The purpose of the regulatory review undertaken in late 2015 was to understand the effectiveness of existing regulations in implementing JKN, potential shortcomings and opportunities for revisions or clarifications, as well as how implementation deviated or aligned to the original design in the regulations. The regulatory review findings would in turn feed into IR for UHC national and subnational stakeholder engagement process and support the identification of the research questions for cycle 1 of implementation research.
Provision of care at the primary level is the backbone of JKN system and requires effective
regulation. Primary health care is provided in puskesmas (public health centers) and private
practices. The regulatory review focuses on five major features of JKN implementation in
primary health care (PHC) including: provider payment and incentives, service package,
utilization of capitation payment, referral within a multi-tiered system, and enrollment of the
poor and vulnerable. Such features were identified by stakeholders early in the IR for UHC process as important themes to untangle the major problems in the implementation of JKN.
Hence, the study team completed the regulatory review to understand the existing regulations
surrounding the five features and their potential shortcomings and opportunities. Each of the
five topics is addressed below. We first describe the background for each topic, what the
regulations say and then what happened during implementation.
Modeling the impact of the health finance and governance projectHFG Project
Over its six-year life (2012-2018), the project worked with more than 40 partner countries to increase their domestic resources for health, manage resources more effectively, and reduce system bottlenecks in order to increase access to and use of priority health services and strengthen health systems overall. HFG provided state-of-the-art and country-specific technical assistance to remove obstacles that impede effective health system functioning and essential reforms. Recognizing the importance of measuring its impact, HFG quantified its return on investment for HFG health systems strengthening efforts.
HFG and its partner Avenir Health conducted a rigorous exercise to estimate the impact of the project’s health systems strengthening activities on its overall goal: increased use of priority health services. We used Spectrum, a suite of modeling tools developed by Avenir Health and partners, to quantify impact on mortality and morbidity based on changes in the coverage of specific priority health services due to the project’s activities aimed at improving access, quality, and use of health care. Given the diverse activities of HFG and the challenge of establishing a measurable causal link between project activities and coverage effects, we adopted a conservative approach and chose for this impact modeling exercise a subset of HFG activities for which a direct link was apparent. Based on these parameters, the exercise was conducted for eight country programs: Bangladesh, Cote d’Ivoire, Cameroon, Ethiopia, Haiti, Nigeria, Senegal, and Vietnam.
Using a methodical approach, we analyzed individual project activities in these countries and the expected effects on service coverage to estimate the impact on morbidity and mortality. We examined how our activities, including implementing strategies for improved human resources for health, operationalizing health insurance schemes, rolling out packages of health services, and using costed plans and packages to advocate for more financial resources, will increase access to health services, which in turn will lead to greater coverage of health services among targeted populations and ultimately to reduced morbidity and mortality. We modeled the impact of HFG’s activities by quantifying the number of deaths that were averted as a result of HFG-supported strategies and reforms.
The modeling results indicate that continued implementation of health systems strengthening strategies like those HFG supported would bring significant expansion of health care coverage and enhanced health outcomes.
This report presents country- and activity-specific results and the methodology for estimating coverage changes and impact. We hope this modeling exercise adds to the global understanding of how the impact of health systems strengthening can be measured. It provides powerful evidence on why investment and effort in strengthening health systems must continue.
The Health Finance and Governance Briefing KitHFG Project
Resource Type: Brief
Authors: Megan Meline, Lisa Tarantino, Jeremy Kanthor, and Sharon Nakhimovsky
Published: September 2015
Resource Description: Getting access to affordable, quality health care is a universal story that touches virtually every family in the world. At the same time, providing quality health services and access to trained health professionals is a challenge for governments. The World Health Organization (WHO) estimates that 150 million people worldwide face “catastrophic expenditure” because of high costs of health care. In other words, they may have to forgo paying for basic needs, such as food, housing, or education to pay for medical treatment instead. These costs include transportation, doctors’ fees, medicine, hospitalization bills, and days lost from work.
Behind these sobering statistics lies a wealth of news and feature stories waiting for the media to investigate and share with national leaders and policymakers as well as civil society groups who can advocate for changes to health budgets and policies. At the heart of these stories are important questions about the financing of health care and the quality of governance that ensures responsive and effective management of those resources and services.
But writing health finance and governance stories can be challenging. Health finance is riddled with complex language, technical economic terms, and numbers – not necessarily a journalist’s comfort zone. The right sources for these stories can be difficult to identify and unwilling to talk. Data may be difficult to locate or to understand. And while corruption makes for splashy headlines, the broader systemic challenges of health governance are not widely understood — and yet they are important.
The Health Finance and Governance Briefing Kit is designed to help journalists and their editors uncover and tell these important health stories that affect people all around the world.
Modeling the impact of the health finance and governance projectHFG Project
Over its six-year life (2012-2018), the project worked with more than 40 partner countries to increase their domestic resources for health, manage resources more effectively, and reduce system bottlenecks in order to increase access to and use of priority health services and strengthen health systems overall. HFG provided state-of-the-art and country-specific technical assistance to remove obstacles that impede effective health system functioning and essential reforms. Recognizing the importance of measuring its impact, HFG quantified its return on investment for HFG health systems strengthening efforts.
HFG and its partner Avenir Health conducted a rigorous exercise to estimate the impact of the project’s health systems strengthening activities on its overall goal: increased use of priority health services. We used Spectrum, a suite of modeling tools developed by Avenir Health and partners, to quantify impact on mortality and morbidity based on changes in the coverage of specific priority health services due to the project’s activities aimed at improving access, quality, and use of health care. Given the diverse activities of HFG and the challenge of establishing a measurable causal link between project activities and coverage effects, we adopted a conservative approach and chose for this impact modeling exercise a subset of HFG activities for which a direct link was apparent. Based on these parameters, the exercise was conducted for eight country programs: Bangladesh, Cote d’Ivoire, Cameroon, Ethiopia, Haiti, Nigeria, Senegal, and Vietnam.
Using a methodical approach, we analyzed individual project activities in these countries and the expected effects on service coverage to estimate the impact on morbidity and mortality. We examined how our activities, including implementing strategies for improved human resources for health, operationalizing health insurance schemes, rolling out packages of health services, and using costed plans and packages to advocate for more financial resources, will increase access to health services, which in turn will lead to greater coverage of health services among targeted populations and ultimately to reduced morbidity and mortality. We modeled the impact of HFG’s activities by quantifying the number of deaths that were averted as a result of HFG-supported strategies and reforms.
The modeling results indicate that continued implementation of health systems strengthening strategies like those HFG supported would bring significant expansion of health care coverage and enhanced health outcomes.
This report presents country- and activity-specific results and the methodology for estimating coverage changes and impact. We hope this modeling exercise adds to the global understanding of how the impact of health systems strengthening can be measured. It provides powerful evidence on why investment and effort in strengthening health systems must continue.
The Health Finance and Governance Briefing KitHFG Project
Resource Type: Brief
Authors: Megan Meline, Lisa Tarantino, Jeremy Kanthor, and Sharon Nakhimovsky
Published: September 2015
Resource Description: Getting access to affordable, quality health care is a universal story that touches virtually every family in the world. At the same time, providing quality health services and access to trained health professionals is a challenge for governments. The World Health Organization (WHO) estimates that 150 million people worldwide face “catastrophic expenditure” because of high costs of health care. In other words, they may have to forgo paying for basic needs, such as food, housing, or education to pay for medical treatment instead. These costs include transportation, doctors’ fees, medicine, hospitalization bills, and days lost from work.
Behind these sobering statistics lies a wealth of news and feature stories waiting for the media to investigate and share with national leaders and policymakers as well as civil society groups who can advocate for changes to health budgets and policies. At the heart of these stories are important questions about the financing of health care and the quality of governance that ensures responsive and effective management of those resources and services.
But writing health finance and governance stories can be challenging. Health finance is riddled with complex language, technical economic terms, and numbers – not necessarily a journalist’s comfort zone. The right sources for these stories can be difficult to identify and unwilling to talk. Data may be difficult to locate or to understand. And while corruption makes for splashy headlines, the broader systemic challenges of health governance are not widely understood — and yet they are important.
The Health Finance and Governance Briefing Kit is designed to help journalists and their editors uncover and tell these important health stories that affect people all around the world.
Entry Point Mapping: A Tool to Promote Civil Society Engagement on Health Fin...HFG Project
ivil society organizations (CSOs), particularly those working in the health sector, frequently seek opportunities to influence public health policy or share feedback on the quality or accessibility of health services. While these organizations may have important contributions to make, they often are not aware of the most effective and accessible entry points to use. Entry Point Mapping provides a methodology for systemic review and identification of mechanisms, forums and public platforms by which civil society organizations can participate in health sector policy formulation, program implementation, and oversight.
This paper presents an Entry Point Mapping Tool designed for CSOs with advocacy experience and public health officials seeking to expand civil society participation and contains a step-by-step guide for researching and analyzing legal entry points for civil society participation in governance of public health care facilities. Because CSOs have varied interests, the tool includes a series of steps for individual CSOs to determine the level of government at which to pursue their specific advocacy interest and the process of collecting targeted information on legally required points of entry for their civic engagement.
