reform to lead

Orientation on Social Protection and Its Operational Framework

Fernando T. AldabaSWADCAP, Taguig City

April 17, 2013

Outline of Presentation

• Background• Development of a Philippine SP Definition• Definitions: Risk, Poverty and Vulnerability• Government responses to risks, poverty and

vulnerability• The Social Protection Operational Framework• The Convergence Framework and Strategy• Social Protection Initiatives

3

BACKGROUND

The DSWD has taken on the initiative to become a leader in the social protection sector. One of the key steps that the government has taken to address major deficiencies in its social protection policies is to embark on the Social Welfare and Development Reform Program. The DSWD Reform Agenda guides the reform process and thrusts for the social protection sector.

4

BACKGROUND

• The development of social protection was taken up in Sub-Working Group on Social Protection under the Millennium Development Goals (MDGs) and Social Progress of the Philippine Development Forum (PDF)

• The NEDA-Social Development Committee (SDC) Cabinet Level issued NEDA-SDC Resolution No. 1, Series of 2007 entitled “Adopting A Philippine Definition of Social Protection”

Social Protection Policies

• NEDA-SDC Resolution No. 1, series of 2007: Adopting a Philippine Definition of Social Protection”

• NEDA-SDC Resolution No. 2 series of 2009: Sub-Committee on Social Protection (SCSP) under the NEDA Social Development Committee (NEDA SDC)

• NEDA-SDC Resolution No. 3 series of 2012: Approving and Adopting the SP Operational Framework

• Philippine Development Plan 2011-2016: Chapter 8-Social Development

Why we need an SP definition• Harmonize existing SP definitions

- National Anti-Poverty Commission (NAPC)

- World Bank (WB)

- Asian Development Bank (ADB)

- International Labour Organization (ILO)

Modified from http:www.google.com.ph/images

Comparison of SP definitionsThe

World Bank

Asian Development Bank

International Labor

Organization

Institute for

Development

Studies

National Anti-

Poverty Commissi

onSeen as public interventions that assist individuals, households and communities to manage risk better and that provide support to the critically poor.

Set of policies and programs designed to reduce poverty and vulnerability by promoting efficient labor markets, diminishing people’s exposure to risks and enhancing their capacity to protect themselves against hazards and interruption/loss of income

Set of public measures that a society provides for its members to protect them against economic and social distress

Describes all public and private initiatives that provide income or consumption transfers to the poor, protect the vulnerable against livelihood risks and enhance the social status and rights of the marginalized

Constitutes policies, programs and interventions that seek to reduce the susceptibility of the poor to risks

Comparison of Components of SPThe World

BankAsian

Development Bank

International Labor Organizati

on

Institute for

Development Studies

National Anti-

Poverty Commissi

onMain elements of the Social Risk Management Framework:

•Risk management strategies

•Risk management arrangements

•Risk management actors

Five major kinds of activities:

• Labor market policies and programs

• Social insurance programs

• Social assistance and welfare service programs

• Micro and area-based schemes

• Child protection

Three dimensions:

• Access to essential goods and services

• Prevention and protection (proactive security)

• Promotion of potentials and opportunities (to be defined / influenced by the life cycle)

Four categories:

• Protective measures – provide relief from deprivation

• Preventive measures – seek to avert deprivation

• Promotive measures – aim to enhance real incomes and capabilities

• Transformative measures – seek to address concerns of social equity and exclusion

Components:

• Social insurance

• Social welfare and assistance

• Social safety nets

• Labor market interventions

Process

2007*PDF – Philippine Development Forum SDC-TB – Social Development Committee - Technical Board SDC-CL – Social Development Committee - Cabinet Level

Definitions: Risk, Poverty and Vulnerability

• Risk (or Shock): Uncertain event that may damage someone’s well-being leading to poverty ; Risks are pervasive, but information on risks and shocks is mostly scarce in a developing country

• Poverty: Income or spending is insufficient to ensure a minimum level or state of well-being ( below an official threshold)

Definitions: Risk, Poverty and Vulnerability

• Vulnerability: Probability to become poor in the future; sources of vulnerability are risks and shocks and lack of physical, social and human capital to withstand shocks

