STUDY GUIDE

Social Protection: Principles and Practice (SOC 507)

MASTER OF ARTS IN SOCIAL POLICY

Prepared by : Aishath Hassan. MA International Relations. Webster Univesity.St.Louis

For Center for Open Learning, The Maldives National University
 Table of Contents
WEEKLY LECTURE/TUTORIAL SCHEDULE ................................................................................... 4
Week 1 –WHAT IS SOCIAL PROTECTION ......................................................................................... 9
1. INTRODUCTION: WHAT IS SOCIAL PROTECTION.............................................................. 10
1. Historical Development of Social Protection .............................................................................. 11
i. Development of Welfare States.................................................................................................. 12
ii. Development of Social protection .............................................................................................. 13
iii. Defining Social Protection ........................................................................................................... 14
iv. The Rationale for Social Protection: ........................................................................................... 16
2. The Context for Global Attention in Social Protection ............................................................... 19
3. Social Protection Responsibilities of the State ........................................................................... 20
4. Role of Development Agencies ................................................................................................... 22
Week 2–TYPES OF SOCIAL PROTECTION ...................................................................................... 27
TYPES OF SOCIAL PROTECTION ..................................................................................................... 28
a. Types of Social Protection ........................................................................................................... 28
i. Social Assistance ......................................................................................................................... 28
b. Cash Transfer Schemes (Conditional and Non- Conditional) ...................................................... 32
c. Public Works Program (PWP)...................................................................................................... 33
d. In-kind Transfers vs. Cash transfers. ........................................................................................... 36
i. Social Insurance .......................................................................................................................... 42
a. The Rationale for Social Protection: ........................................................................................... 42
b. Types of Social Insurance ............................................................................................................ 44
c. Labor Market Intervention.......................................................................................................... 45
d. Labor Market Intervention for informal Sector .......................................................................... 47
i. Community Based Social Protection ........................................................................................... 48
Week 3–APPROACHES TO SOCIAL PROTECTION ....................................................................... 55
APPROACHES TO SOCIAL PROTECTION: RIGHTS, RISKS AND NEEDS .............................. 56
i. Human Rights Based Approach to Social Protection: UN ........................................................... 56
ii. The World Bank’s Social Risk Management Framework ............................................................ 61
a. Important Characteristics Of The SRM Framework Includes:..................................................... 63
b. TYPES of RISKS ............................................................................................................................. 63
iii. INTERNATIONAL LABOUR ORGANISATION (ILO) ...................................................................... 64
a. Context: The need for social protection stems from .................................................................. 64
iv. Needs, Rights and Risks............................................................................................................... 66
v. Conceptual and Ethical Bases for Social Protection.................................................................... 67
a. Social Protection and Social Theory ............................................................................................ 67
a. Social Protection and Economic Efficiency ................................................................................. 68
Week 4–CONCEPTUAL FRAMEWORK ADOPTED BY UN ........................................................... 72
CONCEPTUAL FRAMEWORK BY UN............................................................................................... 73
a. The Concept of Social Protection Floor....................................................................................... 74
b. The Rationale for Social Protection Floor ................................................................................... 76
a. Guidelines on Implementation ................................................................................................... 84
b. Principles and Modalities in The Design And Implementation Of National Social Protection
Floors .................................................................................................................................................. 86
c. Overview of Key Activities In Implementation ........................................................................... 88

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 d. SPF Activities at Global Level ...................................................................................................... 88
e. Key Challenges Faced By SPF ...................................................................................................... 89
a. UNICEF’s Social Protection Floor Initiatives ................................................................................ 90
a. Lessons From Good Practice: ...................................................................................................... 91
b. UNICEF’s Conceptual Framework Integrated Systems for Equitable Outcomes ........................ 91
c. The Rational For an Integrated Social Protection Systems Approach ........................................ 92
d. Addressing Economic and Social Vulnerabilities: Four Key Social Protection Components ....... 93
Week 5–CONCEPTUAL FRAMEWORK BY ADB AND WORLD BANK....................................... 96
CONCEPTUAL FRAMEWORK BY ADB AND WORLD BANK ..................................................... 97
i. World Bank and Social Risk Management .................................................................................. 98
a. Social Risk Management Strategies ............................................................................................ 98
b. Social Risk Management Arrangements: .................................................................................... 99
c. Guiding Principles of World Banks Social Protection Strategy ................................................. 100
d. World Banks’ Integrated Approach to Social Protection .......................................................... 100
v. ADB and Social Protection ............................................................................................................. 102
a. ADB’s Mission and Role of Social Protection ............................................................................ 102
b. Elements of ADB’s Social Protection Framework ..................................................................... 102
c. Social Protection Index: ............................................................................................................ 111
Week 6–CONCEPTUAL FRAMEWORK ADOPTED BY ILO ........................................................ 122
CONCEPTUAL FRAMEWORK ADOPTED BY THE INTERNATIONAL LABOUR
ORGANIZATION .................................................................................................................................. 123
i.
ILO’s Traditional Approach to Social Protection: ...................................................................... 123
i.
ILO Decent Work Strategy......................................................................................................... 124
a.
Universality of Coverage ........................................................................................................... 125
b.
The Idea of Rights...................................................................................................................... 126
c.
Location of Work and Employment within a Broad Economic, Political and Social Framework:
126
d. Social Dialogue .......................................................................................................................... 127
 Diversity of Organizations and Social Dialogue ........................................................................ 127
e. The Interdependence between Social Protection and Other Elements of Decent Work......... 128
f. The Search for Global Rather than merely International Policies ............................................ 129
Week 7–SOCIAL PROTECTION: DESIGN AND IMPLEMENTATION ...................................... 132
SOCIAL PROTECTION: DESIGN AND IMPLEMENTATION ..................................................... 133
a. Vulnerability Analysis at Different Stages of the Life-Cycle ...................................................... 135
b. Evidence-Based Approach to Social Protection ........................................................................ 137
c. Challenges to Life Cycle Analysis Arising from Knowledge Gaps .............................................. 141
d. Implications of life cycle analysis in the design and implementation of an evidence based life-
cycle analysis ..................................................................................................................................... 141
e. Resource Allocation .................................................................................................................. 142
a. Government Financing of Social Protection ............................................................................. 142
b. International Organizations’ Financing of Social Protection .................................................... 143
c. Creating a Fiscal Space .............................................................................................................. 145
a. Community Based Social Protection Program and Social Inclusion ......................................... 148
Week 8–EVALUATION OF SOCIAL PROTECTION PROGRAMS .............................................. 153
EVALUATION OF SOCIAL PROTECTION PROGRAMS............................................................. 154

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MODULE II–SOCIAL PROTECTION PRACTICES IN THE MALDIVES .................................. 157
Week 9–SOCIAL PROTECTION IN PRACTICE ............................................................................. 157
SOCIAL PROTECTION IN THE MALDIVES .................................................................................. 158
a. The Economic and Social Growth in Maldives .......................................................................... 159
b. Social Protection Programs in the Maldives ............................................................................. 162
Week 1O–LEGAL AND CONCEPTUAL FRAMEWORK FOR SOCIAL PROTECTION .......... 166
LEGAL AND CONCEPTUAL FRAMEWORK FOR SOCIAL PROTECTION .......................................... 167
a. Social Protection from an Islamic Sharia, Maldivian Traditional and Cultural Norms
Recognized and Practiced in the Maldives .................................................................................... 168
b. Islamic Concept of Social Security.......................................................................................... 168
c. Morality in Islam And Social Security .................................................................................... 170
h. Characteristics of Social Security System during the Reign of Umar ibn al-Khattab ................ 170
i. International Obligations of The State and Social Protection .............................................. 171
o. Social Protection and the Constitution of Maldives .............................................................. 171
p. Legislative Provisions ............................................................................................................. 172
q. Social Protection and National Development Plan. .................................................................. 172
Week 11–CASE STUDY I ...................................................................................................................... 175
EVALUATING THE INCOME SUPPOT SAFETY NET POGRAMME ........................................ 175
EVALUATION OF THE ABSOLUTE POVERTY SCHEME AND ASSISTANCE TO OBTAIN
SCHOOL MATERIAL FOR CHILDREN OR LOW INCOME FAMILIES .................................. 176
Week 12–CASE STUDY 2...................................................................................................................... 178
EVALUATING SOCIAL ASSISTANCE PROGRAMS TAREGETING VULNERABLE GROUPS
178
EVALUATE THE MALDIVES OLD AGE BASIC PENSION (MOABP) AND THE MALDIVES
RETIREMENT PENSION SCHEME (MRPS) ................................................................................... 179
Week 13 – ROLE OF STATE, MARKET, DONOR AGENCIES, COMMUNITY AND FAMILY
IN SOCIAL PROTECTION .................................................................................................................. 181
ROLE OF THE STATE: DONOR AGENCIES; COMMUNITY AND FAMILY IN SOCIAL
PROTECTION........................................................................................................................................ 182
a. Social Protection and State ....................................................................................................... 183
Week 14 REFORMS TO CURRENT SOCIAL PROTECTION PROGRAMS ............................... 187
CONCLUSION: THE FUTURE OF SOCIAL PROTECTION ......................................................... 188
a. Reforms to Current Social Protection Programs in Practice ..................................................... 188
b. Using an Evidence Based Approach to Identify Social Protection Priorities ............................. 189

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 WEEKLY LECTURE/TUTORIAL SCHEDULE
Week Topics Assessment Due

1 INTRODUCTION: WHAT IS SOCIAL PROTECTION?

Historical development of social protection
 Development of welfare states and welfare theory
 Definitions, Principles and Rationale of social
protection
 Reasons for current attention on social protection
Social protection responsibilities of the State
Role of Development Agencies

2 TYPES OF SOCIAL PROTECTION

Social Assistance
 Cash Transfer Schemes (Conditional & Non-
conditional) – rationale and success of Cash Transfer
Schemes
 Public Works Programmes – role and effectiveness
 In-kind Transfers- In-kind Transfers versus Cash
Transfers
Social Insurance – nature of & rationale for social insurance
programmes
 Types of social insurance measures
 Link to formalised labour market and challenges
presented by the informal labour market
Labour Market Interventions- rationale
 Active and Passive intervention programmes
 Labour market interventions for informal work sector
Community-based Social Protection – nature and rationale
 Addressing the informal sector’s social protection
challenges

3 APPROACHES TO SOCIAL PROTECTION: RIGHTS, Choice of topic

RISKS AND NEEDS
Definitions and characteristics of social protection measures
adopted by:
 United Nations
 World Bank
 International Labour Organisation
Rights, Risk, Needs
Conceptual and Ethical bases for social protection:
 Social Protection & Social Theory
 Social Protection and Ethics
 Social protection and Economic Efficiency

4 CONCEPTUAL FRAMEWORK ADOPTED BY

THE UNITED NATIONS ( UN)
Rationale for social protection measures by UN
Case study: implementing social protection floor in fragile
countries of Haiti and Liberia
Case study: Impact of Social protection program in Indonesia

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  Guidelines on implementing SPF
 Innovating methods of financing SPF
 Principles and Modalities in the design and
implementation of national social protection
 SPF activities at global level
 Conceptual developments
 Challenges faced by SPF
Study the Social Protection Floor Initiative of the
UN
Case studies on SPF in Mozambique, Rwanda and Thailand
UNICEF’s Social Protection Floor Initiatives
 Lessons that can be drawn from different UNICEF
initiatives

5 CONCEPTUAL FRAMEWORK ADOPTED BY WORLD

BANK AND ASIAN DEVELOPMENT BANK

World Bank’s approach and rationale for Social Protection:

 Conceptualizing Social Risk Management – Types of
risks and key instruments in addressing the risks
 Social Protection Mechanisms adopted by World
Bank
Alternative approaches to SRM - Transformative Social
Protection by Institute of Developmental Studies
Asian Development Bank’s approach to Social Protection:
 ADB’s Mission and role of social protection in
achieving this mission.
 ADB’s Social Protection focus on labor market
policies, crop insurance and price supports for
agriculture, social assistance and welfare.
 ADB’s Social Protection Index


6 CONCEPTUAL FRAMEWORK ADOPTED BY THE Outline of the paper

INTERNATIONAL LABOUR ORGANISATION (ILO)
 Traditional approach of ILO to Social Protection:
Social Insurance based Social Protection
ILO’s current approach to Social Protection; ‘decent work for
all’ strategy–a study of the following four distinguishing
features of this approach and their strengths:
 Eemphasis on universality of coverage and
pervasiveness of concern;
 Use of the idea of rights;
 Conceptual location of work conditions within a
broad economic, social and political context that
stresses democracy and participation; and
 Search for global rather than merely international
policies.

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7 SOCIAL PROTECTION: DESIGN AND
IMPLEMENTATION

 ‘Life-cycle analysis’ - undertaking poverty and

vulnerability analyses through an evidence based
process to identify social exclusion from a life-cycle
perspective
 Allocating resources and focusing attention on
addressing social and economic risks
 Involving local communities in the social protection
programmes in order to promote social inclusion

8 SOCIAL PROTECTION: MONITORING AND Assignment 1

EVALUATION CASE STUDY I -
Social Protection in Nigeria- case study
 Conceptual framework
 Life cycle analysis approach to poverty vulnerability
and inequality
 Legal framework
 National policies
 Social protection programs
 Impacts, gaps and challenges
 Policy recommendations

9 SOCIAL PROTECTION IN THE MALDIVES

 Overview of economic and social growth in the
Maldives
 Social protection programmes in Maldives –
traditional sources of funding (mainly publicly
funded and supplemented by remittances from
extended family, wealthy private individuals and
entities, Zakat payments and Islamic charitable
support).
 Review of current social protection programmes
implemented by the Government:
 Absolute Poverty Scheme
 Assistance schemes to obtain –
 school material for children of low income families
 assistive devices - extended to disabled citizens and
to mentally ill citizens to obtain pharmaceutical
drugs.
 Institutional care for orphans and mentally disabled
persons
 Universal pension payable to all aged 65 and above
 Universal health insurance scheme – managed as a
public-private partnership

10 Legal And Conceptual Framework For Social Protection Outline of the paper
 Social protection concepts from Islamic Sharia,
Maldivian traditional and cultural norms -recognised
and practised in the Maldives;
Social Protection as an international obligation on the State –
arising from accession and ratification of:

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  the Convention on Elimination of all forms of
Discrimination Against Women
(CEDAW);Convention on Rights of the Child
(CRC); and International Covenant on Economic,
Social and Cultural Rights (ICESCR).
Social Protection under the Constitution of the Maldives:
 Economic and Social Rights – specifically right to
adequate and nutritious food & clean water, right to
clothing and housing, right to good standards of
health care (Article 23); Non-discrimination
including on basis of gender or age (Article 17);
Special protection to children, young, elderly and
disadvantaged people (Article 35); Right to education
(Article 36); Right to work (Article 37); and Right of
pension (Article 38)
Legislative provisions recognising social protection –
specifically under:
 Law 9/91 (Protection of the Rights of Children Act)
and Law 8/2010 (Disability Act)
Social Protection in the Maldives National Development
Plans & in the Millennium Development Goals (MDG)
by the UN

11 CASE STUDY I :EVALUATING THE ABSOLUTE Assignment 2

POVERTY SCHEME &THE ASSISTANCE TO OBTAIN Case Study II
SCHOOL MATERIAL FOR CHILDREN OF LOW INCOME
FAMILIES SCHEME
 conceptual framework supporting the programme and
the objectives of the social protection programmes;
 assessment of the methodology used in identifying
eligible beneficiaries;
 review of the designing process involved;
 analysis of the scope and outcomes achieved through
its implementation;
 appraisal of the limitations and key issues confronted
by the scheme; and
 suggestions to address the key issues and improve the
programmes.

12 CASE STUDY II - EVALUATING THE MALDIVES OLD AGE BASIC

PENSION (MOABP) AND THE MALDIVES RETIREMENT PENSION
SCHEME (MRPS)

 conceptual framework supporting the programme and

the objectives of the social protection programmes;
 assessment of the methodology used in identifying
eligible beneficiaries;
 review of the designing process involved;
 analysis of the scope and outcomes achieved through
its implementation;
 appraisal of the limitations and key issues confronted
by the scheme; and

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  suggestions to address the key issues and improve the
programmes.

13 ROLE OF THE STATE, DONOR AGENCIES,

COMMUNITY & FAMILY IN SOCIAL PROTECTION

 role of State, national and the local governments in

social protection policy making and implementation
 Major donor agencies implementing social protection
programmes in Maldives

14 SEMINAR SESSION
 Reforms to current social protection programmes in
practice
 Using an evidence based approach to identify social
protection priorities

15 Study week

16 Exams

17

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 Module I: Social Protection Principle
Week 1 –WHAT IS SOCIAL PROTECTION

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Week 1

1. INTRODUCTION: WHAT IS SOCIAL PROTECTION

Overview
This lecture introduces an overview of the course and discusses the course structure, assessment
methods, and student expectation. It provides an overview on what social protection is and establishes the
rationale for social protection by discussing historical context and contemporary developments regarding
the meaning and importance of social protection. It also presents the students on the reasons for current
attention on social protection. The lecture winds up with establishing the synergic linkages between the
responsibilities of the state in social protection and the role and approaches of Development Agencies in
complementing social security systems adopted by national government. Through the series of lectures in
this week students develop an understanding on how the state and international agencies contribute to
improving the coverage and effectiveness of social protection as an important means for poverty reduction

Objectives:

 Define social protection and describe the main principle values that underpin social protection
 Describe the historical development of social protection
 Describe the political context in which contemporary social protection policies developed
 Demonstrate an in-depth understanding of the rationale behind social protection
 Identify and describe the main factors at the global level that influenced contemporary social policy
development
 Demonstrate an awareness of the main approaches to and concepts and principles in social
protection
 Describe the influence of welfare theory on the development of social protection policies
 Demonstrate an understanding of contrasting conceptions of social policy
 Establish linkages between the role of development agencies and the state in social protection

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 a. Definition

At the start of the lecture, the facilitator asks learners to write

Tutorial 1

 Definition of social protection

 Why it is needed at national level and at the individual level?
 What are the main ways in which social protection is offered?
 How does it help the people?
 Why is it important at the national level and at the level of households and individuals?

Set the stage for discovery learning through the YouTube video, “Social Protection: a lifelong
necessity” by GIP Sante Protection Social International, which brings together the key French actors of
international cooperation for health and social protection. The film presents three successful Social
Protection Floor Experiences: Bolsa Família (Family Grant) Program in Brazil, the medical assistance
scheme for the needy in Morocco and the 500 Baht Universal Pension Scheme in Thailand.

Introduce some of the key concepts through the video Protecting lives, promoting livelihoods, by Mark
Davies of the Centre for Social Protection at the Institute of Development Studies. Given the background
knowledge generate a discussion on what social protection is and how it can make the difference to the
lives of poor people and ask.

At the end of this introductory stage, ask students to compare their answers with the content from the
three videos and generate a whole class discussion on the basis of the questions probed at the start of the
lecture

1. Historical Development of Social Protection

The earliest examples in which the state provided social protection traces back to the Roman Emperor
Trajan, who expanded a program for free grain to include more poor citizens of the empire. He also
institutionalized public funds to support poor children. Organized welfare systems are commonly associated
with Germany and Great Britain’s welfare systems in the 19th and early 20th centuries. Hill (2000) states
that that the study of social protection (social policy) as it has been developed Britain is associated with an
examination of the extent to which the welfare state meets the needs of the people. According to Forder
(1974),'The distinguishing characteristic of the Welfare State is the assumption by the community, acting

11
through the State, of the responsibility for providing the means whereby all its members can reach minimum
standards of health, economic security and civilized living, and can share according to their capacity in its
social and cultural heritage.' (p.2)

i. Development of Welfare States

Most academics traces the roots of the word back to 1941 when the Archbishop of York, William
Temple, used the term as a contrast to the ‘warfare state’ being pursued by Hitler in Nazi Germany
(Timmins, 1995: 6; Lunt, 2008,Oxford English Dictionary, 2012). the Beveridge Report, published in 1942,
outlined a radical and popular plan for addressing major social ills in the UK and it is commonly suggested
that the raft of Beveridge-inspired social reforms implemented by the 1945–51 post-War labor government
which marked the moment in which the UK became a ‘welfare state’ (Alcock, 2008; Fraser, 20092).
However as Timmins (1995) states, the phrase ‘welfare state’ was hardly in common usage at that point,
with the Prime Minister of the day, Clement Attlee, adopted the phrase for the 1950 General Election, and
The Oxford English Dictionary included its first entry for the phrase as late as 1955.(Hudson, ). The term
welfare state is “is used when a nation has at least a minimum level of institutionalized provisions for
meeting the basic economic and social requirements of its citizens’ (p.36 Bryson as cited in Hudson,). The
term reflects the dual meaning of, “both the idea of state responsibility for welfare as well as the set of
institutions and practices through which the idea is given effect” (p.ix, Mishra 1984 as cited in Hudson,).
The logic of these dual roles are prosaically distinguished by Titmus (1958) as “performance” and ‘promise’
of the welfare state. Given this a more precise define of welfare state involves, “the delivery of social
services by the state [and] the strategy of developing inter-related services to deal with a wide range of
social problems” (p.274, Spicker, 1995 as cited in Hudson). Most scholars have defined welfare states
around services dealing with ‘five giant evils’ identified by Beveridge as social security/income protection,
health care, education, employment and housing (Timmins, 1995; Hudson et al., 2008). Others such as
Bochel (2009) have defined welfare states more broadly to include areas of transport policy, the
environment, food policy and access to the interment. While other academics have suggested that the ‘new
social policy’ must include issues related to leisure consumption and sport (Cahill, 1994).
Social protection or social policy in USA emerged during the great depression, with the emergency
relief for those struck the hardest. ( for further information on welfare states see Hagen(2012).
At this point, show the video on Post-WW2 Development of British Welfare State,
http://www.youtube.com/watch?v=vG9wCSrTbXs so that learners will have a better orientation on the
development of welfare states in Britain.

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Tutorial 2
Based on your readings on Welfare Theory by Alcock and Powell; Principles of social welfare
an introduction to thinking about the welfare state by Paul Spicker
 What is the rational for the provision of welfare and the development of welfare states?
 What are the theoretical perspectives on welfare? How does realism, Marxism and idealism view
welfare states?
 What are the main principles of welfare? From which theoretical framework/ frameworks are
these principles based? What might be the challenges involved in the full realization of these
principles
 Make a timeline on the historical evolution of welfare states and the development of social
protection policies

ii. Development of Social protection

Traditional social protection systems consisting of labor markets, pensions, social funds and safety
nets began in the 1970s with the work on labor markets and followed by structural adjustments programs
in the 1980s with the debt and economic crisis in various parts of the world. The concept of social protection
became significant with the collapse of communism, the continuation of economic crises and the rising
share of elderly in developing countries. Following this, world events during the 1990s such as the fiscal
impact the ‘cradle to grave’ social security schemes in the former communist countries were seen as
unsustainable and international development agencies such as the world bank focused on reducing
expenditure and targeted transfers to cushion the negative effects of transition on the most vulnerable.
Similarly, the global financial crisis in East Asia and Russia and Brazil in 1997-98 resulted in the
implementation of large-scale social protection measures. While the growth and sound macroeconomic
policies are necessary, the crises and downturn in the East Asian Miracle’ revealed that these policies were
insufficient in sustaining poverty reduction. In order to sustain the gains already made, it was essential to
introduce shock – resistant risk management programs, including safety nets, income support systems for
the e elderly, and well-functioning labor markets with social safeguards in order to reduce poverty in the
long term (World Bank, 2001)

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 iii. Defining Social Protection

Before exploring social protection, it is important for the facilitator to clarify the meaning of the term
poverty, inequality, unemployment, social exclusion and vulnerability (For more information refer to “the
Report of the Committee of Inquiry into a Comprehensive System of Social Security for South Africa”
(2002).

Highlight the importance of the significant impact of social protection on reducing inequalities through
poverty through the video by ILO (2014), Social protection is key to reducing inequality and poverty. This
short video shows how Isabel Ortiz, Director of the Social Protection department at the ILO discusses the
new ILO report: “World Social Protection Report 2014/15: Building economic recovery, inclusive
development and social justice". She discusses how social protection systems are organized, the benefits of
the schemes. Analysis of trends in social protection reveal that in the aftermath of global financial and
economic crisis a number of governments have reduced investment in social protection measures especially
since 2010. She also touches upon the negative impact of structural adjustment programs and on how
countries have attempted to adjust their welfare system. The video views social protection as a human rights
and the impact of social protection on human development. It also considers how social protection schemes
are important at the level of the individual and at the level of political leaders.

Traditionally social protection has been associated with a range of public institution, rules and programs
in place in ‘rich’ countries with the central aim of protecting individuals and their households from poverty
and deprivation. These included labor standards and employment protection programs which are linked to
life cycle contingencies including maternity , family allowances and old age pensions, compensation for
work related contingencies such as unemployment or work related injuries and basic safety nets (
Barrientos, Hulme & Shepard, 2005). The World Bank (2003), states that traditionally socially protection
has included “policies that provide safety nets, social funds, labor market interventions and social insurance
(including pension)” (p.2, The World Bank, 2003). During the 1990s, within the context of economic crisis,
structural adjustment and globalization, social protection has shaped the agenda for social protection policy
in developing countries. In these context social protection is viewed through a broader lens then social
security, social assistance and safety nets.

While there is consensus that social protection can provide a more appropriate framework in addressing
the increasing poverty and vulnerability within the context of current situations in developing countries,
there are disagreements on whether a narrow or a broad vision of social protection should shape policy.
These arguments have revolved around its technical and ideological dimension. The technical dimensions
have focused on affordability, priorities and the degree to which ‘moral hazards’ should be a cause for

14
concern in policy design. The ideological dimension have concentrated on whether people have a set of
global rights, (and thus must be afforded social protection to secure those rights) or whether individuals and
households should largely take responsibility for their own welfare.
Social protection is “a set of public and private policies and programs undertaken by societies in
response to various contingencies in order to offset the absence or Substantial reduction of income from
work; provide assistance to families with children; and provide people with health care and housing” (UN,
2000; Barrientos et al.2005).
Contrasted with this traditional definition, the World Bank (2003) views social protection through the
lens of ‘Social Risk Management’ framework through the addition of macroeconomic stability and financial
market development to typical social protection programs. According to Holzmann and Jorgensen (1999
)Social risk management involves public interventions aimed at assisting individuals, households and
communities in better managing income risks (Barrientos et al.2005). Social Risk Management is new
conceptual framework which considers social protection, “ as a set of public measures that support society’s
poorest and most vulnerable member’s and help individuals, households and communities better manage
risks” (p.2). It involves three main strategies that deal with risks (prevention, mitigation and coping), three
levels of formality of risk management (informal, market- based public_ and many actors (individuals,
households, communities, NGOs, governments at various levels and international organizations). Viewed
through this perspective social protection emphasizes the dual role of risk management instruments –
protecting basis livelihoods as well as promoting risk taking. (World Bank, 2003).

The ILO views social protection through the lens of basic human rights and an economic necessity for
all countries at level. ILO defines it as “entitlements to benefits that society provides to individuals and
house-holds through public and collective measures to protect against low or declining living standards
arising out of a number of basic risks and needs” (Van Ginneken, 2000). ILO in its resolution on social
security considers that
(a) Social security is a human right.
(b) Social security is a social necessity.
(c) Social security is an economic necessity (Barrientos et al.2005).
A new broad definition of social protection centers on the concept of social risk management:
“Social protection consists of human-capital oriented public interventions(i) to assist individuals,
households, and communities better manage risk, and (ii) to provide support to the incapacitated poor” (p.3.
Jorgensen, Domelen, 1999).
The following definition by Institute Of Development Studies, (2004) conceptualizes the mechanism
to deliver social protection:

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 “SOCIAL PROTECTION is the set of all initiatives, both formal and informal, that provide: social
assistance to extremely poor individuals and households; social services to groups who need special
care or would otherwise be denied access to basic services; social insurance to protect people against
the risks and consequences of livelihood shocks; and social equity to protect people against social
risks such as discrimination or abuse (p.9).

Given this, at the heart of social protection lies the capacity to reduce the vulnerability of the poor. The
full range of social protection interventions can be categorized under protective, preventive, promotive
and transformative measures. (Institute Of Development Studies, 2004).

Regardless of the difference in defining its scope the there is a general agreement on the basic distinctive
characteristics of social protection. First social protection focuses on poverty prevention, reduction and the
provision of support to the poor (De Hann 2000 as cited in Barrientos et al.2005).

Secondly social protection acknowledges the variety and heterogeneity of risks affecting individuals,
household and communities and thus acknowledges the multidimensional nature of poverty (Luad and
Srinivas, 2000). Similarly, employment and labor market risks are significant and is entwined with other
sources of risks and vulnerability (Barrientos, 2001). Interventions on social protection must be recognized
as investments rather than its costs (World Bank 2001) and focus on capacity development of the poor in
reducing, ameliorating or coping with social risks. Particular emphasis is placed on investing in human
capital and more generally on productive investment as the avenue for poverty reduction (Barrientos et
al.2005).

Social protection involves a wide array of stakeholders programs institution and instruments , such as
the social insurance programs, the provision of health and education to informal social networks micro-
insurance, and intra- household support (Esping- Andersen,1999 as cited in Barrientos et al.2005).Social
protection policies in developing countries acknowledge the important role of public provision of social
protection and the important role that government play in supporting and strengthening other forms of
provision, including the private, not-for-profits, and household provision (Barrientos et al.2005).

iv. The Rationale for Social Protection:

Although in the past most governments have viewed social protection primarily as a cost which requires
regular or intermittent payments to sustain the poorest, world governments have initiated in adopted a more
longer term perspective ‘seeing such expenditure less as a cost and more as an investment- and one which
in the end can bring rich dividends: social, economic and political” (p.49, UN ESCAP, 2011). Viewed
through this perspective the main functions of social protection can be summarized as

16
  It can help build human capacity
a. Nutrition
b. Education
c. Health
 An escape from poverty
 Reducing income inequality
 Advancing economic growth
 Social cohesion through inclusion

Tutorial 3
 How does social protection contribute to achieving millennium development goals?