In addition, the Entry Point Mapping Tool offers guidance on analyzing the effectiveness on these entry points and coaches CSOs through the negotiation process of activating or expanding existing entry points, creating new ones, and winning overall collaboration with health officials on improving health policy and service delivery. This tool also documents the experience of CSOs implementing the entry point mapping methodology in Bangladesh and Cote d’Ivoire to demonstrate how the tool can promote increased civil society engagement on issues of health finance and governance.
Capital Investment in Health Systems: What is the latest thinking?HFG Project
Capital investment in health typically refers to large expenditures in construction of hospitals and other facilities, investment in diagnostic and treatment technologies, and information technology platforms. These investments are characterized by their longevity and they are critical to efforts to improve healthcare quality and efficiency. Contrary to developed countries where there is well documented experience on capital investment in the health sector, including use of public private partnerships for the investment; there is little evidence on capital investment in health from low and middle income countries.
This work was undertaken to add to the HFG’s knowledge and learning strategy by clarifying what good practice guidance exists in capital benchmark in LMICs health sectors, as well as the HFG project’s experience in the area. This brief will be of value to all those interested in the planning and financing the capital investment in the health sector. This includes politicians, planners, managers, health professionals, architects, designers, and researchers in both the public and private sectors.
Do Better Laws and Regulations Promote Universal Health Coverage? A Review of...HFG Project
The importance of policies, laws, and regulations (referred to collectively below as “policy instances”) as instruments to support progress towards Universal Health Coverage (UHC) in low- and middle-income countries cannot be understated. However, there has been insufficient focus in the literature on the role of these instruments, leading to a lack of evidence as to what constitutes a supportive legal environment that can consistently provide a strong basis for UHC reform processes. In this review, we explore how policies implemented in different country contexts have had an impact on their achievement of UHC goals.
In order to better differentiate the effect of various policy instances on the achievement of UHC goals, we developed a typology for policy instances and then ascribed the different aspects of governance to the instances identified in the literature, based on how they were designed and implemented. Finally, we considered the success of each policy instance identified, in terms of achieving intended UHC-related outcomes.
Governments may have political and process constraints on the number of policy instances they can design and implement in a period leading up to and during health sector reform. In terms of which health system component to focus such change on, we have more evidence for policy instances focused on health financing, given that designing effective financing mechanisms can shape the entire health
sector. Following this, policy instances that address human resources for health and supply chain management should be prioritized as they appear to have key strengthening effects on the provision of healthcare by increasing efficiency, equity, and quality.
This review of the evidence to date of governments’ policy-making experience highlights the importance of effective policy design and implementation with a clear orientation towards better governance, and in particular increased responsiveness and accountability.
Budget matters for health: key formulation and classification issuesHFG Project
This policy brief aims to raise awareness on the role of public budgeting – specifically aspects of budget formulation – for non-PFM specialists working in health. As part of an overall WHO programme of work on Budgeting in Health, it will help clarify the characteristics and implications of various budgeting approaches for the health sector.
Extending health insurance coverage to the informal sector: Lessons from a pr...HFG Project
As a growing number of low‐ and middle-income countries commit to achieving universal health coverage, one key challenge is how to extend coverage to informal sector workers. Micro health insurance (MHI) provides a potential model to finance health services for this population. This study presents lessons from a pilot study of a mandatory MHI plan offered by a private insurance company and distributed through a microfinance bank to urban, informal sector workers in Lagos, Nigeria.
Strengthening Primary Care as the Foundation of JKNHFG Project
Central to the vision of JKN and the Government of Indonesia’s commitment to enhancing the health of all of its citizens is strengthening the role of primary care to prevent, treat and manage health conditions. How it is working, what the challenges are, and where might changes to regulations or operationalization of JKN contribute to strengthening the system so that JKN can achieve its goals. This brief focuses on JKN regulations at the primary care level, and shares insights into whether regulations are effective and how they are being implemented in a range of Indonesian contexts.
A Scoping Review of the Uses and Institutionalization of Knowledge for Health...HFG Project
There is growing interest in the ways different forms of knowledge can be used to strengthen policymaking in low- and middle-income country (LMIC) health systems. Additionally, health policy and systems researchers are increasingly aware of the need to design effective institutions for supporting knowledge utilization in LMICs. In order to clarify the use and institutionalization of knowledge as well as effects on health systems, a scoping review was conducted using the Arksey and O’Malley framework.
The following research question guided our analysis: “What is known from the existing health literature about how actors use and incorporate knowledge into health system policymaking and what sorts of institutional arrangements facilitate this process in LMICs?”
While there is some evidence of how different uses and institutionalization of knowledge can strengthen health systems, the evidence on how these processes can ultimately improve health outcomes remains unclear. Further research on the ways in which knowledge can be effectively utilized and institutionalized is needed to advance collective understanding of the governance dimensions of health systems strengthening and enhance appropriate policy formulation.
Linkages Between the Essential Health Services Package and Government-Sponsor...HFG Project
Priority setting is a key function of health systems that seek to achieve universal health coverage. The Essential Health Services Package (EHSP) explicitly prioritizes certain services; government-sponsored health benefit plans implicitly prioritize others. To gain insights into the purpose, policy objectives, and governance of the EPHS and dominant health benefit plans in Ethiopia, we conducted a case study in 2016. Methods included a desk review of relevant documents and qualitative analysis of 15 key informant interviews of leading health finance experts in Addis Ababa. All data were coded and analyzed using a thematic inductive framework.
South Africa HIV and TB Expenditure Review 2014/15 - 2016/17. Executive SummaryHFG Project
The South African Government (SAG) and its development partners have mounted a formidable response to the world’s largest HIV epidemic and a persistent burden of tuberculosis (TB), the country’s leading killer. Nearly 4 million South Africans initiated antiretroviral therapy (ART) by the end of financial year 2016/17, helping to curtail new infections and reduce the number of annual HIV-related deaths. Mortality from TB has also declined thanks, in part, to improved treatment success.
Despite progress, challenges remain. Roughly 3 million people living with HIV (PLHIV) lack treatment, and each year more than a quarter million are newly infected. Moreover, nearly a half million South Africans contract TB every year, with an increasing share affected by drug-resistant strains.
To effectively plan and steward the health system, the SAG routinely monitors programmatic and financial performance of the response to HIV and TB, including by tracking expenditure. Analysis of spending, including trends in sources, levels, geographic and programmatic distribution and cost drivers can help policymakers to assess whether resources are reaching priority populations, interventions, and hotspot geographies; to identify potential opportunities to improve allocative and technical efficiency; and to stimulate more productive dialogue at multiple levels of the system.
This review of HIV and TB expenditure in South Africa is an input to policy, planning and management processes within and amongst spheres of government and between government and development partners. The data have been especially useful to national and provincial programme managers as they perform their oversight functions, leading to improved spending of available resources. With 52 annexes, it also serves as an authoritative reference document detailing levels and trends in HIV and TB spending by the three main funders of the disease responses: the SAG, the United States Government (USG), primarily via the President’s Emergency Plan for AIDS Relief (PEPFAR), and the Global Fund to Fight AIDS, Tuberculosis, and Malaria (the Global Fund). The findings have informed South Africa’s report to the UNAIDS Global AIDS Monitor and the country’s forthcoming funding request to the Global Fund.
HFG began working in Namibia in 2013, closely partnering with the Namibian Ministry of Health and Social Services and going on to collaborate with key government agencies, such as the Namibian Social Security Commission and the Universal Health
Coverage Advisory Committee of Namibia. The overarching aim of our technical assistance has been to support Namibia’s progress toward UHC to ensure all can access necessary, quality health care without financial struggle. We emphasized a government-led and -owned approach as we supported the Namibian government in addressing some of the key challenges it faced at the start of the project.
HFG’s support has helped strengthen the government’s capacity to mobilize and manage resources; improve efficiency, quality, and equity of health services; expand access to health care; sustain key health interventions, especially the HIV/AIDS prevention, care, and treatment program; and, ultimately, identify sustainable financing for UHC. We provided technical support to the Namibian government’s Health Accounts team, equipping them with tools and know-how to lead and implement four Health Accounts exercises and analyze and present data for better policy analysis and evidence-based decision making. Our support has helped institutionalize Health Accounts in Namibia and provided the country’s policymakers with evidence to examine health financing options for UHC, advocate for greater resources, and explore financial risk protection options.
Strengthening the larger health system and generating fiscal space through improved efficiency of health services was another important goal for HFG.
Findings of the health facility costing and district hospital efficiency study we undertook will enable the government to identify where it can save resources, how it can improve equity in service distribution, and what Namibia’s total financing requirement is for UHC.
This report highlights some of the major contributions HFG and its key partners have made toward more efficient use of limited health resources, improved sustainability of
health programs, and progress toward UHC in Namibia.