Vulnerability incidence higher than poverty incidence

Examples of Social Risks and Vulnerabilities

armed conflicts, crime, corruption, social exclusion and discrimination

Political and Governance

typhoons, drought, floods, earthquakes, volcanic eruption

Environmental and Natural

unemployment, underemployment, low and irregular incomes; economic crises

Economic

hunger, illness, disability, old age, death

Individual Life-cycle

VulnerabilitiesSocial Risks

Examples of Responses by Sector

• Government: national and local

• Household and other informal mechanisms

• Private sector or market based

• Civil society: non-profits, NGOs and community associations

• Religious sector and FBOs

Examples of Government Responses: Social Protection Programs (ADB, 2001)

ECCD, school feeding programs, youth programs, streetchildren programs, child rights advocacy, family allowances

Children and youth (0-18 years)

Child Protection

Microcredit and microinsurance, crop insurance, social funds, CBDRM

Rural and urban informal communities at risk

Micro and Area based Schemes

Welfare and social services, cash or in-kind transfers, temporary subsidies, safeguard measures

PWDs, IPs, drug dependents, orphans, single parent HHs, IDPs, elderly, widowed, pregnant women, unemployed

Social Welfare

Unemployment insurance, work injury insurance, health insurance, maternity and retirement insurance

Sick, elderly, widowed, PWDs, pregnant women, unemployed

Social Insurance

Active Labor Market Programs. Passive Labor Market Programs, Labor Standards

Employed, unemployed, underemployed (formal and informal)

Labor Market Interventions

ProgramsTarget Vulnerable Groups

Components

Examples of Responses by Objective

• Preventive done before risk occurs; mainly reducing the probability of risk occurring (e.g. vaccination, preventive health care)

• Mitigating help individuals reduce the impact of future risky event (e.g. crop and health insurance; savings and food storage)

• Coping mechanisms alleviate impact of risk once it occurred (e.g. dissaving, relief and rehabilitation)

• Adapting mechanisms prepare individuals and households for the next shock and risk (e.g. disaster preparedness, networks, fund availability, etc.)

Current Government Responses• Systematizing Social Protection responses – official definition and

key components

• Inventory of social protection programs

• Linking social protection, poverty reduction and inclusive growth

• Formulating an operational framework and convergence strategy

• Formulating a RVA manual and social protection handbook

SDC Resolution No. 1 Series of 2007

Social Protection constitutes policies and programs that seek to reduce poverty and vulnerability to risks and enhance the social status and rights of the marginalized by promoting and protecting livelihood and employment, protecting against hazards and sudden loss of income, and improving people’s capacity to manage risks.

Current Official SP Definition

Key Components• Labor Market Interventions - enhancing employment

opportunities and protection of workers’ rights

• Social Insurance - mitigating income risks by pooling resources and spreading risks across time and classes

• Social Welfare - preventive and developmental interventions that seek to support the minimum basic requirements of the poor

• Social Safety Nets - stop-gap mechanisms or urgent responses that address effects of shocks on specific vulnerable groups

The Context: Social Protection as Key Pillar in Poverty Reduction

• Prevents citizens from falling below the poverty line – decreases transient poverty

• Uplifts citizens from their poverty traps – decreases chronic poverty

• Enhances asset and capacity build up through better education, health and nutrition

• Assists households towards having voice and empowerment (see poverty reduction framework)

The Role of Social Protection in Poverty Reduction Analytical Framework for Poverty Reduction

Poverty Reduction

Increasing Incomes

Sustained, Diversified & Shared Growth, Low

Unemployment, Fiscal Balance, Price Stability

Risk Protection

Social Welfare, Labour Market Interventions, Safety

Nets, Social Insurance

Asset and Capacity Build up

Land Reform, Human Capital (education, health, nutrition),

Access to Credit & Infrastructure

Voice and Empowerment

Community and Sectoral Organizations, Participatory

Mechanisms

Good and Participatory Governance, Responsive Institutions and Effective Coordination

Source: Asian Development Bank 2009

Poverty Reduction

Quality Basic Services

Education, Health, Housing, Other Basic

Services

Asset Reform and Economic Opportunities

Land, Credit, Livelihood, Science & Technology, Vocational

Training, Information, Communication, Markets

Sustainable Development of

Productive Resources

Environmental and Natural Resources

Conservation, Management and

Development

Democratizing Decision-Making and Management Process

Increased Participation

Social Protection

Social Welfare, Labour Market Interventions,

Safety Nets, Social Insurance

Enhanced Analytical Framework for Poverty Reduction

NOTE: Analytical framework taken from RA 8425, Social Reform and Poverty Alleviation Act was enhanced to include social protection.

