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KINGDOM OF LESOTHO

TECHNICAL ASSISTANCE TO THE GOVERNMENT OF LESOTHO

FOR CAPACITY BUILDING, SKILLS TRANSFERS, SCALE UP AND

TRANSITIONAL ARRANGEMENTS UNDER THE LESOTHO

CHILD GRANTS PROGRAMME

CONDITIONAL CASH TRANSFER PILOT

OPERATIONS MANUAL

DECEMBER 2014

PREPARED FOR:

GOVERNMENT OF LESOTHO AND UNICEF

PREPARED BY:

AYALA CO

EUROPEAN UNION

The Lesotho Child Grants Programme

CCT Operations Manual

LIST OF ACRONYMS

ASWO Auxiliary Social WelfareOfficer

CC Community Council

CCT Conditional Cash Transfer

CGP Child Grants Programme

CGP-CCT Child Grants Programme Conditional Cash Transfer

CGP-OU Child Grants Programme Operation Unit

CHAL Christian Health Association of Lesotho

CM Case Management

IEC Information, Education and Communication

HHs Household

M Maloti

M&E Monitoring and Evaluation

MIS Management Information System

MOET Ministry of Education and Training

MOH Ministry of Health

MOSD Ministry of Social Development

OM Operations Manual

SCE Supply Capacity Evaluation

TA Technical Annex

UNICEF United Nations Children’s Fund



VAC Village Assistance Committees



TABLE OF CONTENTS

I. INTRODUCTION............................................................................................................ 1

A. OBJECTIVES OF THE PILOT ..................................................................................... 1

B. PURPOSE OF THE OPERATIONS MANUAL ........................................................... 2

C. KEY COMPONENTS OF THE OPERATIONS MANUAL ......................................... 3

II. STAKEHOLDER’S ROLES AND RESPONSIBILITIES .......................................... 4

A. MINISTRY OF SOCIAL DEVELOPMENT (MOSD) .................................................. 5

B. IMPLEMENTATION PARTNERS: MINISTRY OF HEALTH,MINISTRY OF

EDUCATION AND TRAINING AND CHRISTIAN HEALTH ASSOCIATION OF

LESOTHO ........................................................................................................................... 13

C. UNITED NATIONS CHILDREN’S FUND ................................................................ 15

D. LOCAL AUTHORITIES ............................................................................................. 15

E. VILLAGE ASSISTANCE COMMITTEES ................................................................ 15

F. PAYMENT AGENCIES .............................................................................................. 16

G. BENEFICIARY HOUSEHOLDS ................................................................................ 16

III. DESIGN PARAMETERS ............................................................................................. 17

A. ELIGIBILITY CRITERIA ........................................................................................... 17

B. CONDITIONALITIES/CO-RESPONSIBILITIES AND PENALTIES FOR NON-

COMPLIANCE.................................................................................................................... 18

C. PAYMENTS, FREQUENCY OF PAYMENTS AND DELIVERY MECHANISM .. 21

D. DURATION & EXIT POLICY .................................................................................... 21

IV. PROCESS CYCLE ........................................................................................................ 22

A. SUPPLY CAPACITY EVALUATION ....................................................................... 22

B. ENROLMENT ............................................................................................................. 27

C. MONITORING OF CONDITIONALITIES/CO-RESPONSIBILITIES ..................... 34

D. PAYMENTS ................................................................................................................ 36

E. CASE MANAGEMENT .............................................................................................. 40

V. MONITORING AND EVALUATION ........................................................................ 46



LIST OF FIGURES

Figure 1: Stakeholders in the Implementation of the CCT Pilot ............................................... 5

Figure 2: Pilot Project Cycle .................................................................................................... 22

Figure 3: Flow Chart of the Supply Capacity Evaluation Process .......................................... 23

Figure 4: Flow Chart of the Enrolment Process....................................................................... 28

Figure 5: Flow Chart of the Compliance Monitoring Process ................................................. 34

Figure 6: Flow Chart of the Payments Process ........................................................................ 38

Figure 7: Flow Chart of the Case Management Process .......................................................... 41

Figure 8: Monitoring & Evaluation throughout the Programme Cycle ................................... 46

LIST OF TABLES

Table 1: Treatment Groups and Payment Penalties for Non-Compliance ............................... 19

Table 2: Payments Design Parameters ..................................................................................... 21



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I. INTRODUCTION

The Child Grants Programme (CGP) is the current unconditional cash transfer program

implemented by the Ministry of Social Development (MOSD) and directed to extremely poor

and poor households that care for children under 18 years old. The program was initiated in

2007 and it is now operating in all 10 districts of Lesotho. A monthly grant is paid out to

households (HHs) quarterly, and is intended to be used for improving children’s human

capital. However, while the grant is intended to be used for the children’s education and

health, the beneficiary HHs are not monitored in this respect. In order to promote better

investments in human capital, the MOSD decided to implement a Conditional Cash Transfer

(CCT) pilot,a programme operating within the CGP framework but directly linking its cash

transfers to beneficiary children’s usage of education and health services.

The CCT pilot is to be implemented in six community councils (CCs) in three districts.The

pilot implementsfour different treatment groups (with slightly different design parameters).

The education and health conditionality are the same across the six CCs and the fulfilment of

conditionalitiesis monitored for all the beneficiary HHs; however, the link between

conditionalities, payments and case management sets each treatment group aside.

The first treatment group has CCT-specific elements added to the current CGP case

management system: a beneficiary HH failing to meet its conditionsis subject to intense case

management through a specialized Officer and it doesnot suffer any penalties. This intense

case management involves the use of home visits if the household is non-compliant. The

second treatment group has CCT-specific elements added to the CGP payment system: a

beneficiary HH failing to meet its compliancesis subject to incremental penalties levied on

the grant amount. The third treatment group implements a combination of the two previous

interventions: a beneficiary HH failing to meet its conditionsis subject first to intense case

management and then to incremental penalties. The fourth treatment group is monitored

against fulfilment of conditionalities but HHs do not have any penalties levied nor receive

any intense case management. This group is run as the normal CGP as implemented in non-

CCT pilot districts.

A. OBJECTIVES OF THE PILOT



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The CCT pilot tests an alternative CGP design which introduces beneficiary

conditionalities/co-responsibilities linked to cash transfers:The main objective of this CGP-

CCT pilot is to encourage participation and expand the use of health and educational services

by poor segments of the population yet to benefit from the advances made by the CGP.

In terms of outcomes, the specific objectives of this programme are to tackle the following

indicators:

1. Education

The education componentaims to:

Improve timely entry into Grade 1;

Decrease drop-out rates;

Increase regular attendance and retention in higher grades; and

Strengthen primary completion.

2. Health

The health component aims to:

Increase number of visits of under 5 year olds to health centres;

Increase immunization rates for under five year olds; and

Prevent prevalence of childhood illnesses.

In addition, the CCT pilot’s secondary objective is to build capacity in MOSD: itnot only

informs the design of other social safety nets in Lesotho by testing innovative operational

mechanisms and various institutional arrangementsbut, if needed, italso allows easy scaling

up of the pilot by having identified the required instruments and institutional arrangements.

B. PURPOSE OF THE OPERATIONS MANUAL

The Operations Manual (OM) provides a summary of all the CGP-CCT processes and serves

the following purposes:

Enable stakeholders to understand the scope, content, organisation, and activities of

the programme;

Describe thoroughly the design parameters and the project cycle;

Provide guidelines for each process within the project cycle; and



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Ensure that the requirements for transparency, equity, compliance and accountability

are met.

The OM has been prepared mainly for use by all entities and stakeholders directly involved in

the implementation and administration of the pilot, namely:

The Government of Lesotho;

o Ministry of Social Development;

o Ministry of Health (MOH);

o Ministry of Education and Training (MOET);

o Local Government Authorities;

Christian Health Association of Lesotho (CHAL);

United Nations Children’s Fund (UNICEF);

Village Assistance Committees (VAC); and

All Contracted Entities involved in project implementation

C. KEY COMPONENTS OF THE OPERATIONS MANUAL

The OM is complemented by five (5) Technical Annexes (TAs) which provide detailed

operational procedures along with roles and responsibilities of stakeholders for each process

to ensure proper implementation. The TAs are:

Annex A: Supply Capacity Evaluation

Annex B: Enrolment

Annex C: Monitoring of Conditionalities and Co-Responsibilities

Annex D: Case Management

Annex E: Monitoring and Evaluation

The TAs are accompanied by guidelines describing the method for completing forms relevant

to each process, and the procedures to be carried out at the field level, and training material.

