As-Is and To-Be Process Mapping Social Safety Nets Project September 2017 Samurdhi “As is� Process Mapping July 7, 2017 Outreach, Selection and Enrollment of beneficiaries TW3 Outreach, Selection and Enrollment of beneficiaries MOSEW & 1 DoS Announcement for re-enrollment issued to DS and DoS makes Island-wide dissemination 2 7 8 DS Division DS through HQ Forms verified and approved Data entry into Manager informs all for data entry by HQ MIS by Samurdhi Next page SDOs of re-enrollment Manager & DS Officer 6 Zone/Bank Application forms verified and submitted to DS through HQ Manager 3 5 Beneficiaries GN Division SDO/EDO/GN informs HHs Application forms compiled, checked about the application & for completeness by SDO/EDO/GN & enrollment & provides form submitted to Zone/Bank for verification 4 Interested HH completes & submits application forms to SDO/EDO/GN Slide 4 TW3 What do the peach squares mean? Thomas Walker, 7/7/2017 TW2 Outreach, Selection and Enrollment of beneficiaries MOSEW & DoS 9 10 From Scores of each HH DoS generates household & GN previous generated using MDS Division-wise ranking list (excel page criteria & weights spreadsheets) & sends to DS applicable to every DS DS Division 11 12 13 HQ Manager checks and updates the Updated ranking list List of selected applicants (85%) and benefit ranking list by removing duplicates, dead submitted to DS level amount approved by DS level committee based or ineligible etc. with help from SDOs committee* for approval on quota & published at DS Notice Board Zone/Bank 14 List published at Bank notice board 15 GN Division 11 GN/EDO/SDO informs people of Next SDO/EDO/GN undertake physical the publication of list and page verification, if needed appeal process Benefi ciaries *DS level committee: Assistant DS (chair), HQ manager, Director of planning Slide 5 TW2 Start and end points do not align with previous and subsequent pages. Suggest have arrow to respective line before 'next page' bullet. Thomas Walker, 7/7/2017 TW1 TW4Outreach, Selection and Enrollment of beneficiaries MOSEW & DoS 16 17 18 19 20 DS Division Appeals committee Unselected / Compiled list of From checks the data in the Yes Score of HHs in ranking sheet Next unsatisfied HH appeals goes to Appeal previous system, conducts revised, eligible HHs added to page page appeals to DS via Appeal Committee* accepted physical verification on the final list (85%+15%) HQ manager headed by DS sample basis End Process No Zone/Bank Benefici GN Division 18 SDO/EDO/GN undertakes physical verification, if needed aries *Appeals committee: Division Secretary, Accountant, Social Service Officer Slide 6 TW1 step 16 should really be at beneficiary level Thomas Walker, 7/7/2017 TW4 This is really 'appeal' process, not selection & enrollment...? Thomas Walker, 7/7/2017 TW5 Outreach, Selection and Enrollment of beneficiaries MOSEW & DoS 22 Final list sent to DoS for *Enrollment process currently zone/bank wise allocation takes 6 months 21 DS Division From Final list approved by DS previous Committee & published at DS page notice board 22 26 Zone/Bank Bank A/c for new Final list published at Enrollment beneficiaries opened & Bank’s notice board completed seeded in the master list GN Division 23 24 Final list with amounts SDO informs new for each HH provided to beneficiaries to open SDO bank account Beneficiaries 25 Beneficiaries completes formalities to open bank account Slide 7 TW5 Process for exit of former beneficiaries? Thomas Walker, 7/7/2017 Payments TW6 Payments MOSEW & DoS 1 2 8 DoS receives final list DoS authorizes monthly Monthly reconciliation report of beneficiaries from transfer from Department received at DoS and used for every DS Division to Zonal Bank Accounts next month’s transfer (first week) 7 District 3 Monthly reconciliation from DS Division sent to DoS Letter of transfer from DoS received by District 6 DS Division Director & DS HQ manager informs bank of any Monthly reconciliation from changes to the list, can replace Banks received beneficiaries in case of deaths 5 Zone/Bank 4 Monthly allocation received Transfer benefit amount from zonal at Zonal Bank A/c account to individual account every month in the first week 6 Division SDO Inform DS of any Inform beneficiaries GN changes to the list of transfers 7 Benefici aries Beneficiary withdraws Slide 9 TW6 How do we interpret the two-headed arrow? Thomas Walker, 7/7/2017 TW7 Grievances re. payments TW8 MOSEW & 1 2 DoS DoS receives complaints in Files and categorizes 3 writing or via hotline complaints • Ask DS/District/Audit officers/Bank to investigate District 1 2 • Take disciplinary action as needed Receive and register Files and categorizes • Inform beneficiary payment related complaints Zone/Bank DS Division grievance in writing at 5 DS / District Beneficiary visits DS office to check status of their complaint 4 Bank manager investigates & submits an action taken report to DS GN Division 6 Beneficiari Beneficiary informed of es grievance redress Slide 10 TW7 Grievances should originate with beneficiary, and step 5 should be at beneficiary level too. Thomas Walker, 7/7/2017 TW8 Do the boxes overlapping two lanes mean either can carry out the action? Thomas Walker, 7/7/2017 TW9 Monitoring and Reporting MOSEW & DoS District District-wise monthly report prepared and submitted to DoS Zone/Bank DS Division Division-wise monthly report prepared and submitted to District Zone wise monthly report prepared and submitted to DS Division GN Beneficiarie s Slide 11 TW9 Does DoS do anything with the reports? Thomas Walker, 7/7/2017 Graduation • Currently 1.4 million HHs are beneficiaries • Divisions are instructed to graduate 10% of the beneficiaries • Those graduating receive LKR 420 per day. Of the 420 • LKR 100 goes to the social security fund • 50 to the lottery fund • 270 into the savings account Outreach, Selection and Enrollment of beneficiaries (Elders) Outreach, Selection and Enrollment of beneficiaries (Elders) 1 MOSEW & Issues the enrollment notice based on the NSE circular and start enhancement of the program in District/Divisional Secretariats Secretariat District 1 District Secretary informs to Divisional Secretaries about the enrollment notice through the letter for information 2 GN Division Secretariat 3 Divisional 7 ERPO/ SSO go through applications 8 DS informs to ERPO/ SSO/ ERPO/ SSO/ DO distribute and verify and recommend ERPO/SSO prepare eligible Next DO about the notice and applications to suitable persons by applicants by paying field visits list and submit to Divisional page start the enrollment process considering poverty, income data etc. Each cases Secretary for accept 6 GN determines the source of income etc. of Applicants and submits his recommendations Post Office Beneficiaries 4 5 4 Applicant Receives Applicant advert filled Download application through the Application form application for the website/ Divisional Secretary/ from ERPO/SSO/DO recommendation to GN Relevant Ministry etc. Outreach, Selection and Enrollment of beneficiaries (Elders) MOSEW & 10 Ministry receive the NSE information about final list/waiting list from DS Secretariat District 12 ERPO/ 13 14 15 GN Division Secretariat 9 Yes SSO/ DO Divisional From ERPO/ SSO/ DO DS Approves ERPO/SSO DS accept maintain beneficiaries prepare beneficiaries beneficiaries issue it to the previous Waiting List eligible list list, conduct annual payment card payment card beneficiaries page 11 survey and record life Not Eligible certificates GN verbally informs 11 ineligibility of the applicant Post Office Beneficiaries 11 Applicant receives 16 Receives the Enrollment information Payment Card Completed Waiting list Enrollment of beneficiaries (Elders) Outreach, Selection and Enrollment of beneficiaries (Elders) MOSEW & NSE Secretariat District GN Division Secretariat Divisional 2 3 4 DS collects the non claiming DS approved the beneficiaries Approved beneficiaries payment card vacant list of elders under from the waiting list according prepare and handover to GN to issue the all GN division to the priority list the beneficiaries with the approved list 1 5 ERPO/ GN/ SSO/ DO inform the GN collects the details and inform selected beneficiaries and GN issue the to the Divisional Secretary payment card Post Office Beneficiaries 6 ERPO/ GN/ SSO/ DO receive the Waiting list enrollment information of selected completed beneficiaries of the elders program Budget Preparation & Allocation (Elders) Budget Preparation & Allocation (Elders) Parliament 4 Yes 5 Hon. Speaker sign the Parliament approve approved budget and National Budget inform to MoF MoF (DoNB) 3 6 7 Finance Minister signs MoF inform approved Prepare national budget and submit to warrant for the approved annual budget allocation Parliament for approval budget for the relevant ministry MoSEWKH 2 9 Prepare intergrated budget estimate 8 MoSEWKH receives Prepares and informs total financial for the following year and submit to financial allocation from allocation list for each District MoF Annual Budget Secretary copy to MoFM Department/s 1 Prepares following year budget estimate to submit the line ministry after the calling the budget Secretariat 10 District District Secretariat informs the allocation for all Divisional Secretaries Secretariat Divisional 11 Divisional Secretary receives financial allocation and inform to the Accountant to prepare the cash forecast Payments Process (Elders) MoFM 3 MoFM receive all District 4 Approved cash forecasts Secretariats monthly cash release through the bank forecasts and review and approve account to District Secretariats District MoSEWKH Secretariat Secretariat & NSE 2 5 Chief Accountant prepares all Divisional Requested cash amount Secretariats cash forecast within five working