Pilot
Operations Manual
September 2008
Prepared by: Lorraine Blank, Ph.D.With the Assistance of the Child Grant Technical Team
Lesotho Child Grant
Operations Manual
Table of Contents
I. Introduction 1
A. Background 1
B. Objectives of the Pilot 2
C. Target Group for the Lesotho Child Grant 2
D. Purpose and Objectives of the Operations Manual 3
II. Implementation Structure for the Lesotho Child Grant 3
A. Organizational Structure within the Ministry of Health and Social Welfare 3
B. Implementation Structure at the District and Local Levels 8
C. Responsibilities of Local Government Actors 9
D. Responsibilities of Local Level Committees 11
E. Responsibilities of Other Participants 14
III. Operational Parameters of the Lesotho Child Grant 16
A. Programme Scope 16
B. Programme Cycle 16
IV. Management of Child Grant Cases 25
A. Record Keeping 25
B. Changes in Household Status 26
C. Uncollected Benefits 26
D. Exit Policies 27
E. Appeals and Complaints 27
V. Public Information and Training 30
A. The Public Information Campaign 30
B. The Training Plan 30
VI. Programme Monitoring and Evaluation 32
A. The Management Information System 32
B. Implementation Monitoring 33
VII. Accountability and Control Mechanisms 33
A. Overview of Accountability and Control 33
B. Process Monitoring 34
C. Financial Audits 35
XIII. Financial Cycle 35
A. Cash Flow Requirements 35
B. Flow of Resources through Government 35
C. Flow of Resources through UNICEF 35
D. Verification of Expenditures 35
IX. Impact Evaluation 36
ANNEXES 37
Annex A: Job Descriptions 38
Annex B: Terms of Reference: Child Grant Technical Team 43
Annex C: Enrolment Guidelines 44
Annex D: Programme Forms 49
Annex E: Payment Annex 50
Annex F. Estimated Schedule of Activities 51
Lesotho Child Grant
Operations Manual
I. Introduction
A. Background
Lesotho has one of the highest adult HIV/AIDS prevalence rates in the world. The pandemic has already had a considerable effect in Lesotho and has increased the development challenges to the country. The current complex humanitarian crisis in Lesotho is attributed to poverty, drought and the HIV/AIDS epidemic. With an HIV/AIDS prevalence rate of 23 percent among adults aged 15-49 (GOL 2005), Lesotho has the third highest sero-prevalence rate in the world (UNAIDS 2004). In a country with a total population of 1.8 million, the death of thousands of productive members of society as a result of HIV/AIDS has compounded the impact of poverty on children and youth. There are over 180,000 orphaned children, of which an estimated 100,000 have lost parents due to HIV/AIDS (UNAIDS, 2004).
Poverty, the HIV/AIDS pandemic and food insecurity are currently the biggest threats to the survival, care, protection and development of children in Lesotho. In this context, the opportunity for children to survive and thrive depends upon the twin pillars of protection and provision of basic services. The Department of Social Welfare in the Ministry of Health and Social Welfare (MoHSW), with technical support from UNICEF and financing from the European Union (EU) and the Government of Lesotho (GoL) will implement a Child Grant Programme targeted to Orphans and Vulnerable Children (OVC) in Lesotho.
The objective of the Lesotho Child Grant is to improve the living standards of OVCs so as to reduce malnutrition, improve health status, and increase school enrolment among OVCs. A second objective of the programme is to strengthen the capacity of the MoHSW to deliver cash grants to households with children.
The Lesotho Child Grant will provide a regular and predictable cash grant to households with orphans and vulnerable children. The Child Grant will be established with external resources; however, it is envisioned that the Child Grant will become an ongoing programme of the GoL.
The Child Grant is a component of the European Commission Financing Agreement. The Child Grant will be implemented as part of a Cooperation Agreement between the European Commission and UNICEF in which UNICEF will provide technical supervision for the European Commission funded OVC Programme, including the Lesotho Child Grant.
B. Objectives of the Pilot
The objective of the pilot is to reach approximately 5,000 orphans and vulnerable children in three districts with a Cash Grant. With an average of four children per vulnerable household, this means that the Child Grant will reach about 1,250 households with OVC during pilot. The pilot is expected to commence in late 2008 and continue through 2009.