Expanding Coverage to Informal Workers: A Study of EPCMD Countries’ Efforts t...HFG Project
For many low- and middle-income countries (LMICs), expanding health coverage to informal workers is one of the most common, yet complex challenges requiring action. Informal workers are, by definition, not provided with legal or social protections through their employment, and are vulnerable to health and economic shocks. They also account for a large percentage of the population in LMICs. Expanding or deepening health coverage to informal workers is thus an area of interest for stakeholders pursuing universal health coverage (UHC): the goal that the entire population can access needed good-quality care without risk of impoverishment. Pro-poor coverage schemes that rely on prepayment – payment delinked from the time of care seeking – are a key financing strategy for UHC (WHO 2010). However, including informal workers in such schemes is challenging given that informal workers are not typically registered in taxation systems and social protection systems, nor covered by labor laws and regulations, making them less visible to the government and other stakeholders (Rockefeller Foundation 2013).
This report complements existing literature on how health reforms can improve the welfare of informal workers, focusing on the 25 countries prioritized for development assistance by the United States Agency for International Development (USAID) as part of its Ending Preventable Child and Maternal Deaths (EPCMD) initiative. Given the strong interest in these questions among EPCMD countries, USAID commissioned the Health Finance and Governance project (HFG) to conduct this research and provide recommendations relevant to UHC policy discussions in these countries.
Essential Package of Health Services Country Snapshot: IndonesiaHFG Project
This country snapshot is one in a series of 24 snapshots as part of an activity looking at the Governance Dimensions of Essential Packages of Health Services in the Ending Preventable Child and Maternal Death priority countries. The snapshot explores several important dimensions of the EPHS in the country, such as how government policies contribute to the service coverage, population coverage, and financial coverage of the package. Each country snapshot includes annexes that contain further information about the EPHS.
Entry Point Mapping: A Tool to Promote Civil Society Engagement on Health Fin...HFG Project
ivil society organizations (CSOs), particularly those working in the health sector, frequently seek opportunities to influence public health policy or share feedback on the quality or accessibility of health services. While these organizations may have important contributions to make, they often are not aware of the most effective and accessible entry points to use. Entry Point Mapping provides a methodology for systemic review and identification of mechanisms, forums and public platforms by which civil society organizations can participate in health sector policy formulation, program implementation, and oversight.
This paper presents an Entry Point Mapping Tool designed for CSOs with advocacy experience and public health officials seeking to expand civil society participation and contains a step-by-step guide for researching and analyzing legal entry points for civil society participation in governance of public health care facilities. Because CSOs have varied interests, the tool includes a series of steps for individual CSOs to determine the level of government at which to pursue their specific advocacy interest and the process of collecting targeted information on legally required points of entry for their civic engagement.
In addition, the Entry Point Mapping Tool offers guidance on analyzing the effectiveness on these entry points and coaches CSOs through the negotiation process of activating or expanding existing entry points, creating new ones, and winning overall collaboration with health officials on improving health policy and service delivery. This tool also documents the experience of CSOs implementing the entry point mapping methodology in Bangladesh and Cote d’Ivoire to demonstrate how the tool can promote increased civil society engagement on issues of health finance and governance.
Capital Investment in Health Systems: What is the latest thinking?HFG Project
Capital investment in health typically refers to large expenditures in construction of hospitals and other facilities, investment in diagnostic and treatment technologies, and information technology platforms. These investments are characterized by their longevity and they are critical to efforts to improve healthcare quality and efficiency. Contrary to developed countries where there is well documented experience on capital investment in the health sector, including use of public private partnerships for the investment; there is little evidence on capital investment in health from low and middle income countries.
This work was undertaken to add to the HFG’s knowledge and learning strategy by clarifying what good practice guidance exists in capital benchmark in LMICs health sectors, as well as the HFG project’s experience in the area. This brief will be of value to all those interested in the planning and financing the capital investment in the health sector. This includes politicians, planners, managers, health professionals, architects, designers, and researchers in both the public and private sectors.
Do Better Laws and Regulations Promote Universal Health Coverage? A Review of...HFG Project
The importance of policies, laws, and regulations (referred to collectively below as “policy instances”) as instruments to support progress towards Universal Health Coverage (UHC) in low- and middle-income countries cannot be understated. However, there has been insufficient focus in the literature on the role of these instruments, leading to a lack of evidence as to what constitutes a supportive legal environment that can consistently provide a strong basis for UHC reform processes. In this review, we explore how policies implemented in different country contexts have had an impact on their achievement of UHC goals.
In order to better differentiate the effect of various policy instances on the achievement of UHC goals, we developed a typology for policy instances and then ascribed the different aspects of governance to the instances identified in the literature, based on how they were designed and implemented. Finally, we considered the success of each policy instance identified, in terms of achieving intended UHC-related outcomes.
Governments may have political and process constraints on the number of policy instances they can design and implement in a period leading up to and during health sector reform. In terms of which health system component to focus such change on, we have more evidence for policy instances focused on health financing, given that designing effective financing mechanisms can shape the entire health
sector. Following this, policy instances that address human resources for health and supply chain management should be prioritized as they appear to have key strengthening effects on the provision of healthcare by increasing efficiency, equity, and quality.
This review of the evidence to date of governments’ policy-making experience highlights the importance of effective policy design and implementation with a clear orientation towards better governance, and in particular increased responsiveness and accountability.
Budget matters for health: key formulation and classification issuesHFG Project
This policy brief aims to raise awareness on the role of public budgeting – specifically aspects of budget formulation – for non-PFM specialists working in health. As part of an overall WHO programme of work on Budgeting in Health, it will help clarify the characteristics and implications of various budgeting approaches for the health sector.
Extending health insurance coverage to the informal sector: Lessons from a pr...HFG Project
As a growing number of low‐ and middle-income countries commit to achieving universal health coverage, one key challenge is how to extend coverage to informal sector workers. Micro health insurance (MHI) provides a potential model to finance health services for this population. This study presents lessons from a pilot study of a mandatory MHI plan offered by a private insurance company and distributed through a microfinance bank to urban, informal sector workers in Lagos, Nigeria.
Strengthening Primary Care as the Foundation of JKNHFG Project
Central to the vision of JKN and the Government of Indonesia’s commitment to enhancing the health of all of its citizens is strengthening the role of primary care to prevent, treat and manage health conditions. How it is working, what the challenges are, and where might changes to regulations or operationalization of JKN contribute to strengthening the system so that JKN can achieve its goals. This brief focuses on JKN regulations at the primary care level, and shares insights into whether regulations are effective and how they are being implemented in a range of Indonesian contexts.
A Scoping Review of the Uses and Institutionalization of Knowledge for Health...HFG Project
There is growing interest in the ways different forms of knowledge can be used to strengthen policymaking in low- and middle-income country (LMIC) health systems. Additionally, health policy and systems researchers are increasingly aware of the need to design effective institutions for supporting knowledge utilization in LMICs. In order to clarify the use and institutionalization of knowledge as well as effects on health systems, a scoping review was conducted using the Arksey and O’Malley framework.
The following research question guided our analysis: “What is known from the existing health literature about how actors use and incorporate knowledge into health system policymaking and what sorts of institutional arrangements facilitate this process in LMICs?”
While there is some evidence of how different uses and institutionalization of knowledge can strengthen health systems, the evidence on how these processes can ultimately improve health outcomes remains unclear. Further research on the ways in which knowledge can be effectively utilized and institutionalized is needed to advance collective understanding of the governance dimensions of health systems strengthening and enhance appropriate policy formulation.
Linkages Between the Essential Health Services Package and Government-Sponsor...HFG Project
Priority setting is a key function of health systems that seek to achieve universal health coverage. The Essential Health Services Package (EHSP) explicitly prioritizes certain services; government-sponsored health benefit plans implicitly prioritize others. To gain insights into the purpose, policy objectives, and governance of the EPHS and dominant health benefit plans in Ethiopia, we conducted a case study in 2016. Methods included a desk review of relevant documents and qualitative analysis of 15 key informant interviews of leading health finance experts in Addis Ababa. All data were coded and analyzed using a thematic inductive framework.
South Africa HIV and TB Expenditure Review 2014/15 - 2016/17. Executive SummaryHFG Project
The South African Government (SAG) and its development partners have mounted a formidable response to the world’s largest HIV epidemic and a persistent burden of tuberculosis (TB), the country’s leading killer. Nearly 4 million South Africans initiated antiretroviral therapy (ART) by the end of financial year 2016/17, helping to curtail new infections and reduce the number of annual HIV-related deaths. Mortality from TB has also declined thanks, in part, to improved treatment success.
Despite progress, challenges remain. Roughly 3 million people living with HIV (PLHIV) lack treatment, and each year more than a quarter million are newly infected. Moreover, nearly a half million South Africans contract TB every year, with an increasing share affected by drug-resistant strains.
To effectively plan and steward the health system, the SAG routinely monitors programmatic and financial performance of the response to HIV and TB, including by tracking expenditure. Analysis of spending, including trends in sources, levels, geographic and programmatic distribution and cost drivers can help policymakers to assess whether resources are reaching priority populations, interventions, and hotspot geographies; to identify potential opportunities to improve allocative and technical efficiency; and to stimulate more productive dialogue at multiple levels of the system.