The remainder of the manual is organised into the following sections:

SectionII – Stakeholder’s roles and responsibilities;

Section III - Design Parameters;

Section IV – Process Cycle; and

SectionV – Monitoring and Evaluation.



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II. STAKEHOLDER’S ROLES AND RESPONSIBILITIES

The implementation of the CCT pilot is led by the Ministry of Social Development through

the CGP Operations Unit (CGP-OU). The MOSD works with various stakeholders in

implementing the programme:

Implementation Partners: MOH, MOET, CHAL;

UNICEF;

Local Authorities;

VACs;

Payment Agencies; and

Beneficiary Households.

The organisational structure displaying the inter-relationships among main stakeholders in the

programme on central, district and CC level is presented in Figure 1.



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Figure 1: Stakeholders in the Implementation of the CCT Pilot

ASWO

Head Nurse Head Nurse PrincipalC

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VAC

Local

Authorities

CHAL

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Senior District

Health Officer

Senior District

Education Officer

Child

Welfare

Officer

District Health

Officer

PHC Focal

Point

District Education

Officer

CCT Project

Officers

M&E

Coordinator

MIS

Coordinator

CCT

Coordinator

Operations

Coordinator

Payments

Coordinator

CM

Coordinator

MOSD Implementation Partners Community

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Other Units CGP OPERATIONS UNIT

MOH Focal Point:

Director of Primary

Health Care

MOET Focal Point:

Chief Inspector -

Field Services

CGP MANAGER

IEC

Coordinator



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A. MINISTRY OF SOCIAL DEVELOPMENT (MOSD)

Through its CGP-OU,the MOSD is the principal coordinating body for the implementation of

the CCT pilot.

The CGP-OU, through its CCT Coordinator, is fully responsible for the CCT’s Process,

including itsdesign and implementation. For this purpose it may undertake relevant activities

itself or through any other qualified external partners.

The general tasks to be carried out by the CGP-OU are to:

Revise and approve all the relevant technical documents and materials to be used;

Ensure the execution of each process is in accordance with the approved procedures

and, if required, make necessary adjustments;

Coordinate the activities for all stakeholders;

Supervise appropriate implementation across treatment groups;

Produce and review various lists/documents/indicators/reports; and

Inform stakeholders and households of the on-going activities and their implications,

and of the monitoring of various outcomes of interest.

The CGP-OU comprises of the following staff: (1) CGP Manager; (2) CCT Coordinator; (3)

Operations Coordinator; (4) Case Management (CM) Coordinator; (5) Payments Coordinator;

(6) Management Information System (MIS) Coordinator; (7) Monitoring and Evaluation

(M&E) Coordinator; (8) Information, Education and Communications (IEC) Coordinator; (9)

CCT Project Officers; (10) District Child Welfare Officers; and (11) Auxiliary Social

Welfare Officers (ASWO).

1. CGP Manager

The CGP Manager heads the CGP-OU and is responsible for overall coordination of the CCT

pilot under the CGP’s framework. He/she is responsible for the coordination with the other

participating Ministries and for facilitating decision-making in the higher policy levels of the

MOSD. The CGP Manager is also directly responsible for procedures requiring the support of

other areas of the MOSD, such as Procurement and Human Resources. The ultimate

responsibility of the CGP Manager is securing the same quality of service delivery for CCT

beneficiaries as for CGP beneficiaries.



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2. CCT Coordinator

The CCT Coordinator is responsible for the CCT Pilot Operations, including managing the

day-to-day activities related to the programme. He/she performs the following general duties:

Provide overall guidance for each process, and ensure that all stakeholders and

partners adhere to the rules and procedures set forth in the TA of each process;

Oversee the preparatory activities, general logistical coordination and final

implementation and generation of results of the process at the Central Level;

Conduct activities of each process jointly with the District Level staff;

Coordinate the work in all selected CCs, secure smooth implementation of each

process in coordination with financial partners;

Supervise the use of financial resources and approving the disbursement of funds for

the purchase of material as well as ensuring all required material for the process is

available in a timely fashion;

Ensure that the necessary staff is available, whether through hiring of external staff or

sourcing from within the different levels of the MOSD;

Supervise the design of training modules, schedule training activities and monitor

trainings throughout the pilot Districts;

Train the relevant staff in various processes;

Work closely with the MIS Coordinator to ensure the appropriate use of each

module’s tools; and

Perform M&E activities (spot checks, internal process evaluations) in coordination

with the M&E Coordinator.

3. Operations Coordinator

The Operations Coordinator under direct Supervision of the CGP Manager is responsible for

the following:

Provide overall guidance for each process, to ensure they function smoothly within

CGP procedures;

Support CGP Manager and CCT Coordinator overseeing training and development of

logistics plans;

Supervise communications with ASWOs;



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Provide support in the organization of preparatory activities and general logistics,

lending expertise gained from the CGP, including follow-up on the necessary

materials required for the process and overseeing their purchase and distribution;

Oversee the smooth implementation of activities of the process according to its work

plan, in particular for activities that might delay CCT procedures such a as payments;

Implement the communications strategy in collaboration with the IEC Coordinator;

Provide assistance to the CCT Coordinator when necessary; and

Perform any other process-related tasks as detailed in each process’ TA.

4. CM Coordinator

The CM Coordinator is responsible for the appropriate functioning of the CMprocess

throughout the life cycle of the pilot. He/she works closely with the Operations Coordinator

and the CCT Project Officers, indirectly supervises the District Child Welfare Officers and

the ASWOsand reports to the CCTCoordinator. His/her responsibilities are to:

Coordinate the establishment of the CM system at the District and Community

Council;

Monitor the functioning of the CM Process, identifying shortfalls and proposing

solutions;

Develop Rules and Regulations for the District Case Management Committee to be

established in District Offices;

Provide assistance when necessary during the resolution of CM cases, especially

when complaints/exemptions/appeals escalate;

Ensures that payment agencies and other partners at the Central level respond to the

complaints;

Review the quarterly and annual reports on Updates, Appeals, Exemptions and

Complaints produced by the M&E Officer, and discuss them with the CCT

Coordinator;

Direct cases to the Payments Coordinator, Payment Agencies, the Operations

Coordinator, the CCT Coordinator or other relevant staff at Central level for the

corresponding resolution;

Forward responses from Payment Agencies and other partners at the Central level to

the respective CCT Project Officers;



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Provide guidance to the CCT Coordinator to solve difficult cases;

PrintCM forms and deliver them to the CCT Project Officers;

Generate/print the notification letters to inform beneficiaries about the result of the

case;

Deliver notification letters to CCT Coordinator to be signed and stamped;

Deliver signed and stamped letters to the CCT Project Officers;

Train the ASWOs and District Child Welfare Officers in performing CM at any

time during the monitoring cycle, as requested;

Supervise the generation of Monthly CCT Case Management Report, Review and

approve the Exemption Requests as solved by the District CM Committees, and

enter them into the MIS with the appropriate status; and


5. Payments Coordinator

The Payment Coordinator is in charge of overseeing the entire payment process including the

preparations of material, dissemination of material, payment events and preparations of

reconciliation. He/she works in close cooperation with the CCT Coordinator, MIS

Coordinator and the Operations Coordinator.