(Source: The World Bank, 2003)

17
(Source: The World Bank, 2003)

18
(Source: The World Bank, 2003)

2. The Context for Global Attention in Social Protection

The main factors which explains the increased attention to social protection within development debates
in recent years includes
 Globalization: the global reaction to various forms of economic or financial crisis over the 1990s,
in particular the growing integration of trade systems and capital markets, which On the one hand,
have increased opportunities for all while on the other hand they are seen as increasing insecurity
on a global scale.
 Increasing inequality – both within countries and between countries;
 An increasingly liberalized international economic environment restricting many sources of
revenue which were previously available to governments to fund social expenditures; and
 A global demographic transition which implies long-term changes in dependency ratios (in
particular, the growth in the absolute and relative numerical importance of older people).
 Changes in development practice – donor agencies concern for public policy, the public budget,
and development in order to achieve sustainable reductions in poverty.
 Citizenship, governance and rights- Rights to elements of social protection are enshrined in the
Universal Declaration of Human Rights. In order to deliver the promise of these rights state
governments at the national level along with the international community needs to ensure that the
concepts of social protection needed to be converted into entitlements or standards which reflect

19
 the role of the state as well as the levels of risks and deprivations that are unacceptable in society
in order to ensure the social protection policies are deliverable, effective and sustainable. Although
dimensions of governance and rights are undeveloped in literature on social protection there are
however significant due to the following reasons:
1. Defining those levels of well-being which constitute to minimum standards (or right) is a
fundamental element component of the notion of citizenship.
2. There is historical evidence that, for economies in processes of change, the provision of protection
against risk from new levels of exposure to markets is a fundamental part of the bargain between
workers and state that accompanies structural reform.
3. Defining the role of the state in these fields is highly contentious, and can only be handled through
political processes. The use of tax funded transfers in order to assist the poorest requires high levels
of support within society to be politically sustainable –the greatest challenge that systems of
democratic governance confronts
 Social protection policy is also associated with debates on social cohesion and social exclusion.
 Developmental Initiatives- Initiatives such as the International Development Targets, the
International Social Policy Principles and related processes in UN Conferences and Conventions
such as the World Summit for Social Development have defined an emerging global approach to
the fundamental values that underpin approaches to social protection ( Norton, Conway & Foster,
2001)

3. Social Protection Responsibilities of the State

States are legally obligated to establish social protection systems under human rights law. This
responsibility comes directly from the right to Social Security as articulated in Article 9 of the International
Covenant on Economic, Social and Cultural Rights (ICESCR). The CESCR outlines the key features of this
right and the content of States’ obligations in General Comment No. 19 on the right to social security. Given
this, the right to social security implies categories of measures: social insurance schemes, (beneficiaries are
requested to contribute financially); and social assistance schemes (non-contributory and typically
taxation-funded measures) designed to transfer resources to groups considered eligible due to vulnerability
or deprivation. The committee notes that states must ensure the right to social security to all individuals
within their territories, and must include special protection for disadvantaged and marginalized individuals
and groups. The realization of this right to social security entails that states must take measures to establish
social protection systems in national law to ensure its sustainability. States must ensure that social
protection benefits are adequate in both its amount and duration and ensure that that the ways in which it is
provided is in compliance with principles of human dignity and non- discrimination. States must also ensure
that social protection is equally available to all individuals. Hence direct attention must be placed on

20
ensuring universal coverage, reasonable, proportionate and transparent eligibility criteria; affordability
and physical accessibility by beneficiaries; and participation in and information about the provision of
benefits.
Furthermore, the General Comment No. 19 stipulates that States have a minimum core obligation
to provide some form of basic social security and States have the immediate duty
“to ensure access to a social security scheme that provides a minimum essential level of benefits to all
individuals and families that will enable them to acquire at least essential health care, basic shelter and
housing, water and sanitation, foodstuffs, and the most basic forms of education. If a State party cannot
provide this minimum level for all risks and contingencies within its maximum available resources, the
Committee recommends that the State party, after a wide process of consultation, select a core group of
social risks and contingencies.
Hence at the very least, States must ensure “minimum essential levels non-contributory social
protection is not a policy option, but rather a legal obligation under international human rights law”. Thus
is shorts states must

 ensuring an adequate legal and institutional framework and adopting long-term strategies Adopt
comprehensive, coherent and coordinated policies
 Respecting the principles of equality and non-discrimination
1. incorporating the gender perspective
2. ensuring equality and non-discrimination in the selection of beneficiaries
3. Complying with the standards of accessibility, adaptability, acceptability and adequacy
 ensuring that the implementation of conditionalities (“co-responsibilities”) does not
 undermine the human rights of beneficiaries
 ensuring transparency and access to information
 ensuring meaningful and effective participation
 ensuring access to complaint mechanisms and effective remedies
Given this, Social protection systems can help States in complying with their other human rights obligations
towards people living in poverty. Importantly by allocating resources to those living in extreme poverty
and allowing beneficiaries to generate income, protect their assets and accumulate human capital,
Social protection systems can contribute to the realization of a number of economic, social and cultural
rights, such as the right to an adequate standard of living – including the right to adequate food, clothing,
and housing as well as the rights to education and health ( Sepúlveda & Nyst,2012). For further reference
on Social protection responsibilities and the state refer to Norton et.al., 2001)

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 4. Role of Development Agencies

Typically, developing countries seek international cooperation and technical assistance to deliver
and realize the right to social security. Donors are increasing interested in funding social protection
programs are seemingly moving away from narrow approaches to social protection which focus on
providing safety nets.

The ADB includes a wide variety of projects under its definition of social protection. These include
labor market programs, social assistance, social insurance, micro and area based schemes and child
protection. p (GSDRC, 2014)

Department for International Devel opment (DFID)

DFID focuses on social assistance, particularly social transfers (GSDRC, 2014)

International labor Organization

The ILO's work on social protection covers issues on social security and labor protection, taking
its cue from the 1952 International labor Standards Convention and emphasis social security is a basic
human right. The ILO focuses attention around the concept of ‘Decent Work’ which covers rights at work,
employment, social protection and social dialogue. The ILO along with WHO have pioneered discussions
about the need to establish a ‘social protection floor’. The ILO has supported the concept of a ‘social floor’
consisting of the provision of essential services and social transfers as a requirement in order to ‘safeguard
the attainment of the Millennium Development Goals’ (GSDRC, 2014).

Organization for Economic Cooperation and Development (OECD)

OECD uses the multi-dimensional poverty framework by the OECD/DAC’s Poverty Network (POVNET)
.This framework is built around the premise that pro-poor growth as an area of crucial importance, and
supports social protection as a means with which to achieve equitable and efficient economic growth
(GSDRC, 2014).

Oxfam
Oxfam’s policies defines social protection as a basic right and an ‘action’. Oxfam emphasizes its
role in mitigating risk and vulnerability, promoting the rights of the marginalized, and supporting the
chronic poor (GSDRC, 2014)

World Bank
The World Bank has developed an analytical framework is called ‘Social Risk Management’
(SRM) which identifies social risks and potential responses. There are three main areas of SRM:
risk management strategies, risk management arrangements and actors in risk management.

22
 Through SRM the World Bank establishes linkage with social protection to broader poverty
reduction goals and shifts the focus from risk coping to risk reduction and assessing vulnerability
(GSDRC, 2014)

At the end of the discussion on the role of development agencies in social protection, ask students
to analysis the strengths and weakness of each agencies approach to social protection.

Tutorial 4
 Compare and contrast approach adopted by development agencies on social protection? What are
the advantages and disadvantages? Which of the donor approaches might best suit the Maldivian
context? Why?

Tutorial 5
 Can social protection really make a significant contribution to poverty eradication and economic
growth?
 Is the effectiveness of social protection more, less or equal to that of other development
instruments? Explain? What are the possible synergies between social protection and other
instruments/sectors?
 How can poorer countries afford the ‘luxury’ of social protection?
 What role can the EU and other donors play in promoting social protection in developing countries?
 Is there any “universal minimum” which should apply worldwide when referring to social
protection? Explain?
 Is there a case for some sort of global social protection fund, as a permanent distributive justice
mechanism between developed and developing countries? explain (Source: Adapted European
Report on Development, 2010)
 What are the arguments for and against social protection?
 What aspects may come into play in determining the social protection of Maldives?

23
(P.9. UN ESCAP, 2011)

24
Suggested readings
 Alcock, P., Powell, M. (2012). Introduction; Welfare theory. In Alcock, P., May, M., & Wright,
S. (Eds.). (2012). the student's companion to social policy. John Wiley & Sons.
 Arts, W.A. and Gelissen, J., 2010. Models of the welfare state. In: F.G. Castles et al., eds., The
 Barrientos, A., Hulme, D., & Shepherd, A. (2005). Can social protection tackle chronic poverty?
The European Journal of Development Research, 17(1), 8-23.
 Barrientos, A.; Hulme, D.,Shepherd, A. (2005). Can Social Protection Tackle Chronic
Poverty? European Journal of Development Research, 17 (1) 8-23. [DOI:
10.1080/09578810500066456]
 Davis, M. (2011). Protecting lives, promoting livelihoods. Video from the conference on Social
Protection held on April 13-15 2011. The Institute of Development Studies: the Centre for Social
Protection at http://www.ids.ac.uk/news/protecting-lives-promoting-livelihoods
 De Haan, A. (2011). The Rise of Social Protection in Development: Progress and Pitfalls. In
International Conference on Social Protection for Social Justice ‘, Institute of Development
Studies, The United Kingdom (13–15April 2011)
thesis.eur.nl/pub/10766/Emma_s_RP_Final_Draft_Nov_2011.pdf
 Devereux, S., & Sabates‐Wheeler, R. (2007). Editorial introduction: Debating social protection.
IDS Bulletin, 38(3), 1-7. Retrieved from
https://www.ids.ac.uk/files/dmfile/IntroDevereux38.3.pdf
 ECA, ILO, UNCTAD, UNDESA, UNICEF. (2012). A development priority in the post-2015 UN
development agenda. European Report on Development. Retrieved from
www.un.org/millenniumgoals/pdf/.../16_social_protection.pdf
 European Report on Development (2010). What is Social Protection? Retrieved from: www.erd-
report.eu/erd/report_2010/.../1-what_social_protection_en.pdf
 Hamerick, P , Palm, T., P., Entemann, E. & Hooren, F., J., V. (2013). Changing European
Welfare States and the Evolution of Migrant Incorporation Regimes; Background paper
reviewing welfare state structures and reform dynamics in a comparative perspective. IMPACIM.
Retrieved from www.compas.ox.ac.uk/.../Welfare/.../IMPACIM_Changing__European_
 ILO (2014). Social protection is key to reducing inequality and poverty. Retrieved from
http://www.youtube.com/watch?v=KIBZ1P71JhI
 ILO (2014).World Social Protection Report 2014/15: Building economic recovery, inclusive
development and social justice. International Labour Office – Geneva: ILO. Retrieved from
www.ilo.org/wcmsp5/groups/public/---dgreports/---.../wcms_245201.pdf

25
 Lustig, N. (Ed.). (2001). shielding the poor: Social protection in the developing world. Brookings
Institution Press.
 Norton, A., Conway, T., & Foster, M. (2001). Social protection concepts and approaches:
Implications for policy and practice in international development. Working Paper 143, London:
Overseas Development Institute. Retrieved from www.odi.org/resources/docs/2999.pd
 Note, P. G. (2009).Social Protection, Poverty Reduction and Pro-Poor Growth. Promoting Pro-
Poor Growth, OECD.
 Oxfam International (2009). OI Policy Compendium Note on Social Protection
www.oxfamamerica.org/static/oa4/social-protection.pdf
 Oxford Handbook of the Welfare State. Oxford: Oxford University Press, 569-583.
 Sabates-Wheeler, R., & Devereux, S. (2008). Transformative social protection: the currency of
social justice. Social Protection for the Poor and Poorest: Concepts, policies and politics, Palgrave
Macmillan, Basingstoke, Hampshire, UK.
 Schulz-Forberg, Hagen, S., (2012). "Welfare State."pp. 1783-88. In Anheier, H. K. K., Anheier,
H. K., & Juergensmeyer, M. (Eds.). (2012). Encyclopedia of Global Studies. SAGE Publications.
SAGE Reference Online.
 Social Protection Advisory Services (2003). The contribution of social protection to the
Millennium Development Goals. Washington: The World Bank. Retrieved from
www.ecolabs.org/adams2/IMG/pdf/SPMDGs.pdf
 Spicker, P. (2013). Principles of social welfare: an introduction to thinking about the welfare
state.
 Standing, G. (2001). Globalisation: the eight crises of social protection. International Labour
Office, Geneva. Retrieved from
www.guystanding.com/files/.../Eight_crises_of_social_protection.pdf
 Titmuss, R. M. (1965). Role of Redistribution in Social Policy, The. Soc. Sec. Bull., 28, 14.
 Titmuss, R.M.(1974). Social Policy: an introduction. In: B. Abel-Smith and K. Titmuss, eds., New
York: Pantheon Books.
 UNESCAP. (2011). The Promise of Protection: Social Protection And Development In Asia And
Pacific. Bangkok: United Nations Publications. Retrieved from
www.unescap.org/commission/.../theme-study-Promise-of-Protection.pdf
 Veit‐Wilson, J. (2000). States of welfare: a conceptual challenge. Social Policy & Administration,
34(1), 1-25
 Williams, F. (1999). Good-enough principles for welfare. Journal of Social Policy, 28(04), 667-
687.

26
Week 2–TYPES OF SOCIAL
PROTECTION

27
Week 2

TYPES OF SOCIAL PROTECTION

Overview
This lecture introduces the types of social protection, social assistance, social insurance, market
interventions and community based approaches. Through a combination of lectures and case studies,
learners examine the key concepts and debates related to the types of social protection programs. The series
of lectures on types of social protection serves as the foundational basis of the course and is crucial to
understating the course.

Objectives

 Outline the main types of social protection programs

 Distinguish between the four types of social protection interventions
 Demonstrate an understanding of the debates surrounding In kind transfers vs Cash transfers
 Establish the linkage between insurance and formalized labor market,
 Discuss the challenges presented b informal labor markets
 Differentiate between active and passive labor market intervention programs.
 Discus the rationale and strategies of promoting labor market for the informal sectors
 Develop a critical analysis of social exclusions and its impacts on their lives
 Examine the informal sector’s social protection challenges towards inclusion

a. Types of Social Protection

 Social assistance – includes resources, either cash or in-kind, are transferred to vulnerable individuals
or households. Social assistance can be unconditional (for example, social pensions or cash benefits) or
conditional (given in exchange for work on public works programs or attendance at school, for instance).

 Social insurance – the beneficiary makes contributions to a scheme to mitigate risk, such as health
insurance or unemployment insurance schemes.

 Labor market interventions – programs aims at protecting workers, such as minimum wage legislation.

 Community-based or ‘informal’ social protection –social safety nets and coping strategies are provided
and sustained at community-level ( GSDRC,2014)

i. Social Assistance
Social assistance equates most closely with “ social welfare” and typically includes targeted
resource transfers such as disability benefit, single-parent allowances, and “social pensions” for the elderly

28
poor , food aid, food for work that are often financed publicly, out of the tax base, with donor support,
and/or through NGO projects. (Institute of Development Studies, 2004).

According to ADB (2013), Social assistance, “is noncontributory social pro intended to aid poor
and vulnerable populations. It has is a core element of national strategies to achieve the MDGs and reduce
poverty and includes direct income transfers for poor individuals and families, as well as social pensions
for older persons. The direct income transfers is gaining significance in Asia and the Pacific following the
widespread adoption and scaling up of conditional cash transfers (CCTs) in Latin America and the
Caribbean since the 1990s ( ADB,2013)

CCTs provides income support to poor families with children on the condition that they fulfill
certain requirements aimed at improving education and health outcomes. While CCTs have proved positive,
it requires an adequate educational and health facilities to benefit targeted families, and are found to be
more effective when combined with complementary programs aimed to lift poor people out of poverty get
decent jobs. Asian countries have also introduced noncontributory social pension schemes to aid older
persons not covered by formal pensions systems that enable older persons meet their basic needs. Few of
these schemes are universal and benefits persons who have reached a certain age threshold regardless of
their income (Fiji, Georgia, Nepal, Thailand, Timor-Leste, and Viet Nam). These types of social pensions
provide a measure of financial security to older persons without regular income. Hence it has enabled older
persons to access health care, as well as strengthen and empowered their position within the family
(ADB,2013) ADB notes that social protection systems in ADB’s developing member countries are
underdeveloped and program which provide cash transfers to poor households, “ offer inadequate benefits
and experience leakage to people who are not living in poverty”(p.V, ADB,2013)

Social assistance concepts and varieties

Social assistance for developing countries are referred to as ‘social cash transfers’, ‘basic income’,
‘minimum income’, ‘social cash transfers’, ‘social assistance’ etc. the ideal type of social assistance can be
defined as ‘means tested’ and ‘need –oriented’ public cash transfer to individuals with the aim of securing
a minimum income, often based on the changing nature of defining what a minimum is in a society. Social
cash transfers in both developed and developing countries may seemingly deviate from the ideal type in a
variety ways. For examples, the benefits may be far below a social minimum and without reliable and
continuous payment benefits. (Leistering, 2008)

Social assistance can be disaggregated into six subcomponents.

1. Social transfers (cash or in kind)

29
 2. child protection
3. disability benefits
4. Disaster relief.
5. social assistance for the elderly (such as old-age allowances)
6. health assistance for the poor or vulnerable (such as reduced medical fees) can be classified as
social transfers ( ADB, 2009)

Four main varieties of social assistance can also be classified on the basis of its institutional design.

1. Selectivity (which is the hallmark of social assistance proper) vs. universality (which mainly
applies to certain pensions).
2. Group-related vs. population-wide schemes. Group-related schemes are restricted to a certain
social group (e.g. to the aged, the employed or families).
3. Securing a living vs. providing single purpose benefits. Although Ideally, social assistance aims
at securing a full socio-cultural minimum, some benefit schemes only aim to enable persons to
receive particular goods and services, such as housing benefit, grants for attending higher
education, legal aid or medical services.
4. Separated vs. integrated basic security. The Swedish universal basic pension, for example, is
integrated into the old-age pensions system while the basic income scheme for the elderly in
Germany (since 2003) is not. (Leisering, 2008)

Social assistance schemes in developing and transitional countries can be classified on the basis of
two main aspects

1. social cash transfer schemes provide resources to individuals or households, not to social
groups, villages or regions
2. Social cash transfer schemes are institutionalized on a long-term basis, contrasted with
temporary aid in case of disasters or economic crisis. According to Howell (2001), ‘Countries
now need to consider a shift from crisis response to sustainable social assistance programs.’
P.285) (Leisering, 2008)

Social assistance schemes can also be distinguished on the basis of its role of in the wider welfare
system (‘embedding’) the four models are

1. a universalist model of income security: social assistance are conceived as a necessary evil
rather than a programmatic component of a comprehensive system of public welfare for
example Social democrats tend to advocate universal social services designed to minimize or

30
 even do away with the need for selective services -a universalist model of income security
which ascribe only a marginal role to social assistance. (Leisering, 2008)
2. Social citizenship model of social assistance: traces back to T.H. Marshall (1981/1965).
Marshall who introduced the concept of social rights as the core of the welfare state (Marshall
1950) and criticized the labor orthodoxy of Richard Titmuss conceptualized that welfare state
in universalistic and bureaucratic terms. Marshall believed that even in an advanced welfare
state social assistance is necessary and a useful instrument to meet special needs. Viewed
through this perspective, social assistance is a component of social citizenship and can be
rights-based. (Leisering, 2008)
3. hyper universalist model of basic income security/ ‘universal basic income’ (van Parijs
1995, 2000; Bien, 2004) gives more prominence to basic income security than Marshall to
social assistance. The universal basic income model conceives that every citizen, irrespective
of his or her other sources of income, has a right to an income that secures a socio-cultural
minimum. Although it is envisioned to be easy to administer and much effective in fighting
poverty, (Standing 2003), and is primarily designed to realize the right of freedom from poverty
and enable indiscriminate liberty, the concept “is rooted in philosophy and is not realized in
any country”. Critics point out the various issues related to social assistance arise in the case
of a universal basic income (Gough 2000). Social democrats and liberals also tend to
underestimate the use of social assistance. However, Proponents idealize the idea of universal
basic income(Leisering, 2008)
4. ‘Liberal welfare regime’ (Esping-Andersen 1990) or ‘residual social policy’ (Titmuss
1974): more prominence is afforded to social assistance than in the integrated model of
Marshall. Neoliberals call for reducing welfare entitlement to basic security rather than
dismantling the welfare state altogether. In this model, Social assistance is anticipated to act as
the core system in the welfare state while prior social services like universal benefits or social
insurance remain weak. Thea residual model of social assistance/ the idea of a social assistance
state (Eardley et al. 1996) tends to avoid the fallacies of the welfare state by targeting services
to the ‘really needy’. Critics of this model have demonstrated it to be tends to be ‘poor social
assistance’ as Korpi/Palme (1998) and have argued that a residual a (residual) welfare state
mainly targets the poor and loses middle-class support. Consequently political support for
social assistance is also weakened. (Leisering, 2008)

Studies conducted by World Bank and other developmental organizations have raised the need to
improve targeting, conditions (in relating to the supply of services pertinent to the conditions in particular)

31
administration and levels of benefit. Majority of countries in Asia are still found to have insufficient social
assistance programs. Unparticular most of these countries lack a minimum income and cash transfer
schemes. The most viable and feasible systems for developing countries have proved to be Conditional and
non-conditional means-tested cash transfer programs. Developing countries are recommended to enhance
the tools for social assistance as well as cost effective methods to implement them (ADB, 2009)

Leisering (2008), findings indicate that social assistance have proved to be instrumental in poverty
reduction in the developed countries. Importantly, social assistance programs response to existing gaps in
prior systems of formal security to failure of markets and vulnerabilities of families, covering persons in
need. Many of these programs have activated receiver’s to leave and ameliorate them from poverty while
others may need to rely on social assistance for longer periods. It is also found that countries that concentrate
on providing social services while minimizing prior social security schemes( liberal welfare regimes,
residual model) have been found to have less effect social assistance programs. (Refer to Korpi/Palme 1998
for further reference). In addition concerns on social assistance clients to become dependent and thus
creating disincentives to work, need more research. In fact empirical studies indicated that no or very limited
evidence of such negative incentives. On the contrary, social assistance is found to strengthen individual
capacity for self-help. It was also found that institutional design and the provision of social assistance is to
a large extent a question of political will rather than relating to economic resources of a country. In order
to be effective social assistance schemes requires to be embedded in administrative, fiscal and political
institutions (Leisering, 2008)

b. Cash Transfer Schemes (Conditional and Non- Conditional)

Introduce the concept of Cash Transfer Scheme through the video “Social protection and cash
transfer programmers in sub-Saharan Africa” by FAO (2013). While participants listen to the video ask
them to find answers for the following questions and generate a whole class discussion

Tutorial 1

1. What is the rationale for cash transfer schemes?

2. Why is it necessary? Who benefits from these programs?
3. What are the main objectives of cash transfer programs in sub- Shoran Africa?
4. What is the impact of Cash Transfer Schemes?
5. What are the different kinds of cash transfer schemes?
6. What are the debates surrounding Cash transfer Schemes?

32
 c. Public Works Program (PWP)
The central components of public works programs relates to the provision of employment by the state
at a prescribed wage for those unable to find alternative employment. Such provisions provide a form of
social safety net as well as creating public goods. These programs can be conceptualized as a form of
conditional social transfer, in which the transfer is a wage, paid on condition that specified tasks are
completed. (p.1, McCord &Farrington. 2008).PWPs can be classified under two broad kinds:

1. short-term measures respond to a one-off shock (such as drought or flooding)

2. Longer-term measures respond to persistent cyclical events such as shortage of work opportunities
in e.g. the agricultural off-season.

In Some instances short term measures may be used in response to persistent events in the hope that
even brief employment may be sufficient to ameliorate or ‘graduate’ from poverty (McCord, 2005 as cited
in McCord and Farrington. 2008). Subbarao (2001), states that Public works programs provide income
support to the poor at critical times rather than as a way of getting the unemployed back into the labor
market. Most of these programs provide short-term employment at low wages for unskilled and semi-skilled
workers on labor-intensive projects such as road construction and maintenance, irrigation infrastructure,
reforestation, and soil conservation. (Subbarao, 2001)

Public Works programs in developing countries in Asia and Africa have been instrumental in mitigating
the impacts of climate risks 0n poor farmers and farm laborer. Typically these programs provide short term
unskilled manual labor employment on projects involving road construction and maintenance, irrigation
infrastructure, reforestation and soil conservation. Public works programs have been implemented in
several countries including Bangladesh, India, Ethiopia, Kenya, Zimbabwe, South Africa, Tanzania, and
Ghana to counter climatic risks. In 1997 public works programs have been implemented to counter financial
risk induced unemployment. AT present the implementation authorities in several countries are handles by
small scale private contractors, NGOs or Social Funds (Subbarao, 2001)

The rationale for public works as identified by Subbarao (2001) include

1. First the program provides income transfer benefits to poor households at critical times.
2. Second, with good timing, the program also confers consumption-smoothing benefits, thus
countering the risk of consumption shortfalls during agricultural slack seasons/years.
3. Third, well-designed workfare programs help construct the much-needed infrastructure and thus
minimize the trade-off between public spending on income transfer versus spending on
developmental activities.

33
 4. Fourth, the durable assets created will have the potential to generate second-round employment
benefits.
5. Fifth, the program is highly amenable to geographic targeting
6. Finally, in many countries the program has helped the development of small-scale private
contracting capacity (p. vii)
7. Other unintended benefits help build the capacity of communities to manage their own affairs,
strengthening local governments and other institutions. It can also encourage the participation and
empowerment of women as well

For these reason public works programs in in low-income countries, are targeted to achieve multiple
objectives ranging from temporary income transfer benefits to the poor, consumption smoothing, household
food security, asset creation, and poor area development.

The success of the program to a large extend depends on the design features for example the level of
the wage rate. Although Self-selection can be promoted lessons from cross country analysis indicates that
the existence of variation in the government’s ability to fix a wage rate consistent with self-selection. It was
found that several countries have introduced more innovative methods for promoting self-selection.
Subbarao (2001)

The mode of wage payment also effect programs targeted to the poor and women in particular. To
illustrate in some African countries women favors task-based wage payment as it enabled them merge
household chores along with income generating activities Subbarao (2001). Another important determinant
of the cost-effectiveness of the program involves the share of the wage bill in total cost. Public works
programs proved successful when attention is paid to the quality of assets created, and in cases when
possibilities exist for such assets to create second-round employment benefits Subbarao (2001).

According to McCord &Farrington (2008), in the context of chronic poverty, evidence from east and
southern African experience of PWP reveals that the success of public works in addressing livelihoods
involves the following characteristics

 Sustained public
 works employment or repeated/cyclical access to PWP employment as required, offering ongoing
cash transfers.
 Integration of public works programs (PWP) with other developmental initiatives.
 Linkages with micro-finance, and micro-enterprise activities.
 Creation of assets which directly impact on reducing vulnerability and promoting livelihoods.

34
  Flexible employment, enabling participants to combine PWP employment with other
responsibilities (such as domestic or own production) and income earning opportunities.
 Adequate PWP wages, to meet the basic subsistence needs of participants, ensuring that the PWP
wage does not replicate the
 Adverse inclusion often experienced by those employed in the lowest segments of the labor force.
 Direct poverty targeting measures (rather than relying exclusively on self-targeting through a
restricted wage and the work requirement)( p.2)

One of the major challenges in in implementing public works programs especially Africa is the lack of
capacity, which can be eased if donor projects are coordinated and assistance is provided to build capacity
of private contracting companies (Subbarao, 2001; McCord &Farrington, 2008), states that to a large extent
PWPs are implemented in a ‘mechanistic fashion – if not exactly ‘digging holes and filling them in’, ( ).
Seemingly they are motivated largely by the three factors making people ‘earn’ the transfer, ease of
targeting, and the creation of productive assets. Evidence from PWP in India and S. Africa suggests that
although some productive assists are created there is “ little empirical evidence that these have any positive
livelihood impact among the poor”(p.3) In particular, lessons from southern Africa reveals that for short
term PWP, the main social protection benefit will seemingly the be, “the wage transfer and its impact on
consumption smoothing, rather than financial accumulation, skills development or secondary benefits
accruing from the assets created” (p.3, McCord &Farrington, 2008) )

Nevertheless, if short term PWPs employment is offered in situations of ongoing or cyclical poverty,
simply replicating the PWP model used in situations of transient poverty, the impact is unlikely to be
positive since the benefits are likely to be transient consumption smoothing, rather the livelihoods
promotion. Seen within the context of chronic poverty, these types of programs are likely to provide only
‘palliative inputs of limited significance rather than sustained poverty reduction” (McCord &Farrington,
2008)

For more in-depth analysis on the impact of PWPs participation on income poverty, non-income
indicators of poverty and labor market performance and local economy refer to McCord’s,( 2004) study
which explores the contribution of public works to social protection in South Africa

35
 d. In-kind Transfers vs. Cash transfers.
Before exploring in-kind transfers ask the following questions and generate a discussion

Tutorial 2
Can food transfers be used as an alternative to cash transfers or are the two complimentary
Are food transfers nutritional?
To what extent food transfers and cash transfers be effective as an economic interventions?
Is the aim of food transfers only to feed people or is it to support livelihoods?
In which situation can food transfers prove to be effective?

Food distribution in kind

Programs on Food distribution in kind involves the distribution of food in kind to its beneficiaries.
The distributed food can be locally purchased or bought from other parts of the country or imported through
government purchase or food aid. When food is purchased locally it helps to increase demand and stimulate
agricultural production. However in situation when food is in short supply it may have an inflationary effect.
In cases when food is brought in from other regions or from abroad, it may lead to a reduction in local food
prices. (FAO, 2011)An example of food assistance relates to school feeding programs. At times of food
crisis, these programs discourage incidence of out of school children (FAO, 2009).

Which kind of transfer is preferable?