This review of HIV and TB expenditure in South Africa is an input to policy, planning and management processes within and amongst spheres of government and between government and development partners. The data have been especially useful to national and provincial programme managers as they perform their oversight functions, leading to improved spending of available resources. With 52 annexes, it also serves as an authoritative reference document detailing levels and trends in HIV and TB spending by the three main funders of the disease responses: the SAG, the United States Government (USG), primarily via the President’s Emergency Plan for AIDS Relief (PEPFAR), and the Global Fund to Fight AIDS, Tuberculosis, and Malaria (the Global Fund). The findings have informed South Africa’s report to the UNAIDS Global AIDS Monitor and the country’s forthcoming funding request to the Global Fund.
HFG began working in Namibia in 2013, closely partnering with the Namibian Ministry of Health and Social Services and going on to collaborate with key government agencies, such as the Namibian Social Security Commission and the Universal Health
Coverage Advisory Committee of Namibia. The overarching aim of our technical assistance has been to support Namibia’s progress toward UHC to ensure all can access necessary, quality health care without financial struggle. We emphasized a government-led and -owned approach as we supported the Namibian government in addressing some of the key challenges it faced at the start of the project.
HFG’s support has helped strengthen the government’s capacity to mobilize and manage resources; improve efficiency, quality, and equity of health services; expand access to health care; sustain key health interventions, especially the HIV/AIDS prevention, care, and treatment program; and, ultimately, identify sustainable financing for UHC. We provided technical support to the Namibian government’s Health Accounts team, equipping them with tools and know-how to lead and implement four Health Accounts exercises and analyze and present data for better policy analysis and evidence-based decision making. Our support has helped institutionalize Health Accounts in Namibia and provided the country’s policymakers with evidence to examine health financing options for UHC, advocate for greater resources, and explore financial risk protection options.
Strengthening the larger health system and generating fiscal space through improved efficiency of health services was another important goal for HFG.
Findings of the health facility costing and district hospital efficiency study we undertook will enable the government to identify where it can save resources, how it can improve equity in service distribution, and what Namibia’s total financing requirement is for UHC.
This report highlights some of the major contributions HFG and its key partners have made toward more efficient use of limited health resources, improved sustainability of
health programs, and progress toward UHC in Namibia.
Expanding Coverage to Informal Workers: A Study of EPCMD Countries’ Efforts t...HFG Project
For many low- and middle-income countries (LMICs), expanding health coverage to informal workers is one of the most common, yet complex challenges requiring action. Informal workers are, by definition, not provided with legal or social protections through their employment, and are vulnerable to health and economic shocks. They also account for a large percentage of the population in LMICs. Expanding or deepening health coverage to informal workers is thus an area of interest for stakeholders pursuing universal health coverage (UHC): the goal that the entire population can access needed good-quality care without risk of impoverishment. Pro-poor coverage schemes that rely on prepayment – payment delinked from the time of care seeking – are a key financing strategy for UHC (WHO 2010). However, including informal workers in such schemes is challenging given that informal workers are not typically registered in taxation systems and social protection systems, nor covered by labor laws and regulations, making them less visible to the government and other stakeholders (Rockefeller Foundation 2013).
This report complements existing literature on how health reforms can improve the welfare of informal workers, focusing on the 25 countries prioritized for development assistance by the United States Agency for International Development (USAID) as part of its Ending Preventable Child and Maternal Deaths (EPCMD) initiative. Given the strong interest in these questions among EPCMD countries, USAID commissioned the Health Finance and Governance project (HFG) to conduct this research and provide recommendations relevant to UHC policy discussions in these countries.
Essential Package of Health Services Country Snapshot: IndonesiaHFG Project
This country snapshot is one in a series of 24 snapshots as part of an activity looking at the Governance Dimensions of Essential Packages of Health Services in the Ending Preventable Child and Maternal Death priority countries. The snapshot explores several important dimensions of the EPHS in the country, such as how government policies contribute to the service coverage, population coverage, and financial coverage of the package. Each country snapshot includes annexes that contain further information about the EPHS.
Governing Quality in Health Care on the Path to Universal Health Coverage: A ...HFG Project
As countries work to promote and achieve Universal Health Coverage (UHC), maintaining and improving quality in health care is emerging as a priority. While research has been conducted on service delivery and financing schemes for UHC, little consolidated knowledge or guidance is available on institutional arrangements and their impact on quality of care in the context of UHC.
Responding to this need, the HFG project conducted a literature review to attempt to document global experience in institutional roles and relationships governing quality of care in the health sector, and to identify successful features or factors when structuring institutional roles, responsibilities, and relationships.
Engaging Civil Society in Health Finance and Governance: A Guide for Practiti...HFG Project
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HFG’s guide provides governments and donors practical advice on engaging civil society in health finance and governance in order to meet health sector objectives and to improve health outcomes. Our guide describes the potential and limitations of civil society engagement entry points and presents an array of tools that may be used to do so.
Focusing specifically on the health sector, the HFG Guide offers practitioners a range of tools from which to choose based on the environment they work in and the objectives they seek to achieve. The guide emphasizes approaches that foster collaboration between public health officials and civil society that can improve access to and the quality of health services, ultimately contributing to improved health outcomes. This guide also seeks to provide practical mechanisms for how civil society engagement may be achieved, at the national, subnational, and community levels.
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Authors: Susan Gigli, Jenna Wright, Francis Raj and Mudeit Agarwa
Published: February 28, 2015
The Government of Haryana is interested in adopting a performance-based incentive (PBI) scheme aimed at strengthening primary health care results. In December 2014, the HFG project conducted a qualitative investigation among 10 public health facilities in two Blocks in Haryana in order to understand the existing incentive and operating environments and to inform the design of a PBI scheme. This report presents the findings of the formative investigation and relevant contextual information on the health system in the selected districts with a view toward supporting an effective PBI scheme in Haryana. The findings and considerations fed into a stakeholder PBI design workshop in early 2015.
The study suggested strongly that a PBI scheme—communicated clearly and perceived as fair—could lead to a change in the overall work culture from one that inadvertently encourages passivity to one that promotes teamwork, engagement, initiative, transparency and accountability.
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Bangladesh’s Health Care Financing Strategy (HCFS) identifies three target populations: the poor (below the poverty line – BPL); the informal sector; and the formal sector. These three type populations are to be covered using different approaches. For the BPL, a government scheme known as Shasthyo Shuroksha Karmasuchi (SSK) has achieved much progress to begin its operation. For the formal sector, a government employee contributive scheme is being designed, and several initiatives are being implemented in the garment industry.
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Using Evidence to Design Health Benefit Plans for Stronger Health Systems: Le...HFG Project
Low- and middle-income country governments face competing health priorities as they try to increase their populations’ access to affordable healthcare with limited resources. Faced with difficult choices, how can governments align their spending with health system objectives? One common policy instrument governments are using is the health benefit plan (HBP), defined here as a pre-determined, publicly managed list of guaranteed health services. Based on country experiences, the authors of this report argue that using evidence improves the potential for HBPs to achieve and balance countries’ objectives for equity, efficiency, financial protection, and sustainability in the health sector.
Governments using—or considering—HBPs as part of their pathway to UHC are faced with complex questions as they prepare to design new HBPs or update existing ones to address technological, epidemiological, economic, or other changes. This report is intended to serve as a resource for these governments. Through a review of 25 countries examining the types of evidence used to design and update HBPs, this report identifies actionable lessons for designing HBPs that advance health systems objectives in a sustainable way. More: www.hfgproject.org and https://www.hfgproject.org/using-evidence-health-benefit-plans/
Universal Health Coverage: Frequently Asked QuestionsHFG Project
This brief answers several “frequently asked questions” (FAQ) on universal health coverage (UHC):
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The FAQ accompanies Universal Health Coverage: An Annotated Bibliography, which presents resources that provide an overview of UHC and also delve into specific topics within UHC, such as measurement, health financing, and benefit plans. The bibliography also includes links to relevant websites that can provide additional resources.
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A regulatory review assessing JKN implementation versus design
1. June 2018
This publication was produced for review by the United States Agency for International Development.
It was prepared by the Center for Health Policy and Management, led by Dr. Shita Dewi, and reviewed by the Health Finance
and Governance Project’s Dr. Lisa LeRoy and Kelley Laird.
A REGULATORY REVIEW
ASSESSING JKN IMPLEMENTATION
VERSUS DESIGN
2. The Health Finance and Governance Project
USAID’s Health Finance and Governance (HFG) project helps to improve health in developing countries by
expanding people’s access to health care. Led by Abt Associates, the project team works with partner countries to
increase their domestic resources for health, manage those precious resources more effectively, and make wise
purchasing decisions. As a result, this six-year, $209 million global project increases the use of both primary and
priority health services, including HIV/AIDS, tuberculosis, malaria, and reproductive health services. Designed to
fundamentally strengthen health systems, HFG supports countries as they navigate the economic transitions
needed to achieve universal health care.
JUNE 2018
Cooperative Agreement No: AID-OAA-A-12-00080
Submitted to: Scott Stewart, AOR
Office of Health Systems
Bureau for Global Health
Recommended Citation: Likke Putri, Insan Adiwibowo, M. Faozi Kurniawan, Yanti Leosari, Budi Siswoyo,
Crista Dewi Shita Dewi, Susan Gigli, Kelley Laird, and Lisa LeRoy. April 2018. A regulatory review assessing JKN
implementation versus design. Bethesda, MD: Health Finance & Governance Project, Abt Associates Inc.