The pilot will develop and test systems for targeting, enrolment, payment of beneficiaries, monitoring, procurement and financial management, training of stakeholders, public information and education. Lessons learned will guide refinement of the Cash Grant in preparation for a roll out of the Lesotho Child Grant to 60,000 beneficiaries in all districts.
C. Target Group for the Lesotho Child Grant
The Child Grant will be piloted in the following communities:[1]
1. Lebakeng
2. Matelile
3. Semonkong
The Lesotho Child Grant is targeted to poor households with children.[2] The target group will include poor households caring for orphans, including single orphans, double orphans and child headed households. The target group will also include poor households caring for children who are not orphans, but who are vulnerable by virtue of their poverty status.
Poverty status will be defined using Bureau of Statistics data to identify household targeting indicators for the Child Grant. A community targeting system will be developed and these indicators will guide the community as they identify households that are poor to participate in the pilot using these indicators.
For the pilot, income poverty estimates from census will be used to determine the number of households below the poverty line in each community (and each village if it is feasible) and the ceiling on the number of households from each village that can be accepted. Then community selection mechanisms will be used to identify eligible households up to the ceiling.
D. Purpose and Objectives of the Operations Manual
This Operations Manual describes the operations of the Lesotho Child Grant for the pilot phase and provides a set of rules, procedures and instructions on the organization and operation of the Grant. The objective of the Operations Manual is to guide the operations of the Lesotho Child Grant pilot by detailing all operations and functions to be performed so as to ensure:
ü Consistency across and within districts
ü Timeliness
ü Accuracy
ü Accountability
A second objective of the Operations Manual is to define and describe the respective roles and responsibilities of stakeholders. The Operations Manual will also help stakeholders understand the organization and activities of the Child Grant.
This manual reflects the Financing Agreement between the Government of Lesotho and the European Union. Nothing in this manual alters the rights and obligations of the parties as specified in the Financing Agreement.
This Operations Manual is a “living document.” The present version will be in effect for the length of the Pilot. If either Government or UNICEF considers it necessary to introduce changes to the Operations Manual during the pilot, both parties must discuss the proposed changes with the Child Grant Technical Team, a multi-agency committee chaired by the Director of Social Welfare, that has been formed to oversee development and implementation of the Child Grant. Changes must be agreed to in writing. After completion of the pilot, the Operations Manual will be reviewed and adjusted in preparation for the expansion phase of the Child Grant.II. Implementation Structure for the Lesotho Child Grant
A. Organizational Structure within the Ministry of Health and Social Welfare
The Lesotho Child Grant will be implemented by the Ministry of Health and Social Welfare (MoHSW), through the Department of Social Welfare (Figure 1).
Figure 1: Implementation Structure within the Ministry of Health and Social Welfare
The functions of the Child Welfare Division are:
1. To develop, review, and monitor child welfare policies and programmes
2. To provide a protective environment for child care and survival as well as ensure placement of children-in-need-of-care
3. To mitigate the impact of HIV and AIDS among children
4. To monitor and regulate child care facilities
5. To provide recreational facilities to enhance the development of children
6. To prevent neglect, abuse, and abandonment of children
7. To ensure the provision of foster care services, adoption services, and residential care services where required
8. To capacitate Community Child Welfare structures, including other stakeholders
9. To mobilize resources for Child Welfare programme
10. To develop and disseminate information and education materials
The Organizational Structure within the Department of Social Welfare is shown in Figure 2. The organizational structure of the Child Grant has been developed to meet the operational requirements of the Child Grant pilot. Nonetheless, most of the core processes will carry over to the expansion. Job descriptions for core staff are provided in Annex A.
