmedicalofficersacrossthestate.AsHRconstitutesalargeshareoftotalexpenditure,thiscontributestohighutilizationrates.
• Toaddressthegapofspecialists,in2009theGovernmentrecognizeddiplomasfromCollegeofPhysiciansandSurgeons(CPS)inMumbaitoconvertMBBSdoctorsintospecialists.Approximately1000MBBSdocsareworkingasspecialistsinMaharashtraholdingCPSdiplomas.
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PerformanceofKerala,MaharashtraandRajasthan
Budgetexecution
Whatpolicyfactorsenablebetterexecution?
Policyfactors
Whatoperational/processfactorsfacilitatebetterexecution?
Operational/processfactors
Whatleadershiptraitsorgovernancefactorsenablebetterexecution?
Leadership&governance factors
Specificallywhattypeofcapacitiesarebetterandatwhatlevelsthatfacilitatebetterexecution?
InstitutionalandHuman capacityfactors
Keyquestionsforthedeepdive…
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ElementsofLeadershipandGovernanceHighlevelsofpoliticalsupport but minimalinterference
Stability intenureatseniorpositions
Strong: withDepartmentsofFinance,Planning,PRI
Willingnesstoexperiment– takerisks
Monitoring results, not expenditure
At all levels
Effective devolution of powers
PoliticalSupport
Stability
Inter-departmentalcoordination
Culturetoinnovate
Focusontechnicalefficiency
Focusoncapacitybuilding
Strong localleadership
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Leadership&Governance
PoliticalLeadershipandSupport
• Strongpoliticalsupport,minimalinterference• VisiblespeciallyinKeralaandRajasthan• Proactiveinterestinsocialsectors
• Rajasthan:CMInformationSystem:monthlyreportsbyDepartments• GuardianMinisterinMaharashtra:eachdistrictisassignedtoaMinisterforoverseeingall
developmentactivities.• DevelopmentPlanningCommittee(DPC)ischairedbytheGuardianMinisteroftheDistrict.
GovernmentappointsoneGuardianMinistertoeachdistricttooverseeitsdevelopmentplansandrelatedaffairs.DPCorganizesdepartmentwisemeetings.
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Leadership&GovernanceStability• Stabilityintopleadershippositions:atthelevelsofAdditionalChiefSecretary,PrincipalSecretary,
MissionDirector,NHM• Allowsspaceforexperimentation
Interdepartmentalcoordination• Strongcoordinationbetweendepartmentsoffinance,PRIsandplanning:
(PuneZillaParishad:providedaboutRs70millionforhealthin2015-16andthisincreasedtoRs112millionin2016-17)
• StrongerlinkageswiththepanchayatatdistrictlevelvisibleinKeralaandMaharashtra
CulturetoInnovateThisspiritwasechoedbyofficersatthestate&districtlevelinKerala.
Promotionofaculturetoinnovate,andexperiment– drivenbytheleadership–PrincipalSecretaryandtheChiefMinisterareopentonewideasandhaveriskappetite:enablessecondlineofleadershiptoinnovate…
NHMMissionDirector,Rajasthan
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Leadership&GovernanceFocusontechnicalefficiency
• Reflectedinapproachtomonitoring• StrongerinRajasthanandKerala
Transparency:RajasthanisprobablytheonlystatewithmonthlyNHMFMRsuploaded,physicalandfinancialprogressreport(monthly)ofallcivilconstructionworksuploaded
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Leadership&Governance
Strong localleadership
••Willingtotakedecisions••Willingtotakerisks••Motivatedtoperform
Stronglocalleadership
• Dynamicandaggressiveleadershipatthedistrictlevel.
• Engagedleadershipobservedduringdiscussionswithofficialsinall6sampleddistricts.
• Factorsresponsible:
Supportive supervisionfromstateLeadership – nocultureofblamegame
Devolvedpowers&responsibilitiesMinimalinterferencefromthestate
Strong coordinationwiththeLocalSelfGovernment
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PerformanceofKerala,MaharashtraandRajasthan
Budgetexecution
Arethereanypolicyfactors thatenablebetterexecution?
Policyfactors
Arethereanyoperational/processfactorsthatenablebetterexecution?
Operational/processfactors
Arethereanyoperational/processfactorsthatenablebetterexecution?
Leadership&governance factors
Arethereanyhumancapacityfactorsthatenablebetterexecution?
InstitutionalandHuman capacityfactors
Keyquestionsforthedeepdive…
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Institutional&HumanCapacityFactorsKerala
- VoluntaryTechnicalworkingGroupssetupinKeralaondifferentissuestostrengthencapacityforstrategicthinkingandplanning.