Abt Associates Inc. | 4550 Montgomery Avenue, Suite 800 North | Bethesda, Maryland 20814
T: 301.347.5000 | F: 301.652.3916 | www.abtassociates.com
Avenir Health | Broad Branch Associates | Development Alternatives Inc. (DAI) |
| Johns Hopkins Bloomberg School of Public Health (JHSPH) | Results for Development Institute (R4D)
| RTI International | Training Resources Group, Inc. (TRG)
3. iii
A REGULATORY REVIEW
ASSESSING JKN IMPLEMENTATION
VERSUS DESIGN
DISCLAIMER
The author’s views expressed in this publication do not necessarily reflect the views of the United States Agency
for International Development (USAID) or the United States Government.
4.
5. i
CONTENTS
Acronyms ..............................................................................................................iii
Acknowledgments.................................................................................................v
1. Purpose of the Regulatory Analysis..............................................................1
2. The Methods for Assessing JKN Implementation Versus Design.............3
3. Findings from the Regulatory Review ..........................................................5
3.1 Primary Care Provider Capitation Payment and Incentives....................................5
3.1.1 Background..........................................................................................................5
3.1.2 What do the regulations state?.......................................................................5
3.1.3 How is capitation actually being implemented?...........................................6
3.2 Promotive and Preventive Care as a Part of the JKN Service Package................7
3.2.1 Background..........................................................................................................7
3.2.2 What do the regulations state?.......................................................................7
3.2.3 How is promotive and preventive care actually being implemented?....8
3.3 Utilization of Capitation Funds in PHC Facilities.......................................................8
3.3.1 Background..........................................................................................................8
3.3.2 What do the regulations state?.......................................................................9
3.3.3 How is capitation in primary health care actually being implemented? .9
3.4 Referral and Back Referral Systems........................................................................... 10
3.4.1 Background....................................................................................................... 10
3.4.2 What do the regulations state?.................................................................... 10
3.4.3 How are referral systems actually being implemented? ......................... 11
3.5 Enrolling Beneficiaries in the Contribution Subsidy............................................... 12
3.5.1 Background....................................................................................................... 12
3.5.2 What do the regulations state?.................................................................... 13
3.5.3 How are subsidies actually being implemented?....................................... 14
Annex A: List of Regulations Reviewed.............................................................15
6.
7. iii
ACRONYMS
APBN Anggaran Pendapatan dan Belanja Nasional
BOK Salary and Operational Cost
BPJS-K Social Security Administrative Body for Health
BPS The National Bureau of Statistics
CHPM Center for Health Policy and Management of the University of Gadjah Mada
DAI Development Alternatives Inc.
DAK Specific Purpose Grants
DHO District Health Offices
FKTP Primary or “First-level” Care Facility
GOI Government of Indonesia
HFG USAID’s Health Finance and Governance project
IgM immunology Test of Salmonella Typhi
IR for UHC Implementation Research for Universal Health Coverage
JHSPH Johns Hopkins Bloomberg School of Public Health
JKN National Health Insurance in Indonesia
MOH Ministry of Health
NIK Indonesian Citizenship Identity Number
P2JK Pusat Pembiayann dan Jaminan Kesehatan
P4P Pay for Performance
PAD Pendapatan Asli Daerah
PHC Primary Health Care
PRB Program Rujuk Balik
R4D Results for Development Institute
SJSN National Social Security System
TRG Training Resources Group, Inc.
UKM Public Health
UKP Individual Health
USAID United States Agency for International Development
8.
9. v
ACKNOWLEDGMENTS
This regulatory review was funded by the United States Agency for International Development (USAID),
and developed by the Health Finance and Governance project led by the Center for Health Policy and
Management at the University of Gadja Mada with collaboration from the Ministry of Health (MOH).
The leadership, support, collaboration, and input of many Indonesian stakeholders were critical in
completing this regulatory assessment. The authors also are grateful for the support provided by
USAID|Indonesia, with special thanks and appreciation to Dr. Zohra Balsara and Dr. Edhie Rahmat.
10.
11. 1
1. PURPOSE OF THE REGULATORY ANALYSIS
The Health Finance and Governance (HFG) Project led by the Center for Health Policy and Management
of the University of Gadjah Mada (CHPM) together with the Pusat Pembiayann dan Jaminan Kesehatan
(P2JK), USAID, and other government of Indonesia (GOI) stakeholders implemented the
Implementation Research for Universal Health Coverage (IR for UHC) project from August 2015 – April
2018. IR for UHC supports policy-makers and implementers in developing UHC-related research
questions, undertaking cycles of research that explore implementation gaps and bottlenecks, and offering
improvements to implementation of National Health Insurance (Jaminan Kesehatan Nasional/JKN) in
Indonesia.
The advent of the Social Security Act and JKN has reduced some fragmentation by creating a
single purchaser, the Social Security Administrative Body for Health (Badan Penyelenggana
Jaminan Sosial- Kesehatan/BPJS-K) as a third party payer, contracting both public and private
providers at primary, secondary, and tertiary care. Prior to JKN’s introduction in January 2014,
health care services were purchased using various payment models, including prospective
payments, fee-for-service,1
and cost-based reimbursement. JKN has been in place for almost
four years in Indonesia, and has brought notable changes in health care financing, provision, and
utilization. Health care provider levels are more clearly defined, with primary healthcare
strengthening as the main strategy within the national health system for achieving the goal of
effective and efficient health care service.
Assessing JKN’s success in achieving the robust goals established for national health insurance,
requires understanding the complex regulatory landscape that defines JKN’s structure and
implementation mechanisms.
The purpose of the regulatory review undertaken in late 2015 was to understand the
effectiveness of existing regulations in implementing JKN, potential shortcomings and
opportunities for revisions or clarifications, as well as how implementation deviated or aligned
to the original design in the regulations. The regulatory review findings would in turn feed into
IR for UHC national and subnational stakeholder engagement process and support the
identification of the research questions for cycle 1 of implementation research.
Provision of care at the primary level is the backbone of JKN system and requires effective
regulation. Primary health care is provided in puskesmas (public health centers) and private
practices. The regulatory review focuses on five major features of JKN implementation in
primary health care (PHC) including: provider payment and incentives, service package,
utilization of capitation payment, referral within a multi-tiered system, and enrollment of the
poor and vulnerable. Such features were identified by stakeholders early in the IR for UHC
1 National Team for the Acceleration of Poverty Reduction. 2015. The Road to National Health Insurance (JKN).
Available:http://www.tnp2k.go.id/images/uploads/downloads/FINAL_JKN_roadpercent20topercent20nationalpercent20
healthpercent20insurance.pdf
12. 2
process as important themes to untangle the major problems in the implementation of JKN.
Hence, the study team completed the regulatory review to understand the existing regulations
surrounding the five features and their potential shortcomings and opportunities. Each of the
five topics is addressed below. We first describe the background for each topic, what the
regulations say and then what happened during implementation.
13. 3
2. THE METHODS FOR ASSESSING
JKN IMPLEMENTATION VERSUS DESIGN
The IR for UHC process included extensive stakeholder engagement and feedback in the design of this
regulatory review. To examine five major features of JKN implementation in primary health care (PHC)
including provider payment and incentives, service package, utilization of capitation payment, referral
within a multi-tiered system, and enrollment of the poor and vulnerable, we reviewed a number of
Acts, namely Act no 40 year 2004 on National Social Security System (Sistem Jaminan Sosial Nasional,
SJSN), Act no 36 year 2009 on Health, and Act no 24 year 2011 on the Social Security Managing Agency
for Health (Badan Penyelenggara Jaminan Sosial, BPJS-K). We then looked at how these Acts have been
translated into detailed policies to assess whether or not they are in line with each other, and whether
or not the operational regulations enable implementation of the original purpose of the law. By doing
this we were able to identify gaps in these regulations, and use this information in further stakeholder
engagement to narrow and define the research questions for cycle one of implementation research.
14.
15. 5
3. FINDINGS FROM THE REGULATORY REVIEW
3.1 Primary Care Provider Capitation Payment and Incentives
3.1.1 Background
BPJS-K pays contracted puskesmas and private clinics using mostly capitation-based payment for
services. This is on top of other government funding to puskesmas, namely salary and operational costs
through the Ministry of Health assistance fund for operational costs at the health center level (Bantuan
Operasional Kesehatan/BOK) which is known as a Special Allocation Fund2 (Dana Alokasi Khusus/DAK).
Theoretically capitation offers potential to contain costs by shifting financial risk to providers. Ideally, in
an effort to capture more revenue, providers will offer more preventative healthcare and less costly
curative care. In reality, if not carefully planned for, adverse consequences occur, including less effective
curative care and increased referrals to tertiary care which drives up costs, as BPJS-K annual reports
have shown.