The Payment Coordinator carries out the following activities:

Write letter to the Financial Controller to release funds to payment agencies, and

submit this letter to the CGP Manager;

Generate the payment list;

Generate and print the forms used during the payment process, particularly

payment books, payment book front cover stickers and beneficiary receipts;

Calculate the number of payment amount barcode stickers, generate additional

barcode stickers and send order to print stickers prior to the start of the payment

period;

Delegate the preparation of beneficiary payment books to MIS Officers and/or

CGP Operation Officers at the district level;

Coordinate and supervise the distribution of payment books by the Operation

Officers at the district level;



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Monitor and manage the payment process according to this document and the

legal agreements signed with Payment Agencies;

Do spot checks at payment site to monitor whether the process is carried in due

compliance with set up procedures;

Take decision on how to handle unexpected cases that may occur during payment

or refer cases to the CCT Coordinator;

Supervise and instruct the Operation Officers at district level and the Operations

Assistants on the community council level on the payment procedures and their

tasks during payment events;

Upload payment software files into the MIS after payments to prepare

reconciliation report;

Prepare reports regarding the number of beneficiaries that have been paid and the

amount paid out;

On request, prepare reports for the CGP external and internal audits;

Receive Payments Claims from the CM Coordinator, review them and coordinate

with the Payments Agency as needed;

Ensure that Payment Agencies respond to the household complaints and acts as

the communication mediator; and


6. MIS Coordinator

The MIS Coordinator manageshis/her team in order to perform the tasks below. Likewise,

he/sheworks closely with the CCT Coordinator during every step of the process, providing

general support and ensuring the CCT Coordinator is informed of the needs and challenges of

the IT work.

Support the CCT Coordinator in the generation of lists and reports;Define the

hardware and software updating needs for an effective implementation of the CCT on

top of the CGP without negatively affecting the performance of the MIS;

Develop, together with the users, the definition of roles and functionalities required

for the management of each Module within the CCT MIS, taking into account the

process’ design parameters as detailed in this document;

Define the way in which requests for new MIS users areaddressed and administer the

users of the programme;



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Keep the MIS users up to date in the changes performed to each Module, perform

trainings on its functions and be responsible for capacity training on the management

of the module for new users;

Keep open and constant communication with the MIS users in order to support their

needs by troubleshooting and answering questions and complaints;

Supervise data entry into the MIS, ensure that it is done as per plan, while ensuring

quality of data entry and privacy of data;

Perform general tasks related to the general administration of each Module and of the

MIS, managing the database, back-ups, and contingency plans in case of emergencies;

and


7. M&E Coordinator

The M&E Coordinator works in close coordination with the CGP Manager and the CCT

Coordinator. He/she is responsible for conducting all activities related to keeping track of and

analysing the progress of the Programme. In specific his/her responsibilities are to:

Lead the overall design of the M&E component of the CCT pilot;

Identify shortfalls in each processbased on data provided through the MIS, and based

on the results of evaluation exercises;

Use the MIS data to identify shortfalls in any of the CCT processes;

Ultimately, use analyses to prepare reports for management, including

recommendations for adjustments and improvements of each process’ design;

Organize and participate in field visits / spot checks during each CCT process and

prepare reports for the CCT and Operations Coordinators;

In coordination with the CCT Coordinator, produce quarterly and annual reports on

each process using data provided by the MIS and results of monitoring visits to the

field; and




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8. Information, Education, and Communication Coordinator

The IEC Coordinator works in close coordination with the CG Manager and CCT

Coordinator and is responsible to:

Developa Public Information Campaign for each process, as designed and detailed in

the TAs;

Ensure that appropriate communication materials foreach process have been

developed and distributed to the relevant staff; and


9. CCT Project Officers

The CCT Project Officers operate at Distract level and below and are responsible for the

implementation and supervision of CCT activities within their assigned District. They work

inclose cooperation with and are supervised by the CCT Coordinator. The responsibilities of

the CCT Project Officers are to:

Provide guidance to the District Health and Education Authorities, partner

organizations and the local MOSD staff about the each CCT process;

Attend the appropriate trainings at the central level;

Coordinate and train local actors at the District, community and facility level, as

necessary;

Lead the CCT processes at the District level, which include: planning, managing,

implementing and supervising the various activities;

Work with the District and CC authorities, as well as VACs to ensure community

mobilization is executed in a timely and productive way;

Produce and distribute the materials to support each process, as necessary;

Follow-up with all supply-side cases ensuring that the appropriate CM modality is

implemented;

Send the Monthly CCT Case Management Report to the ASWOs and coordinate

the work of ASWO assigned to the CCT pilot;

Supervise the quality of information collected in forms and entered into the MIS;

Archive the information and documents generated by each process, as necessary;

and



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10. District Child Welfare Officer

The District Child Welfare Officer acts as operations coordinator at the District level and is in

charge of instructing and supervising the MOSD district staff and coordinating payments at

the District level.

11. Auxiliary Social Welfare Officers (ASWOs)

The ASWO is involved in the responsible to conduct the intensive case management

according to thegiven rules of the treatment groups and furthermore to support the payments

process. His/her responsibilities are to:

Receive the Monthly CCT Case Management Report from the CCT Project Officer;

Visit the HHs according to their ranking in the report and work with the HHs to

identify the reasons for non-compliance and record the information in the required

material;

Work together with the HHs to find solutions to their challenges, while at the same

time reminding them of the importance of complying because of the welfare of their

children as well as due to the new rules of the CCT pilot;

Pay follow-up visits to recurring non-compliant HHs and, in case he/she finds there is

a valid reason why it is not reasonable to expect the HH or any of its members to

comply with a given component (health or education), file an Exemption Request to

the district CM committee;

Support thePayments Coordinator and the CCT Project Officersat payment events;

Assist the Payment Agencies at the payment site;

Screen whether payees/representative payees have all payment documents at hand

(payment book, identification) and whether documents are properly filled;

Capture case management cases related to payments during Payment Events;

Dissemination of payment relevant information (payment cycle, amount and how the

payment book functions);

Ordering payees by village so that the payment agency can work efficiently (payment

lists is ordered by village); and



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Report any suspicious cases to the PaymentsCoordinator for him/her to advise on

solving the case ;

B. IMPLEMENTATION PARTNERS: MINISTRY OF HEALTH,MINISTRY

OF EDUCATION AND TRAININGAND CHRISTIAN HEALTH

ASSOCIATION OF LESOTHO

The implementation partners work at Central, District and Facility level coordinatingwith the

MOSD and performing essential tasks related to the provision of services to beneficiary HHs

and the monitoring of conditionalities/co-responsibilities.

1. Focal points at central level

The focal points within the MOET and MOH/CHAL are individuals already operating within

the structures of the corresponding Ministries/Partner Organizations1, appointed to take on

the additional responsibility of coordinating the implementation of the CCT pilot with the

previously mentioned MOSD staff. Specific responsibilities of the focal points include:

Discuss policy issues, as they arise during each CCT process;

Support the design of each process with technical knowledge of the Ministry/Partner

Organization’s procedures; reviewthe TAs and the corresponding Guidelines for

training on each process;

Coordinate and supervise the provision of complete facility lists as requested by the

CCT Coordinator, as well as of any other information and statistics as needed;

Inform their District Offices about the details of their Ministry’s/Organizations

cooperation with the MOSD, UNICEF and the European Union, and secure their

support;

Receive the list of facilities with no available capacity from the CCT Coordinator, and

make decisions on whether to increase their capacity or not;

Ensure the appropriate local staff attends trainings at central level; and

Ensure facility staff attends trainings at the District level.

1 For the MOH the Focal Point is the Director of Primary Health Care, for the MOET the Focal Point is the

Chief Inspector Field Services.



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2. District Staff

The MOET/MOH/CHAL’s contact points at the district levels are:

Senior District Education Officer (MOET), and

Public Health Nurse (MOH/CHAL).

Their specific responsibilities include2:

Inform all the facilities within the selected CCs about the CCT pilot and how the

upcoming activities affect them;

Inform facilities of scheduled visits with enough time in advance, and ensure that the

most knowledgeable persons are available for the interviews or discussions;

Work with the CCT staff to review the facility lists provided by the central level and

validate their quality, and make the appropriate corrections when necessary;

Facilitate the activities of the CCT Project Officers with information and resources, as

available and needed;

Attend all the necessary training sessions;

Assist in the preparation of logistics plans with their knowledge of the area and

conditions;

Assist in the data collection process, and review the quality of data collected;

Analyse and make known the results of the process at the local level;

Provide the information required by the Central level, such as the list of facilities per

selected CC;

Be the link between the Programme and the facilities’ staff, ensuring that these are

properly introduced toeach CCT process; and

Ensure that facilities’ staffattend all the necessary training sessions and the Enrolment

Events.

3. Facility Staff - Head Master/Mistress and Head Nurse

The staff of the Implementing partners at Facility level is responsible to:

Act asthe contact point for the respective school/health facility;

2While the Senior Education Officer and Public Health Nurse are the CCT pilot’s contact points at the District

Level, this does not mean that all tasks must be personally performed by them. They can distribute the tasks

allocated to the district level amongst their staff as they see fit.