Enhanced SP Operational Framework

Scaling up of Community Driven

Development

Building Adaptive Capacities at all

Levels of Implementation

Convergence in the Delivery

of Core Responses

Institutionalized Monitoring and Evaluation System

IMPLEMENTATION OF PARTICIPATORY STRATEGIES

Labor Market Interventions

Social Welfare Social Safety Nets

Economic Risks

Universal Coverage Targeted Areas and Sectors

Environment and Natural Risks Social and Governance Risks

KEY RESPONSE ELEMENTS

Social Insurance

CORE PROGRAM RESPONSES

RISKS AND VULNERABILITIES ADDRESSED

BETTER AND IMPROVED QUALITY OF LIFE

Reduce Poverty and Vulnerability Inclusion and Enhancement of the Social Status and Rights of Marginalized

OBJECTIVES

Lifecycle and Individual Risks

• Integral component of national development plans – from PDP to sectoral plans

• Focus on Target areas and sectoral convergence on improving SP outcomes

• Rationalization of Convergence Mechanisms at all levels

• Active Participation of Local Governments

Principles of 5-yr SP Plan

Objectives of the 5-yr SP Plan

• Institutionalization of SP as a key Poverty Alleviation Strategy

• Incorporation of convergence mechanisms at all levels

• Attain Targets of Core Outcome Indicators per SP Component/SP Floor– E.g. Social Insurance: 100% Coverage of PhilHealth, 50% of Population

under GSIS/SSS– Labor Market: Underemployment at 10%, Labor Market Information

Systems in operation- Agreement on Social Protection Floors

The SDC Subcommittee on Social Protection (SCSP) is the SP Plan Convenor

SCSP to create Consultative Planning Mechanisms (CPMs) at the national level following SP components and their proposed Convenors:

Labor Market - DOLE-DTI Social Welfare - DSWD-DOH Social Insurance - SSS-GSIS-Philhealth Safety Nets - NDRRMC-DSWD

Operationalizing the 5-yr Plan

The Role of the SCSP in the Planning Process

• Conduct risk-vulnerability analysis and situationer by gathering data from below (regions, provinces and municipalities)

• Create the consultative planning committees by components/responses to the various risks to undertake inventory of responses, gap analysis and plan out policies and programs to close the gaps

• Integrate the RVA and planning results of the various CPMs

• Oversee the monitoring and evaluation of the national action plan

The Role of the CPMs by Component in the Planning Process

• Undertake inventory of current responses and programs to the identified risks

• Propose how rationalize and streamline current responses and programs

• Plan out policies and programs to close the existing gaps

• Propose convergence mechanisms at the national, regional and local levels including the needed capacity building and social marketing for the SP programs

The Role of the Regional Social Development Committees in the Planning Process

• Undertake inventory of current responses and programs to the identified risks at the regional level and forward these to the SCSP

• Conduct gap analysis at the regional level

• Propose how to rationalize and streamline current responses and programs at the regional level

• Plan out policies and programs to close the existing gaps

• Propose convergence mechanisms at the local levels including the needed capacity building and social marketing for the SP programs

• Assist the SCSP in monitoring and evaluation of SP programs at the local levels

The Role of the Local Social Development Committees in the Planning Process

• Undertake RVA and inventory of current responses and programs to the identified risks and forward this to the Regional SDCs

• Conduct gap analysis

• Plan out policies and programs to close the existing gaps by looking at available menu of programs at the national and regional level

• Mobilize resources from local, regional and national sources

Proposed Steps in the 5-yr Plan Year 1 -2 Year 3- 4 Year 5

Setting up convergence mechanisms at various levels and identification of convergence teams

√

Inventory and rapid assessment of policies and programs per SP component

√

Rationalization and Streamlining per component/Identification of indicators per component

√

Implementing Capacity building programs for convergence at various levels

√ √

Institutionalizing Convergent Programs, Budget allocation Process and Formulating Coherent Policies at various levels

√ √

Social Marketing of SP programs and components to other stakeholders

√ √ √

Regular Monitoring and Evaluation of convergent programs and coherent policies at various levels