The debate over food vs. cash transfers dates back to the 1970s. There is a continuing debate as to
whether cash transfers are more appropriate than food transfers. Some of these debates revolves around the
questions to whether cash and food transfers are alternative or complementary options or whether they are
different in qualitative terms and under which conditions the alternatives work best. Still others have argued
as to whether food transfers are a nutritional or economic intervention, i.e. whether they aim to only ‘feed
people’ or aim to support livelihoods. (Gentilini, 2007)

Tabor (2002) explains that cash transfers are preferable to in-kind Transfers because it is
economically more efficient. Cash transfers enable the freedom of choice and provides them with a higher
level of satisfaction at any given level of income in comparison with food or other types of in-kind transfers.
Seemingly the distribution of cash is cheaper than distributing food or other commodities. In addition to
this, cash distribution is found to stimulate agricultural production and other activities (Ahmed,
Quisumbing, Nasreen, Hoddinott, and Bryan, 2009)

36
 Contrasted with this, Tabor (2002) explains that in- kind transfers are used as a means of
controlling, modifying or influencing the behavior of its recipients. To illustrate, in a food based program,
the recipient who could not afford the food or would be unlikely to purchase an adequate quantity of the
food even if they did have cash to purchase it, may receive basic food. Tabor (2002) draws his logic from
economic theory and explain the degree to which the in-kind transfer influence household consumption
behavior by distinguishing two types of in-kind transfers. When the food assistance is inframarginal ( the
ration is less than what would normally consumed without the transfer), the in-kind transfer will result in
the same amount of additional food purchases as would a cash transfer of equal value. In such cases, the in-
kind transfer has only the income effect and the price incentive effect is lost. The in-kind transfer becomes
extra marginal in cases when the transfer received is higher than the amount the household would have
consumed without a ration. In such cases the transfer has an income effect and a substitution effect. Thus
the effects of food and cash transfers on food consumption and nutrition depends on intrahousehold control
of cash and food resources, “the size of the ration, the price of the ration and the ease with which it can be
resold, and the frequency of food or cash distribution” (p.6, Ahmed ET al.2009). The distinction between
inframarginal and extra marginal cases are conceptualized in the following diagram

(Source, Gentilini, 2007)

Grosh, (1994) explains that both administrative and financial considerations determines the type of
transfer is better—cash or in-kind. If the primary goal is not improving nutrition, food distribution is not
preferable to cash transfers. In cashes when household essentials such as such as health care, education,
clothing, and Shelter from a cash transfer is higher than from a food transfer program, a cash transfer
program may be preferable if the program’s primary objective rests on the overall improvement of
livelihoods (Ahmed et al, 2009)

It is generally agreed that cash transfer systems would require larger and more sophisticated
institutional structure) than do in-kind transfer systems. Importantly only when the administrative system
is in place, the costs of operating a cash transfer system are likely to be lower than are those of in-kind

37
transfer system (Grosh 1994 as cited in Ahmed et al, 2009). The main challenge in distributing food relates
to logistical difficulties and substantial transfer costs. Evidently, there are administrative issues relating to
procurement, storage, transportation, and distribution of food (Rogers 1988 as cited in Ahmed et al, 2009)

An effective tool for targeting the poor is to select a select an “inferior” food for distribution. E.g.
in Tunisia, semolina (durum wheat pasta) has been subsidized because it is consumed more by the poor
than by the rich (Tuck and Lindert 1996 as cieted in Ahmed et al, 2009)

Another advantage of in- kind transfers over cash transfers is that the benefits to its recipients may
erode with inflation, as the government budget is fixed and predictable. In in kind transfers of food, the real
value of benefits to recipient is constant, and the costs to the government (or food aid donors) will rise and
falls along with the price of the commodity (Grosh, 1994 as cited in Ahmed et al, 2009)

Some of the key determinants in selecting Cash and food transfers includes

1. Defining the program objective to assess its effectiveness and efficiency. Food transfers may
have a wide range of objectives. De Waal (1991), cautions that “the objective of food allocations
should not be conceptualized as feeding people, but of supporting their struggle to preserve
livelihoods. Food relief to farmers is primarily an economic, not a nutritional, intervention.
Contrasted with this approach, others from a national perspective argues that the objective of in-
kind food transfers must have a special values of, “food for nutrition”. ( WEP,2004; Webb, 2003
as cited in Gentilini, 2007)
2. Assessing markets - Barret & Maxwell (2005) illustrates that the selection of food and or cash
transfers should consider whether food markets are functioning or not through a “ decision tree”
as shown in the figure below

38
 Source (Barret & Maxwell, 2005 p.202 as cited in Gentilini, 2007)

Similarly, Creti and Jasper( 2006) suggestes a sequence of questions in considering whether to
use cash transfers or food transfers. The questions used be these scholars are grounded on the basis of
aspects sus as market accecibility, government restrictions on food movement, market competitiveness,
trade behaviour and possible inflation (Gentilini, 2007)

39
(Source: Creti & Jasper, 2006 as cited in Gentilini, 2007)

3. Cost effectiveness – food aid delivery vs. cash delivery (Gentilini, 2007)
4. Administrative capacity - infrastructure in place, security , corruption, transparency, monitoring
and accounting capacity ( Gentilini, 2007)
5. Beneficiary preferences – rural socio – cultural context plays an important part in preferences for
food vs cash. The diagram by Gentilini (2007) below provides a summary of the debates raised
on preferences of cash vs. Food and reveals the importance of looking at the two sides of the
debate and consider food and cash as complementary and mutually reinforcing transfers

40
Source: ADB
National Social Assistance Programmed. Information/educative film

http://www.youtube.com/watch?v=i4fKwyW7a8A

Tutorial 1

41
Tutorial 3
Divide the class into different groups and ask students to do a case study analysis of the following and make
a short 5-10 minute presentation
 Conditional Cash Transfer (CCT) programs in Latin America and CCT program in Philippines
 Income support program in Pakistan
 Cash transfer program in Peoples Republic of China
 Thailand’s monthly social pension scheme
 Nepal’s noncontributory social pension scheme
 Bangladesh old age allowance/ in kind cash transfer scheme/ food for education program
 Japan’s social assistance program
 Public works program in Kenya

Tutorial 4

 Participants discuss the role of politics in social assistance programs Or

 Debate on the effectiveness of Cash transfers vs. in kind transfers

i. Social Insurance
Social insurance can best be described as a set of programs which are government administered
or intervened to mitigate against adverse events such as health insurance, retirement and disability insurance
and unemployment insurance (Roogne, Estes, Itollister & Solway, 2009).

a. The Rationale for Social Protection:

The basic purpose of all forms of social insurance is to replace a sufficient part of the wage
income, when it is lost as a result of any of these hazards. Unemployment accident, old age or death of the
wage earner to ensure not only that the individual may look forward to protection, but the society can well
be protected against hazards which it faces (Corson, 1940, as cited in Fledstein, 2005).

Tutorial 5

 How would you distinguish between social assistance and social protection?
 Compare and contrast social insurance from welfare programs?
 Why is social insurance important?

42
 One of the most distinguishing features of social protection is that welfare benefits are ‘ means
‘ tested’ ( paid only to those with incomes and assets) below some level of social insurance program are
‘event conditioned’ in that the benefits are paid when and event occurs in a person’s life, regardless of the
individuals income or assets ( Fledstein,2005).

Most income programs that adhere of all under the principles of social insurance are targeted
at maintaining people’s standards of living after retirement or during periods of disability or unemployment,
and a relationship exists between the wage people earn and the level of cash benefits they receive once
qualify for benefits.

While there are diverse variety of programs around the world which can be considered as
social insurance, the defining characteristics of a social insurance program is that:

1. They are government sponsored insurance programs that protect citizens from predetermined out
comes that negatively impact their ability to participate in social security (e.g. loss of income or
loss of health); and
2. They have a communal orientation that considers that the entire population, rather than just the
individual, when identifying and mitigating risks (Dewitt, 2003 as cited in Roogne, Estes, Itollister
& Solway, 2009, p. xxvi).

Similarly, ILO (1992) outlines the main principles elements of social insurance as:

1. They are finance by contributions normally shared between workers and employers with offer some
state participation
2. They require compulsory participation
3. Contributions are paid into special funds out of which benefits are paid
4. Surplus funds are invested to even farther income
5. Benefits are guaranteed on the basis of the contributing record with means testing (i.e. Taking
income and wealth into account)
6. Contributions and benefits are often proportionate to earning employment injury to earning
employment injury schemes are financed wholly by employers. (ILO, 1992, p.6)
The two paradigms in defining the principles can be considered as

1. Universal,
2. Earned right
3. Wage related
4. Contributory and self-finance
5. Redistributive
6. Not means tested
7. Wage indexed
8. Inflation protected
9. Compulsory ( Ball, 2009)

43
 b. Types of Social Insurance

Social security is targeted at helping retired or disabled people and their families to maintain
a health standard of living. For social security programs, full benefits are only available after a certain age.
On the other hand, the coverage of health insurance programs depend on payroll contributions. In some
cases the term ‘health insurance’ is misleading in which entitlements are not based on contribution but on
citizenships and residency. Beleind, 2010)

The essence of social security rests with the relationship between contributions and benefits.
This is because social security is simply a pay as you go system that in principle transfers money from
workers to current retainers, so that in actual reality people who receive money do not actually receive back
‘their money’. Viewed through this perspective the beneficiary receive money from active workers who
currently contribute to social security schemes. Hence, people with high lifespan sometimes receive far
more social security than they have ever contributed to the program (Beleind, 2010)

 Medicare covers, expenses of elderly and disable workers and veterans

 Workers compensation aimed to protect employers in job related injuries
 Unemployment insurance provides temporary or emergency finance protection for temporary
workers, who lose their jobs to replace lost wages when one is temporarily or permanently out of a
job, or in cases when individuals work less than full time due to lack of work.

Tutorial 6

Choose one of the four main types of social insurance and make a presentation/ or a short paper. In your
presentation you are encouraged to provide an

Overview of the approach

Key challenges

What are some of the recommendations in addressing them?

Tutorial 7

case study on Reduction of catastrophic health care expenditures by a community-based health insurance
scheme in Gujarat, India: current experiences and challenges (2002) by Michael Kent Ransom

Discuss

 The objectives, methods and findings of the study

 What are the implications of the study on policy on community based health insurance?

44
Social insurance and formal labor market coverage

Social insurance has been most often linked to formalized labor market, in the sense that coverage
is determined by the number of formal workers in a country. Given this the success of social insurance
programs depends on the informal markets and therefore present a huge challenge.

Tutorial 8

Case study on Social Insurance (Pensions and Health), Labor Markets and Coverage in Latin America by
Mesa-Lago (2008).

 Based on the study by Mesa-Lago (2008), discuss:

 What is the relationship between the labor market, social insurance pensions and
 Health programs and coverage of the labor force and the population in Latin America?
 Explain the challenges in labor market that resulted in jobs without social insurance?
 What are categories of workers in the informal sector does the study explore? What are the
challenges of integrating the informal sector into social insurance?
 What factors explain the difference between the countries in Latin America?
 What are the impact of external factors on insurance coverage?
 What policies are recommended to extend coverage to excluded sectors? How effective may this
factors be when applied to developing countries?
 What are the approaches by international and regional organizations to extend coverage to excluded
groups and reduce inequalities in coverage?
 What lessons can be drawn from the coverage of insurance programs in Latin American countries
to developing countries?

c. Labor Market Intervention

Labor market policies is an essential element of national strategies in enhancing economic growth
because of its potential in creating employment and income opportunities that can help reduce poverty.
Typically, governments intervene into labor market to ensure that the market operates ‘efficiently’ and
‘fairly’, in the sense that individuals willing to work have the possibility to find work which matches their
skills and educational qualifications (efficiently) and workers are paid a wage that commiserates with an
individual’s ‘worth’ when measured in terms of productivity. Most often the nature and degree of
government intervention in labor market vary widely and are dependent on social economic and political
importance (Nesadurai & Djiwadono, 2009).

45
 Government intervention in labor markets is through active and passive labor market policies or
programs. “Active Labor Market Policies (ALMPs) are aim to put people to work”. Examples of ALMPs
includes direct employment generation schemes, labor exchanges or employment schemes and skills
development programs ( Nesadurai & Djiwadono, 2009).

On the other hand, Passive Labor Market Policies (PLMPs) aim to extend protection to workers.
Examples of PLMPs include interventions that relate to unemployment insurance, income support and labor
protection (ADB, 2003 as cited in Nesadurai & Djiwadono, 2009).

Another significant distinction is that while Active Labor Market policies are directed at enhancing
employment passive labor market policies are generally associated with labor regulations and standards and
aim to protect workers and can be classified into

Core ILO standards

 Employment related standards

 Standards that relate to special protections
 These Core Labor Standards relate to the universally agreed minimum acceptable guarantees of
human rights in work prescribe by the internal community through ILO. The four core labor
standards include
 Abolishing child labor
 Provide equal opportunities and non- discrimination in employment
 Ensuring freedom of association and the right to collective bargaining
The following diagram further elaborates the main categories of labor protection policies

Source: ILO (2003) modified from Rodgers & Brick (2006) as cited in Nesadurai Djiwadono, p.179

46
Tutorial 9
1. Distinguish between active and passive labor market interventions
2. Debate on the extent to which countries should rely on active labor market policies
3. Debate on the arguments for and against labor regulations
4. Determine the extent to which the following active labor market policies are successful
 Employment services
 Training for unemployment
 Retraining for workers in mass lay offs
 Training for youth
 Wage employment subsidies
 Public works
 Micro-enterprise development/ self-employment assistance
5. What are the gaps in research on the impact of active labor market intervention programs?

d. Labor Market Intervention for informal Sector

Scholars have recognized that the greatest challenge in implementing labor market intentions is on
how well to incorporate the informal workers into labor market policies. Lund (2009) explores how social
protection policies empower people to create employment related interventions to help informal workers
‘graduate’ or ameliorate from poverty. The concept of empowerment is viewed through the lens of social
protection. The main proposition of his thesis entails that social protection contributes significantly in
improving the health and wellbeing of workers in the informal sector, in particular poor women.
Empowerment proves to build capacity of these workers to organize and demand better working condition.
The study has important implication for social protection policies and entails that factors such as sectors
diversity, performance and the limited options available can direct people to work in the informal sector

Tutorial 9

Case study Extending Social Protection to Informal Workers in the Horticulture Global Value Chain by
Barrientos & Barrientos (2002)

6. What is the purpose of the research?

7. What is the conceptual framework used in the study? Why?
8. What are the social risks arising from the sectorial nature of the work and the informal
employment relationship
9. Describe the key characteristics feature of informal employment in horticulture? Explain the
types of risks faced by the workers and their households?
10. What does the evaluation of the existing forms of social protection reveal about workers in the
informal sectors?

47
 11. What are the policy implications of the research and possible areas for further study?
12. Based on your knowledge on informal workers, what characteristics of informal workers are seen
in Maldives? What methods of labor interventions can best the best avenue to develop social
protection to these workers? What might be the possible challenges of implementing these
policies?

i. Community Based Social Protection

As has been discussed, formal social protection systems do not always provide complete coverage
and often excludes a significant proportion of population. Some of these existing gaps left by the formal
social protection policies are seemingly filled in by traditional or informally ways of providing social
protection through community based mechanisms. A number of research on the community based
approaches on social protection has revealed the importance of ‘tradition’ or informal social protection
mechanisms in the design and implement f social protection programs ( GSDRC, 2014).

Coninck and Drani (2009) claims that social protection programs often neglect the local cultural
context and fails to develop on existing indigenous protection mechanism revealing the importance of
strengthening social protection through the inclusion of local context and indigenous mechanism of
protection. In the same vein, Du Toit & Naves (2009), examines informal social protection in the Post-
apartheid period and maintains that the indirect impacts of social grants cannot be fully understood by
focusing on individual or household decision making, but rather through community networks which allows
costs and resources, opportunities and shock to be shared and redistributed. The finding reveal that these
networks and power relations reinforce exclusion and increase vulnerabilities of some individuals in the
community. The implication of the research indicates the importance of including additional formal social
protection measures to these community based networks to increase the effectiveness of social protection
interventions ( GSDRC, 2014)

Given this, Coheur et al (2008) provides innovative strategies on extending social health protection
through the linkages of forma social security (statutory social security) with informal or community based
social protection. In addition to this, a study by Mitlin, Satterthwaite & Bartlett (2011) reveals how
collective savings in low income developing countries have contributed to raise incomes, consolidate and
protect infidel and collective assets and reduced political exclusions. Impressively, some of these saving
groups have eventually been institutionalized as well ( GSDRC, 2014)

A case study in Eritrea by Haltom and Ruys (2006) explores how traditional Eritrean societies use
their local social capital to alleviate unexpected social costs through traditional risk-sharing arrangements

48
made within extended families and mutual aid community associations. The study indicates that in cases
when states no longer provides free public health services and access to private insurance is denied,
extending voluntary mutual aid by community associations to community based health insurance scheme
is a more practical way in the provision of modern health services ( GSDRC, 2014)

Tutorial 10

Based on your readings on community based social protection, to what extent does community based
social protection mechanisms address the informal sectors social protection challenges?

1. What are the limitations of community based social protection? What strategies would you
suggest in addressing them?
2. How can social protection policies be extended through linkages with the formal and informal
social protection mechanisms?
3. Give an example of community based social protection in Maldives?
4. What are the ways in which collective savings can help develop social protection systems at the
level of local communities in the islands? How effective may they prove to be? What might be
the limitations involved in implementing such a program? What strategies might you employ in
addressing the challenges? Why?

Tutorial 11
 Tabulate the main types of social protection programs with its sub- groups, under the heading, type
of program, target group, advantages and disadvantages.

Suggested readings

Social Assistance

 Barrientos, A., & Pellissery, S. (2012). Delivering effective social assistance: Does politics matter?
Effective States and Inclusive Development Research Centre Working Paper, 9.
 Batkin, A. (2001). Social funds: theoretical background 429-459. In Social Protection in Asia and
the Pacific, Isabel Ortiz (ed), Asian Development Bank
 DFID. (2004).Policy paper on social protection.

49
  Gugushvili, A. (2010). Comparative Political Economy of Social Assistance in the New Eastern
Europe Research Prospectus.
 Handayani, S. W. (Ed.). (2010). Enhancing Social Protection in Asia and the Pacific: The
Proceedings of the Regional Workshop;[in July 2009, Held the Regional Workshop on Social
Assistance and Conditional Cash Transfers... In April 2010, ADB Organized the Regional
Conference on Enhancing Social Protection in Asia and the Pacific.... This Publication Assembles
the Proceedings of the Conference...]. Asian Development Bank.
 Hickey, S., Sabates-Wheeler, R., Guenther, G., & Macauslan, I. (2009). Promoting Social
Transfers: DFID and the politics of influencing. London, Department for International
Development.
 Leisering, L. (2008). The Rise of Global Social Policy. Social Assistance in Developed and
Developing Countries (No. 15). Social World–Working Paper.

Cash Transfers and In kind Transfer

 Caria, A. S., Tamru, S., & Bizuneh, G. (2011). Food Security Without Food Transfers?. A CGE
Analysis for Ethiopia of the Different Food Security Impacts of Fertilizer Subsidies and Locally
Sourced Food Transfers, Ethiopia Strategy Support Programme II (ESSP II) ESSP II Working
Paper, 29.
 Davies, M., Barrientos, A., Devereux, S., Hickey, S., Sabates‐Wheeler, R., Guenther, B., &
Macauslan, I. (2009). DFID Social Transfers Evaluation Summary Report. IDS Research Reports,
2009(60), 1-36.
 FAO (Undated) . Social Safety Nets and the Food Security Crisis
 Fultz, E., & Francis, J. (2013). Cash transfer programs, poverty reduction and empowerment of
women: a comparative analysis: experiences from Brazil, Chile, India, Mexico and South Africa.
International labor Organization.
 Gentilini, U. (2007). Cash and food transfers: A primer. Rome: World Food Programme.
 Magen, B. B., Donovan, C., & Kelly, V. A. (2009). Can Cash Transfers Promote Food Security in
the Context of Volatile Commodity Prices? A Review of Empirical Evidence (No. 54557).
Michigan State University, Department of Agricultural, Food, and Resource Economics.
 Omilola, B., Kaniki, S. (2014).Social Protection in Africa: A Review of Potential Contribution
and Impact on Poverty Reduction. Study Report. UNDP
 Quisumbing, A. R., Nasreen, M., Hoddinott, J. F., & Bryan, E. (2009). Comparing food and cash
transfers to the ultra poor in Bangladesh. Washington, DC: International Food Policy Research
Institute.

50
  Schubert, B., & Huijbregts, M. (2006). The Malawi Social Cash Transfer Pilot Scheme: Preliminary
lessons learned. United Nations Children’s Fund, New York.
 Scott, Z. (2012). Topic Guide on Social Protection. Governance and Social Development Resource
Centre (GSDRC), UK. University of Birmingham

Public Works

 Lal, R., Miller, S., Lieuw-Kie-Song, M., & Kostzer, D. (2010). Public works and employment
programs: Towards a long-term development approach (No. 66). Working Paper, International
Policy Centre for Inclusive Growth.
 McCord, A. (2004). Policy expectations and programme reality: The poverty reduction and
labour market impact of two public works programs in South Africa. Economics and Statistics
Analysis Unit, Overseas Development Institute.
 McCord, A., & Farrington, J. (2008). Digging holes and filling them in again? How far do public
works enhance livelihoods? Natural Resource Perspectives 120.
 McCord, A., & Slater, R. (2009). Overview of public works programs in sub-saharan africa.
London: ODI.
 Subbarao, K. (2003). Systemic shocks and social protection: role and effectiveness of public
works programs. Social Protection, World Bank.

Social Insurance

 Aubach, P., & Genoni, M., E. & Pages, C. (2007). Social Security Coverage and the labor Market
in developing countries. Discussioon paper No. 2979. Germany: IZA
 Ball, R., M. (2009). Chapter 2 social insurance and the Right to Assistance pp 15-25. In Rogne, L.,
Estes, C., L., Grossman, B., R., Hollister, B., A., Solway, E. (2009). Social Insurance and Social
Justice. New York: Springer Publishing Company.
 Beland, D. (2010). Chapter 1 Social Policy and Welfare State. pp 9-43. In Beland, D. (2010). What
is Social policy; Understanding the welfare state. UK: Polity Press.
 Bertraneou, F., M. (2007). Informal Economy, Independent workers and social security in
Argentina Chile and Uruguay. Chile : International labor Office.
 Canagaragah,S. & Sethuraman, S., V. (2001). Social protection and the informal sector in
developing countries. Social protection Discussion paper series No. 0.130. Washington: Social
Protection Unit, the World Bank. Retrieved from
http://siteresources.worldbank.org/SOCIALPROTECTION/Resources/SP-Discussion-
papers/Labor-Market-DP/0130.pdf

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  Fledstein, M. (2005). Rethinking Social Insurance. American Economic Review.95 (1).pp 1-24
 Fledsterin, M., & Liberman, J., A. (2002) Chapter 32. Social Security Pp 2246-2275. . Auerbach,
A., J. & Feldstein, M. (Eds.). In Handbook of Public Economics, Volume 4. Elsevier Science B.V
 Ginnekan, W., V. (1999). Social Security for the informal Sector; A new Challenge for developing
countries. International Social Security Review, 25(1). PP 46-49.
 Gutterman, S. (Undated). The nature of Social insurance and their funds.
 ILO (1992). Chapter 1. What is Social Security all about, pp 3-11? In ILO (1992). Social Security;
a Workers Guide. Geneva: International Labor office
 ILO (2001). Social Security issues and challenges and Prospects. International Labor Conference
89th session. Geneva: International Labor Office.
 Mesa-Lago, C. (2008). Social Insurance (Pension and health), Labor Markets and coverage. In
Latin America, Scoail policy and development program paper Number 36. United Nations
Research Institute for Social Development
 National Academy of social insurance. (2010). Video on the Role of Social Insurance in a Market
Economy. NASI’s 24th annual conference, “Social insurance in a market economy; obstacles and
challenges. Retrieved from http://www.youtube.com/watch?v=3YV_VtDYW30
 Piachaud, D., & Webb, J. (2001). Social Security and the changing labor market. Trades Union
Congress Report. Trades Union Congress.
 Ranson, M., K. (2002). Reduction of catastrophic health care expenditure by a community based
health insurance shchem in Gujrat, India. Bulletin of the World Health Organization 80 (8). Pp.613-
621.
 USAID. ( 2009) . Extending social insurance to informal sector workers in Nicaragua via
Microfinance institution: Results from a randomized evaluation. Abbot Association Inc.

Labor Market Intervention

 Adda, J., Costa Dias, M., Meghir, C., & Sianesi, B. (2007). Labor market programs and labor
market outcomes: a study of the Swedish active labor market interventions No. 27. Working
Paper, IFAU-Institute for labor Market Policy Evaluation Retrieved from
www.ucl.ac.uk/~uctpjea/SwedenACMS.pdf.
 Barrientos, A., & Barrientos, S. W. (2002). Extending social protection to informal workers in the
horticulture global value chain. World Bank.
 Barrientos, A., & Barrientos, S., W. (2002). Extending Social Protection to Informal Workers in
the Horticulture Global Value Chain. Social Protection Discussion Paper Series No.
0216.Washington: Social Protection Unit, The World Bank

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  Betcherman, G., Dar, A., Luinstra, A., & Ogawa, M. (2000). Active labor market programs:
policy issues for East Asia. SP, Discussion Papers, 5.
 Betcherman, G., Olivas, K., Dar, A. (2004). Impacts of Active Labor Market Programs: New
Evidence from Evaluations with Particular Attention to Developing and Transition Countries.
Social Protection Discussion Paper Series. No. 0402. Washington: Social Protection Unit, the
World Bank
 Brown, A., J., G., & Koettl, J. (2012). Active Labor Market Programs Employment Gain or Fiscal
Drain? Kiel Working Paper No. 1785. Germany: Kiel Institute for the World Economy
 Conway, T., de Haan, A., & Norton, A. (2000, March). Social protection: new directions of donor
agencies. Paper for the DFID-ODI Inter-Agency Seminar on Social Protection. Easthamstead
Park.
 Dercon, S. (2011). Social protection, efficiency and growth.
 ILO, O. (2013). Addressing Employment, labor Market and Social Protection Challenges in G20
Countries: Key Measures since 2010. G20 Task Force on Employment.
 Lund, F. (2009). Social protection and the informal economy: Linkages and good practices for
poverty reduction and empowerment pp 69 -88 In Promoting pro-poor growth: Social protection
Paris, OECD. Retrieved from http://www.oecd.org/dac/povertyreduction/43280700.pdf
 Marshall, A. (1997). State labor market intervention in Argentina, Chile and Uruguay: Common
model, different versions. ILO.
 Nekby, L., (2008). Active labor market programs for the integration of youths and immigrants
into the labor market; The Nordic experience. Santiago de Chile:United Nations
 Riccardo Rovelli, R., & Bruno, R. (2008). Labor Market Policies, Institutions and Employment
Rates in the EU-27. IZA Discussion Paper Series No. 3502. Germany: IZA.
 Spevacek, A., M. (2009). Effectiveness of Active Labor Market Programs: A Review of
Programs in Central and Eastern Europe and the Commonwealth of Independent States. USAID
knowledge services center (KSC).

Community based approaches

 Coheur, A. et al, 2008, ‘Linkages between Statutory Social Security Schemes and Community-
Based Social Protection: A Promising New Approach’, International Social Security Association,
Geneva

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 Coleman, R. (2011).Realizing Decent Work and Social Protection for All: How civil society
organizations are creating change. SOLIDAR. Retrieved from
www.solidar.org/IMG/pdf/a3_gn_2011_dwsp_web_eng_corr.pdf
 De Coninck, J., & Drani, E. (2009). Social Protection is Centuries-old!: Culture and Social
Protection for the Very Poor in Uganda: Evidence and Policy Implications. Chronic poverty
research centre (CPRC).
 De Coninck, J., and Drani, E., 2009, ‘Social Protection is Centuries Old! Culture and Social
Protection for the Very Poor in Uganda: Evidence and Policy Implications’, Working Paper No.
140, Chronic Poverty Research Centre, Manchester
 Dror, D. M., Preker, A. S., & Jakab, M. (2002). The role of communities in combating social
exclusion. Social reinsurance-a new approach to sustainable community health financing.
Washington (DC).
 Du Toit, A. and Neves, D., 2009, ‘Informal Social Protection in Post-Apartheid Migration
Networks: Vulnerability, Social Networks and Reciprocal Exchange in the Eastern and Western
Cape, South Africa’, BWPI Working Paper 74, Brooks World Poverty Institute, Manchester
 Du Toit, A., & Neves, D. (2009). Informal social protection in post-Apartheid Migrant networks:
vulnerability, social networks and reciprocal exchange in the Eastern and Western Cape, South
Africa. Brooks World Poverty Institute Working Paper, 74.
 Fukuyama, F. (2001). Social capital, civil society and development. Third world quarterly, 22(1),
7-20.
 Habtom, G. M. K., and Ruys, P., 2006, ‘Traditional Risk-sharing Arrangements and Informal
Social Insurance in Eritrea’, Health Policy, vol. 80, no. 1, pp. 218-235
 Henriques, J.,M. (2008). Social Protection, Employment and Local Development: Guidelines to
help partners to consult local organizations in the social economy in the area of social inclusion.
Bridges for Inclusion Project Switzerland: International Labor Office. Retrieved from:
http://www.ciaris.org/workspace_files/474/Guidelines_-
_Social_protection__Employment__Local_Development_and_Inclusion_041208_Bridges.pdf
 Mitlin, D., Satterthwaite, D. and Bartlett, S., 2011, ‘Capital, Capacities and Collaboration: the
Multiple Roles of Community Savings in Addressing Urban Poverty’, Human Settlements Working
Paper, IIED, London
 Mitlin, D., Satterthwalte, D., & Bartlett, S. (2011). Capital, capacities and collaboration: the
multiple roles of community savings in addressing urban poverty. IIED.
 ww.solidar.org/IMG/pdf/a3_gn_2011_dwsp_web_eng_corr.pdf

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Week 3–APPROACHES TO SOCIAL
PROTECTION

55
Week 3

APPROACHES TO SOCIAL PROTECTION: RIGHTS, RISKS AND NEEDS

Overview
The lecture outlines key approaches to social protection, and attempts to ground these in existing
perspectives on development. It examines the concept of social protection through the lens of rights, risk
and needs, in doing so it introduces these concepts without going into details since these topic will be
covered in more detail with the progression of the course. Students are expected to have background
knowledge on important theoretical base of the three approaches. The lecture also makes brief reference to
the ethical grounding of social protection. In doing so the paper merely touches upon the topic, with the
view that a full coverage of the conceptual and ethical basis of social protection is beyond the scope of
lecture.

Objectives:
 Describe the three main approaches to social protection
 Outline the main human rights instruments which forms the foundational basis of the approach
 Discuss state obligations under International human rights instruments
 Distinguish between the main characteristics of social protection approach by UN, World Bank and
ILO.
 Describe the types and characteristics of SRM framework
 Develop a recognition and appreciation of the main provisions of ILO Convention 202 on social
protection
 Establish the linkage between social protection and social theory
 Develop an in-depth understanding of the main concepts such as rights, participation, inclusion,
obligation, principles of equality and non-discrimination, equality and access
 Demonstrate an understanding on the linkage between social protection approaches and poverty
reduction

i. Human Rights Based Approach to Social Protection: UN

Before exploring the topic, set the stage through the video, “The Human Rights Approach to Social
Protection” by UNRISD (2013), which features Magdalena Sepúlveda discussing about the human rights
framework for social protection during the UNRISD Seminar Series event. Before students watch the video
probe learners with the following questions and at the end generate a whole class discussion

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Tutorial 1
 What is a human rights based approach to social protection?
 Why is it needed?
 What is the main obligation of the state in social protection?
 How are social protection systems based in many countries? Give an example
 What does a legal framework on social protection consist on a minimum?
 What are the “A” standards of social protection system entail?
 Why is it the implementation of conditionality/ co-responsibilities on social programs considered
to be a violation of human rights?
 What are the negative effects of placing conditionality on social protections schemes or programs?
 Is social protection a form of charity or is it a rights? Explain!

What is a Human Rights-Based Approach?

“A human rights-based approach is a conceptual framework that is normatively based on

international human rights standards and operationally directed to promoting and protecting human rights.
It seeks to analyses obligations, inequalities and vulnerabilities, and to tackle discriminatory practices and
unjust distributions of power that impede and undercut human rights”. Under this approach plans policies
and programs are founded in a system of rights and its corresponding obligations established by
international law. This enable in promoting sustainability, empowering beneficiaries to participate in policy
formulation. This approach ensures accountability of the state in fulfilling its obligations. It also helps to
guide policies and measures of poverty as well as to inform and assessments and strengthen processes. It
can be an effective mechanism for ensuring access to essential information on social protection, effective
participation, and access to justice. (United Nations Research Institute for Social Development, Undated)
The main objectives of a human rights approach to social protection includes
 The identification of rights holders and their entitlements and corresponding duty bearers and their
obligations,
 Strengthen and enhance the capacities of rights holders to make their claims and of duty bearers to
meet their obligations.
 Principles and minimum standards are derived from international human rights treaties which
guides policies and programs. (United Nations Research Institute for Social Development,
Undated)
States have voluntarily assumed multiple human rights obligations by virtue of becoming parties to
international treaties and adopting domestic legislation. Among these obligations, states have committed to

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respect, protect and fulfil several economic, social and cultural rights including the right of all persons to
social security.