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Be the main respondent for the supply capacity assessment survey, consulting with

other facility staff as necessary;

Provide the information on catchment areas to the best of their knowledge;

Review the quality of the information provided;

Participate in training events, as necessary;

Participate in the Enrolment Events;

Spread information among CCT beneficiaries about the benefits of children’s

attendance of education and health facilities;

Spread information among CCT beneficiariesattending theirschool/health

facilityabout the CM process, and encourage them to take advantage of it; and

If needed, be prepared to explain more about the details of the education / health

conditionalities/co-responsibilities and their fulfilment.

C. UNITED NATIONS CHILDREN’S FUND

UNICEF provides continuous technical assistance and general support throughout the

implementation of the pilot. UNICEF participates in policy discussions surrounding the

implementation of the CCT pilot and, jointly with the MOSD, reviews technical manuals for

the project process cycle.

D. LOCAL AUTHORITIES

The local government offices provide maps for the CCs involved in the pilot, and support the

process of locating education and health facilities on these maps. The Local Authorities are

instrumental in mobilizing the Community Councillors and enlisting their support.

E. VILLAGE ASSISTANCE COMMITTEES

The VACs are instrumental in the implementation of the pilot. More specifically they support

information dissemination and participate in the pilot’s sensitization and communication

campaigns. Additionally, VACs assist with the verification of beneficiaries during the

payments process, and help with the delivery of beneficiary notification letters associated

with various processes of the program cycle. The village chiefs are instrumental in supporting

the HH in their CM requests, by writing letters of support for the respective cases.



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F. PAYMENT AGENCIES

These agencies are charged with the responsibility of handling payments to beneficiaries,

according to the procedures outlined in the Payments Manual. They also assist with the

resolution of payment related claims and complaints as necessary.

G. BENEFICIARY HOUSEHOLDS

Households have the responsibility to abide to all rules of the CCT Programme once they

gave their consent to become beneficiaries:

Attend the Enrolment event and provide truthful information;

Comply with conditionalities/co-responsibilitiesof the CCT Programme;

File cases according to their needs and accept case resolutions;

Attend community mobilization sessions; and

Collect their transfers.



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III. DESIGN PARAMETERS

The design parameters of the CCT pilot are the building blocks which allow for uniform

project implementation. The design parameters include eligibility criteria, conditionalities/co-

responsibilities, transfer parameters and the exit policies.

A. ELIGIBILITY CRITERIA

The eligibility criteria provide the basis for inclusion or exclusion of health and education

facilities and beneficiary households in the CCT pilot.

1. Eligibility Criteria for Schools

For a school to be included into the Programme, i.e. to have beneficiary children assigned to

it and monitor their compliance, the following conditions have to be fulfilled:

Be located in one of the selected CCs, or in neighbouring CCs, such that

households enrolled in the pilot would be in the catchment area of these schools;

Be partially or fully funded by the government and offer free primary education;

and

Provide educational services for any of the seven standards of the primary school

cycle.

2. Eligibility Criteria for Health Facilities

For a health facility to be included into the Programme, i.e. to have beneficiary children

assigned to it and monitor their compliance, the following conditions have to be fulfilled:

Be located in one of the selected CCs, or in neighbouring CCs, such that

households enrolled in the pilot would be in the catchment area of these health

facilities; and

Be partially or fully funded by government.

3. Eligibility Criteria for Households

A HH is eligible for Programme entry if the following conditions are fulfilled:

Reside located in one of the selected CCs;

Be already a CGP beneficiary (be in NISSA1 or NISSA2,be validated by

itscommunity and take care of at least one child below 18 years of age); and

Provide care to at least one child 0 to 17 years old (in completed years).



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B. CONDITIONALITIES/CO-RESPONSIBILITIES AND PENALTIES FOR

NON-COMPLIANCE

CCT beneficiaries are required to comply with conditionalities/co-responsibilities

thuspromotingthe expansion in the usage of public health and educational services.They

present a unique opportunity for investing in the human capital of programme beneficiaries.

HHs in Treatment Group Oneare subject to co-responsibilities in the sense that they areonly

be subject to monitoring and intense case management, with no payment related penalties

should they not comply with the co-responsibilities. However, HHs in Treatment Groups

Twoand Three are subject to conditionalities wherein they face payment related penalties

should they fail to comply with these conditionalities.HHs in Treatment Group Four are

subject to co=responsibilities but no penalties or intense case management is carried out.

Below are the programme rules (co-responsibilities and conditionalities) with which

beneficiary HH are expected to comply, and the penalties applied when HHs are non-

compliant.

1. EducationConditionalities/Co-responsibilities

The education conditionalities/co-responsibilities apply to children between the ages 6 and 17

(in completed ages). The children have to comply with the following:

Be formally enrolled in any of the Grades 1 to 7 in an eligible primary school; and

Attend at least 85% of effective school days per monitoring quarter.

2. HealthConditionalities/Co-responsibilities

The health conditionalities/co-responsibilities apply for children below 60 months of age (5

years). The children have to comply with the following:

Conduct regular visits to eligible health facilities according to the EPI Immunisation

Schedule of the MOH.

Conduct visits to health facilities monthly for growth monitoring visits, or attend

monthly growth monitoring events carried out by village health workers.3

3Additionally, at the early childhood stage (age 3 to 5 years old) children should visit the health facility for

routine check-ups every six months.



19

However, the type of visit is not monitored; rather it is monitored whether a visit has been

conducted each month.

There are programme beneficiaries who can be exempt from these education and health co-

responsibilities. The categories of beneficiaries along with the justifications for exemptions

are described below:

Children who are 60 months old or above but below 72 months old (5 years in

completed years) are excluded from compliance monitoring because they are too

old for the health component, but too young to be enrolled in primary school (pre-

school not included);

Children 5 years old who are not enrolled in school during the current academic

year, but turned 6 after the current academic year began. These children are

required to enrol in the following academic year, before they turn 7.

Children at least 14 but less than 18 years old who dropped out of primary school,

and left school at least 2 years ago;

Children who graduated the primary school levels (Standards 1-7);

Children who are disabled;

Children who are enrolled in schools/health facilities that fall more than ten (10)

km outside of the selected CCs’ boundaries or are not government funded. In this

case, proof of enrolment has to be collected/provided; and

Children who live in areas where no facilities are available for new enrolment or

no facilities are available in general in the catchment area of the village.4

3. Penalties

According to the rules described above, penalties do only apply to Households in Treatment

Group 2 and 3. A HH is considered as non-complied if at least one beneficiary child did not

fulfilits conditionality in the monitoring quarter. The penalty is then applied on HH level, i.e.

the combined transfer amount according to all children of the HH is penalized.

The table belowillustrates the penalties applied according to the HH’s Treatment Group.

Table 1: Treatment Groups and Payment Penalties for Non-Compliance

4 Whereas all other exemptions are identified during enrolment, this exemption can be applied to via the Case

Management and is approved on a case-to-case basis. For more details refer to the Case Management Manual.



20

Treatment Group

Payment Penalties Across Monitoring Cycles (MC)

1stconsecutive

non-compliance

2nd consecutive

non-compliance

3rd consecutive

non-compliance

4thconsecutive no-

compliance

One

(Intense CM, no

penalties)

0 0 0 0

Two

(Penalties) 25% 50% 100%

100% Reinstated

if Compliant;

100% Penalty if

Non-compliant

Three

(Intense CM and

Penalties)

0 25% 50% 100%

Four

(No intense CM, no

penalties)

0 0 0 0

A HHin Treatment Group Two whichdid not comply with the health and/oreducation

conditionalities for the first time loses 25% of itstransfer amount during that respective

payment cycle. The penalty increases to 50% if the HHisnon-compliant for a second

consecutive quarter, and to 100 % if non-compliance follows for a third consecutive quarter.

The first quartera HHin Treatment Group Three is non-compliant with any of the health

and/or education conditionalities no payment penalty is applied but intense case management

is carried out. However, a 25% penalty is levied if non-compliance follows for a second



21

monitoring period. The penalty increases to 50% for the third consecutive non-compliant

quarter, and to 100 % for the fourth consecutive non-compliant quarter.