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Figure 2: Organizational Structure within the Department of Social Welfare
Number in ( ) = staff complement
Job Descriptions for positions marked with* are provided in Annex A
46
The Ministry of Health and Social Welfare, through the Principal Secretary, will be responsible for:
1. Providing policy direction for the Child Grant
2. Periodic reporting to the relevant bodies on the progress of the Child Grant
3. Reviewing all relevant reports and evaluations of the Child Grant and, if needed, recommending adjustments or changes to the Child Grant
The Ministry of Health and Social Welfare, through its various departments, will provide technical supervision and support as follows:
1. Hiring and/or contracting required staff (Human Resources Unit)
2. Procuring goods and services required to implement the Child Grant (Procurement Unit)[3]
3. Issuing payments for goods and services procured for the Child Grant for payments to beneficiaries (Project Accounting Unit)
4. Maintaining fiduciary controls for the Cash Grant (Project Accounting Unit)
5. Designing and delivering the required training for beneficiaries and other stakeholders and a Public Information Campaign (Health Education Unit)
The Ministry of Health and Social Welfare will:
1. Provide office space to house officers working on the Child Grant
2. Provide all necessary utilities to support implementation of the programme
The Department of Social Welfare, through the Director of Social Welfare, will be responsible for:
1. Ensuring that implementation is carried out in an efficient and professional manner that is consistent with the policy intent of the Ministry of Health and Social Welfare
2. Ensuring coherence with Ministry implemented activities financed through the wider E.U. funded OVC project
3. Reporting to the National Orphans and Vulnerable Children Coordinating Committee
4. Chairing the Child Grant Technical Team, which has been formed to provide technical oversight for the Child Grant (See Section II.E)
5. Ensuring that all goods procured for the Child Grant are maintained in accordance with manufacturer specifications
The Child Welfare Division, under the direction of the Chief Child Welfare Officer and the National OVC Coordinator, but reporting to the Director of Social Welfare for all Child Grant Functions, will:
1. Oversee the identification and selection of beneficiary households;
2. Produce the final consolidated lists of eligible households;
3. Oversee the district-level logistics for enrolment;
4. Provide beneficiary payment lists produced by the MIS to the PAU in order for the PAU to: (i) deliver this list to the Payment Agency and (ii) ensure that there are adequate funds for each payment;
5. Ensure in consultation with the payment agency and the senior district child welfare officers, the logistics of payment (e.g. payment timetable, pay points location, security, communication, etc.);
6. Ensure, in consultation with the senior district child welfare officers, the proper functioning of the various committees involved in the operation of the programme;
7. Ensure, in consultation with the senior district child welfare officers, that due process is followed in handling appeals and complaints;
8. Ensure required documentation and reporting on all aspects of the programme.
The Child Welfare Division, under the direction of the Chief Child Welfare Officer but reporting to the Director of Social Welfare for all Child Grant functions, will be responsible for the following Child Grant functions:
1. Financial Management: With professional supervision by the Finance Manager of the PAU, all of the financial aspects of the Child Grant and for operating and maintaining a budgeting and supervision control system to facilitate tracking of programme budget, resource flow and physical progress. This includes budgeting, payments for goods and services required for the operation of the Child Grant, and for maintenance of the Child Grant Beneficiary Account, from which disbursements to beneficiaries will be made and reconciliation of the Beneficiary Account. This also includes reconciliation of the UNICEF Project Account and reporting to UNICEF on disbursements from the Project Account.
2. Monitoring and Evaluation: With professional supervision by the Director of the Department of Health Planning and Statistics, monitoring and implementation of the Child Grant, collecting data and reporting on established monitoring indicators for the Child Grant and coordinating with the consultants and/or firms contracted to design and implement the impact evaluation. The functions will be supported by the envisaged Department of Social Welfare Monitoring and Evaluation System to be supported by the Global Fund.
3. Management Information. With professional supervision by the Director of the Department of Health Planning and Statistics, supporting the management and administration of the Child Grant through capture and automated generation of reliable data and the application of technology for targeting, enrolment, payment, complaints and appeal, and programme administration and maintaining the MIS and other Cash Grant IT equipment. Working closely with the firm contracted to design and support the implementation of the Management Information System to ensure that the system is completely consistent with the needs of the programme.
4. Information and Education: With professional supervision by the Director of the Health Education Unit, development and delivery of training programmes for the different Child Grant stakeholders and development and delivery of a Public Information Campaign.
The Child Grant Manager, who will report to the National OVC Coordinator, will have the responsibility to ensure that the planning for and implementation of the Child Grant proceed in an orderly and timely manner and in keeping with the procedures that have been established in the Operations Manual. The Child Grant Manager will ensure that all systems are in place so that the programme will continue to operate smoothly. The Child Grant Manager also has the task of providing guidance to the staff in their duties, as they relate to the Child Grant, including staff at central and district levels. The Child Grant Manager will work closely with the Chief Child Welfare Officer and will have responsibility for the planning, coordinating and monitoring the logistics for the implementation of all of the activities of the Child Grant Programme. The Child Grant Manager is responsible for ensuring that all procedures outlined in this Operations Manual are adhered to. (See Annex A for Job Description)