- AllDistrictProgramManagers(DPM)aredoctorssecondedfromDHSwhichallowsforverygoodconvergence/alignmentofNHMandStateplans.GoodcoordinationbetweenDPM,DistrictMedicalOfficerandDistrictRCHOfficer.
- Governmentcancontractconsultantsonsanctionedgovernmentposts.
Rajasthan- PositionofBlockCMOscreated(2008).BlockCMOsaredifferentfromCHCin-charge,havefull
administrative&financialpowersandareresponsibleforcoordination&managementallpublichealthfunctionswithintheblock.Priorto2008,eachblockhadaDeputyCMOwithnoadministrativeandfinancialpowersandsupport.
- Around2013,thepostofAccountsOfficerwascreatedatthedistrictlevel(ondeputationfromRajasthanAccountsServices)intheDPMUnotonlyforaddingcapacitybutalsoforgreateroversightbythestate.
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Institutional&HumanCapacityFactorsMaharashtra
- DedicatedcellinPuneforallfollowupsandcoordinationwiththeNHMteamofGoIforensuringcompliancetoallrequirements,timesubmissionandtimelyreceiptoffunds
- OnlineHumanResourceManagementSystemsforNHM
- Wellestablishedpublichealthcadre
- DedicatedHRCellformanagingHRfunctions
- Forthepurposesofadministeringtheactivitiesofthehealthdepartment,thestateisdividedinto8Circles
- EachCirclehasanadministrativeunitheadedbyafullyempoweredDeputyDirectorHealthServicesformentoring,monitoringandoversight
- RecognizingcoursesoftheCollegeofPhysicians&Surgeonsforspecialists
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Context, RTM Framework1
Key questions, approach, framework for the deep dive2
Fiscal Attributes, Health financing attributes3
Current practices: Looking for answers to key questions4
Examples of current practices yielding better results
Comparison to Bihar & Uttar Pradesh
5
6
Whatfollows…
Conclusion and recommendations7
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ExamplesofcurrentpracticesyieldingbetterresultsRegularfundsavailabletodistrictsthroughouttheyear
• Inthelasttwoyearsmorethan50%ofthethetotalNHMfundsaretransferredtothedistrictsonlyinquarter4.
• HighallocativeprioritytoMFPfundsinKeralaandRajasthan.In2014-15:o DistrictsinKeralareceived88%offundsMFPwithin
Q3.o DistrictsinRajasthanreceived65%ofMFPfunds
withinQ3.
InUPsubstantialportionsofMFPfundsaretransferredonlyinthelastquarter.
40% 31%
42%
10% 26%
73%
12%
35%
64%
Kerala Rajasthan UttarPradesh
ShareofMissionFlexiPoolfundstransferredtodistrictsinquarter4
2012-13 2013-14 2014-15
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Kerala,Maharashtra&Rajasthan:betterabletoavailoftheflexibilityMFPaffords
• Kerala:morethan50%ofNHMbudgetisforMFP.Utilizationis80%in2015-16.
• Maharashtra:almosthalfofNHMbudgetisallocatedtoMFP.Hadhighutilization,increasinglyfacingliquidityproblems
• Rajasthan: allocations&utilizationgraduallyincreasing.
5565
5460
44 4134 40 44
36 34 33
58
34
77
63 55
9080
68
43
64 63
42 4740
23
53
2012
-13
2013
-14
2014
-15
2012
-13
2013
-14
2014
-15
2012
-13
2013
-14
2014
-15
2012
-13
2013
-14
2014
-15
2012
-13
2013
-14
2014
-15
Kerala Maharashtra Rajasthan Bihar UP
MissionFlexipoolBudgetShare&Utilisation(inpercentage)
BudgetShare Utilization
Bihar&UPLessMFPallocation,lowutilization
Examplesofcurrentpracticesyieldingbetterresults
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Spaceandabilitytoinnovate
Significantlyhighutilizationoffundsforinnovations(underMFPofNHM)inKerala&Maharashtra– stateswithstrongercoordinationwithPRIs
Willingnesstoexecutebudgetlinesthatneeddiscretion,localplanningandleadership.LimitedwillingnessinBiharandUP
142%
98%
19%
71%
100%
14% 23%
79% 68%
37%