Once a non-compliant HH becomes compliant in a given quarter, the full payment amount is

restored regardless of the penalty levied in the previous quarter.

C. PAYMENTS, FREQUENCY OF PAYMENTS AND DELIVERY

MECHANISM

Beneficiaries of the CCT pilot receive a quarterly payment betweenM 360 and 750 per

household, depending on the number of children in the household. The payments are

embedded in the CG payment schedule. Below are the design parameters for payments:

Table 2:Payments Design Parameters

Cash Transfer Amount

Between Maloti (M) 360-750:

- M 360 for 1-2 children

- M 600 for 3-4 children

- M 750 for 5+ children

Transfer Frequency Every 3 months (four transfers per year)

Transfer Mechanism Payment Agencies

D. DURATION & EXIT POLICY

The CCT pilot is implemented over a period of two years. The exit policies for the

programme are as follows:

HH misses three consecutive payments;

HH relocates to an area not covered by the pilot;

A child no longer lives in the HH;

and

HH misusespayment



22

IV. PROCESS CYCLE

This section describes the implementation processes of the pilot. In-depth details of each

implementation phase are presented in the technical annexes.

In coordination with key stakeholders, the project cycle startswith a Supply Capacity

Evaluation, identifying the health and education facilitiessatisfying the eligibility criteria for

participating in the pilot. This process is followed by a one-time Enrolment process,

whilesubsequent the Monitoring of HHs’ compliance with the conditionalities/co-

responsibilities is carried out regularly throughout the life of the pilot. Payments are then

made according to the HHs compliance with conditionalities/co-responsibilities and penalties

if applicable. Programme Monitoring and Evaluation, as well as Case Management are

carried alongside these four processes. The diagram below illustrates theprocess cycleof the

CCT pilot.

Figure 2: Pilot Project Cycle

A. SUPPLY CAPACITY EVALUATION

The CCT pilot links its cash transfers to beneficiary children’s usage of certain health and

education services. It is therefore expected that the demand for these specific services will

increase, demand which will have to be accommodated by the available health and education

facilities. For this reason, prior to the Beneficiary Enrolment Process, the pilot has to carry

out a Supply Capacity Evaluation (SCE)to determine to which extent the health and



23

education facilities have enough capacity to absorb this expected additional demand of their

services.

For schools, the main determinant of capacity is the student to teacher ratio, which should be

less than 45:1. For health centres, the assessment looks at how many patients the health

workers could attend to vs. how many they are currently attending. All the information

obtained from the SCEprovides the CCT pilot with information on both the accessibility of

schools and health facilities in the selected CCs, and their ability to meet increases in

demand. The facilities able to meet these increases in demand are recommended, during the

Enrolment process, to be utilized by new entrants. However, it is the beneficiaries’ choice

which facilities they will ultimately use.

A number of steps have to be taken to assess the capacity ofschools and health facilitiesto

respond to programme service needs. An overview of these activities is provided in this

section.

Figure 3:Flow Chart of the Supply Capacity Evaluation Process



24

PREPARATORY

ACTIVITIES

Fieldwork

Data entry into MIS

Logistics Coordination

Production and distribution of materials

Visit District and Council Offices

Visit schools and health facilities

Fill corresponding forms

Data entry into MIS

Schools results lists

Training

Close fieldwork

Generate results

Results analysisGenerate indicators

Health facilities results lists

Follow-upFollow-up with respective Ministries on

“problem” facilities

1. Preparatory Activities

These include all activities that are carried out before data collection for the SCEtakes place

in the field. It involves the preparation of a logistics plan, preparation and distribution of

required work material and training.

The logistics plan is an essential implementation tool that allows for smooth implementation

of field activities. While Central Level programme staff is in charge of the overall logistics

plan, the District programme staff is required to prepare their own plan and submit it to the

Central Level, who then monitor its implementation. The logistics plan includes:

(i) Basic Information Gathering –Information to be collected from the health and

education authorities regarding the facilities that satisfy the pre-eligibility criteria.

(ii) Fieldwork Coordination – Verification of basic data,establishing contact with the

central and local district authorities, logistics coordination, organizing trainings,

developing a schedule for all the field activities to take place during the SCE.



25

(iii) Composition of Evaluation Teams – Decision on number of individuals required

to carry out data collection and the allocation of responsibilities among these

individuals.

(iv) Estimation of Required Materials– Estimation on the number of data collection

forms, maps, stationery, list of villages in CC, based on the number of facilities

identified during the Basic Information Gathering stage.

(v) Detail Training Requirements – A plan for training ensuring that processes in the

field are implemented according to the procedures set out in the Supply Capacity

Evaluation TA.

This logistics plan lays the groundwork for the preparationand distribution of materials and

the necessary training that takes place before the field work.

Preparation and distribution of materials include: (i) procurement of detailed maps for the

Community Councils where the CCT pilot is being implemented; and (ii) preparation of the

Evaluation Materials Kit for every Community Council, which includes maps, forms and

stationery.

The training for the teams carrying out the actual data collection in the field is carried out at

Central level, and its objective is that all team membersperformtheir designated role in the

process.The training includes both theoretical (a review of the general aspects of the

evaluation and a thorough practice of data collection procedures) and practical aspects (mock

interviews in order to master the correct way to fill out the SCE forms).

2. Fieldwork

Fieldwork defines the data collection aspect of the Supply Capacity Evaluation. It includes

three main activities:

(i) Visits to District and Council Offices – to provide district and council authorities

with information on the CCT pilot,to verify the data provided by health and

education authorities, and ensure that the existent lists of villages in the pilot

Community Councils are complete and that the villages are located on the

respective maps.



26

(ii) Visits to Schools and Health Facilities – to collect information on the capacity and

the catchment area of these facilities(villages using a certain facility and their

distance to facility) by completing the SCE forms.

(iii) Fieldwork Closure–to ascertain the quality of the data, and to decide on actions to

be taken if data collection forms are incomplete/in need of revisions.

(iv)

3. Data Entry

The data entry process takes place after the appropriate data entry staff is trained, and the data

collected in the field is verified by the CCT Coordinator and eventual corrections are

made.Upon receiving access to the MIS, the trained data entry staff entersthe data into the

appropriate MIS module. The data is once more checked by the MIS, and corrections are

made as necessary.

4. Generation of Results

Using the data entered into the MIS, each facility is assigned one of the following supply

capacity statuses:

(i) Evaluated, Sufficient - the MIS has all the essential information5 on the facility, and it

evaluates that the facility has available capacity to absorb new entrants;

(ii) Evaluated, Deficient - the MIS has all the essential information on a facility, and it

evaluates that the facility does not have available capacity to absorb new entrants;

(iii)Not Evaluated, Incomplete - some of the essential information on the facility is

missing. The MIS keeps this status until the information is corrected; and

(iv) Not Evaluated, Annulled - facilities which have been eliminated from the CCT pilot

due to a policy-level decision. Even if the information on these facilities is complete,

their available capacity isnot further computed and displayed.

Based on these statuses, the MIS generates the following on-demand result lists:

(i) Overall School and Health Facilities Results – This list provides results for all the

facilities for which essential information was gathered and entered into the MIS.

5Consult the SCE TA for details on which information on the SCE forms is deemed as essential.



27

(ii) Results by Facility6 – This list contains information on the geographic location,

staffing, available capacity and indicators pertaining to the SCE, by facility.

(iii) Results by Village7 – This list contains information on the education and health

facilities which are within the catchment area of each village, together with the

facilities computed available capacity.

Additionally, the MIS also generates lists that allow for the analysis of catchment areas for

both health and education facilities. These results can be generated by facility or per village.8

5. Follow-Up

Based on the results generated, the programmemanagerfollowsup with the MOET and

MOHin order to present them the overall results and to make them aware of the facilities with

deficient capacity and catchment area challenges.

6. Generation of Indicators

This activity can be carried out during or after the SCE, and is useful for the monitoring and

evaluation of the process. During the SCE, the indicators accessed should focus on

monitoring the progress of the fieldwork, namely on the percentages of facilities covered in

different locations. After the SCE, the indicators focus on the status of facilities, available

capacity, coverage and accessibility.

