Module 6: Building the assessment matrix

ILO, 2013

Key questions• What is the structure of the assessment matrix?• What are the benchmarks to assess the social protection

situation?• What are the main parameters to describe existing schemes?• What are policy gaps and implementation issues?• How to qualify and quantify policy gaps and implementation

issues?• What methods can be used to progressively develop a shared

diagnosis of the social security situation and recommendations for new or expended SPF provisions?

ABND FACTSHEETStep 1 – Building the assessment matrix including the identification of priority recommendations

Step 2 – Rapid Assessment Protocol to estimate the cost of implementing the social protection provisions

Step 3 – Finalisation of the assessment report for endorsement and further action by the higher levels of government

Steps of ABND

ABND FACTSHEETStep 1 – Building the assessment matrix including the identification of priority recommendations

Step 2 – Rapid Assessment Protocol to estimate the cost of implementing the social protection provisions

Step 3 – Finalisation of the assessment report for endorsement and further action by the higher levels of government

First step of ABND

Structure of assessment matrix

SPF objectives

Govt. strategy

Existing provisions

Policy gaps

Implement-ation issues

Recomm-endations

Health

Children

Working age

Elderly

Four SPF guarantees

Identifying existing situation

in the country

Identifying policy gaps and

implementation issues, addressing

which would complete the SPF

Priority policy

options, decided through national dialogue

Do all residents have access to essential health care, including maternity care?

Do all children enjoy basic income security, providing access to nutrition, education, care, and any other necessary goods and services?

Do all persons in active age who cannot earn sufficient income, enjoy basic income security, particularly in cases of sickness, unemployment, maternity, disability?

Do all older persons have basic income security?

Benchmarks to assess situationFour basic guarantees:

Name of the scheme

Legal frame-work

Respon-sible body

Target group

Eligibility criteria

Population covered

Benefits Finan-cing

1.

2.

3.

4.

5.

6.

7.

…

Health care

Sickness

Old-age benefit

Unemployment benefit

Invalidity

Survivors’ benefit

Employment injury

Maternity

Parameters to describe existing provisions

Child care

Public Works Programme

Vocational training

Name of the scheme

Legal frame-work

Respon-sible body

Target group

Eligibility criteria

Population covered

Benefits Finan-cing

Thailand: 500 Baht scheme (Non-Contributory Allowance for older people)

Old Age Act B.E. 2546 (2003)

Regula-tions on benefit disburse-ments (2009)

Local Adminis-tration (TAO) under the responsi-bility of the MSDHS

Thai elderly who do not receive any other public pension

-Thai nationals -Age 60+-Register locally-Domiciled in district of local govt.-Not receiving any other old-age pension

Legal coverage: 76.9 per cent (2010)

Effective coverage:72.4 per cent of the elderly over 60 years of age (2011)

600 Baht (60-69), 700 Baht (70-79), 800 Baht (80-89), 1,000 Baht (90+)

Tax-funded

Parameters to describe existing provisions

Policy gaps: Missing legislation or policy leading to a part of the population being excluded from the complete SPFFor e.g.

Only formal sector workers and very poor people are entitled to social health protection

There is no unemployment protection scheme for workers in case of loss of employment

Only formal sector workers are entitled to a child allowance for pre-school children

Policy gaps

Legal framework Conflict or overlap between

laws or roles Fragmented schemes Implementing decrees not in

place Ad-hoc policies (no laws)

Lack of responsiveness of the benefit packages No portability of benefits No provisions for unforeseen

circumstances like recessions, natural disasters

Lack of clarity Benefit package not clearly

defined

People not covered Vulnerable groups, informal

workers

Insufficient protection Levels of benefits insufficient to

guarantee income security (e.g. non-indexation of pensions)

Benefit package not adapted to existing needs (e.g. travel costs not covered) or changing needs (e.g. long-term care)

Policy gaps

Implementation issues: Despite existing policies or legislation, people do not have effective access to entitlementsFor e.g.

Despite universal access to social health protection, people from rural areas have limited protection due to poor health care infrastructure

Enforcement of the Social Security Act is low, due to employers not registering their staff and a lack of resources to reach out to informal sector workers

Implementation issues

Inadequate resources or capacities to reach out to beneficiaries (especially for voluntary schemes)

Low enforcement Non-registration or non-

contribution by formal sector employers

Social evasion through outsourcing

Supply-side shortage Unequal distribution of

facilities and skilled personnel by geography

Ineffective monitoring and evaluation system to keep track of effective implementation of policy

Fragmentation leading to inefficiencies and administrative burdens

Implementation issues

Lack of communication Low awareness

People with HIV-AIDS

Women and children

Indigenous and stateless

people

People with disabilities

Migrant workers, refugees

Domestic workers Cross-cutting:

special vulnerable

groups should be adequately

covered

Keep in mind special groups

Qualifying and quantifying policy gaps

• What is the scope of existing social security provisions and what contingencies are covered by law?

• How many persons are legally covered (in absolute terms and as a percentage of the reference group)?

• Is the statutory level of benefits adequate compared to poverty line, minimum wage or other references?

Qualifying and quantifying implementation issues

• How many persons are effectively covered? How many persons are “protected” in case of need,

i.e. active contributors, affiliated members, eligible groups?

How many are “actual beneficiaries”?• Is the actual level of benefits adequate compared with

benchmarks like average earnings, minimum wage or poverty line?

Developing priority recommendations

• Priority recommendations to achieve the SPF must be agreed upon in discussion with all stakeholders

• Discussions involve line ministries, local government representatives, workers’ and employers’ organizations, civil society, and other relevant stakeholders

• Discussions may centre around the most relevant recommendations, trade-offs between long-term investments and short-term interventions

Methods to complete the matrix• Literature review of available resources• Monitoring reports• Relevant laws and regulations• Annual and statistical reports of schemes and programmes• Contact with institutions responsible for operating the main

social protection schemes• Household surveys, labour force surveys, demographic and

health surveys, assessments of the health and education systems

• Bilateral consultations with relevant stakeholders • National workshops to share and validate findings with

stakeholders, and develop priority recommendations