Bihar Kerala Maharashtra Rajasthan
UtilisationofInnovationbudgetlineunderMFPinNHM
2012-13 2013-14 2014-15
UPFMRdoesnotincludeInnovationsbudgetline(B14)Bihar2012-13nobudgetRajasthan2012-13nobudget
Examplesofcurrentpracticesyieldingbetterresults
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ExamplesofInnovationsfundedunderNHM:
Kerala:
• Palliativecare• Genderbasedviolence• CommunityMentalhealth
program• RadioHealth• Schoolquizprogram• Settingupofdialysisunit• Doctor-on-call• Dialysisunits• RehabilitationofEndosulfan
(pesticide)victims
Maharashtra:
• HealthAdviceCallCenter(Tollfree:104)
• Telemedicine• Organisationofspecialist
medicalcampsthroughMedicalCollegesintribalareas– tostrengthenoutreach
• CoordinationCellforTribesinselectedtribalDistrictHospitals
• Screeningoftestingofcervicalcancerinruralareas
Rajasthan:
• Outsourcingofcleanlinessinhospitals;
• ASHASoft,• Gradingoffacilities
(incentivizingbestperformingCHC,PHC,SC
• Trackingoflowbirthweightinfants
• Hardareaincentive• HRMIS• Skillsassessmentofnursing
staff
Examplesofcurrentpracticesyieldingbetterresults
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EmpoweredandstronghospitalsocietiesleadingtogoodutilizationofbudgetforCorpusGrants
• Theydeveloplocalplans.• Takespendingdecisions.• Districtsmonitortheexpenditure• Includingmonitoringthegovernance
andfunctioningoftheRKS• Panchayatsplayaproactiverole
ResultsarereflectedintheutilizationratesinKerala,Maharashtra&Rajasthan
2014-15 onwardstheCorpusGrantbudgetlineinNHMFMRwasmergedwithUntiedGrants.
98%
130%
102%
126%
84% 79% 96% 100%
129%
85%
Bihar Kerala Maharashtra Rajasthan UttarPradesh
UtilisationofCorpusGrantunderMFPinNHM
2012-13 2013-14
Examplesofcurrentpracticesyieldingbetterresults
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LocalneedsmetthroughutilizationofUntiedGrantsavailableunderNHM
Willingnesstoexecutebudgetlinesthatneeddiscretion,localplanningandleadership.
ConsistentlyhighutilizationinMaharashtra.
UPstateanalysisdidnotinclude2014-15
77%
114%
92%
67%
45%
68%
96% 93% 89% 75%
36% 52%
89%
67%
Bihar Kerala Maharashtra Rajasthan UttarPradesh
UtilisationofUntiedGrantsunderMFPinNHM
2012-13 2013-14 2014-15
Examplesofcurrentpracticesyieldingbetterresults
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Renovationofoldandcreationofnewhealthinfrastructure
InstitutionalcapacityforexecutinginfrastructureprojectsisstrongerinKerala,MaharashtraandRajasthan(thanUPandBihar).Therebycontributingtoincreasesoverallfundutilization.
UP:Nobudgetin2013-14forthis line.Expenditurebooked:Rs46.87croresUPstateanalysisdidnotinclude2014-15
7%
41%
94%
49%
7% 7%
42%
88%
64%
34%
84%
33%
60%
Bihar Kerala Maharashtra Rajasthan UttarPradesh
UtilizationofNewConstruction/RenovationbudgetlineunderMFPinNHM
2012-13 2013-14 2014-15
Examplesofcurrentpracticesyieldingbetterresults
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UtilizationofmostofthefundsavailableattheStateHealthSocietiesinKerala,MaharashtraandRajasthan
If100%ofavailablefundswereutilizedattheSHS,theTGHEwouldincreaseby49%inBiharin2013-14andby26%inUPin2014-15.
SystemicinterventionneededtoaugmentthefundutilizationcapacitiesofSHSinBihar&UP.
31
103 10598
4339
105
79 76
36
57
103
84 79
41
Bihar Kerala Maharashtra Rajasthan UttarPradesh
UtilizationofavailablebytheStateHealthSociety(inpercentage)
2012-13 2013-14 2014-15
SHS inKerala,MaharashtraandRajasthanutilize80%to100%ofthefundsavailable(includingopeningbalances&interestsearned)withthem.
ContrastwithUP&BiharwherealmosthalfthefundswithSHSremainunutilized.