While a human rights-based approach does not prescribe precise policy measures, as states have the
discretion to formulate the policies which are most appropriate for their circumstances, it does provide a
compulsory normative framework that requires states to take their human rights obligations into account
when designing, implementing and evaluating public policies.
Article 9 of the International Covenant on Economic, Social and Cultural Rights obliges all States
Parties (that is, countries which have ratified or acceded to the treaty and are therefore legally bound by the
provisions in the instrument) to recognize the right to social security. The Committee on Economic, Social
and Cultural Rights (CESCR), which monitors the implementation of the Covenant on Economic, Social
and Cultural Rights, developed the content of this right in its General Comment 19 on the right to social
security (2008). In this document, the CESCR interprets the right to social security as including contributory
as well as non-contributory schemes. International human rights law therefore treats the terms social
security and social protection interchangeably. This is a similar position to that of the International labor
Organization, and is reflected throughout this Platform. States must ensure compliance of four main human
rights principles (Sepúlveda, 2011), including (a) equality and non-discrimination; (b) participation, (c)
transparency and access to information and (d) accountability
The right to social security of women, children, migrant workers and their families, persons with
disabilities, and refugees is specifically enshrined in the following treaties:
 Convention on Elimination of All Forms of Discrimination Against Women (Articles 11(1)(e),
11(2)(b), 14(2)),
 Convention on the Rights of the Child (Articles 26, 27(1), 27(2) and (3)),
 International Convention on the Protection of the Rights of All Migrant Workers and their Families
(Articles 27 and 54),
 Convention on the Rights of Persons with Disabilities (Article 28) and Convention relating to the
Status of Refugees (Article 24).

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59
According to Maastricht Guidelines on Violation of economic social and cultural rights, State obligations
regarding social security includes
 The obligation to respect: states are required to refrain from interfering in a manner that negatively
affects the realization of a right
 The obligation to protect: states have to prevent violations of rights by third parties
 The obligation to fulfil: states have to take appropriate legislative, administrative, budgetary,
judicial or other measures to ensure the full realization of the right
 The obligation can be of conduct: state have to take the necessary steps to realize a particular
right ( International Commission of Jurists et al, 1997 as cited in Piron, 2004)
 The obligation can be of a result: states have to achieve specific targets to satisfy a specific
standard. e.g. Achieve MDGs
 Universal Declaration of Human Rights

Additionally, Article 5(e) (iv) of the Convention on the Elimination of All Forms of Racial
Discrimination recognizes the duty of all States Parties to prohibit and eliminate racial discrimination in
the enjoyment of the right to social security (Piron, 2004).

The application of Rights Based approach to selected social policy interventions are conceptualized
in the following diagram

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Source: Devereux, 2002 as cited in Piron, 2004 p. 22

ii. The World Bank’s Social Risk Management Framework

During the 1990s in the context of East Asian Financial crisis and the urgent need to address the effects of
globalization, the concept of social protection was viewed through the lens of innovation and empowerment
((Stern, 2003) and as an essential ingredient to achieve the MDGs. The renewed conceptualization of social
protection gave rise to a new framework for Social Protection- Social Risk Management (SRM).
(Holzmann,Sherburne-Benz,Tesliuc, 2003). The World Development Report (WDR) 2000 concludes that
sustainable poverty reduction needs a forward-looking approach in social protection (World Bank, 2001 as
cited in Holzmann et al, 2003) .In the WDR 2000/01, social protection is viewed as a primary element in
the new three-pronged approach. Importantly successful poverty alleviation policies should provide
opportunities and security for, and empowerment of the poor. The absence of poverty can be considered to
be achieved, “achieved when households have enough to consume both now and in the future. Improving
the security of the poor, i.e. reducing their vulnerability to poverty, is one of the three pillars for an effective
poverty alleviation policy” (p.4 Holzmann et al, 2003)

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The World Bank’s framework of “Social risk management “, can be conceptualized to consist “of a
collection of public measures intended to assist individuals, households and communities in managing risks
in order to reduce vulnerability, improve consumption smoothing, and enhance equity while contributing
to economic development in a participatory manner’ (Holzmann and Jørgensen 1999 as cited in Devereux
and Sabates-Wheeler, 2004) The SRM framework is an analytical tool used to identify alternative strategies
and arrangements for dealing with risks. According to DFID (Undated) SRM examines,
 Risk management strategies that can be undertaken before or after an event to: reduce the chances
of a shock occurring (e.g. irrigation, or soil conservation) mitigate the impact of a shock (e.g.
insurance, building shelters against cyclones); and help cope with the impact (e.g. selling assets).
 Risk management arrangements put in place by level of formality: informal (within communities);
private sector within the market; or public sector (either national or regional).
 The actors in risk management (e.g. individuals, households, communities, NGOs, market
institutions, government, international organizations, the world at large) and their impact on one
another.
The SRM framework is based on two important assessments:
1. The poor are typically most exposed to diverse risks ranging from natural (such as earthquake and
flooding) to manmade (such as war and inflation), from health (such as illness) to political risks
(such as discrimination),
2. the poor have the fewest instruments to deal with these risks (such as access to government
provided income support and market-based instruments like insurance)(p.5, Holzmannet al, 2003)
The consequences of these involves:
1. The poor are the most vulnerable in society as shocks are likely to have the strongest welfare
consequences for them. For welfare reasons, therefore, they should have increased access to SRM
instruments
2. The high vulnerability makes them risk averse and thus unable or unwilling to engage in higher
risk/higher return activities. Access to SRM instruments would allow the poor more risk-taking and
thus provide them with an opportunity to gradually move out of poverty(p.5, Holzmann et al, 2003)

Given this, the provision of risk management instruments to the poor, is considered as both an end as well
as a means to development (Holzmann and Jorgensen, 1999 and 2001, Holzmann 2003 as cited in Holzmann
et al 2003).

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 a. Important Characteristics Of The SRM Framework Includes:

1. The sources and the forms of risk matter, e.g. whether a particular risk is idiosyncratic or covariant.
For example, for the former, more reliance can be given to informal or market-based RM
instruments; for latter, more government involvement tends to be required.
2. Since risk is not necessarily exogenous, there are many strategies to deal with risks than simple
insurance, including risk reduction, risk mitigation, and risk coping strategies.
3. As private insurance markets tend not to emerge or break down in view of asymmetric information,
there are three main institutional arrangements for dealing with risk: informal, market-based and
publicly-provided mechanisms.
4. There are multiple suppliers of RM instruments (including individuals, households, communities,
NGOs, market institutions, government, international organizations and the world community at
large) and distinct demanders (such as the formal urban, the informal urban, the formal rural and
the informal rural worker)(p.6 Holzmann,Sherburne-Benz,Tesliuc, 2003)

b. TYPES of RISKS
The capacity of individuals, households and communities to handle risk, and the application of appropriate
risk management instrument depends on the characteristics of risks: their sources, correlation, frequency
and intensity.
 The sources of risk may be natural (for example, floods) or the result of human activity (for
example, inflation resulting from economic policy)
 risks can be uncorrelated (idiosyncratic) or correlated among individuals (covariant) over time
(repeated) or with other risks (bunched)
 They can have low frequency but severe welfare effects (catastrophic) or high frequency but low
welfare effects (non-catastrophic).
 While informal or market-based risk management instruments can often handle idiosyncratic risks,
they tend to break down when facing highly covariant, macro-type risks.
 Idiosyncratic risks include illness and widowhood or break-up of the family.
 Since many of the risks faced by poor people are covariant in nature, informal management
mechanisms at the family or community level are typically not very effective.
 Among these risks, at least two are induced by human activity (war and policy-induced
macroeconomic shocks), which need no expost coping mechanism if they can be prevented from
happening in the first place. Access to market-based interventions, such as saving mechanisms or

63
 insurance programs, can mitigate some of the risks (seasonal price volatility or illness) (p.6.
Holzmann,Sherburne-Benz,Tesliuc, 2003)

Some of the criticism levelled against the Social Risk Management framework includes
• reflects a limited conceptualization of vulnerability;
• does not explicitly address the chronic (core) poor;
• concerns itself predominantly with public (state, donor or NGO) and market-based social
protection strategies;
• encourages a limited role for government in social protection provision ( Devereux and Sabates-
Wheeler, 2004)

According to DFID(undated) SRM, “does not consider social and political risks faced by the poor
and does not adequately acknowledge that the chronically poor are subject to continuous stresses that erode
their assets over time – not one-off shocks”(p.3).

iii. INTERNATIONAL LABOUR ORGANISATION (ILO)

a. Context: The need for social protection stems from:

 Globalization, structural adjustment policies, socio- economic changes

 Pervasive poverty and income inequality
 More demographic challenges in future
 Ageing the share of population at the age of 65 and over is estimated to increase from 8 percent in
2013 to 16 percent in the year 2050 ( UNDESA, population division 2013)
 Rural to urban shifts: urban population are forecasted to exceed rural one. This may threaten
traditional mechanisms of solidarity
 ILO recognizes that Social services and transfers are an economic necessity to unblock the full
economic potential of a country. Importantly, Only people who are well nourished, well-educated
and as healthy will be productive contributors to national and the global economies (Cattaert,2014)
For the ILO, social protection is about people and families having security in the face of vulnerabilities and
contingencies. ILO’s framework is based on the view that, through responding to people’s needs, social
protection promotes social inclusion and cohesion. ILO recognizes that secures families are the building
blocks of secure communities and stable societies. Through its effective management it is an instrument of
empowerment and social progress ( Garcia & Graut, 2003).
The mandate of ILO in providing social protection can be summarized as, “to contribute to universal and
lasting peace through the promotion and development of social justice” (p.13, Garcia & Graut, 2003). Given
this, social protection as defined in ILO relates to:

64
 the set of public measures that a society provides for its members to protect them against economic
and social distress that would be caused by the absence or a substantial reduction of income from
work as a result of various contingencies (sickness, maternity, employment injury, unemployment,
invalidity, old age, and death of the breadwinner); the provision of health care; and, the provision of
benefits for families with children (p.13, Garcia & Graut, 2003)

This concept is reflected in the ILO’s normative social security framework consists of eight Conventions
and Recommendations. The most significant instruments are the Social Security (Minimum Standards)
Convention, 1952 (No. 102), and the Social Protection Floors Recommendation, 2012(No. 202). The
Convention No. 102 regroups the nine classical social security contingencies (medical care, sickness,
unemployment, old age, employment injury, family responsibilities, maternity, invalidity, and survivorship)
(ILO, 2014)

The Convention 202, proposes a two dimensional strategy on the extension of social security
 Horizontal dimension - establishing and maintaining of social protection floors as a fundamental
element of national social security systems
 vertical dimension -pursuing strategies for the extension of social security that progressively ensure
higher levels of social security to as many people as possible, guided by ILO social security
standards (ILO,2012)
AT the horizontal level National social protection floors should comprise at least the following four
social security guarantees
 access to essential health care, including maternity care;
 basic income security for children, providing access to nutrition, education, care and any other
necessary goods and services;
 basic income security for persons in active age who are unable to earn sufficient income, in
particular in cases of sickness, unemployment, maternity and disability; and
 basic income security for older persons (ILO, 2012)

The Recommendation No. 202 provides guidance on closing social security gaps and achieving
universal coverage through the establishment and maintenance of comprehensive social security systems.
It calls upon States to achieve universal coverage with at least minimum levels of social protection through
the implementation of social protection floors. Social protection floors at the national level must consist of
“basic social security guarantees that ensure effective access to essential health care and basic income
security at a level that allows people to live in dignity throughout the life cycle” (ILO, 2014)

Importantly, these security guarantees “should apply to at least all residents, and all children, as
defined in national laws and regulations and subject to existing international obligations (para. 6), that is,

65
to the respective provisions of the CRC, the ICESCR and other relevant instruments” (p.11, ILO, 2014).
These characteristics are essential ingredients to enable people to live in dignity and recognized the human
right to social security, and helps in fostering inclusive societies and productive economies.

iv. Needs, Rights and Risks

While some authors such as Barrientos classify UN’s approach to social protection as a needs based
approach, and ILO’s perspective as a right based approach, it is important that the facilitator discusses the
overlaps as well as the differences of these perspectives. Similar to ILO, the UN’s approach extends the
role of social protection from securing basic needs as a ‘precondition for human economic development’
(Barrientos, 2012).
Munro (2007) explores the justification of social protection through the three approaches of rights,
risks and needs. In doing so he provides a comprehensive analysis of the three models. In discussing the
risk based school of thought, Munro (2007) explores concepts such as market failure, and in particular the
inability of commercial and community based insurance mechanisms to cover all types of risks.
Perspectives on human rights base their arguments on economic social rights. Lastly, needs based school
of thought stress the practical and moral importance of poor and non-poor alike in graduating or
ameliorating from poverty (Munro (2007).

The compatibility and contradictions between rights risks and needs are tabulated in the following diagram
Note: this table can be extended and or developed with the help of the students

66
(Source: Munro, 2007, p.12)

v. Conceptual and Ethical Bases for Social Protection

a. Social Protection and Social Theory
 Debates on social protection has revolved around concerns over the effectiveness of alternative
instruments and their design (p.10 Barrientos,2010)
 These debates have raised the importance of exploring the conceptual underpinnings of the different
policy frameworks proposed by agencies or individuals as these determine what practical actions
are (or are not) emphasized in the framework (p.10 Barrientos,2010).
 Social protection agencies have also recognized the importance to establish linkages between social
protection and social theory, and between social protection and ethics. This is because, “Social
protection as a policy framework is unlikely to be effective if it is insufficiently grounded in
knowledge about the factors and processes that produce and reproduce poverty and vulnerability,
and the factors and processes that facilitate or hinder social transformation”. (p.10 Barrientos,2010)

67
  On the one hand, debates on of the linkages existing between social protection and ethics revolve
around issues such as the selection of beneficiaries or the setting of program conditionality. On the
other hand, debates are more abstract. According to Pogge(1989) discussions on social protection
often reflect, the shared or competing views held about what is a fair society (Barrientos,2010)
 connecting social protection to social theory and ethics can help develop and appreciation for the
fact t that social protection is not only about poverty and vulnerability reduction but it is “also about
developing stable and productive societies with a capacity to adapt to the changes induced by
globalization, climate change and other external factors”(p.10 Barrientos,2010)Social protection
and social theory

a. Social Protection and Economic Efficiency

Traditionally protection systems were viewed as a financial burden on the states. At present social
protection plays as critical role in promoting economic growth. By encouraging capital accumulation, and
investment, increasing work capacity, and helping to manage risk, as well as offering potential advantages
to non-beneficiaries (‘multiplier effects’), social protection can lead to long term growth. Literature on
social protection have identified four main social protection-related approaches that encourage growth at
both national and household levels (GSDRC, 2014)
 investments in human capital,
 managing risks
 addressing market failures
 Poverty reduction strategies (e.g. by reducing inequality).
(For more information the social protection on the informal economy refer to OECD (2009), “Promoting
Pro-Poor Growth”Social Protection and the Informal Economy: Linkages and Good Practices for
Poverty Reduction

Tutorial 2
Tabulate a comparison of the three approaches on social protection
Discuss the pros and cons of each approach
How does these approaches to social protection regard women’s rights?

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Tutorial 3 –
Take home question (learners can choose one of these questions to write a short background paper on the
topic)
1. How can social protection be seen as a rights- based policy choice? Eg. As part of a participation,
inclusion and obligation framework? In pariticular:What roles do the principles of eqaulity and
non- discrimination play in promoting social protection?
 How do they promote the principles of equality of access and minimum standards?
 What is the relevance of citienship in this framework
2. Is it meaningful and helpful to talk about a ‘right to socal protection’? in what way is this a right
which is codifiec? Has it been recognised by states?
3. What are existing rights and corresponding obligations already recognised and codified that are
relevant for social proteciton( recognised as either human rights or citizenship rights at
international, national, rgional or local levels)?In particular
 how useful is to talk of a “ core of basic human rights”?
 What are the implication for social protection of such an approach
4. How might the realisation of these rights and respec to of there rights based principles make a
difference in terms of poverty reduction and economic growth?
5. What complementary actions are necessary to make a reality of the rights relevant for social
protection?
 In particular, what is the role of advocacy, social mobilisation, empowerment and other
actions to build the capacity of claim holders?
6. What instituional arrangement show promise for the implemenation f a rights based approach to
social protection
 How does the approach assit in linking rights based claims to social protection with
institutional responses?
 What is the role safety, security and access to jutices to realising and enforcing rights relevant
to social protection (Source: Piron, 2014,p.36)

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Tutorial 4
Divide the class into groups and ask them to make a presentation on the current trends and practices and
well as the challenges of social protection on:
 Social protection for children and families
 Social protection for women
 Social protection for older women and men
 Universal health coverage

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Suggested readings

 Barrientos, A. (2011). Social protection and poverty. International Journal of Social Welfare,
20(3), 240-249.
 Conway, T., de Haan, A., & Norton, A. (2000, March). Social protection: new directions of
donor agencies. Paper for the DFID-ODI Inter-Agency Seminar on Social Protection.
Easthamstead Park.
 Devereux, S., & Sabates-Wheeler, R. (2004). Transformative social protection (Vol. 232).
Institute of Development Studies.
 Devereux, S., & Sabates‐Wheeler, R. (2007). Editorial introduction: Debating social
protection. IDS Bulletin, 38(3), 1-7.
 DFID (March,6 2006). Social Protection and Economic Growth. Social Protection Briefing
Note Series. No. 4, Ref no: PD Info 093. Retrieved from www.gsdrc.org/docs/open/sp16.pd
 Ginneken, W., V. (2011). Social Protection and the MDGs: Towards a human rights based
approach for justice, International Conference on social protection for Justice. Institute of
Development Studies UK, April 13-15 2011. Centre for social Protection and Institute of
Development Studies
 Jørgensen, S. L., & Van Domelen, J. (1999). Helping the poor manage risk better: The role of
social funds. Social Protection, World Bank.
 Loewe, M. (2008). Basic Social Protection: Positions of Key Development Actors. Brot fur dle
Welt Working Paper.
 Munro, L. T. (2007). Risks, rights, and needs: compatible or contradictory bases for social
protection. Brooks World Poverty Institute Working Paper, (7).
 Norton, A., Conway, T., & Foster, M. (2002). Social protection: defining the field of action
and policy. Development Policy Review, 20(5), 541-567.
 OECD (2009).HARMONISING, E. A., & ASSESSMENT, P. I. Promoting Pro-Poor Growth.
 Scott, Z. (2012). Topic Guide on Social Protection. Governance and Social Development
Resource Centre (GSDRC), UK. University of Birmingham
 Sepulveda Carmona, M. (2014). From Undeserving Poor to Rights Holder: A Human Rights
Perspective on Social Protection Systems. Available at SSRN 2442841.
 Social Protection Advisory Services (2003). The contribution of social protection to the
Millennium Development Goals. Washington: The World Bank. Retrieved from
www.ecolabs.org/adams2/IMG/pdf/SPMDGs.pdf

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Week 4–CONCEPTUAL FRAMEWORK
ADOPTED BY UN

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Week 4

CONCEPTUAL FRAMEWORK BY UN
Overview
The first part of the lecture explore Social Protection Floor Initiative (SPF-1). The lecture begins
with an overview of SPF1, core elements and a discussion of the rationale behind SPF. Through various
case studies students examine, the positive impact of SPF in different contexts. It explores concepts related
to funding, key activities suggested for implementing SPF and the progress made in implementing SPF at
a global level.

The Second part of the lecture focuses on UNICEF initiatives of SPF. It discusses UNICEF’s
conceptual framework of social protection- integrated social protection system. A combination of
discussion and case studies enables students to investigate the rationale, issues and challenges faced by
UNICEF social Protection initiative

Objectives:

 Define Social Protection Floor and describe its core elements and rationale for social protection
 Examine the importance and applicability of SPF in fragile states, and draw lessons for best practice
 Describe the positive impact and the fundamental principles of social protection
 Discuss innovative ways of funding social protection floors
 Outline the main activities for implementing social protection floor and develop a recognition on
the progress made in implementing social protection at a global level.
 Compare and contrast UNICEF and SPF-1 definition of social protection
 Develop an appreciation and recognition of the contribution by UNICEF initiatives social
protection systems
 Demonstrate an awareness of UNICEF’s conceptual framework, intergraded social protection
system

Set the stage through the introductory video by A Social Protection Floor for All (Introductory
Video). Ask students to

Tutorial 1
Case Studies
 Define Social protection floor
 how have SPF played an important role in the economy and social sphere in countries like
Argentina, Namibia, India and Thailand

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 a. The Concept of Social Protection Floor

The origins of a concept of “a socio-economic floor” and its linkage to social protection was recognized
by World Commission on the Social Dimension of Globalization whose final report stated: “A certain
minimum level of social protection needs to be accepted and undisputed as part of the socio-economic floor
of the global economy” (ILO, 2004, p. 110 as cited in ILO, 2011). Subsequently, the term “social floor” or
“social protection floor” has evolved to indicate “a set of basic social rights, services and facilities that the
global citizen should enjoy” (p.14 ILO, 2010).

Social Protection Floor (SPF-1) was adopted by the High the High Level Committee on Programs of
the UN Chief Executives Board in April 2009 as a joint crisis initiative with ILO and WHO as lead agencies.
A resolution by the UN Commission for Social Developed in February 2010, called for ILO to strengthen
social protection strategies. This included the assistance provided by ILO in building national SPFs and
policies on the extension of social security coverage for all. Following this in October 2010, ILO’s Second
African Decent Work Symposium adopted the »Yaoundé Tripartite Declaration on the Implementation of
the Social Protection Floor. In a series of International and regional conferences, the SPF was endorsed by
EU, Latin American and Caribbean Countries Cichon, Behrendt, & Wodsak (2011)

Given the context, the SPF initiative is considered as One UN effort led jointly by ILO and WHO, as
an “integrated set of policies designed to guarantee income security and access to essential social services
for all, paying particular attention to vulnerable groups and empowering people across their life cycle”
(p.xxii, ILO, 2011). Due the ambitious nature and the fact that it SPL the mandate of any single body or
agency, the initiative enabled to build a platform of global coalition of un agencies (namely: FAO, OHCHR,
UNAIDS, UNDESA, UNDP, UNESCO, UNFPA, UN-HABITAT, UNHCR, UNICEF, UNODC, UN
Regional Commissions, UNRWA, WFP, AND WMO), THE IMF AND The World Bank, as well AS
development partners and leading NGOs.

In SPF income security is promoted through a minimum set of guarantees in situations in which

 all residents have access to a nationally defined set of affordable essential health care services;
 all children enjoy income security through transfers in cash or kind, at least at the level of the
nationally defined poverty line, ensuring access to nutrition, education, and care;
 all those in active age groups who cannot (due to unemployment, underemployment, or sickness)
or should not (in case of maternity)earn sufficient income on the labor market should enjoy
minimum income security through social transfers in cash or in kind schemes or employment
guarantee schemes;

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  all residents in old age and with disabilities have income security at least at the level of the
nationally defined poverty line through pensions for old age and disability or transfers in kind (ILO,
2010; Cichon et al, 2011, p.38)

SPF consists of

 A basic set of essential social rights and transfers, in cash and in kind, to provide a minimum income
and livelihood security for all and to facilitate effective demand for and access to essential goods
and services.
 The supply of an essential level of goods and social services such as health, water and sanitation,
education, food, housing, life and asset-saving information that are accessible for all (ILO and
WHO, 2010)

The core elements (for further reference see ILO, 2010) of SPF are

 universality;
 progressiveness;
 pluralism;
 outcome focus

SPF can best be viewed as a two- dimensional strategy, comprising of a horizontal dimension- a set of
social guarantees for all and vertical dimension, involving the gradual implementation of higher standards,
in consistent with ILO’s Social Security Minimum Standards Convention , 1952 ( No.202) as well as other
standards as countries develop fiscal and policy space. (ILO, 2011)

Source: ILO, 2010,p.20

Social Protection floor as defined in the 2011 International Labor Conference defined social
protection floor through the lens of income security and access to essential goods and services.

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 … social protection floors, containing basic social security guarantees that ensure that over the life
cycle all in need can afford and have access to essential health care and have income security at
least at a nationally defined minimum level. Social protection floor policies should aim at
facilitating effective access to essential goods and services, promote productive economic activity
and be implemented in close coordination with other policies enhancing employability, reducing
informality and precariousness, creating decent jobs and promoting entrepreneurship. (para.9
ILO,2011)
It is important that the facilitator probes questions on the main components of this definition.

b. The Rationale for Social Protection Floor

At the start of this phase, the facilitator need to ask learners as to why SPFs are needed?

Global social changes and the need for SPF

Source : ILO,2011,p.20)

1. Pervasive poverty and income inequality

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 Source: Ortiz & Cummins, 2011 as Cited by ILO, 2011,p.22)
2. Social security is still a privilege in most countries
3. Lack of essential services
1. Inadequate access to water, sanitation and housing
2. Food insecurity and nutritional deficiencies
3. Demographic challenges
4. Fragile and conflict afflicted countries (Ortiz & Cummins, 2011)

Tutorial 2

Case Study – social protection in fragile countries – Haiti and Liberia

 Discuss a brief overview for implementing social protection in fragile countries of Haiti and Liberia
 What lessons can we draw by these two case studies?

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Source: ILO, 2011 p.32

The case for Social Protection Floor

 Realizing human rights and social justice- The concept of the social protection floor is
grounded in the fundamental rights listed in the Universal Declaration of Human Rights. The
central objective of SPF is that, “no one should live below a certain income level and everyone
should at least have access to basic social services”.

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Tutorial 3

Examine the following human rights instruments and identify the provisions for the social
protection
 Universal Declaration of Human Rights,
 International Covenant on Economic Social and Cultural Rights,
 Convention on the Rights of the Child
 Convention on the Elimination of all forms of Discrimination against Women

Source: ILO,2011,p.34

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  Effective tool for combating poverty and inequality. The social protection floor is also anchored
in the Decent Work Agenda. In order to succeed in combating poverty, deprivation and inequality,
SPF interventions must be accompanied strategies such as strengthening labor and social
institutions and promoting pro-employment macroeconomic environments.
 Accelerating Progress towards MDGs. Social Protection Floors have proved to be effective in
reducing poverty. E.g. In OECD countries, the estimated that levels of poverty and inequality are
approximately half of those that might be expected in the absence of social protection measures

Source ILO, 2011,p.34

 SPFs are affordable in low income countries as well

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Source: UN 2007 as cited in ILO,2011

Source: Helpage International, 2011 as cited in ILO 2011, p. 44

 Ensure adequate opportunities for decent work

 Helps address the social economic impacts of crisis and global economic imbalances

Tutorial 4

Case Study: impact of social protection program in Indonesia

Generate a whole class discussion on some of the significant aspects/implications of the study

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 Source ILO,2011p.55

 Implementing Social protection floors can result in greater empowerment and autonomy for
women, who are disproportionately represented in low-income groups

At this points ask students to discuss the likely positive impacts on gender due to SPFs

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 SPF can help address challenges related to global changes and crisis events such as demographic
change, global health risks and food price volatility
 SPF’s are affordable and enhance the productiveness of labor force, the resilience of society and
the stability of the political process ( ILO,2011)

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 Source: Social Protection Advisory Groups Kemal Davis notes as cited by ILO, 2011

a. Guidelines on Implementation
 The SPF is neither a prescription nor a universal standard but rather a policy approach than can be
adapted to country led initiatives that are responsive to national needs, priorities and resources.
 Lessons from countries imply that SPF benefits through long-term policy development and that
implementation plans must rest with national consensus
 Social protection floor can only be maintained in the long term is sufficient financial resources are
made available. While international aid can help the commencement of creating a floor in low-
income countries, its implementation for a long term basis needs to be financially sustainable at the
national level
 Economic growth can enable the creation of a fiscal space, which can later be claimed for social
protection. However in cases where there is not a high economic growth, reallocating expenditure
can generate fiscal space, provided there is political will. While in some countries, fiscal reform on
tax reorganization has provided opportunities for financing social protection.
 The social protection floor should not be considered as an alternative, but as a means to
complement to social insurance institutions and as a component of a comprehensive and pluralistic
social protection system
 Fragmented and underperforming social protection programs can be integrated and consolidated
into the social protection floor to gain benefits
 Monitoring, in tandem with evaluation, is an indispensable tool to provide regular information on
the progression and effectiveness of programs

Tutorial 5

Discuss some of the innovative sources of financing applied to social protection. The following may serve
as a guide

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Source: ILO, 2011, p. 74

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Measures supported by UN and IFI policy statements includes

 Re-allocating public expenditures

 Increasing tax revenues
 Fighting illicit financial flows
 Lobbying for increased aid and transfers
 Tapping into fiscal and foreign exchange reserves
 Restructuring debt
 Adopting a more accommodative macroeconomic framework (e.g. tolerance to some inflation,
fiscal deficit)

b. Principles and Modalities in The Design And Implementation Of National Social

Protection Floors

 Combining the objectives of preventing poverty and protecting against social risks, thus
empowering individuals to seize opportunities for decent employment and entrepreneurship.
 A gradual and progressive phasing-in process, building on already existing schemes, according to
national priorities and fiscal constraints.
 Coordination and coherence between social programs. In particular, and within a perspective
treating human development on a life cycle basis, the floor should address vulnerabilities
affecting people of different ages and socioeconomic conditions, and should be regarded as a
framework for coordinated interventions at the household level, addressing multidimensional
causes of poverty and social exclusion and aiming to unlock productive capacity.
 Social protection floor for a fair and inclusive globalization
 Combining income transfers with educational, nutritional and health objectives, to promote
human development.
 Combining income replacement functions with active labor market policies as well as assistance
and incentives that promote participation in the formal labor market.
 Minimizing disincentives to labor market participation.
 Ensuring economic affordability and long-term fiscal sustainability, which should be anchored in
predictable and sustainable domestic funding sources; while noting that international solidarity in
the form of cost-sharing may be needed to help to start the process in some low-income countries.
 Coherence between social, employment, environmental and macroeconomic policies as part of a
long-term sustainable development strategy.
 Maintaining an effective legal and normative framework, so as to establish clear rights and
responsibilities for all parties involved.

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  An adequate institutional framework with sufficient budgetary resources, well-trained
professionals and effective governance rules with participation of the social partners and other
stakeholders.
 Ensuring mechanisms to promote gender equality and support the empowerment
 Effective health-financing systems to ensure access to needed health services of good quality ( p.
xxx, ILO,2011)

Other important recommendation by Social Protection Advisory Group (2011) includes

 Established of a mechanism for collaboration and coordination to enhance policy coherence and
coordination among international organizations. Such mechanisms should ensure the inclusion of
experts from the relevant UN agencies, programs, funds, regional commissions and international
financial institutions concerned with issues related to social protection.
 SPF should take into consideration in design and design of and commitments to future
development plans
 SPFs must be considered part of the United Nations Development Assistance Framework (UN
DAF) and should be integrated into national development plans.
 The non-binding international ILO Convention’s No. 102 recommendation of SPFs must be
adopted to complement already existing social security standards
 Recommended the ‘intensification of of South–South, triangular and North–South cooperation in
SPF for drawing international support in building national SPF’s
 Regional organizations are encouraged to engage in international cooperation to promoted
knowledge sharing and support to low- income countries to implement social protection floors

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 c. Overview of Key Activities In Implementation

Source: UN, WHO & ILO, and Undated. P. 5)

Show the video, SPF Joint Team in Thailand: A Replicable Experience details how the SPF
joint team in Thailand is built and what it has done to help the Thai government create social protection
schemes.