received from MoFM days during the month and send to the MoFM through the Bank 6 Divisional 1 7 Accountant prepares the cash forecast within two Every month Divisional Secretary Divisional Secretary issues the working days during the month and send to the receives cash from District cheque with approved list to District Secretariat Chief Accountant Secretary against allocation Post Office for payment Division GN Beneficiari Post Office Post Office receives the Next 8 payment with approved list Page es MoFM 15 Receive the expenditure detail and Payment Process update to the National Expenditure Completed District MoSEWKH 14 & NSE Monthly Actual Expenditure and Receive annual physical physical progress accounted through progress report Accounts summary Secretariat Secretariat 13 Every month District Secretary submits Actual monthly expenditure on or before 5th of following month through the government accounting system Divisional 12 Divisional Secretary informs Actual Expenditure details to District Secretary through monthly accounts Division GN Beneficiari Post Office 9 11 From Post Office pays the payment to the Beneficiaries by entering to the Approximately on or before 26th of every month Post Office submits the Previous Beneficiary payment card issued by Divisional Secretariat. (Every month monthly payment details and sends balance money by Money order to Page approximately between 15th – 22nd) Divisional Secretariat. 10 es Beneficiaries receive monthly payment Outreach, Selection and Enrollment of beneficiaries (Disable) Outreach, Selection and Enrollment of beneficiaries (Disable) 1 MOSEW & Issue the circular for enrollment and NSE announce to District Secretaries about the Program Secretariat District 1 District Secretary informs to Divisional Secretaries about the circular through the letter Secretariat 10 Divisional 2 3 DS informs to SSO/SDA/DO about SSO/SDA/DO distribute SSO/SDA/DO go through applications Next circular and start the enrollment application form to and verify and recommend applicants page process applicants by paying field visits (Each Cases) Hospital No Not Base Hospital Base Consultant certify the Eligible 6 disability with reason Yes GN Division 8 9 GN investigate the source of income GN receives & disability etc. of Applicants & applications submits his recommendations and observations to SSO/SDA/DO Beneficiaries 4 Receives 5 Applicant fills application 4 Download application through Submit filled application Application from form and take to hospital to the website/ Divisional to GN with medical SSO/SDA/DO get medical certification Secretary/ Relevant Ministry etc. recommendation 7 Outreach, Selection and Enrollment of beneficiaries (Disable) & MOSEW & 13 Ministry receive the MOSEW NSE NSE information about final list from DS Secretariat Secretariat Secretariat Divisional District District Secretariat 12 Divisional 11 Yes SSO/SDA/DO SSO/SDA/DO inform eligible From SSO/SDA/DO prepare compile list according to priority, budget DS accept Maintain Waiting List applicants about their eligibility previous maintain beneficiaries allocation and submit to Divisional eligible list page Secretary for accept Not 14 list and waiting list 17 through the letter No 16 Eligible Division Hospital Base Post Office GN Beneficiaries GN Division Beneficiaries 15 Receive information Receives Enrollment 18 Completed about ineligibility information Payments Process (Disable) Payments Process (Disable) MoFM 3 MoFM receive all District 4 Approved cash forecasts Secretariats monthly cash release through the bank forecasts and review and approve account to District Secretariats MoSEWKH & NSE Secretariat 2 5 District Chief Accountant prepares all Divisional Requested cash amount Secretariats cash forecast within five working received from MoFM days during the month and send to the MoFM through the Bank Secretariat 6 Divisional 1 Accountant prepares the cash forecast within two Every month Divisional Secretary Next working days during the month and send to the receives cash from District District Secretariat Chief Accountant Secretary against allocation Page Beneficiaries GN Division 17 MoFM Receive the expenditure detail and Payment Process update to the National Expenditure Completed MoSEWKH & 16 NSE Monthly Actual Expenditure Receive annual physical accounted through Accounts summary progress report Secretariat District 15 Every month District Secretary submits Actual monthly expenditure on or before 5th of following month through the government accounting system Secretariat 12 Divisional Secretary issues Divisional 14 From the cheque/Cash with approved list to accounts Divisional Secretary informs Actual Expenditure Previous details to District Secretary through monthly accounts counter in DS office/ Post Page office/ Bank Beneficiaries Post Office/ Issue cash to Bank Beneficiaries or Nominee 13 