3.1.2 What do the regulations state?
The amount of capitation paid to facilities is currently determined by an agreement between BPJS-K and
the Association of Health Facilities,3
and the agreement uses standardized pricing set by the
Government.4
For PHC, capitation payment is based on the number of enrollees at each facility
(recorded in the BPJS-K data system), and the JKN capitation rate (per enrollee) set by regulations.5
The per enrollee capitation rate is based on standardized pricing of health care services set by MOH and
adjusted taking into consideration local characteristics—e.g., availability of a health care facility in the
area, consumer price index, and construction cost index.6
BPJS-K has indicated that the capitation rate
may vary from IDR 3,000-6,000 based on the following variables: number of doctors, doctor-to-enrollee
ratio, dentist availability, and operating hours (i.e., opens 24 hours a day or not).7
These regulations demonstrate the government’s recognition of the need for capitation rate adjustment
for different conditions in facilities, districts, and provinces.
2 Fund sourced from revenue in APBN allocated to certain regions with the aim of funding special activities of the region
in accordance with national priorities
3
Stipulated in Law no. 40 of 2004 on the National Social Security System
4
Law no. 24 of 2011 on BPJS‐K
5
According to Presidential Regulation No. 32 of 2014 articles 3 and 4
6
Presidential Regulation No. 12 of 2013, which was revised twice by Presidential Regulation No. 111 of 2013 and later by
Presidential Regulation No. 19 of 2016
7
Through BPJS Regulation No.2 of 2015
16. 6
The MOH regulation also provide directives on
how capitation payments may be used.8
PHC
facilities may use capitation revenue from BPJS-K
for two main expenses—health worker incentives
or salary bonuses and operational costs. The
latter includes drugs, medical equipment and
consumables, Upaya Kesehatan Masyarakat/UKM
or public health investments in outreach
(restricted to groups of patients enrolled in
chronic disease management) and Upaya
Kesehatan Perorangan/UKP or operational
investments to reach individuals for healthcare
services. Thus, the operational incentives can
cover a comprehensive set of promotive,
preventive, curative, and rehabilitative care, home
visits, mobile service provision, administrative expenses, and information systems.
3.1.3 How is capitation actually being implemented?
Capitation reimbursement rates. In the five districts in Indonesia studied through IR for UHC, we
observed a uniform application of capitation rates across all primary care facilities, with little or no
adjustment to the base capitation rate per person based on local characteristics.
Sub-provinces appear to not be making these adjustment due to a lack of information about how to
incorporate influencing factors (i.e., health facility availability, consumer price index, and construction
cost index) into the capitation calculation. It is also unclear who should determine the local adjustment,
for example, should it be determined by local government?
There is currently no regulation at district or provincial levels on capitation rate adjustment to provide a
legal reference on how adjustment should be made. This situation may lead to inequity of provider
payment across regions, with varying health care services supplied according to economic conditions.
Capitation revenue use in PHC facilities. The regulation outlines two main variables to be considered in the
calculation of the capitation payment to puskesmas and private clinics: 1) types of health workers
(including their responsibilities and length of employment); and 2) days/hours of compulsory presence.
Although MOH allows provincial and district health offices (DHO) to add health worker performance as
a variable in the incentives formula,9
there is no evidence of PHC facilities routinely link performance
indicators with incentives due to the complexities of performance measurement. In terms of how
incentives are formulated and distributed, Pay for Performance (P4P) has not been implemented
consistently.
8
MOH Regulation No. 21 of 2016, which is the updated version of MOH Regulation No. 19 of 2014 on Management of
Capitation Fund in PHC Facilities
9
MOH Regulation No. 28 of 2014
Box 1. Key findings on potential inequity in
application of capitation rate
Regulations on the capitation rate exist, and
incorporate adjustments based on local
characteristics. However, no regulation exists that
decentralizes authority to local governments to make
adjustments to the capitation rate and no
information on how to formulate based on local
characteristics is present. Thus capitation is
implemented uniformly across the five districts
studies. This ultimately leads to inequity in provider
payment across regions in Indonesia.
Also, further clarifications on utilization of capitation
revenue within facilities is needed.
17. 7
3.2 Promotive and Preventive Care as a Part of the JKN
Service Package
3.2.1 Background
The capitation scheme offers increased provision of promotive and preventive care a means to contain
costs by avoiding future illness. However, there is a growing concern that the capitation revenue is not
adequate to sufficiently fund promotive and preventive care, majorly emphasized within community-
based health care approaches. Relatedly, there is concern that UKM activities are neglected under JKN
due to an imbalance in resource allocation between UKM and UKP activities.
In addition to capitation, puskesmas also receive funding from the national budget (Anggaran Pendapatan
dan Belanja Nasional/APBN) via the Ministry of Health assistance fund for operational costs at the health
center level (BOK). This grant is transferred through a Special Allocation Fund (DAK) to support
puskesmas in delivering promotive and preventive services, specifically outreach activities targeting their
catchment community.10
3.2.2 What do the regulations state?
The Government is responsible for JKN implementation for delivering health services, the JKN benefit
package includes coverage for promotive and preventive care in primary health care (PHC) facilities, as
well as curative and rehabilitative care in both PHC facilities and hospitals.11
JKN covers puskesmas level
promotive and preventive care that targets individuals, instead of the community, including individual
counseling, routine immunization, contraceptive care, and screening.
Although relevant regulations on JKN have been revised twice,12
UKM is still not included in the JKN
benefit package. Funding for UKM or community public health activities flows to puskesmas through a
separate fund. Previous regulation on Capitation Fund emphasized the exclusion of UKM in the JKN
system.13
Revisions to regulations in 201614
included the provision of promotive and preventive care
through outreach programs, but only targeting those JKN members or groups of JKN members, such as
those enrolled in the Chronic Disease Program (Program Penyakit Kronis (Prolanis) not the overall
population public health needs. The majority of UKM activities tasked for puskesmas, such as health
promotions at school, community-based maternal and child health care, immunization screening,
nutritional status screening, community empowerment, environmental health care, etc.,15
are paid
through the separate fund.
10
MOH Regulation No. 82 of 2015
11
Law No. 36 of 2009 on Health, article 20, and underlined by Presidential Regulation No. 12 of 2013 on Health Insurance
12
First by Presidential Regulation No.111 of 2013 and then by Presidential Regulation No.19 of 2016
13
MOH Regulation on the Utilization of Capitation Fund in Public PHC Facilities (No.19 of 2014)
14
MOH Regulation on the Utilization of JKN Capitation Fund for Incentives and Operational Costs in Public PHC (No. 21 of
2016)
15
MOH Regulation on Public PHC (No. 75 of 2014)
18. 8
3.2.3 How is promotive and preventive care actually being
implemented?
There are information gaps in how JKN capitation revenue could be invested for preventive and
promotive care. For example, a minimum percentage of capitation revenue that should be allocated to
promotive and preventive care has not been specified. Thus, puskesmas are not obligated to make a
strong financial commitment to these types of care, and the incentives to do so appear to be weak.
Nevertheless, UKM provision is still the responsibility of government, and debate is ongoing about using
a portion of capitation revenue to fund UKM activities. JKN-related regulations are assumed to prohibit
use of capitation for a full range of UKM activities, yet decentralization gives sub-national governments’
full autonomy to manage their revenues and expenditures.
Capitation received by puskesmas from BPJS-K is
considered local government revenue, and can be
classified as other legitimate local government
revenue.16
Consequently, local governments have
authority to manage and allocate capitation for
funding both UKP and UKM health care services
particularly through puskesmas with Local Public
Service Agency status and flexibilities in financing
management (Puskesmas BLUD). 17
Although the
management and utilization of capitation revenue
from Puskesmas BLUD should be carried out in
accordance with BLUD regulations, many
Puskesmas BLUD are reluctant to use capitation
revenue for UKM activities in case of audit findings for fraud or impropriety.
Unfortunately, BOK is an additional fund and not intended to be the main funding source for UKM. The
minimum percentage of local government budget allocated to health is 10 percent,18
of which a portion
should be spent for UKM—but this portion has not been set in regulation nor do the regulations
establish ranges or key considerations for setting allocations in promotive and preventive services.
3.3 Utilization of Capitation Funds in PHC Facilities
3.3.1 Background
The President of Indonesia commissioned BPJS-K in 2011 to initiate implementation of the JKN program
by January 1, 2014.19
Some puskesmas, as the government-owned facilities, began receiving capitation
payment in January 2014 indirectly through local government bank accounts. However, neither
regulations on the utilization of capitation funds, nor the responsibilities of the stakeholders involved in
JKN, had been enacted at that time. Despite meeting the targeted timeline for JKN launch in January
2014, Indonesia was not ready to roll out the program in early 2014.
16
According to Law No.32 of 2014
17
According to MOH Regulation No.28 of 2014
18
Law No. 36 of 2009 on Health
19
Law No.24 of 2011
Box 2. Key finding on potential
marginalization of the promotive and
preventive community-based activities
Current JKN regulations limit the use of capitation
revenue to fund promotive and preventive services
(UKM) mostly within the scope of UKP activities.
Yet, UKM activities can be financed using other
source of funds (such as local government budget or
BOK). However, the minimum budget allocation
earmarked for UKM services is not regulated,
increasing the likelihood of such services being
neglected by local government.