Generate a whole class discussion on the topic.

d. SPF Activities at Global Level

1. Global Advocacy
 Awareness raising and building support
 Briefing of various international meetings by ILO, WHO, UNDESA or UNICEF staff members
 Seeking intergovernmental endorsement
 Promoting social protection as a tool for development and poverty eradication
 Gaining acceptance as a component of the overall social development strategy in the UN
system ( source: Huber, Undated)

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 2. South –South Dialogue on SPF initiatives: technical knowledge from countries that have already
been successful in SPF have taken measures to support in the south south exchange of SPF
experiences and have facilitated the exchange of knowledge, best practices lessons learned existing
opportunities and obstacles (UN, WHO & ILO, and Undated)
3. Training: These initiatives are aimed at building capacities for the management, administration
and implementation of SPF. Given this, training programs are provided for national social policy
planners, decision makers, including technical officers and implementing agencies (UN, WHO &
ILO, and Undated)
4. Conceptual developments
 A SPF-I manual drafted and adopted at an Interagency workshop in Turin (13-15 October
2009)
 The Manual submitted to the UNDG for dissemination to UN country teams.
 An inter-agency advisory network formed to provide conceptual inputs to country-based
initiatives.
 Guidelines for country operations on the strategic framework for joint UN country operations
 Concept of an indicator for the rapid assessment of national Social Protection Floor coverage
is being developed ( Huber, Undated)

e. Key Challenges Faced By SPF

 To keep the topic on the international development agenda

 To promote its long-term implementation in UN and national planning instruments
 To convert political energy into concrete outcomes, particularly at the national level
 To ensure and strengthen UN agency coordination ( Huber, Undated)

Tutorial 6– Case study on social protection floor

Divide the class into groups and ask them on how these countries have undertaken efforts in implementing
the social protection floor initiative

 Mozambique
 Rwanda
 Thailand

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Tutorial 7

 Based on the principles and modalities of social protection, draft a set of strategies to be
incorporated in a social protection action plan for implementing the recommendations on Social
Protection Floors in Maldives and present it to class

a. UNICEF’s Social Protection Floor Initiatives

If possible invite an expert from UNICEF Maldives to discuss UNICEF led initiatives in implementing
social protection floor in Maldives

Definition and conceptual framework

Social Protection is defined by UNICEF as
Social protection is the set of public and private policies and programs aimed at preventing, reducing
and eliminating economic and social vulnerabilities to poverty and deprivation. Social protection is
essential to UNICEF’s commitment to the realization of the rights of children, women and families
to an adequate standard of living and essential services. ( p. 28 UNICEF,2012)
Viewed through this lens UNICEF’s protection is concerned with

 Social transfers
 Programmes to ensure economic and social access to services
 Social support and care services
 Legislation and policies to ensure equity and non-discrimination in children’s and families’
access to services and employment/livelihoods( UNICEF,2012)

Compare and contrast this definition with that of the UN SPF- 1

UNICEF’s definition of social protection is based on understanding the multidimensional nature
of poverty and deprivations

Three essential concepts that underpin UNICEF’s work on social protection relates to
1. Vulnerabilities and captures the interaction between:
 exposure of individuals and households to risk, i.e., the chances or threat of an adverse event
or hazard
 their capacity to respond and cope, i.e., level of susceptibility or exposure to this event due to
level of resources (physical, economic, social, political, etc.).

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 2. Both social and economic vulnerabilities are important and often intertwined.
3. Vulnerabilities are shaped by underlying structural social, political and economic factors (
UNICEF,2012)

Given this, discuss the implication of UNICEF’s definition on Social Protection

a. Lessons From Good Practice:

UNICEF’s work in the field and at global levels concentrate on

 Engagement with social policy reform processes to ensure social protection strategies and
policies address children’s vulnerabilities.
 Capacity building and institutional strengthening processes: in-country development,
 Training, information and monitoring systems, and local response capacity.
 Addressing knowledge gaps on social protection systems and child-sensitive social protection.
 Fostering partnerships with key players and stakeholders and strengthen assistance in
advocacy for specific sectors and thematic areas ( UNICEF,2012)

Lessons that can be drawn from different UNICEF initiatives are

1. Piloting and expansion of new programs: the role of government, learning by doing and
investing in the basics

 Government leadership and national politics play a key role:

 Learning by doing should be prioritized
 It is important to invest in the basics:

2. The interaction between social and economic vulnerability must be addressed

3. Limitations of narrow targeting

4. International partners: The importance of coordination and supporting national priorities (

UNICEF,2012)

b. UNICEF’s Conceptual Framework Integrated Systems for Equitable Outcomes

UNICEF’s conceptual framework of integrated social protection systems:

 Address both social and economic vulnerabilities and their interaction
 Provide a comprehensive set of interventions based on assessed needs and context

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  Go beyond risk management interventions and safety nets to integrate responses to structural as
well as shock-related vulnerabilities
 Facilitate a multi-sector approach and coordination in order to address multiple vulnerabilities
and maximize effectiveness and impact across multiple sectors
( UNICEF,2012)

In order to be effective, sustainable and effective social protection systems also need to:
 Coordinate with appropriate supply-side investments to enhance availability and quality of
services
 Frame social protection strategies within a broader set of social and economic policies that
promote human development and growth. ( UNICEF,2012)
Two key components are required for functional and effective integrated systems
1. a systems approach (A systems approach develops and strengthens the structures and
mechanisms that facilitate the integration of a network of interventions and policies to
effectively address multiple vulnerabilities)
2. a multi-sector approach (A multi-sector approach identifies and maximizes linkages between
social protection and sector outcomes (e.g., education, health, nutrition, early childhood
development, water and sanitation, child protection and HIV and AIDS) ( UNICEF,2012)

c. The Rational For an Integrated Social Protection Systems Approach

An integrated systems approach is
 Needed to respond to the multiple and interrelated dimensions of child vulnerability to
exclusion and poverty
 An integrated approach to social protection also has the potential to increase efficiency of
Implementation
 Building household resilience and national capacity to respond to crises. Countries with social
protection systems in place may be able to cope better with aggregate shocks (UNICEF,2012).
Three key principles for UNICEF’s work on social protection
1. Progressive realization of universal
2. Coverage: Expansion of social protection coverage, including for children, is critical given the
current limited coverage globally
3. National systems and leadership UNICEF supports long-term nationally owned and led
systems in
 Low-income countries
 Middle-income countries

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  Fragile contexts
 Inclusive social protection( UNICEF,2012)

d. Addressing Economic and Social Vulnerabilities: Four Key Social Protection

Components

1. Social transfers: predictable direct transfers to individuals or households, both in-kind and in
cash, in order to protect them from the impacts of shocks and supports the accumulation of
human, financial and productive assets
2. Programs to ensure access to services: Programs that reduce economic and social barriers
households face when accessing social services
3. Social support and care services: A range of human resource-intensive services that help
identify and reduce vulnerability and exclusion, particularly at the child and household level
by:
 strengthening individuals’ and households’ resilience; improving their capacity to
overcome shocks and strains
 and linking households to existing programs and services
4. Legislation and Policy Reform: Changes to policies and legislation in order to remove
inequalities in access to services or livelihoods/ economic opportunities, thereby helping
address issues of discrimination and exclusion ( UNICEF,2012)
1. Financing: Social protection programs can be affordable and sustainably financed. Long-term
national financing strategies should be identified and informed either through a baseline
assessment of the costs, returns to investment and available financing options at both national
and international level
2. The politics of social protection: It is crucial to understand and assess the political factors that
influence social protection and its impact on the relationship between states and citizens. These
factors would heavily influences the design and implementation as well as on how social
protection is conceived and what is viewed as feasible and affordable.
3. Sequencing and prioritization: The design and implementation of social protection must
prioritize investment and develop the most appropriate sequence to reach short term objectives
and long-term goals.
4. Institutional capacity: the effective implementation of integrated social protection systems
rests with institutional and administrative capacity at all levels: national, regional and
local/community. UNICEF can provide support to sequencing decisions, avoid complex

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 program design, enhance government ministries’ monitoring and information systems, promote
collaboration with other countries, and establish partnerships with non-state actors (
UNICEF,2012)

TUTORIAL 8
CASE STUDY -Building a Social Protection Floor Burkina Faso
Discuss
 The context
 Challenges
 Stages of building a social protection floor
 How did UNICEF and other developmental agencies, the state and NGOs contribute to building
social protection floor in Burkina Faso)

Suggested readings
 Bachelet, M., & International Labour Office. (2012). Social protection floor for a fair and inclusive
globalization. International Labour Office.
 Cichon, M., Behrendt, C., & Wodsak, V. (2011). The UN social protection floor initiative: moving forward
with the extension of social security. Internationale Politik und Gesellschaft, 32, 32-50. ILO and WHO
(2010). Social protection Floor initiative.
 Cichon, M., Behrendt, C., & Wodsak, V. (2011). The UN social protection floor initiative: moving forward
with the extension of social security. Internationale Politik und Gesellschaft, 32, 32-50.
 Conway, T., de Haan, A., & Norton, A. (2000, March). Social protection: new directions of donor agencies.
Paper for the DFID-ODI Inter-Agency Seminar on Social Protection. Easthamstead Park
 . ILO, W. (2009). The Social Protection Floor. A joint Crisis Initiative of the UN Chief Executives Board
for Co-ordination on the Social Protection Floor.
 ILO (2012). The strategy of ILO; social security for all, building social protection floor and comprehensive
social security system, International Labor Office: Geneva
 ILO (2014). World Social Protection Report 2014/2015; Building Economic Recovery, Inclusive
Development and Social Justice. International labor Office: Geneva
 ILO and WHO (2009). The social protection floor; a joint crisis initiative of the UN Chief Executives board
for coordination of social protection floor: Geneva
 ILO, WHO (2010). Social Protection Floor Initiative, Brochure / fact sheet.
http://www.socialsecurityextension.org/gimi/gess/ShowRessource.action?ressource.ressourceId=17466
 ILO & WHO (2010).Social Protection Floor Initiative. Social Protection Floor Country Brief,
Mozambique. www.ilo.org/public/english/protection/spfag/.../briefs/mozambique.pdf

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  ILO, W., & Social Protection Floor Initiative. Manual and strategic framework for joint UN country
operations”. Developed by the Group of Co-operating agencies and development partners, Geneva.
 Piron, L. H. (2004). Rights-based approaches to social protection. Overseas Development Institute.
 Sepulveda Carmona, M., Nyst, C., & Hautala, H. (2012). The human rights approach to social protection.
Ministry of Foreign Affairs of Finland.
 International Labor Organization (2001).The strategy of the International Labour Organization. Social
 UNDP (2011). Successful social protection experiences; sharing innovative experiences, Vol 18,pp 5-401
 UNICEF (2012). Integrated Social Protection Systems. Enhancing equality for children. UNICEF social
protection framework. UNICEF: New York.
 Rawlings, L., Murthy, S., & Winder, N. (2013). Common ground: UNICEF and World Bank approaches to
building social protection systems (No. 78652). The World Bank.
 United Nations (2006). Full and Productive Employment and Decent Work; Dialogues at the Economic and
Social Council. USA: United Nations publications

Other resources
 Cattaert, G. (2014). Social protection a mechanism for inclusive development. PowerPoint presentation on
EU Africa economic and social stakeholders network Brussels held on 5 March 2014
 ILO & ACTRAW (Undated). Moving Ahead With the Extension of Social Security. The ILO social
protection floor recommendation 2012(no.202).Power point presentation
 Ortiz, I., Fajth,G. & Yabloneki, J. (2010). The Social Protection Floor Initiative. Power Point Presentation
on Social Development Advisors Network Meeting 8 January 2010.

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Week 5–CONCEPTUAL FRAMEWORK
BY ADB AND WORLD BANK

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Week 5

CONCEPTUAL FRAMEWORK BY ADB AND WORLD BANK

This lecture continues with approaches to social protection. It explores two most important donors
on social protection, The World Bank and ADB. The first part of the lectures helps students discover World
Bank’s approach to social protection, with a particular focus on dynamics of the framework Social Risk
Management. Building on this, it seek to discuss World Bank’s mechanisms for social protection. The
Second half of the lecture, explores ADB’s approach to social protection. After a brief overview of ADB’s
mission and rationale for social protection, it explores the five main elements of social protection. Central
to ADB’s role in social protection, the Social Protection Index designed to help governments (Asian) to
monitor their progress in social protection as well as to facilitate cross country comparisons. By examining
the main indicators of the SPI, learners are enabled to draw cross country comparisons with Maldives on
Social Protection progress.

Objectives:

 Discuss the main global challenges that triggered world banks approach towards social protection
 Outline the main implications of the recommendations of World Development Report 2000/2001
on future social protection policies
 Describe the main strategies and arrangements of social risk management framework
 Analysis the role of social funds in risk management and describe the advantages and disadvantages
of the types of social funds
 Apply the Social Risk Management framework to identify the risks observed in the Maldivian
society and predict suitable arrangements for risk managements
 Develop an appreciation for guiding principles of world banks social protection strategy and an
awareness of World Banks intergraded approach to social protection
 Demonstrate an in-depth understanding on the application of Social Risk Management and
intergraded approach to social protection in World Bank’s work in addressing Vulnerabilities
 Compare and contrast World bank and ADB’s approach to social protection
 Describe the five main fundamental elements of ADB’s social protection framework and explore
case studies on these elements to identify lessons from best practice
 Recognize the importance of SPI, outline the main indicators used in the index and describe how
SPI can contribute to improving social protection programs in Asia

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  Compare and contrast SPI indicators for Maldives with that of other Asian countries

i. World Bank and Social Risk Management

Tutorial 1

Students recall their prior – knowledge learned in week 3

 What are 5 main global issues that triggered World Bank’s approach towards social protection?
 What implications did the recommendations of the World Development Report 2000/2001 have
on future social protection policies?
 Describe the main types and sources of risks identified by World Bank

a. Social Risk Management Strategies

Prevention: refers to strategies that implemented the occurrence of a risk. Such strategies are aimed at
Reducing the probability of an adverse risk and increases people’s expected income as well as to reduces
income variance. These effects increase welfare. Typical Preventive social protections fall under measures
designed to reduce risk in labor market, such as the risk of unemployment, under- employment or low wage
resulting from inapposite skills or labor market malfunctioning (Holzmann et al, 2003)

Mitigation strategies are designed to address the risk before it occurs. Contrasted with preventive
Strategies, mitigation strategies reduce the probability of the risk occurring. It “helps individuals to reduce
the impact of a future risk event through pooling over assets, individuals, and over time” (p.7,Holzmann et
al, 2003)

Coping strategies are aimed at relieving the impact of the risk once it has occurred. The main forms
of coping includes individual dissaving, borrowing, or relying on public or private transfers (Holzmann et
al, 2003)

Tutorial 2

Case study: the role of social funds through a risk management framework.(refer to Chapter 5,Helping the
Poor Manage Risk Better by Jorgensen and Domelen (2001) In Shielding the Poor; Social protection in
the Developed World by Lusting, N (Ed.)

 Discuss the role that social funds have played in risk management, especially in the field of risk
coping and mitigation. Focus on the types of social funds as well as the advantages and
disadvantages

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 b. Social Risk Management Arrangements:
INFORMAL ARRANGEMENTS: households respond to risks in protecting themselves through
informal (family or community) or personal arrangements (self-protection and self-insurance, in the
absence of market institutions and public provisions. e.g. : the buying and selling of real assets (such as
cattle, real estate, and gold), informal borrowing and lending, crop and field diversification, the use of safer
production technologies, storing goods for future consumption, mutual community support arrangements,
and kinship arrangements through marriage (Holzmann et al, 2003)

MARKET-BASED ARRANGEMENTS: With the availability of market based institutions,

Individual households take advantage s money, banks, and insurance companies. micro finance is also
considered an important instrument in SRM due to reluctance on the part of formal market institutions to
lend to households without secured earnings (Holzmann et al, 2003)

PUBLIC ARRANGEMENTS: with the development of welfare states, public arrangements for
dealing with risk also exists. However they are scarce and have limited coverage in the developing world
for fiscal and other reasons. In cases When informal or market based risk management arrangements cease
to exist, break down, or are dysfunctional, the government provides (social) insurance programs for risks
such as unemployment, old-age, work injury, disability, widowhood, and sickness. These programs are
typically focus those in in formal employment and in general their coverage in developing countries is low.
Governments may provide social assistance, subsidies on basic goods and services, and public works
programs to help household cope after a risk (Holzmann et al, 2003)

Tutorial 3

ii. What sort of risk management arrangements exist in the Maldivian society.
iii. How would you compare with traditional mechanisms?
iv. Which type of arrangement or combination of arrangements would be most applicable in a
Maldivian context in managing risks? Explain

Operationalizing SRM : Risks and vulnerabilities

The framework on operationalizing SRM is based on Risk and Vulnerability Assessments (RVAs). It
is a a complementary analytical product that enhances static poverty analysis, through

1. adopting an ex-ante perspective on household welfare, based on the related concept of

vulnerability; and

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 2. analyzing explicitly the sources of household vulnerability as the combined effect of: (i) exposure
to shocks and (ii) lower resilience to withstand these shocks, that can lead to, perpetuate or deepen
poverty(Holzmann et al, 2003)
The World Bank’s also recognizes that certain groups of poor are even more vulnerable, and that risks
are mutually reinforcing. (Holzmann et al, 2003) Vulnerable groups that are supported by World Bank are

 Child labor
 Disabled people
 Orphans and vulnerable children
 Unemployed youth

c. Guiding Principles of World Banks Social Protection Strategy

 View social protection through the context of Social Risk Management
 Look at all the aspects of social protection
 Achieve a balance among the strategy
 Be prepared for risks
 Involve stakeholders in designing and implementing programs
 Match instruments to risks
 Match supply and demand of social risk management ( for further reference refer to World Bank,
2001).

d. World Banks’ Integrated Approach to Social Protection

 Country strategy work
 Analytical and advisory activities
 Portfolio management and quality enhancement
 Knowledge management
 Lending
 Information and communication
 Evaluation
 Partnerships (for further reference refer to World Bank, 2001).

It is important that the facilitator focus on the limitations of the SRM framework and then enable
students to focus on the concept of transformative social protection which emphasizes the importance of
strategies in dealing with problems of social vulnerability. Such strategies require a ‘transformative
element’ in the sense that “the need to pursue policies that relate to power imbalances in society that
encourage, create and sustain vulnerabilities” (p.9. Devereux and Sabates-Wheeler, 2004) and thus

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‘recognizes the need for social equity as well as protection against livelihood risks’ (p.2. Devereux and
Sabates-Wheeler, 2004).

Strategies to deal with problems of social vulnerability require a transformative element, where

Tutorial 3

Divide the class in to four groups and ask students to make a presentation on the World Bank’s role in
addressing vulnerable groups through an SRM framework

 Harmful Child labor

 Disabled people
 Orphans and vulnerable children
 Unemployed youth
Discuss the application of the following through a Social Risk Management Framework.

 Gender
 Labor market intervention
 Old age income security
 Increasing poor people’s access to market based intervention

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 v. ADB and Social Protection

Set the stage on to the role of ADB in social protection by providing an overview of ADB’s work in
Asia and on how ADB improves the quality of life for millions in Asian and the pacific.(
http://www.adb.org/about/overview) This short video clip would also provide learners with background
knowledge on the Asian context and the need for social protection.

a. ADB’s Mission and Role of Social Protection

Founded in 1966, ADB is dedicated on to achieving its aim for an Asia and Pacific free from poverty.
For ADB social protection is an essential component of social development, one of the three pillars of ADB
Poverty Reduction Strategy. ADB is committed in assisting individuals to break out of poverty and enhance
member countries in improvising the quality of growth by investing in human capital, increasing
productivity, and reducing citizen’s vulnerability to risks. For ADB social protection is defined as:

the 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.(p.1, ADB,2001)

For ADB
The vision of the ADB’s Social Protection Strategy is the provision of social protection to all citizens
of the Asia and Pacific Region through the development of sustainable, statutory programs with
universal coverage to effectively assist DMCs to reduce poverty, achieve growth by enhancing
productivity, and create opportunities for self-reliance (p.21, ADB, 2001)

ADB’s social protection contributes to ADB’s strategic agenda on inclusive growth, which is one of
three pillars along with environmental sustainability and regional integration as part of its strategy 2020
(ADB, 2001; ADB,2008)

b. Elements of ADB’s Social Protection Framework

ADB’s approach to social protection consists of interventions in five major elements:
1. labor market policies and programs designed to generate employment, improve working
conditions and promote the efficient operations;
2. social insurance programs to cushion the risks associated with unemployment, ill health,
disability, work-related injury and old age;

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 3. social assistance and welfare service programs for the vulnerable groups with inadequate
means of support, including single mothers, the homeless, or physically or mentally
challenged people;
4. micro and area-based schemes to address vulnerability at the community level, including
microinsurance, agricultural insurance, socialfunds and programs to manage natural
disasters; and
5. child protection to ensure the healthy and productive development of children.
(p.iii,ADB,2003)

Similar to World Bank ADB views social protection through the perspective of risks. The 2001 ADB
social protection strategy is aimed at enabling, “vulnerable groups to prevent reduce and or cope with risk”
(p.1 ADB,2001; ADB,2013).Typical risks to the poor includes
 those related to the individual lifecycle,
 economic risks
 environmental risks
 social/governance related risks

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104
Source : ADB, 2003,p.7
Importantly, the wide variety of risks cannot be addressed only through social protection, as Social
protection interventions are generally not considered for risk reduction but rather sound development
policies and investments can reduce the probability of or even eliminate such risks . Given this, Social

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protection programs are aimed “to mitigate the impacts of shocks or to help people cope with risks if they
occur”(p.8, ADB, 2003). In addition, ADB’s definition of social protection is based on labor markets and
small-scale agriculture
Tutorial 4
 On the basis of your readings, and the video shown at the beginning of the lecture
 Discuss the ADB rationale for social protection in Asia and Pacific

Labor Markets:
labor adjustments and the efficient operation of labor markets is based on the view that as economic
development proceeds, employment will be the major source of economic support for most workers and
their families. Hence improving labor market operations is a critical to reduce poverty, facilitate human
capital development, and address gender discrimination. It will also enable the allocation of human capital
resources to their most productive uses, enhance economic welfare and help boost growth and development
Labor market improvements to enhance social protection includes:
1. Labor market assessments -demographic trends, labor absorbing
1. sectors, unemployment, migration flows, and the size and causes of the informal sector can
help identify a country’s needs and development options.
2. Active labor markets programs include:
 direct employment generation(promoting small and medium enterprises, public works);
 labor exchanges or employment services (job brokerage, counseling) linking supply with demand
for labor;
 skills development programs (training and retraining of labor)
3. Passive labor market policies include (a) unemployment insurance, (b) income support,
and (c) an appropriate legislative framework that strikes a balance between economic
efficiency and labor protection.
4. Safeguards: appropriate steps taken to ensure that procurement of goods and services,
contractors, subcontractors, and consultants, with the country’s labor legislation ADB,
2003).
Tutorial 5– case study
 Improving Labor Market through Higher Education Reform Project in Mongolia
 Developing Skills for Sri Lanka’s Labor Market

In groups discuss the key characteristics of ADB program in improving the labor market
In the selected countries.

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Tutorial 5
Study the following scenario
Mass Lay-offs and Retrenchment Plans
The three major causes of mass layoffs are (i) market shifts (cyclical or structural); (ii) privatization and/or
deregulation; and (iii) technological and/ or organizational change, including enterprise restructuring.
Unemployment and mass layoffs are problematic in any society, but present special challenges in
developing countries because the number of affected workers is normally larger than in developed societies,
the political context is often not favorable to collective bargaining, and the labor market is likely to be
saturated and the demand for labor is low. ( source, ADB,2003,p.16).
Discuss
1. What might be some of the policy options that may be undertaken to avoid or mitigate the negative
impacts of lay offs
2. What might be the aspects that need to be taken into account in assessing a retrenchment plan

Social insurance
labor markets exposes workers to several kinds of risks. Social insurance programs are aimed to mitigate
the risks by providing income support. These programs include
i. unemployment insurance to deal with frictional (sometimes structural)unemployment;
ii. work injury insurance to compensate workers for work-related injuries or diseases;
iii. disability and invalidity insurance, normally linked to old-age pensions, to cover for
full or partial disability;
iv. sickness and health insurance to protect workers from diseases
v. maternity insurance to provide benefits to mothers during pregnancy and post delivery
lactating months;
vi. old-age insurance to provide income support after retirement; and
vii. life and survivors insurance, normally linked to old-age pension to ensure that
dependents are compensated for the loss of the breadwinner.
Other types are government insurance vs private insurance
I. multipillar mixed public-private system that contains two basic elements:
i. public programs to assure minimum income to the aged, unemployed, and other
vulnerable groups; and
ii. private programs that encourage voluntary supplementation by individuals ADB, 2003).

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Tutorial 6
Case Study: study the program of unemployment benefits in Republic of Korea
 Discuss the feasibility of such a program on unemployment benefits in the Maldives?
 How can the program be adapted to fit into the Maldivian Context?

Source: ADB,2013,p.53
Social assistance
i. Social assistance and welfare services provide protection to those who cannot qualify for
insurance payments or would otherwise receive inadequate benefits and are tailored to reducing
poverty directly. Social assistance interventions may include
ii. welfare and social services, institutionalized or community-based, to highly vulnerable sections
of the population, such as the physically or mentally disabled, orphans, and substance abusers;
iii. cash or in-kind transfers such as food stamps and family allowances to vulnerable groups
iv. temporary subsidies, such as energy life-line tariffs, housing subsidies, or support of lower prices
of staple food in times of crisis
v. safeguards: attention to be paid to possible short-term negative impacts of policy reforms (ADB,
2003).

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Tutorial 7
Case study: Cash Transfer Programs for Poor Women in Pakistan
 Discuss the role of ADB and the government in the program
 The reasons for success of the program?
 What was the principle method of targeting benefits in providing social assistance? What other
methods could have been used? What might be the advantages and disadvantages of each
approach?
 What lessons can we draw in implementing such program
NOTE: for further reference on types of targeting refer to ADB,2003,p.19
micro and area-based schemes provides social protection to small-scale agriculture and the urban informal
sector. e.g. Crop insurance program
 Microinsurance. Microinsurance involves voluntary and contributory schemes for the
community, handling small-scale cash flows to address major community risks.
 Agricultural Insurance: a financial mechanism in which the uncertainty of loss in the farms is
minimized by pooling a large number of uncertainties that impact on agriculture so that the burden
of loss can be distributed. Eg loss in a storm
 Social Funds. Mechanisms to channel public resources to meet particularly pressing social needs.
Community-based social funds are agencies, typically managed at the local level, empowering
communities, NGOs, and local governments that provide finance for small-scale projects, such as
infrastructure schemes and livelihood programs to community groups.
 Disaster Preparedness and Management: disaster management focuses on assessing hazards,
planning risk reduction and monitoring programs, providing emergency assistance, and
strengthening local-level risk reduction capacity. over the past decade in disaster management ,two
principal trends have developed:
i. improved hazard forecasting through computer models on climatic behavior; and
ii. An increased focus on local vulnerabilities given that community-based preparedness is
the best mechanism to reduce loss of human life and the scale of damage. (ADB, 2003).

Tutorial 8
Case Study: ADB assistance on developing the Micro insurance Sector in Sri Lanka
 Ask one of the groups to give a short presentation on ADB assistance on developing the Micro
insurance Sector in Sri Lanka
 Generate a whole class discussion at the end of the presentation
Focus on how lesson from the Sri Lankan experience can be drawn to develop a micro insurance sector in
Maldives

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Child protection Social protection for the young includes:
 early child development to ensure the balanced psychomotive development of the child through
basic nutrition, preventive health, and educational programs;
 school feeding programs, scholarships, or school fee waivers;
 waiving of fees for mothers and children in health services;
 streetchildren initiatives;
 child rights advocacy/awareness programs against child abuse, child
 labor etc;
 youth programs to avoid social anomia in teenagers, criminality, sexually
 transmitted diseases such as HIV/AIDS, early pregnancies, and drug
 addiction; and
 family allowances, either means-tested cash transfers or coupons/
 stamps for basic goods and services (i.e., food, clothing) to assist families with young children to
meet part of their basic needs.

Tutorial 9
Case Study: Reducing Child Malnutrition through Social Protection in Nepal
Generate a whole class discussion on the topic
 What lessons can be drawn from the study to Maldives?
 What are the issues and challenges faced by existing child protection mechanism in the country?
 Discuss an overview of child protection programs by UNICEF Maldives?
 What type of child protection intervention (discussed in the lecture) programs are most needed to
address the current challenges in child protection in Maldives?

Tutorial 10
Study ADB’s social protection strategy action plan on pg. 60 ( ADB,2003)( in groups discuss/ take home
question)
 What are some of the ways in determining country priorities?
 What are the elements of a country’s poverty analysis? Why is it necessary
 What are some of ADB’s guiding principles in social protection intervention? Explain!
 What might be considered as some good social protection practices? Why are they necessary

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Tutorial 11
Divide the class into groups of five ( labor market policies, social insurance, social assistance micro and
area based schemes and child protection) each group is responsible in tabulating their choice under the
headings.

Policy Most Advantages Disadvantages Typical Institutional Targeting Risks Good

Instrument suited Financing Structure Mechanisms Partnerships
to Typical

Labor market
policies
a.
b.

Social insurance
a.
b.
Social assistance
a.
b.
Child protection
a.
b.

c. Social Protection Index:

ADB’s social protection index is a comprehensive tool which provides a quantitative measure of social
protections systems in Asia and is designed to help governments to monitor their progress on social
protection as well as to facilitate cross country comparisons. It highlights the importance of social insurance,
social assistance and active labor market programs (ADB, 2013 )

SPI divides the total number of expenditure on social protection by the total number of unintended
beneficiaries of all social protection program. The ratio of expenditure to beneficiaries are compared with
the poverty line expenditure of a given country. (for further reference see, ADB, 2013 )

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Discuss:
SPI as a percentage of GDP and GDP per capita

112
(Source: ADB, 2013. p.13)
SPI by income group

113
(Source: ADB, 2013.p.19

SPI by region

114
(Source: ADB, 2013

SPI by underweighted social program by category and income

(Source: ADB, 2013.p.25

SPI for women

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(Source: ADB, 2013,p.119)
SPI by Depth and Breadth.