Examplesofcurrentpracticesyieldingbetterresults
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Context, RTM Framework1
Key questions, approach, framework for the deep dive2
Fiscal Attributes, Health financing attributes3
Current practices: Looking for answers to key questions4
Examples of current practices yielding better results
Comparison to Bihar & Uttar Pradesh
5
6
Whatfollows…
Conclusions and recommendations7
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Contrastingcapacitiesbetweenstates
Planning capacity at lower levels
Evidence for planning, HMIS
Bihar&UP
KeralaMaharashtraRajasthan
Cash forecasting and monitoring capacity
Lower levels of governance
empowered to take decisions
Coordination with local government units(Panchayati Raj
Institutions)
Poor quality of plans, un-realistic budgets
Greater negotiation time, delayed approvals
HighYesStrongHigher
Lower
Stronger Toalargeextent Higher
Weaker Toalimitedextent Lower
Uneven flow of funds; when funds are
available, no time for implementation
Approvals from the state;
Administrative delays;
Lack of ownership
Challenges in implementing local innovations, flexible
funds and responding to local needs
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Contrastingcapacitiesbetweenstates
Coordination between NHM and non-NHM
verticals
Bihar&UP
KeralaMaharashtraRajasthan
Quality & nature of mentoring &
handholding from higher levels
Reliance on e-platforms for expenditure &
outcome monitoringPolitical interference
Fragmented implementation;
Missing on synergistic gains
HighYesStrongHigher
Relativelylow
Strong High Limited
Relatively weak Morelimited Higher
Lack of focus on results
Inadequate capacity at the implementation
level
Ineffective monitoring;Lack of real-time
information for actionLimited evidence for
mid-course corrections
Local needs hostage to political priorities
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Context, RTM Framework1
Key questions, approach, framework for the deep dive2
Fiscal Attributes, Health financing attributes3
Current practices: Looking for answers to key questions4
Examples of current practices yielding better results
Comparison to Bihar & Uttar Pradesh
5
6
Whatfollows…
Conclusion & recommendations7
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Toconclude...
StableleadershipStronggovernance
Decentralizedpowers
StrongconvergenceVHSNC,RKScapacityProcurementcapacity
ITformonitoringFocusonresults,not
expenditure
ImprovedPlansImproved
Implementation
StrategicMonitoring–
priority/focusareas
Betterfundutilization
Betterhealthoutcomes
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OverallrecommendationsDeepdivesreveal
• Noonesinglebigfactororpracticeexplainsincreasedutilizationoffundsinthehealthsector.Rather,rangeofsmallercomplementaryactionsinpro-performanceenvironment.Nosinglethingtoadoptandscale-up.
• Changesinexistingpracticeso toimproveplanningandmonitoringcapacity,o tomakeleadershipmoreproactive,committedandlessriskaverse,o toprovidegreaterempowermenttodistricts,ando toenhanceaccountabilitymeasures
createanenablingenvironmentforhighbudgetutilization.
• Someofthespecificrecommendations:(a)relatedtopolicy&PFMmeasures;and(b)relatedtoprocesses.
Specific recommendations….
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Recommedations:RelatedtoPolicy&PFMSystems
- DevelophealthstrategyembeddedintoSDGs(likeKerala)- Alignstrategicplanandmediumtermbudget- Providegreaterautonomytodistricts
01
- Streamlineplanpreparationprocessandapprovaltimelines.- AlignNHMplanningprocesswithstateplanning&budgeting 02
- Improvepredictabilityofin-yearresources(improvefundflow)- ImprovepayrollcontrolmeasuresthroughITbasedHRMIS
03
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- AlignNHMbudgetclassificationwiththestatebudgetclassificationsystem- Developasystemforintegrationofexpendituredataacrossbudgetsources
forcomprehensiveandintegratedexpendituretracking.04
- StrengthenqualityofinternalandexternalauditsunderNHM- EnablepublicaccesstoNHMfinancialinformation(FMR,fundtransfersand
positions,SHSauditreports)05
- Undertakeperiodiceconomicanalysisofhealthexpenditure.- Resultstoinformfutureplanning,investmentandallocationdecisions. 06
Recommedations:RelatedtoPolicy&PFMSystems
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Recommendations:RelatedtoProcesses
Provide greater autonomy to districts- Decentralizedecisionmaking,avoidmicromonitoring- Reduceriskaverseapproachtomanagement- Limittheroleandinterferenceofthestate
01
Develop human capacity- Forplanningatlocallevels- Forresultbasedmonitoring
03
Develop institutional capacity- Forprocurementofdrugsandmedicalequipment- Formanagingcivilworks
02
Use IT for monitoring- Integratedsystem- Linkedfinancialmanagementwithprogram
outcomes
04
Strengthen communitization efforts- OfVillageHealth,Sanitation&Nutrition
Committees- OfHospitalSocieties
06
Strengthen linkages withLocal Self Government05
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Nextsteps...
• Currentdeepdivesprovideanoverviewofthefactors.
• Statespecificdiagnosismayberequiredinlowperformingstatestoassesswhatistransferableandscalableanddevelopaplanofaction.
Ø PeterBermanE:[email protected]
Ø ManjiriBhawalkarE:[email protected]
Ø RajeshJhaE:[email protected]
Thankyou