19. 9
3.3.2 What do the regulations state?
In April 2014, the government passed legislation which regulated the following: utilization of the
capitation fund; transfer mechanisms of the capitation fund; BPJS-K’s role; and the responsibilities of
DHOs and health facility regarding capitation budget and expenditure planning.20
As mentioned,
regulations require a 60 percent/40 percent split of capitation funds between health workers incentives
and operational costs. After four months of JKN implementation, puskesmas and private clinics received
payment from BPJS-K through direct transfer to the bank account of the capitation fund treasurer of
each facility. This system avoided delays in the use of funds for timely provision of health care services. It
was not until May 2014 that health facilities could legally start spending capitation funds based on a new
regulation on utilization of JKN’s capitation funds for provider incentives and operational costs in
puskesmas.21
Capitation as a source of local revenue or Pendapatan Asli Daerah/PAD funds for puskesmas was legally
confirmed in May 2014 via a circular from the Ministry of Internal Affairs.22
The same circular also
provided technical guidance on the institutional management of capitation in puskesmas, particularly
those not holding BLUD status. For Puskesmas BLUD, capitation can be managed according to
regulations on financing management of public service agency.23
To improve the accountability in
capitation management, every puskesmas sends a monthly financial report on actual capitation revenue
and actual capitation spending.
3.3.3 How is capitation in primary health care actually being
implemented?
It appears that health facilities were still not able to use the capitation fund because the regulation
required further Ministry-level regulation to clarify the incentive payments and define operational costs.
Puskesmas still needed to revise their budget
documents to incorporate capitation funded
expenditures, and obtain approval from the head of
the local government. This resulted in low
absorption of capitation funds by puskesmas. The
unspent capitation funds at the end of the year are
taken back by the local government treasury, but
can be used by puskesmas in the following year
after gaining approval from the head of local
government. Therefore, the capitation fund can be
used for health care services, instead of being
reallocated by local government to other sectors,
and the financial stability of puskesmas can be
maintained.
20
Presidential Regulation No.32 of 2014
21
MOH Regulation No.19 of 2014
22
Circular Letter of Ministry of Internal Affairs No. 900/2280/SJ of 2014
23
Government Regulation No.74 of 2012
Box 3. Key finding on the need for district-
level policy on management of capitation fund
Regulations exist on how capitation funds should be
managed and utilized, although it took some months
after JKN’s commencement to establish them. The
regulations on capitation fund management do not
contradict pre-existing regulations on local
government financial management. However, an
effort at the district level to synchronize all existing
regulations is required to ensure a well-run system.
Development of district-level regulation on capitation
fund is recommended, particularly since there are
several sources of funding other than capitation.
20. 10
In addition to JKN-specific regulations, there are several pre-existing regulations on local government
financing that influence how the capitation fund can be managed by local government. For example, local
government has a mandatory role in the provision of health care,24
and thus should allocate its local
budget and APBD accordingly. Also, regulations related to financial management of local government
were developed before JKN.25
Capitation has not been listed as a source of local government revenues
within APBD. Currently APBD consists of local generated revenues, i.e. PAD, fiscal balance transfers
from central government, Dana Perimbangan, and revenues from grants and loans. Although, it can be
inferred that capitation is a part of the PAD fund, there was confusion at the district-level about its legal
status, particularly during the first few months after JKN commenced.
Legal support at local levels is required to synchronize national JKN-related regulations with the
regulations related to financial management at a local government level. Given that district/city do not
currently have a district-level regulation on the use of capitation funds, which accommodates local
policies and prioritized health programs for the locality. District governments need support in
considering regulations on other funds received by puskesmas, including the management of the BOK
fund,26
managing the de-concentration fund,27
and on the local insurance scheme (Jaminan Kesehatan
Daerah/Jamkesda).
3.4 Referral and Back Referral Systems
3.4.1 Background
As stipulated in Law No.36 of 2009 article 30, there are 3 types of health care facilities: primary or
“first-level” care facility (Fasilitas Kesehatan Tingkat Pertama/FKTP), secondary care facility, and tertiary
care facility. To achieve effective and accessible health care and efficient and sustainable health financing
in the era of JKN, a solid referral system was developed to reduce unnecessary referrals to secondary
and tertiary setting. . The FKTP health facilities empaneled with JKN are the gatekeepers of referrals and
receive capitated payments for the population they serve, theoretically this leads to an optimum level of
primary and public health care, and reduction of unnecessary referrals to secondary and/or tertiary care
facilities.
3.4.2 What do the regulations state?
The provision of health care services is conducted in a multi-tiered system, starting from the lowest-tier
“empaneled” facilities, which are FKTP (MOH Regulation No.28 of 2014, chapter IV). These services are
paid by BPJS in a form of monthly capitation payment (MOH Regulation No.59 of 2015, article 1 and 3).
As JKN’s gatekeeper, patients are not allowed to directly access hospital care unless they obtain a
referral from FKTP. Exceptions to the referral requirement can be made in emergency cases and when
certain patient conditions requiring special management, or if there is an access to care issue due to lack
of staff or geographical distance. Because of the importance of gatekeeping in the JKN system to reduce
secondary and tertiary costs, the list or package of necessary PHC services and service components
should be accessible and well defined for every JKN enrollee in FKTP. Per regulation, this package or list
24
Government Regulation No.38 of 2007
25
Such as Law No.33 of 2004; Government Regulation No.58 of 2005
26
Presidential Regulation No.55 of 2005
27
Presidential Regulation No.7 of 2008
21. 11
should include administrative cost, promotive and preventive care, medical examinations, treatment,
medical consultations, non-specialty medical procedures including surgical and non-surgical procedures,
medicines and medical consumables, blood transfusion, first-level laboratory examinations, and first-level
inpatient care (Presidential Regulation No. 111 of 2013).
To provide comprehensive primary care, any facility that does not have a laboratory facility, must
establish a networking contract with another FKTP that has one or with private laboratory facility
(MOH Regulation No.99 of 2015). There are several regulations related to the provision of diagnostic
tests at the primary care-level, including: (a) the minimum requirements for the building, tools and
equipment, and types of diagnostic tests (MOH Regulation No. 411 of 2010); (b) basic competencies of
doctors working at PHC facilities which includes the recommended (laboratory or non-laboratory)
diagnostic tests to perform (MOH Decree No.514 of 2015 on Clinical Practice Guideline for PHC
Doctors); (c) minimum standards for equipment that should be provided by puskesmas (MOH
Regulation No.75 of 2014 on puskesmas); and (d) standard requirements for laboratory facility within
puskesmas and types of laboratory diagnostic tests provided (MOH Regulation No.37 of 2012).
The referral back system from hospitals to health facility is also regulated, particularly for chronic
diseases that typically require multiple patient visits under the Program Rujuk Balik (PRB). Per regulation,
patients diagnosed with one or more the following diagnosis: diabetes mellitus; hypertension; hearth
disease, asthma; Chronic Obstructive Pulmonary Disease; epilepsy; schizophrenia; stroke; and Systemic
Lupus Erythematosus, who have achieved “stabilized status” must be referred back to FKTP under PRB
(MOH Regulation No.28 of 2014, Chapter IV).
The GOI led by DJSN and BPJS-K has attempted to enhance the gatekeeping role of health facility by
improving the non-capitation payment, previously limited to inpatient care (per diem) and maternal and
neonatal care (fee for service). Now, as stipulated in MOH Regulation No.59 of 2014, FKTP may receive
the non-capitation payment (reimbursement based on a specific rate set by BPJS) from BPJS for the
provision of ambulance services, health screening
services (for instance, blood glucose test), inpatient
care, maternal and neonatal care (including 4 antenatal
care visits for uncomplicated pregnancy, normal
delivery care, and postnatal care), contraceptive care,
and blood transfusion service. The same regulation
also states that a health facility can claim for non-
capitation payment for the provision of medicines for
chronic diseases patients that are back-referred from
hospitals, along with any monthly laboratory tests.
These last two changes in regulation should be
studied, as the hypothesis is that these changes will
strongly support improved back-referrals.
3.4.3 How are referral systems
actually being implemented?
The GOI and stakeholders know the importance of
successful referral and back-referral systems. Budget
overruns for JKN have occurred since the first year,
Box 4. Key finding on regulations on referral
and back-referral system identify gaps in
capability at primary health care level for
ensuring appropriate protocols are followed
Several regulations regarding the mechanism of multi-
tiered provision of care and the role of health
facilities within the JKN system exist. However, they
are not enough to ensure a well-functioning referral
and back-referral system to enact standards of care
for many conditions, particularly non-specialty
procedures and the back-referral criteria for chronic
disease patients. Regulatory updates detailing the
critical diagnostic tests needed at the PHC to
determine patient referrals, and the essential PHC
tools/equipment to enable appropriate care are
needed. Last but not least, a protocol defining all
stakeholders involved and their responsibilities in the
referral and back-referral system should be
developed to support the implementation of the
system.
22. 12
mostly due to high secondary and tertiary service utilization, and officials have blamed problems in the
referral and back-referral system. The research identified implementation processes that could be
clarified through revised regulations or improved by standardized operating procedures in facilities.
For example, per Presidential Regulation No. 111 of 2013, there is still lack of consensus among
providers on what “non-specialty medical procedures” should be included at PHC level. Thus, health
facilities often avoid providing relatively time-consuming medical procedures, i.e. referring on to
secondary or tertiary care, to shorten an already long queue of patients and/or for cost containment
reasons, i.e. to capture more revenue from capitated payment.