B. ENROLMENT

The Enrolment Process of the CCT pilot is meant to inform the beneficiary HHs about the

pilot’s launch and the new programme rules, and enrol in the CCT pilot those beneficiaries

HHs which agree to participate. BeneficiaryHHs in the selected CCs whichdo not enrol in the

CCT pilot by choice or they don’t have children in the appropriate age groups anymore

areremoved from CGP-CCT pilot.

6 To be included in the MIS developed by Local IT Firm . 7 To be included in the MIS developed by Local IT Firm. 8 To be included in the MIS developed by Local IT Firm.



28

The operational cycle of the Enrolment process involves the execution of a series of activities

which are outlinedin the Figure below.

Figure 4: Flow Chart of the Enrolment Process

Planning and Preparatory

Activities

Fieldwork

MIS Data Entry and

Storage of Forms


Preparation and Distribution of Materials

Capture Household Information (via Enrolment

Events and door-to-door visits)

Verification of Data Quality

Community Mobilization and Communications

Strategy

Training of Enrolment Teams

Budgeting

Generate results Generate results

Closure of Fieldwork

Data entry into MIS

Generate indicatorsGenerate indicators

Classification of Forms and Organization of Files

1. Planning and Preparatory Activities

The preparatory activities for the Enrolment process include:

Logistics Coordination - The Central Level programme staff is in charge of the overall

logistics plan; based on this overall plan, the District programme staff is required to prepare

their own plan and submit it to the Central Level, who then monitor its implementation. The

logisticsplan involves:

Selection of the number of Enrolment Sites – The number of sites is determined

together with their geographic location in such a way to endure that all the HHs

have easy access to the site;

Selection of the location of Enrolment Sites - The exact location of the Enrolment

Sitesis determined within the geographical location selected above;

Duration of Enrolment Events – The number of days allocated to each Enrolment

Event is decided based on expected number of beneficiary HHs and accessibility;



29

Staff Requirements – The number of persons needed as well as the composition of

the Enrolment Teams is decided at this stage;

Dates of Enrolment –The dates for each Enrolment Event are decided

consideringthe remoteness of enrolment site;

Calendar of Enrolment Events, or Enrolment Plan – This compiles the information

on Enrolment Sites and Dates of Enrolment Events, taking into consideration any

public holidays/festivities, transportation time, and allowing for door-to-door

enrolment visits at the end of the enrolment in a selected community council.

Preparation and Distribution of materials: Then, the following materials are prepared

and distributed during this planning phase: Call Enrolment Lists and Invitation Letters

for Enrolment;List of Partner Facilities;Bukana/Health Cards;Enrolment Forms;Forms

monitoring the progress of the fieldwork;Training materials; andEnrolment Plan.

Community Mobilization - The objective of the community mobilization campaign is to

provide the community information about the pilot, its objectives and requirements, and the

upcoming plans for enrolment. The communications strategy is centrally designed, and the

best method(s) of dissemination are selected (brochures, posters, flyers, banners,

billboards).The strategy is then rolled out with the respective materials produced in advance.

Training -To ensure a smooth implementation in the field, trainingof allkey participants of

the enrolment process is a key element of the preparatory stage. There are two separate

training audiences: (i) the headmasters and head nurses on the facilities’ side, and (ii) the

Enrolment Teams on the MOSD side.

Budgeting -all human resources, materials, transportation, accommodation and training are

estimated and analysed in order to facilitate financial controlof the actions carried out during

the Enrolment process.

2. Fieldwork

This phase includes:

(i) Data Collection;

(ii) Verification of Data Quality; and

(iii) Closure of Fieldwork.



30

During the data collection, HH leveland individual data is collected by the Enrolment Teams

using the Enrolment Form. The data is expected to be collected during the Enrolment Events.

However, separate provisions are made for HHs who cannot attend the Enrolment Events:

first, at the end of the Enrolment Events in a certain Community Council, the Enrolment

Teams carry out door-to-door visits in order to enrol these HHs. If the HHs are not present

during this visits, they can visit the district office of the MOSD within 14 days from the end

of enrolment in their council, and request they are enrolled.

The Enrolment Officers and the Enrolment Coordinator, both part of the Enrolment

Teams,are in charge of the data quality control during the fieldwork. The objective of this

activity is to verify during the fieldwork that the forms filled out are complete, legible and do

not contain obvious errors. As such, this activity ensures the collected information complies

with the minimum quality requirements.

The closure of fieldworkis a process that actually begins during implementation and is

finalized once all the HHs have left the enrolment site. The process of closure is detailed

below:

(i) Completion of Supervision Formsby Enrolment Officers and the Enrolment

Coordinator

(ii) Collection of Enrolment Forms by the Enrolment Coordinator

(iii) Packaging and Labellingby the whole Enrolment Team, supervised by the

Enrolment Coordinator

(iv) Submission of Forms to the Central Level by the Enrolment Coordinator

The submission of Forms to the Central Level takes place ideally as work is finalized for each

enrolment site. However, this might not be possible due to logistical difficulties; in this case,

the forms are submitted either at the finalization of work in a certain council or, at most, at

the finalization of work in a certain district.

3. MIS Data Entry and Storage of Forms

Before the first batch of completed forms reaches the Central Level, specialized data entry

staff (either MOSD or external consultants, as needed) is trained on the specifics of entering

the data in the Enrolment module of the MIS. Once the documents reach the programme



31

manager at the central level, the Enrolment Forms are sorted and the MIS data entryis

conducted by these dedicated staff.

In parallel with the data entry, it is recommended that two concomitant types of storage of

the formsare used: (i) forms are scanned and stored electronically at Central Level, so that

the loss of information is prevented; and (ii) forms are physically classified and stored at

District Level, after the data entry and the electronic storage are completed.


Using the data entered into the MIS, each child 0-17 years old (in completed years) is

assigned one of the following enrolment statuses:

a. Enrolled, Active: child in a beneficiary HH who is held liable for fulfilling

conditionalities/co-responsibilities;

b. Enrolled, Exempt: child in a beneficiary HH who, for well-determined

reasons,isnot be held liable for fulfilling conditionalities/co-responsibilities;

c. Incomplete: child in a beneficiary HH for whom at least one piece of the

essential information is missing/ineligible/mistaken, and thus he/she can be

categorized as neither active nor exempt; and

d. Excluded: child in a beneficiary HH for whom no official identification was

provided before the grace period expired.

Based on these individual statuses, a HH can be categorized as:

a. Beneficiary, active: all the HH members 0-17 years old are successfully

categorized as either “enrolled, active” or “enrolled, exempt” or “incomplete”

but at least one child is “enrolled, active”;

b. Beneficiary, exempt: all the HH members under 18 years old are successfully

categorized as “enrolled, exempt” or “incoplete” but at least one child is

“enrolled, exempt”;

c. Incomplete: all the HH members under 18 years old are categorized as

“incomplete.”

d. Restricted:HH which has failed to take the opportunities granted to register

into the CCT pilot and which is restricted from the CCT upon the expiring of

the final date for enrollment (14 days or longer after the first round of



32

enrolment has been completed); or HH which opted out of the CCT pilot; or

beneficiary HH which currently does not care for any child younger than 18

years old; or HHs which do not reside in a CCT CC anymore; or HH which

did not present official identification forms for all the children; or HH which

presented fraudulent information.

At any time, as needed, the MIS should generate lists of active, exempt, and incomplete

children, overall and by education or health conditionality, sorted by district, CC, Electoral

Division and village (and HH), together with basic personal information (e.g. unique HH and

personal number, age and gender or the child). The list of exempt children should also

differentiate between the various types of exemptions.

Similarly, as needed, the MIS should generate lists of enrolled, incomplete, missing, and

restricted HHs, all by district, CC, Electoral Division and village. The lists should also

contain few other HH level variables (e.g. the unique HH number, the reason for having a

“restricted” status, demographic characteristics).

At any time, the MIS should keep track of the children with no birth certificates in the system

and the time lapse since enrolment. This list should be generated, as needed, by any

geographical division, and contain some other specific HH level information.


The MIS is capable of generating statistical reports at the household or child level. These

reports contain indicators that can be used to monitor and assess the implementation of

enrolment process.