√ √

TIMELINE OF 5 YEAR SP PLAN

Defining the Convergence Strategy

• Definition of and Rationale for Convergence• The Types of Operational Convergence• Activities for Convergence• Social Protection Multi-level Convergence

Framework• Convergence Approaches to Program Delivery• Convergence Mechanisms and Packages

What is CONVERGENCE?• The focusing and synchronization of resources, services and

interventions by flagship programs and other agencies/entities on specific target families and communities and providing for multi-sectoral and inter-agency coordination (SRA Convergence Policy, 1995)

• Complementation of agency initiatives within a defined area under a common intervention strategy that will maximize impact (National Convergence Initiative, DAR-DA-DENR, 1999)

• Coordination and integration of services of various stakeholders in targeted areas to promote synergy and greater program impact (Kalahi Convergence: Working Together for Poverty Reduction, 2005)

What is CONVERGENCE?

Pooling of expertise and resources, and systematically channeling efforts in pursuit of a commonly agreed goal or objective.

Common understanding (what and how);Common commitment (institutional support);Common resolve (convergent action); (DSWD Usec. Alicia Bala, 2010)

Rationale for CONVERGENCE• Vulnerability and poverty incidence are high

• The most effective approach is multi-dimensional and multi-stakeholder

• Limited resources of government

• Varying capacities of national agencies and local government; pooling expertise is key

• Avoidance of overlaps and duplication of projects and programs

Types of Operational CONVERGENCE

• Horizontal and Inter-agency e.g. SP Cluster Component Convergence, Pantawid Pamilyang Pilipino Program, Social Security Cluster or Social Safety Net Clusters

• Horizontal and Inter-agency at various levels e.g. National, regional, local (Regional Kalahi Convergence Group)

• Vertical - Intra-agency e.g. Tatsulo of DSWD or national-regional-local coordination for a specific project or program

• Multi-level - combines vertical and horizontal e.g. Bottom up budget process and local poverty reduction plan implementation

• Area-based or Sector based (specific target-based)

Activities for CONVERGENCE

• Poverty, Risk and Vulnerability Analysis• Targeting• Policy Formulation• Program Planning, Budgeting and

Resource Mobilization• Program Implementation and Delivery• Monitoring and Evaluation

Social Protection Multi-level CONVERGENCE Framework

NATIONAL

PROVINCIAL

REGIONALPolicy Formulation

Program andBudget Planning

Implementation

Monitoring &Evaluation

VERTICAL AND

INTRA AG

ENCY CO

NVERG

ENCE

(WITH

IN AG

ENCIES AN

D N

AT’L-LOCAL CO

VERGEN

CE)

HORIZONTAL, INTER-AGENCY AND INTRA-LOCAL CONVERGENCE (TARGET AREAS AND SECTOR)

CITY/MUNICIPAL

BARANGAY

LEVELS

Poverty, Risks and Vulnerability Analysis

Targeting

ACTIVITIES FOR CONVERGENCE

STAKEHOLDERS:

GovernmentCSOs, FBOs,

Academe and

Private Sector

CONVERGENCE Approaches to Program Delivery

1. Focus on Packages – a menu of different programs delivered to the same target groups or areas by different mechanisms

2. Focus on Converged Delivery Mechanisms – a range of programs under a uniform, consolidated delivery mechanism

3. Mixed Approaches

Possible CONVERGENCE Mechanisms

• Local Level - Local Poverty Reduction Action Team• Regional Level - Kalahi Convergence Group• National Level

- Policy Formulation: Sub-committee on Social Protection (SDC, NAPC and Human Development and Poverty Reduction Cluster)

- Program: DSWD led Pantawid Pamilya, NAPC led Bottom Up Budgeting , National Convergence Initiative

Possible Convergence Packages or Menu of Programs

• Pantawid Pamilya ++• Tatsulo + +• National Convergence Initiative of DAR-DA-

DENR (Agri-business, infra + +)• Disaster Risk Reduction-Climate Change

Adaptation (DRR-CCA) + +• PAMANA + +• Local Government Initiated Menus (LPRAP +

BUB)

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Current Social Protection Initiatives

SP Operational Framework and StrategySP Convergence Framework5-Year SP PlanSP HandbookSP Vulnerability & Adaptation Manual

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