Beneficiaries or Nominee receive monthly payment on 3rd week of the month from DS office counter/ Post Office/ Bank Grievance Process (Disable) Grievance of beneficiaries (Disable) MOSEW & 02 Complaints received in writing NSD Approved List NSE 06 directly to NSE and Send again to DS Secretariat District 02 Complaints received in writing directly to District Secretary Eligible DS accept 02 Receive approved GN Division Secretariat 03 Divisional Divisional Secretary assigns the 04 Committee take a decision by list and list and Complaints received in writing paying field visit and subject forward to Special Committee* for to budget allocation, priority SSO/SDA/DO inform directly to Divisional Secretary NSD for the re-verification of the Complainant given in the waiting list as per to beneficiary about the emergency or death 05 record approval new eligibility 07 Not-Eligible 02 GN receives 08 GN forwarded complain to 04 GN informs to information Divisional Secretary beneficiary about new eligibility Post Office Beneficiaries 01 *Appeal Committee : Divisional Beneficiaries who are in waiting 04 09 Receive about Grievance Process Secretary, Administrative Grama list / New applicants/ rejected Receive information Niladhari, Social Service Officer, CBR applicants appeal for benefit ineligibility Completed Member Grievance Process (Elders) Grievance of beneficiaries MOSEW & 2 Complaints received in writing NSE directly to NSE/Tell gov etc. Secretariat District 2 Complaints received in writing directly to District Secretary 2 5 GN Division Secretariat 3 6 Divisional Complaints received in writing Divisional Secretary assigns AGN or relevant Divisional Secretary appoints suitable directly to Divisional Secretary Administrative GN or relevant officer submit Next committee and handover situational report officer for situational analyze present situational Page for the re-verification (Case to Case Basis) through the field visit report to DS 2 GN forwarded complain to Divisional Secretariat Post Office Beneficiaries 01 Beneficiaries who are in waiting 4 Appeal applicant provides list / New applicants/ rejected current situation to AGN applicants appeal for benefit or relevant officer Grievance of beneficiaries MOSEW & NSE Secretariat District Decision taken subject to budget allocation, GN Division Secretariat SSO prepares Divisional priority in the waiting list as per the emergency or Appeal Committee DS informs to SSO payment card and From Appeal Committee take a death record and family members empowerment submit final decision to about eligibility of informs GN about decision about applicant Previous based on the Situational Yes DS and DS approve it applicant eligibility of new Page Analyze Report and their Waiting List beneficiary discussion No Not Eligible GN inform handover Payment Card to beneficiary Post Office Beneficiaries 11 *Appeal Committee : Divisional New applicants Grievance Process Receive Elders Secretary, Administrative Grama Completed Payment Card from Niladhari, Social Service Officer, GN/SSO for eligible Manager (Samurdhi) Outreach, Selection and Enrollment of beneficiaries (Kidney) Outreach, Selection and Enrollment of beneficiaries (Kidney) MOSEW & 11 Final list approves and Issue the circular and budget allocation for Next NSD enrollment and announce to District send to Divisional page Secretariats and Divisional Secretariats about Secretary the Program Secretariat District 2 District Secretary informs to Divisional Secretaries about the circular Secretariat Divisional 4 9 3 10 SSO distribute application SSO receives application and verify DS informs to SSO about circular DS accepts eligible list form to CKDu/CKD low income it according to the medical and start the enrollment process and send it to NSD patients certificate Not MoH inform 1 No Hospital SSO who are in Base Hospital Eligible 6 MoH/ Consultant V.P / Medical kidney effected distribute application form to Officer issued certified medical areas and details CKDu/CKD low income patients in certificate by referring patient’s clinic book and to MoSEW CKDu clinic keep the Counter Foil Yes GN Division GN recommend applications 8 & investigate the source of income & certified medical certificate etc. of Patient Beneficiaries 5 Receives Application from SSO/ website/ Submit application NSD and submit filled application form with with medical the certified medical certificate certification 7 Outreach, Selection and Enrollment of beneficiaries (Kidney) MOSEW & From NSE previous page Secretariat District Secretariat Divisional 11 12 Divisional Secretary SSO inform eligible patients receives approved list about their eligibility through the letter Hospital MoH/ GN Division Beneficiaries 13 Enrollment Receives benefits Completed confirmation Payments Process (Kidney) Payments Process (Kidney) MoFM 3 MoFM receive all District 4 Approved cash