The reports provide statistics of how many beneficiaries were called for enrolment and how

many were enrolled, and the respective percentages. The statistics at HH level should be both

for the overall population and disaggregated by geographic location (by district, constituency,

CC, electoral division, village), status (active, exempt, incomplete, restricted), and

component (education only, health only, both). The statistics at individual/child level should

be both overall and disaggregated by geographic location (by district, constituency, CC,

electoral division, village), gender (male, female),age, status (active, incomplete and exempt)

and component of the CCT-pilot (education and health).



33



34

C. MONITORING OF CONDITIONALITIES/CO-RESPONSIBILITIES

The diagram below presents the different phases of the Monitoring of Conditionalities and

Co-responsibilities process.

Figure 5: Flow Chart of the Compliance Monitoring Process


Activities

Compliance Monitoring

Operations

Logistics Plan

Procurement

Capturing Enrolment / Attendance Information

Data Entry

Preparation of Materials

Communications campaign

Generate indicators

Trigger Institutional Incentives


Community Mobilization

Training

Calls and Appointments

Generate Indicators

Generate results

Trigger CM System

1. Planning and Preparatory Activities

Planning involves all the steps prior to implementation/fieldwork. In order for the Monitoring

of Conditionalities and Co-responsibilities process to be successful, it must be initiated at the

Central Level, organized at the District Level and finalized at the FacilityLevel.

The preparatory activities for the Compliance Monitoring process include:

(i) Logistics Coordination–based on gathering (i) the number of schools and health

facilitieseffectively enrolled per selected CCand district, and (ii) the number of

CCT beneficiaries per facility (school and health facility), selected CC and

district; for each selected school - the number of beneficiaries per Standard.Based

on these, the transportation and materials required are estimated.Preparation and

Distribution of Materials–the District Level staff is responsible for putting



35

together the required number of Compliance Quarterly Kits for the process and the

production and distribution of materials as the Compliance Monitoring Forms to

the Facility level.

(ii) Trainings – The field and facility staff receives training on their responsibilities in

the process.

(iii) Appointments –appointments are made with the respective facilities on when they

are visited by the Programme staff.

(iv) Community Mobilization –The objective of the community mobilization campaign

is to ensure that the community understands the monitoring process and how it is

linked to the CCT pilot, especially in terms of possible penalties. During this

stage, the nature of the CCT pilot, its objectives and upcoming plans are reviewed

with the community.

(v) Communications Campaign -spreading information and reinforcing the training

that beneficiaries received during enrolment, it is important that the Central Level

procures materials applicable to each treatment group, and ensure that these reach

the correct locations. At the District Level, the programme officers with the help

of health and education district authorities distribute materials to partner facilities’

staff.

2. Compliance Monitoring Operations

Implementation covers the process of recording attendance information.

For education facilities, the assigned staff completes the School Attendance Monitoring Form

for beneficiary children on a monthlybasis, andthe form is later delivered to / collected by the

assigned programme District Level staff.

For health facilities, the assigned programme District Level staffcompletes the facilities

records and provides access to them to the Programme staff so that they can complete the

Health Attendance Monitoring Form for beneficiary children at the health facility.



36

3. MIS Data Entry and Closure

Once data collection has been completed in the field and all completed forms are with the

relevant District Level staff at the MOSD District offices, the classification of forms and their

organization for storage is carried out in parallel with data entry activities.

Attendance data collected by the health and education service providersis entered into the

MIS by the relevant District Level staff, and it is monitored and supervisedby the Data Entry

Coordinator assigned from Central Level.Once the data entry process is closed for a

monitoring quarter, no information can be entered or altered for that monitoring cycle.


The MIS generates the following lists every quarter, and these lists should be easily sorted by

or generated for various geographical breakdowns (district, constituency, CC, electoral

division, village):

List of beneficiaries in the education component of the CCT;

List of beneficiaries in the health component of the CCT;

List of beneficiaries who have complied with the required conditionalities/co-

responsibilities;

List of beneficiaries who have not complied (partially or fully) with the required

conditionalities/co-responsibilities;

List of active beneficiaries; and

List of exempt beneficiaries.


A list of indicators is generated as a result of the process of compliance monitoring; to be

used by the higher management levels of the CGP as a tool to evaluate, supervise, monitor

the process, make decisions and estimate the results of the process.

D. PAYMENTS

At the end of each monitoring cycle, payments are made to the beneficiary HHby contracted

payment agencies. The process is summarised in three broad activities in the figure below:



37



38

Figure 6: Flow Chart of the Payments Process


During this phase of implementation the MOSD has to ensure that:

(i) Payment Agencies are trained;

(ii) Payment Lists and offline file for paymentsoftware are generated and delivered to

payment agencies;

(iii) Letter for Release of Funds is prepared;

(iv) Payment Barcode Stickers are obtained and printed;

(v) Beneficiaries are informed about the process via ASWOs and VACs/Village

Chiefs; and

(vi) Payment Books are prepared and distributed.

PAYMENT

PROCESS

PREPARATORY

ACTIVITIES

PAYMENT TO

BENEFICIARIES

ACTIVITIES

AFTER THE

PAYMENT

Training to Payment Agencies

Generation of payment lists

Generation of Payment amountbarcodes stickers

Development of offline file for software

Dissemination of information to beneficiaries

Check if payee documents are complete

Check ID of payee/ representative (scan or

manually)

Affix payment amount barcode stickers payment

list and payment book

Scan payment amount barcode sticker and verify

amount

Pay out the respective amounts

(Scan payment list in case not done during

payment)

Deliver payment software file and reconciliation

file to DSW

Upload payment software file into MIS

Beneficiaries sign payment list for receipt of

money

Generate reconciliation report

Agree and sign reconciliation report



39

2. Payment to Beneficiaries

With the groundwork laid during the preparatory activities, the MOSD works closely with the

Payment Agencies to ensure programme beneficiaries receive their quarterly payment in a

regular manner (March, June, September, and December). The following activities take place

during the payment event:

(i) Beneficiaries visit their designated payment points and present ID and Payment

Book;

(ii) The assigned Payment Officer verifies identification and cross checks beneficiary

details in the payment book with offline software;

(iii) In the case of positive identification, the payment amount is verified based on

information in the payment software and a payment receipt is filled out by the

payment agency representative;

(iv) The corresponding payment barcode sticker is affixed to the payment book and a

duplicate barcode sticker is placed on the payment list;

(v) The barcode sticker in the payment book is stamped and payment date entered in

both payment book and payment list;

(vi) The payment software is updated with the amount being paid out on that specific

date and

(vii) The payment agency representative gives the payment amount to the beneficiary,

who signs on the payment list to confirm receipt of funds.

Aside from collecting payments, beneficiaries can also present a case for Case Management

at the payment event by completing the appropriate form with a programme officer.

3. Reconciliation

These activities take place after the payment event has closed. The following actions are

carried out:

(i) Scanning of payment lists with ID barcodes and payment amount barcode stickers,

if this was not done during the process of making payments to beneficiaries;

(ii) Delivery of payment software files and payment lists to MOSD by Payment

Agency;

(iii) Uploading of the software files to the MIS and Generation of Reconciliation

Report; and



40

(iv) Signing of Reconciliation Report by MOSD and Payment Agency.

E. CASE MANAGEMENT

The basic Case Management (CM) system is a series of protocols which respond to specific

beneficiary requests and programme alerts. Its purpose is to provide solutions to:(i) demand-

side cases where beneficiaries require to file updates, complaints, claims, eligibility appels,

replacement of documents, or denouncements;; and (ii) supply-side cases arising from

restrictions, alerts and warnings produced automatically by the MIS.

The Case Management is handled across the Enrolment, Compliance Monitoring and

Payments processes. The process consists of the following stages:

Planning and preparatory activities;

Operations: fieldwork, data entry and processing of information, case management;

Generate indicators.

An illustration of the process is presented below.



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Figure 7: Flow Chart of the Case Management Process


Activities

Case Management

Operations


Production and Distribution of Materials

Demand-side Cases

Supply-side Cases

Training

Community mobilization and communications

campaign

Generate indicators Generate Indicators


Budgeting


Planning involves all the steps prior to implementation. In order for the CM process to be

successful it must be initiated at the Central Level, organized at the District level and

finalized at the Council level. Activities involved in this stage of the process include:

(i) Logistics Coordination: Estimation of staff requirements and other needs

(accommodation, transportation, per-diems, airtime, training needs) – performed

at Central Level.