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(Source: ADB, 2013,p.41)

(Source: ADB, 2013,p.43)

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Closure:
Review the similarities and differences in World Bank and ADB’s approach to social protection
Take home paper:
Evaluation the success of World Bank/ ADB or UN’s social protection strategy

Suggested readings

 ADB (2003). Social Protection our Framework Policies and Strategies. Philippines: ADB
 Asher, M. (2010). The Global Economic Crisis: An Opportunity for Strengthening Asia’s Social
Protection Systems? ADBI Working Paper 198. Tokyo: Asian Development Bank Institute.
Available: http://www.adbi.org/working-
paper/2010/02/23/3556.gec.asia.social.protection.systems/
 Asian Development Bank (2014).Social Protection Operational Plan 2014−2020.Philippines:
Asian Development Bank
 Asian Development Bank (Undated). (2013). The Social Protection Index; Assessing results for
Asia and pacific. Philippines: ADB
 Asian Development Bank (Undated). Improving Labor Market through High Education Reform
Project Mongolia. Social protection project Briefs. Philippines: ADB Social protection project
Briefs. Philippines: ADB
 Asian Development Bank (Undated). (2014). Social Protection in operational plan 2014 -2020.
Philippines: ADB
 Asian Development Bank (Undated). Cash Transfer Program for Poor Women in Pakistan; Social
Protection Project Briefs. Philippines: ADB
 Asian Development Bank (Undated). Developing Micro Insurance Sector In Sri-Lanka Social
Protection Project. Social protection project Briefs. Philippines: ADB
 Asian Development Bank (Undated). Developing Nepal’s Social Protection Strategy. Social
Protection Briefs. Philippines: ADB
 Asian Development Bank (Undated). Developing Skills for Sri-Lanka Labor Market. Social
Protection Project Briefs. Philippines: ADB
 Asian Development Bank (Undated). Establishing Social Protection for Women Garment Workers
in Bangladesh. Social protection project Briefs. Philippines: ADB
 Asian Development Bank (Undated). Reforming Asia’s pension system. Social Protection Briefs.
Philippines: ADB

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  Asian Development Bank (Undated). Supporting the Development of Social Protection Floor in
Nepal. Social Protection Project Briefs
 Conway, T., de Haan, A., & Norton, A. (2000, March). Social protection: new directions of donor
agencies. Paper for the DFID-ODI Inter-Agency Seminar on Social Protection. Easthamstead
Park.
 Hanayan, S., W. & Babajanian, D. ( Eds.). Social Protection for Older Persons in Asia. Philippines:
ADB
 Handayani, S., W. (2014). Measuring Social protection Expenditure in South East Asia: Estimates
using the Social Protection Index. Working paper series No. 32. Philippines: ADB
 Special Evaluation Study. (2012). ADB Social Protection Strategy 2001. Special Evaluation Study.
Philippines: Asian Development Bank

World Bank

 Barrientos, A. (2011). Social protection and poverty. International Journal of Social Welfare, 20(3),
240-249.
 Devereux, S., & Sabates-Wheeler, R. (2004). Transformative social protection (Vol. 232). Institute
of Development Studies.
 DFID. (2006, January). Social Protection in Poor Countries. Social Protection Briefing Notes Series
No.1. Retrieved from www.gsdrc.org/docs/open/SP17.pdf
 Holzmann, R., & Jorgensen, S. (1999). Social protection as social risk management: conceptual
underpinnings for the social protection sector strategy paper. Journal of International Development,
11(7), 1005-1027.
 Holzmann, R., & Jørgensen, S. (2001). Social protection sector strategy: From safety net to
springboard. World Bank, Washington, DC.
 Holzmann, R., & Jørgensen, S. (2001). Social Risk Management: A new conceptual framework for
Social Protection, and beyond. International Tax and Public Finance, 8(4), 529-556.
 Holzmann, R., Sherburne-Benz, L., & Tesliuc, E. (2003). Social risk management: The World
Bank's approach to social protection in a globalizing world. Washington, DC: World Bank.
 Holzmann, R., Sherburne-Benz, L., & Tesliuc, E. (2003). Social risk management: The World
Bank's approach to social protection in a globalizing world. Washington, DC: World Bank.
 Jørgensen, S. L., & VanDomelen, J. (1999). Helping the poor manage risk better: The role of social
funds. Social Protection, World Bank.
 Munro, L. T. (2007). Risks, rights, and needs: compatible or contradictory bases for social
protection. Brooks World Poverty Institute Working Paper, (7).

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 Norton, A., Conway, T., & Foster, M. (2001). Social protection concepts and approaches:
Implications for policy and practice in international development. Working Paper 143, London:
Overseas Development Institute.
 Norton, A., Conway, T., & Foster, M. (2001). Social protection concepts and approaches:
Implications for policy and practice in international development. Working Paper 143, London:
Overseas Development Institute.
 Sabates-Wheeler, R., & Devereux, S. (2008). Transformative social protection: the currency of
social justice. Social Protection for the Poor and Poorest: Concepts, policies and politics, Palgrave
Macmillan, Basingstoke, Hampshire, UK.

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121
Week 6–CONCEPTUAL FRAMEWORK
ADOPTED BY ILO

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Week 6

CONCEPTUAL FRAMEWORK ADOPTED BY THE INTERNATIONAL

LABOUR ORGANIZATION
This week’s session focuses on the conceptual framework adopted by ILO. Learners first examine the
traditional approach of ILO to social protection and its development. Next, the lesson explores decent work
for all strategy, with an emphasis on its main defining features of universality, idea of rights, promotion of
democracy and participation, the search for global rather than merely international policies.

Objectives:

 analyze the three ILO conventions(The Income Security Recommendation, 1944 (No. 67),Medical
Care Recommendation, 1944, (No. 64),The Social Security (Minimum Standards) Convention,
1952 (No. 102) on social protection to identify its main provisions to social protection and deduce
ILO’s traditional approach towards social protection
 Compare and contrast traditional ILO approach towards social protection with that of modern
concepts of social protection
 Develop an appreciation for ILO’s decent work for all strategy and describe its main features
 Evaluate the advantages and disadvantages of the defining features of ILO strategy
 Compare and contrast the main human rights instruments through the ILO decent work framework
and write a short analysis
 Explain the importance of social dialogue in decent work strategy
 Make a time line on the developments related ILO’s social protection initiatives, in its search for
both international and global polices
 Describe the rationale behind ILO’s search for global polices rather than merely international
policies

i. ILO’s Traditional Approach to Social Protection:

Tutorial 1
Study the following conventions
 The Income Security Recommendation, 1944 (No. 67)
 Medical Care Recommendation, 1944, (No. 64),
 The Social Security (Minimum Standards) Convention, 1952 (No. 102)
Generate a discussion on the various provisions on social protection/social security

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  How does this approach address the many challenges faced in the globalized world?
 What are its limitations?
 What concepts should be included in approaches to social protection in the modern day?
Note: this activity is aimed to held Learners deduce the traditional approach to social security by ILO

The ILO’s traditional approach to social security is based in various ILO standards. The Income
Security Recommendation, 1944 (No. 67) states that Income security schemes should relieve want and
prevent destitution by restoring, up to a reasonable level, income which is lost by reason of inability to work
(including old age) or to obtain remunerative work or by reason of the death of a breadwinner (article 1)
.Income security should be organized as on the basis of compulsory social insurance ( article 2).
Importantly, the provision for needs not covered by compulsory social insurance should be made by social
assistance. eg: dependent children and needy invalids, aged persons and widows, should be entitled to
allowances at reasonable rates according to a prescribed scale (Conway, et al. 2000).

Similarly, the Medical Care Recommendation, 1944, (No. 64), suggests that medical care should be
provided either through a social insurance medical care service with supplementary provision by way of
social assistance, or through a public medical service(Conway, et al. 2000).
The Social Security (Minimum Standards) Convention, 1952 (No. 102), recognized nine areas for
social insurance-medical care, benefits in sickness, unemployment, old age, employment injury, family
circumstances, maternity, invalidity and widowhood(Conway, et al. 2000).

i. ILO Decent Work Strategy

Show the video clip by ILO( 2008), “Decent Work: A better world starts here.” and generate a
discussion on ILO’s Decent Work Strategy. Probe the students to focus on the core elements of the strategy.

The ILO Director- General Mr. Somavía introduced the “decent work for all” strategy and established
that the primary goal of the ILO “to promote opportunities for women and men to obtain decent and
productive work, in conditions of freedom, equity, security and human dignity (p.3,ILO, 1999)”. The goal

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reflects the principles of freedom, dignity, economic security and equal opportunity upheld in the ILO’s
Constitution. (ILO,2003)
According to World Report on Social Protection 2014, the term decent work as defined by the ILO
is endorsed by the international community
as productive work for women and men in conditions of freedom, equity, security and human dignity”.
Decent work involves opportunities for work that is productive and delivers a fair income; provides security
in the workplace and social protection for workers and their families; offers better prospects for personal
development and encourages social integration; gives people the freedom to express their concerns, to
organize and to participate in decisions that affect their lives; and guarantees equal opportunities and equal
treatment for all (p.25).
This overarching official goal has been translated into the strategic objective of the Social
Protection Sector: enhancing the coverage and effectiveness of social protection for all which is one of the
four strategic objectives of the Agenda for Decent Work for All:
The four main defining features of this approach as outlined by Sen (1999) is
1. the universality of coverage and pervasiveness of concern;
2. the use of the idea of rights;
3. the situating of conditions of work and employment within abroad economic, political and social
framework that includes democracy and participation
4. the search for global instead of international policies.

a. Universality of Coverage

In principle the concept of decent work applies to all working people in all societies and applies to a
broad spectrum of institutional and developmental diversity. Working people needs freedom of association
and oppose discrimination, forced labor and child employment in hazardous and harmful situations. They
also wish to participate in decision-making affecting their work and lives, at the institutional level and the
nation and at regional and global level. The logic of this is that, all people and all societies’ desire work in
conditions of dignity and safety and with adequate remuneration. Lastly, these people need both social and
economic security in work and life. Viewed through this perspective the objectives of decent work are of a
universal aspiration. The caveat however is that in order to achieve these objectives “depend in each country
and region on its history and traditions, the level and distribution of resources, the economic and social
structure, the stage of development and a host of other specific circumstances” (p.4 Ghai,2006)

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 Critics have argued that ILO’s work on standards, employment, social security and industrial
relations are to a large extend based on the model of industrial market economies and therefore is applicable
at best only to the formal sectors in other countries. For this reasons it excludes large proportion of their
economies and working people. ( Ghai,2006)
In particular, Sen (1999) criticizes “the pervasiveness of the concept of universality of coverage, as
acting only in the interest of some groups of workers... of course, universality implies facing many difficult
questions which need not arise if the domain of concern is restricted to narrower groups, such as workers
in the organized sector (leaving out the unorganized sector), or even all wage workers (leaving out
homeworkers), or even all people actively in work (leaving out the unemployed). Working people fall into
distinct groups with their own specific concerns and plights, and it behoves the ILO to pay attention
simultaneously to the diverse concerns that are involved (p. )
Tutorial 2
 Discuss the likely groups which might not be covered by ILO’s decent work strategy
 Based on your readings what are some of the other coverage gaps in ILO’s decent work strategy?

b. The Idea of Rights

a) Rights at work
“Rights at work constitute the ethical and legal framework for all elements of decent work”(p.) The
central objective is to ensure that work is associated with dignity, equality, freedom, adequate remuneration,
social security and voice, representation and participation for all categories of worker. Rights at work are
embedded in the broader agenda of human rights at work form part of the broader agenda of human rights.
These rights are enshrined in the Charter of the United Nations and the Universal Declaration of Human
Rights and other human rights instruments, such as the convention on economic cultural and social rights
as well as national laws( Ghai,2006)

Tutorial 3
Study, UNHR, UN Charter, International Convention, on economic, social and cultural rights, and ILO
Declaration of Fundamental Principles and Rights at Work to deduce rights related to decent work
 write a short comparative analysis of decent work strategy and human rights

c. Location of Work and Employment within a Broad Economic, Political and Social
Framework:
Another significant feature of the decent work approach is that it positions work and employment
within the broader economic and social arena. To illustrate in addition to addressing the requirements of

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legislation and practice, it also address the needs of the sociality through the promotion of social dialogues.
The lives of workers are directly affected by the institution and society rules that oversee their employment
and work and are influenced by their freedoms as citizens. Thus, social dialogues provides them with a
voice to influence policies and institutional choices.

d. Social Dialogue
Similar to Sen(1999) Ghai( 2006) describes the important on the importance of social dialogue Social
dialogue provides a vehicle for negotiations on rights at work such as social security, minimum wages and
conditions of work. Social dialogue also makes it possible to influence the implementation of these rights,
as well as to monitor achievement. Collective bargaining has an obvious impact on the structure, level and
conditions of employment. It also provides a forum for negotiations on the form and content of social
security. Tripartite and broader forms of social dialogue involving governments, enterprises, workers and
civil society agencies exercise an influence on all dimensions of decent work through their impact on macro-
economic and other key social and economic policies (p.22).

 Diversity of Organizations and Social Dialogue

Over the years a wide spectrum of organization has emerged to cater for specific needs of workers
and employers

Trade unions - wage employees. They established t principles and forms of organization that
influence all organizations of workers. Some of these includes democratic representation, autonomous
organization, accountability to members and nondiscrimination. Some of the noteworthy achievements
includes the bargaining power of workers, improving their remuneration and working conditions and
ensuring their participation in work-place decisions and in national economic and social policy.

Cooperatives: contrasted with trade unions, cooperative members jointly own enterprises and
provide common services such as marketing, credit and training. Similar to trade unions, cooperatives are
focus on the principles of democratic representation, accountability and autonomy.

Informal economy entrepreneurs: Informal economy operators have come together to form their
own organizations to negotiate with governments, suppliers, credit institutions and marketing and trading
fi rms. These organizations provide members an opportunity to participate in formulating policies or launch
joint schemes such as credit and savings programs, health and life insurance and other types of mutual help
activities.

Women workers: women entrepreneurs and workers have formed their own organizations in
different sectors. Typical they are involved in multipurpose organizations combining production with

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trading, and credit and savings with social insurance and social services such as family planning, nutrition,
child care, literacy and training. Again there

Community organizations also bringing together producers or workers from a rural or urban areas.
The members may be organized around economic activities or social projects. Typically these organizations
seek to combine economic, social, cultural and political roles in representing the interests of their members.

Voluntary agencies working directly with small producers, or works in unorganized sectors. They
play an important role in organizing them, furnishing material or advisory assistance and representing their
interests in negotiations with local, national and international bodies, and with other enterprises.

Tutorial 4

 Discuss some of the ways to promote social dialogue (see Ghai, 2006)
 What might be the role of the government and international agencies in promoting social
dialogue?
 Why is the promotion of social dialogue important to the paradigm of decent work and social
protection?

e. The Interdependence between Social Protection and Other Elements of Decent

Work
The interdependence between social protection and other elements of decent work is conceptualized in the
following diagram

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 Source: Ghai,2006,p.23

f. The Search for Global Rather than merely International Policies

Through ILO’s integrated Decent Work Country Programs, the Decent Work Agenda has identified
ILO's four strategic objectives, with gender equality being considered as a crosscutting objective:

1. Creating Jobs – an economy that generates opportunities for investment, entrepreneurship, skills
development, job creation and sustainable livelihoods.
2. Guaranteeing rights at work – to obtain recognition and respect for the rights of workers. All
workers, and in particular disadvantaged or poor workers, need representation, participation, and
laws that work for their interests.
3. Extending social protection – to promote both inclusion and productivity by ensuring that women
and men enjoy working conditions that are safe, allow adequate free time and rest, take into

129
 account family and social values, provide for adequate compensation in case of lost or reduced
income and permit access to adequate healthcare.
4. Promoting social dialogue – Involving strong and independent workers’ and employers'
organizations is central to increasing productivity, avoiding disputes at work, and building
cohesive societies.
Seemingly, at present decent work reflects priorities on the social, economic and political agenda
of countries and the international system. Over the years this concept has gained international consensus
among governments, employers, workers and civil society that productive employment and Decent
Work are core components to achieving a fair globalization, reducing poverty and achieving equitable,
inclusive, and sustainable development.

Through its Intergraded Decent Work program ILO supports country programs which are
developed in coordination with its stakeholders. These constituents define priorities and targets within
national development frameworks in addressing the major Decent Work deficits. In addition to this ILO
works closely with parterres within and beyond UN organization to provide expertise on policy
instruments in designing and implementing these programs. It also supports institutional capacity in
implementation and for evaluation. “The Decent Work agenda offers a basis for a more just and
sustainable framework for global development. The ILO works to develop “decent work”-oriented
approaches to economic and social policy in partnership with the principal institutions and actors of the
multilateral system and the global economy”. Given this, Decent Work for All has evolved to reflect
global policies rather than international policies.

Tutorial 5

Make a time line on the developments related to ILO’s social protection initiatives. In your time line
please include important ILO conventions and world conferences

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Suggested readings.

 Biermans, M. L. (2012). Decency and the market: the ILO's Decent Work Agenda as a moral market
boundary.
 Coleman, R. (2011).Realizing Decent Work and Social Protection for All: How civil society organizations
are creating change. SOLIDAR. Retrieved from
www.solidar.org/IMG/pdf/a3_gn_2011_dwsp_web_eng_corr.pdf
 Conway, T., de Haan, A., & Norton, A. (2000, March). Social protection: new directions of donor agencies.
Paper for the DFID-ODI Inter-Agency Seminar on Social Protection. Easthamstead Park.
 Ghai, D. P. (Ed.). (2006). Decent work: objectives and strategies. Intl Labour Organisation.
 ILO (2009). Recovering from the crisis: A Global Jobs Pact; adopted by the International Labour
Conference at its Ninety-eighth Session, Geneva: ILO publications
 ILO (2010). Extending social security to all; a guide through challenges and options. International labor
office, social security department: Geneva
 ILO (2012). The strategy of ILO; social security for all, building social protection floor and comprehensive
social security system, International Labor Office: Geneva
 ILO (2013). South-South Cooperation and Decent Work: Good Practices. Geneva: International Labour
Office, Partnerships and Field Support Department.
 ILO (2014). World Social Protection Report 2014/2015; Building Economic Recovery, Inclusive
Development and Social Justice. International labor Office: Geneva
 ILO and WHO (2009). The social protection floor; a joint crisis initiative of the UN Chief Executives board
for coordination of social protection floor: Geneva
 International Labour Organization (2001).Social security: Issues, challenges and prospects, International
Labour Conference 89th Session, 2001. Geneva: International Labour Office,
 International Labour Organization (2001).The strategy of the International Labour Organization. Social
security for all: building social protection floors and comprehensive social security systems. Geneva :
 International Labour Organization (2010). Building a social protection floor with the Global Jobs Pact:
Second African Decent Work Symposium Yaoundé, International Labour Office: Geneva
 MacNaughton, G., & Frey, D. F. (2011). Decent work for all: a holistic human rights approach. American
University International Law Review, 26, 441.
 UNDP (2011). Successful social protection experiences; sharing innovative experiences, Vol 18,pp 5-401
 United Nations (2006). Full and Productive Employment and Decent Work; Dialogues at the Economic and
Social Council. USA: United Nations publications

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Week 7–SOCIAL PROTECTION: DESIGN
AND IMPLEMENTATION

132
Week 7

SOCIAL PROTECTION: DESIGN AND IMPLEMENTATION

This lessons starts with a video on good practices on social protection and enables learners to
conceptualize and simplify the broader concept of design and implementing programs. The primary aim of
the lesson is to help learners understand the conceptual framework life cycle analysis through an evidence
based approach to identify social exclusion. In doing so, a step by step process is undertaken. First students
learn the dynamics surround life cycle analysis. This is followed by looking into the concept of evidence
approach to identify vulnerabilities and social exclusions. The next part of the lecture helps learners explore
the role of community based systems in promoting social inclusion. Learners also examine the limitations
as well as ways on strengthening community based systems to enable a more important role in social
protection.

Objectives

 Outline lessons from social protection related to the design and implementation of social protection
programs
 Demonstrate an understanding on the dynamics of a life cycle analysis in undertaking vulnerability
analysis and identifying social exclusions.
 Develop a recognition and an explanation on the importance of evidence based approach to social
protection
 Outline the main factors considered in an evidence based approach in determining the impacts.
 Describe the main limitations and challenges for life cycle analysis and its implication to the design
and implementation of an evidence based framework
 Outline and describe the main factors to be considered in the design and implementation of social
protection intervention
 Describe the dynamics aspects surrounding resource allocation and creating a fiscal space and its
implication on the design and implementation of social protection programs
 Develop an appreciation for collaborating with communities in promoting social inclusion and
understand the debates surround such an involvement
 Interpret the evidence based implications for social policy on the involvement of community
organizations in the design and implementation of social protection programs

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  Suggest recommendations on how community based systems be strengthened to play a more
important role in social protection

Start the lecture with the video by IDS video brief (2011) IDS Video Brief - Good Practice in Social
Protection: Mapping Innovation for Practice and Policy

Tutorial 1

1. What are the life cycle events faced by grace? How did she cope with the life events?
2. What was the role of social protection?
3. What lessons can be drawn on the design and implementation of successful social protection
programs

Life cycle analysis is a people centered perspective on the design and implementation of social
protection systems. It places importance to analysis of risks and vulnerabilities across the life cycle helps
direct the design of social protection mechanisms as a means to increase the effectiveness of social
exclusion and break the vicious cycle of poverty. Cain (2009)

The usage of the term “life cycle” is twofold. First, it “reflects a continuum of age-stages where the
needs of an individual changes through their life, from conception to death” (p.129) Second it “refers to the
different stages and events of life which an individual or household passes through, and which often bring
with it a different status given to individuals such as becoming a widower, a single mother, an adolescent,
or unemployed. (p.129, Cain, 2009)

In a rapidly changing world, an individual does not follow a linear sequence of life stages relating to
age such as birth; education; marriage; work; nurturing; old-age. Rather an individual may conform to a
cyclical pattern as life-events, responding the changing economic, social and spatial changes - such as death
of a relative, accident, loss of job, migration of household members, which manifests in to a change of a
person‘s role and responsibilities. This requires the individual to revisit certain cycles (Bonilla Garcia, A.
and Gruat, J.V., 2003 as cited in Cain, 2009).

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 a. Vulnerability Analysis at Different Stages of the Life-Cycle

There is growing evidence that chronic poverty results from the cumulative impact of discrimination,
risk, vulnerability and exclusion across an individual‘s life-cycle and between generations. For this reason,
the hosts of factors contributing to vulnerability across the life cycle are not only related to chronological
age (children, young people, and older people) and life stage (adolescent men, widows). However, it also
relates to how social and cultural factors such as ethnicity, gender, disability and religion interconnect with
chronological age and life-stages. Given this, changes in individual and household life-cycles influences
vulnerability. Similar, changing levels of risk and vulnerability can indicate a shift from one life-cycle to
another. Most often, when an individual One “enters a new life-cycle when the set of risks and certainties
that define the level of vulnerability, changes in a positive or negative way” (Bonilla Garcia et al., 2003 as
cited in Cain, 2009).

The different types of vulnerabilities faced by individuals at different chronological age stages are
illustrated in the following table.

135
(Source Cain, 2009,p.131).

136
 The table demonstrates how the nature of risks and vulnerabilities are influence by interlinked to life
cycle intergeneration and social exclusion factors

To illustrate, studies have indicated that childhood poverty is likely to have negative impacts over the
course of a person’s life in terms of nutritional and health status, personal development and opportunity
linked to education, self-esteem, assets and access to labor markets. Studies have also revealed that low
economic social status of parents are transmitted to the next generation. There is also evidence of linkages
with the evolution of lifecycle between generations and between bread winners and dependents, especially
in contexts where the mortality age of adults resulting from HIV, conflict, migration for wage earners leads
to an increasing burden on older people to care for the young. Given this, the burden of care, characterized
as intergenerational links is an important aspect in determining vulnerability (Cain, 2009).

b. Evidence-Based Approach to Social Protection

“An evidence based approach to social protection roots the selection of social protection instruments
in the social and policy context of the country, particularly in terms of the identified gaps between existing
or prospective vulnerability and the public initiatives aiming to address it”(p.37 Samson Niekerk & Quene,
2010).

An evidence based approach requires a vulnerability analysis and tools to build an evidence base
for selecting appropriate interventions and target growth, including ex-ante poverty, social impact analysis
( PSIA), expected impacts of selected interventions. (Samson et al, 2010).This needs a three part process

1. Assess the current and likely future impact of a crisis

2. Apply it to an analysis of vulnerability (disadvantaged by gender, age, disability and
ethnicity, location and other variables)
3. Selecting appropriate social protection responses (Samson et al, 2010).
Once the vulnerability context analysis is determined, it is important to assess those most vulnerable to
different types of crisis and impacts

Conventional vulnerability assessment requires two approaches.

1. Identify vulnerable groups

2. Assess the various risks each group faces or analyses major risks and identify who is the
most vulnerable (Samson et al, 2010).
The two approaches rely on disaggregated historical data in the form of indicators or information
on the prevalence of past risks for different social protection programs

137
Forward looking vulnerability analysis requires further investigation to predict the likely outcomes of
shock that materialize or intensify in future. (Samson et al, 2010).

Next the predicted profile of vulnerability is compared against the existing future social protection
intervention instruments to identify gaps in addressing future vulnerabilities (Samson et al, 2010).

Evidence of developmental impact

Evidence on social protection programs have revealed that they help address poverty and support
other developmental outcomes related to individual, household, community and national levels (Samson et
al, 2010). A summary of existing evidence and remaining gaps in five main areas can be identified

1. Impacts on poverty and inequality

2. Impacts on nutrition, health and food security

3. Impacts on education

4. Economic impacts including employment and livelihoods

5. social cohesion(Samson et al, 2010).

Tutorial 1

1. Study the most recent study of vulnerability and poverty assessment of Maldives
2. Identify vulnerable groups and select an appropriate social intervention tool
3. Write a comparative analysis of the impact of the selected tool on the types of vulnerabilities
identified.

Cain (2009) identifies vulnerability of specific risks across the life cycle of the individual and
household and across generations.

138
139
Source: Cain,2009,p.135

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 c. Challenges to Life Cycle Analysis Arising from Knowledge Gaps

 There is little evidence of life cycle analysis being used systematically in identifying gaps and
neglected risks of the poor at different stages of the lifecycle
 How the identified vulnerable groups relate to each other within the framework of risks and
vulnerability is lacking or is rarely systematic
 There is Limited analysis of the impact across the lifecycle on the interplay between different stages
of the individual life cycle and long term intergenerational impacts
 Knowledge gaps exists on how mechanisms address unemployment and sickness across life cycle
in protecting household from the impact of shocks

d. Implications of life cycle analysis in the design and implementation of an evidence

based life-cycle analysis
 More systematic life-cycle analysis is important for the effective development, monitoring and
evaluation of social protection programs
 Importance of disaggregated poverty data to support an improved focus on life-cycle issues,
 Importance of linking social protection mechanisms with complementary services to enhance life-
cycle impacts
 Importance of policy coherence: National political coordination and review of existing schemes
are crucial to ensure an appropriate mix of systems.
 Support initiatives to strengthen the ‘voice’ of vulnerable groups:
 Social protection programs need to be understood as a long-term investment for social and
economic transformation rather than as a short-term safety-net
 Importance of political sustainability
Tutorial 2

 Choose a social protection intervention (cash transfer/public works/ social insurance/ labor market
interventions) and social protection floor initiative
 Make a short presentation on the important aspects to be considered in the design and
implementation of the selected intervention program

141
 e. Resource Allocation
Financing is considered as one of the key constraint on the development of social protection. There
different sources of financing for social protection includes
 aid from international donors
 revenues of national governments, private, community,
 NGO financing
 household saving
 out of pocket expenditures.
The challenge lies on establishing an effective and sustainable financing mix for social protection
institutions and policies (ILO 2001; Holzmann, Sherbourne-Benz et al. 2003 as cited in Barrientos,2007).
These issues have stemmed from issues involving economics as with politics and due to rapid social and
economic transformation. An optimal financing mix is essential to

 generate the resources needed to establish and strengthen appropriate social protection systems
 ensure the incentives generated by the financing modalities
 reinforce poverty and vulnerability reduction
 Secure legitimacy for social protection institutions and policies.

a. Government Financing of Social Protection

Government usually support social protection through macroeconomic policy, public, tax policy,
and regulation.

 expenditure Macroeconomic policies are important in reducing vulnerability and in

securing the resources needed for social protection.
 Public expenditures on basic and social services are can be directed towards social
protection
 Tax policy helps allocate resources for social protection
 Regulation related to labor standards, employee benefits, financial regulation and access,
and price regulation (utilities, foodstuff, merit goods, etc.) can also reinforce the
allocation of resources to social protection (Barrientos,2007).

Tutorial 3

 Are public expenditure on social protection is adequate? Explain why or why not?
 What might be the constraints on tax financing, and the significance of distortionary effects from
taxation and regulation?

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 b. International Organizations’ Financing of Social Protection

In the past The ILO has been largely responsible for the development of social protection instruments
and institutions in the developing world (Usui 1994). With the extension of social protection during the
1990s, a number of multi-lateral organization are involved in financing development programs e.g. the
World Bank,

UNDP, WHO, UNICEF, and others. In addition to this, regional organizations have developed and
adopted social protection policy frameworks. These include; structural adjustment finance, provided by the
IMF and World Bank support for policy reforms; general budget support, provided through the government
budget, either as general support or targeted on specific sectors; and program or project aid, providing
finance earmarked for expenditure in pursuit of specific program or projects managed either by
government/government agencies, or donors. The advantages and disadvantages of these programs in
financing social protection, are summarized in the following diagram

143
144
Source: DFID(mimeo);Collier and Dollar (2002); Cordell and Dell’Arccia(2003) as cited in Barrientos
(2003),p.8)

c. Creating a Fiscal Space

A report by UNICEF regional office for West and Central Africa (2009) explores the scope of
sustainable financing for social protection programs. It defines the concept of fiscal space, as “room in a
government budget that allows it to provide resources for desired purpose without jeorpardsing the
sustainability of its financial position or the stability of the economy” ( Hellers, 2005 as cited in
UNICEF,2009) The rationale for such a space enables governments to increase spending on national
priorities, which includes social protection in a sustainable manner. Viewed through this perspective a
governments financial position- fiscal sustainability depends on “whether the current fiscal policy can be
continued into the future without threatening government solvency” (p.9 UNICEF,2009)

By drawing lessons from in-depth analysis of case studies, the report proposes an indicative
framework that highlights important 6 principle macroeconomic and fiscal factors that should be taken into
account in creating a potential fiscal space. These includes

1. increasing revenue through two main channels: increased economic activity, i.e. real growth in
gross domestic product (GDP) and increases in the average tax yield as a proportion of GDP;
2. reallocating spending from lesser to higher priorities and from lesser to more effective and
productive programs;
3. reducing debt by writing off all or part of a country’s debt stock with a view to freeing up resources
that would otherwise be spent on meeting government’s future debt service obligations;
4. increasing borrowing from either external or domestic sources;
5. increasing aid in the form of grants and concessional loans
6. seignorage, or generating revenue by money creation.

Think Tanks on developmental policy have also proposed the concept of “social budgeting” to refer
to “the process by which society’s goals and priorities, as well as the rights of the entire population—
including those that could be facing social exclusion and discrimination—are better reflected throughout
the budgeting process. Often, those with least voice include poor households and children, women, and
socially excluded groups and communities (e.g. indigenous people)” (Fordham University, 2014). In a
broader sense social budget represents a society’s preferences and priorities. Government agents and
representatives. Such budgets are the product of a repetitive budget cycle process, which covers
formulation, analysis, execution, and tracking and performance evaluation (Fordham University, 2014).

145
 The wide ranging stakeholder in the budgeting process includes Government stakeholders -congress-
people, ministers, and heads of state, parliamentarians, and agency bodies. Civic stakeholders may include
myriad civic groups and organizations as well as individual voters and constituents. It also includes
businesses that might profit from specific allocations of funding or proposed projects (Fordham University,
2014).

Others specialists have proposed the concept of “Risk management”, “a structured approach to
identifying, assessing and controlling risks that emerge during the course of the policy, program project
lifecycle. Its purpose is to support better decision-making through understanding the risks inherent in a
proposal and their likely impact” (p.79,The Green book)).

