Compliance#

Compliance refers to the conditions that beneficiaries must meet to continue receiving benefits. It's the enforcement mechanism for conditional cash transfer (CCT) and other programs where benefits depend on specific behaviors or activities.

For: All audiences

What is compliance?#

Compliance conditions are requirements that beneficiaries must fulfill to maintain their eligibility or receive their full entitlement. These conditions typically aim to encourage behaviors that improve long-term outcomes.

Examples of compliance conditions:

Condition type	Example requirements
Health	Regular health checkups, vaccination schedules, prenatal visits
Education	Minimum school attendance (e.g., 85%), enrollment verification
Training	Attendance at family development sessions, skills training
Documentation	Submitting required forms, updating registration data

Compliance vs. eligibility#

Concept	When checked	Purpose
Eligibility	At enrollment and periodically	Determines who qualifies for the program
Compliance	Each cycle	Determines if enrolled beneficiaries receive benefits

Eligibility asks "Should this person be in the program?" while compliance asks "Has this beneficiary met the conditions to receive their payment this cycle?"

Why compliance matters#

Compliance mechanisms serve multiple purposes:

Purpose	Description
Behavior change	Encourage activities that improve outcomes (health visits, school attendance)
Accountability	Ensure program resources reach those meeting conditions
Program integrity	Verify ongoing participation and engagement
Impact measurement	Track whether beneficiaries are engaging with complementary services

How compliance works in OpenSPP#

Compliance manager#

The Compliance manager is a configurable component that checks whether beneficiaries meet program conditions:

        graph LR
    B[Beneficiaries] --> CM[Compliance Manager]
    CM --> |Check conditions| CR[Compliance Records]
    CR --> |Met| E[Eligible for payment]
    CR --> |Not met| S[Suspended/Reduced]

    style CM fill:#fff3e0
    style E fill:#e8f5e9
    style S fill:#ffebee

When compliance is checked#

Compliance can be verified at different points:

Timing	Configuration	Effect
When adding beneficiaries to cycle	Automated filtering = 1	Non-compliant beneficiaries excluded from cycle
When preparing entitlements	Automated filtering = 2	Non-compliant beneficiaries don't receive entitlements
Manual review	Automated filtering = 0	Staff manually review compliance status

Compliance workflow#

        graph TD
    subgraph Recording
        A[Compliance activity occurs] --> B[Record in system]
        B --> C[Health visit / School attendance / Training]
    end

    subgraph Verification
        D[Cycle starts] --> E[Check compliance records]
        E --> F{Conditions met?}
    end

    subgraph Outcome
        F --> |Yes| G[Include in entitlements]
        F --> |No| H[Exclude or reduce]
        F --> |Partial| I[Partial payment]
    end

    C --> D

    style G fill:#e8f5e9
    style H fill:#ffebee
    style I fill:#fff3e0

Types of compliance conditions#

Health compliance#

Track health-related requirements:

Requirement	Typical target	Verification method
Prenatal checkups	Pregnant women	Health facility records
Growth monitoring	Children under 5	Clinic visit records
Vaccination	Children by age	Immunization registry
Health education	All beneficiaries	Session attendance

Education compliance#

Track school-related requirements:

Requirement	Typical target	Verification method
School enrollment	School-age children	Enrollment records
Attendance rate	Enrolled students	School attendance records
Grade progression	Students	Report cards

Training/session compliance#

Track participation in program activities:

Requirement	Typical target	Verification method
Family development sessions	Household representatives	Attendance sheets
Skills training	Working-age adults	Training records
Community meetings	All beneficiaries	Sign-in logs

Attendance-based compliance#

OpenSPP supports detailed attendance tracking:

Feature	Description
Attendance types	Configure different activity types (health, education, training)
Attendance locations	Track where activities occurred
Group membership attendance	Track attendance by household members
Cycle-level tracking	Associate attendance with specific cycles

Compliance data#

Compliance records#

Each compliance record captures:

Field	Description
Beneficiary	Who the record applies to
Condition type	Health, education, training, etc.
Period	Time period covered
Status	Compliant, non-compliant, partial, pending
Verification	How compliance was verified
Notes	Additional details or exceptions

Compliance periods#

Programs define compliance periods that align with cycles:

Period type	Duration	Example
Monthly	One month	Monthly attendance threshold
Quarterly	Three months	Quarterly health checkups
Semester	Six months	School semester attendance
Annual	One year	Annual re-certification

Compliance outcomes#

Full compliance#

Beneficiary meets all conditions:

Receives full entitlement
Continues in program
No additional action needed

Partial compliance#

Beneficiary meets some conditions:

May receive reduced payment
Warning issued
Grace period may apply

Non-compliance#

Beneficiary fails to meet conditions:

Payment may be suspended
Case review triggered
Possible program exit after repeated non-compliance

Exemptions#

Some beneficiaries may be exempt from certain conditions:

Exemption type	Example
Age-based	Elderly exempt from school attendance
Health-based	Disabled exempt from physical activities
Geographic	Remote areas with no health facility
Temporary	Illness, natural disaster, etc.

Common compliance programs#

Conditional Cash Transfer (CCT)#

Component	Conditions
Health grant	Regular health checkups, vaccinations, prenatal visits
Education grant	85% school attendance, enrollment
Rice subsidy	Attendance at family development sessions

School feeding#

Component	Conditions
Daily meals	School attendance on meal days
Take-home rations	Monthly attendance threshold

Skills training programs#

Component	Conditions
Training stipend	Attendance at training sessions
Completion bonus	Successful course completion

Best practices#

Condition design#

Practice	Reason
Keep conditions achievable	Unrealistic requirements cause dropouts
Align with program goals	Conditions should support desired outcomes
Consider local context	Account for service availability
Build in flexibility	Allow for legitimate exceptions

Verification#

Practice	Reason
Use existing systems	Integrate with health/education databases
Automate where possible	Reduce manual verification burden
Allow corrections	Enable fixing data entry errors
Audit regularly	Ensure data quality

Communication#

Practice	Reason
Clear requirements	Beneficiaries must understand conditions
Advance notice	Warn before suspending benefits
Appeals process	Allow beneficiaries to contest decisions
Regular reminders	Help beneficiaries stay compliant

Are you stuck?#

Why aren't beneficiaries being filtered by compliance?#

Check:

Is automated filtering enabled in system settings?
Are compliance managers configured on the program?
Do beneficiaries have compliance records for the current period?

Configuration:

Setting 0 = Manual review (no automatic filtering)
Setting 1 = Filter when adding to cycle
Setting 2 = Filter when preparing entitlements

How do I record compliance data?#

Options:

Manual entry - Staff enter records in OpenSPP
Import - Upload compliance data from external systems
Integration - Connect to health/education databases via API
Mobile collection - Use ODK/CommCare for field data collection

How do I handle exceptions?#

For individual cases:

Create an exemption record with reason and duration
Document supporting evidence
Set exemption end date if temporary

For program-wide exceptions:

Configure exemption rules in the compliance manager
Use domains to exclude specific groups from conditions

Can compliance affect payment amounts?#

Yes. The entitlement manager can:

Reduce payments for partial compliance
Suspend payments for non-compliance
Apply graduated penalties based on compliance level

Configure this in the entitlement manager's calculation rules.

How do I track compliance over time?#

Reports available:

Compliance rate by area/period
Non-compliance reasons breakdown
Compliance trends over cycles
Individual compliance history

Next steps#

Learn more about concepts:

Eligibility - Initial qualification for programs
Programs - How compliance managers are configured
Entitlements - How compliance affects payments
Cycles - Where compliance is verified

For configuration:

See the Configuration Guide for setting up compliance managers

For developers:

See the Developer Guide for creating custom compliance managers

OpenSPP Documentation v2.0

Compliance

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