The regulations around developing a workable diagnostics/lab network and medical supply system are
commendable. Unfortunately supply side issues still make actual implementation ineffective because
many geographic locations face shortages of medicines in health facility or private pharmacies. Also, in
some cases the regulations regarding diagnoses do not correspond well to MOH clinical guidelines. For
example there are several diagnostic tests that are not required for puskesmas, but according to MOH
clinical guidelines are needed to support the diagnosis of certain diseases, e.g. Tuberculin Test, which is
part of diagnostic scoring system for Tuberculosis in children; immunology (IgM) test of Salmonella typhi,
which is the recommended test for diagnosing typhoid fever; and pulse oxymeter, which is an essential
equipment to measure oxygen saturation for patient needing oxygen therapy or in emergency condition.
Unavailability of diagnostic tests in PHC facilities also leads to under-service, unnecessary referral to
hospitals, and reluctance from specialists in hospitals to refer their patients back to health facility if they
can’t be assured of quality of care at PHCs.
Finally, the current back-referral regulation No. 28 2014 lacks clarity around what constitutes “achieving
stabilized status” for various patient conditions, leading specialists at the hospital level to use their
individual clinical judgment with the result that the back-referral system operates inconsistently and
inefficiently.
3.5 Enrolling Beneficiaries in the Contribution Subsidy
3.5.1 Background
In Indonesia, long before the introduction of JKN, the GOI demonstrated strong commitment to
excluding the poor and vulnerable from compulsory contribution payments to the social security
program.
During the 4-year implementation of JKN, government-subsidized members dominated enrollment
percentages. Of 138,524,669 JKN participants in 2014 overall, government subsidized members
accounted for more than 68 percent.28
As of 1 July 2017, they still constituted about 61percent of total
JKN participants.29
Identifying the beneficiaries of the government subsidies on JKN contribution
(Penerima Bantuan Iuran/PBI) is very important in JKN implementation. The number must be accurately
determined and strongly regulated to aid the poor and vulnerable, and exclude the non-poor group.
However, multiple reports found inaccurate targeting of PBI occurring frequently during implementation,
ranging from non-poor inclusion in subsidized JKN to decreased subsidy recipients.
28 Mahendradhata, Y, et al. 2014. The Republic of Indonesia Health System Review. India: WHO.
29
Healthcare and Social Security Agency. 2017. Peserta Program JKN per 1 Juli 2017 (JKN Program Membership as of 1
st
of
July 2017). Available at: https://bpjs‐kesehatan.go.id/ bpjs/index.php/jumlahPeserta, accessed 1 July 2017
23. 13
3.5.2 What do the regulations state?
Like many national health insurance schemes, JKN requires a contribution payment from non-poor
enrollees in the form of a monthly premium. An exemption is made for the poor to encourage their
uptake of services, and avoid additional economic burden. These contributions were fully subsidized by
the government, as stipulated in Law No.40 of 2004, article 17, of the National Social Security System.
Determination of beneficiaries for subsidies is outlined in detail in the Government Regulation No.101
of 2013 prior to JKN introduction. The National Bureau of Statistics (Badan Pusat Statistik/BPS)
conducts data collection on potential beneficiaries, based on the criteria for identifying the poor and
vulnerable established by the Ministry of Social Affairs, and then the local government at community
level verifies and validates the data. After consulting with the Ministry of Finance and other stakeholders,
such as MOH, the Ministry of Social Affairs establishes the unified database of PBI, broken down by each
province and district/city. Given the involvement of several different institutions, effective inter-sector
coordination is a vital part of this process. In terms of PBI data changes, the regulation allows deletion,
substitution, or addition of beneficiaries, although verification and validation from Ministry of Social
Affairs still need to be obtained30
.
To provide subsidies, the government is responsible for registering the identified PBI’s households as
JKN members. The listed PBIs are obliged to provide accurate and complete data on him/her-self and
household members to the government which is forwarded to BPJS-K as a part of the registration
process (Law No.24 of 2011, article 18). Approximately a year after JKN implementation, Government
Regulation No.76 of 2015, updated the policy to define the PBI status of newborns and to account for
changes to the beneficiaries’ status. According to this regulation, babies born to PBI mothers are subsidy
beneficiaries as well.
Ensuring health coverage of the poor and vulnerable is not only a central government affair, but also a
local government’s responsibility. Presidential Regulation No.111 of 2013 allows the provincial or
district/city government to enroll people currently not covered by health insurance in the JKN program.
For this type of enrollment, the local government pays the participant’s contribution. This corresponds
with the notion of health as a mandatory benefit provided by the local government, as stipulated in the
Government Regulation No.38 of 2014. Local government, consequently, should allocate a portion of its
financial resources for JKN contribution subsidies for the poor and vulnerable groups in its area. Many
provinces have passed regulations to clarify how this national regulation will be rolled out in their
province. For example, the North Sumatera Province passed Governor Regulation No.9 of 2014 to
define the criteria for potential beneficiaries of local subsidies, financed by the provincial budget. Papua, a
province with the most remote areas in Indonesia, aimed to improve universal access to health care for
all its residents, by introducing a local health coverage scheme, namely Kartu Papua Sehat/KPS, which is
regulated through Governor Regulation No.6 of 2014. The government of Papua also equipped its KPS
scheme with a referral system that differs from that of JKN, to address problems of access to health
facilities in Papua, as regulated in the Government Regulation No.7 of 2014.
30 Government Regulation no. 101 year 2012
24. 14
3.5.3 How are subsidies actually being implemented?
The Government Regulation No.76 of 2015 establishing the PBI status of newborns and accounting for
changes to the beneficiaries’ data is intended to improve access and avoid delays in child health care, one
of national health priorities.
However, inaccurate targeting of PBI remains an implementation issue, mostly due to lack of recent data
on poor and vulnerable households. For example, the unified database of PBI published by Ministry of
Social Affairs in 2013 for 2014 JKN coverage, was based on 2011 data. The same database was used for
2015 JKN coverage, because the Ministry of Social Affairs did not update the data until December 2015.
Other issues related to the inaccuracy of personal information listed on the JKN-PBI card, whether it
was the name, ID number, or date of birth. Despite Presidential Regulation No.19 of 2016 stipulating
that every JKN enrolee shall receive a single identity number that is also integrated with the Indonesian
Citizenship Identity Number (Nomor Induk Kependudukan/NIK), mismatches of identity were often
reported by health facilities during the patient registration process, leading to delays in treatment.
Interestingly, this type of error occurs primarily in the PBI group, potentially showing a lack of
coordination between the stakeholders developing PBI and Indonesian Citizenship ID number.
Failure to address timely identification,
appropriate targeting, and updates for those who
should receive PBI subsidization for JKN prevents
the access gap between the poor and non-poor. It
can cause scarce health resources to be allocated
to non-poor instead of supply side investments to
reduce barriers to care. A strong monitoring and
evaluation mechanism is required to assess and
improve the performance of the regulated
institutions, and monitor the entire JKN PBI
enrollment process from identifying beneficiaries,
registering members, issuing and distributing JKN
cards and regularly updating data. Local
government needs to play a larger role in facilitating data updates that feed into the Ministry of Social
Welfare data to improve accuracy. More investment is needed to ensure that all residents of the
administrative area have identity cards with unique ID number (Nomor Induk Kependudukan/NIK).
Box 5. Key findings regarding
implementation of the regulations on
enrollment of the subsidized populations.
Regulations on the enrollment of subsidy
beneficiaries in JKN are available at the national-
level and appear to be harmonized to one another.
Local government regulations are also available,
allowing the local government to subsidize those
who are left out from central government
subsidies. Nevertheless, implementation issues
result in inaccurate targeting of all beneficiaries of
the contribution subsidy.
25. 15
ANNEX A: LIST OF REGULATIONS REVIEWED
Act no 40 year 2004
Act no 36 year 2009
Act no 24 year 2011
Act no 33 year 2004
Government Regulation no 55 year 2005
Government Regulation no 58 year 2005
Government Regulation no 38 year 2007
Government Regulation no 7 year 2008
Government Regulation no 19 year 2010
Government Regulation no 74 year 2012
Government Regulation no 101 year 2012
Presidential Regulation no 12 year 2013, which then revised to Presidential Regulation no 111 year
2013, which then revised to Presidential number 19 year 2016
Presidential Regulation no 32 year 2014
Ministry of Health Regulation no 411 year 2010
Ministry of Health Regulation no 69 year 2013 , which then revised to Ministry of Health Regulation
no 59 year 2014
Ministry of Health Regulation no 71 year 2013, which then revised to Ministry of Health Regulation
no 99 year 2015
Ministry of Health Regulation no 5 year 2014
Ministry of Health Regulation no 19 year 2014
Ministry of Health Regulation no 28 year 2014
Ministry of Health Regulation no 59 year 2014
Ministry of Health Regulation no 75 year 2014
Ministry of Health Regulation no 82 year 2015
BPJS Regulation no 2 year 2015
Circular letter from Minister of Home Affairs no 900/2880/SJ year 2014
Disclaimer: some of these regulations may have been revised and/or replaced with new regulations at
the time of the writing.