(ii) Procurement, Printing and Distribution of Materials: Generation and printing of

CM forms is performed by the relevant District officer monthly (or as often as

needed), together with the distribution of forms to the relevant District CM-

dedicated staff. In addition to this, the relevant District officer produces alerts,

warning, and notification letters and distributes them to the relevant District CM-

dedicated staff for further distribution to the HHs;

(iii) Community Mobilization: Provide general information about the CM process to be

carried out by the CCTstaff in the community council. During this stage the rules

of the CCT for each Treatment Group are shared again with the community;



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(iv) Communication Campaign: Selection of the best method(s) of dissemination (e.g.

brochures, posters, flyers) for information on the main characteristics of the CCT

pilot and the CM procedures available for the HHs to take advantage of;

(v) Training: Organization of various sessions based on audiences: (a) for CM-

dedicated staff and all levels; (b) for VACs and Village Chiefs; and (c) for

relevant data entry officers;

(vi) Budgeting: All human resources, materials, transportation, accommodation,

airtime and training needs estimated at the logistics stage are now analysed and

budgeted in order to facilitate financial control of the actions carried out during

the CM process. Forecasting of cost implications of the CM process is also

performed.

2. Case Management Operations

This phase of the CM process captures the reporting or detection of demand and supply side

cases respectively.

Sixtypes of demand side cases are handled by the programme:

(i) Updates – HH reports the update and relevant programme staff updates the MIS.

Changes are verified at the central level,and beneficiary notificationsare generated

and sent, containing information on the implications of the update.

(ii) Payment Claims – HH reports this case to the relevant programmerepresentative, a

Payments Claim Form is completed, and relevant programme staff updates the

MIS. All these forms are later reviewed by the CCT Project Officer and cross-

checked with Health Care Attendance and Monitoring of School Attendance

Forms as necessary. Following resolution of the case, the beneficiary is presented

with a notification letter.

(iii) Quality Complaints –HH reports the case and is required to complete the relevant

complaints form. The CCT Project Officer enters the data into the MIS and the

case is then handled by the Case Management Coordinator. Following resolution,

the beneficiary is notified by way of letter.

(iv) Eligibility Appeals- HH is instructed to complete the respective CM form, and the

CCT Project Officer enters this data into the MIS.The Case Management

Coordinator reviews the validity of the case and a resolution is derived. A

notification letter is generated through the MIS to inform households of outcome

of the appeal.



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(v) Denouncements – Beneficiaries or non-beneficiaries file this case which is then

entered into the MIS. The case is reviewed by the Case Management

Coordinatorand the outcome is communicated to the HH by way of letter.

(vi) Requests for Replacement ID/Payment Books – The HH completes the respective

CM form and case is reviewed byCase Management Coordinator and then

forwarded to the Payments Coordinator. The Payment Coordinator generates ID

and Payment Book as necessary and dispatches them for delivery to beneficiaries.

For supply side cases, two types of cases are handled by the programme:

(i) Exits: – The following lists are generated at various points in time: (a) list of HHs

missing 3 consecutive payments (generated at the end of every payment cycle);

(b) list of HHs which no longer have children in the household (before each

payment cycle); (d) list of HHs who moved to locations not covered by the pilot.

All these lists are reviewed by the Case Management Coordinator for resolution,

and the beneficiaries are informed via notificationletters.

(ii) Restrictions: A list of households which are restricted due to consecutive non-

compliance and dueto failing to present child birth certificates in the required time

(before each payment cycle); is generated.

(iii) Alerts–The Case Management Coordinator generates alerts (reminders to attend

payment events and/or to submit birth certificates). The Case Management

Coordinator generates the reminder letters and the HH notification letters, and

sends them for distribution to the HHs.

Additionally, a quarterly Case Management report containing alerts linked to non-compliance

of co-responsibilities is also generated from the CM Module. Necessary steps are taken to

remedy situation based on the Treatment Group a HH belongs to.

3. Case Management Resolution

Once the case is presented, data is entered, and the data entry quality is checked, the actual

resolution of the case starts. Below is a description of how each case is resolved.

a) Demand-Side Cases

The general steps are the following:

Once the Data Supervision status is “Complete”, MIS sends a notification to the

District Coordinator for handling (containing number of new cases to be taken care of,



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by case type). The MIS allows District Coordinator to forward these notifications to

various other actors in charge of dealing with various CM cases (e.g. he/she should be

able to send a notification to the Payments Coordinator that x Payment Claims and y

Requests for Payment Books are awaiting his response);

The relevant MOSD staff handles the case;

If there is a change in eligibility, then written approval from the Case Management

Coordinator and CCT Coordinator is needed for the resolution to be entered and for

the case to be assigned a closed status. If the Case Management Coordinator and/or

the CCT Coordinator do not agree with the resolution, the case is sent back for re-

consideration, while its status in the MIS remains Pending.

The resolution of the case is communicated with the HH via letter.

b) Supply-Side Cases:

i. Restrictions and Exits

At the appropriate time, the Case Management Coordinator receives notification about HHs

which should be restricted or removed from the programme. After one more review, he/she

accepts the cases and then the MIS automatically changes the HH status from “Beneficiary”

to “Restricted” or “Exited.”

ii. Alerts

The most critical alerts are:

Warning Letters for HHs;

Cases Pending to be monitored and closed by CCT Coordinator; and

Significant Quality Complaints.

Alerts are generated for two levels:

a) Internal Alerts9: To notify the relevant MOSD staff (e.g. the CCT Coordinator) of the need

to monitor, take action and/or close cases; and

b) External Alerts: To notify HHs to take remedial actions to avoid being restricted from the

programme.

9 To be developed by local IT Firm



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c) Delivery of Notification

As soon as the resolution is entered into the MIS and the case is closed, the MIS should

automatically generate internally a Notification /Warning Letter as appropriate. The

appropriate user (CM and/or District Coordinator) reviews the letter, makes changes if

necessary, and approves it for printing. At this stage, the letter is ready to be printed at any

time.

In order to order to maximize efficiency, every effort should be made to ensure the delivery

of Notification and Warning Letters to the beneficiary during one of the various events. For

the HHs which do not get their Notification Letter during one of these events, the MOSD

should plan for case-by-case delivery no later than 15 days after the letters were generated.

Only in extreme cases should the MOSD use the VACs or Village Chiefs for delivery.


For each type of case the MIS produces the number and percentages of accepted, rejected and

pending cases, as well as the average time to solve a case and the percentage of cases solved

within the recommended time.



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V. MONITORING AND EVALUATION

The monitoring and evaluation process involves gathering information about the programme

implementation and evaluating the performance of the programme relative to its intended

objectives.

Monitoring describes the records of activities, their results and associated problems during

programme implementation. Evaluation provides explanations of the factors accounting for

the performance of the programme. As presented in the figure below, Monitoring and

Evaluationcan take place throughout the implementation of the CCT.

Figure 8: Monitoring & Evaluation throughout the Programme Cycle

1. Programme Planning

During the programme planning phase, an ex-ante evaluation may be carried out. This

evaluation could provide data on programme feasibility by examining supporting policies,

institutions and financial resources required for the implementation of the programme.

Likewise, a baseline study could also be carried out during this phase of the programme.

Gathering baseline information provides the data needed to conduct an impact evaluation at

the end of the programme.

2. Programme Implementation

During the programme implementation stage, the various programme processes can be

assessed through process evaluations, spot checks and rapid assessments. The process

•Ex-Ante Evaluation

•Baseline Study (part of an Impact Evaluation)Programme Planning

•Process Evaluation

•Rapid Assessment

•Monitoring

•Spot Checks

Programme Implementation

•Follow-up Survey (part of Impact Evaluation)

•Rapid AssessmentProgramme Completion



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evaluation can help to determine whether target populations are being reached and if services

are being provided as intended. Indicators for the processes within the pilot project cycle are

monitored throughout the project implementation. It is through this continuous monitoring

process that programme achievements can be assessed.

3. Programme Completion

At this stage, a follow-up survey can be conducted, to serve for finalizing the impact

evaluation. This can provide programme implementers with information on how the

implementation of the project affected programme beneficiaries and service provision in the

participating institutions. This impact has to be compared to the baseline data, which

demands the collection of baseline data before the implementation of the project.

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