At the level of the policy, program or a project, a risk register or risk log can be a useful tool to
identify, quantify and value the extent of risk and uncertainty relating to a proposal. A framework of options
in risk management are provided in the diagram below ( The Green book)

146
Source: p. 82, The Green book

Tutorial 4
d. What implications does the aspect of resource allocation have on the design and implementation
of a social protection programs
Study the project brief on Cash transfers in Sierra Leone by Holmes and Jackson (2009)
e. What features of the context are considered in deciding the choice of social protection
intervention- cash transfer scheme?
f. What factors are taken into consideration in determining the feasibility of cash transfers? Why?
g. What measures are taken to address risks and corruption? What might be other alternatives?
h. Are cash transfer schemes affordable? Why/ why not? What options are explored?
i. What are the challenges to implement a cash transfer scheme in Sierra Leone?
j. What lessons can be drawn for the design and implementing such a scheme elsewhere?

147
 a. Community Based Social Protection Program and Social Inclusion

There is evidence that the development of informal social protection can have powerful benefits in
terms of strengthening social capital, social cohesion and governance (Norton et al, 2001). At the
community level, social protection can be designed in such a way that promotes the principles of reciprocity
and mutual obligation which underpins the concept of social cohesion (Norton et al., 2001). To illustration
Case and Deaton (1998, cited in Pelham, 2007) states that that social pensions help to create horizontal
social capital by reasserting older people’s financial contribution to household and community activities
(Jones & Shahrokh, 2013). While the pooling of pensions in extended families help strengthen family
interdependence and cash transfers can enhance trust at the level of community (Jones & Shahrokh, 2013).
In Zambia, the beneficiaries of the Kalomo social cash transfer in Zambia reported that that other
community members were more willing to loan them money, implying a revaluation of their social position
within the community (Wietler, 2007 as cited in Jones & Shahrokh,2013)

In addition to this. Social transfers may also promote social capital through regular interactions
between local communities and authorities. For example, evidence from the study on Rights Committees
in Kenya’s Hunger Safety Net cash transfer program provided to mobilize local communities and
successfully influenced local authorities to provide good-quality fishing equipment so that vulnerable
community members could develop a more sustainable livelihood source (HelpAge International, 2011).

Niekerk and Quene (2006) argues civil society institutions can play numerous roles in improving the
demand for, design and implementation of public works programs. The logic of his explanation can be
extended to other social protection interventions in that community based organizations perform the role of
disseminating information and spread awareness about the program implementation, NGOs including trade
unions support political mobilization ; Civil society institutions can serve as to monitor malpractice and
corruption

The participatory role of communities in social protection are exemplified through, “community –
based targeting”. Community based targeting uses a group of community members or leaders whose
responsibility in the community are not related to the transfer program to decide who in the community
should benefit .To illustrate, a school official or the PTA, may determine the entry to a school inked social
protection program, a group of village elders, representative of community members, local officials may
determine the eligibility of a social protection program. The primary advantage of such an approach is that
local information may be more accurate and less costly in terms of design and implementation.

148
 International Labor Organization (2011) maintains the importance of participation on beneficiaries in
program design. In particular, the report acknowledge the importance of participation of beneficiary, social
partners, community based arrangements and civil society organizations in devising and managing benefits,
regulatory and supervisory arrangement in ensuring compliance, provision of mechanisms for complaint
and appeal and the overall efficiency and capacity. The involvement of these civil actors in the formulation
and implementation of social protecting policies also contributes in the enhancement of legitimacy and
institutional sustainability

The disadvantage however maybe local actors may grant or deny the benefits of a social protection
scheme to selected members and may prove to lower the authority or cohesion of the actors involved. It
may also continue or worsen existing patterns of social exclusion. Similar to this proposition, Nicola Jones
and Thea Shahrokh argues that social transfers in some instances may perpetuate marginalization. For
example in cases when family obligations restrict the recipient’s ability to use the grant to generate income
or to support independent living (Marriott and Gooding, 2007: 60). Given this, that in cases where transfers
lack transparency in targeting MacAuslan and Riemenschneider (2011). This raises the importance to focus
on targeting mechanisms so as to reflect the degree of formal and informal community relationships,
including multiple vulnerability criteria and ensure the inclusion of the most vulnerable groups are taken
into account. Given this, Community-based targeting is considered to be most appropriate in situations
where by local communities are clearly defined and cohesive, for programs that plan to include a small
portion of the population, and for temporary or low-benefit programs which cannot be supported by
administrative structures of their own (The World Bank, 2008).

Tutorial 5

b. What are the evidence based implications for policy on the involvement of community
organizations in the design and implementation of social protection programs
c. What are the limitations of community based involvement in social protection programs?
d. How can community based systems be strengthened to play a more important role?

In the closure of the lessons, it is extremely important for the facilitator to focus learner attention
on important aspects related to the design and implementation of social protection programs, such as
lessons from best practice, targeting, financing and affordability, delivery and donor coordination, and
other important Design issues for monitoring and evaluation.

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Suggested readings

 Babajanian, B., & Hagen-Zanker, J. (2012). Social protection and social exclusion: an analytical
framework to assess the links. Background Note. London: ODI.
 Blomquist, J. (2003). Public Attitudes Matter: Political Economy in the Design of Safety Nets
Policies.
 Bonilla García, A., & Gruat, J. V. (2003). Social protection: A life cycle continuum investment for
social justice, poverty reduction and sustainable development (No. 366683). International Labour
Organization.
 Cain, E. (2009). Social protection and vulnerability, risk and exclusion across the life-cycle.
Promoting Pro-Poor Growth: Social Protection, 129-143.
 Ezemenari, K., Chaudhury, N., & Owens, J. (2002). Gender and risk in the design of social
protection interventions.
 Fayos, G.,D., L. (2013). Feasibility of social protection schemes in Developing Countries.
European Parliament Debriefing Paper. Brussels: European Union.
 Grosh, M. E. (2008). For protection and promotion: The design and implementation of effective
safety nets. World Bank Publications.
 Holzmann, R., & Jørgensen, S. (2001). Social Risk Management: A new conceptual framework for
Social Protection, and beyond. International Tax and Public Finance, 8(4), 529-556.
 İmrohoroglu, A., Imrohoroglu, S., & Joines, D. H. (1995). A life cycle analysis of social
security. Economic theory, 6(1), 83-114.
 Jackson, C., Butters, S., Byambaa, E., Davies, M., & Perkins, N. (2011). Lessons from Social
Protection Programme Implementation in Kenya, Zambia and Mongolia. IDS Research Reports,
2011(69), 1-39.
 Jackson, C., Butters, S., Byambaa, E., Davies, M., & Perkins, N. (2011). Lessons from Social
Protection Programme Implementation in Kenya, Zambia and Mongolia. IDS Research
Reports, 2011(69), 1-39.
 Jones, N., & Shahrokh, T. (2012). Social protection pathways: shaping social justice outcomes for
the most marginalised now and post-2015. Background Note. London: Overseas Development
Institute.
 Normand, C. E., & Weber, A. (1994). Social health insurance: a guidebook for planning. Geneva:
World Health Organization.
 Samson, M. (2006). Designing and implementing social transfer programmes. EPRI Press.

150
  Samson, M., Niekerk, I., V., Quene, K., M. (2010). Designing and Implementing Social Transfer
Programmes. 2nd edition . South Africa : Economic Policy Research Institute
 Scott, Z. (2012). Topic Guide on Social Protection. Governance and Social Development Resource
Centre (GSDRC), UK. University of Birmingham
 Webb, S. A. (2001). Some considerations on the validity of evidence-based practice in social work.
British Journal of Social Work, 31(1), 57-79

Community based approaches

 Coheur, A. et al, 2008, ‘Linkages between Statutory Social Security Schemes and Community-
Based Social Protection: A Promising New Approach’, International Social Security Association,
Geneva
 Coleman, R. (2011).Realizing Decent Work and Social Protection for All: How civil society
organizations are creating change. SOLIDAR. Retrieved from
www.solidar.org/IMG/pdf/a3_gn_2011_dwsp_web_eng_corr.pdf
 De Coninck, J., & Drani, E. (2009). Social Protection is Centuries-old!: Culture and Social
Protection for the Very Poor in Uganda: Evidence and Policy Implications. Chronic poverty
research centre (CPRC).
 De Coninck, J., and Drani, E., 2009, ‘Social Protection is Centuries Old! Culture and Social
Protection for the Very Poor in Uganda: Evidence and Policy Implications’, Working Paper No.
140, Chronic Poverty Research Centre, Manchester
 Dror, D. M., Preker, A. S., & Jakab, M. (2002). The role of communities in combating social
exclusion. Social reinsurance-a new approach to sustainable community health financing.
Washington (DC).
 Du Toit, A. and Neves, D., 2009, ‘Informal Social Protection in Post-Apartheid Migration
Networks: Vulnerability, Social Networks and Reciprocal Exchange in the Eastern and Western
Cape, South Africa’, BWPI Working Paper 74, Brooks World Poverty Institute, Manchester
 Du Toit, A., & Neves, D. (2009). Informal social protection in post-Apartheid Migrant networks:
vulnerability, social networks and reciprocal exchange in the Eastern and Western Cape, South
Africa. Brooks World Poverty Institute Working Paper, 74.
 Fukuyama, F. (2001). Social capital, civil society and development. Third world quarterly, 22(1),
7-20.
 Habtom, G. M. K., and Ruys, P., 2006, ‘Traditional Risk-sharing Arrangements and Informal
Social Insurance in Eritrea’, Health Policy, vol. 80, no. 1, pp. 218-235

151
  Henriques, J.,M. (2008). Social Protection, Employment and Local Development: Guidelines to
help partners to consult local organizations in the social economy in the area of social inclusion.
Bridges for Inclusion Project Switzerland: International Labor Office. Retrieved from:
http://www.ciaris.org/workspace_files/474/Guidelines_-
_Social_protection__Employment__Local_Development_and_Inclusion_041208_Bridges.pdf
 Mitlin, D., Satterthwaite, D. and Bartlett, S., 2011, ‘Capital, Capacities and Collaboration: the
Multiple Roles of Community Savings in Addressing Urban Poverty’, Human Settlements
Working Paper, IIED, London
 Mitlin, D., Satterthwalte, D., & Bartlett, S. (2011). Capital, capacities and collaboration: the
multiple roles of community savings in addressing urban poverty. IIED.
 ww.solidar.org/IMG/pdf/a3_gn_2011_dwsp_web_eng_corr.pdf

Financing

 Barrientos, A. (2007).Financing Social Protection. Brooks World Poverty Institute. BWPI

Working Paper 5, University of Manchester: University of Manchester. Retrieved from
www.bwpi.manchester.ac.uk/.../working_papers/bwpi-wp-0507.pdf
 Barrientos, A. (2011). Social protection and poverty. International Journal of Social Welfare,
20(3), 240-249.
 Bekefi, T., & Epstein, M. J. (2006). Integrating social and political risk into management
decision-making. CMA Canada/AICPA Management Accounting Guideline.
 Cichon, M. (Ed.). (2004). Financing social protection (Vol. 5). International Labour Organization.
 Economic Commission for Latin America and the Caribbean. (2006). Shaping the future of social
protection: access, financing and solidarity.
 Farrel, D., Gebre, B., Hudspeth, C., Sellgreen, A., (2013). Risk Based Resource Allocation;
focusing regulatory and enfocrment efforts where they are needed most. Australia: Mckinsey
Center for Government
 Handley, G. (2009). Fiscal space for strengthened social protection: West and Central Africa
(Regional thematic report, núm. 2). Dakar, Oficina regional de UNICEF para África Occidental y
Central.
 HM Treasury. (2003). THE GREEN BOOK Appraisal and Evaluation in Central Government.
Treasury Guidance. LONDON: TSO.
https://www.gov.uk/government/uploads/.../green_book_complete.pdf
 Holmes, R., & Jackson, A. (2008). Cash Transfers in Sierra Leone: Are They Appropriate,
Affordable Or Feasible?. Overseas development institute (ODI).

152
 Kristensen, J., Groszyk, W., & Bühler, B. (2002). Outcome-focused management and budgeting.
OECD Journal on Budgeting, 1(4), 7-34.
 Kristensen, J., Groszyk, W., & Bühler, B. (2002). Outcome-focused management and budgeting.
OECD Journal on Budgeting, 1(4), 7-34.
 Mezey, G. (2014). Resource Allocation Criteria and the Analytic Paradigm. FUTURE, 17.
 Note, P. G. (2009).Social Protection, Poverty Reduction and Pro-Poor Growth. Promoting Pro-
Poor Growth, OECD.
 Scholz, W., Hagemejer, K., & Cichon, M. (2000). Social budgeting. International Labour
Organization.
 www.mckinsey.com/.../MCG_Risk-based%20resource%20allocation-WE..

Week 8–EVALUATION OF SOCIAL

PROTECTION PROGRAMS

153
Week 8

EVALUATION OF SOCIAL PROTECTION PROGRAMS

The lectures adopts a case study approach towards discussing the effectiveness of social protection
programs. Learners analyze the report on social protection in Nigeria, and deduce important concepts
necessary in determining the effectives of a social protection program. This lesson is aimed at providing
the analytical tools in assisting learners with their evaluation of social protection programs in Maldives.
The closure of the lesson provides an opportunity to write a critical review of the research report. These
series of activities are directed at enabling learners to build confidence on evaluating social protection
programs.

Objectives:

 Demonstrate an understanding of the main factors/ indicators used in assessing and evaluating
social protection programs
 Appraise the choice of the social protection conceptual framework adopted
 Develop an understanding on the important of contextual analysis and the main factors considered
in such an analysis
 Demonstrate an understating on the role of developmental polices, programs, and the stakeholders
in evaluating a social protection inventions.
 Critical evaluate the factors that are taken into consideration in determining the effectiveness, gaps
and challenges and Assess the limitation of the research
 Draw lessons from the case study and describe the implication of the finding on social policy in
Maldives and elsewhere

154
Tutorial 1

Study the report on social protection in Nigeria by Holmes, Akinrimus, Morgan & Buck (2012) and
generate a discussion on the effectiveness of social protection programs. Focus on the following guiding
points
1. What was the framework adopted? Explain the reasons/ advantages for the choice of the
framework?
2. What contextual factors are considered in the research? Why are they necessary?
3. What are the social protection policies, programs and the stakeholders involved? How important
are these factors in a determining the effectiveness of a social protection program
4. Which factors are taken into considered in determining the effectiveness, gaps and challenges?
5. What are the key findings of the report?
6. What are the limitations of the research?
7. What implications does the findings have on social policy in Nigeria? Can these be generalized/
applicable to other countries as well?

Tutorial 2-Take home paper

Write a critical review of the research report, social protection in Nigeria by Holmes et al, (2012)

Suggested readings

 Barrientos, A., & Pellissery, S. (2012). Delivering effective social assistance: Does politics matter?.
Effective States and Inclusive Development Research Centre Working Paper, 9.
 Davies, M., Barrientos, A., Devereux, S., Hickey, S., Sabates‐Wheeler, R., Guenther, B., &
Macauslan, I. (2009). DFID Social Transfers Evaluation Summary Report. IDS Research Reports,
2009(60), 1-36.
 Davies, M., Barrientos, A., Devereux, S., Hickey, S., Sabates‐Wheeler, R., Guenther, B., &
Macauslan, I. (2009). DFID Social Transfers Evaluation Summary Report. IDS Research Reports,
2009(60), 1-36.
 Fayos, G.,D., L. (2013). Feasibility of social protection schemes in Developing Countries.
European Parliament Debriefing Paper. Brussels: European Union.
 Holmes, R., & Akinrimisi, B. with Morgan, J. and Buck, R.(2012)‘Social Protection in Nigeria:
Mapping Programmes and Their Effectiveness’. Draft. London: ODI.
 Holmes, R., Akinrimisi, B., Mogan, J., & Rhiannon, B. (2012). Social Protection in Nigerial,
Mapping programs and their effectiveness. UK: Overseas Development institute.
 Omilola , B., Kaniki, S. (2014).Social Protection in Africa: A Review of Potential Contribution and
Impact on Poverty Reduction. Study Report. UNDP

155
 ‫‪Resources in Local Language‬‬

‫ނުކުޅެދުންތެރިކަން ހުންނަ މީހުންގެ ޙައްގުތައް ރައްކާތެރި ކުރުމާއި މާލީ އެހީތެރިކަން ފޯރުކޮށްދިނުމުގެ ޤާނޫން (ދިވެހިރާއްޖެ ‪)2010‬‬ ‫‪‬‬

‫ނުކުޅެދުންތެރިކަން ހުންނަ މީހުންގެ ދަފުތަރު އެކުލަވައިލުމާއި މާލީ އެހީތެރިކަން ދިނުމުގެ އުޞޫލް ޑިސެއެބިލިޓީ ފޯރރަމްގެ ޤާރާރު‬ ‫‪‬‬

‫(‪)2012‬‬

‫އެކަނިވެރި މައިން‪ ،‬ބަ ފައިން ބަލަހައްޓާ ކުދީންނަށް ދެވޭ އެހީ ދިނުމުގައި ބަލާ މިންގަނޑު (ނެޝަންނަލް ސޯޝަލް ޕްރެޓޭކްޝަން‬ ‫‪‬‬

‫އޭޖެންސީ ‪)2012‬‬

‫އުމުރުން ދުވަސްވީ މީހުންނަށް އަސާސީ ޕެންޝަން ދިނުމުގެ ޤަވާޢިދު ( ‪ 2014/R-167‬ދިވެހިސަރުކާރުގެ ގެޒެޓް )‬ ‫‪‬‬

‫އިޖްތިމާޢީ‪ ،‬ސިއްޙީ އިންޝުއަރެންސް ސްކީމުން ނޫންގަތަކަށް ދިވެހި ރައްޔިތުންނަށް ސަރުކާރުން ސިއްޙީ ފަރުވާއެއް‪ ،‬އހީތެރިކަމެއް‬ ‫‪‬‬

‫ފޯރުކޮށްދިނުމުގައި ބަލާނެ މިންގަނޑުތައް (ނެޝަންނަލް ސޯޝަލް ޕްރެޓޭކްޝަން އޭޖެންސީ ‪)2012‬‬

‫މޯލްޑިވްސް ރިޓަޔާމަންޓް ޕެންޝަން ސްކީމްގައި އަމިއްލަ ވަޒީފާ ތަކުގައި އުޅޭ މީހުން ބައިވެރިވުން ( މޯލްޑިވްސް ޕެންޝަން‬ ‫‪‬‬

‫އެޑްމިނިސްޓްރޭޝަން ‪)2014‬‬

‫ޤާނޫނީ ބެލެނިވެރިކަން ޙަވާލުކޮށްގެން ބަލަހައްޓާ ކުދިންނާއި‪ ،‬އެކުދިން ބަލަހައްޓާ ފަރާތަށް ދެވޭ އެހީ ދިނުމުގައި ބަލާނެ މިންގަނޑު‬ ‫‪‬‬

‫(ނެޝަންނަލް ސޯޝަލް ޕްރެޓޭކްޝަން އޭޖެންސީ ‪)2012‬‬

‫ޕެންޝަން ނިޒާމް ޑިފައިންޑް ބެނެފިޓް ނިޒާމަކުން ޑިފައިންޑް ކޮންޓްރިބިއުޝަން ނިޒާމަކަށް ބަދަލްވުން ( މޯލްޑިވްސް ޕެންޝަން‬ ‫‪‬‬

‫އެޑްމިނިސްޓްރޭޝަން ‪)2013‬‬

‫‪156‬‬
MODULE II–SOCIAL PROTECTION
PRACTICES IN THE MALDIVES

Week 9–SOCIAL PROTECTION IN

PRACTICE

157
Week 9

SOCIAL PROTECTION IN THE MALDIVES

This lecture begins with an overview of Economic and Social growth in the country. It establishes
that, with a population of 314,000 (2010), the Maldives has an average life expectancy of 71.3 years (2010).
The Maldives has a US$2.2 billion economy with a population of 350,759. Contrasted with the present in
1980, the Maldives was then one of the 20 poorest countries in the world with a per capita Gross Domestic
Product (GDP) of US$2751. At the time the country had a population of 155, 1002 and a GDP of US$42
million. Nevertheless, over the last three decades, the Maldives has achieved strong economic growth. By
2012, annual GDP increased to US$2.2 billion, while the total registered population estimated at 350, 7593.
(Maldives economic diversification Strategy, 2014).

This is followed by a more in-depth analysis Economic Diversification Strategy. The tutorial session
provides the students to develop an understanding on characteristics of the Maldivian economy on the basis
of evidence. Based on the evidence collected, the next part of the session, allows learners to apply the social
protection conceptual framework Social Risk Management to identify the types of risks and to generate a
set of strategies in addressing them. Students compare their findings for social protection priorities with
that of the existing social protection programs. This is followed by a discussion on the main issues and
challenges faced in implementing these programs. The closure of the lecture asks the students to write an
information brief on a social protection program in the Maldives

Objectives:

 Analyze the Maldives Economic Diversification Strategy and describe characteristics of the
Maldivian economy on the basis of evidence
 Based evidence from the Maldivian Economic Diversification strategy (2013), interpret the
challenges and risks through the Social Risk Based Management framework
 Identify and categories the type/sources of risks and generate a set of strategies in responding to
these risks
 Describe the issues / limitation of the application of Social Risk Management in to a Maldivian
context

158
  Outline current social protection programs in the Maldives and categorize them under the main
types of social protection programs
 Discuss the main issues and challenges faced in implementing these programs
 Write an information brief on a social protection program in the Maldives
 Develop an appreciation for and an awareness on the existence social protection programs in the
Maldives

a. The Economic and Social Growth in Maldives

Tutorial 1

Read the Maldives economic diversification strategy and outline the important characteristics of economic
growth in the country.

Maldives Economic Diversification Strategy

Important characteristics of Maldivian economic growth includes

 In 2012, The Maldives has advanced from a low income country to an upper middle income
country, with a per capita GDP of US$6,567, up from US$275 in 1981.
 Economic growth in the Maldives between 1980 and 2010 was achieved while enjoying Least
Developed Country (LDC) specific benefits.
 The Maldives is no longer eligible for preferential treatment enjoyed by LDCs. The graduation of
the Maldives from LDC status to middle income has led to a new playing field with a different set
of challenges
 Real GDP growth averaged more than seven percent annually in the 20 years from 1990 to 2010
Fast paced economic development

 The Maldives has surpassed all South Asian countries to achieve the highest income per capita in
the region
 Though incomparable in size of the economy, the economic growth rate in the Maldives has been
significant from an East Asian context too.
High Expenditure on Human Development

 The Maldives has achieved significant progress in human development- These achievements are a
result of spending on average 10 percent of annual government budget on health.
 Over the last three decades, the Government of the Maldives has invested heavily on education
 The 86,500 students in the Maldives live across 193 inhabited islands
 Although the Maldives expenditure on education is very high, quality of education is low

159
  A wide range of social protection programs have been introduced in the Maldives recently
 The expenditure on social protection has escalated since 2005
Vulnerable to external shocks

 In the decade 2000 to 2010, the Maldives economy faced external shocks from natural disasters,
global terrorism, health pandemics and hikes in fuel prices.
 For the first time ever, the Maldives had a negative economic growth rate in 2005
 In 2009, the economy experienced a negative growth for the second time.
Narrow economic base

 In 1980, fisheries and agriculture were the dominant economic sectors.

 There has been a tendency to grow one sector at a time.
 Tourism overtook fisheries as lead sector of the economy in 1985. - In 1990, tourism sector
contributed 18 percent to GDP while government services contributed 8 percent11
 Tourism continued to grow in dominance in the 1990s - The economy is now over-dependent on
tourism.
 With a narrow economic base and minimal vertical and horizontal diversification, the
 economy is highly vulnerable to world travel trends.

Excessive reliance on imports

 The Maldives has a very open economy and an extreme reliance on imports to meet almost all of
its consumption
 The merchandise exports comprise mainly of fish and re-export of jet fuel.
 The import dependency continues to grow. Maldives is extremely dependent on food imports.
 The high reliance on imports affects the Maldives international reserves.
EXTREME DEPENDENCY ON IMPORTED FUEL

High fiscal deficits

 Until 2000, the Government followed a prudent fiscal policy.

 In the aftermath of the 2004 Indian Ocean Tsunami, fiscal deficit reached a new high
 Important new revenue streams have been introduced recently.
 The current expenditure of the Government has spiraled upwards.
 Social welfare spending has emerged as a major current expenditure. The growth in current
expenditure in 2012 was led by the increased spending on social welfare contributions, which

160
 more than doubled, from US$ 84 million in 2011 to US$ 179 million and accounted for 26
percent of current expenditure in 20129. This primarily reflects the government contributions to
the Aasandha health scheme, which was introduced in January 2012.
 The external debt of the Maldives has increased significantly. At the end of 2012, the official
external debt stood at US$ 846.2 million9 (38percent of GDP) as compared to US$ 959.1 million
at the end of 2011 (43 percent of GDP).
High level of youth unemployment

 The present youth population in the Maldives is the largest youth cohort the
 country has ever seen
 The growth in youth population has resulted in relatively larger number of young people entering
the labour market
 The economy was unable to create attractive jobs for the large number of youth who entered the
working age
 Youth unemployment has reached an alarming scale. In 2010, more than 65 percent of young
males between 15 to 19 years and 32 percent of 20 to 24 year old males were unemployed.
 Increasing economically inactive population is a serious challenge for economic and social
development.
 Most of the jobs are not in sectors that match the interest of young people
High dependency on foreign labor

 The economic growth in Maldives since 1990 was achieved through a significant
 expansion of foreign workforce
 Half of the total workforce in Maldives is foreign and they are largely unskilled
Poverty is declining but disparity is increasing

 The Maldives has already achieved the Millennium Development Goal (MDG) to reduce income
poverty.
 The majority of households now share the higher national income.
 There are significant differences in household income levels between Male’ and Atolls. In 2010,
the average household monthly income for Male’ was MVR28, 909 compared to MVR11, 200 in
Atolls.
 Urban poverty in the capital Male’ is worsening. While headcount ratio for MVR22 declined
from 21 percent in 2003 to 15 percent by 2010 at the national level, the headcount ratio in Male’
increased from 4 percent in 2003 to 12 percent in 2010.

161
  One of the main contributing factors for urban poverty in Male’ is migration of high number of
young people from the atolls in search of education and jobs
(Source: Maldives Economic Diversification Strategy, 2013)

Tutorial 2

1. Describe the characteristics of the Maldivian economy. Based on the description (on the
Maldivian economy) from the Maldivian Economic Diversification strategy (2013), analyze the
challenges and risks through the Social Risk Based Management framework. Identify the type of
risks and outline a set of strategies in responding to these risks
2. Discuss the issues / limitation of the application of Social Risk Management in to a Maldivian
context

b. Social Protection Programs in the Maldives

Traditionally social protection programs were publicly funded and were are supplemented by non-
governmental support including remittances from extended family members, wealthy individuals and
Zakat, the Islamic charitable support ( ILO,2013).

Tutorial 3

1. Brainstorm on the current social protection programs in the Maldives and tabulated them under
social assistance, social insurance, labor market intervention and community based/informal social
protection
2. Compare your findings with the social protection programs in the Maldives as illustrated by
Ibrahim (2012)

162
(Source: Ibrahim, 2012)

Generate a discussion on current social protection programs in the Maldives. ( for more information
on programs refer to Ibramin, A.(2012). Republic of Maldives: Updating and improving the Social
Protection Index; Technical Assistance Consultant Report, ADB: Phillipines)

Discuss some of the issues and challenges faced in implementing these programs.

If possible an expert from the Social Protection Agency, Pension Administration and TVET Authority
of Maldives to describe an overview of their programs and share their insights on some of the challenges
in implementing these programs in the country.

Tutorial 4

Choose a social protection program in the Maldives and make an information brief to be shared with the
class

163
Suggested readings

 Athifa, I (2012). Republic of Maldives updating and improving the social protection index.
Philippines: ADB
 Bulche, B., Weber, A., & Wood, J. (2008). Social Protection Index for Committed Poverty
Reduction Volume 2, Asia. Philippines: ADB
 Cardon,S., & Davies, A. (Undated). Two year after the Tsunami. Maldives
 ILO (2013). Social Protection; Building social protection Floors and comprehensives social
security system; Maldives. Geneva: International labor Office.
 Maldives pension Administration (2011). Regulation on participation and disbursement of benefits
to foreign employers under the Maldives retirement pension scheme
 Maldives Pension Administration. (2013). Regulation on benefit payments of retirement pension
scheme
 Ministry of Economic Development (2013). Maldives Economic Diversification Strategy.
Maldives: Ministry of Economic Development
 Koehler, G., Cali, M., & Stirbu, M. (2009). Social Protection in South Asia: An Overview.
UNICEF, Regional Office South Asia: Kathmandu.
 Baulch, B., Weber, A., & Wood, J. (2008). Social protection index for committed poverty reduction
(Vol. 2). Mandaluyong City, Philippines: Asian Development Bank.