forecasts Secretariats monthly cash release through the bank forecasts and review and approve account to District Secretariats MoSEWKH & NSE Secretariat 2 5 District Chief Accountant prepares all Divisional Requested cash amount Secretariats cash forecast within five working received from MoFM days during the month and send to the MoFM through the Bank Secretariat 6 Divisional 1 Accountant prepares the cash forecast within two Every month Divisional Secretary Next working days during the month and send to the receives cash from District District Secretariat Chief Accountant Secretary against allocation Page Beneficiaries GN Division Payments Process (Kidney) 14 MoFM Receive the expenditure detail and Payment Process update to the National Expenditure Completed MoSEWKH & 13 NSE Monthly Actual Expenditure Receive annual physical accounted through Accounts summary progress report Secretariat 12 District Every month District Secretary submits Actual monthly expenditure on or before 5th of following month through the government accounting system 8 Secretariat 7 Divisional Divisional Secretary issues 11 10 From SSO receive Patient the cheque/Cash with Divisional Secretary informs Actual Expenditure SSO receive Previous Nominee’s with the approved list to accounts details to District Secretary through monthly accounts Nominees payment Page certification of GN counter in DS office/Bank confirmation records Beneficiaries GN Division 10 7 Nominee sign the GN certify Patient’s Nominee confirmation of Payment for the payment confirmation received each month 7 9 If necessary Patient can be Beneficiaries or appointed Nominee and Nominee receive Inform about Nominee to GN monthly Grievance Process (Kidney) Grievance of beneficiaries (Kidney) MOSEW & 2 Complaints received in writing directly to NSD NSD/ Tell gov, Prime Minister’s office through the letter/ SMS/ email etc. Secretariat District 2 Complaints received in writing directly to District Secretary 2 5 GN Division Secretariat 3 Divisional Complaints received in writing Divisional Secretary assigns Relevant officer or directly to Divisional Secretary relevant officer or Committee Committee submit Next for situational analyze present situational Page through the field visit report to DS 2 GN forwarded complain to Divisional Secretariat Post Office Beneficiaries 1 Beneficiaries who are in Rejected 4 Appeal applicant provides applicants/ Late payment current situation to Relevant complains etc. appeal for benefit officer or Committee Grievance of beneficiaries (Kidney) MOSEW & NSD Ministry receive grievance report for information Secretariat District GN Division Secretariat Divisional DS informs to SSO SSO informs From Divisional Secretariat take about eligibility of eligibility of new Previous a decision about applicant based on the Situational Yes applicant beneficiary Page Analyze Report No Not Eligible Post Office Beneficiaries 11 Grievance Process Receive benefits Completed Social Registry Information System (SRIS) Process Map – “To be� Proposed High Level SRIS Pr ocess Flow Application form Data Digitization National ID Ends Poverty No Eligible Driving License scorecard Yes Grievance Birth & Death DB External Validation SRIS Key functionalities: Field veri�cation - Household Registry/folder; - Unique individual account; - External validation & data exchange pr otocol; - Search; Data Update - Case Management; - Data mining and reporting; - Audit trail; - SMS/e-letters Original Revised Approve Household folder created VPN secure channel GN Di v Di st r i ct Mi n i st r y WBB Proposed High Level Pr ogram M IS Process Flow SRIS provides the list of potential eligible bene�ciaries for the programs as per SRIS business rules Application Samurdhi Elderly Kidney Disability Capture additional information / Enrollment Case M anagement - Graduation & Exit - Data Updates Field - Grievances veri�cation Data Update Ends No Eligible Grievance Yes Program Bene�ciary (List published) Case Management Generates e-payment lists Integration with Electronic Manual cash Payment PSP DB payment (PSP) disbursement reconciliation Data Exchange Program MIS Bene�ciary Payment Protocol Reconciled MoSEWKH WBB / SRIU YES Poverty Score Card SRIS Eligible 3 of HH Generated 3 End NO District 4 List of potentially DS hands over the list DS Div. 5 Next eligible HH to Selection Committee page downloaded by RO for HH verification GN Div. Data Digitization by 2 Registry Officers (RO) Applicants Submits Application 1 (online or manually through DS Office) WBB/SRIU HH Registry populated MoSEWKH District 10 7 Selection 8 DS gives clearance 9 DS approves DS Div. From 6 Selection RO update the previous Committee submit for editing HH data revised HH page Committee visits HH data in SRIS their findings to DS in SRIS profile in SRIS HH to verify applicant’s information and GN Div. documents Applicants