164
‫‪Resources in Local Language‬‬

‫ނުކުޅެދުންތެރިކަން ހުންނަ މީހުންގެ ޙައްގުތައް ރައްކާތެރި ކުރުމާއި މާލީ އެހީތެރިކަން ފޯރުކޮށްދިނުމުގެ ޤާނޫން (ދިވެހިރާއްޖެ ‪)2010‬‬ ‫‪‬‬

‫ނުކުޅެދުންތެރިކަން ހުންނަ މީހުންގެ ދަފުތަރު އެކުލަވައިލުމާއި މާލީ އެހީތެރިކަން ދިނުމުގެ އުޞޫލް ޑިސެއެބިލިޓީ ފޯރރަމްގެ ޤާރާރު‬ ‫‪‬‬

‫(‪)2012‬‬

‫އެކަނިވެރި މައިން‪ ،‬ބަފައިން ބަލަހައްޓާ ކުދީންނަށް ދެވޭ އެހީ ދިނުމުގައި ބަލާ މިންގަނޑު (ނެޝަންނަލް ސޯޝަލް ޕްރެޓޭކްޝަން‬ ‫‪‬‬

‫އޭޖެންސީ ‪)2012‬‬

‫އުމުރުން ދުވަސްވީ މީހުންނަށް އަސާސީ ޕެންޝަން ދިނުމުގެ ޤަވާޢިދު ( ‪ 2014/R-167‬ދިވެހިސަރުކާރުގެ ގެޒެޓް )‬ ‫‪‬‬

‫އިޖްތިމާޢީ‪ ،‬ސިއްޙީ އިންޝުއަރެންސް ސްކީމުން ނޫންގަތަކަށް ދިވެހި ރައްޔިތުންނަށް ސަރުކާރުން ސިއްޙީ ފަރުވާއެއް‪ ،‬އހީތެރިކަމެއް‬ ‫‪‬‬

‫ފޯރުކޮށްދިނުމުގައި ބަލާނެ މިންގަނޑުތައް (ނެޝަންނަލް ސޯޝަލް ޕްރެޓޭކްޝަން އޭޖެންސީ ‪)2012‬‬

‫މޯލްޑިވްސް ރިޓަޔާމަންޓް ޕެންޝަން ސްކީމްގައި އަމިއްލަ ވަޒީފާ ތަކުގައި އުޅޭ މީހުން ބައިވެރިވުން ( މޯލްޑިވްސް ޕެންޝަން‬ ‫‪‬‬

‫އެޑްމިނިސްޓްރޭޝަން ‪)2014‬‬

‫ޤާނޫނީ ބެލެނިވެރިކަން ޙަވާލުކޮށްގެން ބަލަހައްޓާ ކުދިންނާއި‪ ،‬އެކުދިން ބަލަހައްޓާ ފަރާތަށް ދެވޭ އެހީ ދިނުމުގައި ބަލާނެ މިންގަނޑު‬ ‫‪‬‬

‫(ނެޝަންނަލް ސޯޝަލް ޕްރެޓޭކްޝަން އޭޖެންސީ ‪)2012‬‬

‫ޕެންޝަން ނިޒާމް ޑިފައިންޑް ބެނެފިޓް ނިޒާމަކުން ޑިފައިންޑް ކޮންޓްރިބިއުޝަން ނިޒާމަކަށް ބަދަލްވުން ( މޯލްޑިވްސް ޕެންޝަން‬ ‫‪‬‬

‫އެޑްމިނިސްޓްރޭޝަން ‪)2013‬‬

‫‪165‬‬
Week 1O–LEGAL AND CONCEPTUAL
FRAMEWORK FOR SOCIAL
PROTECTION

166
Week 10

LEGAL AND CONCEPTUAL FRAMEWORK FOR SOCIAL PROTECTION

The lecture explores the legal and conceptual framework for social protection. It begins with an
analysis of Social protection from an Islamic sharia and its practice during the reign of Umar Bin Al Khatab.
It also provides students with the opportunity to compare and contrast western concepts of social protection
with that of Islamic sharia principles on social security. This is followed by a reflection of the fundamental
Islamic principles on social security and its reflection in Maldivian Traditional and cultural norms
recognized and practiced in the Maldives. If possible make arrangements for a guest lecture on Islam and
Social Protection possibly as a mass lecture open for other students of MNU and the public as well. The
next part of the lecture, takes the learners to analyze national development policies, constitutional and
legislative provisions for social security. The last part of the lecture provides learners with the opportunity
to analyze the social protection arising from state obligations on the ratification of human rights
instruments, CEDAW, CRC and ICESCR. The lecture also examines the constraints towards the full
realizations of state obligations on social protection

Objectives

 Develop an appreciation on the fundamental principles of social protection in Islamic Sharia

 Compare and contrast on the western concept of social protection and Islamic concept of social
protection

 Develop an appreciation for main characteristics of social security system during the reign of
Umar Bin Al- Khattab

 examine the reflection of Islamic concepts on security in the Maldivian tradition and culture

 Analyze Maldivian Development Policies for describe the main provisions for social protection

 Analyze the Maldivian constitution and demonstrate an understanding of the main provisions for
social protection in the constitution and legislations

 Demonstrate a critical understanding of constraints towards the full realization of these rights on
social protection enshrined in the constitution

 Analyze Human rights instruments on social protection and demonstrate and understanding of its
main provisions on social protection

167
  Evaluate the extent to which social protection obligations of the state are harmonized in the national
laws, and identify the main reservations and state rationale for the reservations

a. Social Protection from an Islamic Sharia, Maldivian Traditional and Cultural Norms
Recognized and Practiced in the Maldives

Make arrangements for a guest lecture on Islam and Social Protection possibly as a mass lecture open
for other students of MNU as well.

b. Islamic Concept of Social Security

Islam recognizes fulfillment of the basic needs of everyone who is unable to meet his/her needs as a
responsibility of the State. The first institution for social security is Zakat. A payment of 2.5 percent of
his/her savings for the zakat fund is amongst the fundamental responsibility of a Muslim.1 The States are
obliged to collect zakat and make arrangements for its distribution. Non-payment of zakat was considered
equivalent to waging war against the State. To illustrate, the Caliph Abu Bakr subjugated the payment of
zakat force all those who refused to pay it. Importantly, Non-Muslims are also part of the categorical
recipients of zakat (Syed,Undated)

The Quran prescribes laws for distributing zakat, the Qur'an includes them among those 'whose hearts
are to be conciliated'. (Syed,Undated)

Contrasted with the Western concepts of social security systems to be the outcome of human mind, t
the social security system of Islam is Divine in character and is based entirely on the Qur'an and Sunnah.
Viewed through this perspective, social security “is a system to accomplish the high standard of morality
expressed under the term ‘righteousness’. (Syed,Undated)The Glorious Qur'an states:

“It is not righteousness that ye turn your faces towards East or West; but it is righteousness, to believe
in Allah and the Last Day, and the Angels and the Book, and the Messengers; to spend of your
substance, or of love for Him, for your kin, for orphans, for the needy, for the wayfarer, for those
who ask, and for the ransom of slaves; to be steadfast in prayer, and give Zakah, to fulfil the contracts
which ye have made; and to be firm and patient, in pain (or suffering) and adversity, and throughout
all periods of panic, such are the people of truth, the God-fearing” (al-Qur'an, 11:177).

1
The amount of zakat to be paid varies from 2.5% for savings and wealth for Sunni Muslims, 5% for Shiite
Muslims, and 5% or 10% (known as ushr) for primary produce16. For the Sunnis, zakat on business (production,
mining, fishery, shipping, supply, agriculture, services or others, as long as it is for the purpose of profit) is
obligatory. Zakat, according to Shi’ite fiqh, is obligatory on nine items only (source: Hasan,2006)

168
 By drawing insights from the above verse, man’s obligations in life is to offer material help to the
needy and the poor. Given this, Islam is mindful of economically depressed classes of the society that it
calls upon every earning member of the society to be sympathetic to the creatures of God by performing
charity. (Syed,Undated) The following verse of the Qur'an confirms this:

“By no means shall ye attain righteousness unless ye give (freely) of that which ye love; and whatever
ye give, Allah knoweth it well” (al-Qur'an, 111:92).

An Islamic State obligation rests with social security for the sustenance and comfort to its citizens.
While each citizens is held responsible for the welfare of the other. (Syed,Undated)Thephilosophy behind
this as explained by Prophet Muhammad (pbuh)

“Everyone is a keeper unto every other and responsible for the welfare of all.” In an Islamic society
the rich, as such, cannot be unmindful of their brethren in need. According to al-Qur'an, (59:7),
wealth is not to circulate among the rich only. It must serve useful purpose and should be grown
through traffic and trade as stated in Verse 4: 29 of al-Qur’an. It is noteworthy to mention at this
point, that the most important institution, which implements the concept of social security in Islam,
is the system of the compulsory payment of Zakah, which is supported by Infãq fi saill-IilIah and
Nafaqat aI-Wàjibah and the prohibition ofRiba.

In Islam the divorced and unmarried woman and the widow must be looked after by her male family
members in the event she cannot provide for herself. In addition, scholars also agree that every poor or
handicapped relative, especially if she is a woman, must be cared for by relatives who have the means to
do so. (Syed,Undated).

The law of inheritance, places the legal responsibility for education and maintenance of children. On
the other side of the coin, children are legally responsible for taking care of their parents as well. Given,
this children and their parents inherit from each other (Syed,Undated).

There are several injunctions in the Quran and the Hadith that encourage the maintenance for one’s
parents, grandparents and poor relatives. In particular, special attention is afforded to the protection of the
interests of orphans by their guardians because the properties of orphans are exposed to many risks.
Furthermore, the responsibility of individuals living in poverty are prescribed over the whole community
and is reflected by the (Syed, Undated) Prophet’s saying:

“If somebody in a community sleeps hungry until the next morning, Allah will withdraw His security
from the community.”

169
 c. Morality in Islam And Social Security

The concept of social security in Islam is based upon the best principles of morality. “Islamic
teachings of Tawhid, Risalah and Aakhirah are impregnated in such a way that they touch the heart of man
and stimulate the feelings of fraternity and devotion for others, with the result that he takes pleasure in
righteous deeds”. (Syed,Undated)

In an Islamic economic system, public welfare and social security is the foremost economic obligation
of the state. Generally, the state should rely on its own revenues to meet its obligation of providing security
(relief to people in distress and fulfil their needs arising out of any sudden calamity, hereditary deformity,
temporary unemployment, old age, or the natural death of the family guardian) (Syed,Undated)

Amongst the primary duties of the state, the Collection and distribution of Sadaqah along with zakat
are among the fundamental. In cases where funds raised out of zakat and Sadaqah are deemed insufficient
to meet the needs of the poor, “the State can impose other taxes to realize funds for this purpose”.
(Syed,Undated)

In prescribing the rules of zakat and Sadaqah, the Qur'an highlights the needs of those who are
economically hard-pressed or are unwilling to ask for help out of self-respect to be given
priority(Syed,Undated)

Prophetic traditions, holds the state accountable for the fulfillment of the basic needs of all its subjects.
The Prophet (S) is reported to have said: "I am the guardian of a person who has no guardian". In another
hadith he declares: "The State is the guardian of a person who has no guardian"(Syed,Undated)

Tutorial 1

d. Compare and contrast on the western concept of social protection and Islamic concept of social
protection
e. Research and make a presentation on the social security system during the reign of Umar Bin Al-
Khattab/ and social security of Non- Muslims under a Muslim state
f. Discuss the significant characteristics of Social Security System during the Reign of ‘Umar ibn al-
Khattab
g. Discussed how the Islamic concepts on security are reflected in the Maldivian tradition and culture

h. Characteristics of Social Security System during the Reign of Umar ibn al-Khattab
 Head of the State was conscious about the social security of the citizens.
 Social, economic, and political justice prevailed.

170
  State revenues were strong due to wise planning and strict administration.
 Institution of Zakah and Sadaqah was effectively used for social security.
 Social security system was implemented for all the citizens irrespective of class and creed.
 Provision of food, clothing, shelter, necessary medical care, education, matrimonial aid, old age
benefits, stipends, and interest-free loans to the needy citizens of the State.
 General social security for all the citizens of the state.
 Social security of non-Muslim subjects under a state(Syed,Undated)

i. International Obligations of The State and Social Protection

Tutorial 2

Study the following International legal framework relevant to social protection

j. Identify specific provisions on social protection in:

k. International Covenant on Economic, social and cultural rights ( ICESCR)
l. Convention on Elimination of all forms of discrimination against women
m. Convention on the rights of the child
n. To what extent are these provisions harmonized in the national law? What are the reservations?
What might be the explanation behind this from a state centric perspective?

o. Social Protection and the Constitution of Maldives

Tutorial 4

Study the Maldivian constitution and identify constitutions provisions for the following

 Economic and social rights – right to adequate food and notorious food and clean water
 Right to clothing and housing
 Right to good standards of health care
 Non- discrimination including of basis of gender and age
 Special protection to children, young, elderly and disadvantaged people
 Right to education
 Right to work
 Right of pension

What might be the constraints towards the full realization of these rights in practice?

171
 p. Legislative Provisions
Tutorial 5

Study the following laws and identify the main provisions on social protection.

 Protection of the Rights of Children

 Disability act
 Pension Act

How effective are these realized in practice?

q. Social Protection and National Development Plan.

Tutorial 6

Divide students into groups and analyze the following policies for the existence of social protection and the
main social framework adopted, as well as the central focus of these policies

 MDG’s by UN
 Vision 2020.
 Seventh National Development Plan 2006-2010
 Aneh Dhivehi Raaje- The Strategic Action Plan; National Development Framework of
Development 2009 -2013
 The Menifesto of Progressive Party of Maldives (PPM) (2013)

Write an analysis on Social Protection policies based on the Maldivian National development plans (Take
home paper)

Suggested readings

 Constitution of the Republic of Maldives 2008. Government of Maldives.

172
 Government of Maldives (2009). Aneh Dhivehi Raaje- The Strategic Action Plan; National
Development Framework of Development 2009 -2013.
http://planning.gov.mv/en/images/stories/publications/strategic_action_plan/SAP-EN.pdf
 Ministry of Planning and National Development (2005). Vision 2020. Republic of Maldives.
http://www.planning.gov.mv/contents/misc/vision2020.php
 Ministry of Planning and National Development (2007). Seventh National Development Plan 2006-
2010; Creating New Opportunities. Republic of Maldives.
 The Menifesto of Progressive Party of Maldives (PPM). (2013). Unofficial translation
 UN General Assembly, Convention on the Rights of the Child, 20 November 1989, United Nations,
Treaty Series, vol. 1577, p. 3, available at: http://www.refworld.org/docid/3ae6b38f0.html
[accessed 16 October 2014]
 UN General Assembly, International Convention on the Elimination of All Forms of Racial
Discrimination, 21 December 1965, United Nations, Treaty Series, vol. 660, p. 195, available at:
http://www.refworld.org/docid/3ae6b3940.html [accessed 16 October 2014]
 UN General Assembly, International Covenant on Economic, Social and Cultural Rights, 16
December 1966, United Nations, Treaty Series, vol. 993, p. 3, available at:
http://www.refworld.org/docid/3ae6b36c0.html [accessed 16 October 2014]

173
‫‪Resources in Local Language‬‬

‫ނުކުޅެދުންތެރިކަން ހުންނަ މީހުންގެ ޙައްގުތައް ރައްކާތެރި ކުރުމާއި މާލީ އެހީތެރިކަން ފޯރުކޮށްދިނުމުގެ ޤާނޫން (ދިވެހިރާއްޖެ ‪)2010‬‬ ‫‪‬‬

‫ނުކުޅެދުންތެރިކަން ހުންނަ މީހުންގެ ދަފުތަރު އެކުލަވައިލުމާއި މާލީ އެހީތެރިކަން ދިނުމުގެ އުޞޫލް ޑިސެއެބިލިޓީ ފޯރރަމްގެ ޤާރާރު‬ ‫‪‬‬

‫(‪)2012‬‬

‫އެކަނިވެރި މައިން‪ ،‬ބަފައިން ބަލަހައްޓާ ކުދީންނަށް ދެވޭ އެހީ ދިނުމުގައި ބަލާ މިންގަނޑު (ނެޝަންނަލް ސޯޝަލް ޕްރެޓޭކްޝަން‬ ‫‪‬‬

‫އޭޖެންސީ ‪)2012‬‬

‫އުމުރުން ދުވަސްވީ މީހުންނަށް އަސާސީ ޕެންޝަން ދިނުމުގެ ޤަވާޢިދު ( ‪ 2014/R-167‬ދިވެހިސަރުކާރުގެ ގެޒެޓް )‬ ‫‪‬‬

‫އިޖްތިމާޢީ‪ ،‬ސިއްޙީ އިންޝުއަރެންސް ސްކީމުން ނޫންގަތަކަށް ދިވެހި ރައްޔިތުންނަށް ސަރުކާރުން ސިއްޙީ ފަރުވާއެއް‪ ،‬އހީތެރިކަމެއް‬ ‫‪‬‬

‫ފޯރުކޮށްދިނުމުގައި ބަލާނެ މިންގަނޑުތައް (ނެޝަންނަލް ސޯޝަލް ޕްރެޓޭކްޝަން އޭޖެންސީ ‪)2012‬‬

‫މޯލްޑިވްސް ރިޓަޔާމަންޓް ޕެންޝަން ސްކީމްގައި އަމިއްލަ ވަޒީފާ ތަކުގައި އުޅޭ މީހުން ބައިވެރިވުން ( މޯލްޑިވްސް ޕެންޝަން‬ ‫‪‬‬

‫އެޑްމިނިސްޓްރޭޝަން ‪)2014‬‬

‫ޤާނޫނީ ބެލެނިވެރިކަން ޙަވާލުކޮށްގެން ބަލަހައްޓާ ކުދިންނާއި‪ ،‬އެކުދިން ބަލަހައްޓާ ފަރާތަށް ދެވޭ އެހީ ދިނުމުގައި ބަލާނެ މިންގަނޑު‬ ‫‪‬‬

‫(ނެޝަންނަލް ސޯޝަލް ޕްރެޓޭކްޝަން އޭޖެންސީ ‪)2012‬‬

‫ޕެންޝަން ނިޒާމް ޑިފައިންޑް ބެނެފިޓް ނިޒާމަކުން ޑިފައިންޑް ކޮންޓްރިބިއުޝަން ނިޒާމަކަށް ބަދަލްވުން ( މޯލްޑިވްސް ޕެންޝަން‬ ‫‪‬‬

‫އެޑްމިނިސްޓްރޭޝަން ‪)2013‬‬

‫‪174‬‬
 Week 11–CASE STUDY I
EVALUATING THE INCOME SUPPOT
SAFETY NET POGRAMME

175
Week 11

EVALUATION OF THE ABSOLUTE POVERTY SCHEME AND

ASSISTANCE TO OBTAIN SCHOOL MATERIAL FOR CHILDREN OR
LOW INCOME FAMILIES
This lecture provides learners with a platform to share their insights of individual assessment and
evaluation of the absolute poverty scheme and assistance to obtain school materials for children or low
income families

Objectives

 Apply social protection framework for understanding the absolute poverty scheme and the
assistance to obtain school material for children or low income families
 Describe and assess the methodology used in identifying eligible beneficiaries

 Review and evaluate the design of the social protection intervention of the programs

 Analysis the coverage, scope and outcomes of the program

 Develop a critical appraisal of the limitations and key issues confronted by the scheme and
suggestions for reforming the program

Tutorial 1

Evaluate the absolute poverty scheme and assistance to obtain school material for children or low income
families

 Conceptual framework supporting the program

 Assessment of the methodology used in identifying eligible beneficiaries
 Review of the designing process involved
 Analysis of the scope and outcomes achieved through its implementation
 Appraisal of the limitations and key issues confronted by the scheme and
 suggestions to address the key issues and improve programs

176
Suggested readings

 Baker, J. L. (2000). Evaluating the impact of development projects on poverty: A handbook for
practitioners. World Bank Publications.
 Card, D., Ibarrarán, P. and Villa, J. M., 2011, Building in an Evaluation Component for Active
Labor Market Programs: a Practitioner’s Guide’, Inter-American Development Bank, Washington
DC
 International Labour Organisation (ILO), 2007,‘Health Microinsurance Schemes: Monitoring and
Evaluation Guide, Volume 1: Methodology’, Strategies and Tools against Exclusion and Poverty
Programme (STEP), International Labour Organisation (ILO), Geneva
 Lipton, M., & Ravallion, M. (1993). Poverty and policy (Vol. 1130). World Bank Publications.
 Lipton, M., & Ravallion, M. (1993). Poverty and policy (Vol. 1130). World Bank Publications.
 Paes-Sousa, R. and Santos, L. M. P., 2009, 'Measuring the Impact of Bolsa Familia Program Based
on Data from Health and Nutrition Days (Brazil)', Working Paper No.7, Iniciativa Latina y Caribe
Sin Hambre, Food and Agriculture Organisation of the United Nations, Santiago
 Robalino, D., et al., 2009,‘Ex-Ante Methods to Assess the Impact of Social Insurance Policies on
Labor Supply with an Application to Brazil’, Social Protection Discussion Paper No. 0929, World
Bank, Washington, D.C.

177
 Week 12–CASE STUDY 2
EVALUATING SOCIAL ASSISTANCE
PROGRAMS TAREGETING
VULNERABLE GROUPS

178
Week 12

EVALUATE THE MALDIVES OLD AGE BASIC PENSION (MOABP)

AND THE MALDIVES RETIREMENT PENSION SCHEME (MRPS)

This lecture provides learners with a platform to share their insights of individual assessment and
evaluation of Maldives Old Age Basic Pension and the Maldives Retirement Pension Scheme

Objectives

 Apply social protection framework for understanding to Maldives Old Age Pension and Maldives
Retirement Pension Scheme
 Describe and assess the methodology used in identifying eligible beneficiaries
 Review and evaluate the design of the social protection intervention of the programs
 Analysis the coverage, scope and outcomes of the program
 Develop a critical appraisal of the limitations and key issues confronted by the scheme and
suggestions for reforming the program

Tutorial 1

Evaluate the Maldives Old Age Basic Pension (MOABP) and the Maldives Retirement Pension Scheme
(MRPS)

 Conceptual framework supporting the program

 Assessment of the methodology used in identifying eligible beneficiaries
 Review of the designing process involved
 Analysis of the scope and outcomes achieved through its implementation
 Appraisal of the limitations and key issues confronted by the scheme and
 suggestions to address the key issues and improve programs

179
Suggested readings

 Card, D., Ibarrarán, P. and Villa, J. M.,( 2011), Building in an Evaluation Component for
Active Labor Market Programs: a Practitioner’s Guide’, Inter-American Development
Bank, Washington DC
 Disney, R. (1999). Notional accounts as a pension reform strategy: An evaluation. Social
Protection, World Bank.
 Disney, R. (1999). OECD public pension programmes in crisis: An evaluation of the
reform options. Social Protection, World Bank.
 Disney, R. (1999). Notional accounts as a pension reform strategy: An evaluation. Social
Protection, World Bank.
 Handayani, S., W. and Babajanian, B. (2012). Social protection for older persons: Social
pensions in Asia. Mandaluyong City, Philippines: Asian Development Bank
 ILO (2014). Social protection for older persons : key policy trends and statistics. Social
protection policy paper ; No. 11. International Labour Office, Social Protection
DepartmentGe. neva: ILO.
 International Labour Organisation (ILO), 2007,‘Health Microinsurance Schemes:
Monitoring and Evaluation Guide, Volume 1: Methodology’, Strategies and Tools against
Exclusion and Poverty Programme (STEP), International Labour Organisation (ILO),
Geneva
 Molyneux, M. (2007). Change and continuity in social protection in Latin America.
UNRISD.
 Paes-Sousa, R. and Santos, L. M. P., (2009), 'Measuring the Impact of Bolsa Familia
Program Based on Data from Health and Nutrition Days (Brazil)', Working Paper No.7,
Iniciativa Latina y Caribe Sin Hambre, Food and Agriculture Organisation of the United
Nations, Santiago
 Robalino, D., et al.,(2009),‘Ex-Ante Methods to Assess the Impact of Social Insurance
Policies on Labor Supply with an Application to Brazil’, Social Protection Discussion
Paper No. 0929, World Bank, Washington, D.C.
 Taylor, V. (2002). Transforming the present-Protecting the future. Report of the Committee
of Inquiry into a Comprehensive System of Social Security for South Africa (Taylor
Commission Report RP/53/2002), Department of Social Development.

180
 Week 13 – ROLE OF STATE, MARKET,
DONOR AGENCIES, COMMUNITY AND
FAMILY IN SOCIAL PROTECTION

181
Week 13

ROLE OF THE STATE: DONOR AGENCIES; COMMUNITY AND

FAMILY IN SOCIAL PROTECTION
This lecture establish linkages, inter relationships between the role of donors, the state, local
government, community and family with social protection. It starts with a critical inquiry on the role of
state, with a focus on political motives underpinning its obligations of social protection. Through the case
study on Cash transfers and political economy in sub-Saharan Africa, students develop an understanding
of the major influences on social protection policies and their impact on policy outcomes. The next part of
the lecture, takes the learners to explore linkages between decentralization and local governance on social
protection interventions. It also provides opportunities to use background knowledge acquired in the earlier
part of the course in developing a critical understanding of the role of communities and family in social
protection. It then allows students to explore major donor agencies and identify the typical social protection
programs supported by these donor agencies. Through this exercise, students develop an appreciation and
an understanding on the wide range of support provided by development agencies in supporting the social
protection floor of countries.

Objectives:

 Compare and contrast the role of donors, state, local government, community and family in social
protection
 Demonstrate an understating on the political motives that underpin social protection policies
 Draw lessons from practice on the nature of dynamic factors influencing social protection
programs
 Demonstrate an Understanding on the importance of collaboration and linkages between the
donors, state, local government and the community
 Examine the Decentralization Act for provisions on social protection obligations for local
governance institutions.
 Develop an appreciation on the mutual reciprocity of local governance and social protection
interventions by donors
 Demonstrate an understanding of Major Donor agencies and their contribution to social protection
for Maldives
 Develop and appreciation for collaboration partnerships between the wide ranging actors involved
in the design and implementation of social protection

182
 a. Social Protection and State
The technical nature of social protection policies often contradicts the political motivations of social
protection interventions, the political nature of their impacts. Scholars have recognized the role politics in
social protection provision at the level of actors, institutional, national, global, and social levels. (GSDRC,
2014). Hence, Political analysis, can explain the linkage between politics and social protection at each of
these levels in three main ways:

 It reveals that the incentives and reasons why social protection interventions are implemented,
both from the perspective of donors and from national governments.
 It helps explain roadblock and constraints in social protection interventions, as well as identifying
the actors and institutions through which interventions can be delivered effectively
 It enables a more in-depth understanding of the impact of social protection, upon poverty
reduction or growth but upon the political context (GSDRC, 2014).

Political analysis sheds light on important aspects related to power, ownership, and political will
affecting social protection. The provision of public goods through social protection programs can drastically
alter a government’s power base and could be used as a way of maintain or increase power (GSDRC, 2014).

Another key issue is that social protection interventions that are donor-driven receive very little
support from recipient country governments. There is an increasing debate over the extent to which social
protection is supported by country ownership and political willingness. However, the general consensus is
that the two are desirable objectives and that donors should work collaborate with governments and work
towards building the capacity and willingness of governments to manage social protection interventions
(GSDRC, 2014).

Tutorial 1: Case study

Study the project brief on Cash transfers and political economy in sub-Saharan Africa

Discuss

 The role of the state, donors

 Issues and challenges
 Findings of the project

What lessons can be drawn from the case study? How can the implications be applicable to Maldives?

183
 The role of decentralization, local government in social protection are best explained by UN Capital
Development Fund and UNDP (2011). The following characteristics are important in implementing safety
nets

 Better beneficiary selection (and targeting) processes.

 Better grievance and redress processes.
 More information availability and greater disclosure
 Monitoring and evaluation.
 Taking into account local conditions and circumstances.
 Linking supply and demand
 Experimentation and adaptation.
 Existing arrangements reduce the administrative and management costs associated

On the other hand, safety net programs can help strengthen local governance by adding value and
service delivery and performance in the following ways

 Addressing immediate income and human poverty.

 Strengthening local government capacities.
 Enhancing accountability.
 Demand for public services.
 No added fiscal burden
 Local Government and Social Protection: Making service delivery available for the most vulnerable
 Operations and maintenance issues- Workfare programs have the potential to help local
governments address infrastructure maintenance.
 Economic development and growth.

Since the role of Communities were already discussed in lectures there is no need to go into detail on
the role of community and family in social protection. (for further reference se Norton et al (2001)

Major donor Agencies

 ILO
 World Bank
 ADB
 UNDP

184
Tutorial 2

1. Choose one donor agency and find information on the donor agencies and details of these programs
to be shared with the class
2. Based on your findings what is the typical role played by these development agencies in social
protection? To what extent are they adequate?
3. What might be some of the limitations to these approaches? What suggestions would you suggest?

The following is a snapshot of main social security(ILO) programs in the country

Note: refer to details on donor funding for each program through the
linkhttp://www.ilo.org/dyn/ilossi/ssimain.schemes?p_lang=en&p_geoaid=462

Tutorial 3

Discuss

1. Based on your knowledge of social protection and community based approaches to social
protection
2. What is the role of the state, local government and the community, family on social protection
and donor agencies in social protection? What might be some of the issues/challenges faced?
How can this be overcome?
3. Study the Maldives Decentralization Act, and identify provisions for social protection in the
legislation?

185
Suggested readings

 Basset, L., Gianozzi,S., Pop, L., & Ringold, D.( 2012). Rules, Roles and Controls; Governance in
Social Protection; Background paper presented for the World Bank 2012 Labor Strategy.
 Devereux, S. & White,P. (2007). Pilots, Principles or patronage: what makes social protection
succeed in South Africa? Work Shop on Social Protection and ideologies welfare in southern
Africa. University of Oxford held on December 2007.
 Hickey, S. (July, 2011). The Politics of Social Protection. What do we get from a social contract
approach? Institute of Development Policy and Management: UK
 Overseas Development Institute (November, 2009). Cash Transfers and Political Economy in Sub-
Saharan Africa, No.31 pp 1-4.
 Prichard, W., 2010, ‘Citizen-State Relations: Improving Governance through Tax Reform’, OECD,
Paris
 Rohregger, B (2010). Social Protection and Governance, Discussion paper on Social protection;
Deutsche Gesellschat Fur: Germany
 UN Capital Development Fund & UNDP (2011). Local Government and Social Protection; Making
Service Delivery available for the most Vulnerable.
 Waterhouse, R., 2007, ‘Coordination and Coverage of Social Protection Initiatives in
Mozambique’, REBA Briefing Paper, International Poverty Centre, New York.

186
 Week 14 REFORMS TO CURRENT
SOCIAL PROTECTION PROGRAMS

187
Week 14

CONCLUSION: THE FUTURE OF SOCIAL PROTECTION

This lecture concludes the course by examining challenges on currents social protection at the global
level and at the level of the State. The lecture stimulates student’s inquiry and critical thinking on the global
challenges to social protection faced at the present. By drawing lessons from this, and using an evidence
based approach learners explore social protection priorities for the country and make concrete
recommendations to the social protection floor of the country.

Objectives

 Demonstrate an in-depth understanding of the challenges to social protection at the global level and
propose recommendations for these challenges
 Critically analyze the Maldivian social security platform, and apply and evidence based approach
to identify and predict key priority areas of intervention in the future
 Suggest concrete recommendations on solving the challenges and reforming the social security
floor of Maldives

a. Reforms to Current Social Protection Programs in Practice

Tutorial 1

Based on World Social Protection Report 2014, discuss the challenges to social protection on

1. Social protection of children and families

2. Social protection of women and men of working age
 Unemployment protection
 Employment injury, protection
 Disability benefit
 Maternity protection
3. Social protection for older women and men
 Universal health coverage
4. Social protection – crisis recovery inclusive development and social justice
5. What solutions would your recommend to these challenges?
6. How are these challenges on social protection facing the world reflected in Maldives?
7. Recommend concrete solutions for the challenge

188
 b. Using an Evidence Based Approach to Identify Social Protection Priorities

Tutorial 2

1. What are the existing reforms to social protection in the country?

Study the following documents to identify priorities through an evidence based approach?

 Poverty and vulnerability assessment

 Maldives economic diversification strategy ( Economic, employment and labor force, Education,
Health)
 Education Review Report (2007)
 WHO Country Cooperation Strategy Republic of Maldives (2013–2017)
 Republic of the Maldives: Updating and Improving the Social Protection Index (2012)
2. Which conceptual framework and social protection interventions would be most appropriate in
addressing the challenges identified?
3. What other recommendations would you suggest in reforming the Maldivian Social Protection
Floor?

It also important that the facilitator generates inquiry and discussion at the end of the presentations

Note: this exercise would require the students to work in groups and present their findings to the class.

189
Suggested readings

 Athifa, I (2012). Republic of Maldives updating and improving the social protection index.
Philippines: ADB
 Ministry of Economic Development (2013). Maldives Economic Diversification Strategy.
Maldives: Ministry of Economic Development
 Ministry of Education (2007). Education for All; Mid-decade Assessment. National Report.
Republic ofMaldives.planipolis.iiep.unesco.org/upload/Maldives/Maldives_EFA_MDA.pd
 Ministry of Finance and Treasury and the United Nations Development Program in the Maldives.
(2014). Maldives Human Development Report 2014; Bridging the Divide: Addressing
Vulnerability, Reducing Inequality
http://www.mv.undp.org/content/dam/maldives/docs/Policy%20and%20Inclusive%20Growth/Ma
ldives_HDR_2014/Maldives_HDR2014_Full_Report.pdf
 WHO (2013). WHO Country cooperation Strategy; Republic of Maldives 2013 -2017. New
Delhi: WHO

190